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WAM

Warberg Asset Management Portfolio holdings

AUM $343M
1-Year Est. Return 23.37%
This Fund
S&P 500
This Quarter Est. Return
+0.9%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$350M
AUM Growth
+$17.7M
Cap. Flow
-$262M
Cap. Flow %
-74.72%
Top 10 Hldgs %
68.97%
Holding
317
New
45
Increased
35
Reduced
42
Closed
59

Top Buys

1
HTZWW
Hertz Global Holdings Warrants
HTZWW
+$1.67M
2
EPR.PRC icon
EPR Properties 5.75% Series C Preferred Shares
EPR.PRC
+$751K
3
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$733K
4
HUDA
Hudson Acquisition I Corp. Common Stock
HUDA
+$718K
5
NEN icon
New England Realty Associates
NEN
+$675K

Top Sells

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
+$1.11M
3
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$947K
4
PXSAP
Pyxis Tankers Inc. 7.75% Series A Cumulative Convertible Preferred Shares
PXSAP
+$694K
5
OAKUU
Oak Woods Acquisition Corp Unit
OAKUU
+$663K

Sector Composition

1 Financials 2.4%
2 Technology 0.5%
3 Real Estate 0.46%
4 Industrials 0.29%
5 Energy 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
$786B
$179M 51%
403,000
+115,000
+40% +$48.3M
OXY.WS icon
2
Occidental Petroleum Corp Warrants
OXY.WS
$29.9B
$36.8M 10.51%
997,821
-24,773
-2% -$947K
QQQ icon
3
PUT
Invesco QQQ Trust
QQQ
$481B
$34.7M 9.89%
93,800
+26,800
+40% +$9.02M
AAPL icon
4
PUT
Apple
AAPL
$4.81T
$8.34M 2.38%
43,000
+24,100
+128% +$4.2M
HTZWW
5
Hertz Global Holdings Warrants
HTZWW
$76M
$7.61M 2.17%
750,636
+183,576
+32% +$1.67M
OEF icon
6
PUT
iShares S&P 100 ETF
OEF
$20.5B
$6.31M 1.8%
40,000
+14,000
+54% +$2.72M
SURGW
7
DELISTED
SurgePays, Inc. Warrant
SURGW
$3.38M 0.96%
1,236,899
+25,407
+2% +$53.2K
HD icon
8
CALL
Home Depot
HD
$340B
$2.8M 0.8%
+9,000
New +$2.66M
GDX icon
9
CALL
VanEck Gold Miners ETF
GDX
$22.6B
$2.68M 0.77%
89,000
+24,000
+37% +$782K
ARKK icon
10
PUT
ARK Innovation ETF
ARKK
$6.51B
$1.99M 0.57%
+45,000
New +$1.79M
MCD icon
11
PUT
McDonald's
MCD
$188B
$1.79M 0.51%
6,000
+1,000
+20% +$291K
MSFT icon
12
CALL
Microsoft
MSFT
$2.94T
$1.7M 0.49%
5,000
+2,000
+67% +$627K
NEN icon
13
New England Realty Associates
NEN
$1.6M 0.46%
22,104
+9,547
+76% +$675K
EXEEL
14
DELISTED
Expand Energy Corp Class C Warrants
EXEEL
$1.47M 0.42%
22,225
+11,713
+111% +$733K
SPY icon
15
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$786B
$1.33M 0.38%
+3,000
New +$1.26M
NVDA icon
16
PUT
NVIDIA
NVDA
$5.15T
$1.27M 0.36%
+30,000
New +$996K
FSR
17
PUT
DELISTED
Fisker Inc.
FSR
$1.15M 0.33%
204,300
– –
WAL icon
18
PUT
Western Alliance Bancorporation
WAL
$8.93B
$1.13M 0.32%
+31,000
New +$1.08M
QQQ icon
19
CALL
Invesco QQQ Trust
QQQ
$481B
$1.11M 0.32%
3,000
-9,000
-75% -$3.03M
VXX icon
20
CALL
iPath Series B S&P 500 VIX Short-Term Futures ETN
VXX
$151M
$1M 0.29%
10,000
-3,250
-25% -$459K
EPR.PRC icon
21
EPR Properties 5.75% Series C Preferred Shares
EPR.PRC
$143M
$814K 0.23%
+38,600
New +$751K
EXEEW
22
DELISTED
Expand Energy Corp Class A Warrants
EXEEW
$788K 0.22%
10,698
+1,546
+17% +$105K
PPHP
23
DELISTED
PHP Ventures Acquisition Corp. Class A Common Stock
PPHP
$750K 0.21%
69,973
+59,946
+598% +$643K
SLV icon
24
CALL
iShares Silver Trust
SLV
$27.9B
$731K 0.21%
35,000
+6,000
+21% +$133K
MRNA icon
25
PUT
Moderna
MRNA
$27.1B
$729K 0.21%
+6,000
New +$800K
1
2 3 4 5

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