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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
+5.76%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$516M
AUM Growth
+$215M
Cap. Flow
-$47.8M
Cap. Flow %
-9.26%
Top 10 Hldgs %
55.42%
Holding
238
New
71
Increased
20
Reduced
27
Closed
43

Top Buys

Rank Stock Value
1
WSC icon
WillScot Mobile Mini Holdings
WSC
+$3.77M
2
WTRU
Essential Utilities, Inc.6.00% Tangible Equity Units
WTRU
+$1.58M
3
CFXA
Colfax Corporation 5.75% Tangible Equity Units
CFXA
+$1.22M
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$930K
5
TWNKW
Hostess Brands, Inc. Warrants
TWNKW
+$912K

Top Sells

Rank Stock Value
1
CCL icon
Carnival Corporation Ltd
CCL
+$3.17M
2
SJIU
South Jersey Industries, Inc.
SJIU
+$1.28M
3
GCMGW
GCM Grosvenor Inc Warrant
GCMGW
+$1.16M
4
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$677K
5
CHNGU
Change Healthcare Inc. Tangible Equity Units
CHNGU
+$645K

Sector Composition

Rank Sector Weight
1 Industrials 0.76%
2 Financials 0.64%
3 Technology 0.23%
4 Healthcare 0.21%
5 Consumer Discretionary 0.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AMAOU
151
DELISTED
American Acquisition Opportunity Inc. Units
AMAOU
– –
-15,000
Closed -$150K
RCLFU
152
DELISTED
Rosecliff Acquisition Corp I Unit
RCLFU
– –
-16,076
Closed -$159K
SOLOW
153
DELISTED
Electrameccanica Vehicles Corp. Ltd. Warrants
SOLOW
– –
-15,500
Closed -$45K
BRMK.WS
154
DELISTED
Broadmark Realty Capital Inc. Warrants, each exercisable for one fourth (1/4th) share of Common Stock at an exercise price of $2.875 per quarter share
BRMK.WS
– –
-10,000
Closed -$2K
PSAGU
155
DELISTED
Property Solutions Acquisition Corporation II Units
PSAGU
– –
-16,000
Closed -$157K
GAPA.U
156
DELISTED
G&P Acquisition Corp. Units, each consisting of one share of Class A common stock and one-half of one redeemable warrant
GAPA.U
– –
-15,000
Closed -$149K
SMTS
157
DELISTED
Sierra Metals Inc. Common Stock
SMTS
– –
-10,000
Closed -$32K
PSTH
158
PUT
DELISTED
Pershing Square Tontine Holdings, Ltd.
PSTH
– –
-11,100
Closed -$267K
CHNGU
159
DELISTED
Change Healthcare Inc. Tangible Equity Units
CHNGU
– –
-8,616
Closed -$645K
ATSPU
160
DELISTED
Archimedes Tech SPAC Partners Co. Unit
ATSPU
– –
-11,000
Closed -$109K
BXRX
161
CALL
DELISTED
Baudax Bio, Inc. Common Stock
BXRX
– –
-41
Closed -$75K
NFH.WS
162
DELISTED
New Frontier Health Corporation Warrants, each whole warrant exercisable for one Ordinary Share at a
NFH.WS
– –
-54,313
Closed -$128K
TMTS
163
DELISTED
Spartacus Acquisition Corporation Class A Common Stock
TMTS
– –
-12,600
Closed -$124K
MAAC
164
DELISTED
Montes Archimedes Acquisition Corp. Class A Common Stock
MAAC
– –
-12,850
Closed -$126K
PTK
165
DELISTED
PTK Acquisition Corp.
PTK
– –
-10,677
Closed -$105K
SJIU
166
DELISTED
South Jersey Industries, Inc.
SJIU
– –
-33,225
Closed -$1.28M
ALTG.WS
167
DELISTED
Alta Equipment Group Warrants
ALTG.WS
– –
-174,606
Closed -$611K
PTOCU
168
DELISTED
Pine TechnologYES Acquisition Corp. Unit
PTOCU
– –
-17,500
Closed -$174K
PME
169
DELISTED
Pingtan Marine Enterprise Ltd.
PME
– –
-56,000
Closed -$58K
3 4 5 6
7

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BHPW
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CCP
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SCM
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OCAM
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NPCM
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FSG
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CIG
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Warberg Asset Management's Q2 2021 Portfolio in Review

As of Q2 2021, Warberg Asset Management held 238 positions worth $516M, up 71% from $301M the previous quarter. Its ten largest holdings account for 55% of the portfolio.

Warberg Asset Management withdrew a net $47.8M in Q2 2021, closing 43 positions and reducing 27 holdings. Its most notable exit was Carnival Corporation Ltd, an estimated $3.17M position sold in full.

By sector, the portfolio is most concentrated in Industrials at 0.76% of assets, up from 0.03% a quarter earlier, followed by Financials and Technology.

Against the trend, Warberg Asset Management opened a new position in WillScot Mobile Mini Holdings worth $3.65M.

  • Warberg Asset Management's largest Q2 2021 buy was WillScot Mobile Mini Holdings: 131,149 shares worth $3.65M.
  • Warberg Asset Management added most to Hostess Brands, Inc. Warrants in Q2 2021, an estimated $912K increase.
  • Warberg Asset Management's biggest Q2 2021 reduction was GCM Grosvenor Inc Warrant, cutting an estimated $1.16M.
  • Warberg Asset Management fully exited Carnival Corporation Ltd in Q2 2021, selling an estimated $3.17M.
  • Warberg Asset Management's ten largest holdings make up 55% of its $516M portfolio in Q2 2021.
  • Warberg Asset Management opened 71 new positions and closed 43 in Q2 2021.
  • Warberg Asset Management's portfolio value rose 71% quarter-over-quarter to $516M.

Based on Warberg Asset Management's 13F filing for Q2 2021, filed 16 Aug 2021.