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WAM

Warberg Asset Management Portfolio holdings

AUM $600M
1-Year Est. Return 23.37%
This Fund
S&P 500
This Quarter Est. Return
+0.3%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$507M
AUM Growth
-$131M
Cap. Flow
-$367M
Cap. Flow %
-72.27%
Top 10 Hldgs %
67.23%
Holding
329
New
60
Increased
39
Reduced
52
Closed
80

Top Buys

Rank Stock Value
1
ICSH icon
iShares Ultra Short Duration Bond Active ETF
ICSH
+$1.54M
2
APTV.PRA
Aptiv PLC 5.50% Series A Mandatory Convertible Preferred Shares
APTV.PRA
+$1.12M
3
OAKUU
Oak Woods Acquisition Corp Unit
OAKUU
+$663K
4
MAQC
Maquia Capital Acquisition Corporation Class A Common Stock
MAQC
+$595K
5
FLOT icon
iShares Floating Rate Bond ETF
FLOT
+$534K

Top Sells

Rank Stock Value
1
SJIV
South Jersey Industries, Inc. Corporate Units
SJIV
+$10.7M
2
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$4.92M
3
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$3.75M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$1.62M
5
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$1.62M

Sector Composition

Rank Sector Weight
1 Financials 1.37%
2 Technology 0.4%
3 Industrials 0.23%
4 Consumer Discretionary 0.22%
5 Real Estate 0.18%
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
$776B
$118M 23.23%
288,000
-453,900
-61% -$181M
OXY.WS icon
2
Occidental Petroleum Corp Warrants
OXY.WS
$32.1B
$41.7M 8.23%
1,022,594
-92,853
-8% -$3.75M
QQQ icon
3
PUT
Invesco QQQ Trust
QQQ
$439B
$21.5M 4.24%
67,000
+52,000
+347% +$15.3M
HTZWW
4
Hertz Global Holdings Warrants
HTZWW
$63M
$5.04M 0.99%
567,060
-120,376
-18% -$1.12M
OEF icon
5
PUT
iShares S&P 100 ETF
OEF
$19.7B
$4.64M 0.91%
26,000
+13,000
+100% +$2.33M
QQQ icon
6
CALL
Invesco QQQ Trust
QQQ
$439B
$3.85M 0.76%
+12,000
New +$3.54M
GLD icon
7
PUT
SPDR Gold Trust
GLD
$130B
$3.66M 0.72%
+20,000
New +$3.52M
CLX icon
8
PUT
Clorox
CLX
$12.1B
$3.16M 0.62%
+20,000
New +$3M
AAPL icon
9
PUT
Apple
AAPL
$5.01T
$3.12M 0.61%
18,900
-6,100
-24% -$900K
VXX icon
10
CALL
iPath Series B S&P 500 VIX Short-Term Futures ETN
VXX
$165M
$2.38M 0.47%
+13,250
New +$2.56M
GDX icon
11
CALL
VanEck Gold Miners ETF
GDX
$22.2B
$2.1M 0.41%
65,000
+3,500
+6% +$106K
TSLA icon
12
PUT
Tesla
TSLA
$1.19T
$2.07M 0.41%
+10,000
New +$1.74M
ICSH icon
13
iShares Ultra Short Duration Bond Active ETF
ICSH
$8.06B
$1.54M 0.3%
+30,744
New +$1.54M
SURGW
14
DELISTED
SurgePays, Inc. Warrant
SURGW
$1.43M 0.28%
1,211,492
+64,401
+6% +$103K
MCD icon
15
PUT
McDonald's
MCD
$193B
$1.4M 0.28%
5,000
– –
FSR
16
PUT
DELISTED
Fisker Inc.
FSR
$1.25M 0.25%
204,300
– –
APTV.PRA
17
DELISTED
Aptiv PLC 5.50% Series A Mandatory Convertible Preferred Shares
APTV.PRA
$1.11M 0.22%
+9,127
New +$1.12M
FRC
18
PUT
DELISTED
First Republic Bank
FRC
$919K 0.18%
+65,700
New +$6.73M
NEN icon
19
New England Realty Associates
NEN
$199M
$909K 0.18%
12,557
-12,707
-50% -$925K
MSFT icon
20
CALL
Microsoft
MSFT
$2.93T
$865K 0.17%
+3,000
New +$765K
PXSAP
21
DELISTED
Pyxis Tankers Inc. 7.75% Series A Cumulative Convertible Preferred Shares
PXSAP
$694K 0.14%
28,627
-1,283
-4% -$31.6K
OAKUU
22
DELISTED
Oak Woods Acquisition Corp Unit
OAKUU
$663K 0.13%
+65,000
New +$663K
XLF icon
23
PUT
State Street Financial Select Sector SPDR ETF
XLF
$56.8B
$643K 0.13%
+20,000
New +$695K
SLV icon
24
CALL
iShares Silver Trust
SLV
$27.5B
$641K 0.13%
29,000
-1,000
-3% -$20.7K
GDST
25
DELISTED
Goldenstone Acquisition Limited Common Stock
GDST
$623K 0.12%
60,096
+32,273
+116% +$331K
1
2 3 4 5

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Warberg Asset Management's Q1 2023 Portfolio in Review

As of Q1 2023, Warberg Asset Management held 329 positions worth $507M, down 21% from $638M the previous quarter. Its ten largest holdings account for 67% of the portfolio.

Warberg Asset Management withdrew a net $367M in Q1 2023, closing 80 positions and reducing 52 holdings. Its most notable exit was South Jersey Industries, Inc. Corporate Units, an estimated $10.7M position sold in full.

By sector, the portfolio is most concentrated in Financials at 1.4% of assets, up from 1.2% a quarter earlier, followed by Technology and Industrials.

Against the trend, Warberg Asset Management opened a new position in iShares Ultra Short Duration Bond Active ETF worth $1.54M.

  • Warberg Asset Management's largest Q1 2023 buy was iShares Ultra Short Duration Bond Active ETF: 30,744 shares worth $1.54M.
  • Warberg Asset Management added most to Expand Energy Corp Class A Warrants in Q1 2023, an estimated $481K increase.
  • Warberg Asset Management's biggest Q1 2023 reduction was Occidental Petroleum Corp Warrants, cutting an estimated $3.75M.
  • Warberg Asset Management fully exited South Jersey Industries, Inc. Corporate Units in Q1 2023, selling an estimated $10.7M.
  • Warberg Asset Management's ten largest holdings make up 67% of its $507M portfolio in Q1 2023.
  • Warberg Asset Management opened 60 new positions and closed 80 in Q1 2023.
  • Warberg Asset Management's portfolio value fell 21% quarter-over-quarter to $507M.

Based on Warberg Asset Management's 13F filing for Q1 2023, filed 15 May 2023.