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 |
ADAMAS PHARMACEUTICALS INC | COM | 00548A106 | 8,027 | 1,672,348 | SH | SOLE | 1,672,348 | 0 | 0 | ||
ADAMAS PHARMACEUTICALS INC | COM | 00548A106 | 2,584 | 538,395 | SH | OTR | 1 | 0 | 538,395 | 0 | |
ALIMERA SCIENCES INC | COM NEW | 016259202 | 3,595 | 373,692 | SH | SOLE | 373,692 | 0 | 0 | ||
ALIMERA SCIENCES INC | COM NEW | 016259202 | 1,225 | 127,333 | SH | OTR | 1 | 0 | 127,333 | 0 | |
ALLENA PHARMACEUTICALS | COM | 018119107 | 4,198 | 3,019,800 | SH | SOLE | 3,019,800 | 0 | 0 | ||
ALLENA PHARMACEUTICALS | COM | 018119107 | 1,362 | 980,200 | SH | OTR | 1 | 0 | 980,200 | 0 | |
ANNOVIS BIO INC | COM | 03615A108 | 2,229 | 79,883 | SH | SOLE | 79,883 | 0 | 0 | ||
ANNOVIS BIO INC | COM | 03615A108 | 872 | 37,373 | SH | OTR | 1 | 0 | 37,373 | 0 | |
ARIDIS PHARMACEUTICALS INC | COM | 040334104 | 1,862 | 315,677 | SH | SOLE | 315,677 | 0 | 0 | ||
ARIDIS PHARMACEUTICALS INC | COM | 040334104 | 633 | 107,680 | SH | OTR | 1 | 0 | 107,680 | 0 | |
ASPEN AEROGELS INC | COM | 04523Y105 | 10,356 | 509,132 | SH | SOLE | 509,132 | 0 | 0 | ||
ASPEN AEROGELS INC | COM | 04523Y105 | 2,984 | 146,687 | SH | OTR | 1 | 0 | 146,687 | 0 | |
AVAYA HLDGS CORP | COM | 05351X101 | 7,504 | 267,721 | SH | SOLE | 267,721 | 0 | 0 | ||
AVAYA HLDGS CORP | COM | 05351X101 | 6,433 | 229,500 | SH | Call | SOLE | 229,500 | 0 | 0 | |
AVAYA HLDGS CORP | COM | 05351X101 | 2,587 | 92,279 | SH | OTR | 1 | 0 | 92,279 | 0 | |
AVAYA HLDGS CORP | COM | 05351X101 | 1,976 | 70,500 | SH | Call | OTR | 1 | 0 | 70,500 | 0 |
AVIAT NETWORKS INC | COM NEW | 05366Y201 | 14,766 | 207,854 | SH | SOLE | 207,854 | 0 | 0 | ||
AVIAT NETWORKS INC | COM NEW | 05366Y201 | 4,936 | 69,487 | SH | OTR | 1 | 0 | 69,487 | 0 | |
BRAINSWAY LTD | SPONSORED ADS | 10501L106 | 5,250 | 581,400 | SH | SOLE | 581,400 | 0 | 0 | ||
BRAINSWAY LTD | SPONSORED ADS | 10501L106 | 1,613 | 178,600 | SH | OTR | 1 | 0 | 178,600 | 0 | |
BRIDGELINE DIGITAL INC | COM | 10807Q700 | 392 | 135,726 | SH | SOLE | 135,726 | 0 | 0 | ||
BRIDGELINE DIGITAL INC | COM | 10807Q700 | 120 | 41,693 | SH | OTR | 1 | 0 | 41,693 | 0 | |
CHF SOLUTIONS INC | COM | 12542Q870 | 2,258 | 382,000 | SH | SOLE | 382,000 | 0 | 0 | ||
CHF SOLUTIONS INC | COM | 12542Q870 | 697 | 118,000 | SH | OTR | 1 | 0 | 118,000 | 0 | |
COHU INC | COM | 192576106 | 20,935 | 500,354 | SH | SOLE | 500,354 | 0 | 0 | ||
COHU INC | COM | 192576106 | 6,924 | 165,499 | SH | OTR | 1 | 0 | 165,499 | 0 | |
CYCLO THERAPEUTICS INC | COM NEW | 23254X201 | 141 | 17,235 | SH | SOLE | 17,235 | 0 | 0 | ||
DATA I O CORP | COM | 237690102 | 1,563 | 288,347 | SH | SOLE | 288,347 | 0 | 0 | ||
DATA I O CORP | COM | 237690102 | 488 | 89,963 | SH | OTR | 1 | 0 | 89,963 | 0 | |
DZS INC | COM | 268211109 | 8,612 | 553,805 | SH | SOLE | 553,805 | 0 | 0 | ||
DZS INC | COM | 268211109 | 2,645 | 170,118 | SH | OTR | 1 | 0 | 170,118 | 0 | |
EDAP TMS S A | SPONSORED ADR | 268311107 | 6,959 | 828,432 | SH | SOLE | 828,432 | 0 | 0 | ||
