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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
FORL
76
DELISTED
Four Leaf Acquisition Corp
FORL
$159K 0.03%
+15,152
New +$158K
CTLP
77
PUT
DELISTED
Cantaloupe
CTLP
$154K 0.03%
24,600
+11,000
+81% +$80.7K
BUJA
78
DELISTED
Bukit Jalil Global Acquisition 1
BUJA
$142K 0.03%
+13,740
New +$141K
DFSC
79
DEFSEC Technologies
DFSC
$3.57M
$140K 0.03%
+429
New +$181K
SSYS icon
80
PUT
Stratasys
SSYS
$706M
$136K 0.03%
+10,000
New +$158K
NEOVW icon
81
NeoVolta Inc Warrant
NEOVW
$1.17M
$131K 0.03%
207,627
-21,498
-9% -$13.3K
AMPX.WS icon
82
Amprius Technologies Warrants
AMPX.WS
$436M
$130K 0.03%
439,138
-3,772
-0.9% -$1.36K
FSR
83
DELISTED
Fisker Inc.
FSR
$116K 0.02%
18,000
– –
ISRL
84
DELISTED
Israel Acquisitions Corp
ISRL
$115K 0.02%
10,850
– –
BOWN
85
DELISTED
Bowen Acquisition Corp
BOWN
$102K 0.02%
+10,000
New +$101K
PODC icon
86
PodcastOne
PODC
$106M
$80.8K 0.02%
+42,252
New +$105K
DRCT icon
87
Direct Digital Holdings
DRCT
$2M
$76.5K 0.02%
+136
New +$76K
PETVW
88
DELISTED
PetVivo Holdings, Inc. Warrant
PETVW
$74.1K 0.01%
224,501
-28,626
-11% -$9.01K
JOBY.WS icon
89
Joby Aviation Warrants
JOBY.WS
$306K
$72.4K 0.01%
58,400
-39,600
-40% -$68.7K
OPHC icon
90
OptimumBank Holdings
OPHC
$113M
$65.2K 0.01%
+20,500
New +$63.1K
TALKW
91
DELISTED
Talkspace Inc Warrant
TALKW
$63.8K 0.01%
534,441
+13,901
+3% +$1.25K
APCXW
92
DELISTED
AppTech Payments Corp Warrant
APCXW
$61.4K 0.01%
+83,029
New +$54.6K
PXSAW
93
DELISTED
Pyxis Tankers Inc Warrant
PXSAW
$57.9K 0.01%
56,828
-32,436
-36% -$35.6K
AZTR icon
94
Azitra
AZTR
$2.15M
$52.5K 0.01%
175
+30
+21% +$16.6K
AENT icon
95
Alliance Entertainment
AENT
$278M
$52.2K 0.01%
47,000
+17,000
+57% +$33K
FGNX
96
FG Nexus Inc
FGNX
$41.9M
$52K 0.01%
297
-156
-34% -$28.2K
SKYAW
97
SkyAI Inc
SKYAW
$263K
$52K 0.01%
492,755
+327,873
+199% +$49.4K
TIO
98
PUT
DELISTED
Tingo Group, Inc. Common Stock
TIO
$51.3K 0.01%
50,000
-31,400
-39% -$39.6K
DFSCW
99
DEFSEC Technologies Warrant
DFSCW
$46K 0.01%
192,529
+3,383
+2% +$1.05K
ZIVOW
100
DELISTED
Zivo Bioscience, Inc. Warrants
ZIVOW
$45.2K 0.01%
100,975
-6,488
-6% -$3.26K
2 3
4
5 6

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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.