The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
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COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 | ||||
VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY | |||||
NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
ABBVIE INC | COM | 00287Y109 | 51 | 515 | SH | SOLE | 515 | 0 | 0 | ||
ALTICE USA INC | CL A | 02156K103 | 13,605 | 603,600 | SH | SOLE | 603,600 | 0 | 0 | ||
ALTRIA GROUP INC | COM | 02209S103 | 47 | 1,200 | SH | SOLE | 1,200 | 0 | 0 | ||
AMAG PHARMACEUTICALS INC | COM | 00163U106 | 9,945 | 1,299,994 | SH | SOLE | 1,299,994 | 0 | 0 | ||
AMERICAN EXPRESS CO | COM | 025816109 | 2,380 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
AMERIPRISE FINL INC | COM | 03076C106 | 2,400 | 15,993 | SH | SOLE | 15,993 | 0 | 0 | ||
AT&T INC | COM | 00206R102 | 50 | 1,650 | SH | SOLE | 1,650 | 0 | 0 | ||
AVIAT NETWORKS INC | COM NEW | 05366Y201 | 1 | 33 | SH | SOLE | 33 | 0 | 0 | ||
B RILEY PRIN MERGER CORP II | *W EXP 05/06/202 | 05600U114 | 438 | 250,000 | SH | SOLE | 250,000 | 0 | 0 | ||
B RILEY PRIN MERGER CORP II | CL A | 05600U106 | 5,365 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
BANK NEW YORK MELLON CORP | COM | 064058100 | 77 | 2,000 | SH | SOLE | 2,000 | 0 | 0 | ||
BIOLIFE SOLUTIONS INC | COM NEW | 09062W204 | 3,465 | 211,942 | SH | SOLE | 211,942 | 0 | 0 | ||
BLACKSTONE GROUP INC | COM CL A | 09260D107 | 4,533 | 80,000 | SH | SOLE | 80,000 | 0 | 0 | ||
BLUEBIRD BIO INC | COM | 09609G100 | 1,526 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
BRUNSWICK CORP | COM | 117043109 | 19,593 | 306,099 | SH | SOLE | 306,099 | 0 | 0 | ||
CADENCE DESIGN SYSTEM INC | COM | 127387108 | 50 | 525 | SH | SOLE | 525 | 0 | 0 | ||
CAREDX INC | COM | 14167L103 | 4,429 | 125,000 | SH | SOLE | 125,000 | 0 | 0 | ||
CARRIER GLOBAL CORPORATION | COM | 14448C104 | 133 | 6,000 | SH | SOLE | 6,000 | 0 | 0 | ||
CASSAVA SCIENCES INC | COM | 14817C107 | 3,236 | 1,050,503 | SH | SOLE | 1,050,503 | 0 | 0 | ||
CODEXIS INC | COM | 192005106 | 6,496 | 569,836 | SH | SOLE | 569,836 | 0 | 0 | ||
CUE BIOPHARMA INC | COM | 22978P106 | 4,044 | 165,000 | SH | SOLE | 165,000 | 0 | 0 | ||
DCP MIDSTREAM LLC | COM UT LTD PTN | 23311P100 | 32,191 | 2,848,805 | SH | SOLE | 2,848,805 | 0 | 0 | ||
DISH NETWORK CORPORATION | CL A | 25470M109 | 2,675 | 77,500 | SH | SOLE | 77,500 | 0 | 0 | ||
DUOS TECHNOLOGIES GROUP INC | COM | 266042407 | 2,087 | 453,616 | SH | SOLE | 453,616 | 0 | 0 | ||
DURECT CORP | COM | 266605104 | 61,862 | 26,664,656 | SH | SOLE | 26,664,656 | 0 | 0 | ||
ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 2,295 | 126,301 | SH | SOLE | 126,301 | 0 | 0 | ||
EXXON MOBIL CORP | COM | 30231G102 | 48 | 1,075 | SH | SOLE | 1,075 | 0 | 0 | ||
FATE THERAPEUTICS INC | COM | 31189P102 | 2,746 | 80,028 | SH | SOLE | 80,028 | 0 | 0 | ||
GRACE W R & CO DEL NEW | COM | 38388F108 | 10,209 | 200,934 | SH | SOLE | 200,934 | 0 | 0 | ||
GRITSTONE ONCOLOGY INC | COM | 39868T105 | 1,122 | 169,039 | SH | SOLE | 169,039 | 0 | 0 | ||
HAYMAKER ACQUISITION CORP II | COM CL A | 42087L101 | 10,350 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
HAYMAKER ACQUISITION CORP II | *W EXP 10/31/202 | 42087L119 | 520 | 333,333 | SH | SOLE | 333,333 | 0 | 0 | ||
HC2 HLDGS INC | COM | 404139107 | 239 | 71,543 | SH | SOLE | 71,543 | 0 | 0 | ||
IDENTIV INC | COM NEW | 45170X205 | 11,202 | 2,196,389 | SH | SOLE | 2,196,389 | 0 | 0 | ||
INDEPENDENCE HLDG CO NEW | COM NEW | 453440307 | 1,674 | 54,711 | SH | SOLE | 54,711 | 0 | 0 | ||
