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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
ALLG.WS
251
DELISTED
Allego N.V. Warrants
ALLG.WS
– –
-21,800
Closed -$6.32K
IGICW
252
DELISTED
International General Insurance Holdings Ltd. Warrants expiring 03/17/2025
IGICW
– –
-480,509
Closed -$294K
ADER
253
DELISTED
26 Capital Acquisition Corp
ADER
– –
-49,934
Closed -$537K
MBSC
254
DELISTED
M3-Brigade Acquisition III Corp.
MBSC
– –
-17,735
Closed -$185K
HHRSW
255
DELISTED
Hammerhead Energy Inc. Warrant
HHRSW
– –
-38,000
Closed -$53.6K
ROIVW
256
DELISTED
Roivant Sciences Ltd. Warrant
ROIVW
– –
-59,772
Closed -$148K
FGMC
257
DELISTED
FG Merger Corp. Common Stock
FGMC
– –
-41,421
Closed -$438K
FGMCW
258
DELISTED
FG Merger Corp. Warrant
FGMCW
– –
-16,502
Closed -$962
PNAC
259
DELISTED
Prime Number Acquisition I Corp. Class A Common Stock
PNAC
– –
-46,800
Closed -$494K
GMVD
260
DELISTED
G Medical Innovations Holdings Ltd. Ordinary Shares
GMVD
– –
-33,000
Closed -$12.6K
POL.WS
261
DELISTED
Polished.com Inc. Warrants to Purchase Common Stock
POL.WS
– –
-526,228
Closed -$34.2K
ESHAU
262
DELISTED
ESH Acquisition Corp. Unit
ESHAU
– –
-20,455
Closed -$207K
HUDA
263
DELISTED
Hudson Acquisition I Corp. Common Stock
HUDA
– –
-69,800
Closed -$724K
AFAR
264
DELISTED
Aura FAT Projects Acquisition Corp Class A Ordinary Shares
AFAR
– –
-20,361
Closed -$215K
TIO
265
CALL
DELISTED
Tingo Group, Inc. Common Stock
TIO
– –
-50,800
Closed -$61.5K
7 8 9 10
11

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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.