WAM

Warberg Asset Management Portfolio holdings

AUM $408M
This Quarter Return
+3.88%
1 Year Return
+10.11%
3 Year Return
+19.63%
5 Year Return
–
10 Year Return
–
AUM
$319M
AUM Growth
+$319M
Cap. Flow
+$8.93M
Cap. Flow %
2.8%
Top 10 Hldgs %
44.18%
Holding
240
New
57
Increased
17
Reduced
15
Closed
29

Top Buys

1
WSC icon
WillScot Mobile Mini Holdings
WSC
$3.66M
2
WTRU
Essential Utilities, Inc.6.00% Tangible Equity Units
WTRU
$1.54M
3
CFXA
Colfax Corporation 5.75% Tangible Equity Units
CFXA
$1.25M
4
TWNKW
Hostess Brands, Inc. Warrants
TWNKW
$1.08M
5
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
$907K

Top Sells

1
CCL icon
Carnival Corp
CCL
$3.17M
2
SJIU
South Jersey Industries, Inc.
SJIU
$1.28M
3
GCMGW icon
GCM Grosvenor Inc. Warrant
GCMGW
$1.1M
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 Shares
Change % 		Capital Flow
TWNKW
1
DELISTED
Hostess Brands, Inc. Warrants
TWNKW
$5.18M 1.01% 2,133,405 +443,584 +26% +$1.08M
WSC icon
2
WillScot Mobile Mini Holdings
WSC
$4.41B
$3.66M 0.71% +131,149 New +$3.66M
NEE.PRO
3
DELISTED
NextEra Energy, Inc. 4.872% Corporate Units
NEE.PRO
$2.45M 0.48% 43,867 +3,606 +9% +$201K
IEAWW
4
DELISTED
Infrastructure and Energy Alternatives, Inc. Warrant
IEAWW
$2.42M 0.47% 1,125,088 +35,412 +3% +$76.1K
WTRU
5
DELISTED
Essential Utilities, Inc.6.00% Tangible Equity Units
WTRU
$1.54M 0.3% +26,842 New +$1.54M
CFXA
6
DELISTED
Colfax Corporation 5.75% Tangible Equity Units
CFXA
$1.25M 0.24% +6,689 New +$1.25M
SSSS icon
7
SuRo Capital
SSSS
$208M
$1.21M 0.24% 89,939 +4,740 +6% +$63.9K
GFLU
8
DELISTED
GFL Environmental Inc. Tangible Equity Units
GFLU
$907K 0.18% +12,130 New +$907K
GCMGW icon
9
GCM Grosvenor Inc. Warrant
GCMGW
$34.6M
$829K 0.16% 538,121 -712,972 -57% -$1.1M
DMS.WS
10
DELISTED
Digital Media Solutions, Inc. Warrants, each whole warrant exercisable for one Class A Ordinary Share at an exercise price of $11.50
DMS.WS
$770K 0.15% 558,186 +260,879 +88% +$360K
INSG icon
11
Inseego
INSG
$185M
$739K 0.14% 73,200 +11,300 +18% +$114K
NEN icon
12
New England Realty Associates
NEN
$660K 0.13% 11,000 +5,414 +97% +$325K
IGICW
13
DELISTED
International General Insurance Holdings Ltd. Warrants expiring 03/17/2025
IGICW
$639K 0.12% 639,277 -1,441 -0.2% -$1.44K
PSTH
14
DELISTED
Pershing Square Tontine Holdings, Ltd.
PSTH
$569K 0.11% 25,000 +15,000 +150% +$341K
ALFIW
15
DELISTED
ALFI, Inc. Warrant
ALFIW
$563K 0.11% +54,888 New +$563K
PAVMZ
16
DELISTED
PAVmed Inc. Series Z Warrant
PAVMZ
$521K 0.1% 108,509 +95,274 +720% +$457K
POL.WS
17
DELISTED
Polished.com Inc. Warrants to Purchase Common Stock
POL.WS
$478K 0.09% +224,638 New +$478K
KLR.WS
18
DELISTED
Kaleyra, Inc. Warrants, each whole Warrant exercisable for one share of Common Stock at an exercise price of $40.25 per share
KLR.WS
$461K 0.09% +144,000 New +$461K
TRKAW
19
DELISTED
Troika Media Group, Inc. Warrant
TRKAW
$439K 0.09% +556,350 New +$439K
KRBP
20
DELISTED
Kiromic BioPharma, Inc. Common Stock
KRBP
$303K 0.06% +63,000 New +$303K
VXX icon
21
iPath Series B S&P 500 VIX Short-Term Futures ETN
VXX
$262M
$293K 0.06% +9,935 New +$293K
MUDS
22
DELISTED
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
$262K 0.05% +21,000 New +$262K
PTIXW icon
23
Protagenic Therapeutics, Inc. Warrant
PTIXW
$144K
$260K 0.05% +365,790 New +$260K
IKT icon
24
Inhibikase Therapeutics
IKT
$134M
$252K 0.05% +90,000 New +$252K
AQNU
25
DELISTED
Algonquin Power & Utilities Corp. Corporate Units
AQNU
$248K 0.05% +5,000 New +$248K
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