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 | 13,448 | 99,318 | SH | SOLE | 99,318 | 0 | 0 | ||
ABERDEEN TOTAL DYNAMIC DIVD | COM SH BEN INT | 00326L100 | 2,647 | 259,000 | SH | SOLE | 259,000 | 0 | 0 | ||
ADVANCED MICRO DEVICES INC | COM | 007903107 | 4,317 | 30,000 | SH | SOLE | 30,000 | 0 | 0 | ||
AERIE PHARMACEUTICALS INC | COM | 00771V108 | 1,348 | 192,065 | SH | SOLE | 192,065 | 0 | 0 | ||
AIR T INC | COM | 009207101 | 252 | 10,004 | SH | SOLE | 10,004 | 0 | 0 | ||
ALNYLAM PHARMACEUTICALS INC | COM | 02043Q107 | 3,052 | 18,000 | SH | SOLE | 18,000 | 0 | 0 | ||
ALPHABET INC | CAP STK CL C | 02079K107 | 12,587 | 4,350 | SH | SOLE | 4,350 | 0 | 0 | ||
ALTIMMUNE INC | COM NEW | 02155H200 | 2,571 | 280,700 | SH | SOLE | 280,700 | 0 | 0 | ||
AMARIN CORP PLC | SPONS ADR NEW | 023111206 | 539 | 160,000 | SH | SOLE | 160,000 | 0 | 0 | ||
AMGEN INC | COM | 031162100 | 2,868 | 12,750 | SH | SOLE | 12,750 | 0 | 0 | ||
APPLE INC | COM | 037833100 | 2,220 | 12,500 | SH | SOLE | 12,500 | 0 | 0 | ||
APTINYX INC | COM | 03836N103 | 152 | 57,000 | SH | SOLE | 57,000 | 0 | 0 | ||
APTIV PLC | SHS | G6095L109 | 371 | 2,250 | SH | SOLE | 2,250 | 0 | 0 | ||
ARENA PHARMACEUTICALS INC | COM NEW | 040047607 | 465 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
ARGENX SE | SPONSORED ADR | 04016X101 | 8,755 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
ASTRAZENECA PLC | SPONSORED ADR | 046353108 | 742 | 12,745 | SH | SOLE | 12,745 | 0 | 0 | ||
AT&T INC | COM | 00206R102 | 2,276 | 92,500 | SH | SOLE | 92,500 | 0 | 0 | ||
BECTON DICKINSON & CO | COM | 075887109 | 503 | 2,000 | SH | SOLE | 2,000 | 0 | 0 | ||
BK OF AMERICA CORP | COM | 060505104 | 6,473 | 145,500 | SH | SOLE | 145,500 | 0 | 0 | ||
BOULDER GROWTH & INCOME FD I | COM | 101507101 | 1,179 | 83,000 | SH | SOLE | 83,000 | 0 | 0 | ||
BOX INC | CL A | 10316T104 | 485 | 18,500 | SH | SOLE | 18,500 | 0 | 0 | ||
BRISTOL-MYERS SQUIBB CO | COM | 110122108 | 2,026 | 32,500 | SH | SOLE | 32,500 | 0 | 0 | ||
CITIGROUP INC | COM NEW | 172967424 | 4,107 | 68,000 | SH | SOLE | 68,000 | 0 | 0 | ||
DISCOVERY INC | COM SER A | 25470F104 | 376 | 15,990 | SH | SOLE | 15,990 | 0 | 0 | ||
EQUILLIUM INC | COM | 29446K106 | 708 | 187,666 | SH | SOLE | 187,666 | 0 | 0 | ||
ESPERION THERAPEUTICS INC NE | NOTE 4.000%11/1 | 29664WAB1 | 211 | 400,000 | PRN | SOLE | 400,000 | 0 | 0 | ||
LILLY ELI & CO | COM | 532457108 | 3,107 | 11,250 | SH | SOLE | 11,250 | 0 | 0 | ||
ENERGY TRANSFER L P | COM UT LTD PTN | 29273V100 | 774 | 94,000 | SH | SOLE | 94,000 | 0 | 0 | ||
FORD MTR CO DEL | COM | 345370860 | 3,505 | 168,750 | SH | SOLE | 168,750 | 0 | 0 | ||
FREEPORT-MCMORAN INC | CL B | 35671D857 | 417 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
GENERAL MTRS CO | COM | 37045V100 | 4,984 | 85,000 | SH | SOLE | 85,000 | 0 | 0 | ||
GLOBAL X FDS | LITHIUM BTRY ETF | 37954Y855 | 422 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
HONEYWELL INTL INC | COM | 438516106 | 1,877 | 9,000 | SH | Call | SOLE | 9,000 | 0 | 0 | |
ILLINOIS TOOL WKS INC | COM | 452308109 | 864 | 3,500 | SH | SOLE | 3,500 | 0 | 0 | ||
IMPEL NEUROPHARMA INC | COM | 45258K109 | 2,210 | 256,027 | SH | SOLE | 256,027 | 0 | 0 | ||
INCYTE CORP | COM | 45337C102 | 5,138 | 70,000 | SH | SOLE | 70,000 | 0 | 0 | ||
INTEL CORP | COM | 458140100 | 1,030 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
