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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
+7.08%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$578M
AUM Growth
+$123M
Cap. Flow
-$32M
Cap. Flow %
-5.54%
Top 10 Hldgs %
63.86%
Holding
346
New
101
Increased
44
Reduced
42
Closed
52

Top Buys

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$8.6M
2
HTZWW
Hertz Global Holdings Warrants
HTZWW
+$4.23M
3
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$3.22M
4
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$2.96M
5
AAPL icon
Apple
AAPL
+$2.51M

Top Sells

Rank Stock Value
1
SWT
Stanley Black & Decker, Inc.
SWT
+$1.11M
2
PSTH
Pershing Square Tontine Holdings, Ltd.
PSTH
+$782K
3
SO icon
Southern Company
SO
+$713K
4
SOLN
The Southern Company
SOLN
+$604K
5
SJIV
South Jersey Industries, Inc. Corporate Units
SJIV
+$551K

Sector Composition

Rank Sector Weight
1 Financials 1.47%
2 Technology 0.65%
3 Consumer Discretionary 0.24%
4 Real Estate 0.22%
5 Healthcare 0.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NXXT
176
NextNRG Inc
NXXT
$48.3M
$15K ﹤0.01%
1,250
– –
SKYAW
177
SkyAI Inc
SKYAW
$263K
$14K ﹤0.01%
38,847
– –
AGRIW
178
DELISTED
AgriFORCE Growing Systems Ltd Warrant
AGRIW
$14K ﹤0.01%
60,401
-4,600
-7% -$1.37K
BBLGW
179
Bone Biologics Corp Warrants
BBLGW
$26.2M
$13K ﹤0.01%
3,315
-337
-9% -$1.86K
EDBL
180
Edible Garden
EDBL
$1.2M
– –
0
– –
IKT icon
181
Inhibikase Therapeutics
IKT
$386M
$13K ﹤0.01%
2,416
– –
IONM
182
DELISTED
Assure Holdings Corp. Common Stock
IONM
$13K ﹤0.01%
+56
New +$23.1K
APCX
183
DELISTED
AppTech Payments
APCX
$12K ﹤0.01%
16,954
– –
AYTU icon
184
AYTU BioPharma
AYTU
$23.8M
$12K ﹤0.01%
+3,250
New +$24.7K
PTIXW
185
DELISTED
Protagenic Therapeutics Warrant
PTIXW
$12K ﹤0.01%
285,497
-42,726
-13% -$3.32K
TRKAW
186
DELISTED
Troika Media Group, Inc. Warrant
TRKAW
$12K ﹤0.01%
169,464
-39,453
-19% -$4.24K
AREBW
187
DELISTED
American Rebel Holdings Warrants
AREBW
$11K ﹤0.01%
1,901
+114
+6% +$1.22K
BTBDW icon
188
BT Brands Warrant
BTBDW
$143K
$11K ﹤0.01%
64,717
+35,917
+125% +$11.5K
DRTSW icon
189
Alpha Tau Medical Warrant
DRTSW
$76.1M
$11K ﹤0.01%
24,200
+4,200
+21% +$2.48K
EZRAW
190
DELISTED
Reliance Global Series A Warrants
EZRAW
$11K ﹤0.01%
41,519
-18,074
-30% -$5.15K
TCBPW
191
DELISTED
TC BioPharm (Holdings) plc Warrants
TCBPW
$11K ﹤0.01%
86,667
– –
BOXD.WS
192
DELISTED
Boxed, Inc. Warrants, each whole warrant exercisable to purchase one share of Common Stock at an exercise price of $11.50 per share
BOXD.WS
$11K ﹤0.01%
117,100
+38,600
+49% +$6.38K
EDBLW
193
Edible Garden AG Warrant
EDBLW
$105K
$10K ﹤0.01%
103,861
– –
VRMEW
194
DELISTED
VerifyMe, Inc. Warrant
VRMEW
$10K ﹤0.01%
38,642
-11,916
-24% -$5.68K
ALLG.WS
195
DELISTED
Allego N.V. Warrants
ALLG.WS
$10K ﹤0.01%
22,500
– –
ATNX
196
DELISTED
Athenex, Inc. Common Stock
ATNX
$10K ﹤0.01%
+1,775
New +$18.2K
DRMAW icon
197
Dermata Therapeutics Warrant
DRMAW
$19.7K
$9K ﹤0.01%
99,800
-200
-0.2% -$20
ENCPW
198
DELISTED
Energem Corp Warrant
ENCPW
$9K ﹤0.01%
90,000
– –
IFIN.WS
199
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
$9K ﹤0.01%
90,100
– –
KLR.WS
200
DELISTED
Kaleyra, Inc. Warrants, each whole Warrant exercisable for one share of Common Stock at an exercise price of $40.25 per share
KLR.WS
$9K ﹤0.01%
90,116
-57,141
-39% -$13K
6 7
8
9 10

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Warberg Asset Management's Q3 2022 Portfolio in Review

As of Q3 2022, Warberg Asset Management held 346 positions worth $578M, up 27% from $455M the previous quarter. Its ten largest holdings account for 64% of the portfolio.

Warberg Asset Management withdrew a net $32M in Q3 2022, closing 52 positions and reducing 42 holdings. Its most notable exit was Stanley Black & Decker, Inc., an estimated $1.11M position sold in full.

By sector, the portfolio is most concentrated in Financials at 1.5% of assets, up from 0.95% a quarter earlier, followed by Technology and Consumer Discretionary.

Against the trend, Warberg Asset Management opened a new position in Apple worth $2.21M.

  • Warberg Asset Management's largest Q3 2022 buy was Apple: 16,000 shares worth $2.21M.
  • Warberg Asset Management added most to Invesco QQQ Trust in Q3 2022, an estimated $8.6M increase.
  • Warberg Asset Management's biggest Q3 2022 reduction was South Jersey Industries, Inc. Corporate Units, cutting an estimated $551K.
  • Warberg Asset Management fully exited Stanley Black & Decker, Inc. in Q3 2022, selling an estimated $1.11M.
  • Warberg Asset Management's ten largest holdings make up 64% of its $578M portfolio in Q3 2022.
  • Warberg Asset Management opened 101 new positions and closed 52 in Q3 2022.
  • Warberg Asset Management's portfolio value rose 27% quarter-over-quarter to $578M.

Based on Warberg Asset Management's 13F filing for Q3 2022, filed 7 Nov 2022.