Empery Asset Management, LP

Registered adviser

CIK

1469336

Location

NEW YORK, NY

Portfolio Value

Micro $86,482,353

Diversification

Moderately concentrated

Filing Date

Global Rank

#8,416 / 8,818 ▼ 61

Top Industry

Biotechnology 68.9%

Period ended 4 months ago

Filed Aug 11, 2026 · 3mo

7 quarters · since Dec 2021

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Registered adviser

Form ADV roster, Oct 1, 2026

Form ADV adviser

CRD 148180

Roster of Oct 1, 2026

Regulatory AUM

$262,490,754

Main clients

Pooled investment vehicles (100% of AUM)

Private funds

4 funds · Hedge funds

Focus by fund count, roster of Oct 1, 2026

$262,490,753 gross assets

LEI

2549005WYJFSFA72KS21

Private funds on Schedule D 7.B.(1)

As filed Mar 29, 2024; SEC's bulk Form ADV archive ends with 2024 filings.

$136,910,435 gross assets in 4 funds Hedge funds $136,910,435 (4)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Apr 2026 to Oct 2026	$262,490,754	Pooled investment vehicles (100%)
Apr 2025 to Mar 2026	$170,791,841	Pooled investment vehicles (100%)
Apr 2024 to Mar 2025	$136,910,434	Pooled investment vehicles (100%)
May 2023 to Mar 2024	$195,165,527	Pooled investment vehicles (100%)
Apr 2023	$195,165,527	Pooled investment vehicles (100%)
Apr 2022 to Mar 2023	$374,566,754	Pooled investment vehicles (100%)

2 earlier changes not shown.

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, never from the firm's own description.

Style

Concentrated

The top 10 positions are 90.7% of the book (60%+)

Turnover

Turnover unknown

It needs four straight quarters of measured turnover

Horizon

Short horizon

Value-weighted holding period 2.3 quarters (under 4)

Closest benchmark: the Russell 2000 as of 2026-06-30, active share 99.9%; sector active share 69.0% against the combined 13F book's sector weights.

Over time 7 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

View clone backtest

Portfolio Concentration

32 tracked positions · as of Jun 30, 2026 · Δ vs Mar 31, 2026

Top Position

37.4%

−7.1 pts

Top 5

72.6%

−8.4 pts

Top 10

90.7%

−1.5 pts

HHI

1,810

Moderately concentrated−635

Portfolio Trend

7 quarters · across all stocks

Sector Breakdown

As of Jun 30, 2026

Sector	% Portfolio	Value	Positions
Healthcare	69.5%	$60,137,107	15
Consumer Cyclical	13.4%	$11,614,518	4
Consumer Defensive	6.5%	$5,645,837	1
Communication Services	3.8%	$3,256,681	1
Energy	2.9%	$2,507,509	3
Industrials	1.9%	$1,648,338	4
Technology	1.9%	$1,634,363	3
Financial Services	0.0%	$38,000	1

Last Quarter's Activity

Export CSV

Jun 30, 2026 vs Mar 31, 2026

Added To

Positions the filer increased

No qualifying positions this quarter.

Trimmed

Positions the filer reduced

8 positions

Ticker	Company	Δ Shares	Shares	Value
XFOR	X4 Pharmaceuticals, Inc	−2,013,527	6,930,591	$32,365,859
SCYX	Scynexis Inc	−1,721,375	126,451	$514,655
DTIL	Precision Biosciences Inc	−1,192,786	776,093	$6,100,090
VENU	Venu Holding Corp	−494,911	512,818	$1,164,096
TNYA	Tenaya Therapeutics, Inc.	−423,818	3,863,115	$2,854,841
PRZO	ParaZero Technologies Ltd.	−168,428	113,771	$55,292
MSLE	Satellos Bioscience Inc.	−123,000	107,100	$832,702
CYN	Cyngn Inc.	−30,725	927,059	$1,288,612
No positions match the current search.

New Positions

Positions the filer opened this quarter

11 positions

Ticker	Company	Shares	Value
NGEN	Nervgen Pharma Corp.	4,000,000	$8,240,000
CLNN	Clene Inc.	916,532	$5,645,837
ANVS	Annovis Bio, Inc.	2,401,476	$4,466,745
LTRN	Lantern Pharma Inc.	842,669	$3,513,929
AMC	Amc Entertainment Holdings, Inc.	1,714,043	$3,256,681
YDDL	One & one Green Technologies. INC	761,706	$1,538,646
GLNDW	Greenland Energy Co	1,000,000	$850,000
CLRB	Cellectar Biosciences, Inc.	189,605	$527,101
RNTX	Rein Therapeutics, Inc.	370,834	$385,667
BTCT	BTC Digital Ltd.	350,877	$287,719
DUKRW	DUKE Robotics Corp.	35,000	$45,150
No positions match the current search.

