Stocks/Funds/CIK 1597506

Warberg Asset Management LLC

microcap filer
Quarterly 13F filings · Latest period 2026-03-31 · CIK 1597506
Assets
$88M
+187.4% YoY
Holdings
141
Lifetime alpha vs market
-54.15% annual
Average hold time
1.0 yr
median 0.5 yr

Quarterly history

Cum return -93% vs S&P +52% · α -145% lifetimeAUM $88M · peak $400MFlow $47M (+105%)2020-122021-122022-122023-122024-122025-122026-03
AUM ($B)fundS&P 500(gap = α)/ Flow in/out

Behavior signals (lifetime)

Dip response
+3.11%
adds when stocks drop
when a holding falls −10%+
Middle response
-2.80%
baseline attrition
Rally response
-7.02%
trims into rallies
when a holding rises +10%+

Top positions · 30

Ticker$ value% portYoYHold time
OXY-WTOccidental Petroleum Cor$21M23.7%4.3 yr
CLMCornerstone Strategic Va$8M8.6%0.3 yr
$3M3.1%0.5 yr
$3M3.1%0.3 yr
$2M2.7%2.0 yr
EPR-PCEPR Properties$2M2.6%3.0 yr
STXSStereotaxis, Inc.$2M2.3%+4.5%2.8 yr
BAC-PLBank of America Corporat$2M2.0%0.8 yr
XLEState Street Energy Sele$2M2.0%0.5 yr
QQQInvesco QQQ Trust, Serie$2M2.0%1.8 yr
SGOViShares 0-3 Month Treasu$2M1.9%0.8 yr
FGIIFG Imperii Acquisition C$2M1.7%0.3 yr
$1M1.7%3.0 yr
EPR-PEEPR Properties$1M1.7%1.0 yr
$1M1.6%0.3 yr

Portfolio composition (YoY)

Industry mix
Unknown33.4%+0.3pp$29M
Oil & Gas Exploration & Production23.7%$21M
Asset Management15.1%-2.9pp$13M
Shell Companies7.3%-12.7pp$6M
Financial - Conglomerates4.3%$4M
REIT - Specialty4.3%-2.5pp$4M
Asset Management - Bonds2.7%-1.0pp$2M
Medical - Instruments & Supplies2.3%+0.1pp$2M
Banks - Diversified2.0%$2M
Real Estate - Services1.2%-1.3pp$1M
Country
US62.8%-0.8pp
Unknown33.4%+0.3pp
SG1.0%
KY0.9%
TW0.5%
KR0.4%
MX0.4%
FR0.3%
Top 5: 41.2% · Top 10: 52.0% · Top 25: 72.2%

Winners

TickerPrev $PnLYoY %
TDAC$1M+0.00B5.0%
STXS$1M+0.00B4.5%
NEN$1M-0.00B-23.3%

Losers

TickerPrev $PnLYoY %
NEN$1M-0.00B-23.3%

Top buys this quarter · 15

FGII FG Imperii Acquisition Corp. Cnew+$2M
DBCA D. Boral Acquisition I Corp. Cnew+$1M
SVAQ Silicon Valley Acquisition Cornew+$1M
VHCP Vine Hill Capital Investment Cnew+$1M
SCII SC II Acquisition Corp. Class new+$0M
CRAN Crane Harbor Acquisition Corp.new+$0M
DC Dakota Gold Corp.new+$0M
NEN New England Realty Associates +$1M
VENU Venu Holding Corporationnew+$0M
ICCM IceCure Medical Ltdnew+$0M

Top sells this quarter · 15

YCY AA Mission Acquisition Corp. Iexit$1M
TLNC Talon Capital Corp. Class A Orexit$1M
RGTI Rigetti Computing, Inc.exit$1M
MPTI M-tron Industries, Inc.exit$0M
OKLO Oklo Inc.exit$0M
WTG Wintergreen Acquisition Corp.exit$0M
FGMC FG Merger Corp.exit$0M
PROF Profound Medical Corp.exit$0M
CHEC Chenghe Acquisition III Co. Clexit$0M
EOSE Eos Energy Enterprises, Inc.exit$0M

Quarterly history (TTM returns)

PeriodAUM# PosReturn (1yr)SPY (1yr)Alpha (1yr)Flow
2026-03-31$88M141-2.87%+17.59%-20.46%+0.05B
2025-12-31$44M120-1.50%+17.72%-19.22%-0.01B
2025-09-30$60M115+52.31%+17.52%+34.79%-0.43B
2025-06-30$400M147+13.93%+14.94%-1.01%+0.37B
2025-03-31$31M120-14.55%+8.30%-22.85%-0.03B
2024-12-31$60M122-15.29%+24.89%-40.17%-0.03B
2024-09-30$67M125-35.42%+36.04%-71.46%-0.02B
2024-06-30$89M140-27.87%+24.49%-52.36%+0.03B
2024-03-31$80M141+10.18%+29.62%-19.45%+0.01B
2023-12-31$72M151-25.15%+26.18%-51.33%-0.02B
2023-09-30$95M180-53.75%+21.57%-75.32%+0.02B
2023-06-30$70M165-86.11%+19.42%-105.53%-0.01B
2023-03-31$72M178-92.65%-7.82%-84.83%+0.01B
2022-12-31$96M203-37.49%+7.56%-45.05%-0.01B
2022-09-30$175M220-69.07%-4.93%-64.14%+0.14B
2022-06-30$122M174-40.74%-16.11%-24.63%+0.04B