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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
-0.66%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$528M
AUM Growth
+$32.3M
Cap. Flow
-$135M
Cap. Flow %
-25.61%
Top 10 Hldgs %
63.12%
Holding
291
New
40
Increased
41
Reduced
59
Closed
57

Top Buys

Rank Stock Value
1
GSY icon
Invesco Ultra Short Duration ETF
GSY
+$1.36M
2
CFFS
CF Acquisition Corp. VII Class A Common Stock
CFFS
+$778K
3
HUDA
Hudson Acquisition I Corp. Common Stock
HUDA
+$744K
4
NNAG
99 Acquisition Group Inc
NNAG
+$693K
5
QETA icon
Quetta Acquisition Corp
QETA
+$693K

Top Sells

Rank Stock Value
1
VMW
VMware, Inc
VMW
+$11.6M
2
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$5.35M
3
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$1.11M
4
AAPL icon
Apple
AAPL
+$1.02M
5
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$860K

Sector Composition

Rank Sector Weight
1 Financials 2.48%
2 Real Estate 0.18%
3 Industrials 0.17%
4 Technology 0.16%
5 Healthcare 0.15%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GRML
226
Greenland Mines Ltd
GRML
$28.5M
– –
-28,519
Closed -$304K
ABP
227
DELISTED
Abpro Holdings
ABP
– –
-2,277
Closed -$723K
NXU
228
DELISTED
Nxu, Inc. Class A Common Stock
NXU
– –
-23
Closed -$13.7K
RFAC
229
DELISTED
RF Acquisition Corp. Class A Common Stock
RFAC
– –
-18,006
Closed -$192K
QOMO
230
DELISTED
Qomolangma Acquisition Corp. Common Stock
QOMO
– –
-37,871
Closed -$402K
LLAP
231
DELISTED
Terran Orbital Corporation
LLAP
– –
-24,250
Closed -$20.1K
NNAGU
232
DELISTED
99 Acquisition Group Inc Unit
NNAGU
– –
-68,300
Closed -$708K
AGRIW
233
DELISTED
AgriFORCE Growing Systems Ltd Warrant
AGRIW
– –
-28,879
Closed -$575
RCAC
234
DELISTED
Revelstone Capital Acquisition Corp. Class A Common Stock
RCAC
– –
-18,007
Closed -$191K
BPTH
235
DELISTED
Bio-Path Holdings Inc
BPTH
– –
-1,200
Closed -$8.88K
ENERW
236
DELISTED
Accretion Acquisition Corp Warrant
ENERW
– –
-87,348
Closed -$1.97K
HCDIZ
237
DELISTED
Harbor Custom Development, Inc. Warrant
HCDIZ
– –
-55,000
Closed -$545
MOBQW
238
DELISTED
Mobiquity Technologies, Inc. Warrant
MOBQW
– –
-33,057
Closed -$122
IFIN.WS
239
DELISTED
InFinT Acquisition Corporation Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50 per whole share
IFIN.WS
– –
-90,100
Closed -$3.39K
ZIVOW
240
DELISTED
Zivo Bioscience, Inc. Warrants
ZIVOW
– –
-100,975
Closed -$45.2K
VMW
241
DELISTED
VMware, Inc
VMW
– –
-69,485
Closed -$11.6M
CMRAW
242
DELISTED
Comera Life Sciences Holdings, Inc. Warrant expiring 5/19/2027
CMRAW
– –
-300,000
Closed -$6.51K
SQLLW
243
DELISTED
SeqLL Inc. Warrant
SQLLW
– –
-56,000
Closed -$1.41K
MDNA
244
DELISTED
Medicenna Therapeutics Corp. Common Shares
MDNA
– –
-20,000
Closed -$5.9K
DRCTW
245
DELISTED
Direct Digital Holdings, Inc. Warrant
DRCTW
– –
-180,377
Closed -$216K
NOGN
246
DELISTED
Nogin, Inc. Common Stock
NOGN
– –
-11,500
Closed -$6.11K
NAVB
247
DELISTED
Navidea Biopharmaceuticals Inc.
NAVB
– –
-194,997
Closed -$17.5K
FATPW
248
DELISTED
Fat Projects Acquisition Corp Warrant
FATPW
– –
-85,000
Closed -$2.91K
TIO
249
PUT
DELISTED
Tingo Group, Inc. Common Stock
TIO
– –
-50,000
Closed -$51.3K
6 7 8 9
10

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SCM
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NPCM
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Warberg Asset Management's Q4 2023 Portfolio in Review

As of Q4 2023, Warberg Asset Management held 291 positions worth $528M, up 6.5% from $496M the previous quarter. Its ten largest holdings account for 63% of the portfolio.

Warberg Asset Management withdrew a net $135M in Q4 2023, closing 57 positions and reducing 59 holdings. Its most notable exit was VMware, Inc, an estimated $11.6M position sold in full.

By sector, the portfolio is most concentrated in Financials at 2.5% of assets, up from 2% a quarter earlier, followed by Real Estate and Industrials.

Against the trend, Warberg Asset Management opened a new position in Invesco Ultra Short Duration ETF worth $1.37M.

  • Warberg Asset Management's largest Q4 2023 buy was Invesco Ultra Short Duration ETF: 27,381 shares worth $1.37M.
  • Warberg Asset Management added most to Four Leaf Acquisition Corp in Q4 2023, an estimated $375K increase.
  • Warberg Asset Management's biggest Q4 2023 reduction was Occidental Petroleum Corp Warrants, cutting an estimated $860K.
  • Warberg Asset Management fully exited VMware, Inc in Q4 2023, selling an estimated $11.6M.
  • Warberg Asset Management's ten largest holdings make up 63% of its $528M portfolio in Q4 2023.
  • Warberg Asset Management opened 40 new positions and closed 57 in Q4 2023.
  • Warberg Asset Management's portfolio value rose 6.5% quarter-over-quarter to $528M.

Based on Warberg Asset Management's 13F filing for Q4 2023, filed 7 Feb 2024.