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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
MOBBW
101
Mobilicom Ltd Warrants
MOBBW
$1.91B
$33.4K 0.01%
92,100
+2,100
+2% +$515
FSR
102
DELISTED
Fisker Inc.
FSR
$32.5K 0.01%
18,600
+600
+3% +$2.12K
PETV
103
DELISTED
PetVivo Holdings, Inc. Common Stock
PETV
$29.4K 0.01%
+27,693
New +$34.7K
PETVW
104
DELISTED
PetVivo Holdings, Inc. Warrant
PETVW
$29.3K 0.01%
209,086
-15,415
-7% -$3.34K
FMSTW
105
Foremost Clean Energy Warrant
FMSTW
$2.69M
$27.4K 0.01%
109,631
+53,495
+95% +$24.3K
DFSCW
106
DEFSEC Technologies Warrant
DFSCW
$26.8K 0.01%
191,429
-1,100
-0.6% -$164
IBIO icon
107
iBio
IBIO
$69.5M
$26.2K 0.01%
+19,000
New +$83K
THWWW
108
DELISTED
Target Hospitality Corp. Warrant expiring 3/15/2024
THWWW
$25.9K ﹤0.01%
64,011
+3,686
+6% +$8.84K
APCXW
109
DELISTED
AppTech Payments Corp Warrant
APCXW
$24.3K ﹤0.01%
69,507
-13,522
-16% -$5.87K
SKYH.WS icon
110
Sky Harbour Group Warrants
SKYH.WS
$19.3M
$23.6K ﹤0.01%
+31,436
New +$15.7K
BEATW icon
111
Heartbeam Inc Warrant
BEATW
$22.9K ﹤0.01%
57,345
-1,001
-2% -$222
SVREW
112
SaverOne 2014 Ltd Warrant
SVREW
$48.9K
$22.3K ﹤0.01%
185,481
-13,288
-7% -$2.37K
AUMN
113
DELISTED
Golden Minerals Company
AUMN
$22K ﹤0.01%
+42,402
New +$30.2K
PIII icon
114
P3 Health Partners
PIII
$32.7M
$18.9K ﹤0.01%
268
+28
+12% +$1.93K
SGE
115
DELISTED
Strong Global Entertainment, Inc.
SGE
$18.7K ﹤0.01%
11,699
-2,862
-20% -$4.91K
FGIWW
116
FGI Industries Warrant
FGIWW
$180K
$18.5K ﹤0.01%
121,152
– –
BTBDW icon
117
BT Brands Warrant
BTBDW
$143K
$17.7K ﹤0.01%
134,959
-1,500
-1% -$214
SNGX icon
118
Soligenix
SNGX
$5.54M
$15.1K ﹤0.01%
1,250
+625
+100% +$5.46K
EDBL
119
Edible Garden
EDBL
$1.49M
– –
0
– –
UPXI icon
120
Upexi
UPXI
$55.5M
$15.1K ﹤0.01%
650
-210
-24% -$4.87K
ONFOW icon
121
Onfolio Holdings Warrant
ONFOW
$73.9K
$14.7K ﹤0.01%
193,570
-215
-0.1% -$14
RCAT icon
122
Red Cat Holdings
RCAT
$1.15B
$14.4K ﹤0.01%
+16,310
New +$14K
STEX
123
Streamex Corp
STEX
$74M
$13.3K ﹤0.01%
2,793
-3,593
-56% -$14.9K
FREEW
124
DELISTED
Whole Earth Brands, Inc. Warrant
FREEW
$12.9K ﹤0.01%
160,742
+101,868
+173% +$10.2K
FRSX
125
Foresight Autonomous Holdings
FRSX
$3.9M
$12.1K ﹤0.01%
+559
New +$19K
3 4
5
6 7

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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.