INTRA-CELLULAR THERAPIES INC | COM | 46116X101 | 18,790 | 359,000 | SH | SOLE | 359,000 | 0 | 0 | ||
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 13,925 | 35,000 | SH | Put | SOLE | 35,000 | 0 | 0 | |
ISHARES GOLD TR | ISHARES NEW | 464285204 | 3,481 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
ISHARES SILVER TR | ISHARES | 46428Q109 | 1,452 | 67,500 | SH | SOLE | 67,500 | 0 | 0 | ||
LENSAR INC | COM | 52634L108 | 1,676 | 279,788 | SH | SOLE | 279,788 | 0 | 0 | ||
LINEAGE CELL THERAPEUTICS IN | COM | 53566P109 | 208 | 85,000 | SH | SOLE | 85,000 | 0 | 0 | ||
MARVELL TECHNOLOGY INC | COM | 573874104 | 1,531 | 17,500 | SH | SOLE | 17,500 | 0 | 0 | ||
MATINAS BIOPHARMA HLDGS INC | COM | 576810105 | 156 | 154,500 | SH | SOLE | 154,500 | 0 | 0 | ||
MICRON TECHNOLOGY INC | COM | 595112103 | 16,534 | 177,500 | SH | SOLE | 177,500 | 0 | 0 | ||
MICRON TECHNOLOGY INC | COM | 595112103 | 932 | 10,000 | SH | Put | SOLE | 10,000 | 0 | 0 | |
MICROSOFT CORP | COM | 594918104 | 841 | 2,500 | SH | SOLE | 2,500 | 0 | 0 | ||
MORGAN STANLEY | COM NEW | 617446448 | 1,227 | 12,500 | SH | SOLE | 12,500 | 0 | 0 | ||
NEKTAR THERAPEUTICS | COM | 640268108 | 423 | 31,300 | SH | SOLE | 31,300 | 0 | 0 | ||
NOKIA CORP | SPONSORED ADR | 654902204 | 933 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
NXP SEMICONDUCTORS N V | COM | N6596X109 | 797 | 3,500 | SH | SOLE | 3,500 | 0 | 0 | ||
ONCOCYTE CORP | COM | 68235C107 | 26 | 12,149 | SH | SOLE | 12,149 | 0 | 0 | ||
ORACLE CORP | COM | 68389X105 | 3,706 | 42,500 | SH | SOLE | 42,500 | 0 | 0 | ||
ORACLE CORP | COM | 68389X105 | 1,962 | 22,500 | SH | Call | SOLE | 22,500 | 0 | 0 | |
QUALCOMM INC | COM | 747525103 | 1,372 | 7,500 | SH | SOLE | 7,500 | 0 | 0 | ||
OVID THERAPEUTICS INC | COM | 690469101 | 455 | 141,701 | SH | SOLE | 141,701 | 0 | 0 | ||
PFIZER INC | COM | 717081103 | 3,838 | 65,000 | SH | SOLE | 65,000 | 0 | 0 | ||
PROTHENA CORP PLC | SHS | G72800108 | 2,964 | 60,000 | SH | SOLE | 60,000 | 0 | 0 | ||
REGENERON PHARMACEUTICALS | COM | 75886F107 | 10,862 | 17,200 | SH | SOLE | 17,200 | 0 | 0 | ||
REGENERON PHARMACEUTICALS | COM | 75886F107 | 126 | 200 | SH | Call | SOLE | 200 | 0 | 0 | |
SEAGEN INC | COM | 81181C104 | 2,087 | 13,500 | SH | SOLE | 13,500 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 694 | 9,000 | SH | Call | SOLE | 9,000 | 0 | 0 | |
SPDR GOLD TR | GOLD SHS | 78463V107 | 4,274 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
TURNING PT BRANDS INC | COM | 90041L105 | 4,229 | 111,926 | SH | SOLE | 111,926 | 0 | 0 | ||
VANECK ETF TRUST | GOLD MINERS ETF | 92189F106 | 3,683 | 115,000 | SH | SOLE | 115,000 | 0 | 0 | ||
VANECK ETF TRUST | JUNIOR GOLD MINE | 92189F791 | 2,306 | 55,000 | SH | SOLE | 55,000 | 0 | 0 | ||
VANGUARD INDEX FDS | S&P 500 ETF SHS | 922908363 | 28,377 | 65,000 | SH | Put | SOLE | 65,000 | 0 | 0 | |
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 2,598 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
VIACOMCBS INC | CL B | 92556H206 | 335 | 11,100 | SH | SOLE | 11,100 | 0 | 0 | ||
VIR BIOTECHNOLOGY INC | COM | 92764N102 | 837 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
WALGREENS BOOTS ALLIANCE INC | COM | 931427108 | 261 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
XENCOR INC | COM | 98401F105 | 9,700 | 241,763 | SH | SOLE | 241,763 | 0 | 0 |