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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
+1.52%
1 Year Est. Return
+34.68%
3 Year Est. Return
+65.34%
5 Year Est. Return
+117.41%
10 Year Est. Return
–
AUM
$638M
AUM Growth
+$60.1M
Cap. Flow
-$254M
Cap. Flow %
-39.75%
Top 10 Hldgs %
75.41%
Holding
356
New
64
Increased
35
Reduced
46
Closed
83

Top Buys

Rank Stock Value
1
SJIV
South Jersey Industries, Inc. Corporate Units
SJIV
+$9.41M
2
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$1.65M
3
HTZWW
Hertz Global Holdings Warrants
HTZWW
+$724K
4
ELAT
Elanco Animal Health Incorporated 5.00% Tangible Equity Units
ELAT
+$712K
5
PXSAP
Pyxis Tankers Inc. 7.75% Series A Cumulative Convertible Preferred Shares
PXSAP
+$691K

Top Sells

Rank Stock Value
1
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$34.5M
2
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$24.2M
3
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$18.5M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$8.3M
5
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$8.07M

Sector Composition

Rank Sector Weight
1 Miscellaneous 97.44%
2 Financials 1.21%
3 Technology 0.39%
4 Real Estate 0.28%
5 Healthcare 0.23%
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
$284M 44.44%
741,900
+407,300
+122% +$157M
OXY.WS icon
2
Occidental Petroleum Corp Warrants
OXY.WS
$34.9B
$45.9M 7.19%
1,115,447
-6,348
-0.6% -$293K
SJIV
3
DELISTED
South Jersey Industries, Inc. Corporate Units
SJIV
$10.7M 1.68%
155,100
+137,140
+764% +$9.41M
HTZWW
4
Hertz Global Holdings Warrants
HTZWW
$86M
$5.12M 0.8%
687,436
+82,104
+14% +$724K
GFLU
5
DELISTED
GFL Environmental Inc. Tangible Equity Units
GFLU
$4.92M 0.77%
76,002
+8,075
+12% +$493K
QQQ icon
6
PUT
Invesco QQQ Trust
QQQ
$489B
$3.99M 0.63%
15,000
-125,000
-89% -$34.6M
ATVI
7
CALL
DELISTED
Activision Blizzard
ATVI
$3.35M 0.52%
43,700
-22,800
-34% -$1.69M
AAPL icon
8
PUT
Apple
AAPL
$4.67T
$3.25M 0.51%
25,000
– –
SURGW
9
DELISTED
SurgePays, Inc. Warrant
SURGW
$2.7M 0.42%
1,147,091
+235,855
+26% +$498K
XOM icon
10
CALL
ExxonMobil
XOM
$644B
$1.88M 0.29%
17,000
– –
NEN icon
11
New England Realty Associates
NEN
$192M
$1.79M 0.28%
25,264
+8,504
+51% +$636K
GDX icon
12
CALL
VanEck Gold Miners ETF
GDX
$31B
$1.76M 0.28%
61,500
-12,300
-17% -$329K
VNLA icon
13
Janus Henderson Short Duration Income ETF
VNLA
$3.41B
$1.62M 0.25%
+34,175
New +$1.65M
FSR
14
PUT
DELISTED
Fisker Inc.
FSR
$1.49M 0.23%
204,300
– –
QQQ icon
15
Invesco QQQ Trust
QQQ
$489B
$1.46M 0.23%
5,500
-30,000
-85% -$8.3M
MCD icon
16
PUT
McDonald's
MCD
$188B
$1.32M 0.21%
5,000
– –
AAPL icon
17
Apple
AAPL
$4.67T
$1.3M 0.2%
10,000
-6,000
-38% -$857K
OEF icon
18
PUT
iShares S&P 100 ETF
OEF
$20.5B
$1.29M 0.2%
+13,000
New +$2.24M
SPY icon
19
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$825B
$1.15M 0.18%
3,000
-67,000
-96% -$25.8M
GNRC icon
20
CALL
Generac Holdings
GNRC
$10.8B
$1.11M 0.17%
+11,000
New +$1.24M
SBUX icon
21
PUT
Starbucks
SBUX
$123B
$992K 0.16%
+10,000
New +$944K
ROG icon
22
CALL
Rogers Corp
ROG
$2.24B
$955K 0.15%
+8,000
New +$1.24M
BSJO
23
DELISTED
Invesco BulletShares 2024 High Yield Corporate Bond ETF
BSJO
$884K 0.14%
39,950
-64,501
-62% -$1.43M
PXSAP
24
DELISTED
Pyxis Tankers Inc. 7.75% Series A Cumulative Convertible Preferred Shares
PXSAP
$722K 0.11%
+29,910
New +$691K
ELAT
25
DELISTED
Elanco Animal Health Incorporated 5.00% Tangible Equity Units
ELAT
$692K 0.11%
+35,430
New +$712K
1
2 3 4 5

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PWMG
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CPIM
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LECM
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TCM
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Warberg Asset Management's Q4 2022 Portfolio in Review

As of Q4 2022, Warberg Asset Management held 356 positions worth $638M, up 10% from $578M the previous quarter. Its ten largest holdings account for 75% of the portfolio.

Warberg Asset Management withdrew a net $254M in Q4 2022, closing 83 positions and reducing 46 holdings. Its most notable exit was Expand Energy Corp Class B Warrants, an estimated $18.5M position sold in full.

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

Against the trend, Warberg Asset Management opened a new position in Janus Henderson Short Duration Income ETF worth $1.62M.

  • Warberg Asset Management's largest Q4 2022 buy was Janus Henderson Short Duration Income ETF: 34,175 shares worth $1.62M.
  • Warberg Asset Management added most to South Jersey Industries, Inc. Corporate Units in Q4 2022, an estimated $9.41M increase.
  • Warberg Asset Management's biggest Q4 2022 reduction was Expand Energy Corp Class A Warrants, cutting an estimated $34.5M.
  • Warberg Asset Management fully exited Expand Energy Corp Class B Warrants in Q4 2022, selling an estimated $18.5M.
  • Warberg Asset Management's ten largest holdings make up 75% of its $638M portfolio in Q4 2022.
  • Warberg Asset Management opened 64 new positions and closed 83 in Q4 2022.
  • Warberg Asset Management's portfolio value rose 10% quarter-over-quarter to $638M.

Based on Warberg Asset Management's 13F filing for Q4 2022, filed 13 Feb 2023.