WAM

Warberg Asset Management Portfolio holdings

AUM $408M
This Quarter Return
+0.78%
1 Year Return
+10.11%
3 Year Return
+19.63%
5 Year Return
–
10 Year Return
–
AUM
$332M
AUM Growth
+$332M
Cap. Flow
+$38.9M
Cap. Flow %
11.71%
Top 10 Hldgs %
46.31%
Holding
262
New
46
Increased
9
Reduced
40
Closed
42

Top Buys

1
AVTR.PRA
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
$16.3M
2
DHR.PRA
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
$16M
3
EXEEZ
Expand Energy Corporation Class B Warrants
EXEEZ
$3.82M
4
EXEEW
Expand Energy Corporation Class A Warrants
EXEEW
$3.68M
5
AVGOP
Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A
AVGOP
$3.06M

Top Sells

1
QQQ icon
Invesco QQQ Trust
QQQ
$1.79M
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

1 Financials 0.81%
2 Consumer Discretionary 0.34%
3 Healthcare 0.33%
4 Technology 0.26%
5 Real Estate 0.1%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
AVTR.PRA
1
DELISTED
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
$16.3M 3.02% +126,255 New +$16.3M
DHR.PRA
2
DELISTED
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
$16M 2.97% +7,312 New +$16M
EXEEW
3
Expand Energy Corporation Class A Warrants
EXEEW
$8.4M 1.56% 210,101 +92,101 +78% +$3.68M
EXEEZ
4
Expand Energy Corporation Class B Warrants
EXEEZ
$3.82M 0.71% +106,250 New +$3.82M
AVGOP
5
DELISTED
Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A
AVGOP
$3.06M 0.57% +1,473 New +$3.06M
WTRU
6
DELISTED
Essential Utilities, Inc.6.00% Tangible Equity Units
WTRU
$2.62M 0.49% 40,220 +4,230 +12% +$276K
NEE.PRO
7
DELISTED
NextEra Energy, Inc. 4.872% Corporate Units
NEE.PRO
$2.03M 0.38% 29,867 -17,966 -38% -$1.22M
EXEEL
8
Expand Energy Corporation Class C Warrants
EXEEL
$2.03M 0.38% 62,000 – –
GFLU
9
DELISTED
GFL Environmental Inc. Tangible Equity Units
GFLU
$1.8M 0.33% +20,641 New +$1.8M
HTZWW
10
Hertz Global Holdings Warrants
HTZWW
$274M
$1.78M 0.33% +111,621 New +$1.78M
SABRP
11
DELISTED
Sabre Corporation 6.50% Series A Mandatory Convertible Preferred Stock
SABRP
$1.4M 0.26% +12,194 New +$1.4M
OXY.WS icon
12
Occidental Petroleum Corporation Warrants to Purchase Common Stock
OXY.WS
$24B
$1.37M 0.25% +108,885 New +$1.37M
MUDS
13
DELISTED
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
$913K 0.17% 91,856 -139,544 -60% -$1.39M
IIVI
14
DELISTED
Coherent Corp. 6.00% Series A Mandatory Convertible Preferred Stock
IIVI
$640K 0.12% +2,262 New +$640K
PSTH
15
DELISTED
Pershing Square Tontine Holdings, Ltd.
PSTH
$592K 0.11% 30,001 -4,999 -14% -$98.6K
AVGO icon
16
Broadcom
AVGO
$1.4T
$581K 0.11% +873 New +$581K
PAVMZ
17
DELISTED
PAVmed Inc. Series Z Warrant
PAVMZ
$543K 0.1% 339,517 -106,382 -24% -$170K
BMTX.WS
18
DELISTED
BM Technologies, Inc. Warrants, each warrant exercisable for one share of Common Stock at an exercise price of $11.50
BMTX.WS
$442K 0.08% 236,415 +172,255 +268% +$322K
KLR.WS
19
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
$434K 0.08% 182,270 +46,224 +34% +$110K
MRNA icon
20
Moderna
MRNA
$9.37B
$381K 0.07% +1,501 New +$381K
NEN icon
21
New England Realty Associates
NEN
$339K 0.06% 5,001 -7,089 -59% -$481K
SWAGW icon
22
Stran & Company, Inc. Warrant
SWAGW
$119K
$318K 0.06% +281,123 New +$318K
IGICW
23
DELISTED
International General Insurance Holdings Ltd. Warrants expiring 03/17/2025
IGICW
$256K 0.05% 341,391 -308,451 -47% -$231K
YCBD.PRA
24
DELISTED
cbdMD, Inc. 8.0% Series A Cumulative Convertible Preferred Stock
YCBD.PRA
$227K 0.04% +38,000 New +$227K
PXSAP
25
DELISTED
Pyxis Tankers Inc. 7.75% Series A Cumulative Convertible Preferred Shares
PXSAP
$210K 0.04% +15,307 New +$210K
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