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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
PARA
176
CALL
DELISTED
Paramount Global Class B
PARA
– –
-93,500
Closed -$1.21M
PARA
177
DELISTED
Paramount Global Class B
PARA
– –
-200,000
Closed -$2.58M
PHGE icon
178
BiomX
PHGE
$1.97M
– –
-4,211
Closed -$36K
PMNT
179
DELISTED
PERFECT MOMENT LTD
PMNT
– –
-75,000
Closed -$20.3K
PROP icon
180
Prairie Operating Co
PROP
$73.6M
– –
-18,379
Closed -$52.3K
RVPH
181
DELISTED
REVIVA PHARMA HLDGS INC
RVPH
– –
-2,375
Closed -$18.1K
SBUX icon
182
PUT
Starbucks
SBUX
$120B
– –
-5,000
Closed -$458K
VXX icon
183
CALL
iPath Series B S&P 500 VIX Short-Term Futures ETN
VXX
$154M
– –
-6,000
Closed -$288K
XLF icon
184
PUT
State Street Financial Select Sector SPDR ETF
XLF
$58.5B
– –
-20,000
Closed -$1.05M
BNAIW
185
Brand Engagement Network Warrant
BNAIW
– –
-10,000
Closed -$301
SDST
186
Stardust Power Inc
SDST
$7.3M
– –
-17,990
Closed -$35.4K
NVAWW
187
DELISTED
Nova Minerals Ltd Warrant
NVAWW
– –
-18,249
Closed -$95.3K
CEP
188
PUT
DELISTED
Cantor Equity Partners
CEP
– –
-17,800
Closed -$495K
FSHP
189
Flag Ship Acquisition Corp
FSHP
– –
-10,001
Closed -$104K
GRMLW
190
Greenland Mines Ltd Warrant
GRMLW
– –
-10,100
Closed -$2.52K
EXEEL
191
DELISTED
Expand Energy Corp Class C Warrants
EXEEL
– –
-11,257
Closed -$1.22M
HURA
192
TuHURA Biosciences
HURA
$133M
– –
-20,000
Closed -$44.8K
VCIC
193
DELISTED
Vine Hill Capital Investment Corp
VCIC
– –
-84,156
Closed -$875K
CRWV
194
PUT
CoreWeave
CRWV
$50.1B
– –
-9,000
Closed -$1.47M
BULL
195
Webull Corp
BULL
$4.03B
– –
-30,000
Closed -$359K
TVAIU
196
Thayer Ventures Acquisition Corporation II Unit
TVAIU
– –
-44,699
Closed -$454K
TVA
197
Texas Ventures Acquisition III Corp
TVA
$316M
– –
-10,000
Closed -$101K
XRPNU
198
Armada Acquisition Corp II Units
XRPNU
$225M
– –
-30,000
Closed -$306K
OYSEU
199
Oyster Enterprises II Acquisition Corp Units
OYSEU
– –
-10,000
Closed -$101K
CRAQU
200
Cal Redwood Acquisition Corp Units
CRAQU
– –
-49,900
Closed -$512K
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 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.