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
-1.72%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$455M
AUM Growth
-$194M
Cap. Flow
-$241M
Cap. Flow %
-52.97%
Top 10 Hldgs %
59.59%
Holding
296
New
69
Increased
53
Reduced
33
Closed
45

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$6.55M
2
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$6.29M
3
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$6.04M
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$2.45M
5
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$2.27M

Top Sells

Rank Stock Value
1
DHR.PRA
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
+$26.2M
2
AVTR.PRA
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
+$13.4M
3
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$1.85M
4
SABRP
Sabre Corporation 6.50% Series A Mandatory Convertible Preferred Stock
SABRP
+$763K
5
RCA
Ready Capital Corporation 7.00% Convertible Senior Notes due 2023
RCA
+$743K

Sector Composition

Rank Sector Weight
1 Financials 0.95%
2 Real Estate 0.3%
3 Utilities 0.29%
4 Healthcare 0.2%
5 Technology 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
$783B
$92.4M 20.31%
245,000
-120,300
-33% -$49.3M
OXY.WS icon
2
Occidental Petroleum Corp Warrants
OXY.WS
$30.1B
$39.1M 8.6%
1,051,472
+158,553
+18% +$6.29M
QQQ icon
3
PUT
Invesco QQQ Trust
QQQ
$445B
$23.8M 5.24%
85,000
+30,500
+56% +$9.46M
EXEEW
4
DELISTED
Expand Energy Corp Class A Warrants
EXEEW
$23M 5.06%
376,848
+20,479
+6% +$1.42M
EXEEL
5
DELISTED
Expand Energy Corp Class C Warrants
EXEEL
$15.8M 3.48%
301,794
+99,046
+49% +$6.04M
SRRA
6
PUT
DELISTED
Sierra Oncology, Inc. Common Stock
SRRA
$11.7M 2.58%
+213,100
New +$11.2M
EXEEZ
7
DELISTED
Expand Energy Corp Class B Warrants
EXEEZ
$11.2M 2.47%
198,101
+34,821
+21% +$2.27M
SPY icon
8
State Street SPDR S&P 500 ETF Trust
SPY
$783B
$6.04M 1.33%
+16,000
New +$6.55M
MCD icon
9
PUT
McDonald's
MCD
$194B
$5.68M 1.25%
+23,000
New +$5.66M
ATVI
10
CALL
DELISTED
Activision Blizzard
ATVI
$4.86M 1.07%
62,400
+30,700
+97% +$2.39M
QQQ icon
11
CALL
Invesco QQQ Trust
QQQ
$445B
$4.2M 0.92%
15,000
-2,000
-12% -$621K
GFLU
12
DELISTED
GFL Environmental Inc. Tangible Equity Units
GFLU
$3.97M 0.87%
67,156
+36,151
+117% +$2.45M
TSLA icon
13
PUT
Tesla
TSLA
$1.21T
$2.42M 0.53%
10,800
+3,300
+44% +$901K
GDX icon
14
CALL
VanEck Gold Miners ETF
GDX
$22.7B
$2.17M 0.48%
79,100
+50,000
+172% +$1.69M
HTZWW
15
Hertz Global Holdings Warrants
HTZWW
$71.1M
$2.09M 0.46%
213,192
+88,795
+71% +$1.15M
QQQ icon
16
Invesco QQQ Trust
QQQ
$445B
$1.96M 0.43%
+7,000
New +$2.17M
SJIV
17
DELISTED
South Jersey Industries, Inc. Corporate Units
SJIV
$1.77M 0.39%
+26,037
New +$1.79M
FSR
18
PUT
DELISTED
Fisker Inc.
FSR
$1.59M 0.35%
+185,700
New +$1.92M
NEN icon
19
New England Realty Associates
NEN
$199M
$1.38M 0.3%
17,971
+2,271
+14% +$178K
AAPL icon
20
PUT
Apple
AAPL
$4.99T
$1.37M 0.3%
10,000
– –
SWT
21
DELISTED
Stanley Black & Decker, Inc.
SWT
$1.11M 0.24%
+16,442
New +$1.28M
UNG icon
22
CALL
United States Natural Gas Fund
UNG
$444M
$1.05M 0.23%
+13,750
New +$1.42M
SLV icon
23
CALL
iShares Silver Trust
SLV
$27.6B
$932K 0.2%
50,000
-5,000
-9% -$104K
XOM icon
24
CALL
ExxonMobil
XOM
$634B
$856K 0.19%
+10,000
New +$902K
PSTH
25
DELISTED
Pershing Square Tontine Holdings, Ltd.
PSTH
$782K 0.17%
39,147
+9,147
+30% +$182K
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 Q2 2022 Portfolio in Review

As of Q2 2022, Warberg Asset Management held 296 positions worth $455M, down 30% from $649M the previous quarter. Its ten largest holdings account for 60% of the portfolio.

Warberg Asset Management withdrew a net $241M in Q2 2022, closing 45 positions and reducing 33 holdings. Its most notable exit was Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A, an estimated $26.2M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.95% of assets, up from 0.47% a quarter earlier, followed by Real Estate and Utilities.

Against the trend, Warberg Asset Management opened a new position in State Street SPDR S&P 500 ETF Trust worth $6.04M.

  • Warberg Asset Management's largest Q2 2022 buy was State Street SPDR S&P 500 ETF Trust: 16,000 shares worth $6.04M.
  • Warberg Asset Management added most to Occidental Petroleum Corp Warrants in Q2 2022, an estimated $6.29M increase.
  • Warberg Asset Management's biggest Q2 2022 reduction was The Southern Company, cutting an estimated $555K.
  • Warberg Asset Management fully exited Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A in Q2 2022, selling an estimated $26.2M.
  • Warberg Asset Management's ten largest holdings make up 60% of its $455M portfolio in Q2 2022.
  • Warberg Asset Management opened 69 new positions and closed 45 in Q2 2022.
  • Warberg Asset Management's portfolio value fell 30% quarter-over-quarter to $455M.

Based on Warberg Asset Management's 13F filing for Q2 2022, filed 11 Aug 2022.