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WAM

Warberg Asset Management Portfolio holdings

AUM $600M
1-Year Est. Return 23.37%
This Fund
S&P 500
This Quarter Est. Return
+0.84%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$301M
AUM Growth
-$107M
Cap. Flow
-$177M
Cap. Flow %
-58.87%
Top 10 Hldgs %
48.48%
Holding
214
New
39
Increased
18
Reduced
31
Closed
60

Top Buys

Rank Stock Value
1
GCMGW
GCM Grosvenor Inc Warrant
GCMGW
+$1.72M
2
IEAWW
Infrastructure and Energy Alternatives, Inc. Warrant
IEAWW
+$1.65M
3
SJIU
South Jersey Industries, Inc.
SJIU
+$1.34M
4
NSLR
Neostellar Capital Corp
NSLR
+$1.18M
5
TWNKW
Hostess Brands, Inc. Warrants
TWNKW
+$979K

Top Sells

Rank Stock Value
1
NCLH icon
Norwegian Cruise Line
NCLH
+$1.44M
2
PSTH
Pershing Square Tontine Holdings, Ltd.
PSTH
+$838K
3
GRWG icon
GrowGeneration
GRWG
+$603K
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$536K
5
ALTG.WS
Alta Equipment Group Warrants
ALTG.WS
+$369K

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 1.11%
2 Financials 0.72%
3 Technology 0.25%
4 Real Estate 0.1%
5 Healthcare 0.07%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ZNTEU
151
DELISTED
Zanite Acquisition Corp. Unit
ZNTEU
– –
-10,000
Closed -$105K
VMACW
152
DELISTED
Vistas Media Acquisition Company Inc. Warrant
VMACW
– –
-17,740
Closed -$15K
VMAC
153
DELISTED
Vistas Media Acquisition Company Inc. Class A Common Stock
VMAC
– –
-20,000
Closed -$202K
ITAC
154
DELISTED
Industrial Tech Acquisitions, Inc. Class A common stock
ITAC
– –
-14,000
Closed -$142K
NHIC
155
DELISTED
NewHold Investment Corp. Class A Common Stock
NHIC
– –
-23,900
Closed -$239K
FSR.WS
156
DELISTED
Fisker Inc. Warrants, each whole warrant exercisable for one Class A common stock at an exercise pri
FSR.WS
– –
-116,000
Closed -$148K
VKTXW
157
DELISTED
Viking Therapeutics, Inc.
VKTXW
– –
-163,536
Closed -$219K
TTCFW
158
DELISTED
Tattooed Chef, Inc. Warrant
TTCFW
– –
-40,112
Closed -$151K
3 4 5 6
7

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Warberg Asset Management's Q1 2021 Portfolio in Review

As of Q1 2021, Warberg Asset Management held 214 positions worth $301M, down 26% from $408M the previous quarter. Its ten largest holdings account for 48% of the portfolio.

Warberg Asset Management withdrew a net $177M in Q1 2021, closing 60 positions and reducing 31 holdings. Its most notable exit was Norwegian Cruise Line, an estimated $1.44M position sold in full.

By sector, the portfolio is most concentrated in Consumer Discretionary at 1.1% of assets, down from 1.3% a quarter earlier, followed by Financials and Technology.

Against the trend, Warberg Asset Management opened a new position in South Jersey Industries, Inc. worth $1.28M.

  • Warberg Asset Management's largest Q1 2021 buy was South Jersey Industries, Inc.: 33,225 shares worth $1.28M.
  • Warberg Asset Management added most to GCM Grosvenor Inc Warrant in Q1 2021, an estimated $1.72M increase.
  • Warberg Asset Management's biggest Q1 2021 reduction was Pershing Square Tontine Holdings, Ltd., cutting an estimated $838K.
  • Warberg Asset Management fully exited Norwegian Cruise Line in Q1 2021, selling an estimated $1.44M.
  • Warberg Asset Management's ten largest holdings make up 48% of its $301M portfolio in Q1 2021.
  • Warberg Asset Management opened 39 new positions and closed 60 in Q1 2021.
  • Warberg Asset Management's portfolio value fell 26% quarter-over-quarter to $301M.

Based on Warberg Asset Management's 13F filing for Q1 2021, filed 17 May 2021.