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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
-1.72%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$455M
AUM Growth
-$194M
Cap. Flow
-$241M
Cap. Flow %
-52.97%
Top 10 Hldgs %
59.59%
Holding
296
New
69
Increased
53
Reduced
33
Closed
45

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$6.55M
2
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$6.29M
3
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$6.04M
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$2.45M
5
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$2.27M

Top Sells

Rank Stock Value
1
DHR.PRA
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
+$26.2M
2
AVTR.PRA
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
+$13.4M
3
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$1.85M
4
SABRP
Sabre Corporation 6.50% Series A Mandatory Convertible Preferred Stock
SABRP
+$763K
5
RCA
Ready Capital Corporation 7.00% Convertible Senior Notes due 2023
RCA
+$743K

Sector Composition

Rank Sector Weight
1 Financials 0.95%
2 Real Estate 0.3%
3 Utilities 0.29%
4 Healthcare 0.2%
5 Technology 0.19%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CELUW
151
DELISTED
Celularity Inc
CELUW
$13K ﹤0.01%
+23,000
New +$22.7K
BTBDW icon
152
BT Brands Warrant
BTBDW
$143K
$11K ﹤0.01%
28,800
– –
DRMAW icon
153
Dermata Therapeutics Warrant
DRMAW
$14.1K
$11K ﹤0.01%
100,000
– –
IKT icon
154
Inhibikase Therapeutics
IKT
$342M
$11K ﹤0.01%
2,416
+167
+7% +$985
NMAD
155
Nomad Power Solutions
NMAD
$81.9M
$11K ﹤0.01%
+1,450
New +$14.8K
SKYAW
156
SkyAI Inc
SKYAW
$263K
$11K ﹤0.01%
+38,847
New +$16K
ALLG.WS
157
DELISTED
Allego N.V. Warrants
ALLG.WS
$11K ﹤0.01%
22,500
+11,250
+100% +$8.36K
GLS.WS
158
DELISTED
Gelesis Holdings, Inc. Warrants, each whole warrant exercisable for one share of Common Stock at an exercise price of $11.50
GLS.WS
$11K ﹤0.01%
89,400
-72,846
-45% -$17.1K
APCX
159
DELISTED
AppTech Payments
APCX
$10K ﹤0.01%
16,954
-21,046
-55% -$24.7K
BFRIW icon
160
Biofrontera
BFRIW
$44.8K
$10K ﹤0.01%
+13,451
New +$14.8K
DRTSW icon
161
Alpha Tau Medical Warrant
DRTSW
$63M
$10K ﹤0.01%
+20,000
New +$11.1K
IGTAW
162
DELISTED
Inception Growth Acquisition Limited Warrants
IGTAW
$10K ﹤0.01%
90,000
+45,000
+100% +$8.39K
PL.WS
163
DELISTED
Planet Labs PBC Warrants
PL.WS
$9K ﹤0.01%
10,000
– –
RVSNW icon
164
Rail Vision Ltd Warrant
RVSNW
$816K
$9K ﹤0.01%
+50,363
New +$17.9K
SST.WS
165
DELISTED
System1, Inc. Warrants, each whole warrant exercisable for one share of Class A Common Stock at an exercise price of $11.50 per share
SST.WS
$9K ﹤0.01%
+11,500
New +$22.8K
KACLW
166
DELISTED
Kairous Acquisition Corp. Limited Warrants
KACLW
$9K ﹤0.01%
86,667
+36,667
+73% +$4.99K
NVACW
167
DELISTED
NorthView Acquisition Corporation Warrant
NVACW
$9K ﹤0.01%
77,770
+34,770
+81% +$5.3K
ZIVOW
168
DELISTED
Zivo Bioscience, Inc. Warrants
ZIVOW
$9K ﹤0.01%
15,620
-10,560
-40% -$7.11K
CRTDW
169
DELISTED
Creatd Inc. Warrant
CRTDW
$9K ﹤0.01%
48,336
-750
-2% -$223
BEATW icon
170
Heartbeam Inc Warrant
BEATW
$44K
$8K ﹤0.01%
22,761
-22,760
-50% -$7.58K
TONX
171
TON Strategy Co
TONX
$168M
$8K ﹤0.01%
+2
New +$8.97K
ENCPW
172
DELISTED
Energem Corp Warrant
ENCPW
$8K ﹤0.01%
90,000
+45,000
+100% +$6.05K
ENERW
173
DELISTED
Accretion Acquisition Corp Warrant
ENERW
$8K ﹤0.01%
87,348
+43,600
+100% +$6.61K
GMVDW
174
DELISTED
G Medical Innovations Holdings Ltd. Warrants
GMVDW
$8K ﹤0.01%
89,095
-200
-0.2% -$41
ACONW icon
175
Aclarion Warrant
ACONW
$48.6K
$7K ﹤0.01%
+28,650
New +$13.4K
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 Q2 2022 Portfolio in Review

As of Q2 2022, Warberg Asset Management held 296 positions worth $455M, down 30% from $649M the previous quarter. Its ten largest holdings account for 60% of the portfolio.

Warberg Asset Management withdrew a net $241M in Q2 2022, closing 45 positions and reducing 33 holdings. Its most notable exit was Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A, an estimated $26.2M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.95% of assets, up from 0.47% a quarter earlier, followed by Real Estate and Utilities.

Against the trend, Warberg Asset Management opened a new position in State Street SPDR S&P 500 ETF Trust worth $6.04M.

  • Warberg Asset Management's largest Q2 2022 buy was State Street SPDR S&P 500 ETF Trust: 16,000 shares worth $6.04M.
  • Warberg Asset Management added most to Occidental Petroleum Corp Warrants in Q2 2022, an estimated $6.29M increase.
  • Warberg Asset Management's biggest Q2 2022 reduction was The Southern Company, cutting an estimated $555K.
  • Warberg Asset Management fully exited Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A in Q2 2022, selling an estimated $26.2M.
  • Warberg Asset Management's ten largest holdings make up 60% of its $455M portfolio in Q2 2022.
  • Warberg Asset Management opened 69 new positions and closed 45 in Q2 2022.
  • Warberg Asset Management's portfolio value fell 30% quarter-over-quarter to $455M.

Based on Warberg Asset Management's 13F filing for Q2 2022, filed 11 Aug 2022.