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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
-0.66%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$528M
AUM Growth
+$32.3M
Cap. Flow
-$135M
Cap. Flow %
-25.61%
Top 10 Hldgs %
63.12%
Holding
291
New
40
Increased
41
Reduced
59
Closed
57

Top Buys

Rank Stock Value
1
GSY icon
Invesco Ultra Short Duration ETF
GSY
+$1.36M
2
CFFS
CF Acquisition Corp. VII Class A Common Stock
CFFS
+$778K
3
HUDA
Hudson Acquisition I Corp. Common Stock
HUDA
+$744K
4
NNAG
99 Acquisition Group Inc
NNAG
+$693K
5
QETA icon
Quetta Acquisition Corp
QETA
+$693K

Top Sells

Rank Stock Value
1
VMW
VMware, Inc
VMW
+$11.6M
2
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$5.35M
3
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$1.11M
4
AAPL icon
Apple
AAPL
+$1.02M
5
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$860K

Sector Composition

Rank Sector Weight
1 Financials 2.48%
2 Real Estate 0.18%
3 Industrials 0.17%
4 Technology 0.16%
5 Healthcare 0.15%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DRCT icon
201
Direct Digital Holdings
DRCT
$2M
– –
-136
Closed -$76.5K
ESPR
202
DELISTED
Esperion Therapeutics
ESPR
– –
-13,000
Closed -$16.9K
F icon
203
PUT
Ford
F
$57.5B
– –
-30,000
Closed -$373K
GCTK icon
204
GlucoTrack
GCTK
$3.2M
– –
-5
Closed -$7.88K
HOVR icon
205
New Horizon Aircraft
HOVR
$119M
– –
-25,300
Closed -$267K
HUBC icon
206
Hub Cyber Security
HUBC
$6.33M
– –
0
– -$2.34K
ICU icon
207
SeaStar Medical
ICU
$12.8M
– –
-66
Closed -$4.34K
ISRL
208
DELISTED
Israel Acquisitions Corp
ISRL
– –
-10,850
Closed -$115K
USBC
209
USBC Inc
USBC
$133M
– –
-1,500
Closed -$15K
KRE icon
210
State Street SPDR S&P Regional Banking ETF
KRE
$4.69B
– –
-5,000
Closed -$209K
KVACW icon
211
Keen Vision Acquisition Corp Warrant
KVACW
$232K
– –
-20,500
Closed -$1.13K
MRNA icon
212
Moderna
MRNA
$22B
– –
-3,000
Closed -$252K
MTUM icon
213
PUT
iShares MSCI USA Momentum Factor ETF
MTUM
$25.6B
– –
-4,000
Closed -$559K
NCPLW icon
214
Netcapital Inc Warrants
NCPLW
– –
-145,287
Closed -$7.42K
NVDA icon
215
CALL
NVIDIA
NVDA
$5.01T
– –
-10,000
Closed -$435K
NXGLW icon
216
NexGel Inc Warrant
NXGLW
– –
-10,000
Closed -$3.05K
RNAZ icon
217
TransCode Therapeutics
RNAZ
$4.47M
– –
0
– -$5.03K
SPNT icon
218
SiriusPoint
SPNT
$2.75B
– –
-48,755
Closed -$496K
SPNT icon
219
PUT
SiriusPoint
SPNT
$2.75B
– –
-48,700
Closed -$495K
SPY icon
220
State Street SPDR S&P 500 ETF Trust
SPY
$806B
– –
-12,000
Closed -$5.35M
SSYS icon
221
PUT
Stratasys
SSYS
$706M
– –
-10,000
Closed -$136K
TLT icon
222
iShares 20+ Year Treasury Bond ETF
TLT
$41.4B
– –
-12,500
Closed -$1.11M
UNG icon
223
CALL
United States Natural Gas Fund
UNG
$473M
– –
-8,500
Closed -$232K
XNTK icon
224
PUT
State Street SPDR NYSE Technology ETF
XNTK
$2.11B
– –
-22,000
Closed -$919K
EONR
225
EON Resources
EONR
$24.1M
– –
-70,068
Closed -$760K
6 7 8
9
10

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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 Q4 2023 Portfolio in Review

As of Q4 2023, Warberg Asset Management held 291 positions worth $528M, up 6.5% from $496M the previous quarter. Its ten largest holdings account for 63% of the portfolio.

Warberg Asset Management withdrew a net $135M in Q4 2023, closing 57 positions and reducing 59 holdings. Its most notable exit was VMware, Inc, an estimated $11.6M position sold in full.

By sector, the portfolio is most concentrated in Financials at 2.5% of assets, up from 2% a quarter earlier, followed by Real Estate and Industrials.

Against the trend, Warberg Asset Management opened a new position in Invesco Ultra Short Duration ETF worth $1.37M.

  • Warberg Asset Management's largest Q4 2023 buy was Invesco Ultra Short Duration ETF: 27,381 shares worth $1.37M.
  • Warberg Asset Management added most to Four Leaf Acquisition Corp in Q4 2023, an estimated $375K increase.
  • Warberg Asset Management's biggest Q4 2023 reduction was Occidental Petroleum Corp Warrants, cutting an estimated $860K.
  • Warberg Asset Management fully exited VMware, Inc in Q4 2023, selling an estimated $11.6M.
  • Warberg Asset Management's ten largest holdings make up 63% of its $528M portfolio in Q4 2023.
  • Warberg Asset Management opened 40 new positions and closed 57 in Q4 2023.
  • Warberg Asset Management's portfolio value rose 6.5% quarter-over-quarter to $528M.

Based on Warberg Asset Management's 13F filing for Q4 2023, filed 7 Feb 2024.