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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
+1.31%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$540M
AUM Growth
-$77.1M
Cap. Flow
-$263M
Cap. Flow %
-48.78%
Top 10 Hldgs %
59.86%
Holding
253
New
57
Increased
12
Reduced
52
Closed
53

Top Buys

Rank Stock Value
1
AVTR.PRA
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
+$15.3M
2
DHR.PRA
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
+$15.2M
3
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$3.64M
4
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$3.52M
5
AVGOP
Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A
AVGOP
+$2.58M

Top Sells

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$1.93M
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

Rank Sector Weight
1 Financials 0.5%
2 Consumer Discretionary 0.21%
3 Healthcare 0.2%
4 Technology 0.16%
5 Real Estate 0.06%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NBSTW
176
DELISTED
Newbury Street Acquisition Corporation Warrants
NBSTW
– –
-10,000
Closed -$5K
AGRIW
177
DELISTED
AgriFORCE Growing Systems Ltd Warrant
AGRIW
– –
-57,461
Closed -$32K
VERBW
178
DELISTED
Verb Technology Company, Inc. Warrant
VERBW
– –
-55,157
Closed -$38K
COMSW
179
DELISTED
COMSovereign Holding Corp. Warrants
COMSW
– –
-16,660
Closed -$7K
HCDIW
180
DELISTED
Harbor Custom Development, Inc. Warrant
HCDIW
– –
-96,000
Closed -$54K
MDGSW
181
DELISTED
Medigus Ltd. Series C Warrant
MDGSW
– –
-18,450
Closed -$9K
DMS.WS
182
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
183
DELISTED
Seachange International Inc
SEAC
– –
-770
Closed -$16K
FPAC
184
DELISTED
Far Peak Acquisition Corporation
FPAC
– –
-19,900
Closed -$198K
NEE.PRP
185
DELISTED
NextEra Energy, Inc. 5.279% Corporate Units
NEE.PRP
– –
-30,000
Closed -$1.53M
PRBM.U
186
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
187
DELISTED
Global Consumer Acquisition Corp. Warrant
GACQW
– –
-10,000
Closed -$5K
QNGY
188
DELISTED
Quanergy Systems, Inc.
QNGY
– –
-995
Closed -$198K
PIPP
189
DELISTED
Pine Island Acquisition Corp.
PIPP
– –
-15,000
Closed -$146K
ALFIW
190
DELISTED
ALFI Inc Warrant
ALFIW
– –
-20,017
Closed -$75K
IEAWW
191
DELISTED
Infrastructure and Energy Alternatives, Inc. Warrant
IEAWW
– –
-1,278,607
Closed -$1.51M
MUDS
192
PUT
DELISTED
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
– –
-20,000
Closed -$199K
MILEW
193
DELISTED
Metromile, Inc. Warrant
MILEW
– –
-20,000
Closed -$17K
ZNTE
194
DELISTED
Zanite Acquisition Corp. Class A Common Stock
ZNTE
– –
-10,600
Closed -$107K
BTRSW
195
DELISTED
BTRS Holdings Inc. Warrants
BTRSW
– –
-32,400
Closed -$85K
ASTRW
196
DELISTED
Astra Space, Inc. Warrant
ASTRW
– –
-104,873
Closed -$249K
TWNKW
197
DELISTED
Hostess Brands, Inc. Warrants
TWNKW
– –
-49,603
Closed -$148K
LEGOW
198
DELISTED
Legato Merger Corp. Warrant
LEGOW
– –
-15,000
Closed -$38K
HHGCU
199
DELISTED
HHG Capital Corporation Units
HHGCU
– –
-10,092
Closed -$103K
GSDWU
200
DELISTED
Global Systems Dynamics, Inc. Unit
GSDWU
– –
-11,329
Closed -$115K
4 5 6 7
8

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Warberg Asset Management's Q4 2021 Portfolio in Review

As of Q4 2021, Warberg Asset Management held 253 positions worth $540M, down 13% from $617M the previous quarter. Its ten largest holdings account for 60% of the portfolio.

Warberg Asset Management withdrew a net $263M in Q4 2021, closing 53 positions and reducing 52 holdings. Its most notable exit was Invesco QQQ Trust, an estimated $1.93M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.5% of assets, down from 0.58% a quarter earlier, followed by Consumer Discretionary and Healthcare.

Against the trend, Warberg Asset Management opened a new position in Avantor, Inc. Series A Mandatory Convertible Preferred Stock worth $16.3M.

  • Warberg Asset Management's largest Q4 2021 buy was Avantor, Inc. Series A Mandatory Convertible Preferred Stock: 126,255 shares worth $16.3M.
  • Warberg Asset Management added most to Expand Energy Corp Class A Warrants in Q4 2021, an estimated $3.52M increase.
  • Warberg Asset Management's biggest Q4 2021 reduction was Mudrick Capital Acquisition Corporation II Class A Common Stock, cutting an estimated $1.39M.
  • Warberg Asset Management fully exited Invesco QQQ Trust in Q4 2021, selling an estimated $1.93M.
  • Warberg Asset Management's ten largest holdings make up 60% of its $540M portfolio in Q4 2021.
  • Warberg Asset Management opened 57 new positions and closed 53 in Q4 2021.
  • Warberg Asset Management's portfolio value fell 13% quarter-over-quarter to $540M.

Based on Warberg Asset Management's 13F filing for Q4 2021, filed 14 Feb 2022.