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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
+1.57%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$617M
AUM Growth
+$101M
Cap. Flow
-$159M
Cap. Flow %
-25.85%
Top 10 Hldgs %
61.15%
Holding
231
New
51
Increased
29
Reduced
33
Closed
34

Top Buys

Rank Stock Value
1
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$3.67M
2
MUDS
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
+$2.21M
3
QQQ icon
Invesco QQQ Trust
QQQ
+$1.84M
4
PAVMZ
PAVmed Inc. Series Z Warrant
PAVMZ
+$1.82M
5
NEE.PRP
NextEra Energy, Inc. 5.279% Corporate Units
NEE.PRP
+$1.57M

Top Sells

Rank Stock Value
1
TWNKW
Hostess Brands, Inc. Warrants
TWNKW
+$5.03M
2
WSC icon
WillScot Mobile Mini Holdings
WSC
+$2.17M
3
CFXA
Colfax Corporation 5.75% Tangible Equity Units
CFXA
+$1.25M
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$907K
5
POL.WS
Polished.com Inc. Warrants to Purchase Common Stock
POL.WS
+$478K

Sector Composition

Rank Sector Weight
1 Financials 0.58%
2 Consumer Discretionary 0.44%
3 Industrials 0.35%
4 Technology 0.13%
5 Real Estate 0.12%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GME icon
151
PUT
GameStop
GME
$8.72B
– –
-4,000
Closed -$214K
LPX icon
152
PUT
Louisiana-Pacific
LPX
$5.16B
– –
-4,000
Closed -$241K
MSFT icon
153
CALL
Microsoft
MSFT
$3.64T
– –
-20,000
Closed -$5.42M
NVDA icon
154
CALL
NVIDIA
NVDA
$4.83T
– –
-280,000
Closed -$1.4M
ROKU icon
155
PUT
Roku
ROKU
$21.8B
– –
-4,000
Closed -$1.84M
SOS
156
PUT
SOS Limited
SOS
$16.6M
– –
-36
Closed -$89K
VXX icon
157
iPath Series B S&P 500 VIX Short-Term Futures ETN
VXX
$153M
– –
-621
Closed -$278K
WSC icon
158
PUT
WillScot Mobile Mini Holdings
WSC
$4.55B
– –
-96,000
Closed -$2.68M
XOM icon
159
CALL
ExxonMobil
XOM
$639B
– –
-17,000
Closed -$1.07M
MITAU
160
DELISTED
Coliseum Acquisition Corp. Unit
MITAU
– –
-15,000
Closed -$148K
CERE
161
PUT
DELISTED
Cerevel Therapeutics Holdings, Inc. Common Stock
CERE
– –
-8,000
Closed -$205K
AQNU
162
DELISTED
Algonquin Power & Utilities Corp Units
AQNU
– –
-5,000
Closed -$248K
MCAFU
163
DELISTED
Mountain Crest Acquisition Corp. IV Unit
MCAFU
– –
-25,000
Closed -$248K
HCDI
164
DELISTED
Harbor Custom Development, Inc. Common Stock
HCDI
– –
-779
Closed -$50K
POL.WS
165
DELISTED
Polished.com Inc. Warrants to Purchase Common Stock
POL.WS
– –
-224,638
Closed -$478K
EOCW.U
166
DELISTED
Elliott Opportunity II Corp. Units, each consisting of one Class A ordinary share and one-fourth of one redeemable warrant
EOCW.U
– –
-10,000
Closed -$100K
HCNEU
167
DELISTED
Jaws Hurricane Acquisition Corp. Unit
HCNEU
– –
-11,374
Closed -$114K
GFLU
168
DELISTED
GFL Environmental Inc. Tangible Equity Units
GFLU
– –
-12,130
Closed -$907K
AVCT
169
DELISTED
American Virtual Cloud Technologies, Inc. Common Stock
AVCT
– –
-1,485
Closed -$133K
GACQU
170
DELISTED
Global Consumer Acquisition Corp. Unit
GACQU
– –
-20,000
Closed -$200K
GIWWU
171
DELISTED
GigInternational1, Inc. Units
GIWWU
– –
-14,400
Closed -$145K
DILAU
172
DELISTED
DILA Capital Acquisition Corp. Unit
DILAU
– –
-12,465
Closed -$126K
PBLA
173
DELISTED
Panbela Therapeutics, Inc. Common Stock
PBLA
– –
0
– -$33K
CFXA
174
DELISTED
Colfax Corporation 5.75% Tangible Equity Units
CFXA
– –
-6,689
Closed -$1.25M
SRNG
175
DELISTED
Soaring Eagle Acquisition Corp. Class A Ordinary Share
SRNG
– –
-12,000
Closed -$120K
4 5 6
7
8

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Warberg Asset Management's Q3 2021 Portfolio in Review

As of Q3 2021, Warberg Asset Management held 231 positions worth $617M, up 20% from $516M the previous quarter. Its ten largest holdings account for 61% of the portfolio.

Warberg Asset Management withdrew a net $159M in Q3 2021, closing 34 positions and reducing 33 holdings. Its most notable exit was Colfax Corporation 5.75% Tangible Equity Units, an estimated $1.25M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.58% of assets, down from 0.64% a quarter earlier, followed by Consumer Discretionary and Industrials.

Against the trend, Warberg Asset Management opened a new position in Expand Energy Corp Class A Warrants worth $4.29M.

  • Warberg Asset Management's largest Q3 2021 buy was Expand Energy Corp Class A Warrants: 118,000 shares worth $4.29M.
  • Warberg Asset Management added most to Mudrick Capital Acquisition Corporation II Class A Common Stock in Q3 2021, an estimated $2.21M increase.
  • Warberg Asset Management's biggest Q3 2021 reduction was Hostess Brands, Inc. Warrants, cutting an estimated $5.03M.
  • Warberg Asset Management fully exited Colfax Corporation 5.75% Tangible Equity Units in Q3 2021, selling an estimated $1.25M.
  • Warberg Asset Management's ten largest holdings make up 61% of its $617M portfolio in Q3 2021.
  • Warberg Asset Management opened 51 new positions and closed 34 in Q3 2021.
  • Warberg Asset Management's portfolio value rose 20% quarter-over-quarter to $617M.

Based on Warberg Asset Management's 13F filing for Q3 2021, filed 15 Nov 2021.