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WAM

Warberg Asset Management Portfolio holdings

AUM $551M
1-Year Est. Return 34.68%
This Fund
S&P 500
This Quarter Est. Return
+1.31%
1 Year Est. Return
+34.68%
3 Year Est. Return
+65.34%
5 Year Est. Return
+117.41%
10 Year Est. Return
–
AUM
$540M
AUM Growth
-$77.1M
Cap. Flow
-$177M
Cap. Flow %
-32.85%
Top 10 Hldgs %
59.86%
Holding
253
New
57
Increased
12
Reduced
52
Closed
53

Top Buys

Rank Stock Value
1
AVTR.PRA
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
+$15.3M
2
DHR.PRA
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
+$15.2M
3
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$3.64M
4
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$3.52M
5
AVGOP
Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A
AVGOP
+$2.58M

Top Sells

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$1.93M
2
WSC icon
WillScot Mobile Mini Holdings
WSC
+$1.78M
3
NEE.PRP
NextEra Energy, Inc. 5.279% Corporate Units
NEE.PRP
+$1.53M
4
IEAWW
Infrastructure and Energy Alternatives, Inc. Warrant
IEAWW
+$1.51M
5
MUDS
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
+$1.39M

Sector Composition

Rank Sector Weight
1 Miscellaneous 98.78%
2 Financials 0.52%
3 Consumer Discretionary 0.21%
4 Healthcare 0.2%
5 Technology 0.16%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BCTXW
151
DELISTED
BriaCell Therapeutics Corp Warrant
BCTXW
– –
-27,000
Closed -$130K
CTRM icon
152
Castor Maritime
CTRM
$21.1M
– –
-1,000
Closed -$24K
MYSEW
153
DELISTED
Myseum.AI Inc Series A Warrant
MYSEW
– –
-45,658
Closed -$393K
DOCN icon
154
PUT
DigitalOcean
DOCN
$15.3B
– –
-10,000
Closed -$776K
F icon
155
CALL
Ford
F
$52.7B
– –
-48,000
Closed -$680K
HUMAW
156
DELISTED
Humacyte Inc Warrant
HUMAW
– –
-35,662
Closed -$103K
HYMCL
157
DELISTED
Hycroft Mining Holding Corp Warrants
HYMCL
– –
-51,158
Closed -$18K
INSG icon
158
Inseego
INSG
$67.8M
– –
-7,320
Closed -$488K
INSG icon
159
PUT
Inseego
INSG
$67.8M
– –
-7,320
Closed -$488K
JRSH icon
160
Jerash Holdings
JRSH
$71.6M
– –
-10,000
Closed -$67K
NLSPW
161
DELISTED
NLS Pharmaceutics Warrant
NLSPW
– –
-35,480
Closed -$29K
PAAS icon
162
CALL
Pan American Silver
PAAS
$20.7B
– –
-16,500
Closed -$384K
PCT icon
163
PUT
PureCycle Technologies
PCT
$1.15B
– –
-16,000
Closed -$212K
PTON icon
164
PUT
Peloton Interactive
PTON
$2.18B
– –
-4,000
Closed -$348K
QQQ icon
165
Invesco QQQ Trust
QQQ
$485B
– –
-5,000
Closed -$1.93M
QS icon
166
CALL
QuantumScape Corp
QS
$3.09B
– –
-17,000
Closed -$417K
RCAT icon
167
Red Cat Holdings
RCAT
$1.03B
– –
-10,000
Closed -$35K
SDS icon
168
ProShares UltraShort S&P500
SDS
$404M
– –
-560
Closed -$124K
SHIP icon
169
Seanergy Maritime Holdings
SHIP
$403M
– –
-2,000
Closed -$29K
BNKK
170
Bonk Inc
BNKK
$10.8M
– –
-457
Closed -$23K
SLNO
171
DELISTED
Soleno Therapeutics
SLNO
– –
-2,000
Closed -$28K
TLT icon
172
PUT
iShares 20+ Year Treasury Bond ETF
TLT
$46.8B
– –
-25,000
Closed -$3.61M
WSC icon
173
WillScot Mobile Mini Holdings
WSC
$3.29B
– –
-56,004
Closed -$1.78M
NKLA
174
PUT
DELISTED
Nikola Corporation Common Stock
NKLA
– –
-1,167
Closed -$373K
BFIIW
175
DELISTED
BurgerFi International, Inc. Warrant
BFIIW
– –
-13,657
Closed -$22K
4 5 6
7
8

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PWMG
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IG
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CPIM
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LECM
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KV
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TCM
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Warberg Asset Management's Q4 2021 Portfolio in Review

As of Q4 2021, Warberg Asset Management held 253 positions worth $540M, down 13% from $617M the previous quarter. Its ten largest holdings account for 60% of the portfolio.

Warberg Asset Management withdrew a net $177M in Q4 2021, closing 53 positions and reducing 52 holdings. Its most notable exit was Invesco QQQ Trust, an estimated $1.93M position sold in full.

By sector, the portfolio is most concentrated in Miscellaneous at 99% of assets, up from 98% a quarter earlier, followed by Financials and Consumer Discretionary.

Against the trend, Warberg Asset Management opened a new position in Avantor, Inc. Series A Mandatory Convertible Preferred Stock worth $16.3M.

  • Warberg Asset Management's largest Q4 2021 buy was Avantor, Inc. Series A Mandatory Convertible Preferred Stock: 126,255 shares worth $16.3M.
  • Warberg Asset Management added most to Expand Energy Corp Class A Warrants in Q4 2021, an estimated $3.52M increase.
  • Warberg Asset Management's biggest Q4 2021 reduction was Mudrick Capital Acquisition Corporation II Class A Common Stock, cutting an estimated $1.39M.
  • Warberg Asset Management fully exited Invesco QQQ Trust in Q4 2021, selling an estimated $1.93M.
  • Warberg Asset Management's ten largest holdings make up 60% of its $540M portfolio in Q4 2021.
  • Warberg Asset Management opened 57 new positions and closed 53 in Q4 2021.
  • Warberg Asset Management's portfolio value fell 13% quarter-over-quarter to $540M.

Based on Warberg Asset Management's 13F filing for Q4 2021, filed 14 Feb 2022.