WAM

Warberg Asset Management Portfolio holdings

AUM $357M
1-Year Est. Return 16.73%
This Quarter Est. Return
1 Year Est. Return
+16.73%
3 Year Est. Return
5 Year Est. Return
10 Year Est. Return
AUM
$296M
AUM Growth
-$142M
Cap. Flow
Cap. Flow %
Top 10 Hldgs %
Holding
295
New
Increased
Reduced
Closed

Top Buys

1
+$6.04M
2
+$5.9M
3
+$5.2M
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$2.14M
5
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$1.97M

Top Sells

1
+$26.2M
2
+$13.4M
3
+$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

1 Financials 1.45%
2 Real Estate 0.47%
3 Utilities 0.45%
4 Healthcare 0.32%
5 Technology 0.3%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
151
$6K ﹤0.01%
4
152
$6K ﹤0.01%
90,000
+45,000
153
$5K ﹤0.01%
12,768
154
$5K ﹤0.01%
19,842
-8,139
155
$5K ﹤0.01%
47,154
+20,076
156
$5K ﹤0.01%
90,100
+45,000
157
$4K ﹤0.01%
19,600
158
$4K ﹤0.01%
+12,556
159
$4K ﹤0.01%
12,000
160
$4K ﹤0.01%
28,867
161
$3K ﹤0.01%
884
162
$3K ﹤0.01%
22,795
163
$3K ﹤0.01%
11,000
164
$3K ﹤0.01%
80,000
+40,000
165
$3K ﹤0.01%
25,000
166
$2K ﹤0.01%
12,000
-21,203
167
$2K ﹤0.01%
12,881
-10
168
$2K ﹤0.01%
110
-366
169
$2K ﹤0.01%
+16,551
170
$2K ﹤0.01%
+25,000
171
$2K ﹤0.01%
+19,400
172
$1K ﹤0.01%
14,668
173
$1K ﹤0.01%
+13,067
174
– –
0
175
– –
-893
5 6
7
8 9