Q4 2021 · 13F-HR
Empery Asset Management, LPholdings as filed
Filed 2022-02-11 · accession 0000902664-22-001467
$47,915
Reported value
70
Positions
2021-12-31
Period end
Holdings as filed
| CUSIP | Ticker | Issuer | Value | % port. | Shares | Class | Voting |
|---|---|---|---|---|---|---|---|
| 28252C117 | POLWQ | 1847 GOEDEKER INC | $8,872 | 18.5% | 8,449,255 | Common | SOLE |
| 86889P109 | — | SURROZEN INC | $3,740 | 7.81% | 580,700 | Common | SOLE |
| 45032V108 | — | ISPECIMEN INC | $3,642 | 7.60% | 466,333 | Common | SOLE |
| G6593L106 | — | NISUN INTERNATIONAL ENTERPRISE DEVELOPMENT GROUP CO LTD | $3,178 | 6.63% | 990,155 | Common | SOLE |
| 671005106 | — | OPY ACQUISITION CORP I | $2,961 | 6.18% | 300,000 | Common | SOLE |
| 03209T109 | — | AMPIO PHARMACEUTICALS INC | $2,430 | 5.07% | 4,262,409 | Common | SOLE |
| 623006202 | — | MOUNT RAINIER ACQUISITION CORP | $2,034 | 4.25% | 200,000 | Common | SOLE |
| G1745A116 | CTSUF | CACTUS ACQUISITION COP I LTD | $2,020 | 4.22% | 200,000 | Common | SOLE |
| 30258N121 | FATBW | FAT BRANDS INC | $2,013 | 4.20% | 300,000 | Common | SOLE |
| 68236X100 | TOI | ONCOLOGY INSTITUTE INC | $1,950 | 4.07% | 200,000 | Common | SOLE |
| 75915K200 | — | REGULUS THERAPEUTICS INC | $1,598 | 3.34% | 5,074,251 | Common | SOLE |
| 02116A104 | — | ALSET EHOME INTERNATIONAL INC | $1,448 | 3.02% | 2,594,480 | Common | SOLE |
| 86260J102 | SWAG | STRAN & COMPANY INC | $1,217 | 2.54% | 201,208 | Common | SOLE |
| 21077P108 | CNTX | CONTEXT THERAPEUTICS INC | $954 | 1.99% | 358,617 | Common | SOLE |
| 53228T119 | — | LIGHTNING EMOTORS INC | $842 | 1.76% | 695,652 | Common | SOLE |
| 405166117 | — | HAGERTY INC | $823 | 1.72% | 187,500 | Common | SOLE |
| 41150T124 | — | HARBOR CUSTOM DEVELOPMENT INC | $765 | 1.60% | 3,000,000 | Common | SOLE |
| 627333107 | — | MUSCLE MAKER INC | $669 | 1.40% | 928,889 | Common | SOLE |
| 54303L104 | — | LONGEVERON INC | $656 | 1.37% | 54,352 | Common | SOLE |
| 88340B109 | VGFCQ | THE VERY GOOD FOOD CO INC | $507 | 1.06% | 687,745 | Common | SOLE |
| 75062E106 | RFL | RAFAEL HOLDINGS INC | $408 | 0.85% | 80,000 | Common | SOLE |
| G70021111 | — | PEPPERLIME HEALTH ACQUISITION CORP | $349 | 0.73% | 742,500 | Common | SOLE |
| 67092M125 | NTRBW | NUTRIBAND INC | $288 | 0.60% | 80,000 | Common | SOLE |
| 09077D118 | BFRIW | BIOFRONTERA INC | $270 | 0.56% | 75,000 | Common | SOLE |
| 293594115 | — | ENOVIX CORP | $268 | 0.56% | 17,045 | Common | SOLE |
| 811292200 | SCYX | SCYNEXIS INC | $264 | 0.55% | 43,294 | Common | SOLE |
| M1R95N118 | ARBEW | ARBE ROBOTICS LTD | $238 | 0.50% | 200,000 | Common | SOLE |
| 53952P101 | LMPX | LMP AUTOMOTIVE HOLDINGS INC | $235 | 0.49% | 33,671 | Common | SOLE |
| 52886N117 | LEXXW | LEXARIA BIOSCIENCE CORP | $204 | 0.43% | 133,333 | Common | SOLE |
| 82836L119 | — | SILVERBOX ENGAGED MERGER CORP I | $187 | 0.39% | 133,333 | Common | SOLE |
| 98139Q118 | — | WORKSPORT LTD | $185 | 0.39% | 200,000 | Common | SOLE |
| 37518W114 | — | GIGINTERNATIONAL1 INC | $183 | 0.38% | 299,999 | Common | SOLE |
| 23254X110 | — | CYCLO THERAPEUTICS INC | $163 | 0.34% | 65,000 | Common | SOLE |
| 496861113 | — | KINGSWOOD ACQUISITION CORP | $139 | 0.29% | 319,125 | Common | SOLE |
