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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
TCOA
51
DELISTED
Zalatoris Acquisition Corp.
TCOA
$386K 0.08%
+36,602
New +$382K
ESHA
52
DELISTED
ESH Acquisition Corp
ESHA
$381K 0.08%
+37,604
New +$379K
F icon
53
PUT
Ford
F
$57.5B
$373K 0.08%
+30,000
New +$390K
EXEEZ
54
DELISTED
Expand Energy Corp Class B Warrants
EXEEZ
$348K 0.07%
4,743
+1,132
+31% +$83.8K
AQU
55
DELISTED
Aquaron Acquisition Corp. Common Stock
AQU
$341K 0.07%
+32,253
New +$338K
IGTA
56
DELISTED
Inception Growth Acquisition Limited Common Stock
IGTA
$323K 0.07%
+30,428
New +$319K
MRNA icon
57
Moderna
MRNA
$21.9B
$310K 0.06%
+3,000
New +$335K
THWWW
58
DELISTED
Target Hospitality Corp. Warrant expiring 3/15/2024
THWWW
$308K 0.06%
60,325
+50,000
+484% +$192K
GRML
59
Greenland Mines Ltd
GRML
$30.3M
$304K 0.06%
28,519
+18,454
+183% +$195K
CETU
60
DELISTED
Cetus Capital Acquisition Corp. Class A Common Stock
CETU
$284K 0.06%
+27,137
New +$282K
ALSA
61
DELISTED
Alpha Star Acquisition Corp
ALSA
$272K 0.06%
24,828
+3,725
+18% +$40.6K
HOVR icon
62
New Horizon Aircraft
HOVR
$119M
$267K 0.05%
25,300
– –
APCA
63
DELISTED
AP Acquisition Corp
APCA
$253K 0.05%
+23,027
New +$250K
TBMC
64
DELISTED
Trailblazer Merger Corp I
TBMC
$236K 0.05%
22,877
+187
+0.8% +$1.92K
UNG icon
65
CALL
United States Natural Gas Fund
UNG
$473M
$232K 0.05%
8,500
-5,000
-37% -$140K
CTLP
66
CALL
DELISTED
Cantaloupe
CTLP
$218K 0.04%
+34,900
New +$256K
DRCTW
67
DELISTED
Direct Digital Holdings, Inc. Warrant
DRCTW
$216K 0.04%
180,377
+49,637
+38% +$45.6K
KRE icon
68
State Street SPDR S&P Regional Banking ETF
KRE
$4.69B
$209K 0.04%
+5,000
New +$223K
RNWWW
69
ReNew Energy Global PLC Warrant
RNWWW
$61.1K
$209K 0.04%
278,328
+217
+0.1% +$192
GDST
70
DELISTED
Goldenstone Acquisition Limited Common Stock
GDST
$205K 0.04%
19,090
-46,933
-71% -$501K
SWN
71
CALL
DELISTED
Southwestern Energy Company
SWN
$194K 0.04%
30,000
– –
RFAC
72
DELISTED
RF Acquisition Corp. Class A Common Stock
RFAC
$192K 0.04%
18,006
+1,005
+6% +$10.6K
RCAC
73
DELISTED
Revelstone Capital Acquisition Corp. Class A Common Stock
RCAC
$191K 0.04%
+18,007
New +$189K
VSAC
74
DELISTED
Vision Sensing Acquisition Corp. Class A Common Stock
VSAC
$190K 0.04%
17,429
-248
-1% -$2.67K
PPYA
75
DELISTED
Papaya Growth Opportunity Corp. I Class A Common Stock
PPYA
$164K 0.03%
+15,287
New +$163K
1 2
3
4 5

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BHPW
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CCP
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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 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.