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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
ACONW icon
176
Aclarion Warrant
ACONW
$44.2K
$3.22K ﹤0.01%
42,957
– –
NXGLW icon
177
NexGel Inc Warrant
NXGLW
$3.05K ﹤0.01%
10,000
– –
SLNAW
178
DELISTED
Selina Hospitality PLC Warrant
SLNAW
$2.95K ﹤0.01%
217,025
+7,249
+3% +$250
FATPW
179
DELISTED
Fat Projects Acquisition Corp Warrant
FATPW
$2.91K ﹤0.01%
85,000
– –
NVACW
180
DELISTED
NorthView Acquisition Corporation Warrant
NVACW
$2.88K ﹤0.01%
77,770
– –
LIXTW
181
DELISTED
Lixte Biotechnology Warrants
LIXTW
$2.58K ﹤0.01%
40,875
-12,306
-23% -$854
HGASW
182
DELISTED
Global Gas Corporation Warrant
HGASW
$2.54K ﹤0.01%
36,300
+16,800
+86% +$874
HUBC icon
183
Hub Cyber Security
HUBC
$5.36M
– –
0
– –
PNST.WS
184
DELISTED
Pinstripes Holdings, Inc. Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50 per share
PNST.WS
$2.21K ﹤0.01%
12,200
– –
HOLOW icon
185
MicroCloud Hologram Inc Warrant
HOLOW
$3.56M
$2.21K ﹤0.01%
55,000
-20,775
-27% -$2.95K
BNIXW
186
DELISTED
Bannix Acquisition Corp. Warrant
BNIXW
$2.14K ﹤0.01%
85,700
– –
BIAFW icon
187
bioAffinity Technologies
BIAFW
$89K
$2.09K ﹤0.01%
22,926
-1,700
-7% -$507
ENERW
188
DELISTED
Accretion Acquisition Corp Warrant
ENERW
$1.97K ﹤0.01%
87,348
– –
RVSNW icon
189
Rail Vision Ltd Warrant
RVSNW
$744K
$1.75K ﹤0.01%
50,000
-2,192
-4% -$104
CNGLW
190
DELISTED
Canna-Global Acquisition Corp Warrant
CNGLW
$1.59K ﹤0.01%
90,100
– –
KACLW
191
DELISTED
Kairous Acquisition Corp. Limited Warrants
KACLW
$1.58K ﹤0.01%
78,977
-1,700
-2% -$20
OCEAW
192
DELISTED
Ocean Biomediacal, Inc. Warrants
OCEAW
$1.51K ﹤0.01%
10,000
– –
SQLLW
193
DELISTED
SeqLL Inc. Warrant
SQLLW
$1.41K ﹤0.01%
56,000
– –
CTOS.WS
194
DELISTED
Custom Truck One Source, Inc. Warrants, exerciseable for Common Stock
CTOS.WS
$1.2K ﹤0.01%
+15,000
New +$2.34K
ANGHW icon
195
Anghami Inc Warrants
ANGHW
$65.7K
$1.19K ﹤0.01%
40,409
– –
KVACW
196
DELISTED
Keen Vision Acquisition Corp Warrant
KVACW
$1.13K ﹤0.01%
+20,500
New +$1.43K
HUBCW icon
197
Hub Cyber Security Warrant 2/27/28
HUBCW
$176K
$1.05K ﹤0.01%
100,000
– –
BZFDW icon
198
BuzzFeed Inc Warrant
BZFDW
$979 ﹤0.01%
19,778
– –
SHAP.WS
199
DELISTED
Spree Acquisition Corp. 1 Limited Redeemable warrants, each warrant exercisable for one Class A ordinary share at an exercise price of $11.50
SHAP.WS
$885 ﹤0.01%
23,576
-23,578
-50% -$684
EDBLW
200
Edible Garden AG Warrant
EDBLW
$106K
$767 ﹤0.01%
30,426
-22,235
-42% -$636
6 7
8
9 10

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NPCM
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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.