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WAM

Warberg Asset Management Portfolio holdings

AUM $551M
1-Year Est. Return 34.68%
This Fund
S&P 500
This Quarter Est. Return
+2.06%
1 Year Est. Return
+34.68%
3 Year Est. Return
+65.34%
5 Year Est. Return
+117.41%
10 Year Est. Return
–
AUM
$496M
AUM Growth
-$107M
Cap. Flow
-$162M
Cap. Flow %
-32.7%
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 Miscellaneous 94.38%
2 Technology 2.7%
3 Financials 2.03%
4 Healthcare 0.25%
5 Real Estate 0.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SPY icon
1
PUT
State Street SPDR S&P 500 ETF Trust
SPY
$825B
$143M 28.89%
335,000
-68,000
-17% -$30.2M
OXY.WS icon
2
Occidental Petroleum Corp Warrants
OXY.WS
$34.9B
$45M 9.08%
1,046,696
+48,875
+5% +$2M
VMW
3
DELISTED
VMware, Inc
VMW
$11.6M 2.33%
+69,485
New +$11.1M
QQQ icon
4
PUT
Invesco QQQ Trust
QQQ
$489B
$8.24M 1.66%
23,000
-70,800
-75% -$26.3M
SPY icon
5
State Street SPDR S&P 500 ETF Trust
SPY
$825B
$5.13M 1.03%
+12,000
New +$5.34M
AAPL icon
6
PUT
Apple
AAPL
$4.67T
$4.79M 0.97%
28,000
-15,000
-35% -$2.75M
HTZWW
7
Hertz Global Holdings Warrants
HTZWW
$86M
$3.75M 0.76%
613,408
-137,228
-18% -$1.24M
OEF icon
8
PUT
iShares S&P 100 ETF
OEF
$20.5B
$2.22M 0.45%
25,000
-15,000
-38% -$3.13M
NE.WS icon
9
Noble Corporation PLC Tranche 1 Warrants
NE.WS
$1.89M 0.38%
+59,490
New +$1.92M
NVDA icon
10
PUT
NVIDIA
NVDA
$5.25T
$1.74M 0.35%
40,000
+10,000
+33% +$448K
EXEEL
11
DELISTED
Expand Energy Corp Class C Warrants
EXEEL
$1.72M 0.35%
24,688
+2,463
+11% +$167K
DG icon
12
CALL
Dollar General
DG
$27.1B
$1.69M 0.34%
+16,000
New +$2.39M
MRNA icon
13
PUT
Moderna
MRNA
$55.1B
$1.45M 0.29%
14,000
+8,000
+133% +$892K
GDX icon
14
CALL
VanEck Gold Miners ETF
GDX
$31B
$1.41M 0.28%
52,300
-36,700
-41% -$1.08M
NE.WS.A icon
15
Noble Corporation PLC Tranche 2 Warrants
NE.WS.A
$1.37M 0.28%
49,063
+40,641
+483% +$1.17M
FSR
16
PUT
DELISTED
Fisker Inc.
FSR
$1.31M 0.26%
204,300
– –
SURGW
17
DELISTED
SurgePays, Inc. Warrant
SURGW
$1.29M 0.26%
1,164,850
-72,049
-6% -$99.9K
CRM icon
18
PUT
Salesforce
CRM
$211B
$1.22M 0.25%
+6,000
New +$1.3M
TLT icon
19
iShares 20+ Year Treasury Bond ETF
TLT
$46.8B
$1.11M 0.22%
+12,500
New +$1.2M
AAPL icon
20
Apple
AAPL
$4.67T
$942K 0.19%
+5,500
New +$1.01M
F icon
21
CALL
Ford
F
$55.3B
$932K 0.19%
+75,000
New +$974K
XNTK icon
22
PUT
State Street SPDR NYSE Technology ETF
XNTK
$2B
$919K 0.19%
+22,000
New +$3.11M
BOH icon
23
PUT
Bank of Hawaii
BOH
$3.05B
$894K 0.18%
18,000
+10,500
+140% +$540K
EPR.PRC icon
24
EPR Properties 5.75% Series C Preferred Shares
EPR.PRC
$146M
$873K 0.18%
46,425
+7,825
+20% +$156K
NEN icon
25
New England Realty Associates
NEN
$192M
$829K 0.17%
12,150
-9,954
-45% -$711K
1
2 3 4 5

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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 $162M 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 Miscellaneous at 94% of assets, down from 98% a quarter earlier, followed by Technology and Financials.

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.