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WAM

Warberg Asset Management Portfolio holdings

AUM $551M
1-Year Est. Return 34.68%
This Fund
S&P 500
This Quarter Est. Return
+7.08%
1 Year Est. Return
+34.68%
3 Year Est. Return
+65.34%
5 Year Est. Return
+117.41%
10 Year Est. Return
–
AUM
$578M
AUM Growth
+$123M
Cap. Flow
-$101M
Cap. Flow %
-17.41%
Top 10 Hldgs %
63.86%
Holding
346
New
101
Increased
44
Reduced
42
Closed
52

Top Buys

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$8.6M
2
HTZWW
Hertz Global Holdings Warrants
HTZWW
+$4.23M
3
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$3.22M
4
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$2.96M
5
AAPL icon
Apple
AAPL
+$2.51M

Top Sells

Rank Stock Value
1
SWT
Stanley Black & Decker, Inc.
SWT
+$1.11M
2
PSTH
Pershing Square Tontine Holdings, Ltd.
PSTH
+$782K
3
SO icon
Southern Company
SO
+$713K
4
SOLN
The Southern Company
SOLN
+$604K
5
SJIV
South Jersey Industries, Inc. Corporate Units
SJIV
+$551K

Sector Composition

Rank Sector Weight
1 Miscellaneous 96.9%
2 Financials 1.49%
3 Technology 0.66%
4 Consumer Discretionary 0.24%
5 Real Estate 0.22%
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
$120M 20.67%
334,600
+89,600
+37% +$35.6M
OXY.WS icon
2
Occidental Petroleum Corp Warrants
OXY.WS
$34.9B
$44.4M 7.69%
1,121,795
+70,323
+7% +$2.96M
QQQ icon
3
PUT
Invesco QQQ Trust
QQQ
$489B
$37.4M 6.47%
140,000
+55,000
+65% +$16.6M
EXEEW
4
DELISTED
Expand Energy Corp Class A Warrants
EXEEW
$31.7M 5.49%
395,369
+18,521
+5% +$1.44M
SPY icon
5
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$825B
$25M 4.32%
+70,000
New +$27.8M
EXEEL
6
DELISTED
Expand Energy Corp Class C Warrants
EXEEL
$22.2M 3.84%
302,383
+589
+0.2% +$41.3K
EXEEZ
7
DELISTED
Expand Energy Corp Class B Warrants
EXEEZ
$18.5M 3.19%
241,808
+43,707
+22% +$3.22M
QQQ icon
8
Invesco QQQ Trust
QQQ
$489B
$9.49M 1.64%
35,500
+28,500
+407% +$8.6M
SPY icon
9
State Street SPDR S&P 500 ETF Trust
SPY
$825B
$7.5M 1.3%
21,000
+5,000
+31% +$1.99M
HTZWW
10
Hertz Global Holdings Warrants
HTZWW
$86M
$5.39M 0.93%
605,332
+392,140
+184% +$4.23M
ATVI
11
CALL
DELISTED
Activision Blizzard
ATVI
$4.94M 0.86%
66,500
+4,100
+7% +$321K
TSLA icon
12
PUT
Tesla
TSLA
$1.38T
$3.98M 0.69%
15,000
+4,200
+39% +$1.17M
GFLU
13
DELISTED
GFL Environmental Inc. Tangible Equity Units
GFLU
$3.91M 0.68%
67,927
+771
+1% +$48.5K
AAPL icon
14
PUT
Apple
AAPL
$4.67T
$3.46M 0.6%
25,000
+15,000
+150% +$2.35M
BSJO
15
DELISTED
Invesco BulletShares 2024 High Yield Corporate Bond ETF
BSJO
$2.26M 0.39%
+104,451
New +$2.33M
AAPL icon
16
Apple
AAPL
$4.67T
$2.21M 0.38%
+16,000
New +$2.51M
TLT icon
17
CALL
iShares 20+ Year Treasury Bond ETF
TLT
$46.8B
$2.05M 0.35%
+20,000
New +$2.25M
TLT icon
18
PUT
iShares 20+ Year Treasury Bond ETF
TLT
$46.8B
$2.05M 0.35%
+20,000
New +$2.25M
BSJP
19
DELISTED
Invesco BulletShares 2025 High Yield Corporate Bond ETF
BSJP
$1.9M 0.33%
+87,215
New +$1.96M
XLE icon
20
PUT
State Street Energy Select Sector SPDR ETF
XLE
$41.2B
$1.8M 0.31%
+50,000
New +$1.89M
GDX icon
21
CALL
VanEck Gold Miners ETF
GDX
$31B
$1.78M 0.31%
73,800
-5,300
-7% -$134K
FSR
22
PUT
DELISTED
Fisker Inc.
FSR
$1.54M 0.27%
204,300
+18,600
+10% +$168K
XOM icon
23
CALL
ExxonMobil
XOM
$644B
$1.48M 0.26%
17,000
+7,000
+70% +$639K
XLE icon
24
State Street Energy Select Sector SPDR ETF
XLE
$41.2B
$1.37M 0.24%
+38,000
New +$1.44M
NEN icon
25
New England Realty Associates
NEN
$192M
$1.29M 0.22%
16,760
-1,211
-7% -$95.7K
1
2 3 4 5

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Warberg Asset Management's Q3 2022 Portfolio in Review

As of Q3 2022, Warberg Asset Management held 346 positions worth $578M, up 27% from $455M the previous quarter. Its ten largest holdings account for 64% of the portfolio.

Warberg Asset Management withdrew a net $101M in Q3 2022, closing 52 positions and reducing 42 holdings. Its most notable exit was Stanley Black & Decker, Inc., an estimated $1.11M position sold in full.

By sector, the portfolio is most concentrated in Miscellaneous at 97% of assets, down from 98% a quarter earlier, followed by Financials and Technology.

Against the trend, Warberg Asset Management opened a new position in Apple worth $2.21M.

  • Warberg Asset Management's largest Q3 2022 buy was Apple: 16,000 shares worth $2.21M.
  • Warberg Asset Management added most to Invesco QQQ Trust in Q3 2022, an estimated $8.6M increase.
  • Warberg Asset Management's biggest Q3 2022 reduction was South Jersey Industries, Inc. Corporate Units, cutting an estimated $551K.
  • Warberg Asset Management fully exited Stanley Black & Decker, Inc. in Q3 2022, selling an estimated $1.11M.
  • Warberg Asset Management's ten largest holdings make up 64% of its $578M portfolio in Q3 2022.
  • Warberg Asset Management opened 101 new positions and closed 52 in Q3 2022.
  • Warberg Asset Management's portfolio value rose 27% quarter-over-quarter to $578M.

Based on Warberg Asset Management's 13F filing for Q3 2022, filed 7 Nov 2022.