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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
-1.72%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$455M
AUM Growth
-$194M
Cap. Flow
-$241M
Cap. Flow %
-52.97%
Top 10 Hldgs %
59.59%
Holding
296
New
69
Increased
53
Reduced
33
Closed
45

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$6.55M
2
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$6.29M
3
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$6.04M
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$2.45M
5
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$2.27M

Top Sells

Rank Stock Value
1
DHR.PRA
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
+$26.2M
2
AVTR.PRA
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
+$13.4M
3
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$1.85M
4
SABRP
Sabre Corporation 6.50% Series A Mandatory Convertible Preferred Stock
SABRP
+$763K
5
RCA
Ready Capital Corporation 7.00% Convertible Senior Notes due 2023
RCA
+$743K

Sector Composition

Rank Sector Weight
1 Financials 0.95%
2 Real Estate 0.3%
3 Utilities 0.29%
4 Healthcare 0.2%
5 Technology 0.19%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BNIXW
176
DELISTED
Bannix Acquisition Corp. Warrant
BNIXW
$7K ﹤0.01%
85,700
+42,500
+98% +$7.48K
CNGLW
177
DELISTED
Canna-Global Acquisition Corp Warrant
CNGLW
$7K ﹤0.01%
90,100
+45,000
+100% +$4.92K
FXCOW
178
DELISTED
Financial Strategies Acquisition Corp. Warrants
FXCOW
$7K ﹤0.01%
80,000
+40,000
+100% +$5.56K
MDGSW
179
DELISTED
Medigus Ltd. Series C Warrant
MDGSW
$7K ﹤0.01%
28,450
– –
FATPW
180
DELISTED
Fat Projects Acquisition Corp Warrant
FATPW
$7K ﹤0.01%
85,000
+42,500
+100% +$6.15K
ADTX
181
DELISTED
ADITXT INC
ADTX
– –
0
– –
AOGOW
182
DELISTED
Arogo Capital Acquisition Corp. Warrant
AOGOW
$6K ﹤0.01%
90,000
+45,000
+100% +$5.4K
SMFL
183
DELISTED
Smart for Life, Inc. Common Stock
SMFL
$6K ﹤0.01%
4
– –
AUUDW
184
DELISTED
Auddia Inc Warrants
AUUDW
$5K ﹤0.01%
12,768
– –
WKSPW
185
DELISTED
Worksport, Ltd. Warrant
WKSPW
$5K ﹤0.01%
19,842
-8,139
-29% -$3.66K
SHAP.WS
186
DELISTED
Spree Acquisition Corp. 1 Limited Redeemable warrants, each warrant exercisable for one Class A ordinary share at an exercise price of $11.50
SHAP.WS
$5K ﹤0.01%
47,154
+20,076
+74% +$3.61K
IFIN.WS
187
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
$5K ﹤0.01%
90,100
+45,000
+100% +$5.72K
QTEXW
188
DELISTED
QTREX Quantum Warrant
QTEXW
$4K ﹤0.01%
19,600
– –
IVDAW icon
189
Iveda Solutions Warrant
IVDAW
$60.6K
$4K ﹤0.01%
+12,556
New +$5.68K
RBOT.WS
190
DELISTED
Vicarious Surgical Inc Warrants
RBOT.WS
$4K ﹤0.01%
12,000
– –
SPIR.WS
191
DELISTED
Spire Global, Inc. Warrants, each whole warrant exercisable for one share of Class A Common Stock at an exercise price of $11.50 per whole share
SPIR.WS
$4K ﹤0.01%
28,867
– –
NXGLW icon
192
NexGel Inc Warrant
NXGLW
$3K ﹤0.01%
11,000
– –
ALSAW
193
DELISTED
Alpha Star Acquisition Corp Warrants
ALSAW
$3K ﹤0.01%
80,000
+40,000
+100% +$2.09K
GROMW
194
DELISTED
Grom Social Enterprises Inc. Warrants
GROMW
$3K ﹤0.01%
884
– –
CLVRW
195
DELISTED
Clever Leaves Holdings Inc. Warrant
CLVRW
$3K ﹤0.01%
25,000
– –
SQLLW
196
DELISTED
SeqLL Inc. Warrant
SQLLW
$3K ﹤0.01%
22,795
– –
LIXTW
197
DELISTED
Lixte Biotechnology Warrants
LIXTW
$2K ﹤0.01%
12,000
-21,203
-64% -$4.28K
NLSPW
198
DELISTED
NLS Pharmaceutics Warrant
NLSPW
$2K ﹤0.01%
12,881
-10
-0.1% -$2
AIMAW
199
DELISTED
Aimfinity Investment Corp I Warrant
AIMAW
$2K ﹤0.01%
+19,400
New +$1.61K
DBGIW
200
DELISTED
Digital Brands Group, Inc. Warrant
DBGIW
$2K ﹤0.01%
110
-366
-77% -$9.57K
6 7
8
9 10

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NPCM
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Warberg Asset Management's Q2 2022 Portfolio in Review

As of Q2 2022, Warberg Asset Management held 296 positions worth $455M, down 30% from $649M the previous quarter. Its ten largest holdings account for 60% of the portfolio.

Warberg Asset Management withdrew a net $241M in Q2 2022, closing 45 positions and reducing 33 holdings. Its most notable exit was Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A, an estimated $26.2M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.95% of assets, up from 0.47% a quarter earlier, followed by Real Estate and Utilities.

Against the trend, Warberg Asset Management opened a new position in State Street SPDR S&P 500 ETF Trust worth $6.04M.

  • Warberg Asset Management's largest Q2 2022 buy was State Street SPDR S&P 500 ETF Trust: 16,000 shares worth $6.04M.
  • Warberg Asset Management added most to Occidental Petroleum Corp Warrants in Q2 2022, an estimated $6.29M increase.
  • Warberg Asset Management's biggest Q2 2022 reduction was The Southern Company, cutting an estimated $555K.
  • Warberg Asset Management fully exited Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A in Q2 2022, selling an estimated $26.2M.
  • Warberg Asset Management's ten largest holdings make up 60% of its $455M portfolio in Q2 2022.
  • Warberg Asset Management opened 69 new positions and closed 45 in Q2 2022.
  • Warberg Asset Management's portfolio value fell 30% quarter-over-quarter to $455M.

Based on Warberg Asset Management's 13F filing for Q2 2022, filed 11 Aug 2022.