WAM

Warberg Asset Management Portfolio holdings

AUM $333M
1-Year Est. Return 11.83%
This Fund
S&P 500
This Quarter Est. Return
1 Year Est. Return
+11.83%
3 Year Est. Return
5 Year Est. Return
10 Year Est. Return
AUM
$327M
AUM Growth
-$38.7M
Cap. Flow
Cap. Flow %
Top 10 Hldgs %
Holding
352
New
Increased
Reduced
Closed

Top Buys

1
+$9.41M
2
+$1.65M
3
+$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

1
+$34.5M
2
+$24.2M
3
+$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

1 Financials 2.33%
2 Technology 0.77%
3 Real Estate 0.55%
4 Healthcare 0.44%
5 Industrials 0.32%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
201
$406 ﹤0.01%
+12,500
202
$248 ﹤0.01%
14,668
203
$160 ﹤0.01%
+10,000
204
– –
-16,077
205
– –
0
206
– –
0
207
– –
0
208
– –
0
209
– –
-21,000
210
– –
-22,000
211
– –
-38,642
212
– –
0
213
– –
-41,519
214
– –
-12,283
215
– –
0
216
– –
-27,157
217
– –
0
218
– –
-15,044
219
– –
0
220
– –
-15,261
221
– –
-19,016
222
– –
-10,000
223
– –
-14,500
224
– –
0
225
– –
0
7 8
9
10 11