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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
CNTM
26
DELISTED
ConnectM Technology Solutions, Inc. Common Stock
CNTM
$799K 0.16%
75,052
+14,163
+23% +$149K
ACAH
27
DELISTED
Atlantic Coastal Acquisition Corp. Class A Common Stock
ACAH
$798K 0.16%
76,402
+31,298
+69% +$327K
EXEEW
28
DELISTED
Expand Energy Corp Class A Warrants
EXEEW
$784K 0.16%
10,144
-554
-5% -$41.4K
RIVN icon
29
CALL
Rivian
RIVN
$22B
$777K 0.16%
32,000
+18,400
+135% +$430K
XFIN
30
DELISTED
ExcelFin Acquisition Corp Class A Common Stock
XFIN
$773K 0.16%
+72,617
New +$763K
EONR
31
EON Resources
EONR
$25.3M
$760K 0.15%
70,068
+7,802
+13% +$83.5K
WAL icon
32
PUT
Western Alliance Bancorporation
WAL
$8.79B
$726K 0.15%
15,800
-15,200
-49% -$718K
ABP
33
DELISTED
Abpro Holdings
ABP
$723K 0.15%
+2,277
New +$718K
BRAC
34
DELISTED
Broad Capital Acquisition Corp Common Stock
BRAC
$716K 0.14%
+65,103
New +$704K
SLV icon
35
CALL
iShares Silver Trust
SLV
$28B
$712K 0.14%
35,000
– –
NNAGU
36
DELISTED
99 Acquisition Group Inc Unit
NNAGU
$708K 0.14%
+68,300
New +$701K
OAKU
37
DELISTED
Oak Woods Acquisition Corp
OAKU
$680K 0.14%
65,000
– –
ACAC
38
DELISTED
Acri Capital Acquisition Corp
ACAC
$604K 0.12%
55,096
+596
+1% +$6.49K
MTUM icon
39
PUT
iShares MSCI USA Momentum Factor ETF
MTUM
$25B
$559K 0.11%
4,000
+2,000
+100% +$289K
RBCP
40
DELISTED
RBC Bearings Incorporated 5.00% Series A Mandatory Convertible Preferred Stock
RBCP
$552K 0.11%
+5,000
New +$545K
GLST
41
DELISTED
Global Star Acquisition, Inc. Class A Common Stock
GLST
$517K 0.1%
48,562
+31,106
+178% +$328K
PPHP
42
DELISTED
PHP Ventures Acquisition Corp. Class A Common Stock
PPHP
$500K 0.1%
45,666
-24,307
-35% -$265K
SPNT icon
43
SiriusPoint
SPNT
$2.75B
$496K 0.1%
+48,755
New +$488K
SPNT icon
44
PUT
SiriusPoint
SPNT
$2.75B
$495K 0.1%
48,700
+16,000
+49% +$160K
CMPOW
45
DELISTED
CompoSecure Inc Warrant
CMPOW
$481K 0.1%
740,622
+537,059
+264% +$475K
KVAC icon
46
Keen Vision Acquisition Corp
KVAC
$63.4M
$468K 0.09%
+46,000
New +$468K
NVDA icon
47
CALL
NVIDIA
NVDA
$4.86T
$435K 0.09%
10,000
– –
QOMO
48
DELISTED
Qomolangma Acquisition Corp. Common Stock
QOMO
$402K 0.08%
+37,871
New +$398K
MNTN
49
DELISTED
Everest Consolidator Acquisition Corporation
MNTN
$401K 0.08%
37,045
-2,382
-6% -$25.6K
VXX icon
50
CALL
iPath Series B S&P 500 VIX Short-Term Futures ETN
VXX
$154M
$396K 0.08%
4,250
-5,750
-58% -$540K
1
2
3 4 5

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SCM
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OCAM
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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.