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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
+18.18%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$649M
AUM Growth
+$110M
Cap. Flow
-$127M
Cap. Flow %
-19.49%
Top 10 Hldgs %
64.55%
Holding
273
New
75
Increased
52
Reduced
26
Closed
44

Top Buys

Rank Stock Value
1
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$19M
2
DHR.PRA
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
+$11.6M
3
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$7.15M
4
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$5.78M
5
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$2.53M

Top Sells

Rank Stock Value
1
WTRU
Essential Utilities, Inc.6.00% Tangible Equity Units
WTRU
+$2.62M
2
AVGOP
Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A
AVGOP
+$2.49M
3
NEE.PRO
NextEra Energy, Inc. 4.872% Corporate Units
NEE.PRO
+$2.03M
4
SABRP
Sabre Corporation 6.50% Series A Mandatory Convertible Preferred Stock
SABRP
+$912K
5
IIVI
Coherent Corp. 6.00% Series A Mandatory Convertible Preferred Stock
IIVI
+$640K

Sector Composition

Rank Sector Weight
1 Financials 0.47%
2 Consumer Discretionary 0.36%
3 Real Estate 0.19%
4 Utilities 0.19%
5 Healthcare 0.18%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NXGLW icon
176
NexGel Inc Warrant
NXGLW
$31.4K
$4K ﹤0.01%
+11,000
New +$5.6K
TBLT
177
DELISTED
ToughBuilt Industries, Inc. Common Stock
TBLT
$4K ﹤0.01%
+2
New +$4.64K
ALSAW
178
DELISTED
Alpha Star Acquisition Corp Warrants
ALSAW
$3K ﹤0.01%
+40,000
New +$3.94K
AHT
179
CALL
Ashford Hospitality Trust
AHT
$21M
– –
-1,000
Closed -$96K
BFRIW icon
180
Biofrontera
BFRIW
$41.6K
– –
-18,487
Closed -$67K
CAR icon
181
PUT
Avis
CAR
$4.9B
– –
-1,100
Closed -$228K
CELUW
182
DELISTED
Celularity Inc
CELUW
– –
-43,603
Closed -$37K
COIN icon
183
PUT
Coinbase
COIN
$39.5B
– –
-2,600
Closed -$656K
F icon
184
PUT
Ford
F
$56.3B
– –
-10,100
Closed -$210K
GAME icon
185
CALL
GameSquare
GAME
$37.1M
– –
-3,750
Closed -$46K
GFAIW icon
186
Guardforce AI Warrant
GFAIW
$93.3K
– –
-61,500
Closed -$31K
HD icon
187
CALL
Home Depot
HD
$352B
– –
-3,700
Closed -$1.54M
HPKEW
188
DELISTED
HighPeak Energy, Inc. Warrant
HPKEW
– –
-17,166
Closed -$89K
IIPR icon
189
PUT
Innovative Industrial Properties
IIPR
$1.7B
– –
-3,400
Closed -$894K
IYR icon
190
PUT
iShares US Real Estate ETF
IYR
$4.67B
– –
-5,100
Closed -$592K
JOB icon
191
GEE Group
JOB
$23.1M
– –
-15,001
Closed -$9K
MRNA icon
192
Moderna
MRNA
$22.5B
– –
-1,501
Closed -$381K
MRNA icon
193
PUT
Moderna
MRNA
$22.5B
– –
-1,600
Closed -$406K
NG icon
194
CALL
NovaGold Resources
NG
$3.02B
– –
-21,000
Closed -$144K
NRSN icon
195
NeuroSense Therapeutics
NRSN
$19.6M
– –
-15,501
Closed -$38K
SPY icon
196
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$819B
– –
-5,100
Closed -$2.42M
NSLR
197
Neostellar Capital Corp
NSLR
$289M
– –
-13,398
Closed -$174K
NSLR
198
PUT
Neostellar Capital Corp
NSLR
$289M
– –
-49,200
Closed -$637K
SYTAW
199
DELISTED
Siyata Mobile Warrant
SYTAW
– –
-42,426
Closed -$34K
TBT icon
200
CALL
ProShares Trust UltraShort Lehman 20+ Year Treasury
TBT
$309M
– –
-65,000
Closed -$1.1M
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 Q1 2022 Portfolio in Review

As of Q1 2022, Warberg Asset Management held 273 positions worth $649M, up 20% from $540M the previous quarter. Its ten largest holdings account for 65% of the portfolio.

Warberg Asset Management withdrew a net $127M in Q1 2022, closing 44 positions and reducing 26 holdings. Its most notable exit was Essential Utilities, Inc.6.00% Tangible Equity Units, an estimated $2.62M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.47% of assets, down from 0.5% a quarter earlier, followed by Consumer Discretionary and Real Estate.

Against the trend, Warberg Asset Management opened a new position in iShares 20+ Year Treasury Bond ETF worth $1.85M.

  • Warberg Asset Management's largest Q1 2022 buy was iShares 20+ Year Treasury Bond ETF: 14,000 shares worth $1.85M.
  • Warberg Asset Management added most to Occidental Petroleum Corp Warrants in Q1 2022, an estimated $19M increase.
  • Warberg Asset Management's biggest Q1 2022 reduction was Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A, cutting an estimated $2.49M.
  • Warberg Asset Management fully exited Essential Utilities, Inc.6.00% Tangible Equity Units in Q1 2022, selling an estimated $2.62M.
  • Warberg Asset Management's ten largest holdings make up 65% of its $649M portfolio in Q1 2022.
  • Warberg Asset Management opened 75 new positions and closed 44 in Q1 2022.
  • Warberg Asset Management's portfolio value rose 20% quarter-over-quarter to $649M.

Based on Warberg Asset Management's 13F filing for Q1 2022, filed 13 May 2022.