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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
+7.08%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$578M
AUM Growth
+$123M
Cap. Flow
-$32M
Cap. Flow %
-5.54%
Top 10 Hldgs %
63.86%
Holding
346
New
101
Increased
44
Reduced
42
Closed
52

Top Buys

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$8.6M
2
HTZWW
Hertz Global Holdings Warrants
HTZWW
+$4.23M
3
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$3.22M
4
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$2.96M
5
AAPL icon
Apple
AAPL
+$2.51M

Top Sells

Rank Stock Value
1
SWT
Stanley Black & Decker, Inc.
SWT
+$1.11M
2
PSTH
Pershing Square Tontine Holdings, Ltd.
PSTH
+$782K
3
SO icon
Southern Company
SO
+$713K
4
SOLN
The Southern Company
SOLN
+$604K
5
SJIV
South Jersey Industries, Inc. Corporate Units
SJIV
+$551K

Sector Composition

Rank Sector Weight
1 Financials 1.47%
2 Technology 0.65%
3 Consumer Discretionary 0.24%
4 Real Estate 0.22%
5 Healthcare 0.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SST.WS
151
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
$26K ﹤0.01%
24,100
+12,600
+110% +$15.9K
SDIG
152
DELISTED
Stronghold Digital Mining, Inc. Class A Common Stock
SDIG
$26K ﹤0.01%
+2,500
New +$48.6K
CINGW icon
153
Cingulate Inc Warrants
CINGW
$39.6K
$25K ﹤0.01%
110,032
– –
LUCYW icon
154
Innovative Eyewear Inc Series A Warrants 8/16/27
LUCYW
$24K ﹤0.01%
+58,495
New +$38.6K
NCPLW icon
155
Netcapital Inc Warrants
NCPLW
$24K ﹤0.01%
+89,460
New +$57.7K
MDNA
156
DELISTED
Medicenna Therapeutics Corp. Common Shares
MDNA
$24K ﹤0.01%
+29,500
New +$33.3K
NNAVW
157
DELISTED
NextNav Inc Warrant
NNAVW
$23K ﹤0.01%
45,000
-2,000
-4% -$1.02K
VRPX
158
DELISTED
Virpax Pharmaceuticals, Inc. Common Stock
VRPX
$23K ﹤0.01%
76
-2
-3% -$720
ARQQW icon
159
Arqit Quantum Warrants
ARQQW
$186K
$22K ﹤0.01%
+24,592
New +$21.4K
LVO icon
160
LiveOne
LVO
$62.3M
$22K ﹤0.01%
3,000
– –
AP.WS
161
DELISTED
Ampco-Pittsburgh Corp Series A Warrants
AP.WS
$21K ﹤0.01%
84,200
-600
-0.7% -$202
DTSTW
162
DELISTED
Data Storage Corp Warrant
DTSTW
$20K ﹤0.01%
105,312
– –
WLDSW icon
163
Wearable Devices Ltd Warrant
WLDSW
$20K ﹤0.01%
+133
New +$23.7K
NRSNW icon
164
NeuroSense Therapeutics Warrant
NRSNW
$3.71M
$19K ﹤0.01%
81,900
+4,800
+6% +$1.24K
NXTS
165
Nexentis Technologies
NXTS
$3.07M
$19K ﹤0.01%
+6
New +$35K
MGAM
166
DELISTED
Mobile Global Esports Inc. Common Stock
MGAM
$19K ﹤0.01%
+10,000
New +$38K
STXS icon
167
Stereotaxis
STXS
$139M
$18K ﹤0.01%
+10,000
New +$21.4K
TLSA icon
168
Tiziana Life Sciences
TLSA
$126M
$17K ﹤0.01%
22,000
– –
PAVMZ
169
DELISTED
PAVmed Inc. Series Z Warrant
PAVMZ
$17K ﹤0.01%
38,000
-128,315
-77% -$87.2K
BACK
170
DELISTED
IMAC Holdings, Inc. Common Stock
BACK
$17K ﹤0.01%
+1,500
New +$31.9K
GOEVW
171
DELISTED
Canoo Inc. Warrant
GOEVW
$17K ﹤0.01%
42,000
-7,588
-15% -$4.64K
CMRAW
172
DELISTED
Comera Life Sciences Holdings, Inc. Warrant expiring 5/19/2027
CMRAW
$17K ﹤0.01%
305,440
+103,440
+51% +$10.2K
PGYWW
173
Pagaya Technologies Ltd Warrants
PGYWW
$1.43M
$16K ﹤0.01%
+83,731
New +$40.6K
DRCTW
174
DELISTED
Direct Digital Holdings, Inc. Warrant
DRCTW
$16K ﹤0.01%
60,329
+16,213
+37% +$4.05K
PALI icon
175
Palisade Bio
PALI
$346M
$15K ﹤0.01%
+200
New +$42.3K
5 6
7
8 9

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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 Q3 2022 Portfolio in Review

As of Q3 2022, Warberg Asset Management held 346 positions worth $578M, up 27% from $455M the previous quarter. Its ten largest holdings account for 64% of the portfolio.

Warberg Asset Management withdrew a net $32M in Q3 2022, closing 52 positions and reducing 42 holdings. Its most notable exit was Stanley Black & Decker, Inc., an estimated $1.11M position sold in full.

By sector, the portfolio is most concentrated in Financials at 1.5% of assets, up from 0.95% a quarter earlier, followed by Technology and Consumer Discretionary.

Against the trend, Warberg Asset Management opened a new position in Apple worth $2.21M.

  • Warberg Asset Management's largest Q3 2022 buy was Apple: 16,000 shares worth $2.21M.
  • Warberg Asset Management added most to Invesco QQQ Trust in Q3 2022, an estimated $8.6M increase.
  • Warberg Asset Management's biggest Q3 2022 reduction was South Jersey Industries, Inc. Corporate Units, cutting an estimated $551K.
  • Warberg Asset Management fully exited Stanley Black & Decker, Inc. in Q3 2022, selling an estimated $1.11M.
  • Warberg Asset Management's ten largest holdings make up 64% of its $578M portfolio in Q3 2022.
  • Warberg Asset Management opened 101 new positions and closed 52 in Q3 2022.
  • Warberg Asset Management's portfolio value rose 27% quarter-over-quarter to $578M.

Based on Warberg Asset Management's 13F filing for Q3 2022, filed 7 Nov 2022.