WAM

Warberg Asset Management Portfolio holdings

AUM $408M
This Quarter Return
+0.78%
1 Year Return
+10.11%
3 Year Return
+19.63%
5 Year Return
–
10 Year Return
–
AUM
$332M
AUM Growth
+$332M
Cap. Flow
+$38.9M
Cap. Flow %
11.71%
Top 10 Hldgs %
46.31%
Holding
262
New
46
Increased
9
Reduced
40
Closed
42

Top Buys

1
AVTR.PRA
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
$16.3M
2
DHR.PRA
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
$16M
3
EXEEZ
Expand Energy Corporation Class B Warrants
EXEEZ
$3.82M
4
EXEEW
Expand Energy Corporation Class A Warrants
EXEEW
$3.68M
5
AVGOP
Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A
AVGOP
$3.06M

Top Sells

1
QQQ icon
Invesco QQQ Trust
QQQ
$1.79M
2
WSC icon
WillScot Mobile Mini Holdings
WSC
$1.78M
3
NEE.PRP
NextEra Energy, Inc. 5.279% Corporate Units
NEE.PRP
$1.53M
4
IEAWW
Infrastructure and Energy Alternatives, Inc. Warrant
IEAWW
$1.51M
5
MUDS
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
$1.39M

Sector Composition

1 Financials 0.81%
2 Consumer Discretionary 0.34%
3 Healthcare 0.33%
4 Technology 0.26%
5 Real Estate 0.1%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
DMS.WS
176
DELISTED
Digital Media Solutions, Inc. Warrants, each whole warrant exercisable for one Class A Ordinary Share at an exercise price of $11.50
DMS.WS
– – -262,122 Closed -$199K
SEAC
177
DELISTED
Seachange International Inc
SEAC
– – -15,400 Closed -$16K
FPAC
178
DELISTED
Far Peak Acquisition Corporation
FPAC
– – -19,900 Closed -$198K
NEE.PRP
179
DELISTED
NextEra Energy, Inc. 5.279% Corporate Units
NEE.PRP
– – -30,000 Closed -$1.53M
PRBM.U
180
DELISTED
Parabellum Acquisition Corp. Units, each consisting of one share of Class A common stock and three-quarters of one redeemable warrant
PRBM.U
– – -11,000 Closed -$110K
GACQW
181
DELISTED
Global Consumer Acquisition Corp. Warrant
GACQW
– – -10,000 Closed -$5K
QNGY
182
DELISTED
Quanergy Systems, Inc.
QNGY
– – -19,900 Closed -$198K
PIPP
183
DELISTED
Pine Island Acquisition Corp.
PIPP
– – -15,000 Closed -$146K
ALFIW
184
DELISTED
ALFI, Inc. Warrant
ALFIW
– – -20,017 Closed -$75K
IEAWW
185
DELISTED
Infrastructure and Energy Alternatives, Inc. Warrant
IEAWW
– – -1,278,607 Closed -$1.51M
MILEW
186
DELISTED
Metromile, Inc. Warrant
MILEW
– – -20,000 Closed -$17K
ZNTE
187
DELISTED
Zanite Acquisition Corp. Class A Common Stock
ZNTE
– – -10,600 Closed -$107K
BTRSW
188
DELISTED
BTRS Holdings Inc. Warrants
BTRSW
– – -32,400 Closed -$85K
ASTRW
189
DELISTED
Astra Space, Inc. Warrant
ASTRW
– – -104,873 Closed -$249K
TWNKW
190
DELISTED
Hostess Brands, Inc. Warrants
TWNKW
– – -49,603 Closed -$148K
LEGOW
191
DELISTED
Legato Merger Corp. Warrant
LEGOW
– – -15,000 Closed -$38K
HHGCU
192
DELISTED
HHG Capital Corporation Units
HHGCU
– – -10,092 Closed -$103K
GSDWU
193
DELISTED
Global Systems Dynamics, Inc. Unit
GSDWU
– – -11,329 Closed -$115K
4 5 6 7
8