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WAM

Warberg Asset Management Portfolio holdings

AUM $551M
1-Year Est. Return 34.68%
This Fund
S&P 500
This Quarter Est. Return
+3.84%
1 Year Est. Return
+34.68%
3 Year Est. Return
+65.34%
5 Year Est. Return
+117.41%
10 Year Est. Return
–
AUM
$408M
AUM Growth
–
Cap. Flow
+$18.7M
Cap. Flow %
4.58%
Top 10 Hldgs %
54.59%
Holding
157
New
117
Increased
–
Reduced
–
Closed
–

Top Buys

Rank Stock Value
1
NEE.PRO
NextEra Energy, Inc. 4.872% Corporate Units
NEE.PRO
+$2.6M
2
CCL icon
Carnival Corporation Ltd
CCL
+$2.17M
3
TWNKW
Hostess Brands, Inc. Warrants
TWNKW
+$1.29M
4
NCLH icon
Norwegian Cruise Line
NCLH
+$1.18M
5
PSTH
Pershing Square Tontine Holdings, Ltd.
PSTH
+$962K

Top Sells

No sells this quarter

Sector Composition

Rank Sector Weight
1 Miscellaneous 97.37%
2 Consumer Discretionary 1.26%
3 Financials 0.49%
4 Technology 0.35%
5 Healthcare 0.21%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SPY icon
1
PUT
State Street SPDR S&P 500 ETF Trust
SPY
$825B
$53.8M 13.21%
+144,000
New +$51.1M
TSLA icon
2
PUT
Tesla
TSLA
$1.38T
$7.06M 1.73%
+30,000
New +$5.12M
JPM icon
3
CALL
JPMorgan Chase
JPM
$951B
$4.45M 1.09%
+35,000
New +$3.91M
CCL icon
4
PUT
Carnival Corporation Ltd
CCL
$33.9B
$3.75M 0.92%
+173,300
New +$3.08M
TSLA icon
5
CALL
Tesla
TSLA
$1.38T
$3.53M 0.87%
+15,000
New +$2.56M
TLT icon
6
PUT
iShares 20+ Year Treasury Bond ETF
TLT
$46.8B
$3.15M 0.77%
+20,000
New +$3.18M
QQQ icon
7
CALL
Invesco QQQ Trust
QQQ
$489B
$3.14M 0.77%
+10,000
New +$2.94M
IIPR icon
8
PUT
Innovative Industrial Properties
IIPR
$1.55B
$2.95M 0.72%
+16,100
New +$2.41M
XLF icon
9
PUT
State Street Financial Select Sector SPDR ETF
XLF
$56.7B
$2.95M 0.72%
+100,000
New +$2.68M
IWM icon
10
PUT
iShares Russell 2000 ETF
IWM
$80.8B
$2.94M 0.72%
+15,000
New +$2.62M
GDX icon
11
CALL
VanEck Gold Miners ETF
GDX
$31B
$2.88M 0.71%
+80,000
New +$2.99M
BLNK icon
12
PUT
Blink Charging
BLNK
$77.2M
$2.78M 0.68%
+65,000
New +$1.28M
NEE.PRO
13
DELISTED
NextEra Energy, Inc. 4.872% Corporate Units
NEE.PRO
$2.66M 0.65%
+44,998
New +$2.6M
CCL icon
14
Carnival Corporation Ltd
CCL
$33.9B
$2.64M 0.65%
+122,000
New +$2.17M
NBR icon
15
CALL
Nabors Industries
NBR
$1.39B
$2.33M 0.57%
+40,000
New +$1.76M
QQQ icon
16
PUT
Invesco QQQ Trust
QQQ
$489B
$2.2M 0.54%
+7,000
New +$2.06M
META icon
17
PUT
Meta Platforms (Facebook)
META
$1.47T
$1.91M 0.47%
+7,000
New +$1.92M
GRWG icon
18
PUT
GrowGeneration
GRWG
$95.5M
$1.81M 0.44%
+45,000
New +$1.21M
SLV icon
19
CALL
iShares Silver Trust
SLV
$32.3B
$1.75M 0.43%
+71,400
New +$1.62M
NCLH icon
20
PUT
Norwegian Cruise Line
NCLH
$7.65B
$1.44M 0.35%
+56,600
New +$1.18M
NCLH icon
21
Norwegian Cruise Line
NCLH
$7.65B
$1.44M 0.35%
+56,500
New +$1.18M
AAPL icon
22
CALL
Apple
AAPL
$4.67T
$1.33M 0.33%
+10,000
New +$1.2M
AAPL icon
23
PUT
Apple
AAPL
$4.67T
$1.33M 0.33%
+10,000
New +$1.2M
VXX icon
24
CALL
iPath Series B S&P 500 VIX Short-Term Futures ETN
VXX
$133M
$1.26M 0.31%
+1,172
New +$1.52M
NSLR
25
PUT
Neostellar Capital Corp
NSLR
$270M
$1.25M 0.31%
+114,005
New +$1M
1
2 3 4 5

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GCGDR
Genoa Capital Gestora de Recursos Sao Paulo $551M AUM
PRCP
Pacific Ridge Capital Partners Lake Oswego, Oregon $551M AUM 49.99% 1-Year Est. Return
PWMG
Prestige Wealth Management Group Flemington, New Jersey $551M AUM 19.05% 1-Year Est. Return
IG
Ithaka Group Arlington, Virginia $551M AUM 29.06% 1-Year Est. Return
CPIM
Cypress Point Investment Management Mill Valley, California $552M AUM
LECM
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KV
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TCM
Triumph Capital Management Denver, Colorado $552M AUM 20.75% 1-Year Est. Return

Warberg Asset Management's Q4 2020 Portfolio in Review

Q4 2020 is the first quarter with a 13F filing on record for Warberg Asset Management, which disclosed 157 positions worth $408M. Its ten largest holdings account for 55% of the portfolio.

Its largest position is NextEra Energy, Inc. 4.872% Corporate Units: 44,998 shares worth $2.66M.

By sector, the portfolio is most concentrated in Miscellaneous at 97% of assets, followed by Consumer Discretionary and Financials.

  • Warberg Asset Management's largest Q4 2020 buy was NextEra Energy, Inc. 4.872% Corporate Units: 44,998 shares worth $2.66M.
  • Warberg Asset Management's ten largest holdings make up 55% of its $408M portfolio in Q4 2020.
  • Warberg Asset Management disclosed 157 positions in Q4 2020, its first 13F filing on record.

Based on Warberg Asset Management's 13F filing for Q4 2020, filed 16 Feb 2021.