EDAP TMS S A | SPONSORED ADR | 268311107 | 2,140 | 254,818 | SH | OTR | 1 | 0 | 254,818 | 0 | |
EMCORE CORP | COM NEW | 290846203 | 14,067 | 2,576,444 | SH | SOLE | 2,576,444 | 0 | 0 | ||
EMCORE CORP | COM NEW | 290846203 | 4,334 | 793,709 | SH | OTR | 1 | 0 | 793,709 | 0 | |
EVOKE PHARMA INC | COM | 30049G104 | 2,007 | 1,096,597 | SH | SOLE | 1,096,597 | 0 | 0 | ||
EVOKE PHARMA INC | COM | 30049G104 | 616 | 336,516 | SH | OTR | 1 | 0 | 336,516 | 0 | |
EXFO INC | SUB VTG SHS | 302046107 | 1,699 | 398,760 | SH | SOLE | 398,760 | 0 | 0 | ||
EXFO INC | SUB VTG SHS | 302046107 | 527 | 123,732 | SH | OTR | 1 | 0 | 123,732 | 0 | |
EYENOVIA INC | COM | 30234E104 | 312 | 60,974 | SH | SOLE | 60,974 | 0 | 0 | ||
EYENOVIA INC | COM | 30234E104 | 96 | 18,833 | SH | OTR | 1 | 0 | 18,833 | 0 | |
FRANKLIN WIRELESS CORP | COM | 355184102 | 10,413 | 582,348 | SH | SOLE | 582,348 | 0 | 0 | ||
FRANKLIN WIRELESS CORP | COM | 355184102 | 3,534 | 197,652 | SH | OTR | 1 | 0 | 197,652 | 0 | |
GAIN THERAPEUTICS INC | COM | 36269B105 | 750 | 50,277 | SH | SOLE | 50,277 | 0 | 0 | ||
GAIN THERAPEUTICS INC | COM | 36269B105 | 232 | 15,532 | SH | OTR | 1 | 0 | 15,532 | 0 | |
GALERA THERAPEUTICS INC | COM | 36338D108 | 6,160 | 698,357 | SH | SOLE | 698,357 | 0 | 0 | ||
GALERA THERAPEUTICS INC | COM | 36338D108 | 1,890 | 214,242 | SH | OTR | 1 | 0 | 214,242 | 0 | |
HANCOCK JAFFE LABORATORIES I | COM NEW | 41015N304 | 2,184 | 327,856 | SH | SOLE | 327,856 | 0 | 0 | ||
HANCOCK JAFFE LABORATORIES I | COM NEW | 41015N304 | 671 | 100,714 | SH | OTR | 1 | 0 | 100,714 | 0 | |
HELIUS MED TECHNOLOGIES INC | COM CL A NEW | 42328V603 | 1,393 | 77,429 | SH | SOLE | 77,429 | 0 | 0 | ||
HELIUS MED TECHNOLOGIES INC | COM CL A NEW | 42328V603 | 428 | 23,785 | SH | OTR | 1 | 0 | 23,785 | 0 | |
HTG MOLECULAR DIAGNOSTICS IN | COM NEW | 40434H203 | 970 | 177,253 | SH | SOLE | 177,253 | 0 | 0 | ||
HTG MOLECULAR DIAGNOSTICS IN | COM NEW | 40434H203 | 299 | 54,747 | SH | OTR | 1 | 0 | 54,747 | 0 | |
INFINITY PHARMACEUTICALS INC | COM | 45665G303 | 4,080 | 1,263,115 | SH | SOLE | 1,263,115 | 0 | 0 | ||
INFINITY PHARMACEUTICALS INC | COM | 45665G303 | 1,250 | 387,141 | SH | OTR | 1 | 0 | 387,141 | 0 | |
INVESCO EXCHANGE TRADED FD T | WILDERHIL CLAN | 46137V134 | 7,527 | 76,500 | SH | Put | SOLE | 76,500 | 0 | 0 | |
INVESCO EXCHANGE TRADED FD T | WILDERHIL CLAN | 46137V134 | 2,312 | 23,500 | SH | Put | OTR | 1 | 0 | 23,500 | 0 |
ISHARES TR | PUT | 464288954 | 7,441 | 306,200 | SH | Put | SOLE | 306,200 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 101,345 | 458,700 | SH | Put | SOLE | 458,700 | 0 | 0 | |
ISHARES TR | RUS 2000 GRW ETF | 464287648 | 16,880 | 76,400 | SH | Put | SOLE | 76,400 | 0 | 0 | |
ISHARES TR | PUT | 464288954 | 2,522 | 103,800 | SH | Put | OTR | 1 | 0 | 103,800 | 0 |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 31,219 | 141,300 | SH | Put | OTR | 1 | 0 | 141,300 | 0 |
ISHARES TR | RUS 2000 GRW ETF | 464287648 | 7,097 | 23,600 | SH | Put | OTR | 1 | 0 | 23,600 | 0 |
