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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
MIR.WS
101
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
$40.6K 0.01%
30,096
– –
BFRGW icon
102
Bullfrog AI Holdings Warrants
BFRGW
$37.8K 0.01%
66,718
-2,368
-3% -$1.3K
ASTI icon
103
Ascent Solar Technologies
ASTI
$30M
$35.8K 0.01%
+200
New +$267K
NXPLW
104
DELISTED
NextPlat Corp Warrants
NXPLW
$35.6K 0.01%
61,609
-9,699
-14% -$8.03K
CMND icon
105
Clearmind Medicine
CMND
$2.42M
$35.2K 0.01%
+18
New +$82.4K
FMSTW
106
Foremost Clean Energy Warrant
FMSTW
$2.69M
$33.1K 0.01%
+56,136
New +$33.9K
STEX
107
Streamex Corp
STEX
$78.1M
$31.4K 0.01%
6,386
+3,093
+94% +$23.2K
SGE
108
DELISTED
Strong Global Entertainment, Inc.
SGE
$30.6K 0.01%
14,561
-4,198
-22% -$9.74K
UPXI icon
109
Upexi
UPXI
$58.8M
$29.8K 0.01%
860
-25
-3% -$954
TNONW icon
110
Tenon Medical Inc Warrant
TNONW
$27.1K 0.01%
664,292
+343,792
+107% +$25.2K
SVREW
111
SaverOne 2014 Ltd Warrant
SVREW
$48.9K
$27K 0.01%
198,769
-2,335
-1% -$440
ONFOW icon
112
Onfolio Holdings Warrant
ONFOW
$73.9K
$25.9K 0.01%
193,785
-6,968
-3% -$921
EDBL
113
Edible Garden
EDBL
$1.46M
– –
0
– –
BOF icon
114
BranchOut Food
BOF
$62.9M
$21.8K ﹤0.01%
10,369
-2,631
-20% -$6.6K
BTBDW icon
115
BT Brands Warrant
BTBDW
$143K
$20.5K ﹤0.01%
136,459
-1,249
-0.9% -$222
LLAP
116
DELISTED
Terran Orbital Corporation
LLAP
$20.1K ﹤0.01%
+24,250
New +$32.1K
FGIWW
117
FGI Industries Warrant
FGIWW
$180K
$20K ﹤0.01%
121,152
+78
+0.1% +$16
ESPR
118
CALL
DELISTED
Esperion Therapeutics
ESPR
$19.6K ﹤0.01%
+20,000
New +$28.9K
WKSPW
119
DELISTED
Worksport, Ltd. Warrant
WKSPW
$19.6K ﹤0.01%
+78,291
New +$28.5K
APLMW icon
120
Apollomics Inc Warrant
APLMW
$1.24M
$19.5K ﹤0.01%
390,208
+53,058
+16% +$3.45K
PIII icon
121
P3 Health Partners
PIII
$33.3M
$17.6K ﹤0.01%
+240
New +$24.9K
CNVS icon
122
Cineverse
CNVS
$58.5M
$17.5K ﹤0.01%
14,952
-48
-0.3% -$65
NAVB
123
DELISTED
Navidea Biopharmaceuticals Inc.
NAVB
$17.5K ﹤0.01%
+194,997
New +$18.1K
SBEV.WS
124
DELISTED
Splash Beverage Group, Inc. Warrants to purchase 1/40th of a share of Common Stock at an exercise price of $184.00
SBEV.WS
$17.1K ﹤0.01%
170,733
-27,933
-14% -$2.83K
ASPI icon
125
ASP Isotopes
ASPI
$521M
$16.1K ﹤0.01%
17,000
-38,218
-69% -$39.4K
3 4
5
6 7

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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.