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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
+1.52%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$638M
AUM Growth
+$60.1M
Cap. Flow
-$164M
Cap. Flow %
-25.73%
Top 10 Hldgs %
75.41%
Holding
356
New
64
Increased
35
Reduced
46
Closed
83

Top Buys

Rank Stock Value
1
SJIV
South Jersey Industries, Inc. Corporate Units
SJIV
+$9.41M
2
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$1.65M
3
HTZWW
Hertz Global Holdings Warrants
HTZWW
+$724K
4
ELAT
Elanco Animal Health Incorporated 5.00% Tangible Equity Units
ELAT
+$712K
5
PXSAP
Pyxis Tankers Inc. 7.75% Series A Cumulative Convertible Preferred Shares
PXSAP
+$691K

Top Sells

Rank Stock Value
1
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$34.5M
2
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$24.2M
3
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$18.5M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$8.3M
5
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$8.07M

Sector Composition

Rank Sector Weight
1 Financials 1.2%
2 Technology 0.39%
3 Real Estate 0.28%
4 Healthcare 0.22%
5 Industrials 0.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CMRAW
151
DELISTED
Comera Life Sciences Holdings, Inc. Warrant expiring 5/19/2027
CMRAW
$14.6K ﹤0.01%
305,440
– –
NRSNW icon
152
NeuroSense Therapeutics Warrant
NRSNW
$3.71M
$14.4K ﹤0.01%
79,668
-2,232
-3% -$563
ATHX
153
DELISTED
Athersys, Inc. Common Stock
ATHX
$14.1K ﹤0.01%
+16,780
New +$20.9K
MOBBW
154
Mobilicom Ltd Warrants
MOBBW
$1.91B
$14K ﹤0.01%
127,366
+500
+0.4% +$106
AP.WS
155
DELISTED
Ampco-Pittsburgh Corp Series A Warrants
AP.WS
$13.3K ﹤0.01%
84,200
– –
VSSYW
156
DELISTED
Versus Systems Inc Class A Warrants
VSSYW
$12.7K ﹤0.01%
+443,244
New +$14.1K
ARQQW icon
157
Arqit Quantum Warrants
ARQQW
$186K
$12.4K ﹤0.01%
24,355
-237
-1% -$218
PGYWW
158
Pagaya Technologies Ltd Warrants
PGYWW
$1.45M
$11.8K ﹤0.01%
124,231
+40,500
+48% +$5.3K
WLDSW icon
159
Wearable Devices Ltd Warrant
WLDSW
$11.6K ﹤0.01%
133
– –
HCDIZ
160
DELISTED
Harbor Custom Development, Inc. Warrant
HCDIZ
$11.5K ﹤0.01%
165,000
– –
BTBDW icon
161
BT Brands Warrant
BTBDW
$143K
$11.2K ﹤0.01%
74,786
+10,069
+16% +$2K
TCBPW
162
DELISTED
TC BioPharm (Holdings) plc Warrants
TCBPW
$10.9K ﹤0.01%
86,667
– –
LVO icon
163
LiveOne
LVO
$60.9M
$10.9K ﹤0.01%
1,698
-1,302
-43% -$8.9K
GMBL
164
DELISTED
Esports Entertainment Group Inc. Common Stock
GMBL
$10.7K ﹤0.01%
3
-6
-67% -$28K
VRPX
165
DELISTED
Virpax Pharmaceuticals, Inc. Common Stock
VRPX
$10.6K ﹤0.01%
68
-8
-11% -$1.82K
GOEVW
166
DELISTED
Canoo Inc. Warrant
GOEVW
$9.66K ﹤0.01%
42,000
– –
KTTAW icon
167
Pasithea Therapeutics Warrants
KTTAW
$25.5K
$9.55K ﹤0.01%
289,968
-20,915
-7% -$1.22K
MDNA
168
DELISTED
Medicenna Therapeutics Corp. Common Shares
MDNA
$9.16K ﹤0.01%
20,000
-9,500
-32% -$5.8K
AUROW
169
Aurora Innovation Warrant
AUROW
$370M
$9.11K ﹤0.01%
+70,109
New +$19.9K
AIMDW icon
170
Ainos Warrants
AIMDW
$8.67K ﹤0.01%
34,695
-805
-2% -$358
LUCYW icon
171
Innovative Eyewear Inc Series A Warrants 8/16/27
LUCYW
$87.4K
$8.38K ﹤0.01%
67,265
+8,770
+15% +$2.82K
BIAFW icon
172
bioAffinity Technologies
BIAFW
$150K
$8.16K ﹤0.01%
19,426
– –
SST.WS
173
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
$8.07K ﹤0.01%
17,400
-6,700
-28% -$5.03K
PTIX
174
DELISTED
Performance Technologies
PTIX
$8K ﹤0.01%
+357
New +$10.8K
AMST icon
175
Amesite
AMST
$6.94M
$7.76K ﹤0.01%
3,696
-31,125
-89% -$91.2K
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 Q4 2022 Portfolio in Review

As of Q4 2022, Warberg Asset Management held 356 positions worth $638M, up 10% from $578M the previous quarter. Its ten largest holdings account for 75% of the portfolio.

Warberg Asset Management withdrew a net $164M in Q4 2022, closing 83 positions and reducing 46 holdings. Its most notable exit was Expand Energy Corp Class B Warrants, an estimated $18.5M position sold in full.

By sector, the portfolio is most concentrated in Financials at 1.2% of assets, down from 1.5% a quarter earlier, followed by Technology and Real Estate.

Against the trend, Warberg Asset Management opened a new position in Janus Henderson Short Duration Income ETF worth $1.62M.

  • Warberg Asset Management's largest Q4 2022 buy was Janus Henderson Short Duration Income ETF: 34,175 shares worth $1.62M.
  • Warberg Asset Management added most to South Jersey Industries, Inc. Corporate Units in Q4 2022, an estimated $9.41M increase.
  • Warberg Asset Management's biggest Q4 2022 reduction was Expand Energy Corp Class A Warrants, cutting an estimated $34.5M.
  • Warberg Asset Management fully exited Expand Energy Corp Class B Warrants in Q4 2022, selling an estimated $18.5M.
  • Warberg Asset Management's ten largest holdings make up 75% of its $638M portfolio in Q4 2022.
  • Warberg Asset Management opened 64 new positions and closed 83 in Q4 2022.
  • Warberg Asset Management's portfolio value rose 10% quarter-over-quarter to $638M.

Based on Warberg Asset Management's 13F filing for Q4 2022, filed 13 Feb 2023.