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EAM

Empery Asset Management Portfolio holdings

AUM $86.5M
This Fund
S&P 500
This Quarter Est. Return
-3.78%
1 Year Est. Return
–
3 Year Est. Return
–
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$16.8M
AUM Growth
-$1.66M
Cap. Flow
+$4.09M
Cap. Flow %
24.34%
Top 10 Hldgs %
63.43%
Holding
94
New
19
Increased
–
Reduced
7
Closed
6

Top Buys

Rank Stock Value
1
UBX
Unity Biotechnology
UBX
+$2.78M
2
GWAV icon
Greenwave Technology Solutions
GWAV
+$1.97M
3
DFTX
Definium Therapeutics
DFTX
+$1.8M
4
ATNX
Athenex, Inc. Common Stock
ATNX
+$746K
5
MDNA
Medicenna Therapeutics Corp. Common Shares
MDNA
+$665K

Top Sells

Rank Stock Value
1
MMAT
Meta Materials Inc. Common Stock
MMAT
+$4.5M
2
SLS icon
SELLAS Life Sciences
SLS
+$1.71M
3
APLT
Applied Therapeutics
APLT
+$640K
4
SVRE
SaverOne 2014 Ltd
SVRE
+$118K
5
SRZN icon
Surrozen
SRZN
+$118K

Sector Composition

Rank Sector Weight
1 Miscellaneous 43.35%
2 Healthcare 42.69%
3 Technology 7.19%
4 Industrials 6.37%
5 Communication Services 0.37%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AMPGW
51
DELISTED
Amplitech Group Warrants
AMPGW
$32K 0.19%
71,709
– –
RNERW
52
DELISTED
Mount Rainier Acquisition Corp. Warrant
RNERW
$29K 0.17%
190,764
– –
NXGLW icon
53
NexGel Inc Warrant
NXGLW
$37.2K
$27K 0.16%
90,000
– –
GIWWW
54
DELISTED
GigInternational1, Inc. Warrant
GIWWW
$24K 0.14%
297,796
– –
HCDIW
55
DELISTED
Harbor Custom Development, Inc. Warrant
HCDIW
$23K 0.14%
115,814
– –
NXLIW
56
DELISTED
Nexalin Technology Inc Warrant
NXLIW
$22K 0.13%
+120,000
New +$24K
CYTHW
57
DELISTED
Cyclo Therapeutics, Inc. Warrant
CYTHW
$21K 0.13%
61,399
– –
GRNAW
58
DELISTED
GreenLight Biosciences Holdings, PBC Warrant
GRNAW
$21K 0.13%
93,837
– –
SQLLW
59
DELISTED
SeqLL Inc. Warrant
SQLLW
$20K 0.12%
235,000
– –
PRPC.WS
60
DELISTED
CC Neuberger Principal Holdings III Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
PRPC.WS
$20K 0.12%
110,014
– –
ONFOW icon
61
Onfolio Holdings Warrant
ONFOW
$80.8K
$19K 0.11%
+100,000
New +$17.7K
BBLGW
62
Bone Biologics Corp Warrants
BBLGW
$25M
$18K 0.11%
4,682
– –
DRMAW
63
DELISTED
Dermata Therapeutics Warrant
DRMAW
$17K 0.1%
175,000
– –
IVDAW icon
64
Iveda Solutions Warrant
IVDAW
$16K 0.1%
100,000
– –
OHAAW
65
DELISTED
OPY Acquisition Corp. I Warrant
OHAAW
$16K 0.1%
148,800
– –
BCDAW
66
DELISTED
BioCardia, Inc. Warrant
BCDAW
$15K 0.09%
18,459
– –
KBNTW
67
DELISTED
Kubient, Inc. Warrant
KBNTW
$15K 0.09%
80,000
– –
TGVCW
68
DELISTED
TG Venture Acquisition Corp. Warrants
TGVCW
$14K 0.08%
238,428
– –
QTEKW
69
DELISTED
QualTek Services Inc. Warrant
QTEKW
$11K 0.07%
41,773
– –
REVBW icon
70
Revelation Biosciences Warrant
REVBW
$10K 0.06%
233,382
– –
VLDRW
71
DELISTED
Velodyne Lidar, Inc. Warrants
VLDRW
$8K 0.05%
18,968
– –
SBFMW
72
Sunshine Biopharma Inc Warrant
SBFMW
$7K 0.04%
14,986
– –
BSLKW
73
DELISTED
Bolt Projects Holdings Warrant
BSLKW
$7K 0.04%
126,665
– –
CCTSW
74
DELISTED
Cactus Acquisition Corp. 1 Limited Warrant
CCTSW
$7K 0.04%
95,459
-4,541
-5% -$485
BOAS.WS
75
DELISTED
BOA Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Class A common stock at a price of $11.50 per share
BOAS.WS
$7K 0.04%
31,810
– –
1 2
3
4

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LCM
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Empery Asset Management's Q3 2022 Portfolio in Review

As of Q3 2022, Empery Asset Management held 94 positions worth $16.8M, down 9% from $18.5M the previous quarter. Its ten largest holdings account for 63% of the portfolio.

Empery Asset Management deployed $4.09M of net new capital in Q3 2022, opening 19 new positions. Its largest new stake was Unity Biotechnology: 441,165 shares worth $1.74M.

By sector, the portfolio is most concentrated in Miscellaneous at 43% of assets, down from 49% a quarter earlier, followed by Healthcare and Technology.

On the sell side, the largest reduction was SELLAS Life Sciences, an estimated $1.71M trimmed.

  • Empery Asset Management's largest Q3 2022 buy was Unity Biotechnology: 441,165 shares worth $1.74M.
  • Empery Asset Management's biggest Q3 2022 reduction was SELLAS Life Sciences, cutting an estimated $1.71M.
  • Empery Asset Management fully exited Meta Materials Inc. Common Stock in Q3 2022, selling an estimated $4.5M.
  • Empery Asset Management's ten largest holdings make up 63% of its $16.8M portfolio in Q3 2022.
  • Empery Asset Management opened 19 new positions and closed 6 in Q3 2022.
  • Empery Asset Management's portfolio value fell 9% quarter-over-quarter to $16.8M.

Based on Empery Asset Management's 13F filing for Q3 2022, filed 14 Nov 2022.