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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
+18.18%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$649M
AUM Growth
+$110M
Cap. Flow
-$127M
Cap. Flow %
-19.49%
Top 10 Hldgs %
64.55%
Holding
273
New
75
Increased
52
Reduced
26
Closed
44

Top Buys

Rank Stock Value
1
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$19M
2
DHR.PRA
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
+$11.6M
3
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$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

Rank Stock Value
1
WTRU
Essential Utilities, Inc.6.00% Tangible Equity Units
WTRU
+$2.62M
2
AVGOP
Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A
AVGOP
+$2.49M
3
NEE.PRO
NextEra Energy, Inc. 4.872% Corporate Units
NEE.PRO
+$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

Rank Sector Weight
1 Financials 0.47%
2 Consumer Discretionary 0.36%
3 Real Estate 0.19%
4 Utilities 0.19%
5 Healthcare 0.18%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MDGSW
151
DELISTED
Medigus Ltd. Series C Warrant
MDGSW
$11K ﹤0.01%
+28,450
New +$9.19K
QTEXW
152
DELISTED
QTREX Quantum Warrant
QTEXW
$10K ﹤0.01%
19,600
-401
-2% -$255
RBOT.WS
153
DELISTED
Vicarious Surgical Inc Warrants
RBOT.WS
$10K ﹤0.01%
12,000
– –
BNIXW
154
DELISTED
Bannix Acquisition Corp. Warrant
BNIXW
$10K ﹤0.01%
+43,200
New +$11.6K
IGTAW
155
DELISTED
Inception Growth Acquisition Limited Warrants
IGTAW
$10K ﹤0.01%
+45,000
New +$8.76K
CRXTW
156
DELISTED
Clarus Therapeutics Holdings, Inc. Warrants
CRXTW
$10K ﹤0.01%
65,000
+32,498
+100% +$5.89K
SQLLW
157
DELISTED
SeqLL Inc. Warrant
SQLLW
$9K ﹤0.01%
22,795
– –
AUUDW
158
DELISTED
Auddia Inc Warrants
AUUDW
$8K ﹤0.01%
+12,768
New +$8.5K
LIXTW
159
DELISTED
Lixte Biotechnology Warrants
LIXTW
$8K ﹤0.01%
33,203
+15,269
+85% +$3.91K
KACLW
160
DELISTED
Kairous Acquisition Corp. Limited Warrants
KACLW
$8K ﹤0.01%
+50,000
New +$9.76K
NVACW
161
DELISTED
NorthView Acquisition Corporation Warrant
NVACW
$8K ﹤0.01%
+43,000
New +$7.62K
ENCPW
162
DELISTED
Energem Corp Warrant
ENCPW
$8K ﹤0.01%
+45,000
New +$9.45K
ENERW
163
DELISTED
Accretion Acquisition Corp Warrant
ENERW
$8K ﹤0.01%
+43,748
New +$11.5K
IFIN.WS
164
DELISTED
InFinT Acquisition Corporation Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50 per whole share
IFIN.WS
$8K ﹤0.01%
+45,100
New +$9.72K
SPIR.WS
165
DELISTED
Spire Global, Inc. Warrants, each whole warrant exercisable for one share of Class A Common Stock at an exercise price of $11.50 per whole share
SPIR.WS
$8K ﹤0.01%
28,867
-933
-3% -$287
ABEO icon
166
Abeona Therapeutics
ABEO
$387M
$7K ﹤0.01%
893
-35
-4% -$240
AOGOW
167
DELISTED
Arogo Capital Acquisition Corp. Warrant
AOGOW
$7K ﹤0.01%
+45,000
New +$7.82K
FXCOW
168
DELISTED
Financial Strategies Acquisition Corp. Warrants
FXCOW
$7K ﹤0.01%
+40,000
New +$8.17K
FATPW
169
DELISTED
Fat Projects Acquisition Corp Warrant
FATPW
$7K ﹤0.01%
+42,500
New +$10K
SLNO
170
DELISTED
Soleno Therapeutics
SLNO
$6K ﹤0.01%
+1,800
New +$9.32K
CNGLW
171
DELISTED
Canna-Global Acquisition Corp Warrant
CNGLW
$6K ﹤0.01%
+45,100
New +$7.77K
SHAP.WS
172
DELISTED
Spree Acquisition Corp. 1 Limited Redeemable warrants, each warrant exercisable for one Class A ordinary share at an exercise price of $11.50
SHAP.WS
$6K ﹤0.01%
+27,078
New +$6.42K
NLSPW
173
DELISTED
NLS Pharmaceutics Warrant
NLSPW
$5K ﹤0.01%
+12,891
New +$4.57K
GROMW
174
DELISTED
Grom Social Enterprises Inc. Warrants
GROMW
$5K ﹤0.01%
884
+83
+10% +$861
SHPWW
175
DELISTED
Shapeways Holdings, Inc. Warrants
SHPWW
$5K ﹤0.01%
14,668
-1
-0% –
5 6
7
8 9

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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 Q1 2022 Portfolio in Review

As of Q1 2022, Warberg Asset Management held 273 positions worth $649M, up 20% from $540M the previous quarter. Its ten largest holdings account for 65% of the portfolio.

Warberg Asset Management withdrew a net $127M in Q1 2022, closing 44 positions and reducing 26 holdings. Its most notable exit was Essential Utilities, Inc.6.00% Tangible Equity Units, an estimated $2.62M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.47% of assets, down from 0.5% a quarter earlier, followed by Consumer Discretionary and Real Estate.

Against the trend, Warberg Asset Management opened a new position in iShares 20+ Year Treasury Bond ETF worth $1.85M.

  • Warberg Asset Management's largest Q1 2022 buy was iShares 20+ Year Treasury Bond ETF: 14,000 shares worth $1.85M.
  • Warberg Asset Management added most to Occidental Petroleum Corp Warrants in Q1 2022, an estimated $19M increase.
  • Warberg Asset Management's biggest Q1 2022 reduction was Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A, cutting an estimated $2.49M.
  • Warberg Asset Management fully exited Essential Utilities, Inc.6.00% Tangible Equity Units in Q1 2022, selling an estimated $2.62M.
  • Warberg Asset Management's ten largest holdings make up 65% of its $649M portfolio in Q1 2022.
  • Warberg Asset Management opened 75 new positions and closed 44 in Q1 2022.
  • Warberg Asset Management's portfolio value rose 20% quarter-over-quarter to $649M.

Based on Warberg Asset Management's 13F filing for Q1 2022, filed 13 May 2022.