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| Happy Holidays!! thanks for using AUM13F!! |
| Empery Asset Management LP
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|---|---|
| CRD # | 148180 |
| SEC # | 801-121889 |
| CIK # | 0001469336 |
| AUM | $170.8 M (2025-03-28) |
| Employees | 7 (57% Investors, 0% Brokers) |
| Phone | 212-608-3300 |
| Address | One Rockefeller Plaza New York City, NY 10020 |
| Source | [IAPD] [EDGAR] [Website] [LinkedIn] |
| Total AUM ($M) |
|---|
| Sector | Form 13F Holdings | Value ($M) | |
|---|---|---|---|
| 89bio Inc | 2.3 | ||
| Transbiotec Inc | 0.7 | ||
| MIND Medicine Mindmed Inc | 0.7 | ||
| RXI Pharmaceuticals Corp | 0.6 | ||
| Medicenna Therapeutics Corp | 0.5 | ||
| Consonance-HFW Acquisition Corp | 0.4 | ||
| Benitec Biopharma Inc | 0.3 | ||
| Wearable Devices Ltd | 0.3 | ||
| Sharps Technology Inc | 0.3 | ||
| Nutriband Inc | 0.3 | ||
| View All | |||
| Holdings by Sector ($M) |
|---|
| Type | Form D Funds | Date | Sold ($M) | AUM ($M) |
|---|---|---|---|---|
| HF | Empery Tax Efficient III LP | [2021-03-30] | 25.1 | 42.7 |
| HF | Empery Debt Opportunity Fund LP | [2020-03-30] | 61.6 | 2.3 |
| HF | Empery Tax Efficient II LP | [2014-10-06] | 21.5 | 0.0 |
| HF | Empery Asset Master Ltd | [2014-03-20] | 6.2 | 97.0 |
| HF | Empery Tax Efficient LP | [2014-03-20] | 33.1 | 28.9 |
| Other | 1960480 BT LLC | 2013-03-28 | 5.9 | |
| HF | Empery International Ltd | [2012-05-31] | 1.2 | 1.3 |
| HF | Empery Partners Hedge Portfolio LP | 2012-05-31 | 0.9 | |
| HF | Empery Partners LP | [2012-05-31] | 15.7 | 15.6 |
| Other | HCI | 2012-05-31 | 1,000,000,000.0 | |
| View All | ||||
| AUM Breakdown | Accounts | AUM ($M) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 0 | 0.0 |
| (b) Individuals (high net worth individuals) | 0 | 0.0 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 6 | 170.8 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 0 | 0.0 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 6 | 170.8 |
| By Discretionary | ||
| Discretionary | 6 | 170.8 |
| Non-Discretionary | 0 | 0.0 |
| Total | 6 | 170.8 |
| By Non-United States Persons | ||
| Non-United States Persons | 97.0 | |
| United States Persons | 73.8 | |
| Total | 6 | 170.8 |
| Form D Directors | # Filings | # Firms | 2011 - 2025 |
|---|---|---|---|
| Roger Hanson | 255 | ||
| Nicole Ramroop | 42 | ||
| Ryan Lane | 17 | ||
| Martin Hoe | 13 | ||
| Empery Asset Management LP | 5 | ||
| Empery GP LLC | 4 |
| EDGAR Form | CIK | 2011 - 2025 |
|---|---|---|
| 13F-HR | [0001469336] | |
| 3 | [0001469336] | |
| 4 | [0001469336] | |
| SC 13D | [0001469336] | |
| SC 13G | [0001469336] |
| Form 3/4/5 Subject | 2011 - 2025 |
|---|---|
| Hoe Martin D. | |
| Sizzle Acquisition Corp. | |
| Lane Ryan M. | |
| Empery Asset Management, LP |
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