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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
BNCWW
151
CEA Industries Inc Warrant
BNCWW
$7.62K ﹤0.01%
207,084
-23,752
-10% -$952
NCPLW icon
152
Netcapital Inc Warrants
NCPLW
$7.42K ﹤0.01%
145,287
-3,291
-2% -$218
BAERW icon
153
Bridger Aerospace Warrant
BAERW
$13.5M
$7.31K ﹤0.01%
25,200
– –
CNTN
154
Canton Strategic Holdings
CNTN
$150M
$7.2K ﹤0.01%
96
-135
-58% -$14.8K
FREEW
155
DELISTED
Whole Earth Brands, Inc. Warrant
FREEW
$7.07K ﹤0.01%
58,874
+13,972
+31% +$2.15K
CMRAW
156
DELISTED
Comera Life Sciences Holdings, Inc. Warrant expiring 5/19/2027
CMRAW
$6.51K ﹤0.01%
300,000
– –
AUROW
157
Aurora Innovation Warrant
AUROW
$370M
$6.4K ﹤0.01%
20,000
– –
NOGN
158
DELISTED
Nogin, Inc. Common Stock
NOGN
$6.11K ﹤0.01%
11,500
– –
MDNA
159
DELISTED
Medicenna Therapeutics Corp. Common Shares
MDNA
$5.9K ﹤0.01%
20,000
+10,000
+100% +$3.89K
PALI icon
160
Palisade Bio
PALI
$344M
$5.82K ﹤0.01%
+667
New +$12.2K
SNGX icon
161
Soligenix
SNGX
$5.64M
$5.58K ﹤0.01%
625
– –
PTIXW
162
DELISTED
Protagenic Therapeutics Warrant
PTIXW
$5.32K ﹤0.01%
177,196
– –
RNAZ icon
163
TransCode Therapeutics
RNAZ
$4.85M
– –
0
– –
STIXW
164
DELISTED
Semantix, Inc. Warrant
STIXW
$4.76K ﹤0.01%
102,119
– –
AOGOW
165
DELISTED
Arogo Capital Acquisition Corp. Warrant
AOGOW
$4.52K ﹤0.01%
90,000
– –
ICUCW
166
SeaStar Medical Holding Corp Warrant
ICUCW
$341K
$4.47K ﹤0.01%
316,872
-49,138
-13% -$1.3K
NXLIW
167
DELISTED
Nexalin Technology Inc Warrant
NXLIW
$4.43K ﹤0.01%
177,383
+10,900
+7% +$623
CISO
168
CISO Global
CISO
$11.7M
$4.36K ﹤0.01%
2,074
-8,593
-81% -$22.7K
ICU icon
169
SeaStar Medical
ICU
$12.4M
$4.34K ﹤0.01%
+66
New +$5.95K
ENCPW
170
DELISTED
Energem Corp Warrant
ENCPW
$4.28K ﹤0.01%
90,000
– –
BENFW icon
171
Beneficient Warrant
BENFW
$169K
$4.24K ﹤0.01%
110,000
– –
KULR icon
172
KULR Technology Group
KULR
$133M
$4.13K ﹤0.01%
+1,438
New +$8.19K
CINGW icon
173
Cingulate Inc Warrants
CINGW
$39.6K
$3.94K ﹤0.01%
23,905
-6,650
-22% -$937
KTTAW icon
174
Pasithea Therapeutics Warrants
KTTAW
$25.5K
$3.8K ﹤0.01%
289,868
-100
-0% -$2
IFIN.WS
175
DELISTED
InFinT Acquisition Corporation Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50 per whole share
IFIN.WS
$3.39K ﹤0.01%
90,100
– –
5 6
7
8 9

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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.