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 | 3,119 | 590,730 | SH | OTR | 1 | 0 | 590,730 | 0 | |
ADAMAS PHARMACEUTICALS INC | COM | 00548A106 | 9,742 | 1,845,013 | SH | SOLE | 1,845,013 | 0 | 0 | ||
ALIMERA SCIENCES INC | COM NEW | 016259202 | 1,159 | 127,333 | SH | OTR | 1 | 0 | 127,333 | 0 | |
ALIMERA SCIENCES INC | COM NEW | 016259202 | 3,401 | 373,692 | SH | SOLE | 373,692 | 0 | 0 | ||
ALLENA PHARMACEUTICALS | COM | 018119107 | 1,274 | 980,200 | SH | OTR | 1 | 0 | 980,200 | 0 | |
ALLENA PHARMACEUTICALS | COM | 018119107 | 3,926 | 3,019,800 | SH | SOLE | 3,019,800 | 0 | 0 | ||
ANNOVIS BIO INC | COM | 03615A108 | 2,896 | 33,834 | SH | OTR | 1 | 0 | 33,834 | 0 | |
ANNOVIS BIO INC | COM | 03615A108 | 7,928 | 92,635 | SH | SOLE | 92,635 | 0 | 0 | ||
ARIDIS PHARMACEUTICALS INC | COM | 040334104 | 845 | 115,085 | SH | OTR | 1 | 0 | 115,085 | 0 | |
ARIDIS PHARMACEUTICALS INC | COM | 040334104 | 2,486 | 344,176 | SH | SOLE | 344,176 | 0 | 0 | ||
ASPEN AEROGELS INC | COM | 04523Y105 | 4,389 | 146,687 | SH | OTR | 1 | 0 | 146,687 | 0 | |
ASPEN AEROGELS INC | COM | 04523Y105 | 15,233 | 509,132 | SH | SOLE | 509,132 | 0 | 0 | ||
AVAYA HLDGS CORP | COM | 05351X101 | 2,482 | 92,279 | SH | OTR | 1 | 0 | 92,279 | 0 | |
AVAYA HLDGS CORP | COM | 05351X101 | 1,896 | 70,500 | SH | Call | OTR | 1 | 0 | 70,500 | 0 |
AVAYA HLDGS CORP | COM | 05351X101 | 7,202 | 267,721 | SH | SOLE | 267,721 | 0 | 0 | ||
AVAYA HLDGS CORP | COM | 05351X101 | 6,174 | 229,500 | SH | Call | SOLE | 229,500 | 0 | 0 | |
AVIAT NETWORKS INC | COM NEW | 05366Y201 | 4,554 | 138,974 | SH | OTR | 1 | 0 | 138,974 | 0 | |
AVIAT NETWORKS INC | COM NEW | 05366Y201 | 13,623 | 415,708 | SH | SOLE | 415,708 | 0 | 0 | ||
BK TECHNOLOGIES CORPORATION | COM | 05587G104 | 982 | 311,684 | SH | OTR | 1 | 0 | 311,684 | 0 | |
BK TECHNOLOGIES CORPORATION | COM | 05587G104 | 3,239 | 1,028,316 | SH | SOLE | 1,028,316 | 0 | 0 | ||
BRAINSWAY LTD | SPONSORED ADS | 10501L106 | 1,822 | 178,600 | SH | OTR | 1 | 0 | 178,600 | 0 | |
BRAINSWAY LTD | SPONSORED ADS | 10501L106 | 5,930 | 581,400 | SH | SOLE | 581,400 | 0 | 0 | ||
CYBEROPTICS CORP | COM | 232517102 | 4,266 | 104,140 | SH | OTR | 1 | 0 | 104,140 | 0 | |
CYBEROPTICS CORP | COM | 232517102 | 13,986 | 341,451 | SH | SOLE | 341,451 | 0 | 0 | ||
CYCLO THERAPEUTICS INC | *W EXP 11/14/202 | 23254X110 | 458 | 88,690 | SH | Call | OTR | 1 | 0 | 88,690 | 0 |
CYCLO THERAPEUTICS INC | *W EXP 11/14/202 | 23254X110 | 1,350 | 261,310 | SH | Call | SOLE | 261,310 | 0 | 0 | |
DATA I O CORP | COM | 237690102 | 676 | 99,266 | SH | OTR | 1 | 0 | 99,266 | 0 | |
DATA I O CORP | COM | 237690102 | 2,173 | 319,044 | SH | SOLE | 319,044 | 0 | 0 | ||
DZS INC | COM | 268211109 | 5,245 | 252,752 | SH | OTR | 1 | 0 | 252,752 | 0 | |
DZS INC | COM | 268211109 | 17,170 | 827,453 | SH | SOLE | 827,453 | 0 | 0 | ||
EDAP TMS S A | SPONSORED ADR | 268311107 | 2,009 | 283,368 | SH | OTR | 1 | 0 | 283,368 | 0 | |
