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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
+0.3%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$507M
AUM Growth
-$131M
Cap. Flow
-$367M
Cap. Flow %
-72.27%
Top 10 Hldgs %
67.23%
Holding
329
New
60
Increased
39
Reduced
52
Closed
80

Top Buys

Rank Stock Value
1
ICSH icon
iShares Ultra Short Duration Bond Active ETF
ICSH
+$1.54M
2
APTV.PRA
Aptiv PLC 5.50% Series A Mandatory Convertible Preferred Shares
APTV.PRA
+$1.12M
3
OAKUU
Oak Woods Acquisition Corp Unit
OAKUU
+$663K
4
MAQC
Maquia Capital Acquisition Corporation Class A Common Stock
MAQC
+$595K
5
FLOT icon
iShares Floating Rate Bond ETF
FLOT
+$534K

Top Sells

Rank Stock Value
1
SJIV
South Jersey Industries, Inc. Corporate Units
SJIV
+$10.7M
2
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$4.92M
3
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$3.75M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$1.62M
5
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$1.62M

Sector Composition

Rank Sector Weight
1 Financials 1.37%
2 Technology 0.4%
3 Industrials 0.23%
4 Consumer Discretionary 0.22%
5 Real Estate 0.18%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ASPI icon
151
ASP Isotopes
ASPI
$540M
$12.5K ﹤0.01%
14,848
– –
TTOO
152
DELISTED
T2 Biosystems, Inc
TTOO
$11.9K ﹤0.01%
+260
New +$28.4K
IVDAW icon
153
Iveda Solutions Warrant
IVDAW
$43.3K
$11.6K ﹤0.01%
29,513
-6,773
-19% -$2.52K
WLDSW icon
154
Wearable Devices Ltd Warrant
WLDSW
$135K
$11K ﹤0.01%
133
– –
KLR.WS
155
DELISTED
Kaleyra, Inc. Warrants, each whole Warrant exercisable for one share of Common Stock at an exercise price of $40.25 per share
KLR.WS
$10.6K ﹤0.01%
83,899
-2,417
-3% -$316
PGYWW
156
Pagaya Technologies Ltd Warrants
PGYWW
$1.52M
$10.5K ﹤0.01%
128,138
+3,907
+3% +$374
NCPLW icon
157
Netcapital Inc Warrants
NCPLW
$11.8K
$10.5K ﹤0.01%
105,000
– –
AIMDW icon
158
Ainos Warrants
AIMDW
$84.9K
$9.61K ﹤0.01%
30,595
-4,100
-12% -$1.33K
EDBLW
159
Edible Garden AG Warrant
EDBLW
$115K
$9.43K ﹤0.01%
52,661
-51,200
-49% -$8.11K
PBLA
160
DELISTED
Panbela Therapeutics, Inc. Common Stock
PBLA
$8.8K ﹤0.01%
+33
New +$32K
KTTAW icon
161
Pasithea Therapeutics Warrants
KTTAW
$24.1K
$8.7K ﹤0.01%
289,968
– –
VSSYW
162
DELISTED
Versus Systems Inc Class A Warrants
VSSYW
$8.32K ﹤0.01%
223,352
-219,892
-50% -$9.59K
DTSTW
163
DELISTED
Data Storage Corp Warrant
DTSTW
$8.1K ﹤0.01%
73,624
-31,688
-30% -$5K
BBLG
164
Bone Biologics
BBLG
$1.71M
$7.75K ﹤0.01%
21
– –
ENCPW
165
DELISTED
Energem Corp Warrant
ENCPW
$7.42K ﹤0.01%
90,000
– –
BIAFW icon
166
bioAffinity Technologies
BIAFW
$112K
$7.39K ﹤0.01%
24,626
+5,200
+27% +$1.94K
APTO
167
DELISTED
Aptose Biosciences, Inc.
APTO
$7.36K ﹤0.01%
26
– –
NAVB
168
DELISTED
Navidea Biopharmaceuticals Inc.
NAVB
$7.29K ﹤0.01%
28,026
-133,224
-83% -$38.9K
HCDIZ
169
DELISTED
Harbor Custom Development, Inc. Warrant
HCDIZ
$7.29K ﹤0.01%
165,000
– –
IFIN.WS
170
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
$7.18K ﹤0.01%
90,100
– –
AFRIW icon
171
Forafric Global PLC Warrants
AFRIW
$11M
$7.03K ﹤0.01%
10,500
– –
CHAI
172
Core AI Holdings Inc
CHAI
$8.18M
– –
0
– –
RNAZ icon
173
TransCode Therapeutics
RNAZ
$4.71M
– –
0
– –
DRTSW icon
174
Alpha Tau Medical Warrant
DRTSW
$77.3M
$6.64K ﹤0.01%
22,900
– –
KACLW
175
DELISTED
Kairous Acquisition Corp. Limited Warrants
KACLW
$6.45K ﹤0.01%
80,677
– –
5 6
7
8 9

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Warberg Asset Management's Q1 2023 Portfolio in Review

As of Q1 2023, Warberg Asset Management held 329 positions worth $507M, down 21% from $638M the previous quarter. Its ten largest holdings account for 67% of the portfolio.

Warberg Asset Management withdrew a net $367M in Q1 2023, closing 80 positions and reducing 52 holdings. Its most notable exit was South Jersey Industries, Inc. Corporate Units, an estimated $10.7M position sold in full.

By sector, the portfolio is most concentrated in Financials at 1.4% of assets, up from 1.2% a quarter earlier, followed by Technology and Industrials.

Against the trend, Warberg Asset Management opened a new position in iShares Ultra Short Duration Bond Active ETF worth $1.54M.

  • Warberg Asset Management's largest Q1 2023 buy was iShares Ultra Short Duration Bond Active ETF: 30,744 shares worth $1.54M.
  • Warberg Asset Management added most to Expand Energy Corp Class A Warrants in Q1 2023, an estimated $481K increase.
  • Warberg Asset Management's biggest Q1 2023 reduction was Occidental Petroleum Corp Warrants, cutting an estimated $3.75M.
  • Warberg Asset Management fully exited South Jersey Industries, Inc. Corporate Units in Q1 2023, selling an estimated $10.7M.
  • Warberg Asset Management's ten largest holdings make up 67% of its $507M portfolio in Q1 2023.
  • Warberg Asset Management opened 60 new positions and closed 80 in Q1 2023.
  • Warberg Asset Management's portfolio value fell 21% quarter-over-quarter to $507M.

Based on Warberg Asset Management's 13F filing for Q1 2023, filed 15 May 2023.