| 716421110 | — | PETRA ACQUISITION INC | $135 | 0.28% | 250,000 | Common | SOLE |
| G1992N126 | — | CC NEUBERGER PRINCIPAL HOLDINGS III | $127 | 0.27% | 116,776 | Common | SOLE |
| 716817119 | PETVW | PETVIVO HOLDINGS INC | $124 | 0.26% | 200,000 | Common | SOLE |
| 29408N114 | — | ENVIRONMENTAL IMPACT ACQUISITION CORP | $120 | 0.25% | 100,000 | Common | SOLE |
| 38071H114 | — | GOLD ROYALTY CORP | $115 | 0.24% | 112,000 | Common | SOLE |
| 87251T117 | — | TG VENTURE ACQUISITION CORP | $106 | 0.22% | 250,000 | Common | SOLE |
| 098070113 | — | BONE BIOLOGICS CORP | $100 | 0.21% | 142,857 | Common | SOLE |
| 03211Q119 | AMPGW | AMPLITECH GROUP INC | $95 | 0.20% | 75,000 | Common | SOLE |
| 65344E115 | NXGLW | NEXGEL INC | $87 | 0.18% | 90,000 | Common | SOLE |
| 86882L113 | — | SURGEPAYS INC | $85 | 0.18% | 300,000 | Common | SOLE |
| 74623V111 | PCTTW | PURECYCLE TECHNOLOGIES INC | $81 | 0.17% | 22,373 | Common | SOLE |
| 671005114 | — | OPY ACQUISITION CORP I | $75 | 0.16% | 150,000 | Common | SOLE |
| 249845116 | DRMAW | DERMATA THERAPEUTICS INC | $75 | 0.16% | 175,000 | Common | SOLE |
| 05072K115 | — | AUDDIA INC | $71 | 0.15% | 150,000 | Common | SOLE |
| 17248W113 | CINGW | CINGULATE INC | $69 | 0.14% | 500,000 | Common | SOLE |
| 50116V115 | — | KUBIENT INC | $69 | 0.14% | 80,000 | Common | SOLE |
| 66516W115 | — | NORTHERN GENESIS ACQUISITION III CORP | $69 | 0.14% | 74,998 | Common | SOLE |
| 42238H116 | BEATW | HEARTBEAM INC | $65 | 0.14% | 90,000 | Common | SOLE |
| 380799114 | — | GOLDEN ARROW MERGER CORP | $64 | 0.13% | 126,665 | Common | SOLE |
| G9127T124 | — | TURMERIC ACQUISITION CORP | $62 | 0.13% | 99,999 | Common | SOLE |
| 77867Q110 | — | ROTH CH ACQUISITION III CO | $47 | 0.10% | 43,750 | Common | SOLE |
| G6780C117 | — | ORION BIOTECH OPPORTUNITIES CORP | $46 | 0.10% | 40,000 | Common | SOLE |
| G5709L117 | — | LUMIRADX LIMITED | $43 | 0.09% | 25,000 | Common | SOLE |
| 41150T116 | — | HARBOR CUSTOM DEVELOPMENT INC | $36 | 0.08% | 120,000 | Common | SOLE |
| G4204R117 | — | G SQUARED ASCEND I INC | $35 | 0.07% | 42,773 | Common | SOLE |
| G7315C119 | — | QUEEN'S GAMBIT GROWTH CAPITAL | $32 | 0.07% | 50,000 | Common | SOLE |
| 77732R111 | — | ROSECLIFF ACQUISITION CORP I | $27 | 0.06% | 34,998 | Common | SOLE |
| 18274B114 | — | CLASS ACCELERATION CORP | $25 | 0.05% | 50,000 | Common | SOLE |
| Q4867H223 | — | IMMURON LTD | $22 | 0.05% | 47,634 | Common | SOLE |
| 09060U119 | — | BIOCARDIA INC | $20 | 0.04% | 18,459 | Common | SOLE |
| 81734C114 | SQLLW | SEQLL INC | $19 | 0.04% | 235,000 | Common | SOLE |
| 05601A117 | — | BOA ACQUISITION CORP | $18 | 0.04% | 33,332 | Common | SOLE |
| 55283P114 | — | MDH ACQUISITION CORP | $17 | 0.04% | 37,500 | Common | SOLE |
| 92259F119 | — | VELODYNE LIDAR INC | $15 | 0.03% | 20,000 | Common | SOLE |
| M74240116 | NRSNW | NEUROSENSE THERAPEUTICS LTD | $15 | 0.03% | 160,000 | Common | SOLE |
| G4236L120 | GFAIW | GUARDFORCE AI CO LTD | $4 | 0.01% | 315,000 | Common | SOLE |
Source: SEC EDGAR · raw 13F holdings as filed. The Class column shows the option type when reported (Put/Call) or Common when the issuer's equity is held directly. 13F discloses long positions only.