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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
+16.02%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$656M
AUM Growth
+$93.4M
Cap. Flow
-$173M
Cap. Flow %
-26.45%
Top 10 Hldgs %
62.57%
Holding
259
New
50
Increased
19
Reduced
44
Closed
61

Top Buys

Rank Stock Value
1
ICSH icon
iShares Ultra Short Duration Bond Active ETF
ICSH
+$2.62M
2
QQQ icon
Invesco QQQ Trust
QQQ
+$1.52M
3
TAVI
Tavia Acquisition Corp
TAVI
+$1.12M
4
CHAR
Charlton Aria Acquisition Corp
CHAR
+$980K
5
SHV icon
iShares 0-1 Year Treasury Bond ETF
SHV
+$959K

Top Sells

Rank Stock Value
1
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$7.92M
2
SGOV icon
iShares 0-3 Month Treasury Bond ETF
SGOV
+$5.08M
3
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$3.76M
4
VCICU
Vine Hill Capital Investment Corp Unit
VCICU
+$1.35M
5
GBTC icon
Grayscale Bitcoin Trust
GBTC
+$884K

Sector Composition

Rank Sector Weight
1 Financials 2.03%
2 Consumer Discretionary 0.21%
3 Real Estate 0.14%
4 Technology 0.13%
5 Healthcare 0.07%
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
$237M 36.21%
405,000
+295,000
+268% +$174M
QQQ icon
2
PUT
Invesco QQQ Trust
QQQ
$440B
$29.7M 4.52%
58,000
-106,600
-65% -$53.9M
OXY.WS icon
3
Occidental Petroleum Corp Warrants
OXY.WS
$32.3B
$17.7M 2.69%
641,155
-276,643
-30% -$7.92M
OXY icon
4
CALL
Occidental Petroleum
OXY
$55.6B
$8.89M 1.36%
+180,000
New +$9.09M
EXEEL
5
DELISTED
Expand Energy Corp Class C Warrants
EXEEL
$4.11M 0.63%
47,922
+10,476
+28% +$839K
ICSH icon
6
iShares Ultra Short Duration Bond Active ETF
ICSH
$8.06B
$2.62M 0.4%
+51,864
New +$2.62M
CORZW icon
7
Core Scientific Inc Tranche 1 Warrants
CORZW
$1.22B
$2.6M 0.4%
316,297
+23,700
+8% +$214K
MSFT icon
8
PUT
Microsoft
MSFT
$2.93T
$2.11M 0.32%
5,000
-21,000
-81% -$8.94M
EPR.PRC icon
9
EPR Properties 5.75% Series C Preferred Shares
EPR.PRC
$154M
$1.87M 0.29%
90,000
+16,414
+22% +$352K
SBUX icon
10
PUT
Starbucks
SBUX
$118B
$1.82M 0.28%
20,000
+10,000
+100% +$967K
OEF icon
11
PUT
iShares S&P 100 ETF
OEF
$19.7B
$1.75M 0.27%
20,000
-5,000
-20% -$1.43M
QQQ icon
12
Invesco QQQ Trust
QQQ
$440B
$1.53M 0.23%
+3,000
New +$1.52M
PLTR icon
13
PUT
Palantir
PLTR
$299B
$1.44M 0.22%
+19,000
New +$1.11M
AAPL icon
14
PUT
Apple
AAPL
$5T
$1.25M 0.19%
5,000
-25,000
-83% -$5.89M
SLV icon
15
CALL
iShares Silver Trust
SLV
$27.5B
$1.18M 0.18%
45,000
-3,000
-6% -$85.7K
TAVI
16
Tavia Acquisition Corp
TAVI
$1.12M 0.17%
+113,000
New +$1.12M
GDX icon
17
CALL
VanEck Gold Miners ETF
GDX
$22.2B
$1.05M 0.16%
31,000
-8,000
-21% -$307K
GTLS.PRB
18
DELISTED
Chart Industries 6.75% Series B Preferred Stock
GTLS.PRB
$987K 0.15%
+14,000
New +$865K
CHAR
19
Charlton Aria Acquisition Corp
CHAR
$116M
$983K 0.15%
+98,665
New +$980K
SHV icon
20
iShares 0-1 Year Treasury Bond ETF
SHV
$20.8B
$958K 0.15%
+8,696
New +$959K
NEN icon
21
New England Realty Associates
NEN
$199M
$930K 0.14%
11,379
+1,479
+15% +$120K
EXEEW
22
DELISTED
Expand Energy Corp Class A Warrants
EXEEW
$926K 0.14%
9,694
-6,414
-40% -$569K
APO.PRA icon
23
Apollo Global Management Series A
APO.PRA
$1.76B
$913K 0.14%
+10,508
New +$882K
BRK.B icon
24
PUT
Berkshire Hathaway Class B
BRK.B
$1.1T
$907K 0.14%
2,000
-10,000
-83% -$4.62M
BUJA
25
DELISTED
Bukit Jalil Global Acquisition 1
BUJA
$904K 0.14%
80,787
+9,000
+13% +$99.4K
1
2 3 4 5

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Warberg Asset Management's Q4 2024 Portfolio in Review

As of Q4 2024, Warberg Asset Management held 259 positions worth $656M, up 17% from $562M the previous quarter. Its ten largest holdings account for 63% of the portfolio.

Warberg Asset Management withdrew a net $173M in Q4 2024, closing 61 positions and reducing 44 holdings. Its most notable exit was iShares 0-3 Month Treasury Bond ETF, an estimated $5.08M position sold in full.

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

Against the trend, Warberg Asset Management opened a new position in iShares Ultra Short Duration Bond Active ETF worth $2.62M.

  • Warberg Asset Management's largest Q4 2024 buy was iShares Ultra Short Duration Bond Active ETF: 51,864 shares worth $2.62M.
  • Warberg Asset Management added most to Expand Energy Corp Class C Warrants in Q4 2024, an estimated $839K increase.
  • Warberg Asset Management's biggest Q4 2024 reduction was Occidental Petroleum Corp Warrants, cutting an estimated $7.92M.
  • Warberg Asset Management fully exited iShares 0-3 Month Treasury Bond ETF in Q4 2024, selling an estimated $5.08M.
  • Warberg Asset Management's ten largest holdings make up 63% of its $656M portfolio in Q4 2024.
  • Warberg Asset Management opened 50 new positions and closed 61 in Q4 2024.
  • Warberg Asset Management's portfolio value rose 17% quarter-over-quarter to $656M.

Based on Warberg Asset Management's 13F filing for Q4 2024, filed 13 Feb 2025.