EDAP TMS S A | SPONSORED ADR | 268311107 | 6,557 | 924,882 | SH | SOLE | 924,882 | 0 | 0 | ||
EMCORE CORP | COM NEW | 290846203 | 7,318 | 793,709 | SH | OTR | 1 | 0 | 793,709 | 0 | |
EMCORE CORP | COM NEW | 290846203 | 23,755 | 2,576,444 | SH | SOLE | 2,576,444 | 0 | 0 | ||
EVOKE PHARMA INC | COM | 30049G104 | 545 | 397,742 | SH | OTR | 1 | 0 | 397,742 | 0 | |
EVOKE PHARMA INC | COM | 30049G104 | 1,786 | 1,303,443 | SH | SOLE | 1,303,443 | 0 | 0 | ||
FRANKLIN WIRELESS CORP | COM | 355184102 | 1,813 | 197,652 | SH | OTR | 1 | 0 | 197,652 | 0 | |
FRANKLIN WIRELESS CORP | COM | 355184102 | 5,591 | 582,348 | SH | SOLE | 582,348 | 0 | 0 | ||
GALERA THERAPEUTICS INC | COM | 36338D108 | 4,612 | 469,174 | SH | OTR | 1 | 0 | 469,174 | 0 | |
GALERA THERAPEUTICS INC | COM | 36338D108 | 15,273 | 1,553,715 | SH | SOLE | 1,553,715 | 0 | 0 | ||
HANCOCK JAFFE LABORATORIES I | COM NEW | 41015N304 | 569 | 82,886 | SH | OTR | 1 | 0 | 82,886 | 0 | |
HANCOCK JAFFE LABORATORIES I | COM NEW | 41015N304 | 1,814 | 263,999 | SH | SOLE | 263,999 | 0 | 0 | ||
HELIUS MED TECHNOLOGIES INC | COM CL A NEW | 42328V603 | 404 | 23,785 | SH | OTR | 1 | 0 | 23,785 | 0 | |
HELIUS MED TECHNOLOGIES INC | COM CL A NEW | 42328V603 | 1,316 | 77,429 | SH | SOLE | 77,429 | 0 | 0 | ||
HTG MOLECULAR DIAGNOSTICS IN | COM NEW | 40434H203 | 832 | 143,135 | SH | OTR | 1 | 0 | 143,135 | 0 | |
HTG MOLECULAR DIAGNOSTICS IN | COM NEW | 40434H203 | 2,724 | 468,865 | SH | SOLE | 468,865 | 0 | 0 | ||
IDEAL PWR INC | COM NEW | 451622203 | 427 | 33,572 | SH | OTR | 1 | 0 | 33,572 | 0 | |
IDEAL PWR INC | COM NEW | 451622203 | 1,408 | 110,775 | SH | SOLE | 110,775 | 0 | 0 | ||
ISHARES TR | GL CLEAN ENE ETF | 464288224 | 950 | 40,500 | SH | Put | OTR | 1 | 0 | 40,500 | 0 |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 40,209 | 175,300 | SH | Put | OTR | 1 | 0 | 175,300 | 0 |
ISHARES TR | GL CLEAN ENE ETF | 464288224 | 2,803 | 119,500 | SH | Put | SOLE | 119,500 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 131,819 | 574,700 | SH | Put | SOLE | 574,700 | 0 | 0 | |
MEDICENNA THERAPEUTICS CORP | COM | 58490H107 | 660 | 215,030 | SH | OTR | 1 | 0 | 215,030 | 0 | |
MEDICENNA THERAPEUTICS CORP | COM | 58490H107 | 2,108 | 699,970 | SH | SOLE | 699,970 | 0 | 0 | ||
NLS PHARMACEUTICS LTD | *W EXP 09/25/202 | H57830111 | 175 | 194,560 | SH | Call | OTR | 1 | 0 | 194,560 | 0 |
NLS PHARMACEUTICS LTD | *W EXP 09/25/202 | H57830111 | 697 | 633,361 | SH | Call | SOLE | 633,361 | 0 | 0 | |
O2MICRO INTERNATIONAL LIMITE | SPONS ADR | 67107W100 | 3,354 | 465,169 | SH | OTR | 1 | 0 | 465,169 | 0 | |
O2MICRO INTERNATIONAL LIMITE | SPONS ADR | 67107W100 | 9,827 | 1,363,030 | SH | SOLE | 1,363,030 | 0 | 0 | ||
ONDAS HLDGS INC | COM NEW | 68236H204 | 1,763 | 222,053 | SH | OTR | 1 | 0 | 222,053 | 0 | |
ONDAS HLDGS INC | COM NEW | 68236H204 | 5,803 | 730,814 | SH | SOLE | 730,814 | 0 | 0 | ||
