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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
+5.76%
1 Year Est. Return
+34.68%
3 Year Est. Return
+65.34%
5 Year Est. Return
+117.41%
10 Year Est. Return
–
AUM
$516M
AUM Growth
+$215M
Cap. Flow
-$140M
Cap. Flow %
-27.07%
Top 10 Hldgs %
55.42%
Holding
238
New
71
Increased
20
Reduced
27
Closed
43

Top Buys

Rank Stock Value
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

Rank Stock Value
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

Rank Sector Weight
1 Miscellaneous 97.83%
2 Industrials 0.76%
3 Financials 0.66%
4 Technology 0.23%
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
$155M 29.96%
361,000
+206,000
+133% +$86M
TSLA icon
2
PUT
Tesla
TSLA
$1.38T
$6.8M 1.32%
30,000
+16,500
+122% +$3.58M
MSFT icon
3
CALL
Microsoft
MSFT
$3.81T
$5.42M 1.05%
+20,000
New +$5.08M
TWNKW
4
DELISTED
Hostess Brands, Inc. Warrants
TWNKW
$5.18M 1.01%
2,133,405
+443,584
+26% +$912K
WSC icon
5
WillScot Mobile Mini Holdings
WSC
$3.79B
$3.65M 0.71%
+131,149
New +$3.77M
DASH icon
6
PUT
DoorDash
DASH
$103B
$2.85M 0.55%
16,000
+10,000
+167% +$1.47M
WSC icon
7
PUT
WillScot Mobile Mini Holdings
WSC
$3.79B
$2.68M 0.52%
96,000
-17,000
-15% -$489K
AMC icon
8
PUT
AMC Entertainment Holdings
AMC
$2.31B
$2.49M 0.48%
+4,400
New +$1.17M
NEE.PRO
9
DELISTED
NextEra Energy, Inc. 4.872% Corporate Units
NEE.PRO
$2.45M 0.48%
43,867
+3,606
+9% +$206K
IEAWW
10
DELISTED
Infrastructure and Energy Alternatives, Inc. Warrant
IEAWW
$2.42M 0.47%
1,125,088
+35,412
+3% +$75.1K
VXX icon
11
CALL
iPath Series B S&P 500 VIX Short-Term Futures ETN
VXX
$133M
$2.39M 0.46%
+5,063
New +$3.02M
IIPR icon
12
PUT
Innovative Industrial Properties
IIPR
$1.55B
$2.2M 0.43%
11,500
-4,600
-29% -$844K
ROKU icon
13
PUT
Roku
ROKU
$23.4B
$1.84M 0.36%
+4,000
New +$1.41M
WTRU
14
DELISTED
Essential Utilities, Inc.6.00% Tangible Equity Units
WTRU
$1.54M 0.3%
+26,842
New +$1.58M
SLV icon
15
CALL
iShares Silver Trust
SLV
$32.3B
$1.45M 0.28%
60,000
+20,000
+50% +$495K
NVDA icon
16
CALL
NVIDIA
NVDA
$5.25T
$1.4M 0.27%
+280,000
New +$4.49M
CFXA
17
DELISTED
Colfax Corporation 5.75% Tangible Equity Units
CFXA
$1.25M 0.24%
+6,689
New +$1.22M
NSLR
18
Neostellar Capital Corp
NSLR
$270M
$1.21M 0.24%
89,939
-11,557
-11% -$150K
NSLR
19
PUT
Neostellar Capital Corp
NSLR
$270M
$1.13M 0.22%
84,000
-17,497
-17% -$227K
XOM icon
20
CALL
ExxonMobil
XOM
$644B
$1.07M 0.21%
17,000
-23,000
-58% -$1.37M
TMV icon
21
CALL
Direxion Daily 20+ Year Treasury Bear 3X ETF
TMV
$198M
$977K 0.19%
60,000
– –
PCT icon
22
PUT
PureCycle Technologies
PCT
$1.31B
$970K 0.19%
+41,000
New +$882K
ARKK icon
23
PUT
ARK Innovation ETF
ARKK
$6.46B
$915K 0.18%
7,000
-1,000
-13% -$117K
GFLU
24
DELISTED
GFL Environmental Inc. Tangible Equity Units
GFLU
$907K 0.18%
+12,130
New +$930K
BB icon
25
PUT
BlackBerry
BB
$4.78B
$843K 0.16%
+69,000
New +$723K
1
2 3 4 5

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PWMG
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Warberg Asset Management's Q2 2021 Portfolio in Review

As of Q2 2021, Warberg Asset Management held 238 positions worth $516M, up 71% from $301M the previous quarter. Its ten largest holdings account for 55% of the portfolio.

Warberg Asset Management withdrew a net $140M in Q2 2021, closing 43 positions and reducing 27 holdings. Its most notable exit was Carnival Corporation Ltd, an estimated $3.17M position sold in full.

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

Against the trend, Warberg Asset Management opened a new position in WillScot Mobile Mini Holdings worth $3.65M.

  • Warberg Asset Management's largest Q2 2021 buy was WillScot Mobile Mini Holdings: 131,149 shares worth $3.65M.
  • Warberg Asset Management added most to Hostess Brands, Inc. Warrants in Q2 2021, an estimated $912K increase.
  • Warberg Asset Management's biggest Q2 2021 reduction was GCM Grosvenor Inc Warrant, cutting an estimated $1.16M.
  • Warberg Asset Management fully exited Carnival Corporation Ltd in Q2 2021, selling an estimated $3.17M.
  • Warberg Asset Management's ten largest holdings make up 55% of its $516M portfolio in Q2 2021.
  • Warberg Asset Management opened 71 new positions and closed 43 in Q2 2021.
  • Warberg Asset Management's portfolio value rose 71% quarter-over-quarter to $516M.

Based on Warberg Asset Management's 13F filing for Q2 2021, filed 16 Aug 2021.