We are live on ! Find out more
WAM

Warberg Asset Management Portfolio holdings

AUM $551M
1-Year Est. Return 34.68%
This Fund
S&P 500
This Quarter Est. Return
+18.18%
1 Year Est. Return
+34.68%
3 Year Est. Return
+65.34%
5 Year Est. Return
+117.41%
10 Year Est. Return
–
AUM
$649M
AUM Growth
+$110M
Cap. Flow
-$140M
Cap. Flow %
-21.5%
Top 10 Hldgs %
64.55%
Holding
273
New
75
Increased
52
Reduced
26
Closed
44

Top Buys

Rank Stock Value
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

Rank Stock Value
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

Rank Sector Weight
1 Miscellaneous 98.31%
2 Financials 0.49%
3 Consumer Discretionary 0.36%
4 Real Estate 0.19%
5 Utilities 0.19%
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
$165M 25.41%
365,300
-12,500
-3% -$5.57M
OXY.WS icon
2
Occidental Petroleum Corp Warrants
OXY.WS
$34.9B
$31.4M 4.83%
892,919
+784,034
+720% +$19M
DHR.PRA
3
DELISTED
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
$26.2M 4.03%
13,403
+6,091
+83% +$11.6M
EXEEW
4
DELISTED
Expand Energy Corp Class A Warrants
EXEEW
$22.8M 3.51%
356,369
+146,268
+70% +$7.15M
QQQ icon
5
PUT
Invesco QQQ Trust
QQQ
$489B
$19.8M 3.04%
54,500
+34,200
+168% +$12.1M
AVTR.PRA
6
DELISTED
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
$13.4M 2.07%
129,739
+3,484
+3% +$380K
EXEEL
7
DELISTED
Expand Energy Corp Class C Warrants
EXEEL
$11.3M 1.74%
202,748
+140,748
+227% +$5.78M
EXEEZ
8
DELISTED
Expand Energy Corp Class B Warrants
EXEEZ
$9.72M 1.5%
163,280
+57,030
+54% +$2.53M
QQQ icon
9
CALL
Invesco QQQ Trust
QQQ
$489B
$6.16M 0.95%
+17,000
New +$6.04M
TLT icon
10
PUT
iShares 20+ Year Treasury Bond ETF
TLT
$46.8B
$3.17M 0.49%
+24,000
New +$3.31M
TSLA icon
11
PUT
Tesla
TSLA
$1.38T
$2.69M 0.41%
7,500
-300
-4% -$93.4K
ATVI
12
CALL
DELISTED
Activision Blizzard
ATVI
$2.54M 0.39%
+31,700
New +$2.47M
GFLU
13
DELISTED
GFL Environmental Inc. Tangible Equity Units
GFLU
$2.29M 0.35%
31,005
+10,364
+50% +$746K
HTZWW
14
Hertz Global Holdings Warrants
HTZWW
$86M
$1.91M 0.29%
124,397
+12,776
+11% +$180K
TLT icon
15
iShares 20+ Year Treasury Bond ETF
TLT
$46.8B
$1.85M 0.29%
+14,000
New +$1.93M
AAPL icon
16
PUT
Apple
AAPL
$4.67T
$1.75M 0.27%
10,000
-5,100
-34% -$858K
SLV icon
17
CALL
iShares Silver Trust
SLV
$32.3B
$1.26M 0.19%
55,000
+29,800
+118% +$662K
NEN icon
18
New England Realty Associates
NEN
$192M
$1.26M 0.19%
15,700
+10,699
+214% +$842K
DASH icon
19
PUT
DoorDash
DASH
$103B
$1.23M 0.19%
10,500
+5,800
+123% +$627K
SOLN
20
DELISTED
The Southern Company
SOLN
$1.18M 0.18%
+21,501
New +$1.13M
GDX icon
21
CALL
VanEck Gold Miners ETF
GDX
$31B
$1.12M 0.17%
29,100
+8,800
+43% +$299K
MUDS
22
DELISTED
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
$1.02M 0.16%
101,338
+9,482
+10% +$94.7K
HYG icon
23
PUT
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$17.6B
$987K 0.15%
+12,000
New +$1M
AEM icon
24
CALL
Agnico Eagle Mines
AEM
$104B
$980K 0.15%
+16,000
New +$866K
PYPL icon
25
CALL
PayPal
PYPL
$45.9B
$810K 0.12%
+7,000
New +$932K
1
2 3 4 5

Similar funds

GCGDR
Genoa Capital Gestora de Recursos Sao Paulo $551M AUM
PRCP
Pacific Ridge Capital Partners Lake Oswego, Oregon $551M AUM 49.99% 1-Year Est. Return
PWMG
Prestige Wealth Management Group Flemington, New Jersey $551M AUM 19.05% 1-Year Est. Return
IG
Ithaka Group Arlington, Virginia $551M AUM 29.06% 1-Year Est. Return
CPIM
Cypress Point Investment Management Mill Valley, California $552M AUM
LECM
Lead Edge Capital Management New York $550M AUM 11.23% 1-Year Est. Return
KV
Kickstand Ventures Pittsford, New York $550M AUM 22.11% 1-Year Est. Return
TCM
Triumph Capital Management Denver, Colorado $552M AUM 20.75% 1-Year Est. Return

Warberg Asset Management's Q1 2022 Portfolio in Review

As of Q1 2022, Warberg Asset Management held 273 positions worth $649M, up 20% from $540M the previous quarter. Its ten largest holdings account for 65% of the portfolio.

Warberg Asset Management withdrew a net $140M in Q1 2022, closing 44 positions and reducing 26 holdings. Its most notable exit was Essential Utilities, Inc.6.00% Tangible Equity Units, an estimated $2.62M position sold in full.

By sector, the portfolio is most concentrated in Miscellaneous at 98% of assets, down from 99% a quarter earlier, followed by Financials and Consumer Discretionary.

Against the trend, Warberg Asset Management opened a new position in iShares 20+ Year Treasury Bond ETF worth $1.85M.

  • Warberg Asset Management's largest Q1 2022 buy was iShares 20+ Year Treasury Bond ETF: 14,000 shares worth $1.85M.
  • Warberg Asset Management added most to Occidental Petroleum Corp Warrants in Q1 2022, an estimated $19M increase.
  • Warberg Asset Management's biggest Q1 2022 reduction was Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A, cutting an estimated $2.49M.
  • Warberg Asset Management fully exited Essential Utilities, Inc.6.00% Tangible Equity Units in Q1 2022, selling an estimated $2.62M.
  • Warberg Asset Management's ten largest holdings make up 65% of its $649M portfolio in Q1 2022.
  • Warberg Asset Management opened 75 new positions and closed 44 in Q1 2022.
  • Warberg Asset Management's portfolio value rose 20% quarter-over-quarter to $649M.

Based on Warberg Asset Management's 13F filing for Q1 2022, filed 13 May 2022.