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 |
9 METERS BIOPHARMA INC | COM | 654405109 | 1,998 | 2,325,659 | SH | SOLE | 2,325,659 | 0 | 0 | ||
ADAMAS PHARMACEUTICALS INC | COM | 00548A106 | 2,818 | 650,745 | SH | SOLE | 650,745 | 0 | 0 | ||
ALIMERA SCIENCES INC | COM NEW | 016259202 | 1,577 | 373,692 | SH | SOLE | 373,692 | 0 | 0 | ||
ALLENA PHARMACEUTICALS INC | COM | 018119107 | 1,907 | 1,489,800 | SH | SOLE | 1,489,800 | 0 | 0 | ||
ARIDIS PHARMACEUTICALS INC | COM | 040334104 | 1,573 | 259,084 | SH | SOLE | 259,084 | 0 | 0 | ||
ASPEN AEROGELS INC | COM | 04523Y105 | 8,124 | 486,778 | SH | SOLE | 486,778 | 0 | 0 | ||
AVAYA HLDGS CORP | COM | 05351X101 | 9,416 | 491,701 | SH | SOLE | 491,701 | 0 | 0 | ||
BLUE BIRD CORP | COM | 095306106 | 11,170 | 611,742 | SH | SOLE | 611,742 | 0 | 0 | ||
CATALYST BIOSCIENCES INC | COM NEW | 14888D208 | 2,030 | 321,745 | SH | SOLE | 321,745 | 0 | 0 | ||
CATALYST PHARMACEUTICALS INC | COM | 14888U101 | 3,360 | 1,005,852 | SH | SOLE | 1,005,852 | 0 | 0 | ||
CELLECTAR BIOSCIENCES INC | *W EXP 04/20/202 | 15117F138 | 1,228 | 583,037 | SH | SOLE | 583,037 | 0 | 0 | ||
CLOUDERA INC | COM | 18914U100 | 10,385 | 746,600 | SH | SOLE | 746,600 | 0 | 0 | ||
COHERENT INC | COM | 192479103 | 8,827 | 58,839 | SH | SOLE | 58,839 | 0 | 0 | ||
COHU INC | COM | 192576106 | 16,533 | 433,029 | SH | SOLE | 433,029 | 0 | 0 | ||
CYCLO THERAPEUTICS INC | COM NEW | 23254X201 | 1,137 | 261,310 | SH | SOLE | 261,310 | 0 | 0 | ||
CYCLO THERAPEUTICS INC | *W EXP 11/14/202 | 23254X110 | 1,137 | 261,310 | SH | SOLE | 261,310 | 0 | 0 | ||
DATA I O CORP | COM | 237690102 | 612 | 148,458 | SH | SOLE | 148,458 | 0 | 0 | ||
EDAP TMS S A | SPONSORED ADR | 268311107 | 1,540 | 297,830 | SH | SOLE | 297,830 | 0 | 0 | ||
EMCORE CORP | COM NEW | 290846203 | 9,399 | 1,724,531 | SH | SOLE | 1,724,531 | 0 | 0 | ||
ENDRA LIFE SCIENCES INC | COM | 29273B104 | 728 | 970,580 | SH | SOLE | 970,580 | 0 | 0 | ||
ENERGY FOCUS INC | COM | 29268T409 | 839 | 208,252 | SH | SOLE | 208,252 | 0 | 0 | ||
F5 NETWORKS INC | COM | 315616102 | 9,852 | 55,995 | SH | SOLE | 55,995 | 0 | 0 | ||
FORD MTR CO DEL | CALL | 345370900 | 9,844 | 1,119,900 | SH | Call | SOLE | 1,119,900 | 0 | 0 | |
ANNOVIS BIO INC | COM | 03615A108 | 2,596 | 344,259 | SH | SOLE | 344,259 | 0 | 0 | ||
HEPION PHARMACEUTICALS INC | COM | 426897104 | 1,510 | 689,283 | SH | SOLE | 689,283 | 0 | 0 | ||
IDEAL PWR INC | COM NEW | 451622203 | 4,731 | 579,100 | SH | SOLE | 579,100 | 0 | 0 | ||
KEY TRONIC CORP | COM | 493144109 | 240 | 34,763 | SH | SOLE | 34,763 | 0 | 0 | ||
LIGHTPATH TECHNOLOGIES INC | COM CL A | 532257805 | 5,427 | 1,384,446 | SH | SOLE | 1,384,446 | 0 | 0 | ||
