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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
BRSHW
76
DELISTED
Bruush Oral Care Inc. Warrant
BRSHW
$6K 0.04%
+20,495
New +$9.43K
KSPN
77
DELISTED
Kaspien Holdings Inc. Common Stock
KSPN
$5K 0.03%
+3,112
New +$9.04K
ORIAW
78
DELISTED
Orion Biotech Opportunities Corp. Warrant
ORIAW
$5K 0.03%
39,700
– –
AREBW
79
DELISTED
American Rebel Holdings Warrants
AREBW
$4K 0.02%
602
– –
LMDXW
80
DELISTED
LumiraDx Limited Warrant
LMDXW
$3K 0.02%
23,799
– –
TMPMW
81
DELISTED
Turmeric Acquisition Corp. Warrant
TMPMW
$3K 0.02%
99,999
– –
GSQD.WS
82
DELISTED
G Squared Ascend I Inc. Redeemable Warrants, each whole warrant exercisable for one Class A Ordinary Share at an exercise price of $11.50
GSQD.WS
$3K 0.02%
40,296
– –
MDAIW icon
83
Spectral AI Warrants
MDAIW
$5.56M
$2K 0.01%
33,336
– –
NGC.WS
84
DELISTED
Northern Genesis Acquisition Corp. III Redeemable Warrants, each whole warrant exercisable for shares of common stock at an exercise price of $11.50 per share
NGC.WS
$2K 0.01%
70,656
– –
SWVLW icon
85
Swvl Holdings Corp Warrant
SWVLW
$143K
$1K 0.01%
48,382
– –
NRACW
86
DELISTED
Northern Revival Acquisition Corporation Warrant
NRACW
$1K 0.01%
15,961
– –
MDH.WS
87
DELISTED
MDH Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50 per share
MDH.WS
$1K 0.01%
37,500
– –
CLAS.WS
88
DELISTED
Class Acceleration Corp. Redeemable Warrants, each whole warrant exercisable for one share of Class A Common Stock at an exercise price of $11.50
CLAS.WS
$1K 0.01%
50,000
– –
APLT
89
DELISTED
Applied Therapeutics
APLT
– –
-675,000
Closed -$640K
LIXTW
90
DELISTED
Lixte Biotechnology Warrants
LIXTW
– –
-99,835
Closed -$12K
SVRE
91
SaverOne 2014 Ltd
SVRE
$6.2M
– –
-6
Closed -$118K
MMAT
92
DELISTED
Meta Materials Inc. Common Stock
MMAT
– –
-43,706
Closed -$4.5M
REED
93
DELISTED
Reeds, Inc. Common Stock
REED
– –
-9,129
Closed -$71K
KWAC.WS
94
DELISTED
Kingswood Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A common
KWAC.WS
– –
-319,125
Closed -$22K
1 2 3
4

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TI
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LCM
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AA
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YAG
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TWM
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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.