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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
CREVW
151
DELISTED
Carbon Revolution PLC Warrant
CREVW
$1.1K ﹤0.01%
46,472
-42,229
-48% -$1.2K
ANGHW icon
152
Anghami Inc Warrants
ANGHW
$546 ﹤0.01%
40,409
– –
AEVA
153
PUT
Aeva Technologies
AEVA
$1.37B
– –
-10,000
Closed -$378K
ATMC
154
DELISTED
AlphaTime Acquisition Corp
ATMC
– –
-18,876
Closed -$221K
AVPTW
155
DELISTED
AvePoint Inc Warrant
AVPTW
– –
-80,602
Closed -$626K
BAC.PRL icon
156
Bank of America Series L
BAC.PRL
$3.99B
– –
-300
Closed -$364K
CMPOW
157
DELISTED
CompoSecure Inc Warrant
CMPOW
– –
-25,565
Closed -$160K
CTLP
158
CALL
DELISTED
Cantaloupe
CTLP
– –
-69,200
Closed -$761K
DTSTW
159
DELISTED
Data Storage Corp Warrant
DTSTW
– –
-83,469
Closed -$10K
FGIWW
160
FGI Industries Warrant
FGIWW
$180K
– –
-121,152
Closed -$5.32K
FMSTW
161
Foremost Clean Energy Warrant
FMSTW
$2.69M
– –
-34,997
Closed -$13K
GBTC icon
162
Grayscale Bitcoin Trust
GBTC
$9.63B
– –
-5,001
Closed -$424K
GME icon
163
CALL
GameStop
GME
$8.53B
– –
-8,400
Closed -$205K
HIMS icon
164
PUT
Hims & Hers Health
HIMS
$7.33B
– –
-8,000
Closed -$399K
HOOD icon
165
PUT
Robinhood
HOOD
$83.1B
– –
-19,000
Closed -$1.78M
KRE icon
166
State Street SPDR S&P Regional Banking ETF
KRE
$4.74B
– –
-3,830
Closed -$228K
DFSCW
167
DEFSEC Technologies Warrant
DFSCW
– –
-30,000
Closed -$1.2K
MSFT icon
168
CALL
Microsoft
MSFT
$3.69T
– –
-14,000
Closed -$6.96M
MTEKW icon
169
Maris-Tech Ltd Warrants
MTEKW
$959K
– –
-139,831
Closed -$41.9K
MU icon
170
CALL
Micron Technology
MU
$1.01T
– –
-15,000
Closed -$1.85M
NMTC icon
171
NeuroOne Medical Technologies
NMTC
$14.8M
– –
-6,667
Closed -$27.1K
NN icon
172
CALL
NextNav
NN
$1.92B
– –
-17,000
Closed -$258K
NXLIW
173
DELISTED
Nexalin Technology Inc Warrant
NXLIW
– –
-37,649
Closed -$1.78K
ONFOW icon
174
Onfolio Holdings Warrant
ONFOW
$73.9K
– –
-42,344
Closed -$5.48K
OXY icon
175
CALL
Occidental Petroleum
OXY
$54.6B
– –
-14,000
Closed -$588K
5 6
7
8 9

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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.