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WAM

Warberg Asset Management Portfolio holdings

AUM $343M
1-Year Est. Return 23.37%
This Fund
S&P 500
This Quarter Est. Return
+5.76%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$319M
AUM Growth
+$116M
Cap. Flow
-$171M
Cap. Flow %
-53.5%
Top 10 Hldgs %
44.18%
Holding
240
New
56
Increased
16
Reduced
16
Closed
29

Top Buys

1
WSC icon
WillScot Mobile Mini Holdings
WSC
+$3.77M
2
WTRU
Essential Utilities, Inc.6.00% Tangible Equity Units
WTRU
+$1.58M
3
CFXA
Colfax Corporation 5.75% Tangible Equity Units
CFXA
+$1.22M
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$930K
5
TWNKW
Hostess Brands, Inc. Warrants
TWNKW
+$912K

Top Sells

1
CCL icon
Carnival Corporation Ltd
CCL
+$3.17M
2
SJIU
South Jersey Industries, Inc.
SJIU
+$1.28M
3
GCMGW
GCM Grosvenor Inc Warrant
GCMGW
+$1.16M
4
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$677K
5
CHNGU
Change Healthcare Inc. Tangible Equity Units
CHNGU
+$645K

Sector Composition

1 Industrials 1.23%
2 Financials 1.03%
3 Technology 0.37%
4 Healthcare 0.34%
5 Consumer Discretionary 0.28%
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
$786B
$155M 48.38%
361,000
+206,000
+133% +$86M
TSLA icon
2
PUT
Tesla
TSLA
$1.48T
$6.8M 2.13%
30,000
+16,500
+122% +$3.58M
MSFT icon
3
CALL
Microsoft
MSFT
$2.94T
$5.42M 1.7%
+20,000
New +$5.08M
TWNKW
4
DELISTED
Hostess Brands, Inc. Warrants
TWNKW
$5.18M 1.62%
2,133,405
+443,584
+26% +$912K
WSC icon
5
WillScot Mobile Mini Holdings
WSC
$4.93B
$3.65M 1.14%
+131,149
New +$3.77M
DASH icon
6
PUT
DoorDash
DASH
$82.9B
$2.85M 0.89%
16,000
+10,000
+167% +$1.47M
WSC icon
7
PUT
WillScot Mobile Mini Holdings
WSC
$4.93B
$2.68M 0.84%
96,000
-17,000
-15% -$489K
AMC icon
8
PUT
AMC Entertainment Holdings
AMC
$1.85B
$2.49M 0.78%
+4,400
New +$1.17M
NEE.PRO
9
DELISTED
NextEra Energy, Inc. 4.872% Corporate Units
NEE.PRO
$2.45M 0.77%
43,867
+3,606
+9% +$206K
IEAWW
10
DELISTED
Infrastructure and Energy Alternatives, Inc. Warrant
IEAWW
$2.42M 0.76%
1,125,088
+35,412
+3% +$75.1K
VXX icon
11
CALL
iPath Series B S&P 500 VIX Short-Term Futures ETN
VXX
$151M
$2.39M 0.75%
+5,063
New +$3.02M
IIPR icon
12
PUT
Innovative Industrial Properties
IIPR
$1.84B
$2.2M 0.69%
11,500
-4,600
-29% -$844K
ROKU icon
13
PUT
Roku
ROKU
$21.3B
$1.84M 0.58%
+4,000
New +$1.41M
WTRU
14
DELISTED
Essential Utilities, Inc.6.00% Tangible Equity Units
WTRU
$1.54M 0.48%
+26,842
New +$1.58M
SLV icon
15
CALL
iShares Silver Trust
SLV
$27.9B
$1.45M 0.45%
60,000
+20,000
+50% +$495K
NVDA icon
16
CALL
NVIDIA
NVDA
$5.15T
$1.4M 0.44%
+280,000
New +$4.49M
CFXA
17
DELISTED
Colfax Corporation 5.75% Tangible Equity Units
CFXA
$1.25M 0.39%
+6,689
New +$1.22M
NSLR
18
Neostellar Capital Corp
NSLR
$295M
$1.21M 0.38%
89,939
-11,557
-11% -$150K
NSLR
19
PUT
Neostellar Capital Corp
NSLR
$295M
$1.13M 0.35%
84,000
-17,497
-17% -$227K
XOM icon
20
CALL
ExxonMobil
XOM
$599B
$1.07M 0.34%
17,000
-23,000
-58% -$1.37M
TMV icon
21
CALL
Direxion Daily 20+ Year Treasury Bear 3X ETF
TMV
$173M
$977K 0.31%
60,000
– –
PCT icon
22
PUT
PureCycle Technologies
PCT
$1.42B
$970K 0.3%
+41,000
New +$882K
ARKK icon
23
PUT
ARK Innovation ETF
ARKK
$6.51B
$915K 0.29%
7,000
-1,000
-13% -$117K
GFLU
24
DELISTED
GFL Environmental Inc. Tangible Equity Units
GFLU
$907K 0.28%
+12,130
New +$930K
BB icon
25
PUT
BlackBerry
BB
$6.24B
$843K 0.26%
+69,000
New +$723K
1
2 3 4 5

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