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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
+10.14%
1 Year Est. Return
+34.68%
3 Year Est. Return
+65.34%
5 Year Est. Return
+117.41%
10 Year Est. Return
–
AUM
$600M
AUM Growth
-$232M
Cap. Flow
-$350M
Cap. Flow %
-58.36%
Top 10 Hldgs %
72.8%
Holding
240
New
67
Increased
16
Reduced
42
Closed
48

Top Buys

Rank Stock Value
1
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$9.1M
2
CLM icon
Cornerstone Strategic Value Fund
CLM
+$8.18M
3
FOUR.PRA
Shift4 Payments Inc 6.00% Series A Preferred Stock
FOUR.PRA
+$3.46M
4
ALB.PRA icon
Albemarle Corp Depositary Shares
ALB.PRA
+$1.83M
5
QQQ icon
Invesco QQQ Trust
QQQ
+$1.82M

Top Sells

Rank Stock Value
1
BCAR
D. Boral ARC Acquisition I Corp
BCAR
+$982K
2
RGTI icon
Rigetti Computing
RGTI
+$924K
3
SVAQU
Silicon Valley Acquisition Corp Units
SVAQU
+$746K
4
VHCPU
Vine Hill Capital Investment Corp II Units
VHCPU
+$721K
5
AAM
AA Mission Acquisition Corp
AAM
+$717K

Sector Composition

Rank Sector Weight
1 Financials 4.21%
2 Healthcare 0.4%
3 Real Estate 0.18%
4 Consumer Staples 0.12%
5 Materials 0.1%
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
$815B
$202M 33.62%
310,000
-323,000
-51% -$220M
OXY.WS icon
2
Occidental Petroleum Corp Warrants
OXY.WS
$33.7B
$20.9M 3.49%
486,509
+321,591
+195% +$9.1M
QQQ icon
3
PUT
Invesco QQQ Trust
QQQ
$487B
$20.2M 3.37%
35,000
-10,000
-22% -$6.08M
CLM icon
4
Cornerstone Strategic Value Fund
CLM
$2.23B
$7.59M 1.27%
+1,041,935
New +$8.18M
XOM icon
5
CALL
ExxonMobil
XOM
$652B
$5.09M 0.85%
+30,000
New +$4.38M
USO icon
6
PUT
United States Oil Fund
USO
$1.77B
$4.96M 0.83%
+39,000
New +$3.46M
OEF icon
7
PUT
iShares S&P 100 ETF
OEF
$20.6B
$4.33M 0.72%
50,000
– –
NVDA icon
8
PUT
NVIDIA
NVDA
$5.46T
$3.84M 0.64%
22,000
+8,000
+57% +$1.47M
ALB.PRA icon
9
Albemarle Corp Depositary Shares
ALB.PRA
$2.51B
$2.77M 0.46%
38,500
+26,466
+220% +$1.83M
FOUR.PRA
10
Shift4 Payments Inc 6.00% Series A Preferred Stock
FOUR.PRA
$615M
$2.72M 0.45%
+49,991
New +$3.46M
CTLP
11
PUT
DELISTED
Cantaloupe
CTLP
$2.56M 0.43%
236,400
+10,600
+5% +$112K
CORZW icon
12
Core Scientific Inc Tranche 1 Warrants
CORZW
$1.29B
$2.34M 0.39%
267,900
+46,000
+21% +$493K
EPR.PRC icon
13
EPR Properties 5.75% Series C Preferred Shares
EPR.PRC
$148M
$2.26M 0.38%
99,923
+2,779
+3% +$68.3K
STXS icon
14
Stereotaxis
STXS
$137M
$2.01M 0.34%
1,094,123
-13,534
-1% -$29.7K
BAC.PRL icon
15
Bank of America Series L
BAC.PRL
$4.01B
$1.79M 0.3%
1,500
+627
+72% +$776K
XLE icon
16
State Street Energy Select Sector SPDR ETF
XLE
$39.9B
$1.77M 0.3%
+28,903
New +$1.55M
MSTR icon
17
CALL
Strategy Inc
MSTR
$38.2B
$1.75M 0.29%
+14,000
New +$2M
QQQ icon
18
Invesco QQQ Trust
QQQ
$487B
$1.73M 0.29%
+3,000
New +$1.82M
SGOV icon
19
iShares 0-3 Month Treasury Bond ETF
SGOV
$101B
$1.7M 0.28%
+16,928
New +$1.7M
FGII
20
FG Imperii Acquisition Corp
FGII
$289M
$1.53M 0.26%
+154,908
New +$1.53M
NE.WS.A icon
21
Noble Corporation PLC Tranche 2 Warrants
NE.WS.A
$3.25B
$1.5M 0.25%
56,999
+3,183
+6% +$59.5K
EPR.PRE icon
22
EPR Properties 9.00% Series E Preferred Shares
EPR.PRE
$114M
$1.5M 0.25%
49,292
-6,157
-11% -$197K
XLF icon
23
PUT
State Street Financial Select Sector SPDR ETF
XLF
$59.5B
$1.48M 0.25%
30,000
+10,000
+50% +$521K
XSLL
24
Xsolla SPAC 1
XSLL
$276M
$1.41M 0.23%
+143,000
New +$1.41M
OXY icon
25
CALL
Occidental Petroleum
OXY
$57.7B
$1.3M 0.22%
+20,000
New +$1.01M
1
2 3 4 5

