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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
ANGHW icon
201
Anghami Inc Warrants
ANGHW
$65.7K
$8K ﹤0.01%
52,722
+2,045
+4% +$404
NMAD
202
Nomad Power Solutions
NMAD
$71.3M
$8K ﹤0.01%
1,450
– –
MOBQW
203
DELISTED
Mobiquity Technologies, Inc. Warrant
MOBQW
$8K ﹤0.01%
50,368
-29,840
-37% -$6.39K
CDAK
204
DELISTED
Codiak BioSciences, Inc. Common Stock
CDAK
$8K ﹤0.01%
+10,000
New +$21K
AGTC
205
DELISTED
Applied Genetic Technologies Corporation
AGTC
$8K ﹤0.01%
+30,000
New +$13.1K
ACONW icon
206
Aclarion Warrant
ACONW
$44.8K
$7K ﹤0.01%
28,647
-3
-0% -$1
BIAFW icon
207
bioAffinity Technologies
BIAFW
$89K
$7K ﹤0.01%
+19,426
New +$20.1K
CELUW
208
DELISTED
Celularity Inc
CELUW
$7K ﹤0.01%
18,200
-4,800
-21% -$2.09K
GRRRW
209
Gorilla Technology Group Warrant
GRRRW
$1.8M
$7K ﹤0.01%
+20,000
New +$6.99K
HOLOW icon
210
MicroCloud Hologram Inc Warrant
HOLOW
$3.56M
$7K ﹤0.01%
+100,320
New +$8.36K
NXLIW
211
DELISTED
Nexalin Technology Inc Warrant
NXLIW
$7K ﹤0.01%
+40,719
New +$8.15K
YYAI icon
212
AiRWA Inc
YYAI
$122K
– –
0
– –
GMVDW
213
DELISTED
G Medical Innovations Holdings Ltd. Warrants
GMVDW
$7K ﹤0.01%
87,576
-1,519
-2% -$122
APTO
214
DELISTED
Aptose Biosciences, Inc.
APTO
$7K ﹤0.01%
+26
New +$8.96K
AUUDW
215
DELISTED
Auddia Inc Warrants
AUUDW
$6K ﹤0.01%
12,768
– –
QTEXW
216
DELISTED
QTREX Quantum Warrant
QTEXW
$6K ﹤0.01%
25,000
+5,400
+28% +$1.71K
IVDAW icon
217
Iveda Solutions Warrant
IVDAW
$53.9K
$6K ﹤0.01%
36,286
+23,730
+189% +$5.17K
IGTAW
218
DELISTED
Inception Growth Acquisition Limited Warrants
IGTAW
$6K ﹤0.01%
90,000
– –
BRSHW
219
DELISTED
Bruush Oral Care Inc. Warrant
BRSHW
$6K ﹤0.01%
+15,000
New +$6.9K
AWH
220
DELISTED
Aspira Women's Health Inc. Common Stock
AWH
$6K ﹤0.01%
+1,000
New +$10.8K
PSTV
221
DELISTED
Plus Therapeutics
PSTV
$5K ﹤0.01%
27
-40
-60% -$8.93K
RVSNW icon
222
Rail Vision Ltd Warrant
RVSNW
$744K
$5K ﹤0.01%
59,563
+9,200
+18% +$1.32K
AOGOW
223
DELISTED
Arogo Capital Acquisition Corp. Warrant
AOGOW
$5K ﹤0.01%
90,000
– –
WKSPW
224
DELISTED
Worksport, Ltd. Warrant
WKSPW
$5K ﹤0.01%
19,716
-126
-0.6% -$30
SMFL
225
DELISTED
Smart for Life, Inc. Common Stock
SMFL
$5K ﹤0.01%
4
– –
7 8
9
10 11

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SCM
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OCAM
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NPCM
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CIG
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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.