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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
SPY icon
1
PUT
State Street SPDR S&P 500 ETF Trust
SPY
$777B
$145M 27.46%
305,000
-30,000
-9% -$13.4M
OXY.WS icon
2
Occidental Petroleum Corp Warrants
OXY.WS
$32.3B
$38.8M 7.35%
1,024,720
-21,976
-2% -$860K
QQQ icon
3
PUT
Invesco QQQ Trust
QQQ
$440B
$28.7M 5.43%
70,000
+47,000
+204% +$17.8M
HTZWW
4
Hertz Global Holdings Warrants
HTZWW
$64.3M
$3.04M 0.58%
555,380
-58,028
-9% -$293K
OEF icon
5
PUT
iShares S&P 100 ETF
OEF
$19.7B
$2.97M 0.56%
30,000
+5,000
+20% +$1.05M
SURGW
6
DELISTED
SurgePays, Inc. Warrant
SURGW
$2.3M 0.44%
1,097,313
-67,537
-6% -$93K
AAPL icon
7
PUT
Apple
AAPL
$5T
$1.93M 0.36%
10,000
-18,000
-64% -$3.32M
NE.WS icon
8
Noble Corporation PLC Tranche 1 Warrants
NE.WS
$3.22B
$1.74M 0.33%
58,791
-699
-1% -$19.3K
GDX icon
9
CALL
VanEck Gold Miners ETF
GDX
$22.2B
$1.61M 0.31%
52,000
-300
-0.6% -$8.78K
COIN icon
10
PUT
Coinbase
COIN
$43.6B
$1.57M 0.3%
+9,000
New +$983K
NE.WS.A icon
11
Noble Corporation PLC Tranche 2 Warrants
NE.WS.A
$2.63B
$1.45M 0.27%
55,936
+6,873
+14% +$166K
GSY icon
12
Invesco Ultra Short Duration ETF
GSY
$3.86B
$1.37M 0.26%
+27,381
New +$1.36M
EXEEL
13
DELISTED
Expand Energy Corp Class C Warrants
EXEEL
$1.37M 0.26%
23,060
-1,628
-7% -$108K
EPR.PRC icon
14
EPR Properties 5.75% Series C Preferred Shares
EPR.PRC
$154M
$1.26M 0.24%
59,232
+12,807
+28% +$254K
NVDA icon
15
PUT
NVIDIA
NVDA
$4.66T
$990K 0.19%
20,000
-20,000
-50% -$927K
NEN icon
16
New England Realty Associates
NEN
$199M
$955K 0.18%
13,700
+1,550
+13% +$106K
BOH icon
17
PUT
Bank of Hawaii
BOH
$3.16B
$942K 0.18%
13,000
-5,000
-28% -$287K
ACAH
18
DELISTED
Atlantic Coastal Acquisition Corp. Class A Common Stock
ACAH
$824K 0.16%
77,825
+1,423
+2% +$15K
CFFS
19
DELISTED
CF Acquisition Corp. VII Class A Common Stock
CFFS
$786K 0.15%
+72,331
New +$778K
BURL icon
20
CALL
Burlington
BURL
$23.4B
$778K 0.15%
+4,000
New +$597K
MNTN
21
DELISTED
Everest Consolidator Acquisition Corporation
MNTN
$772K 0.15%
70,530
+33,485
+90% +$364K
AAPL icon
22
CALL
Apple
AAPL
$5T
$770K 0.15%
+4,000
New +$739K
NE icon
23
PUT
Noble Corp
NE
$6.31B
$756K 0.14%
+15,700
New +$734K
GLST
24
DELISTED
Global Star Acquisition, Inc. Class A Common Stock
GLST
$749K 0.14%
70,608
+22,046
+45% +$235K
HUDA
25
DELISTED
Hudson Acquisition I Corp. Common Stock
HUDA
$742K 0.14%
+70,039
New +$744K
1
2 3 4 5

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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.