INFINITY PHARMACEUTICALS INC | COM | 45665G303 | 226 | 250,000 | SH | SOLE | 250,000 | 0 | 0 | ||
INTELLICHECK INC | COM NEW | 45817G201 | 20,674 | 2,738,314 | SH | SOLE | 2,738,314 | 0 | 0 | ||
INTEVAC INC | COM | 461148108 | 27,023 | 4,949,355 | SH | SOLE | 4,949,355 | 0 | 0 | ||
JPMORGAN CHASE & CO | COM | 46625H100 | 2,822 | 30,000 | SH | SOLE | 30,000 | 0 | 0 | ||
L3HARRIS TECHNOLOGIES INC | COM | 502431109 | 271 | 1,600 | SH | SOLE | 1,600 | 0 | 0 | ||
LIBERTY GLOBAL PLC | SHS CL C | G5480U120 | 1,497 | 69,618 | SH | SOLE | 69,618 | 0 | 0 | ||
LIBERTY GLOBAL PLC | SHS CL A | G5480U104 | 503 | 22,989 | SH | SOLE | 22,989 | 0 | 0 | ||
LIBERTY LATIN AMERICA LTD | COM CL A | G9001E102 | 39 | 4,017 | SH | SOLE | 4,017 | 0 | 0 | ||
LIBERTY LATIN AMERICA LTD | COM CL C | G9001E128 | 115 | 12,166 | SH | SOLE | 12,166 | 0 | 0 | ||
LIBERTY MEDIA CORP DEL | COM A SIRIUSXM | 531229409 | 3,576 | 103,602 | SH | SOLE | 103,602 | 0 | 0 | ||
LIBERTY MEDIA CORP DEL | COM A BRAVES GRP | 531229706 | 208 | 10,356 | SH | SOLE | 10,356 | 0 | 0 | ||
LIBERTY MEDIA CORP DEL | COM C SIRIUSXM | 531229607 | 8,144 | 236,396 | SH | SOLE | 236,396 | 0 | 0 | ||
LIBERTY MEDIA CORP DEL | COM C BRAVES GRP | 531229888 | 409 | 20,717 | SH | SOLE | 20,717 | 0 | 0 | ||
LINDE PLC | SHS | G5494J103 | 40,858 | 192,627 | SH | SOLE | 192,627 | 0 | 0 | ||
LIONS GATE ENTMNT CORP | CL B NON VTG | 535919500 | 112 | 16,413 | SH | SOLE | 16,413 | 0 | 0 | ||
LIQTECH INTL INC | COM | 53632A201 | 11,744 | 2,150,948 | SH | SOLE | 2,150,948 | 0 | 0 | ||
LUMENTUM HLDGS INC | COM | 55024U109 | 54 | 660 | SH | SOLE | 660 | 0 | 0 | ||
MAGENTA THERAPEUTICS INC | COM | 55910K108 | 2,643 | 351,875 | SH | SOLE | 351,875 | 0 | 0 | ||
MARINUS PHARMACEUTICALS INC | COM | 56854Q101 | 4,699 | 1,850,000 | SH | SOLE | 1,850,000 | 0 | 0 | ||
NGL ENERGY PARTNERS LP | COM UNIT REPST | 62913M107 | 10,588 | 2,714,937 | SH | SOLE | 2,714,937 | 0 | 0 | ||
NUSTAR ENERGY LP | UNIT COM | 67058H102 | 6,219 | 435,500 | SH | SOLE | 435,500 | 0 | 0 | ||
ORBITAL ENERGY GROUP INC | COM | 68559A109 | 2,294 | 3,700,542 | SH | SOLE | 3,700,542 | 0 | 0 | ||
ORCHARD THERAPEUTICS PLC | ADS | 68570P101 | 751 | 125,200 | SH | SOLE | 125,200 | 0 | 0 | ||
OTIS WORLDWIDE CORP | COM | 68902V107 | 171 | 3,000 | SH | SOLE | 3,000 | 0 | 0 | ||
PAYPAL HLDGS INC | COM | 70450Y103 | 871 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
PRGX GLOBAL INC | COM NEW | 69357C503 | 37 | 7,938 | SH | SOLE | 7,938 | 0 | 0 | ||
RAYTHEON TECHNOLOGIES CORP | COM | 75513E101 | 370 | 6,000 | SH | SOLE | 6,000 | 0 | 0 | ||
RICEBRAN TECHNOLOGIES | COM NEW | 762831204 | 1,410 | 1,703,334 | SH | SOLE | 1,703,334 | 0 | 0 | ||
ROYALTY PHARMA PLC | SHS CL A | G7709Q104 | 54,181 | 1,115,980 | SH | SOLE | 1,115,980 | 0 | 0 | ||
S&P GLOBAL INC | COM | 78409V104 | 13,179 | 40,000 | SH | SOLE | 40,000 | 0 | 0 | ||
SHELL MIDSTREAM PARTNERS L P | UNIT LTD INT | 822634101 | 11,207 | 913,347 | SH | SOLE | 913,347 | 0 | 0 | ||
SPDR GOLD TR | GOLD SHS | 78463V107 | 79,501 | 475,000 | SH | SOLE | 475,000 | 0 | 0 | ||
SPROTT PHYSICAL GOLD TR | UNIT | 85207H104 | 179 | 12,540 | SH | SOLE | 12,540 | 0 | 0 | ||
TERADYNE INC | COM | 880770102 | 51 | 600 | SH | SOLE | 600 | 0 | 0 | ||
THOR INDS INC | COM | 885160101 | 11,692 | 109,753 | SH | SOLE | 109,753 | 0 | 0 | ||
X4 PHARMACEUTICALS INC | COM | 98420X103 | 333 | 35,730 | SH | SOLE | 35,730 | 0 | 0 | ||
XEROX HOLDINGS CORP | COM NEW | 98421M106 | 25,629 | 1,676,225 | SH | SOLE | 1,676,225 | 0 | 0 | ||
XILINX INC | COM | 983919101 | 52 | 530 | SH | SOLE | 530 | 0 | 0 | ||
XPERI HOLDING CORP | COM | 98390M103 | 1 | 90 | SH | SOLE | 90 | 0 | 0 |