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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
ACAC
26
DELISTED
Acri Capital Acquisition Corp
ACAC
$725K 0.14%
65,468
+10,372
+19% +$114K
EXEEW
27
DELISTED
Expand Energy Corp Class A Warrants
EXEEW
$700K 0.13%
10,379
+235
+2% +$17.8K
VXX icon
28
CALL
iPath Series B S&P 500 VIX Short-Term Futures ETN
VXX
$154M
$698K 0.13%
11,250
+7,000
+165% +$565K
NNAG
29
DELISTED
99 Acquisition Group Inc
NNAG
$696K 0.13%
+68,300
New +$693K
QETA icon
30
Quetta Acquisition Corp
QETA
$695K 0.13%
+68,700
New +$693K
OAKU
31
DELISTED
Oak Woods Acquisition Corp
OAKU
$684K 0.13%
65,000
– –
CNTM
32
DELISTED
ConnectM Technology Solutions, Inc. Common Stock
CNTM
$678K 0.13%
62,461
-12,591
-17% -$136K
RBCP
33
DELISTED
RBC Bearings Incorporated 5.00% Series A Mandatory Convertible Preferred Stock
RBCP
$656K 0.12%
5,054
+54
+1% +$6.22K
CVNA icon
34
CALL
Carvana
CVNA
$68.6B
$635K 0.12%
+60,000
New +$449K
CVNA icon
35
PUT
Carvana
CVNA
$68.6B
$635K 0.12%
+60,000
New +$449K
WHR icon
36
CALL
Whirlpool
WHR
$2.43B
$609K 0.12%
+5,000
New +$583K
CPTK
37
DELISTED
Crown PropTech Acquisitions
CPTK
$605K 0.11%
+56,813
New +$601K
MRNA icon
38
PUT
Moderna
MRNA
$21.8B
$597K 0.11%
6,000
-8,000
-57% -$673K
F icon
39
CALL
Ford
F
$58.5B
$549K 0.1%
45,000
-30,000
-40% -$334K
SLV icon
40
CALL
iShares Silver Trust
SLV
$28B
$545K 0.1%
25,000
-10,000
-29% -$213K
FORL
41
DELISTED
Four Leaf Acquisition Corp
FORL
$534K 0.1%
50,845
+35,693
+236% +$375K
ANF icon
42
PUT
Abercrombie & Fitch
ANF
$4.42B
$529K 0.1%
+6,000
New +$427K
CRM icon
43
PUT
Salesforce
CRM
$151B
$526K 0.1%
2,000
-4,000
-67% -$905K
PPHP
44
DELISTED
PHP Ventures Acquisition Corp. Class A Common Stock
PPHP
$518K 0.1%
46,719
+1,053
+2% +$11.6K
BITE
45
DELISTED
Bite Acquisition Corp.
BITE
$517K 0.1%
+48,790
New +$512K
DSAQ
46
DELISTED
Direct Selling Acquisition Corp.
DSAQ
$516K 0.1%
+47,356
New +$515K
IGTA
47
DELISTED
Inception Growth Acquisition Limited Common Stock
IGTA
$488K 0.09%
45,792
+15,364
+50% +$163K
NEE icon
48
CALL
NextEra Energy
NEE
$181B
$486K 0.09%
+8,000
New +$456K
KVAC icon
49
Keen Vision Acquisition Corp
KVAC
$63.4M
$476K 0.09%
46,000
– –
RNWWW
50
ReNew Energy Global PLC Warrant
RNWWW
$61.1K
$423K 0.08%
371,067
+92,739
+33% +$68.4K
1
2
3 4 5

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GP
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BHPW
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CCP
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SCM
Stanley Capital Management Houston, Texas $598M AUM 33.22% 1-Year Est. Return
OCAM
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NPCM
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FSG
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CIG
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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.