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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
TMC icon
201
CALL
TMC The Metals Company
TMC
$1.71B
– –
-11,100
Closed -$23K
TMV icon
202
CALL
Direxion Daily 20+ Year Treasury Bear 3X ETF
TMV
$187M
– –
-30,400
Closed -$414K
TTD icon
203
PUT
Trade Desk
TTD
$9.09B
– –
-5,100
Closed -$467K
VGZ icon
204
Vista Gold
VGZ
$260M
– –
-78,110
Closed -$55K
VXX icon
205
CALL
iPath Series B S&P 500 VIX Short-Term Futures ETN
VXX
$154M
– –
-2,788
Closed -$826K
YCBD.PRA
206
DELISTED
cbdMD, Inc. 8.0% Series A Cumulative Convertible Preferred Stock
YCBD.PRA
– –
-38,000
Closed -$227K
ATXI
207
DELISTED
Avenue Therapeutics, Inc. Common Stock
ATXI
– –
-9
Closed -$9K
RVNC
208
CALL
DELISTED
Revance Therapeutics, Inc.
RVNC
– –
-10,900
Closed -$178K
PXSAP
209
DELISTED
Pyxis Tankers Inc. 7.75% Series A Cumulative Convertible Preferred Shares
PXSAP
– –
-15,307
Closed -$210K
FREEW
210
DELISTED
Whole Earth Brands, Inc. Warrant
FREEW
– –
-50,000
Closed -$59K
GMFIU
211
DELISTED
Aetherium Acquisition Corp Unit
GMFIU
– –
-10,000
Closed -$100K
AUVI
212
DELISTED
Applied UV, Inc. Common Stock
AUVI
– –
-100
Closed -$34K
ENTXW
213
DELISTED
Entera Bio Ltd. Warrant
ENTXW
– –
-14,047
Closed -$4K
MLAC
214
DELISTED
Malacca Straits Acquisition Company Limited Class A Ordinary Shares
MLAC
– –
-16,269
Closed -$166K
LSPRU
215
DELISTED
Larkspur Health Acquisition Corp. Unit
LSPRU
– –
-12,000
Closed -$120K
GAPA
216
DELISTED
G&P Acquisition Corp.
GAPA
– –
-15,000
Closed -$147K
DSKEW
217
DELISTED
Daseke, Inc. Warrant
DSKEW
– –
-717,408
Closed -$96K
WTRU
218
DELISTED
Essential Utilities, Inc.6.00% Tangible Equity Units
WTRU
– –
-40,220
Closed -$2.62M
AOGOU
219
DELISTED
Arogo Capital Acquisition Corp. Unit
AOGOU
– –
-10,600
Closed -$106K
SHAP.U
220
DELISTED
Spree Acquisition Corp. 1 Limited Units, each consisting of one Class A ordinary share and one-half of one redeemable warrant
SHAP.U
– –
-13,000
Closed -$130K
NEE.PRO
221
DELISTED
NextEra Energy, Inc. 4.872% Corporate Units
NEE.PRO
– –
-29,867
Closed -$2.03M
IIVI
222
DELISTED
Coherent Corp. 6.00% Series A Mandatory Convertible Preferred Stock
IIVI
– –
-2,262
Closed -$640K
5 6 7 8
9

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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.