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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
+10.54%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$627M
AUM Growth
-$16.3M
Cap. Flow
-$190M
Cap. Flow %
-30.36%
Top 10 Hldgs %
61.69%
Holding
243
New
63
Increased
23
Reduced
33
Closed
55

Top Buys

Rank Stock Value
1
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$9.12M
2
RGTIW icon
Rigetti Computing Warrants
RGTIW
+$2.49M
3
GTLS.PRB
Chart Industries 6.75% Series B Preferred Stock
GTLS.PRB
+$2.29M
4
BCAR
D. Boral ARC Acquisition I Corp
BCAR
+$1.39M
5
VNME
Vendome Acquisition Corp I
VNME
+$1.37M

Top Sells

Rank Stock Value
1
PARA
Paramount Global Class B
PARA
+$2.58M
2
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$1.22M
3
VCIC
Vine Hill Capital Investment Corp
VCIC
+$875K
4
KCHVU
Kochav Defense Acquisition Corp Units
KCHVU
+$796K
5
AVPTW
AvePoint Inc Warrant
AVPTW
+$626K

Sector Composition

Rank Sector Weight
1 Financials 3.19%
2 Healthcare 0.58%
3 Real Estate 0.13%
4 Technology 0.06%
5 Consumer Staples 0.04%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HOOD icon
26
CALL
Robinhood
HOOD
$77.8B
$1M 0.16%
+7,000
New +$763K
DMAA
27
Drugs Made In America Acquisition Corp
DMAA
$260M
$945K 0.15%
92,055
– –
FORL
28
DELISTED
Four Leaf Acquisition Corp
FORL
$873K 0.14%
75,932
– –
SLV icon
29
CALL
iShares Silver Trust
SLV
$28B
$847K 0.14%
20,000
-40,000
-67% -$1.44M
ORIQ
30
Origin Investment Corp I
ORIQ
$840K 0.13%
+83,610
New +$837K
NEN icon
31
New England Realty Associates
NEN
$195M
$826K 0.13%
11,414
+684
+6% +$49.4K
BKHA
32
Black Hawk Acquisition Corp
BKHA
$825K 0.13%
74,230
– –
IIPR icon
33
PUT
Innovative Industrial Properties
IIPR
$1.71B
$804K 0.13%
15,000
+1,100
+8% +$59.8K
PGAC
34
Pantages Capital Acquisition Corp
PGAC
$118M
$782K 0.12%
76,190
– –
KCHV
35
Kochav Defense Acquisition Corp
KCHV
$356M
$774K 0.12%
+77,200
New +$774K
TDAC
36
Translational Development Acquisition Corp
TDAC
$209M
$759K 0.12%
73,422
-1,000
-1% -$10.3K
CVNA icon
37
PUT
Carvana
CVNA
$68.6B
$754K 0.12%
10,000
-30,000
-75% -$2.15M
AWTM
38
PUT
DELISTED
AWTM Ultra-Short Duration Enhanced Income ETF
AWTM
$750K 0.12%
+30,000
New +$750K
PCG icon
39
CALL
PG&E
PCG
$38.3B
$739K 0.12%
49,000
-51,000
-51% -$744K
AAM
40
DELISTED
AA Mission Acquisition Corp
AAM
$707K 0.11%
67,196
– –
STZ icon
41
PUT
Constellation Brands
STZ
$22.2B
$673K 0.11%
+5,000
New +$795K
CRCL
42
PUT
Circle Internet Group
CRCL
$15.6B
$663K 0.11%
5,000
-3,000
-38% -$475K
MSTR icon
43
PUT
Strategy Inc
MSTR
$34.1B
$644K 0.1%
+2,000
New +$742K
SMR icon
44
PUT
NuScale Power
SMR
$2.91B
$612K 0.1%
+17,000
New +$677K
SLNO
45
PUT
DELISTED
Soleno Therapeutics
SLNO
$608K 0.1%
+9,000
New +$667K
TLNCU
46
Talon Capital Corp Units
TLNCU
$242M
$603K 0.1%
+60,000
New +$602K
EPR.PRE icon
47
EPR Properties 9.00% Series E Preferred Shares
EPR.PRE
$113M
$589K 0.09%
18,417
+2,081
+13% +$65.7K
OKLO
48
PUT
Oklo
OKLO
$6.76B
$558K 0.09%
+5,000
New +$392K
KVAC icon
49
Keen Vision Acquisition Corp
KVAC
$63.4M
$533K 0.09%
45,988
-12
-0% -$138
BA.PRA
50
Boeing Co 6.00% Series A Preferred Stock
BA.PRA
$7.68B
$516K 0.08%
+7,399
New +$534K
1
2
3 4 5

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SCM
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OCAM
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NPCM
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FSG
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CIG
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Warberg Asset Management's Q3 2025 Portfolio in Review

As of Q3 2025, Warberg Asset Management held 243 positions worth $627M, down 2.5% from $643M the previous quarter. Its ten largest holdings account for 62% of the portfolio.

Warberg Asset Management withdrew a net $190M in Q3 2025, closing 55 positions and reducing 33 holdings. Its most notable exit was Paramount Global Class B, an estimated $2.58M position sold in full.

By sector, the portfolio is most concentrated in Financials at 3.2% of assets, up from 2% a quarter earlier, followed by Healthcare and Real Estate.

Against the trend, Warberg Asset Management opened a new position in Chart Industries 6.75% Series B Preferred Stock worth $2.37M.

  • Warberg Asset Management's largest Q3 2025 buy was Chart Industries 6.75% Series B Preferred Stock: 33,343 shares worth $2.37M.
  • Warberg Asset Management added most to Occidental Petroleum Corp Warrants in Q3 2025, an estimated $9.12M increase.
  • Warberg Asset Management's biggest Q3 2025 reduction was Stereotaxis, cutting an estimated $393K.
  • Warberg Asset Management fully exited Paramount Global Class B in Q3 2025, selling an estimated $2.58M.
  • Warberg Asset Management's ten largest holdings make up 62% of its $627M portfolio in Q3 2025.
  • Warberg Asset Management opened 63 new positions and closed 55 in Q3 2025.
  • Warberg Asset Management's portfolio value fell 2.5% quarter-over-quarter to $627M.

Based on Warberg Asset Management's 13F filing for Q3 2025, filed 6 Nov 2025.