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IQI
Integrated Quantitative Investments Bellevue, Washington $551M AUM 45.27% 1-Year Est. Return
BT
Brandywine Trust Hockessin, Delaware $552M AUM 5.23% 1-Year Est. Return
SVCM
Saturn V Capital Management Austin, Texas $552M AUM 551.78% 1-Year Est. Return
WCP
Wick Capital Partners Wayne, Pennsylvania $548M AUM 16.95% 1-Year Est. Return
HIS
Harvest Investment Services Oakbrook Terrace, Illinois $547M AUM 64.58% 1-Year Est. Return
AA
Aire Advisors Beverly Hills, California $547M AUM 20.34% 1-Year Est. Return
BCM
Brasada Capital Management Houston, Texas $545M AUM 18.58% 1-Year Est. Return
CAM
Cander Asset Management New York $557M AUM

Warberg Asset Management's Q1 2026 Portfolio in Review

As of Q1 2026, Warberg Asset Management held 240 positions worth $600M, down 28% from $831M the previous quarter. Its ten largest holdings account for 73% of the portfolio.

Warberg Asset Management withdrew a net $350M in Q1 2026, closing 48 positions and reducing 42 holdings. Its most notable exit was Rigetti Computing, an estimated $924K position sold in full.

By sector, the portfolio is most concentrated in Financials at 4.2% of assets, up from 2.6% a quarter earlier, followed by Healthcare and Real Estate.

Against the trend, Warberg Asset Management opened a new position in Cornerstone Strategic Value Fund worth $7.59M.

  • Warberg Asset Management's largest Q1 2026 buy was Cornerstone Strategic Value Fund: 1,041,935 shares worth $7.59M.
  • Warberg Asset Management added most to Occidental Petroleum Corp Warrants in Q1 2026, an estimated $9.1M increase.
  • Warberg Asset Management's biggest Q1 2026 reduction was D. Boral ARC Acquisition I Corp, cutting an estimated $982K.
  • Warberg Asset Management fully exited Rigetti Computing in Q1 2026, selling an estimated $924K.
  • Warberg Asset Management's ten largest holdings make up 73% of its $600M portfolio in Q1 2026.
  • Warberg Asset Management opened 67 new positions and closed 48 in Q1 2026.
  • Warberg Asset Management's portfolio value fell 28% quarter-over-quarter to $600M.

Based on Warberg Asset Management's 13F filing for Q1 2026, filed 7 May 2026.