We are live on ! Find out more
WAM

Warberg Asset Management Portfolio holdings

AUM $600M
1-Year Est. Return 23.37%
This Fund
S&P 500
This Quarter Est. Return
+1.31%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$540M
AUM Growth
-$77.1M
Cap. Flow
-$263M
Cap. Flow %
-48.78%
Top 10 Hldgs %
59.86%
Holding
253
New
57
Increased
12
Reduced
52
Closed
53

Top Buys

Rank Stock Value
1
AVTR.PRA
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
+$15.3M
2
DHR.PRA
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
+$15.2M
3
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$3.64M
4
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$3.52M
5
AVGOP
Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A
AVGOP
+$2.58M

Top Sells

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$1.93M
2
WSC icon
WillScot Mobile Mini Holdings
WSC
+$1.78M
3
NEE.PRP
NextEra Energy, Inc. 5.279% Corporate Units
NEE.PRP
+$1.53M
4
IEAWW
Infrastructure and Energy Alternatives, Inc. Warrant
IEAWW
+$1.51M
5
MUDS
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
+$1.39M

Sector Composition

Rank Sector Weight
1 Financials 0.5%
2 Consumer Discretionary 0.21%
3 Healthcare 0.2%
4 Technology 0.16%
5 Real Estate 0.06%
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
$777B
$179M 33.26%
377,800
-140,200
-27% -$64.4M
AVTR.PRA
2
DELISTED
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
$16.3M 3.02%
+126,255
New +$15.3M
DHR.PRA
3
DELISTED
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
$16M 2.97%
+7,312
New +$15.2M
EXEEW
4
DELISTED
Expand Energy Corp Class A Warrants
EXEEW
$8.4M 1.56%
210,101
+92,101
+78% +$3.52M
QQQ icon
5
PUT
Invesco QQQ Trust
QQQ
$440B
$8.08M 1.5%
20,300
-4,700
-19% -$1.81M
EXEEZ
6
DELISTED
Expand Energy Corp Class B Warrants
EXEEZ
$3.81M 0.71%
+106,250
New +$3.64M
AVGOP
7
DELISTED
Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A
AVGOP
$3.06M 0.57%
+1,473
New +$2.58M
TSLA icon
8
PUT
Tesla
TSLA
$1.2T
$2.75M 0.51%
7,800
-22,200
-74% -$7.45M
AAPL icon
9
PUT
Apple
AAPL
$5T
$2.68M 0.5%
15,100
-2,400
-14% -$379K
WTRU
10
DELISTED
Essential Utilities, Inc.6.00% Tangible Equity Units
WTRU
$2.62M 0.49%
40,220
+4,230
+12% +$251K
SPY icon
11
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$777B
$2.42M 0.45%
5,100
+100
+2% +$45.9K
NEE.PRO
12
DELISTED
NextEra Energy, Inc. 4.872% Corporate Units
NEE.PRO
$2.03M 0.38%
29,867
-17,966
-38% -$1.14M
EXEEL
13
DELISTED
Expand Energy Corp Class C Warrants
EXEEL
$2.03M 0.38%
62,000
– –
GFLU
14
DELISTED
GFL Environmental Inc. Tangible Equity Units
GFLU
$1.79M 0.33%
+20,641
New +$1.84M
HTZWW
15
Hertz Global Holdings Warrants
HTZWW
$64.3M
$1.78M 0.33%
+111,621
New +$1.76M
HD icon
16
CALL
Home Depot
HD
$337B
$1.54M 0.28%
+3,700
New +$1.41M
SABRP
17
DELISTED
Sabre Corporation 6.50% Series A Mandatory Convertible Preferred Stock
SABRP
$1.4M 0.26%
+12,194
New +$1.55M
OXY.WS icon
18
Occidental Petroleum Corp Warrants
OXY.WS
$32.3B
$1.37M 0.25%
+108,885
New +$1.49M
TBT icon
19
CALL
ProShares Trust UltraShort Lehman 20+ Year Treasury
TBT
$292M
$1.1M 0.2%
65,000
+41,000
+171% +$711K
PTC icon
20
PUT
PTC
PTC
$14.9B
$993K 0.18%
+8,200
New +$988K
MUDS
21
DELISTED
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
$913K 0.17%
91,856
-139,544
-60% -$1.39M
IIPR icon
22
PUT
Innovative Industrial Properties
IIPR
$1.75B
$894K 0.17%
3,400
-5,000
-60% -$1.28M
VXX icon
23
CALL
iPath Series B S&P 500 VIX Short-Term Futures ETN
VXX
$166M
$826K 0.15%
2,788
-962
-26% -$342K
DASH icon
24
PUT
DoorDash
DASH
$85.2B
$700K 0.13%
4,700
-13,300
-74% -$2.52M
COIN icon
25
PUT
Coinbase
COIN
$43.6B
$656K 0.12%
+2,600
New +$756K
1
2 3 4 5

Similar funds

GP
GSK plc London $599M AUM
BHPW
Beverly Hills Private Wealth Beverly Hills, California $600M AUM 21.5% 1-Year Est. Return
CCP
Clifford Capital Partners Alpine, Utah $600M AUM 19.57% 1-Year Est. Return
SCM
Stanley Capital Management Houston, Texas $598M AUM 33.22% 1-Year Est. Return
OCAM
Onex Canada Asset Management Toronto, Ontario, Canada $601M AUM 15.16% 1-Year Est. Return
NPCM
North Peak Capital Management New York $601M AUM 0.2% 1-Year Est. Return
FSG
Financial Strategies Group Okemos, Michigan $598M AUM 12.52% 1-Year Est. Return
CIG
Capricorn Investment Group Palo Alto, California $602M AUM 165.22% 1-Year Est. Return

Warberg Asset Management's Q4 2021 Portfolio in Review

As of Q4 2021, Warberg Asset Management held 253 positions worth $540M, down 13% from $617M the previous quarter. Its ten largest holdings account for 60% of the portfolio.

Warberg Asset Management withdrew a net $263M in Q4 2021, closing 53 positions and reducing 52 holdings. Its most notable exit was Invesco QQQ Trust, an estimated $1.93M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.5% of assets, down from 0.58% a quarter earlier, followed by Consumer Discretionary and Healthcare.

Against the trend, Warberg Asset Management opened a new position in Avantor, Inc. Series A Mandatory Convertible Preferred Stock worth $16.3M.

  • Warberg Asset Management's largest Q4 2021 buy was Avantor, Inc. Series A Mandatory Convertible Preferred Stock: 126,255 shares worth $16.3M.
  • Warberg Asset Management added most to Expand Energy Corp Class A Warrants in Q4 2021, an estimated $3.52M increase.
  • Warberg Asset Management's biggest Q4 2021 reduction was Mudrick Capital Acquisition Corporation II Class A Common Stock, cutting an estimated $1.39M.
  • Warberg Asset Management fully exited Invesco QQQ Trust in Q4 2021, selling an estimated $1.93M.
  • Warberg Asset Management's ten largest holdings make up 60% of its $540M portfolio in Q4 2021.
  • Warberg Asset Management opened 57 new positions and closed 53 in Q4 2021.
  • Warberg Asset Management's portfolio value fell 13% quarter-over-quarter to $540M.

Based on Warberg Asset Management's 13F filing for Q4 2021, filed 14 Feb 2022.