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Empery Asset Management, LP

1 ROCKEFELLER PLAZA, SUITE 1205, NEW YORK, NY 10020 • 212-608-3300

Q2 2022 · Filed 2022-08-12
Market Value
$15M
+26.0%
Holdings
64
-2
New Purchases
10
Added To
0
Closed
10
Reduced
8
Top 10 Concentration
85.5%
Turnover
31.2%

Top Buys (by % of Portfolio)

SymbolCur %Prior %Chg %Value
MMAT 29.78% 0.00% +29.78% $5M
SLS 13.69% 0.00% +13.69% $2M
ETNB 8.52% 0.00% +8.52% $1M
APLT 4.23% 0.00% +4.23% $640K
STSSW 1.53% 0.00% +1.53% $231K
SVREW 0.42% 0.00% +0.42% $64K
CELUW 0.38% 0.00% +0.38% $58K
ACONW 0.26% 0.00% +0.26% $40K
IVDAW 0.15% 0.00% +0.15% $23K
SURGW 2.28% 2.13% +0.15% $344K
SWVLW 0.15% 0.00% +0.15% $22K

Top Sells (by % of Portfolio)

SymbolCur %Prior %Chg %Value
TCBPW 3.78% 11.54% -7.76% $571K
VLNS 0.00% 5.74% -5.74% $0
NISN 0.00% 5.49% -5.49% $0
TOI 0.00% 4.20% -4.20% $0
SRZN 5.11% 8.38% -3.26% $773K
REED 0.47% 3.51% -3.04% $71K
FATBW 7.92% 10.56% -2.64% $1M
CALA 0.00% 2.61% -2.61% $0
SLNO 0.00% 2.61% -2.61% $0
VAPEW 0.51% 2.79% -2.28% $77K
NTRBW 2.90% 4.84% -1.95% $438K
SBFMW 0.02% 1.94% -1.92% $3K
HCDIZ 7.27% 9.04% -1.77% $1M
PEPLW 1.25% 2.57% -1.32% $189K
DRCTW 0.69% 1.62% -0.92% $105K

Sector Allocation Over Time

Industry Breakdown

IndustryWeight
Healthcare 69.6%
Consumer Cyclical 20.1%
Energy 6.4%
Technology 2.6%
Communication Services 0.8%

Market Cap Concentration

TierHoldingsValueWeight
Mid Cap 2 $1M 8.5%
Small Cap 3 $2M 14.0%
Micro Cap 59 $12M 77.4%

Portfolio Analytics

Avg Market Cap
$127M
Median Market Cap
$908K
Avg P/E
34.5
Median P/E
34.3
Avg Dividend Yield
0.00%
Avg Beta
0.69
# Stocks
64
# ETFs / Funds
0

Top Holdings (64 total)

