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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
+2.06%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$496M
AUM Growth
-$107M
Cap. Flow
-$229M
Cap. Flow %
-46.18%
Top 10 Hldgs %
67.47%
Holding
301
New
62
Increased
39
Reduced
60
Closed
56

Top Buys

Rank Stock Value
1
VMW
VMware, Inc
VMW
+$11.1M
2
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$5.34M
3
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$2M
4
NE.WS icon
Noble Corporation PLC Tranche 1 Warrants
NE.WS
+$1.92M
5
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$1.2M

Top Sells

Rank Stock Value
1
HTZWW
Hertz Global Holdings Warrants
HTZWW
+$1.24M
2
HUDA
Hudson Acquisition I Corp. Common Stock
HUDA
+$724K
3
NEN icon
New England Realty Associates
NEN
+$711K
4
IRRX
Integrated Rail and Resources Acquisition Corp.
IRRX
+$695K
5
JTAI icon
Jet.AI
JTAI
+$597K

Sector Composition

Rank Sector Weight
1 Technology 2.7%
2 Financials 2.03%
3 Healthcare 0.25%
4 Real Estate 0.17%
5 Industrials 0.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
OAKUW
226
DELISTED
Oak Woods Acquisition Corp Warrant
OAKUW
– –
-45,200
Closed -$1.46K
PGY icon
227
CALL
Pagaya Technologies
PGY
$1.78B
– –
-1,667
Closed -$28K
QQQ icon
228
CALL
Invesco QQQ Trust
QQQ
$478B
– –
-3,000
Closed -$1.11M
SNAL icon
229
Snail Inc
SNAL
$37.2M
– –
-2,600
Closed -$20.7K
SPY icon
230
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$818B
– –
-3,000
Closed -$1.33M
SURG icon
231
PUT
SurgePays
SURG
$7.76M
– –
-22,400
Closed -$164K
TNON icon
232
Tenon Medical
TNON
$3.08M
– –
-1,219
Closed -$26.8K
VEEE icon
233
Twin Vee PowerCats
VEEE
$5.2M
– –
-47
Closed -$36.7K
EMPD
234
Empery Digital
EMPD
$79.3M
– –
0
– -$18.2K
VSSYW
235
DELISTED
Versus Systems Inc Class A Warrants
VSSYW
– –
-105,470
Closed -$2.05K
AIMBU
236
DELISTED
Aimfinity Investment Corp I Subunit
AIMBU
– –
-29,700
Closed -$312K
GBBK
237
DELISTED
Global Blockchain Acquisition Corp. Common Stock
GBBK
– –
-48,078
Closed -$502K
FTII
238
DELISTED
FutureTech II Acquisition Corp. Class A Common Stock
FTII
– –
-14,654
Closed -$157K
GOEVW
239
DELISTED
Canoo Inc. Warrant
GOEVW
– –
-27,000
Closed -$2.46K
SHPWW
240
DELISTED
Shapeways Holdings, Inc. Warrants
SHPWW
– –
-14,668
Closed -$148
BRSHW
241
DELISTED
Bruush Oral Care Inc. Warrant
BRSHW
– –
-15,000
Closed -$1.2K
PLTN
242
DELISTED
Plutonian Acquisition Corp. Common Stock
PLTN
– –
-22,196
Closed -$231K
PUCK
243
DELISTED
Goal Acquisitions Corp. Common Stock
PUCK
– –
-12,414
Closed -$129K
AIB
244
DELISTED
AIB Acquisition Corp
AIB
– –
-11,424
Closed -$124K
TTOO
245
DELISTED
T2 Biosystems, Inc
TTOO
– –
-200
Closed -$1.41K
CLVRW
246
DELISTED
Clever Leaves Holdings Inc. Warrant
CLVRW
– –
-22,705
Closed -$749
IRRX
247
DELISTED
Integrated Rail and Resources Acquisition Corp.
IRRX
– –
-64,642
Closed -$695K
NEPT
248
DELISTED
Neptune Wellness Solutions Inc. Ordinary Shares
NEPT
– –
-6,250
Closed -$36.8K
TBLT
249
DELISTED
ToughBuilt Industries, Inc. Common Stock
TBLT
– –
-2,584
Closed -$50.1K
MOBV
250
DELISTED
Mobiv Acquisition Corp Class A Common Stock
MOBV
– –
-44,250
Closed -$468K
7 8 9
10
11

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SCM
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NPCM
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Warberg Asset Management's Q3 2023 Portfolio in Review

As of Q3 2023, Warberg Asset Management held 301 positions worth $496M, down 18% from $603M the previous quarter. Its ten largest holdings account for 67% of the portfolio.

Warberg Asset Management withdrew a net $229M in Q3 2023, closing 56 positions and reducing 60 holdings. Its most notable exit was Hudson Acquisition I Corp. Common Stock, an estimated $724K position sold in full.

By sector, the portfolio is most concentrated in Technology at 2.7% of assets, up from 0.29% a quarter earlier, followed by Financials and Healthcare.

Against the trend, Warberg Asset Management opened a new position in VMware, Inc worth $11.6M.

  • Warberg Asset Management's largest Q3 2023 buy was VMware, Inc: 69,485 shares worth $11.6M.
  • Warberg Asset Management added most to Occidental Petroleum Corp Warrants in Q3 2023, an estimated $2M increase.
  • Warberg Asset Management's biggest Q3 2023 reduction was Hertz Global Holdings Warrants, cutting an estimated $1.24M.
  • Warberg Asset Management fully exited Hudson Acquisition I Corp. Common Stock in Q3 2023, selling an estimated $724K.
  • Warberg Asset Management's ten largest holdings make up 67% of its $496M portfolio in Q3 2023.
  • Warberg Asset Management opened 62 new positions and closed 56 in Q3 2023.
  • Warberg Asset Management's portfolio value fell 18% quarter-over-quarter to $496M.

Based on Warberg Asset Management's 13F filing for Q3 2023, filed 13 Nov 2023.