Sold Out

Positions the filer fully exited

11 positions

Ticker	Company	Shares	Value
IMPP	Imperial Petroleum Inc./Marshall Islands	877,645	$3,756,320
BSIN	Big Sky Industrial Inc.	1,917,844	$1,687,702
CRML	Critical Metals Corp.	132,039	$1,048,389
PMN	ProMIS Neurosciences Inc.	60,353	$766,483
SLE	Super League Enterprise, Inc.	132,917	$491,792
TLPH	Talphera, Inc.	590,481	$442,860
BNTC	Benitec Biopharma Inc.	30,440	$324,186
ABTS	Abits Group Inc	172,761	$266,051
NSRX	Nasus Pharma Ltd	45,803	$101,682
BCTXZ	BriaCell Therapeutics Corp.	666,600	$93,324
MDCXW	Medicus Pharma Ltd.	12,100	$11,494
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

32 tracked positions · $86,482,353 total · filing declares 32 positions · $86,479,405 · as of Jun 30, 2026

All sectors Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Technology

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	Held (qtrs)	Est. cost/share	% of Portfolio
XFOR	X4 Pharmaceuticals, Inc Healthcare	Reduced	6,930,591	-2,013,527	$32,365,859	−12.4%	3	before history	37.42%
EMPD	Empery Digital Inc. Consumer Cyclical	Held	2,930,345	0	$10,432,028	−15.8%	3	before history	12.06%
NGEN	Nervgen Pharma Corp. Healthcare	NEW	4,000,000	NEW	$8,240,000	NEW	1	$3.10	9.53%
DTIL	Precision Biosciences Inc Healthcare	Reduced	776,093	-1,192,786	$6,100,090	−43.7%	3	before history	7.05%
CLNN	Clene Inc. Consumer Defensive	NEW	916,532	NEW	$5,645,837	NEW	1	$6.23	6.53%
ANVS	Annovis Bio, Inc. Healthcare	NEW	2,401,476	NEW	$4,466,745	NEW	1	$1.94	5.16%
LTRN	Lantern Pharma Inc. Healthcare	NEW	842,669	NEW	$3,513,929	NEW	1	$2.93	4.06%
AMC	Amc Entertainment Holdings, Inc. Communication Services	NEW	1,714,043	NEW	$3,256,681	NEW	1	$1.72	3.77%
TNYA	Tenaya Therapeutics, Inc. Healthcare	Reduced	3,863,115	-423,818	$2,854,841	−3.8%	3	before history	3.30%
YDDL	One & one Green Technologies. INC Industrials	NEW	761,706	NEW	$1,538,646	NEW	1	$4.71	1.78%
CYN	Cyngn Inc. Technology	Reduced	927,059	-30,725	$1,288,612	−19.0%	2	$1.95	1.49%
VENU	Venu Holding Corp Consumer Cyclical	Reduced	512,818	-494,911	$1,164,096	−65.1%	2	$5.77	1.35%
GLNDW	Greenland Energy Co Energy	NEW	1,000,000	NEW	$850,000	NEW	1	unpriced	0.98%
URG	Ur-Energy Inc Energy	Held	620,136	0	$843,384	−8.7%	2	$1.63	0.98%
MSLE	Satellos Bioscience Inc. Healthcare	Reduced	107,100	-123,000	$832,702	−35.7%	2	unpriced	0.96%
JAGU	Jaguar Uranium Corp. Energy	Held	487,500	0	$814,125	−39.3%	2	$2.34	0.94%
CLRB	Cellectar Biosciences, Inc. Healthcare	NEW	189,605	NEW	$527,101	NEW	1	$2.80	0.61%
SCYX	Scynexis Inc Healthcare	Reduced	126,451	-1,721,375	$514,655	−69.6%	2	$6.18	0.60%
RNTX	Rein Therapeutics, Inc. Healthcare	NEW	370,834	NEW	$385,667	NEW	1	$1.21	0.45%
BTCT	BTC Digital Ltd. Technology	NEW	350,877	NEW	$287,719	NEW	1	$1.18	0.33%
BCTXL	BriaCell Therapeutics Corp. Healthcare	Held	300,000	0	$267,000	−13.6%	2	unpriced	0.31%
MTEKW	Maris Tech Ltd. Technology	Held	297,600	0	$58,032	+29.1%	3	before history	0.07%
PRZO	ParaZero Technologies Ltd. Industrials	Reduced	113,771	-168,428	$55,292	−74.6%	2	$1.15	0.06%
DUKRW	DUKE Robotics Corp. Industrials	NEW	35,000	NEW	$45,150	NEW	1	$1.63	0.05%
NTRBW	NutriBand Inc. Healthcare	Held	40,218	0	$40,218	−10.7%	3	before history	0.05%
RTACW	Renatus Tactical Acquisition Corp I Financial Services	Held	50,000	0	$38,000	+65.2%	3	before history	0.04%
MDAIW	Spectral AI, Inc. Healthcare	Held	33,336	0	$18,501	−0.9%	3	before history	0.02%
NEXRW	Nexera Technologies Ltd Consumer Cyclical	Held	360,577	0	$10,421	+70.0%	3	before history	0.01%
BNCWW	BNB Standard Corp Industrials	Held	500,000	0	$9,250	−39.5%	3	before history	0.01%
FGIWW	FGI Industries Ltd. Consumer Cyclical	Held	83,928	0	$7,973	+196.0%	3	before history	0.01%
NRSNW	NeuroSense Therapeutics Ltd. Healthcare	Held	100,402	0	$6,325	−68.5%	3	before history	0.01%
NXGLW	Nexgel, Inc. Healthcare	Held	90,000	0	$3,474	−35.6%	3	before history	0.00%

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.