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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
+10.54%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$627M
AUM Growth
-$16.3M
Cap. Flow
-$190M
Cap. Flow %
-30.36%
Top 10 Hldgs %
61.69%
Holding
243
New
63
Increased
23
Reduced
33
Closed
55

Top Buys

Rank Stock Value
1
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$9.12M
2
RGTIW icon
Rigetti Computing Warrants
RGTIW
+$2.49M
3
GTLS.PRB
Chart Industries 6.75% Series B Preferred Stock
GTLS.PRB
+$2.29M
4
BCAR
D. Boral ARC Acquisition I Corp
BCAR
+$1.39M
5
VNME
Vendome Acquisition Corp I
VNME
+$1.37M

Top Sells

Rank Stock Value
1
PARA
Paramount Global Class B
PARA
+$2.58M
2
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$1.22M
3
VCIC
Vine Hill Capital Investment Corp
VCIC
+$875K
4
KCHVU
Kochav Defense Acquisition Corp Units
KCHVU
+$796K
5
AVPTW
AvePoint Inc Warrant
AVPTW
+$626K

Sector Composition

Rank Sector Weight
1 Financials 3.19%
2 Healthcare 0.58%
3 Real Estate 0.13%
4 Technology 0.06%
5 Consumer Staples 0.04%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RR icon
101
PUT
Richtech Robotics
RR
$351M
$129K 0.02%
+30,000
New +$78.9K
BIVIW
102
BioVie Inc Warrant
BIVIW
$125K 0.02%
+281,483
New +$115K
AMPX.WS icon
103
Amprius Technologies Warrants
AMPX.WS
$470M
$106K 0.02%
+29,000
New +$61.9K
DFSC
104
DEFSEC Technologies
DFSC
$3.57M
$103K 0.02%
+28,950
New +$142K
ATII
105
Archimedes Tech SPAC Partners II Co
ATII
$316M
$102K 0.02%
10,000
– –
OYSE
106
Oyster Enterprises II Acquisition Corp
OYSE
$100K 0.02%
+10,000
New +$100K
ASST icon
107
Strive Inc
ASST
$1.01B
$100K 0.02%
+2,000
New +$190K
CHECU
108
Chenghe Acquisition III Co Units
CHECU
$99.8K 0.02%
+10,000
New +$99.9K
ABX
109
PUT
Abacus Global Management
ABX
$1.03B
$91.7K 0.01%
16,000
– –
SNYR
110
Synergy CHC Corp
SNYR
$2.61M
$81.8K 0.01%
+33,519
New +$101K
CRIS icon
111
Curis
CRIS
$10.1M
$72.6K 0.01%
+2,186
New +$75.7K
DAICW
112
CID HoldCo Inc Warrants
DAICW
$78.4K
$57.6K 0.01%
377,800
-54,700
-13% -$8.51K
NXGLW icon
113
NexGel Inc Warrant
NXGLW
$50K 0.01%
166,860
-17,636
-10% -$5.48K
BORR
114
CALL
Borr Drilling
BORR
$1.2B
$49.8K 0.01%
+18,500
New +$46K
USGOW
115
DELISTED
U.S. GoldMining Inc Warrant
USGOW
$49.1K 0.01%
29,217
+5,752
+25% +$5.44K
LVWR.WS icon
116
LiveWire Group Warrants
LVWR.WS
$8.16M
$46.1K 0.01%
634,442
+1,621
+0.3% +$113
INBS icon
117
Intelligent Bio Solutions
INBS
$4.14M
$45.6K 0.01%
+4,469
New +$72K
CNVS icon
118
PUT
Cineverse
CNVS
$59.5M
$40.3K 0.01%
+12,000
New +$59.6K
CBUS icon
119
Cibus
CBUS
$149M
$38.7K 0.01%
30,000
– –
SYNX icon
120
Silynxcom
SYNX
$6.83M
$37.7K 0.01%
25,466
– –
EONR.WS
121
EON Resources Warrants
EONR.WS
$1.46M
$31.7K 0.01%
633,940
-700
-0.1% -$39
MODD icon
122
Modular Medical
MODD
$11.3M
$31.5K 0.01%
+1,499
New +$32.3K
EONR
123
EON Resources
EONR
$24.7M
$30.1K ﹤0.01%
62,068
-5,496
-8% -$2K
CLDI icon
124
Calidi Biotherapeutics
CLDI
$1.97M
$28.4K ﹤0.01%
+1,169
New +$79.4K
ANNAW
125
AleAnna Inc Warrant
ANNAW
$6.49M
$23.8K ﹤0.01%
125,382
-33,000
-21% -$6.27K
3 4
5
6 7

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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 2025 Portfolio in Review

As of Q3 2025, Warberg Asset Management held 243 positions worth $627M, down 2.5% from $643M the previous quarter. Its ten largest holdings account for 62% of the portfolio.

Warberg Asset Management withdrew a net $190M in Q3 2025, closing 55 positions and reducing 33 holdings. Its most notable exit was Paramount Global Class B, an estimated $2.58M position sold in full.

By sector, the portfolio is most concentrated in Financials at 3.2% of assets, up from 2% a quarter earlier, followed by Healthcare and Real Estate.

Against the trend, Warberg Asset Management opened a new position in Chart Industries 6.75% Series B Preferred Stock worth $2.37M.

  • Warberg Asset Management's largest Q3 2025 buy was Chart Industries 6.75% Series B Preferred Stock: 33,343 shares worth $2.37M.
  • Warberg Asset Management added most to Occidental Petroleum Corp Warrants in Q3 2025, an estimated $9.12M increase.
  • Warberg Asset Management's biggest Q3 2025 reduction was Stereotaxis, cutting an estimated $393K.
  • Warberg Asset Management fully exited Paramount Global Class B in Q3 2025, selling an estimated $2.58M.
  • Warberg Asset Management's ten largest holdings make up 62% of its $627M portfolio in Q3 2025.
  • Warberg Asset Management opened 63 new positions and closed 55 in Q3 2025.
  • Warberg Asset Management's portfolio value fell 2.5% quarter-over-quarter to $627M.

Based on Warberg Asset Management's 13F filing for Q3 2025, filed 6 Nov 2025.