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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
-0.04%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$562M
AUM Growth
-$96.3M
Cap. Flow
-$338M
Cap. Flow %
-60.12%
Top 10 Hldgs %
53.46%
Holding
270
New
50
Increased
30
Reduced
42
Closed
60

Top Buys

Rank Stock Value
1
SGOV icon
iShares 0-3 Month Treasury Bond ETF
SGOV
+$5.07M
2
VCICU
Vine Hill Capital Investment Corp Unit
VCICU
+$1.34M
3
BUJA
Bukit Jalil Global Acquisition 1
BUJA
+$774K
4
NE icon
Noble Corp
NE
+$709K
5
AAM
AA Mission Acquisition Corp
AAM
+$672K

Top Sells

Rank Stock Value
1
DJTWW
Trump Media & Technology Group Warrants
DJTWW
+$8.41M
2
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$3.94M
3
NE.WS icon
Noble Corporation PLC Tranche 1 Warrants
NE.WS
+$1.91M
4
CORZZ icon
Core Scientific Inc Tranche 2 Warrants
CORZZ
+$1.23M
5
SHV icon
iShares 0-1 Year Treasury Bond ETF
SHV
+$1.09M

Sector Composition

Rank Sector Weight
1 Financials 1.98%
2 Healthcare 0.31%
3 Energy 0.24%
4 Real Estate 0.14%
5 Technology 0.13%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RBCP
51
DELISTED
RBC Bearings Incorporated 5.00% Series A Mandatory Convertible Preferred Stock
RBCP
$480K 0.09%
3,600
-3,975
-52% -$510K
VNO icon
52
PUT
Vornado Realty Trust
VNO
$7.51B
$473K 0.08%
12,000
+2,000
+20% +$64.3K
FLNA
53
PUT
Filana Therapeutics
FLNA
$49.8M
$471K 0.08%
+16,000
New +$368K
OAKU
54
DELISTED
Oak Woods Acquisition Corp
OAKU
$444K 0.08%
40,000
-25,000
-38% -$275K
JPM icon
55
CALL
JPMorgan Chase
JPM
$937B
$422K 0.08%
+2,000
New +$421K
ASTS icon
56
AST SpaceMobile
ASTS
$19B
$419K 0.07%
+16,010
New +$361K
STXS icon
57
Stereotaxis
STXS
$133M
$414K 0.07%
202,698
-258,302
-56% -$520K
ESHA
58
DELISTED
ESH Acquisition Corp
ESHA
$411K 0.07%
38,700
– –
RFAI
59
RF Acquisition Corp II
RFAI
$92.5M
$386K 0.07%
+38,000
New +$384K
BXMT icon
60
PUT
Blackstone Mortgage Trust
BXMT
$2.46B
$361K 0.06%
19,000
-1,000
-5% -$18.4K
MSTR icon
61
CALL
Strategy Inc
MSTR
$34.7B
$354K 0.06%
+2,100
New +$300K
UCFI
62
CN Healthy Food Tech Group
UCFI
$340K 0.06%
33,367
+100
+0.3% +$1.01K
LATG
63
DELISTED
Chenghe Acquisition I Co. Class A Ordinary Shares
LATG
$315K 0.06%
+27,205
New +$312K
PCSC
64
DELISTED
Perceptive Capital Solutions
PCSC
$309K 0.06%
30,837
– –
BZAI
65
Blaize Holdings
BZAI
$119M
$307K 0.05%
+27,185
New +$305K
AIMBU
66
DELISTED
Aimfinity Investment Corp I Subunit
AIMBU
$279K 0.05%
24,216
– –
BYNO
67
DELISTED
byNordic Acquisition Corporation Class A Common Stock
BYNO
$278K 0.05%
24,390
+12,504
+105% +$143K
CCTS
68
DELISTED
Cactus Acquisition Corp. 1 Limited Class A Ordinary Share
CCTS
$268K 0.05%
+23,336
New +$266K
MRNA icon
69
PUT
Moderna
MRNA
$21.9B
$267K 0.05%
4,000
– –
DYCQ
70
DELISTED
DT Cloud Acquisition Corp
DYCQ
$266K 0.05%
25,815
– –
ASTS icon
71
PUT
AST SpaceMobile
ASTS
$19B
$262K 0.05%
+10,000
New +$226K
INTC icon
72
CALL
Intel
INTC
$459B
$235K 0.04%
10,000
-10,000
-50% -$250K
MRNA icon
73
Moderna
MRNA
$21.9B
$234K 0.04%
+3,500
New +$321K
FLG
74
CALL
Flagstar Bank National Association
FLG
$5.93B
$225K 0.04%
+20,000
New +$213K
RIVN icon
75
PUT
Rivian
RIVN
$22.2B
$224K 0.04%
+20,000
New +$287K
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 2024 Portfolio in Review

As of Q3 2024, Warberg Asset Management held 270 positions worth $562M, down 15% from $658M the previous quarter. Its ten largest holdings account for 53% of the portfolio.

Warberg Asset Management withdrew a net $338M in Q3 2024, closing 60 positions and reducing 42 holdings. Its most notable exit was Trump Media & Technology Group Warrants, an estimated $8.41M position sold in full.

By sector, the portfolio is most concentrated in Financials at 2% of assets, up from 1.5% a quarter earlier, followed by Healthcare and Energy.

Against the trend, Warberg Asset Management opened a new position in iShares 0-3 Month Treasury Bond ETF worth $5.08M.

  • Warberg Asset Management's largest Q3 2024 buy was iShares 0-3 Month Treasury Bond ETF: 50,455 shares worth $5.08M.
  • Warberg Asset Management added most to Grayscale Bitcoin Trust in Q3 2024, an estimated $511K increase.
  • Warberg Asset Management's biggest Q3 2024 reduction was Occidental Petroleum Corp Warrants, cutting an estimated $3.94M.
  • Warberg Asset Management fully exited Trump Media & Technology Group Warrants in Q3 2024, selling an estimated $8.41M.
  • Warberg Asset Management's ten largest holdings make up 53% of its $562M portfolio in Q3 2024.
  • Warberg Asset Management opened 50 new positions and closed 60 in Q3 2024.
  • Warberg Asset Management's portfolio value fell 15% quarter-over-quarter to $562M.

Based on Warberg Asset Management's 13F filing for Q3 2024, filed 6 Nov 2024.