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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
CETU
76
DELISTED
Cetus Capital Acquisition Corp. Class A Common Stock
CETU
$196K 0.04%
18,668
-8,469
-31% -$88.9K
CTLP
77
PUT
DELISTED
Cantaloupe
CTLP
$182K 0.03%
24,600
– –
VSAC
78
DELISTED
Vision Sensing Acquisition Corp. Class A Common Stock
VSAC
$181K 0.03%
16,368
-1,061
-6% -$11.7K
PPYA
79
DELISTED
Papaya Growth Opportunity Corp. I Class A Common Stock
PPYA
$165K 0.03%
15,287
– –
AFJKU
80
Aimei Health Technology Co Unit
AFJKU
$72M
$153K 0.03%
+15,000
New +$153K
AMPX.WS icon
81
Amprius Technologies Warrants
AMPX.WS
$436M
$145K 0.03%
371,879
-67,259
-15% -$15K
BUJA
82
DELISTED
Bukit Jalil Global Acquisition 1
BUJA
$143K 0.03%
13,740
– –
OMQS
83
DELISTED
OMNIQ Corp. Common Stock
OMQS
$126K 0.02%
+193,200
New +$134K
INDI icon
84
CALL
indie Semiconductor
INDI
$682M
$122K 0.02%
+15,000
New +$97.8K
SA
85
CALL
Seabridge Gold
SA
$2.78B
$121K 0.02%
+10,000
New +$115K
XFIN
86
DELISTED
ExcelFin Acquisition Corp Class A Common Stock
XFIN
$118K 0.02%
10,972
-61,645
-85% -$657K
BRAC
87
DELISTED
Broad Capital Acquisition Corp Common Stock
BRAC
$115K 0.02%
10,329
-54,774
-84% -$603K
BOWN
88
DELISTED
Bowen Acquisition Corp
BOWN
$103K 0.02%
10,000
– –
OPHC icon
89
OptimumBank Holdings
OPHC
$93.2M
$82.4K 0.02%
19,700
-800
-4% -$2.71K
PXSAW
90
DELISTED
Pyxis Tankers Inc Warrant
PXSAW
$76.7K 0.01%
69,617
+12,789
+23% +$12.4K
TALKW
91
DELISTED
Talkspace Inc Warrant
TALKW
$72.5K 0.01%
559,300
+24,859
+5% +$3.18K
MIR.WS
92
DELISTED
Mirion Technologies, Inc. Redeemable Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50
MIR.WS
$61.1K 0.01%
30,096
– –
ESPR
93
CALL
DELISTED
Esperion Therapeutics
ESPR
$59.8K 0.01%
20,000
– –
PODC icon
94
PodcastOne
PODC
$102M
$56.7K 0.01%
30,652
-11,600
-27% -$25.8K
NEOVW icon
95
NeoVolta Inc Warrant
NEOVW
$1.17M
$53.6K 0.01%
198,611
-9,016
-4% -$4.04K
DFSC
96
DEFSEC Technologies
DFSC
$3.71M
$51.6K 0.01%
273
-156
-36% -$39.7K
SKYAW
97
SkyAI Inc
SKYAW
$263K
$51.5K 0.01%
470,752
-22,003
-4% -$2.57K
NXPLW
98
DELISTED
NextPlat Corp Warrants
NXPLW
$48.5K 0.01%
80,826
+19,217
+31% +$9.28K
TNONW icon
99
Tenon Medical Inc Warrant
TNONW
$36.5K 0.01%
671,700
+7,408
+1% +$346
FGNX
100
FG Nexus Inc
FGNX
$41.6M
$33.4K 0.01%
167
-130
-44% -$22.2K
2 3
4
5 6

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GP
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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 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.