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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
ETNB
1
DELISTED
89bio
ETNB
$2.32M 13.78%
400,000
– –
UBX
2
DELISTED
Unity Biotechnology
UBX
$1.74M 10.37%
+441,165
New +$2.78M
FATBW
3
DELISTED
FAT Brands Inc. Warrant
FATBW
$1.45M 8.65%
281,598
– –
GWAV icon
4
Greenwave Technology Solutions
GWAV
$3.61M
$1.07M 6.37%
+38
New +$1.97M
POL.WS
5
DELISTED
Polished.com Inc. Warrants to Purchase Common Stock
POL.WS
$988K 5.88%
7,901,165
-84,190
-1% -$20K
SOBR icon
6
SOBR Safe
SOBR
$2.54M
$666K 3.96%
+226
New +$297K
DFTX
7
Definium Therapeutics
DFTX
$5.89B
$656K 3.9%
+187,500
New +$1.8M
TCBPW
8
DELISTED
TC BioPharm (Holdings) plc Warrants
TCBPW
$653K 3.89%
2,823,528
– –
SLS icon
9
SELLAS Life Sciences
SLS
$3.07B
$623K 3.71%
308,466
-619,518
-67% -$1.71M
MDNA
10
DELISTED
Medicenna Therapeutics Corp. Common Shares
MDNA
$489K 2.91%
+589,316
New +$665K
HCDIZ
11
DELISTED
Harbor Custom Development, Inc. Warrant
HCDIZ
$487K 2.9%
2,778,907
-151,823
-5% -$49.6K
HGTY.WS
12
DELISTED
Hagerty, Inc. Warrants, each whole warrant entitles the holder thereof to purchase one share of Class A common stock at a price of $11.50 per share
HGTY.WS
$438K 2.61%
178,758
– –
SRZN icon
13
Surrozen
SRZN
$282M
$436K 2.59%
14,396
-2,788
-16% -$118K
ATNX
14
DELISTED
Athenex, Inc. Common Stock
ATNX
$391K 2.33%
+72,605
New +$746K
SURGW
15
DELISTED
SurgePays, Inc. Warrant
SURGW
$367K 2.18%
286,495
– –
BNTC icon
16
Benitec Biopharma
BNTC
$435M
$296K 1.76%
+46,873
New +$596K
WLDSW icon
17
Wearable Devices Ltd Warrant
WLDSW
$295K 1.76%
+1,961
New +$350K
SKYAW
18
SkyAI Inc
SKYAW
$249K
$291K 1.73%
829,851
– –
NTRBW icon
19
Nutriband Inc Warrant
NTRBW
$525K
$280K 1.67%
69,980
-6,624
-9% -$32K
WLDS icon
20
Wearable Devices
WLDS
$5.61M
$255K 1.52%
+402
New +$482K
BTCT icon
21
BTC Digital
BTCT
$35.6M
$208K 1.24%
+28,862
New +$477K
CDAK
22
DELISTED
Codiak BioSciences, Inc. Common Stock
CDAK
$186K 1.11%
+237,943
New +$499K
ZEV.WS
23
DELISTED
Lightning eMotors, Inc. Redeemable Warrants, each whole warrant exercisable 1/20th of a share of common stock at an exercise price of $230.00 per whole share
ZEV.WS
$135K 0.8%
676,381
– –
ARBEW icon
24
Arbe Robotics Warrant
ARBEW
$284K
$123K 0.73%
189,904
– –
CINGW icon
25
Cingulate Inc Warrants
CINGW
$27.9K
$110K 0.65%
500,000
– –
1
2 3 4

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LCM
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YAG
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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.