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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
USBC
126
USBC Inc
USBC
$137M
$15K ﹤0.01%
+1,500
New +$45.1K
WLDSW icon
127
Wearable Devices Ltd Warrant
WLDSW
$14.9K ﹤0.01%
174
– –
NXU
128
DELISTED
Nxu, Inc. Class A Common Stock
NXU
$13.7K ﹤0.01%
+23
New +$23.6K
YTEN
129
DELISTED
Yield10 Bioscience, Inc. Common Stock
YTEN
$13.4K ﹤0.01%
+1,708
New +$43K
MOBBW
130
Mobilicom Ltd Warrants
MOBBW
$2.4B
$12.9K ﹤0.01%
90,000
-36,366
-29% -$8.84K
ESPR
131
DELISTED
Esperion Therapeutics
ESPR
$12.8K ﹤0.01%
+13,000
New +$18.8K
INUV icon
132
Inuvo
INUV
$18M
$11.7K ﹤0.01%
5,460
-8,540
-61% -$19.7K
BEATW icon
133
Heartbeam Inc Warrant
BEATW
$59.1K
$11.7K ﹤0.01%
58,346
-4,492
-7% -$1.8K
NRSNW icon
134
NeuroSense Therapeutics Warrant
NRSNW
$3.71M
$11K ﹤0.01%
76,109
-1,600
-2% -$291
LEV.WS.A
135
DELISTED
The Lion Electric Company Warrants to purchase common shares
LEV.WS.A
$11K ﹤0.01%
21,000
-18,298
-47% -$11.2K
IVDAW icon
136
Iveda Solutions Warrant
IVDAW
$43.3K
$10.8K ﹤0.01%
49,413
– –
SWAGW icon
137
Stran & Company Warrant
SWAGW
$10.6K ﹤0.01%
181,824
– –
SXTPW icon
138
60 Degrees Pharmaceuticals Warrant
SXTPW
$37K
$10.3K ﹤0.01%
+29,515
New +$12.7K
PGYWW
139
Pagaya Technologies Ltd Warrants
PGYWW
$1.52M
$10.1K ﹤0.01%
30,000
-19,680
-40% -$7.57K
VBIV
140
DELISTED
VBI Vaccines, Inc. New Common Stock (Canada)
VBIV
$9.99K ﹤0.01%
+15,000
New +$18.4K
AIMDW icon
141
Ainos Warrants
AIMDW
$84.9K
$9.91K ﹤0.01%
30,295
– –
IGTAW
142
DELISTED
Inception Growth Acquisition Limited Warrants
IGTAW
$8.99K ﹤0.01%
89,900
-100
-0.1% -$5
BPTH
143
DELISTED
Bio-Path Holdings Inc
BPTH
$8.88K ﹤0.01%
+1,200
New +$16.7K
ZURAW
144
DELISTED
Zura Bio Limited Warrants
ZURAW
$8.78K ﹤0.01%
25,818
– –
MTEKW icon
145
Maris-Tech Ltd Warrants
MTEKW
$1.16M
$8.78K ﹤0.01%
199,900
-23,696
-11% -$1.39K
RBOT.WS
146
DELISTED
Vicarious Surgical Inc Warrants
RBOT.WS
$8.59K ﹤0.01%
112,000
– –
NCPL icon
147
Netcapital
NCPL
$3.39M
$8.2K ﹤0.01%
+286
New +$13.4K
XBPEW
148
XBP Europe Holdings Warrant
XBPEW
$1.43M
$8.1K ﹤0.01%
+32,401
New +$2.95K
AEON.WS
149
DELISTED
AEON Biopharma Inc
AEON.WS
$8.03K ﹤0.01%
+53,500
New +$7.59K
GCTK icon
150
GlucoTrack
GCTK
$4.62M
$7.88K ﹤0.01%
5
– –
4 5
6
7 8

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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.