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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
+1.57%
1 Year Est. Return
+34.68%
3 Year Est. Return
+65.34%
5 Year Est. Return
+117.41%
10 Year Est. Return
–
AUM
$617M
AUM Growth
+$101M
Cap. Flow
-$234M
Cap. Flow %
-38.02%
Top 10 Hldgs %
61.15%
Holding
231
New
51
Increased
29
Reduced
33
Closed
34

Top Buys

Rank Stock Value
1
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$3.67M
2
MUDS
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
+$2.21M
3
QQQ icon
Invesco QQQ Trust
QQQ
+$1.84M
4
PAVMZ
PAVmed Inc. Series Z Warrant
PAVMZ
+$1.82M
5
NEE.PRP
NextEra Energy, Inc. 5.279% Corporate Units
NEE.PRP
+$1.57M

Top Sells

Rank Stock Value
1
TWNKW
Hostess Brands, Inc. Warrants
TWNKW
+$5.03M
2
WSC icon
WillScot Mobile Mini Holdings
WSC
+$2.17M
3
CFXA
Colfax Corporation 5.75% Tangible Equity Units
CFXA
+$1.25M
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$907K
5
POL.WS
Polished.com Inc. Warrants to Purchase Common Stock
POL.WS
+$478K

Sector Composition

Rank Sector Weight
1 Miscellaneous 98.22%
2 Financials 0.58%
3 Consumer Discretionary 0.44%
4 Industrials 0.35%
5 Technology 0.13%
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
$222M 36.05%
518,000
+157,000
+43% +$69.3M
QQQ icon
2
PUT
Invesco QQQ Trust
QQQ
$489B
$8.95M 1.45%
+25,000
New +$9.21M
TSLA icon
3
PUT
Tesla
TSLA
$1.38T
$7.75M 1.26%
30,000
– –
EXEEW
4
DELISTED
Expand Energy Corp Class A Warrants
EXEEW
$4.29M 0.69%
+118,000
New +$3.67M
DASH icon
5
PUT
DoorDash
DASH
$103B
$3.71M 0.6%
18,000
+2,000
+13% +$383K
TLT icon
6
PUT
iShares 20+ Year Treasury Bond ETF
TLT
$46.8B
$3.61M 0.59%
+25,000
New +$3.71M
MRNA icon
7
PUT
Moderna
MRNA
$55.1B
$3.46M 0.56%
+9,000
New +$3.32M
PAVMZ
8
DELISTED
PAVmed Inc. Series Z Warrant
PAVMZ
$3.1M 0.5%
445,899
+337,390
+311% +$1.82M
NEE.PRO
9
DELISTED
NextEra Energy, Inc. 4.872% Corporate Units
NEE.PRO
$2.8M 0.45%
47,833
+3,966
+9% +$239K
AAPL icon
10
PUT
Apple
AAPL
$4.67T
$2.48M 0.4%
+17,500
New +$2.58M
MUDS
11
DELISTED
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
$2.3M 0.37%
231,400
+210,400
+1,002% +$2.21M
SLV icon
12
CALL
iShares Silver Trust
SLV
$32.3B
$2.26M 0.37%
110,000
+50,000
+83% +$1.12M
SPY icon
13
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$825B
$2.15M 0.35%
+5,000
New +$2.21M
WTRU
14
DELISTED
Essential Utilities, Inc.6.00% Tangible Equity Units
WTRU
$2.06M 0.33%
35,990
+9,148
+34% +$548K
IIPR icon
15
PUT
Innovative Industrial Properties
IIPR
$1.55B
$1.94M 0.31%
8,400
-3,100
-27% -$699K
EXEEL
16
DELISTED
Expand Energy Corp Class C Warrants
EXEEL
$1.81M 0.29%
+62,000
New +$1.49M
QQQ icon
17
Invesco QQQ Trust
QQQ
$489B
$1.79M 0.29%
+5,000
New +$1.84M
WSC icon
18
WillScot Mobile Mini Holdings
WSC
$3.79B
$1.78M 0.29%
56,004
-75,145
-57% -$2.17M
VXX icon
19
CALL
iPath Series B S&P 500 VIX Short-Term Futures ETN
VXX
$133M
$1.67M 0.27%
3,750
-1,313
-26% -$589K
GDX icon
20
CALL
VanEck Gold Miners ETF
GDX
$31B
$1.62M 0.26%
55,000
+30,500
+124% +$994K
NEE.PRP
21
DELISTED
NextEra Energy, Inc. 5.279% Corporate Units
NEE.PRP
$1.53M 0.25%
+30,000
New +$1.57M
IEAWW
22
DELISTED
Infrastructure and Energy Alternatives, Inc. Warrant
IEAWW
$1.51M 0.24%
1,278,607
+153,519
+14% +$258K
ARKK icon
23
PUT
ARK Innovation ETF
ARKK
$6.46B
$1.1M 0.18%
10,000
+3,000
+43% +$361K
TMV icon
24
CALL
Direxion Daily 20+ Year Treasury Bear 3X ETF
TMV
$198M
$935K 0.15%
60,000
– –
NSLR
25
Neostellar Capital Corp
NSLR
$270M
$838K 0.14%
64,929
-25,010
-28% -$328K
1
2 3 4 5

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Warberg Asset Management's Q3 2021 Portfolio in Review

As of Q3 2021, Warberg Asset Management held 231 positions worth $617M, up 20% from $516M the previous quarter. Its ten largest holdings account for 61% of the portfolio.

Warberg Asset Management withdrew a net $234M in Q3 2021, closing 34 positions and reducing 33 holdings. Its most notable exit was Colfax Corporation 5.75% Tangible Equity Units, an estimated $1.25M 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 Financials and Consumer Discretionary.

Against the trend, Warberg Asset Management opened a new position in Expand Energy Corp Class A Warrants worth $4.29M.

  • Warberg Asset Management's largest Q3 2021 buy was Expand Energy Corp Class A Warrants: 118,000 shares worth $4.29M.
  • Warberg Asset Management added most to Mudrick Capital Acquisition Corporation II Class A Common Stock in Q3 2021, an estimated $2.21M increase.
  • Warberg Asset Management's biggest Q3 2021 reduction was Hostess Brands, Inc. Warrants, cutting an estimated $5.03M.
  • Warberg Asset Management fully exited Colfax Corporation 5.75% Tangible Equity Units in Q3 2021, selling an estimated $1.25M.
  • Warberg Asset Management's ten largest holdings make up 61% of its $617M portfolio in Q3 2021.
  • Warberg Asset Management opened 51 new positions and closed 34 in Q3 2021.
  • Warberg Asset Management's portfolio value rose 20% quarter-over-quarter to $617M.

Based on Warberg Asset Management's 13F filing for Q3 2021, filed 15 Nov 2021.