LIGHTPATH TECHNOLOGIES INC | COM CL A | 532257805 | 4,292 | 1,384,446 | SH | SOLE | 1,384,446 | 0 | 0 | ||
LIGHTPATH TECHNOLOGIES INC | COM CL A | 532257805 | 1,457 | 469,878 | SH | OTR | 1 | 0 | 469,878 | 0 | |
MEDICENNA THERAPEUTICS CORP | COM | 58490H107 | 2,620 | 642,100 | SH | SOLE | 642,100 | 0 | 0 | ||
MEDICENNA THERAPEUTICS CORP | COM | 58490H107 | 807 | 197,900 | SH | OTR | 1 | 0 | 197,900 | 0 | |
MYOMO INC | COM NEW | 62857J201 | 3,395 | 265,261 | SH | SOLE | 265,261 | 0 | 0 | ||
MYOMO INC | COM NEW | 62857J201 | 1,173 | 91,664 | SH | OTR | 1 | 0 | 91,664 | 0 | |
NUVVE HOLDING CORP | COM | 67079Y100 | 5,691 | 597,280 | SH | SOLE | 597,280 | 0 | 0 | ||
NUVVE HOLDING CORP | COM | 67079Y100 | 1,931 | 202,720 | SH | OTR | 1 | 0 | 202,720 | 0 | |
O2MICRO INTERNATIONAL LIMITE | SPONS ADR | 67107W100 | 10,659 | 1,363,030 | SH | SOLE | 1,363,030 | 0 | 0 | ||
O2MICRO INTERNATIONAL LIMITE | SPONS ADR | 67107W100 | 3,638 | 465,169 | SH | OTR | 1 | 0 | 465,169 | 0 | |
PARATEK PHARMACEUTICALS INC | COM | 699374302 | 3,943 | 558,515 | SH | SOLE | 558,515 | 0 | 0 | ||
PARATEK PHARMACEUTICALS INC | COM | 699374302 | 1,349 | 191,093 | SH | OTR | 1 | 0 | 191,093 | 0 | |
PROCESSA PHARMACEUTICALS INC | COM NEW | 74275C205 | 3,066 | 296,129 | SH | SOLE | 296,129 | 0 | 0 | ||
PROCESSA PHARMACEUTICALS INC | COM NEW | 74275C205 | 942 | 90,968 | SH | OTR | 1 | 0 | 90,968 | 0 | |
PUMA BIOTECHNOLOGY INC | COM | 74587V107 | 7,172 | 737,832 | SH | SOLE | 737,832 | 0 | 0 | ||
PUMA BIOTECHNOLOGY INC | COM | 74587V107 | 2,204 | 226,758 | SH | OTR | 1 | 0 | 226,758 | 0 | |
RIMINI STR INC DEL | COM | 76674Q107 | 8,060 | 898,529 | SH | SOLE | 898,529 | 0 | 0 | ||
RIMINI STR INC DEL | COM | 76674Q107 | 2,490 | 277,555 | SH | OTR | 1 | 0 | 277,555 | 0 | |
SALARIUS PHARMACEUTICALS INC | COM NEW | 79400X107 | 2,035 | 1,375,200 | SH | SOLE | 1,375,200 | 0 | 0 | ||
SALARIUS PHARMACEUTICALS INC | COM NEW | 79400X107 | 629 | 424,800 | SH | OTR | 1 | 0 | 424,800 | 0 | |
SCPHARMACEUTICALS INC | COM | 810648105 | 4,263 | 641,082 | SH | SOLE | 641,082 | 0 | 0 | ||
SCPHARMACEUTICALS INC | COM | 810648105 | 1,423 | 214,060 | SH | OTR | 1 | 0 | 214,060 | 0 | |
STRONGBRIDGE BIOPHARMA PLC | SHS USD | G85347105 | 4,537 | 1,643,977 | SH | SOLE | 1,643,977 | 0 | 0 | ||
STRONGBRIDGE BIOPHARMA PLC | SHS USD | G85347105 | 1,519 | 550,196 | SH | OTR | 1 | 0 | 550,196 | 0 | |
TALEND S A | ADS | 874224207 | 4,188 | 65,800 | SH | OTR | 1 | 0 | 65,800 | 0 | |
THERATECHNOLOGIES INC | COM | 88338H100 | 10,529 | 2,724,320 | SH | SOLE | 2,724,320 | 0 | 0 | ||
THERATECHNOLOGIES INC | COM | 88338H100 | 3,291 | 851,413 | SH | OTR | 1 | 0 | 851,413 | 0 | |
VALLON PHARMACEUTICALS INC | COM | 92023M101 | 95 | 20,514 | SH | SOLE | 20,514 | 0 | 0 | ||
YIELD10 BIOSCIENCE INC | COM | 98585K862 | 3,645 | 290,700 | SH | SOLE | 290,700 | 0 | 0 | ||
YIELD10 BIOSCIENCE INC | COM | 98585K862 | 1,120 | 89,300 | SH | OTR | 1 | 0 | 89,300 | 0 |