MIRUM PHARMACEUTICALS INC | COM | 604749101 | 3,576 | 204,804 | SH | SOLE | 204,804 | 0 | 0 | ||
MYOMO INC | COM NEW | 62857J201 | 2,179 | 323,705 | SH | SOLE | 323,705 | 0 | 0 | ||
NAUTILUS INC | COM | 63910B102 | 8,804 | 485,362 | SH | SOLE | 485,362 | 0 | 0 | ||
O2MICRO INTERNATIONAL LIMITE | SPONS ADR | 67107W100 | 12,513 | 1,363,030 | SH | SOLE | 1,363,030 | 0 | 0 | ||
OCEAN BIO CHEM INC | COM | 674631106 | 6,091 | 455,948 | SH | SOLE | 455,948 | 0 | 0 | ||
PANBELA THERAPEUTICS INC | COM | 69833Q100 | 242 | 67,936 | SH | SOLE | 67,936 | 0 | 0 | ||
PARATEK PHARMACEUTICALS INC | COM | 699374302 | 3,496 | 558,515 | SH | SOLE | 558,515 | 0 | 0 | ||
PIXELWORKS INC | COM NEW | 72581M305 | 1,405 | 498,069 | SH | SOLE | 498,069 | 0 | 0 | ||
RIGEL PHARMACEUTICALS INC | COM NEW | 766559603 | 1,834 | 523,890 | SH | SOLE | 523,890 | 0 | 0 | ||
SALARIUS PHARMACEUTICALS INC | COM NEW | 79400X107 | 1,042 | 1,145,429 | SH | SOLE | 1,145,429 | 0 | 0 | ||
SCPHARMACEUTICALS INC | COM | 810648105 | 2,510 | 474,447 | SH | SOLE | 474,447 | 0 | 0 | ||
STRONGBRIDGE BIOPHARMA PLC | SHS USD | G85347105 | 3,196 | 1,315,127 | SH | SOLE | 1,315,127 | 0 | 0 | ||
THERATECHNOLOGIES INC | COM | 88338H100 | 1,077 | 430,652 | SH | SOLE | 430,652 | 0 | 0 | ||
VANDA PHARMACEUTICALS INC | COM | 921659108 | 3,421 | 260,339 | SH | SOLE | 260,339 | 0 | 0 | ||
VUZIX CORP | COM NEW | 92921W300 | 238 | 26,159 | SH | SOLE | 26,159 | 0 | 0 | ||
ACER THERAPEUTICS INC | COM | 00444P108 | 656 | 250,518 | SH | OTR | 1 | 0 | 250,518 | 0 | |
ADAMAS PHARMACEUTICALS INC | COM | 00548A106 | 975 | 225,106 | SH | OTR | 1 | 0 | 225,106 | 0 | |
ALIMERA SCIENCES INC | COM NEW | 016259202 | 537 | 127,333 | SH | OTR | 1 | 0 | 127,333 | 0 | |
ALLENA PHARMACEUTICALS INC | COM | 018119107 | 653 | 510,200 | SH | OTR | 1 | 0 | 510,200 | 0 | |
ANNOVIS BIO INC | COM | 03615A108 | 901 | 119,538 | SH | OTR | 1 | 0 | 119,538 | 0 | |
ARIDIS PHARMACEUTICALS INC | COM | 040334104 | 534 | 87,932 | SH | OTR | 1 | 0 | 87,932 | 0 | |
ASPEN AEROGELS INC | COM | 04523Y105 | 2,821 | 169,041 | SH | OTR | 1 | 0 | 169,041 | 0 | |
AVIAT NETWORKS INC | COM NEW | 05366Y201 | 2,028 | 59,382 | SH | OTR | 1 | 0 | 59,382 | 0 | |
AVAYA HLDGS CORP | COM | 05351X101 | 3,223 | 168,299 | SH | OTR | 1 | 0 | 168,299 | 0 | |
BLUE BIRD CORP | COM | 095306106 | 3,791 | 207,618 | SH | OTR | 1 | 0 | 207,618 | 0 | |
CATALYST BIOSCIENCES INC | COM NEW | 14888D208 | 627 | 99,297 | SH | OTR | 1 | 0 | 99,297 | 0 | |
CLOUDERA INC | COM | 18914U100 | 3,525 | 253,400 | SH | OTR | 1 | 0 | 253,400 | 0 | |
COHERENT INC | COM | 192479103 | 2,996 | 19,969 | SH | OTR | 1 | 0 | 19,969 | 0 | |
COHU INC | COM | 192576106 | 5,611 | 146,971 | SH | OTR | 1 | 0 | 146,971 | 0 | |
