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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
SMXWW
201
SMX (Security Matters) Public Ltd Warrant
SMXWW
$664K
$607 ﹤0.01%
53,261
– –
AGRIW
202
DELISTED
AgriFORCE Growing Systems Ltd Warrant
AGRIW
$575 ﹤0.01%
28,879
-28,749
-50% -$630
HCDIZ
203
DELISTED
Harbor Custom Development, Inc. Warrant
HCDIZ
$545 ﹤0.01%
55,000
-110,000
-67% -$1.08K
DRMAW icon
204
Dermata Therapeutics Warrant
DRMAW
$19.7K
$525 ﹤0.01%
30,000
– –
FLFVW
205
DELISTED
Feutune Light Acquisition Corporation Warrant
FLFVW
$468 ﹤0.01%
20,796
– –
ALSAW
206
DELISTED
Alpha Star Acquisition Corp Warrants
ALSAW
$400 ﹤0.01%
+40,000
New +$444
EMCGW
207
DELISTED
Embrace Change Acquisition Corp Warrants
EMCGW
$313 ﹤0.01%
12,500
– –
MOBQW
208
DELISTED
Mobiquity Technologies, Inc. Warrant
MOBQW
$122 ﹤0.01%
33,057
-5,411
-14% -$94
AMC icon
209
CALL
AMC Entertainment Holdings
AMC
$2.39B
– –
-1,300
Closed -$57.2K
AMC icon
210
PUT
AMC Entertainment Holdings
AMC
$2.39B
– –
-12,570
Closed -$553K
AREBW
211
DELISTED
American Rebel Holdings Warrants
AREBW
– –
-1,127
Closed -$2.77K
ARKK icon
212
PUT
ARK Innovation ETF
ARKK
$6.09B
– –
-45,000
Closed -$1.99M
BBAI.WS icon
213
BigBear.ai Holdings Warrant
BBAI.WS
$49.7M
– –
-66,700
Closed -$15.3K
BBLG
214
Bone Biologics
BBLG
$1.71M
– –
-563
Closed -$38.3K
BYND icon
215
PUT
Beyond Meat
BYND
$327M
– –
-10,000
Closed -$130K
CVNA icon
216
CALL
Carvana
CVNA
$74.8B
– –
-100,000
Closed -$518K
DTSTW
217
DELISTED
Data Storage Corp Warrant
DTSTW
– –
-57,764
Closed -$10.4K
GRRRW
218
Gorilla Technology Group Warrant
GRRRW
$1.82M
– –
-20,000
Closed -$2.7K
HD icon
219
CALL
Home Depot
HD
$347B
– –
-9,000
Closed -$2.8M
JPM icon
220
CALL
JPMorgan Chase
JPM
$950B
– –
-3,000
Closed -$436K
JTAI icon
221
Jet.AI
JTAI
$3.16M
– –
-1
Closed -$597K
LMBS icon
222
First Trust Exchange-Traded Fund IV First Trust Low Duration Opportunities ETF
LMBS
$6.37B
– –
-5,813
Closed -$277K
MCD icon
223
PUT
McDonald's
MCD
$191B
– –
-6,000
Closed -$1.79M
MSFT icon
224
CALL
Microsoft
MSFT
$3.66T
– –
-5,000
Closed -$1.7M
MSFT icon
225
PUT
Microsoft
MSFT
$3.66T
– –
-2,000
Closed -$681K
7 8
9
10 11

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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.