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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
NVACW
201
DELISTED
NorthView Acquisition Corporation Warrant
NVACW
$3.33K ﹤0.01%
77,770
– –
KLR.WS
202
DELISTED
Kaleyra, Inc. Warrants, each whole Warrant exercisable for one share of Common Stock at an exercise price of $40.25 per share
KLR.WS
$3.25K ﹤0.01%
86,316
-3,800
-4% -$362
PSTV icon
203
Plus Therapeutics
PSTV
$26.6M
$3.17K ﹤0.01%
27
– –
IGTAW
204
DELISTED
Inception Growth Acquisition Limited Warrants
IGTAW
$2.92K ﹤0.01%
90,000
– –
BOXD.WS
205
DELISTED
Boxed, Inc. Warrants, each whole warrant exercisable to purchase one share of Common Stock at an exercise price of $11.50 per share
BOXD.WS
$2.79K ﹤0.01%
71,618
-45,482
-39% -$2.46K
ALLG.WS
206
DELISTED
Allego N.V. Warrants
ALLG.WS
$2.25K ﹤0.01%
22,500
– –
AUUDW
207
DELISTED
Auddia Inc Warrants
AUUDW
$2.23K ﹤0.01%
12,768
– –
FATPW
208
DELISTED
Fat Projects Acquisition Corp Warrant
FATPW
$2.13K ﹤0.01%
85,000
– –
WKSPW
209
DELISTED
Worksport, Ltd. Warrant
WKSPW
$2.09K ﹤0.01%
14,960
-4,756
-24% -$1.07K
SHAP.WS
210
DELISTED
Spree Acquisition Corp. 1 Limited Redeemable warrants, each warrant exercisable for one Class A ordinary share at an exercise price of $11.50
SHAP.WS
$1.9K ﹤0.01%
47,154
– –
BZFDW icon
211
BuzzFeed Inc Warrant
BZFDW
$836K
$1.77K ﹤0.01%
+44,284
New +$4.5K
EFHTR
212
DELISTED
EF Hutton Acquisition Corporation I Rights
EFHTR
$1.66K ﹤0.01%
+13,246
New +$1.72K
ENERW
213
DELISTED
Accretion Acquisition Corp Warrant
ENERW
$1.63K ﹤0.01%
87,348
– –
CNGLW
214
DELISTED
Canna-Global Acquisition Corp Warrant
CNGLW
$1.58K ﹤0.01%
90,100
– –
NXGLW icon
215
NexGel Inc Warrant
NXGLW
$1.5K ﹤0.01%
10,000
– –
BNIXW
216
DELISTED
Bannix Acquisition Corp. Warrant
BNIXW
$1.5K ﹤0.01%
85,700
– –
EDBLW
217
Edible Garden AG Warrant
EDBLW
$128K
$1.46K ﹤0.01%
103,861
– –
CELUW
218
DELISTED
Celularity Inc
CELUW
$1.46K ﹤0.01%
18,200
– –
FGMCW
219
DELISTED
FG Merger Corp. Warrant
FGMCW
$1.45K ﹤0.01%
16,546
– –
BBLGW
220
Bone Biologics Corp Warrants
BBLGW
$26.2M
$1.22K ﹤0.01%
1,370
-1,945
-59% -$3.53K
DRMAW icon
221
Dermata Therapeutics Warrant
DRMAW
$14.1K
$1.21K ﹤0.01%
60,711
-39,089
-39% -$1.24K
FXCOW
222
DELISTED
Financial Strategies Acquisition Corp. Warrants
FXCOW
$1.2K ﹤0.01%
80,000
– –
ALSAW
223
DELISTED
Alpha Star Acquisition Corp Warrants
ALSAW
$1.19K ﹤0.01%
80,000
– –
ANGHW icon
224
Anghami Inc Warrants
ANGHW
$1.06K ﹤0.01%
40,409
-12,313
-23% -$1.25K
PNACW
225
DELISTED
Prime Number Acquisition I Corp. Warrant
PNACW
$888 ﹤0.01%
13,658
– –
7 8
9
10 11

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SCM
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OCAM
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NPCM
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FSG
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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.