CATALYST PHARMACEUTICALS INC | COM | 14888U101 | 1,151 | 344,702 | SH | OTR | 1 | 0 | 344,702 | 0 | |
CYCLO THERAPEUTICS INC | COM NEW | 23254X201 | 386 | 88,690 | SH | OTR | 1 | 0 | 88,690 | 0 | |
CYCLO THERAPEUTICS INC | *W EXP 11/14/202 | 23254X110 | 386 | 88,690 | SH | OTR | 1 | 0 | 88,690 | 0 | |
DATA I O CORP | COM | 237690102 | 208 | 50,387 | SH | OTR | 1 | 0 | 50,387 | 0 | |
EDAP TMS S A | SPONSORED ADR | 268311107 | 523 | 101,082 | SH | OTR | 1 | 0 | 101,082 | 0 | |
ENERGY FOCUS INC | COM | 29268T409 | 287 | 71,283 | SH | OTR | 1 | 0 | 71,283 | 0 | |
EMCORE CORP | COM NEW | 290846203 | 3,193 | 585,833 | SH | OTR | 1 | 0 | 585,833 | 0 | |
FORD MTR CO DEL | CALL | 345370900 | 3,341 | 380,100 | SH | Call | OTR | 1 | 0 | 380,100 | 0 |
F5 NETWORKS INC | COM | 315616102 | 3,344 | 19,005 | SH | OTR | 1 | 0 | 19,005 | 0 | |
HEPION PHARMACEUTICALS INC | COM | 426897104 | 512 | 233,947 | SH | OTR | 1 | 0 | 233,947 | 0 | |
IDEAL PWR INC | COM NEW | 451622203 | 1,429 | 174,870 | SH | OTR | 1 | 0 | 174,870 | 0 | |
KEY TRONIC CORP | COM | 493144109 | 87 | 12,590 | SH | OTR | 1 | 0 | 12,590 | 0 | |
LIGHTPATH TECHNOLOGIES INC | COM CL A | 532257805 | 1,842 | 469,878 | SH | OTR | 1 | 0 | 469,878 | 0 | |
MIRUM PHARMACEUTICALS INC | COM | 604749101 | 1,218 | 69,779 | SH | OTR | 1 | 0 | 69,779 | 0 | |
MYOMO INC | COM NEW | 62857J201 | 739 | 109,864 | SH | OTR | 1 | 0 | 109,864 | 0 | |
ENDRA LIFE SCIENCES INC | COM | 29273B104 | 247 | 329,420 | SH | OTR | 1 | 0 | 329,420 | 0 | |
NAUTILUS INC | COM | 63910B102 | 3,004 | 165,608 | SH | OTR | 1 | 0 | 165,608 | 0 | |
9 METERS BIOPHARMA INC | COM | 654405109 | 678 | 789,341 | SH | OTR | 1 | 0 | 789,341 | 0 | |
OCEAN BIO CHEM INC | COM | 674631106 | 2,088 | 156,274 | SH | OTR | 1 | 0 | 156,274 | 0 | |
O2MICRO INTERNATIONAL LIMITE | SPONS ADR | 67107W100 | 4,270 | 465,169 | SH | OTR | 1 | 0 | 465,169 | 0 | |
PANBELA THERAPEUTICS INC | COM | 69833Q100 | 78 | 21,794 | SH | OTR | 1 | 0 | 21,794 | 0 | |
PARATEK PHARMACEUTICALS INC | COM | 699374302 | 1,196 | 191,093 | SH | OTR | 1 | 0 | 191,093 | 0 | |
PIXELWORKS INC | COM NEW | 72581M305 | 477 | 169,051 | SH | OTR | 1 | 0 | 169,051 | 0 | |
RIGEL PHARMACEUTICALS INC | COM NEW | 766559603 | 622 | 177,810 | SH | OTR | 1 | 0 | 177,810 | 0 | |
STRONGBRIDGE BIOPHARMA PLC | SHS USD | G85347105 | 1,091 | 449,046 | SH | OTR | 1 | 0 | 449,046 | 0 | |
SCPHARMACEUTICALS INC | COM | 810648105 | 862 | 162,875 | SH | OTR | 1 | 0 | 162,875 | 0 | |
SALARIUS PHARMACEUTICALS INC | COM NEW | 79400X107 | 328 | 360,556 | SH | OTR | 1 | 0 | 360,556 | 0 | |
THERATECHNOLOGIES INC | COM | 88338H100 | 365 | 146,162 | SH | OTR | 1 | 0 | 146,162 | 0 | |
VANDA PHARMACEUTICALS INC | COM | 921659108 | 1,171 | 89,124 | SH | OTR | 1 | 0 | 89,124 | 0 |