WAM

Warberg Asset Management Portfolio holdings

AUM $408M
This Quarter Return
+1.28%
1 Year Return
+10.11%
3 Year Return
+19.63%
5 Year Return
–
10 Year Return
–
AUM
$408M
AUM Growth
+$408M
Cap. Flow
+$2.76M
Cap. Flow %
0.68%
Top 10 Hldgs %
49.01%
Holding
249
New
41
Increased
16
Reduced
24
Closed
51

Top Buys

1
PARA
Paramount Global Class B
PARA
$2.58M
2
STXS icon
Stereotaxis
STXS
$1.84M
3
EXEEL
Expand Energy Corporation Class C Warrants
EXEEL
$1.22M
4
OXY.WS icon
Occidental Petroleum Corporation Warrants to Purchase Common Stock
OXY.WS
$1.21M
5
EPR.PRC icon
EPR Properties 5.75% Series C Cumulative Convertible Preferred Shares
EPR.PRC
$1.15M

Top Sells

1
QQQ icon
Invesco QQQ Trust
QQQ
$2.81M
2
SGOV icon
iShares 0-3 Month Treasury Bond ETF
SGOV
$1.13M
3
CLRC
ClimateRock Class A Ordinary Shares
CLRC
$905K
4
GTLS.PRB icon
Chart Industries, Inc. Depositary Shares, each Representing a 1/20th Interest in a Share of 6.75% Series B Mandatory Convertible Preferred Stock
GTLS.PRB
$789K
5
APO.PRA icon
Apollo Global Management Series A
APO.PRA
$768K

Sector Composition

1 Financials 3.2%
2 Healthcare 0.67%
3 Communication Services 0.63%
4 Real Estate 0.19%
5 Technology 0.1%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
PCG icon
151
PG&E
PCG
$33.5B
– –
0
– –
PGYWW
152
Pagaya Technologies Ltd. Warrants
PGYWW
$22.6M
– –
-20,000
Closed -$2.7K
PLTR icon
153
Palantir
PLTR
$372B
– –
0
– –
POET icon
154
POET Technologies
POET
$471M
– –
0
– –
PTIXW icon
155
Protagenic Therapeutics, Inc. Warrant
PTIXW
$138K
– –
-170,242
Closed -$1.28K
PXSAW
156
Pyxis Tankers Inc. Warrant
PXSAW
– –
-104,611
Closed -$3.42K
QQQ icon
157
Invesco QQQ Trust
QQQ
$364B
– –
-6,000
Closed -$2.81M
RBOT.WS icon
158
Vicarious Surgical Inc. Warrants, each whole warrant exercisable for 1/30th of a share of Class A Common Stock at an exercise price of $345.00
RBOT.WS
$178K
– –
-112,000
Closed -$4.49K
RIVN icon
159
Rivian
RIVN
$18B
– –
0
– –
RNAZ icon
160
TransCode Therapeutics
RNAZ
$8.5M
– –
-50,000
Closed -$24.8K
SBEV.WS
161
DELISTED
Splash Beverage Group, Inc. Warrants to purchase 1/40th of a share of Common Stock at an exercise price of $184.00
SBEV.WS
– –
-70,150
Closed -$702
SBUX icon
162
Starbucks
SBUX
$99B
– –
-4,500
Closed -$441K
SGOV icon
163
iShares 0-3 Month Treasury Bond ETF
SGOV
$56B
– –
-11,265
Closed -$1.13M
SLV icon
164
iShares Silver Trust
SLV
$20.3B
– –
0
– –
SMR icon
165
NuScale Power
SMR
$5.65B
– –
-10,501
Closed -$149K
SPY icon
166
SPDR S&P 500 ETF Trust
SPY
$655B
– –
0
– –
TNONW icon
167
Tenon Medical, Inc. Warrant
TNONW
$139K
– –
-22,587
Closed -$465
TSLA icon
168
Tesla
TSLA
$1.1T
– –
0
– –
UAL icon
169
United Airlines
UAL
$34.4B
– –
0
– –
VTAK icon
170
Catheter Precision
VTAK
$3.09M
– –
-180,100
Closed -$62K
VXX icon
171
iPath Series B S&P 500 VIX Short-Term Futures ETN
VXX
$264M
– –
0
– –
XBPEW
172
XBP Europe Holdings, Inc. Warrant
XBPEW
$1.17M
– –
-13,826
Closed -$512
XLF icon
173
Financial Select Sector SPDR Fund
XLF
$53.4B
– –
-13,000
Closed -$648K
IROH icon
174
Iron Horse Acquisitions Corp
IROH
$24.5M
– –
-62,417
Closed -$655K
JVSA
175
DELISTED
JV SPAC Acquisition Corp
JVSA
– –
-14,141
Closed -$151K
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