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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
+1.57%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$617M
AUM Growth
+$101M
Cap. Flow
-$159M
Cap. Flow %
-25.85%
Top 10 Hldgs %
61.15%
Holding
231
New
51
Increased
29
Reduced
33
Closed
34

Top Buys

Rank Stock Value
1
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$3.67M
2
MUDS
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
+$2.21M
3
QQQ icon
Invesco QQQ Trust
QQQ
+$1.84M
4
PAVMZ
PAVmed Inc. Series Z Warrant
PAVMZ
+$1.82M
5
NEE.PRP
NextEra Energy, Inc. 5.279% Corporate Units
NEE.PRP
+$1.57M

Top Sells

Rank Stock Value
1
TWNKW
Hostess Brands, Inc. Warrants
TWNKW
+$5.03M
2
WSC icon
WillScot Mobile Mini Holdings
WSC
+$2.17M
3
CFXA
Colfax Corporation 5.75% Tangible Equity Units
CFXA
+$1.25M
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$907K
5
POL.WS
Polished.com Inc. Warrants to Purchase Common Stock
POL.WS
+$478K

Sector Composition

Rank Sector Weight
1 Financials 0.58%
2 Consumer Discretionary 0.44%
3 Industrials 0.35%
4 Technology 0.13%
5 Real Estate 0.12%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ACIC
176
DELISTED
Atlas Crest Investment Corp.
ACIC
– –
-15,200
Closed -$151K
CLOVW
177
DELISTED
Clover Health Investments, Corp. Warrants
CLOVW
– –
-35,000
Closed -$179K
4 5 6 7
8

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SCM
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OCAM
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NPCM
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Warberg Asset Management's Q3 2021 Portfolio in Review

As of Q3 2021, Warberg Asset Management held 231 positions worth $617M, up 20% from $516M the previous quarter. Its ten largest holdings account for 61% of the portfolio.

Warberg Asset Management withdrew a net $159M in Q3 2021, closing 34 positions and reducing 33 holdings. Its most notable exit was Colfax Corporation 5.75% Tangible Equity Units, an estimated $1.25M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.58% of assets, down from 0.64% a quarter earlier, followed by Consumer Discretionary and Industrials.

Against the trend, Warberg Asset Management opened a new position in Expand Energy Corp Class A Warrants worth $4.29M.

  • Warberg Asset Management's largest Q3 2021 buy was Expand Energy Corp Class A Warrants: 118,000 shares worth $4.29M.
  • Warberg Asset Management added most to Mudrick Capital Acquisition Corporation II Class A Common Stock in Q3 2021, an estimated $2.21M increase.
  • Warberg Asset Management's biggest Q3 2021 reduction was Hostess Brands, Inc. Warrants, cutting an estimated $5.03M.
  • Warberg Asset Management fully exited Colfax Corporation 5.75% Tangible Equity Units in Q3 2021, selling an estimated $1.25M.
  • Warberg Asset Management's ten largest holdings make up 61% of its $617M portfolio in Q3 2021.
  • Warberg Asset Management opened 51 new positions and closed 34 in Q3 2021.
  • Warberg Asset Management's portfolio value rose 20% quarter-over-quarter to $617M.

Based on Warberg Asset Management's 13F filing for Q3 2021, filed 15 Nov 2021.