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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
WAL icon
51
PUT
Western Alliance Bancorporation
WAL
$9.05B
$395K 0.07%
6,000
-9,800
-62% -$494K
TCOA
52
DELISTED
Zalatoris Acquisition Corp.
TCOA
$391K 0.07%
36,602
– –
AQU
53
DELISTED
Aquaron Acquisition Corp. Common Stock
AQU
$386K 0.07%
36,183
+3,930
+12% +$41.9K
ESHA
54
DELISTED
ESH Acquisition Corp
ESHA
$385K 0.07%
37,604
– –
BXMT icon
55
PUT
Blackstone Mortgage Trust
BXMT
$2.46B
$383K 0.07%
+18,000
New +$388K
IROHU
56
DELISTED
Iron Horse Acquisitions Corp Unit
IROHU
$364K 0.07%
+36,267
New +$364K
CTLP
57
CALL
DELISTED
Cantaloupe
CTLP
$363K 0.07%
49,000
+14,100
+40% +$97.4K
PLTN
58
DELISTED
Plutonian Acquisition Corp. Common Stock
PLTN
$356K 0.07%
+33,473
New +$355K
SSYS icon
59
CALL
Stratasys
SSYS
$705M
$331K 0.06%
+23,200
New +$271K
FSR
60
PUT
DELISTED
Fisker Inc.
FSR
$326K 0.06%
186,100
-18,200
-9% -$64.4K
CHAA
61
DELISTED
Catcha Investment Corp
CHAA
$318K 0.06%
+28,529
New +$316K
RIVN icon
62
CALL
Rivian
RIVN
$22.2B
$305K 0.06%
13,000
-19,000
-59% -$357K
CMPOW
63
DELISTED
CompoSecure Inc Warrant
CMPOW
$289K 0.05%
773,729
+33,107
+4% +$16.9K
AEAE
64
DELISTED
AltEnergy Acquisition Corp
AEAE
$286K 0.05%
+26,221
New +$280K
DG icon
65
CALL
Dollar General
DG
$28.2B
$272K 0.05%
2,000
-14,000
-88% -$1.7M
ALSA
66
DELISTED
Alpha Star Acquisition Corp
ALSA
$271K 0.05%
24,196
-632
-3% -$7.04K
LEN.B icon
67
Lennar Class B
LEN.B
$20.1B
$268K 0.05%
+2,104
New +$228K
ARKK icon
68
PUT
ARK Innovation ETF
ARKK
$5.83B
$262K 0.05%
+5,000
New +$216K
APCA
69
DELISTED
AP Acquisition Corp
APCA
$256K 0.05%
23,027
– –
SWN
70
CALL
DELISTED
Southwestern Energy Company
SWN
$242K 0.05%
37,000
+7,000
+23% +$46.7K
DCTH icon
71
CALL
Delcath Systems
DCTH
$450M
$240K 0.05%
+57,600
New +$189K
TBMC
72
DELISTED
Trailblazer Merger Corp I
TBMC
$239K 0.05%
22,877
– –
JOBY.WS icon
73
Joby Aviation Warrants
JOBY.WS
$285K
$223K 0.04%
182,289
+123,889
+212% +$137K
GDST
74
DELISTED
Goldenstone Acquisition Limited Common Stock
GDST
$206K 0.04%
19,090
– –
EXEEZ
75
DELISTED
Expand Energy Corp Class B Warrants
EXEEZ
$202K 0.04%
3,165
-1,578
-33% -$114K
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 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.