# Symbol % Port Shares Value Avg Price Q/Q Value Chg Share Chg Chg % Status
1 MMAT 29.78% 4,370,568 $5M $1.03 +4,370,568 NEW
2 SLS 13.69% 927,984 $2M $2.23 +927,984 NEW
3 ETNB 8.52% 400,000 $1M $3.22 +400,000 NEW
4 FATBW 7.92% 281,598 $1M $4.25 -$70K
5 HCDIZ 7.27% 2,930,730 $1M $0.37 $15K
6 SRZN 5.11% 257,766 $773K $3.00 -$232K -76,199 -22.8%
7 APLT 4.23% 675,000 $640K $0.95 +675,000 NEW
8 TCBPW 3.78% 2,823,528 $571K $0.20 -$813K
9 NTRBW 2.90% 76,604 $438K $5.72 -$143K
10 SURGW 2.28% 286,495 $344K $1.20 $89K
11 STSSW 1.53% 829,851 $231K $0.28 +829,851 NEW
12 PEPLW 1.25% 740,000 $189K $0.26 -$119K -2,500 -0.3%
13 ARBEW 0.91% 189,904 $138K $0.73 -$49K
14 CINGW 0.78% 500,000 $118K $0.24 -$82K
15 DRCTW 0.69% 270,000 $105K $0.39 -$89K
16 MTEKW 0.64% 297,600 $97K $0.33 $9K
17 LEXXW 0.58% 126,215 $88K $0.70 -$30K -4,467 -3.4%
18 NRSNW 0.54% 160,000 $82K $0.51 -$14K
19 VAPEW 0.51% 500,000 $77K $0.15 -$258K
20 REED 0.47% 456,469 $71K $0.16 -$350K -943,531 -67.4%
21 SVREW 0.42% 181,500 $64K $0.35 +181,500 NEW
22 PETVW 0.42% 193,290 $64K $0.33
23 AUUDW 0.40% 150,000 $60K $0.40 -$28K
24 CELUW 0.38% 100,972 $58K $0.57 +100,972 NEW
25 PCTTW 0.35% 20,014 $53K $2.65 -$4K
26 BFRIW 0.35% 75,000 $53K $0.71 -$57K
27 WKSPW 0.29% 193,370 $44K $0.23 -$99K
28 AMPGW 0.28% 71,709 $43K $0.60 -$26K
29 ACONW 0.26% 110,000 $40K $0.36 +110,000 NEW
30 FGIWW 0.26% 102,500 $40K $0.39 -$28K
31 BEATW 0.26% 90,000 $39K $0.43 $6K
32 OHAAW 0.24% 148,800 $37K $0.25 -$23K
33 GFAIW 0.24% 301,563 $37K $0.12 -$78K
34 CYTHW 0.21% 61,399 $31K $0.50 -$56K -1,637 -2.6%
35 TGVCW 0.19% 238,428 $29K $0.12 -$20K
36 RNERW 0.19% 190,764 $29K $0.15 -$19K
37 NXGLW 0.17% 90,000 $25K $0.28 -$15K
38 IVDAW 0.15% 100,000 $23K $0.23 +100,000 NEW
39 LMDXW 0.15% 23,799 $23K $0.97 $2K
40 HCDIW 0.15% 115,814 $22K $0.19 -$8K
41 KWACW 0.15% 319,125 $22K $0.07 -$23K
42 SWVLW 0.15% 48,382 $22K $0.45 +48,382 NEW
43 GRNAW 0.14% 93,837 $21K $0.22 -$51K
44 BBLGW 0.13% 140,471 $20K $0.14 -$28K
45 REVBW 0.13% 233,382 $19K $0.08 -$11K
46 DRMAW 0.13% 175,000 $19K $0.11 -$9K
47 LIXTW 0.08% 99,835 $12K $0.12 -$8K -5,428 -5.2%
48 CCTSW 0.07% 100,000 $11K $0.11 -$6K
49 GAMCW 0.07% 126,665 $10K $0.08 -$21K
50 AREBW 0.06% 60,240 $9K $0.15 -$12K
51 QTEKW 0.05% 41,773 $7K $0.17 -$17K
52 BCDAW 0.04% 18,459 $6K $0.33 -$2K
53 BOAS-WT 0.03% 31,810 $5K $0.16 -$4K -1,522 -4.6%
54 SBFMW 0.02% 14,986 $3K $0.20 -$230K -220,214 -93.6%
55 IMPP —% -$83K -57,500 -100.0% SOLD
56 TOI —% -$504K -70,733 -100.0% SOLD
57 STAB —% -$105K -333,016 -100.0% SOLD
58 VLNS —% -$688K -400,000 -100.0% SOLD
59 SLNO —% -$313K -1,401,400 -100.0% SOLD
60 NISN —% -$658K -672,556 -100.0% SOLD
61 AGTC —% -$107K -100,000 -100.0% SOLD
62 CALA —% -$313K -775,925 -100.0% SOLD
63 IMRNW —% -$4K -46,161 -100.0% SOLD
64 RFL —% -$30K -11,983 -100.0% SOLD

New Positions

SymbolValue% Port
MMAT $5M 29.78%
SLS $2M 13.69%
ETNB $1M 8.52%
APLT $640K 4.23%
STSSW $231K 1.53%
SVREW $64K 0.42%
CELUW $58K 0.38%
ACONW $40K 0.26%
IVDAW $23K 0.15%
SWVLW $22K 0.15%

Sold Out Positions

SymbolValue% Port
RFL —%
IMPP —%
TOI —%
NISN —%
CALA —%
STAB —%
SLNO —%
IMRNW —%
AGTC —%
VLNS —%
View SEC EDGAR Filings for Empery Asset Management, LP →

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For informational purposes only. Not investment advice. Data sourced from SEC filings. Privacy Terms