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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
+0.3%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$507M
AUM Growth
-$131M
Cap. Flow
-$367M
Cap. Flow %
-72.27%
Top 10 Hldgs %
67.23%
Holding
329
New
60
Increased
39
Reduced
52
Closed
80

Top Buys

Rank Stock Value
1
ICSH icon
iShares Ultra Short Duration Bond Active ETF
ICSH
+$1.54M
2
APTV.PRA
Aptiv PLC 5.50% Series A Mandatory Convertible Preferred Shares
APTV.PRA
+$1.12M
3
OAKUU
Oak Woods Acquisition Corp Unit
OAKUU
+$663K
4
MAQC
Maquia Capital Acquisition Corporation Class A Common Stock
MAQC
+$595K
5
FLOT icon
iShares Floating Rate Bond ETF
FLOT
+$534K

Top Sells

Rank Stock Value
1
SJIV
South Jersey Industries, Inc. Corporate Units
SJIV
+$10.7M
2
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$4.92M
3
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$3.75M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$1.62M
5
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$1.62M

Sector Composition

Rank Sector Weight
1 Financials 1.37%
2 Technology 0.4%
3 Industrials 0.23%
4 Consumer Discretionary 0.22%
5 Real Estate 0.18%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BRSHW
201
DELISTED
Bruush Oral Care Inc. Warrant
BRSHW
$1.8K ﹤0.01%
15,000
– –
NXGLW icon
202
NexGel Inc Warrant
NXGLW
$31.4K
$1.55K ﹤0.01%
10,000
– –
MOBQW
203
DELISTED
Mobiquity Technologies, Inc. Warrant
MOBQW
$1.51K ﹤0.01%
50,368
– –
SHAP.WS
204
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
$1.42K ﹤0.01%
47,154
– –
FLFVW
205
DELISTED
Feutune Light Acquisition Corporation Warrant
FLFVW
$1.37K ﹤0.01%
20,796
– –
FGMCW
206
DELISTED
FG Merger Corp. Warrant
FGMCW
$1.33K ﹤0.01%
16,546
– –
DRMAW icon
207
Dermata Therapeutics Warrant
DRMAW
$19.7K
$1.32K ﹤0.01%
38,069
-22,642
-37% -$802
CLVRW
208
DELISTED
Clever Leaves Holdings Inc. Warrant
CLVRW
$1.25K ﹤0.01%
25,000
– –
ALSAW
209
DELISTED
Alpha Star Acquisition Corp Warrants
ALSAW
$1.1K ﹤0.01%
80,000
– –
CELUW
210
DELISTED
Celularity Inc
CELUW
$1.09K ﹤0.01%
18,200
– –
SMXWW
211
SMX (Security Matters) Public Ltd Warrant
SMXWW
$664K
$1.08K ﹤0.01%
+21,700
New +$1.77K
EMCGW
212
DELISTED
Embrace Change Acquisition Corp Warrants
EMCGW
$500 ﹤0.01%
12,500
– –
SHPWW
213
DELISTED
Shapeways Holdings, Inc. Warrants
SHPWW
$323 ﹤0.01%
14,668
– –
AAPL icon
214
Apple
AAPL
$4.52T
– –
-10,000
Closed -$1.48M
ABX
215
Abacus Global Management
ABX
$1.04B
– –
-21,809
Closed -$222K
AMST icon
216
Amesite
AMST
$6.81M
– –
-3,696
Closed -$7.76K
AP.WS
217
DELISTED
Ampco-Pittsburgh Corp Series A Warrants
AP.WS
– –
-84,200
Closed -$13.3K
ARQQW icon
218
Arqit Quantum Warrants
ARQQW
$160K
– –
-24,355
Closed -$12.4K
BTU icon
219
CALL
Peabody Energy
BTU
$2.72B
– –
-19,000
Closed -$502K
CTM icon
220
Castellum
CTM
$74.9M
– –
-20,000
Closed -$25.2K
ECDAW
221
DELISTED
ECD Automotive Design Warrant
ECDAW
– –
-10,000
Closed -$160
EVGOW
222
DELISTED
EVgo Inc Warrants
EVGOW
– –
-25,500
Closed -$17.3K
FCX icon
223
CALL
Freeport-McMoran
FCX
$96.7B
– –
-10,000
Closed -$380K
FLTR icon
224
VanEck IG Floating Rate ETF
FLTR
$2.97B
– –
-10,046
Closed -$250K
GCMGW
225
DELISTED
GCM Grosvenor Inc Warrant
GCMGW
– –
-43,042
Closed -$18.9K
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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CIG
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Warberg Asset Management's Q1 2023 Portfolio in Review

As of Q1 2023, Warberg Asset Management held 329 positions worth $507M, down 21% from $638M the previous quarter. Its ten largest holdings account for 67% of the portfolio.

Warberg Asset Management withdrew a net $367M in Q1 2023, closing 80 positions and reducing 52 holdings. Its most notable exit was South Jersey Industries, Inc. Corporate Units, an estimated $10.7M position sold in full.

By sector, the portfolio is most concentrated in Financials at 1.4% of assets, up from 1.2% a quarter earlier, followed by Technology and Industrials.

Against the trend, Warberg Asset Management opened a new position in iShares Ultra Short Duration Bond Active ETF worth $1.54M.

  • Warberg Asset Management's largest Q1 2023 buy was iShares Ultra Short Duration Bond Active ETF: 30,744 shares worth $1.54M.
  • Warberg Asset Management added most to Expand Energy Corp Class A Warrants in Q1 2023, an estimated $481K increase.
  • Warberg Asset Management's biggest Q1 2023 reduction was Occidental Petroleum Corp Warrants, cutting an estimated $3.75M.
  • Warberg Asset Management fully exited South Jersey Industries, Inc. Corporate Units in Q1 2023, selling an estimated $10.7M.
  • Warberg Asset Management's ten largest holdings make up 67% of its $507M portfolio in Q1 2023.
  • Warberg Asset Management opened 60 new positions and closed 80 in Q1 2023.
  • Warberg Asset Management's portfolio value fell 21% quarter-over-quarter to $507M.

Based on Warberg Asset Management's 13F filing for Q1 2023, filed 15 May 2023.