PARATEK PHARMACEUTICALS INC | COM | 699374302 | 1,578 | 231,372 | SH | OTR | 1 | 0 | 231,372 | 0 | |
PARATEK PHARMACEUTICALS INC | COM | 699374302 | 4,715 | 691,407 | SH | SOLE | 691,407 | 0 | 0 | ||
PDF SOLUTIONS INC | COM | 693282105 | 3,777 | 207,743 | SH | OTR | 1 | 0 | 207,743 | 0 | |
PDF SOLUTIONS INC | COM | 693282105 | 12,585 | 692,257 | SH | SOLE | 692,257 | 0 | 0 | ||
PDS BIOTECHNOLOGY CORP | COM | 70465T107 | 4,376 | 348,703 | SH | OTR | 1 | 0 | 348,703 | 0 | |
PDS BIOTECHNOLOGY CORP | COM | 70465T107 | 14,438 | 1,150,446 | SH | SOLE | 1,150,446 | 0 | 0 | ||
PHOTRONICS INC | COM | 719405102 | 4,117 | 311,669 | SH | OTR | 1 | 0 | 311,669 | 0 | |
PHOTRONICS INC | COM | 719405102 | 13,726 | 1,039,065 | SH | SOLE | 1,039,065 | 0 | 0 | ||
PROCESSA PHARMACEUTICALS INC | COM NEW | 74275C205 | 745 | 90,968 | SH | OTR | 1 | 0 | 90,968 | 0 | |
PROCESSA PHARMACEUTICALS INC | COM NEW | 74275C205 | 2,425 | 296,129 | SH | SOLE | 296,129 | 0 | 0 | ||
PUMA BIOTECHNOLOGY INC | COM | 74587V107 | 2,402 | 261,610 | SH | OTR | 1 | 0 | 261,610 | 0 | |
PUMA BIOTECHNOLOGY INC | COM | 74587V107 | 7,829 | 852,817 | SH | SOLE | 852,817 | 0 | 0 | ||
RF INDS LTD | COM PAR $0.01 | 749552105 | 871 | 116,684 | SH | OTR | 1 | 0 | 116,684 | 0 | |
RF INDS LTD | COM PAR $0.01 | 749552105 | 2,823 | 378,353 | SH | SOLE | 378,353 | 0 | 0 | ||
SALARIUS PHARMACEUTICALS INC | COM NEW | 79400X107 | 451 | 424,800 | SH | OTR | 1 | 0 | 424,800 | 0 | |
SALARIUS PHARMACEUTICALS INC | COM NEW | 79400X107 | 1,458 | 1,375,200 | SH | SOLE | 1,375,200 | 0 | 0 | ||
SCPHARMACEUTICALS INC | COM | 810648105 | 1,002 | 163,994 | SH | OTR | 1 | 0 | 163,994 | 0 | |
SCPHARMACEUTICALS INC | COM | 810648105 | 2,922 | 478,160 | SH | SOLE | 478,160 | 0 | 0 | ||
SCYNEXIS INC | COM NEW | 811292200 | 2,526 | 343,126 | SH | OTR | 1 | 0 | 343,126 | 0 | |
SCYNEXIS INC | COM NEW | 811292200 | 8,344 | 1,133,735 | SH | SOLE | 1,133,735 | 0 | 0 | ||
SYNAPTOGENIX INC | COM NEW | 87167T201 | 643 | 73,909 | SH | OTR | 1 | 0 | 73,909 | 0 | |
SYNAPTOGENIX INC | COM NEW | 87167T201 | 2,182 | 243,036 | SH | SOLE | 243,036 | 0 | 0 | ||
THERATECHNOLOGIES INC | COM | 88338H100 | 3,835 | 851,413 | SH | OTR | 1 | 0 | 851,413 | 0 | |
THERATECHNOLOGIES INC | COM | 88338H100 | 10,473 | 2,724,320 | SH | SOLE | 2,724,320 | 0 | 0 | ||
WIRELESS TELECOM GROUP INC | COM | 976524108 | 1,023 | 251,286 | SH | OTR | 1 | 0 | 251,286 | 0 | |
WIRELESS TELECOM GROUP INC | COM | 976524108 | 3,374 | 829,062 | SH | SOLE | 829,062 | 0 | 0 | ||
X4 PHARMACEUTICALS INC | COM | 98420X103 | 2,176 | 334,684 | SH | OTR | 1 | 0 | 334,684 | 0 | |
X4 PHARMACEUTICALS INC | COM | 98420X103 | 7,177 | 1,104,215 | SH | SOLE | 1,104,215 | 0 | 0 | ||
YIELD10 BIOSCIENCE INC | COM | 98585K862 | 680 | 79,672 | SH | OTR | 1 | 0 | 79,672 | 0 | |
YIELD10 BIOSCIENCE INC | COM | 98585K862 | 2,238 | 262,328 | SH | SOLE | 262,328 | 0 | 0 |