WAM

Warberg Asset Management Portfolio holdings

AUM $333M
1-Year Est. Return 11.83%
This Fund
S&P 500
This Quarter Est. Return
1 Year Est. Return
+11.83%
3 Year Est. Return
5 Year Est. Return
10 Year Est. Return
AUM
$438M
AUM Growth
+$106M
Cap. Flow
Cap. Flow %
Top 10 Hldgs %
Holding
279
New
Increased
Reduced
Closed

Top Buys

1
+$19M
2
+$11.6M
3
+$7.15M
4
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$5.78M
5
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$2.53M

Top Sells

1
+$2.62M
2
+$2.49M
3
+$2.03M
4
SABRP
Sabre Corporation 6.50% Series A Mandatory Convertible Preferred Stock
SABRP
+$912K
5
IIVI
Coherent Corp. 6.00% Series A Mandatory Convertible Preferred Stock
IIVI
+$640K

Sector Composition

1 Financials 0.7%
2 Consumer Discretionary 0.53%
3 Real Estate 0.29%
4 Utilities 0.27%
5 Healthcare 0.27%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
151
$5K ﹤0.01%
14,668
-1
152
$4K ﹤0.01%
+11,000
153
$4K ﹤0.01%
+2
154
$3K ﹤0.01%
+40,000
155
– –
-18,487
156
– –
-13,398
157
– –
0
158
– –
0
159
– –
-16,269
160
– –
-10,600
161
– –
0
162
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0
163
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0
164
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0
165
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0
166
– –
-43,603
167
– –
0
168
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0
169
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0
170
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0
171
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0
172
– –
-61,500
173
– –
0
174
– –
0
175
– –
-17,166
5 6
7
8 9