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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
+0.9%
1 Year Est. Return
+34.68%
3 Year Est. Return
+65.34%
5 Year Est. Return
+117.41%
10 Year Est. Return
–
AUM
$603M
AUM Growth
+$95.1M
Cap. Flow
-$168M
Cap. Flow %
-27.92%
Top 10 Hldgs %
72.31%
Holding
314
New
63
Increased
45
Reduced
48
Closed
75

Top Buys

Rank Stock Value
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

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
+$1.11M
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

Rank Sector Weight
1 Miscellaneous 97.6%
2 Financials 1.39%
3 Technology 0.29%
4 Real Estate 0.27%
5 Industrials 0.17%
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
$179M 29.65%
403,000
+115,000
+40% +$48.3M
OXY.WS icon
2
Occidental Petroleum Corp Warrants
OXY.WS
$34.9B
$36.8M 6.11%
997,821
-24,773
-2% -$947K
QQQ icon
3
PUT
Invesco QQQ Trust
QQQ
$489B
$34.7M 5.75%
93,800
+26,800
+40% +$9.02M
AAPL icon
4
PUT
Apple
AAPL
$4.67T
$8.34M 1.38%
43,000
+24,100
+128% +$4.2M
HTZWW
5
Hertz Global Holdings Warrants
HTZWW
$86M
$7.61M 1.26%
750,636
+183,576
+32% +$1.67M
OEF icon
6
PUT
iShares S&P 100 ETF
OEF
$20.5B
$6.31M 1.05%
40,000
+14,000
+54% +$2.72M
SURGW
7
DELISTED
SurgePays, Inc. Warrant
SURGW
$3.38M 0.56%
1,236,899
+25,407
+2% +$53.2K
HD icon
8
CALL
Home Depot
HD
$329B
$2.8M 0.46%
+9,000
New +$2.66M
GDX icon
9
CALL
VanEck Gold Miners ETF
GDX
$31B
$2.68M 0.44%
89,000
+24,000
+37% +$782K
ARKK icon
10
PUT
ARK Innovation ETF
ARKK
$6.46B
$1.99M 0.33%
+45,000
New +$1.79M
MCD icon
11
PUT
McDonald's
MCD
$188B
$1.79M 0.3%
6,000
+1,000
+20% +$291K
MSFT icon
12
CALL
Microsoft
MSFT
$3.81T
$1.7M 0.28%
5,000
+2,000
+67% +$627K
NEN icon
13
New England Realty Associates
NEN
$192M
$1.6M 0.27%
22,104
+9,547
+76% +$675K
EXEEL
14
DELISTED
Expand Energy Corp Class C Warrants
EXEEL
$1.47M 0.24%
22,225
+11,713
+111% +$733K
SPY icon
15
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$825B
$1.33M 0.22%
+3,000
New +$1.26M
NVDA icon
16
PUT
NVIDIA
NVDA
$5.25T
$1.27M 0.21%
+30,000
New +$996K
FSR
17
PUT
DELISTED
Fisker Inc.
FSR
$1.15M 0.19%
204,300
– –
WAL icon
18
PUT
Western Alliance Bancorporation
WAL
$8.57B
$1.13M 0.19%
+31,000
New +$1.08M
QQQ icon
19
CALL
Invesco QQQ Trust
QQQ
$489B
$1.11M 0.18%
3,000
-9,000
-75% -$3.03M
VXX icon
20
CALL
iPath Series B S&P 500 VIX Short-Term Futures ETN
VXX
$133M
$1M 0.17%
10,000
-3,250
-25% -$459K
EPR.PRC icon
21
EPR Properties 5.75% Series C Preferred Shares
EPR.PRC
$146M
$814K 0.14%
+38,600
New +$751K
EXEEW
22
DELISTED
Expand Energy Corp Class A Warrants
EXEEW
$788K 0.13%
10,698
+1,546
+17% +$105K
PPHP
23
DELISTED
PHP Ventures Acquisition Corp. Class A Common Stock
PPHP
$750K 0.12%
69,973
+59,946
+598% +$643K
SLV icon
24
CALL
iShares Silver Trust
SLV
$32.3B
$731K 0.12%
35,000
+6,000
+21% +$133K
MRNA icon
25
PUT
Moderna
MRNA
$55.1B
$729K 0.12%
+6,000
New +$800K
1
2 3 4 5

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PRCP
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PWMG
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IG
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CPIM
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LECM
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KV
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TCM
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Warberg Asset Management's Q2 2023 Portfolio in Review

As of Q2 2023, Warberg Asset Management held 314 positions worth $603M, up 19% from $507M the previous quarter. Its ten largest holdings account for 72% of the portfolio.

Warberg Asset Management withdrew a net $168M in Q2 2023, closing 75 positions and reducing 48 holdings. Its most notable exit was iShares Ultra Short Duration Bond Active ETF, an estimated $1.54M position sold in full.

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

Against the trend, Warberg Asset Management opened a new position in EPR Properties 5.75% Series C Preferred Shares worth $814K.

  • Warberg Asset Management's largest Q2 2023 buy was EPR Properties 5.75% Series C Preferred Shares: 38,600 shares worth $814K.
  • Warberg Asset Management added most to Hertz Global Holdings Warrants in Q2 2023, an estimated $1.67M increase.
  • Warberg Asset Management's biggest Q2 2023 reduction was Occidental Petroleum Corp Warrants, cutting an estimated $947K.
  • Warberg Asset Management fully exited iShares Ultra Short Duration Bond Active ETF in Q2 2023, selling an estimated $1.54M.
  • Warberg Asset Management's ten largest holdings make up 72% of its $603M portfolio in Q2 2023.
  • Warberg Asset Management opened 63 new positions and closed 75 in Q2 2023.
  • Warberg Asset Management's portfolio value rose 19% quarter-over-quarter to $603M.

Based on Warberg Asset Management's 13F filing for Q2 2023, filed 9 Aug 2023.