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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
+1.52%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$638M
AUM Growth
+$60.1M
Cap. Flow
-$164M
Cap. Flow %
-25.73%
Top 10 Hldgs %
75.41%
Holding
356
New
64
Increased
35
Reduced
46
Closed
83

Top Buys

Rank Stock Value
1
SJIV
South Jersey Industries, Inc. Corporate Units
SJIV
+$9.41M
2
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$1.65M
3
HTZWW
Hertz Global Holdings Warrants
HTZWW
+$724K
4
ELAT
Elanco Animal Health Incorporated 5.00% Tangible Equity Units
ELAT
+$712K
5
PXSAP
Pyxis Tankers Inc. 7.75% Series A Cumulative Convertible Preferred Shares
PXSAP
+$691K

Top Sells

Rank Stock Value
1
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$34.5M
2
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$24.2M
3
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$18.5M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$8.3M
5
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$8.07M

Sector Composition

Rank Sector Weight
1 Financials 1.2%
2 Technology 0.39%
3 Real Estate 0.28%
4 Healthcare 0.22%
5 Industrials 0.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NMAD
176
Nomad Power Solutions
NMAD
$78.6M
$7.36K ﹤0.01%
1,450
– –
PTIXW
177
DELISTED
Protagenic Therapeutics Warrant
PTIXW
$7.26K ﹤0.01%
177,196
-108,301
-38% -$3.98K
IFIN.WS
178
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
$7.21K ﹤0.01%
90,100
– –
AFRIW icon
179
Forafric Global PLC Warrants
AFRIW
$9.66M
$7.14K ﹤0.01%
10,500
– –
ENCPW
180
DELISTED
Energem Corp Warrant
ENCPW
$7.11K ﹤0.01%
90,000
– –
APTO
181
DELISTED
Aptose Biosciences, Inc.
APTO
$6.67K ﹤0.01%
26
– –
KACLW
182
DELISTED
Kairous Acquisition Corp. Limited Warrants
KACLW
$6.66K ﹤0.01%
80,677
-5,990
-7% -$302
BBLG
183
Bone Biologics
BBLG
$1.63M
$6.29K ﹤0.01%
+21
New +$11.8K
DRTSW icon
184
Alpha Tau Medical Warrant
DRTSW
$60.4M
$5.73K ﹤0.01%
22,900
-1,300
-5% -$398
AGRIW
185
DELISTED
AgriFORCE Growing Systems Ltd Warrant
AGRIW
$5.5K ﹤0.01%
60,401
– –
TRKA
186
DELISTED
Troika Media Group, Inc. Common Stock
TRKA
$5.23K ﹤0.01%
+1,800
New +$9.91K
IONM
187
DELISTED
Assure Holdings Corp. Common Stock
IONM
$5.21K ﹤0.01%
56
– –
AOGOW
188
DELISTED
Arogo Capital Acquisition Corp. Warrant
AOGOW
$5.17K ﹤0.01%
90,000
– –
AWH
189
DELISTED
Aspira Women's Health Inc. Common Stock
AWH
$5.1K ﹤0.01%
1,000
– –
SKYAW
190
SkyAI Inc
SKYAW
$263K
$5.05K ﹤0.01%
38,847
– –
AREBW
191
DELISTED
American Rebel Holdings Warrants
AREBW
$4.52K ﹤0.01%
1,309
-592
-31% -$3.17K
QTEXW
192
DELISTED
QTREX Quantum Warrant
QTEXW
$4.45K ﹤0.01%
24,000
-1,000
-4% -$256
ACONW icon
193
Aclarion Warrant
ACONW
$65.6K
$4.44K ﹤0.01%
28,647
– –
IVDAW icon
194
Iveda Solutions Warrant
IVDAW
$53.9K
$4.35K ﹤0.01%
36,286
– –
WINT
195
DELISTED
Windtree Therapeutics
WINT
$4.26K ﹤0.01%
+1
New +$8.89K
RVSNW icon
196
Rail Vision Ltd Warrant
RVSNW
$649K
$4.16K ﹤0.01%
59,563
– –
GRRRW
197
Gorilla Technology Group Warrant
GRRRW
$1.8M
$4.1K ﹤0.01%
20,000
– –
MOBQW
198
DELISTED
Mobiquity Technologies, Inc. Warrant
MOBQW
$4.03K ﹤0.01%
50,368
– –
AGRX
199
DELISTED
Agile Therapeutics
AGRX
$3.97K ﹤0.01%
350
– –
NNAVW
200
DELISTED
NextNav Inc Warrant
NNAVW
$3.73K ﹤0.01%
10,000
-35,000
-78% -$22K
6 7
8
9 10

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SCM
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OCAM
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NPCM
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Warberg Asset Management's Q4 2022 Portfolio in Review

As of Q4 2022, Warberg Asset Management held 356 positions worth $638M, up 10% from $578M the previous quarter. Its ten largest holdings account for 75% of the portfolio.

Warberg Asset Management withdrew a net $164M in Q4 2022, closing 83 positions and reducing 46 holdings. Its most notable exit was Expand Energy Corp Class B Warrants, an estimated $18.5M position sold in full.

By sector, the portfolio is most concentrated in Financials at 1.2% of assets, down from 1.5% a quarter earlier, followed by Technology and Real Estate.

Against the trend, Warberg Asset Management opened a new position in Janus Henderson Short Duration Income ETF worth $1.62M.

  • Warberg Asset Management's largest Q4 2022 buy was Janus Henderson Short Duration Income ETF: 34,175 shares worth $1.62M.
  • Warberg Asset Management added most to South Jersey Industries, Inc. Corporate Units in Q4 2022, an estimated $9.41M increase.
  • Warberg Asset Management's biggest Q4 2022 reduction was Expand Energy Corp Class A Warrants, cutting an estimated $34.5M.
  • Warberg Asset Management fully exited Expand Energy Corp Class B Warrants in Q4 2022, selling an estimated $18.5M.
  • Warberg Asset Management's ten largest holdings make up 75% of its $638M portfolio in Q4 2022.
  • Warberg Asset Management opened 64 new positions and closed 83 in Q4 2022.
  • Warberg Asset Management's portfolio value rose 10% quarter-over-quarter to $638M.

Based on Warberg Asset Management's 13F filing for Q4 2022, filed 13 Feb 2023.