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WAM

Warberg Asset Management Portfolio holdings

AUM $343M
1-Year Est. Return 23.37%
This Fund
S&P 500
This Quarter Est. Return
+18.18%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$438M
AUM Growth
+$106M
Cap. Flow
-$212M
Cap. Flow %
-48.32%
Top 10 Hldgs %
59.48%
Holding
279
New
61
Increased
47
Reduced
21
Closed
26

Top Buys

1
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$19M
2
DHR.PRA
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
+$11.6M
3
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$7.15M
4
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$5.78M
5
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$2.53M

Top Sells

1
WTRU
Essential Utilities, Inc.6.00% Tangible Equity Units
WTRU
+$2.62M
2
AVGOP
Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A
AVGOP
+$2.49M
3
NEE.PRO
NextEra Energy, Inc. 4.872% Corporate Units
NEE.PRO
+$2.03M
4
SABRP
Sabre Corporation 6.50% Series A Mandatory Convertible Preferred Stock
SABRP
+$912K
5
IIVI
Coherent Corp. 6.00% Series A Mandatory Convertible Preferred Stock
IIVI
+$640K

Sector Composition

1 Financials 0.7%
2 Consumer Discretionary 0.53%
3 Real Estate 0.29%
4 Utilities 0.27%
5 Healthcare 0.27%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
OXY.WS icon
1
Occidental Petroleum Corp Warrants
OXY.WS
$29.9B
$31.4M 7.16%
892,919
+784,034
+720% +$19M
DHR.PRA
2
DELISTED
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
$26.2M 5.98%
13,403
+6,091
+83% +$11.6M
EXEEW
3
DELISTED
Expand Energy Corp Class A Warrants
EXEEW
$22.8M 5.2%
356,369
+146,268
+70% +$7.15M
AVTR.PRA
4
DELISTED
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
$13.4M 3.06%
129,739
+3,484
+3% +$380K
EXEEL
5
DELISTED
Expand Energy Corp Class C Warrants
EXEEL
$11.3M 2.57%
202,748
+140,748
+227% +$5.78M
EXEEZ
6
DELISTED
Expand Energy Corp Class B Warrants
EXEEZ
$9.72M 2.22%
163,280
+57,030
+54% +$2.53M
GFLU
7
DELISTED
GFL Environmental Inc. Tangible Equity Units
GFLU
$2.29M 0.52%
31,005
+10,364
+50% +$746K
HTZWW
8
Hertz Global Holdings Warrants
HTZWW
$76M
$1.91M 0.44%
124,397
+12,776
+11% +$180K
TLT icon
9
iShares 20+ Year Treasury Bond ETF
TLT
$42B
$1.85M 0.42%
+14,000
New +$1.93M
NEN icon
10
New England Realty Associates
NEN
$1.26M 0.29%
15,700
+10,699
+214% +$842K
SOLN
11
DELISTED
The Southern Company
SOLN
$1.18M 0.27%
+21,501
New +$1.13M
MUDS
12
DELISTED
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
$1.02M 0.23%
101,338
+9,482
+10% +$94.7K
SABRP
13
DELISTED
Sabre Corporation 6.50% Series A Mandatory Convertible Preferred Stock
SABRP
$763K 0.17%
5,072
-7,122
-58% -$912K
RCA
14
DELISTED
Ready Capital Corporation 7.00% Convertible Senior Notes due 2023
RCA
$743K 0.17%
+28,312
New +$748K
PSTH
15
DELISTED
Pershing Square Tontine Holdings, Ltd.
PSTH
$596K 0.14%
30,000
-1
-0% -$20
AVGO icon
16
Broadcom
AVGO
$1.88T
$579K 0.13%
9,200
+470
+5% +$27.9K
DASH icon
17
DoorDash
DASH
$82.9B
$562K 0.13%
+4,800
New +$519K
OPHC icon
18
OptimumBank Holdings
OPHC
$74M
$559K 0.13%
132,850
+115,736
+676% +$490K
BOWL.WS
19
DELISTED
Bowlero Corp. Warrants, each whole warrant exercisable for one share of Class A Common Stock at an e
BOWL.WS
$418K 0.1%
+149,217
New +$290K
CMLS
20
DELISTED
Cumulus Media Inc. Class A Common Stock
CMLS
$365K 0.08%
+36,717
New +$390K
BMTX.WS
21
DELISTED
BM Technologies, Inc. Warrants, each warrant exercisable for one share of Common Stock at an exercise price of $11.50
BMTX.WS
$349K 0.08%
236,415
– –
LCID icon
22
Lucid Motors
LCID
$2.32B
$330K 0.08%
+1,300
New +$387K
SBEV.WS
23
DELISTED
Splash Beverage Group, Inc. Warrants to purchase 1/40th of a share of Common Stock at an exercise price of $184.00
SBEV.WS
$299K 0.07%
299,278
+258,566
+635% +$237K
IGICW
24
DELISTED
International General Insurance Holdings Ltd. Warrants expiring 03/17/2025
IGICW
$264K 0.06%
353,237
+11,846
+3% +$7.84K
FGMCU
25
DELISTED
FG Merger Corp. Unit
FGMCU
$250K 0.06%
+24,879
New +$249K
1
2 3 4 5

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