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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
WKSPW
126
DELISTED
Worksport, Ltd. Warrant
WKSPW
$11.7K ﹤0.01%
65,152
-13,139
-17% -$2.95K
APLMW icon
127
Apollomics Inc Warrant
APLMW
$1.44M
$11.1K ﹤0.01%
445,600
+55,392
+14% +$1.87K
AUROW
128
Aurora Innovation Warrant
AUROW
$418M
$10.8K ﹤0.01%
20,000
– –
CREVW
129
DELISTED
Carbon Revolution PLC Warrant
CREVW
$10.3K ﹤0.01%
+190,000
New +$12.8K
INUV icon
130
Inuvo
INUV
$18M
$9.56K ﹤0.01%
2,250
-3,210
-59% -$8.38K
VBIV
131
DELISTED
VBI Vaccines, Inc. New Common Stock (Canada)
VBIV
$8.81K ﹤0.01%
15,000
– –
WLDSW icon
132
Wearable Devices Ltd Warrant
WLDSW
$8.24K ﹤0.01%
163
-11
-6% -$614
LEV.WS.A
133
DELISTED
The Lion Electric Company Warrants to purchase common shares
LEV.WS.A
$8K ﹤0.01%
21,000
– –
SWAGW icon
134
Stran & Company Warrant
SWAGW
$7.27K ﹤0.01%
181,824
– –
SBEV.WS
135
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
$6.97K ﹤0.01%
139,740
-30,993
-18% -$3.32K
AERTW
136
Aeries Technology Warrant
AERTW
$887K
$6.77K ﹤0.01%
+95,027
New +$9.61K
PGYWW
137
Pagaya Technologies Ltd Warrants
PGYWW
$1.52M
$6.59K ﹤0.01%
30,000
– –
YTEN
138
DELISTED
Yield10 Bioscience, Inc. Common Stock
YTEN
$6.12K ﹤0.01%
1,063
-645
-38% -$4.28K
PALI icon
139
Palisade Bio
PALI
$360M
$5.9K ﹤0.01%
667
– –
ICUCW
140
SeaStar Medical Holding Corp Warrant
ICUCW
$334K
$5.88K ﹤0.01%
193,600
-123,272
-39% -$4.61K
EMPD
141
Empery Digital
EMPD
$83.2M
– –
0
– –
IVDAW icon
142
Iveda Solutions Warrant
IVDAW
$43.3K
$5.43K ﹤0.01%
49,413
– –
AEON.WS
143
DELISTED
AEON Biopharma Inc
AEON.WS
$5.34K ﹤0.01%
53,500
– –
BAERW icon
144
Bridger Aerospace Warrant
BAERW
$11M
$5.33K ﹤0.01%
25,200
– –
NCPL icon
145
Netcapital
NCPL
$3.39M
$5.3K ﹤0.01%
357
+71
+25% +$1.77K
AIMDW icon
146
Ainos Warrants
AIMDW
$84.9K
$5.22K ﹤0.01%
24,871
-5,424
-18% -$2.02K
KTTAW icon
147
Pasithea Therapeutics Warrants
KTTAW
$24.1K
$5.22K ﹤0.01%
289,868
– –
CNTN
148
Canton Strategic Holdings
CNTN
$147M
$5.09K ﹤0.01%
667
+571
+595% +$26.5K
NRSNW icon
149
NeuroSense Therapeutics Warrant
NRSNW
$3.71M
$4.96K ﹤0.01%
63,502
-12,607
-17% -$1.75K
ACB
150
CALL
Aurora Cannabis
ACB
$174M
$4.76K ﹤0.01%
+1,000
New +$4.82K
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 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.