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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
FGMCW
201
DELISTED
FG Merger Corp. Warrant
FGMCW
$2K ﹤0.01%
+16,551
New +$2.22K
AFARW
202
DELISTED
Aura FAT Projects Acquisition Corp Warrant
AFARW
$2K ﹤0.01%
+25,000
New +$2.09K
SHPWW
203
DELISTED
Shapeways Holdings, Inc. Warrants
SHPWW
$1K ﹤0.01%
14,668
– –
MDH.WS
204
DELISTED
MDH Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50 per share
MDH.WS
$1K ﹤0.01%
+13,067
New +$1.46K
ABEO icon
205
Abeona Therapeutics
ABEO
$366M
– –
-893
Closed -$7K
AVGO icon
206
Broadcom
AVGO
$1.85T
– –
-9,200
Closed -$579K
BCTXW
207
DELISTED
BriaCell Therapeutics Corp Warrant
BCTXW
– –
-16,046
Closed -$83K
BKSY.WS icon
208
BlackSky Technology Inc Warrants
BKSY.WS
$564K
– –
-63,865
Closed -$18K
BRCC icon
209
PUT
BRC Inc
BRCC
$121M
– –
-20,000
Closed -$417K
BNC
210
CEA Industries
BNC
$110M
– –
-1,502
Closed -$45K
DASH icon
211
DoorDash
DASH
$85.5B
– –
-4,800
Closed -$562K
DASH icon
212
PUT
DoorDash
DASH
$85.5B
– –
-10,500
Closed -$1.23M
ENVB icon
213
Enveric Biosciences
ENVB
$6.32M
– –
-5
Closed -$15K
FOXO
214
DELISTED
FOXO TECHNOLOGIES INC A
FOXO
– –
-68
Closed -$134K
GOVXW
215
DELISTED
GeoVax Labs Warrants
GOVXW
– –
-24,381
Closed -$11K
HYG icon
216
PUT
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$15.9B
– –
-12,000
Closed -$987K
JWN
217
CALL
DELISTED
Nordstrom
JWN
– –
-10,000
Closed -$271K
LCID icon
218
Lucid Motors
LCID
$2.88B
– –
-1,300
Closed -$330K
LCID icon
219
PUT
Lucid Motors
LCID
$2.88B
– –
-2,700
Closed -$686K
MDWD icon
220
MediWound
MDWD
$181M
– –
-3,125
Closed -$44K
OCGN icon
221
Ocugen
OCGN
$416M
– –
-17,000
Closed -$56K
OCGN icon
222
PUT
Ocugen
OCGN
$416M
– –
-17,000
Closed -$56K
PXS icon
223
Pyxis Tankers
PXS
$48.7M
– –
-11,306
Closed -$24K
PYPL icon
224
CALL
PayPal
PYPL
$48.9B
– –
-7,000
Closed -$810K
SA
225
CALL
Seabridge Gold
SA
$2.78B
– –
-10,000
Closed -$185K
6 7 8
9
10

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SCM
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NPCM
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CIG
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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.