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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
+0.9%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$603M
AUM Growth
+$95.1M
Cap. Flow
-$108M
Cap. Flow %
-17.85%
Top 10 Hldgs %
72.31%
Holding
314
New
63
Increased
45
Reduced
48
Closed
75

Top Buys

Rank Stock Value
1
HTZWW
Hertz Global Holdings Warrants
HTZWW
+$1.67M
2
EPR.PRC icon
EPR Properties 5.75% Series C Preferred Shares
EPR.PRC
+$751K
3
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$733K
4
HUDA
Hudson Acquisition I Corp. Common Stock
HUDA
+$718K
5
NEN icon
New England Realty Associates
NEN
+$675K

Top Sells

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
+$1.11M
3
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$947K
4
PXSAP
Pyxis Tankers Inc. 7.75% Series A Cumulative Convertible Preferred Shares
PXSAP
+$694K
5
OAKUU
Oak Woods Acquisition Corp Unit
OAKUU
+$663K

Sector Composition

Rank Sector Weight
1 Financials 1.39%
2 Technology 0.29%
3 Real Estate 0.27%
4 Industrials 0.17%
5 Energy 0.11%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SHPWW
201
DELISTED
Shapeways Holdings, Inc. Warrants
SHPWW
$148 ﹤0.01%
14,668
– –
AFRIW icon
202
Forafric Global PLC Warrants
AFRIW
$11.4M
– –
-10,500
Closed -$7.03K
AGI icon
203
CALL
Alamos Gold
AGI
$11.6B
– –
-25,000
Closed -$306K
AMPX icon
204
CALL
Amprius Technologies
AMPX
$1.36B
– –
-20,000
Closed -$174K
APCXW
205
DELISTED
AppTech Payments Corp Warrant
APCXW
– –
-101,428
Closed -$28.9K
AUUDW
206
DELISTED
Auddia Inc Warrants
AUUDW
– –
-12,768
Closed -$2.43K
BBLGW
207
Bone Biologics Corp Warrants
BBLGW
– –
-1,290
Closed -$1.97K
BMR icon
208
Beamr Imaging
BMR
$18.8M
– –
-53,713
Closed -$107K
BOIL icon
209
ProShares Ultra Bloomberg Natural Gas
BOIL
$344M
– –
-68
Closed -$48.7K
CELUW
210
DELISTED
Celularity Inc
CELUW
– –
-18,200
Closed -$1.09K
CLX icon
211
PUT
Clorox
CLX
$11.6B
– –
-20,000
Closed -$3.16M
DRTSW icon
212
Alpha Tau Medical Warrant
DRTSW
$63M
– –
-22,900
Closed -$6.64K
ECDA
213
DELISTED
ECD Automotive Design
ECDA
– –
-172
Closed -$353K
FLOT icon
214
iShares Floating Rate Bond ETF
FLOT
$10.2B
– –
-10,581
Closed -$533K
FLRN icon
215
State Street SPDR Bloomberg Investment Grade Floating Rate ETF
FLRN
$3.08B
– –
-6,775
Closed -$206K
GLD icon
216
PUT
SPDR Gold Trust
GLD
$131B
– –
-20,000
Closed -$3.66M
GNRC icon
217
CALL
Generac Holdings
GNRC
$11.6B
– –
-4,000
Closed -$432K
GSY icon
218
Invesco Ultra Short Duration ETF
GSY
$3.86B
– –
-9,163
Closed -$454K
ICSH icon
219
iShares Ultra Short Duration Bond Active ETF
ICSH
$8.07B
– –
-30,744
Closed -$1.54M
QTEXW
220
DELISTED
QTREX Quantum Warrant
QTEXW
– –
-19,000
Closed -$4.36K
IZM icon
221
ICZOOM Group
IZM
$3.24M
– –
-11,000
Closed -$19K
JWN
222
CALL
DELISTED
Nordstrom
JWN
– –
-10,000
Closed -$163K
MSTR icon
223
PUT
Strategy Inc
MSTR
$34.1B
– –
-10,000
Closed -$292K
OPHC icon
224
OptimumBank Holdings
OPHC
$93.2M
– –
-11,796
Closed -$39K
RNAZ icon
225
TransCode Therapeutics
RNAZ
$4.83M
– –
0
– -$6.77K
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 Q2 2023 Portfolio in Review

As of Q2 2023, Warberg Asset Management held 314 positions worth $603M, up 19% from $507M the previous quarter. Its ten largest holdings account for 72% of the portfolio.

Warberg Asset Management withdrew a net $108M in Q2 2023, closing 75 positions and reducing 48 holdings. Its most notable exit was iShares Ultra Short Duration Bond Active ETF, an estimated $1.54M position sold in full.

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

Against the trend, Warberg Asset Management opened a new position in EPR Properties 5.75% Series C Preferred Shares worth $814K.

  • Warberg Asset Management's largest Q2 2023 buy was EPR Properties 5.75% Series C Preferred Shares: 38,600 shares worth $814K.
  • Warberg Asset Management added most to Hertz Global Holdings Warrants in Q2 2023, an estimated $1.67M increase.
  • Warberg Asset Management's biggest Q2 2023 reduction was Occidental Petroleum Corp Warrants, cutting an estimated $947K.
  • Warberg Asset Management fully exited iShares Ultra Short Duration Bond Active ETF in Q2 2023, selling an estimated $1.54M.
  • Warberg Asset Management's ten largest holdings make up 72% of its $603M portfolio in Q2 2023.
  • Warberg Asset Management opened 63 new positions and closed 75 in Q2 2023.
  • Warberg Asset Management's portfolio value rose 19% quarter-over-quarter to $603M.

Based on Warberg Asset Management's 13F filing for Q2 2023, filed 9 Aug 2023.