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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
+0.84%
1 Year Est. Return
+34.68%
3 Year Est. Return
+65.34%
5 Year Est. Return
+117.41%
10 Year Est. Return
–
AUM
$301M
AUM Growth
-$107M
Cap. Flow
-$151M
Cap. Flow %
-50.22%
Top 10 Hldgs %
48.48%
Holding
214
New
39
Increased
18
Reduced
31
Closed
59

Top Buys

Rank Stock Value
1
GCMGW
GCM Grosvenor Inc Warrant
GCMGW
+$1.72M
2
IEAWW
Infrastructure and Energy Alternatives, Inc. Warrant
IEAWW
+$1.65M
3
SJIU
South Jersey Industries, Inc.
SJIU
+$1.34M
4
NSLR
Neostellar Capital Corp
NSLR
+$1.18M
5
TWNKW
Hostess Brands, Inc. Warrants
TWNKW
+$979K

Top Sells

Rank Stock Value
1
NCLH icon
Norwegian Cruise Line
NCLH
+$1.44M
2
PSTH
Pershing Square Tontine Holdings, Ltd.
PSTH
+$838K
3
GRWG icon
GrowGeneration
GRWG
+$603K
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$536K
5
ALTG.WS
Alta Equipment Group Warrants
ALTG.WS
+$369K

Sector Composition

Rank Sector Weight
1 Miscellaneous 97.64%
2 Consumer Discretionary 1.11%
3 Financials 0.72%
4 Technology 0.25%
5 Real Estate 0.1%
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
$61.4M 20.41%
155,000
+11,000
+8% +$4.24M
IEAWW
2
DELISTED
Infrastructure and Energy Alternatives, Inc. Warrant
IEAWW
$3.7M 1.23%
1,089,676
+410,345
+60% +$1.65M
TLT icon
3
PUT
iShares 20+ Year Treasury Bond ETF
TLT
$46.8B
$3.52M 1.17%
26,000
+6,000
+30% +$870K
CCL icon
4
PUT
Carnival Corporation Ltd
CCL
$33.9B
$3.2M 1.06%
120,700
-52,600
-30% -$1.24M
CCL icon
5
Carnival Corporation Ltd
CCL
$33.9B
$3.17M 1.05%
119,600
-2,400
-2% -$56.6K
WSC icon
6
PUT
WillScot Mobile Mini Holdings
WSC
$3.79B
$3.14M 1.04%
113,000
+103,000
+1,030% +$2.7M
TSLA icon
7
PUT
Tesla
TSLA
$1.38T
$3.01M 1%
13,500
-16,500
-55% -$4.14M
IIPR icon
8
PUT
Innovative Industrial Properties
IIPR
$1.55B
$2.9M 0.96%
16,100
– –
TWNKW
9
DELISTED
Hostess Brands, Inc. Warrants
TWNKW
$2.45M 0.81%
1,689,821
+596,384
+55% +$979K
XLF icon
10
PUT
State Street Financial Select Sector SPDR ETF
XLF
$56.7B
$2.38M 0.79%
70,000
-30,000
-30% -$964K
NEE.PRO
11
DELISTED
NextEra Energy, Inc. 4.872% Corporate Units
NEE.PRO
$2.32M 0.77%
40,261
-4,737
-11% -$281K
XOM icon
12
CALL
ExxonMobil
XOM
$644B
$2.23M 0.74%
+40,000
New +$2.1M
SPY icon
13
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$825B
$1.98M 0.66%
+5,000
New +$1.93M
META icon
14
PUT
Meta Platforms (Facebook)
META
$1.47T
$1.77M 0.59%
6,000
-1,000
-14% -$269K
GCMGW
15
DELISTED
GCM Grosvenor Inc Warrant
GCMGW
$1.49M 0.49%
1,251,093
+1,061,379
+559% +$1.72M
SJIU
16
DELISTED
South Jersey Industries, Inc.
SJIU
$1.28M 0.42%
+33,225
New +$1.34M
TMV icon
17
CALL
Direxion Daily 20+ Year Treasury Bear 3X ETF
TMV
$198M
$1.22M 0.41%
60,000
– –
NSLR
18
Neostellar Capital Corp
NSLR
$270M
$1.15M 0.38%
+101,496
New +$1.18M
NSLR
19
PUT
Neostellar Capital Corp
NSLR
$270M
$1.15M 0.38%
101,497
-12,508
-11% -$146K
GDX icon
20
CALL
VanEck Gold Miners ETF
GDX
$31B
$975K 0.32%
30,000
-50,000
-63% -$1.7M
ARKK icon
21
PUT
ARK Innovation ETF
ARKK
$6.46B
$960K 0.32%
8,000
+3,000
+60% +$406K
SLV icon
22
CALL
iShares Silver Trust
SLV
$32.3B
$908K 0.3%
40,000
-31,400
-44% -$764K
PAAS icon
23
CALL
Pan American Silver
PAAS
$21.9B
$901K 0.3%
30,000
+15,000
+100% +$487K
DASH icon
24
PUT
DoorDash
DASH
$103B
$787K 0.26%
+6,000
New +$1.01M
NKLA
25
PUT
DELISTED
Nikola Corporation Common Stock
NKLA
$778K 0.26%
1,867
+667
+56% +$380K
1
2 3 4 5

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PWMG
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IG
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CPIM
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LECM
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KV
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TCM
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Warberg Asset Management's Q1 2021 Portfolio in Review

As of Q1 2021, Warberg Asset Management held 214 positions worth $301M, down 26% from $408M the previous quarter. Its ten largest holdings account for 48% of the portfolio.

Warberg Asset Management withdrew a net $151M in Q1 2021, closing 59 positions and reducing 31 holdings. Its most notable exit was Norwegian Cruise Line, an estimated $1.44M position sold in full.

By sector, the portfolio is most concentrated in Miscellaneous at 98% of assets, up from 97% a quarter earlier, followed by Consumer Discretionary and Financials.

Against the trend, Warberg Asset Management opened a new position in South Jersey Industries, Inc. worth $1.28M.

  • Warberg Asset Management's largest Q1 2021 buy was South Jersey Industries, Inc.: 33,225 shares worth $1.28M.
  • Warberg Asset Management added most to GCM Grosvenor Inc Warrant in Q1 2021, an estimated $1.72M increase.
  • Warberg Asset Management's biggest Q1 2021 reduction was Pershing Square Tontine Holdings, Ltd., cutting an estimated $838K.
  • Warberg Asset Management fully exited Norwegian Cruise Line in Q1 2021, selling an estimated $1.44M.
  • Warberg Asset Management's ten largest holdings make up 48% of its $301M portfolio in Q1 2021.
  • Warberg Asset Management opened 39 new positions and closed 59 in Q1 2021.
  • Warberg Asset Management's portfolio value fell 26% quarter-over-quarter to $301M.

Based on Warberg Asset Management's 13F filing for Q1 2021, filed 17 May 2021.