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 |
ADTRAN INC | COM | 00738A106 | 15,265 | 870,778 | SH | SOLE | 870,778 | 0 | 0 | ||
ADTRAN INC | COM | 00738A106 | 5,088 | 290,241 | SH | OTR | 1 | 0 | 290,241 | 0 | |
AIRGAIN INC | COM | 00938A104 | 4,443 | 547,176 | SH | SOLE | 547,176 | 0 | 0 | ||
AIRGAIN INC | COM | 00938A104 | 1,464 | 180,308 | SH | OTR | 1 | 0 | 180,308 | 0 | |
ANI PHARMACEUTICALS INC | COM | 00182C103 | 5,449 | 183,669 | SH | SOLE | 183,669 | 0 | 0 | ||
ANI PHARMACEUTICALS INC | COM | 00182C103 | 1,805 | 60,831 | SH | OTR | 1 | 0 | 60,831 | 0 | |
ARDELYX INC | COM | 039697107 | 1,676 | 2,841,472 | SH | SOLE | 2,841,472 | 0 | 0 | ||
ARDELYX INC | COM | 039697107 | 550 | 931,949 | SH | OTR | 1 | 0 | 931,949 | 0 | |
AVEO PHARMACEUTICALS INC | COM NEW | 053588307 | 4,834 | 736,859 | SH | OTR | 1 | 0 | 736,859 | 0 | |
AVEO PHARMACEUTICALS INC | COM NEW | 053588307 | 14,502 | 2,210,735 | SH | SOLE | 2,210,735 | 0 | 0 | ||
AVIAT NETWORKS INC | COM NEW | 05366Y201 | 7,650 | 305,508 | SH | SOLE | 305,508 | 0 | 0 | ||
AVIAT NETWORKS INC | COM NEW | 05366Y201 | 2,564 | 102,410 | SH | OTR | 1 | 0 | 102,410 | 0 | |
BABCOCK & WILCOX ENTERPRISES | COM | 05614L209 | 739 | 122,596 | SH | SOLE | 122,596 | 0 | 0 | ||
BABCOCK & WILCOX ENTERPRISES | COM | 05614L209 | 245 | 40,603 | SH | OTR | 1 | 0 | 40,603 | 0 | |
BK TECHNOLOGIES CORPORATION | COM | 05587G104 | 915 | 345,434 | SH | OTR | 1 | 0 | 345,434 | 0 | |
BK TECHNOLOGIES CORPORATION | COM | 05587G104 | 2,725 | 1,028,316 | SH | SOLE | 1,028,316 | 0 | 0 | ||
BRIDGELINE DIGITAL INC | COM | 10807Q700 | 52 | 43,154 | SH | OTR | 1 | 0 | 43,154 | 0 | |
BRIDGELINE DIGITAL INC | COM | 10807Q700 | 162 | 134,849 | SH | SOLE | 134,849 | 0 | 0 | ||
CALAMP CORP | COM | 128126109 | 2,423 | 581,045 | SH | OTR | 1 | 0 | 581,045 | 0 | |
CALAMP CORP | COM | 128126109 | 7,322 | 1,755,897 | SH | SOLE | 1,755,897 | 0 | 0 | ||
CELLECTAR BIOSCIENCES INC | COM PAR | 15117F500 | 1,440 | 1,378,801 | SH | SOLE | 1,378,801 | 0 | 0 | ||
CELLECTAR BIOSCIENCES INC | COM PAR | 15117F500 | 185 | 458,245 | SH | OTR | 1 | 0 | 458,245 | 0 | |
COGNITION THERAPEUTICS INC | COM | 19243B102 | 1,896 | 682,620 | SH | SOLE | 682,620 | 0 | 0 | ||
COGNITION THERAPEUTICS INC | COM | 19243B102 | 486 | 228,170 | SH | OTR | 1 | 0 | 228,170 | 0 | |
CONTEXT THERAPEUTICS INC | COM | 21077P108 | 557 | 894,159 | SH | SOLE | 894,159 | 0 | 0 | ||
CONTEXT THERAPEUTICS INC | COM | 21077P108 | 631 | 297,612 | SH | OTR | 1 | 0 | 297,612 | 0 | |
CYBEROPTICS CORP | COM | 232517102 | 13,363 | 382,451 | SH | SOLE | 382,451 | 0 | 0 | ||
CYBEROPTICS CORP | COM | 232517102 | 4,454 | 127,466 | SH | OTR | 1 | 0 | 127,466 | 0 | |
CYCLO THERAPEUTICS INC | *W EXP 11/14/202 | 23254X110 | 37 | 74,236 | SH | Call | OTR | 1 | 0 | 74,236 | 0 |
CYCLO THERAPEUTICS INC | *W EXP 11/14/202 | 23254X110 | 1 | 220,195 | SH | Call | SOLE | 220,195 | 0 | 0 | |
DZS INC | COM | 268211109 | 20,704 | 1,272,529 | SH | SOLE | 1,272,529 | 0 | 0 | ||
DZS INC | COM | 268211109 | 6,766 | 415,837 | SH | OTR | 1 | 0 | 415,837 | 0 | |
EVERSPIN TECHNOLOGIES INC | COM | 30041T104 | 1,681 | 320,798 | SH | OTR | 1 | 0 | 320,798 | 0 | |
EVERSPIN TECHNOLOGIES INC | COM | 30041T104 | 5,048 | 963,451 | SH | SOLE | 963,451 | 0 | 0 | ||
EVOLUS INC | COM | 30052C107 | 498 | 42,940 | SH | OTR | 1 | 0 | 42,940 | 0 | |
EVOLUS INC | COM | 30052C107 | 1,504 | 129,652 | SH | SOLE | 129,652 | 0 | 0 | ||
FRANKLIN WIRELESS CORP | COM | 355184102 | 319 | 98,826 | SH | OTR | 1 | 0 | 98,826 | 0 | |
FRANKLIN WIRELESS CORP | COM | 355184102 | 924 | 291,174 | SH | SOLE | 291,174 | 0 | 0 | ||
ICAD INC | COM NEW | 44934S206 | 1,385 | 346,183 | SH | OTR | 1 | 0 | 346,183 | 0 | |
ICAD INC | COM NEW | 44934S206 | 4,057 | 1,014,327 | SH | SOLE | 1,014,327 | 0 | 0 | ||
IDEAL PWR INC | COM NEW | 451622203 | 647 | 52,888 | SH | OTR | 1 | 0 | 52,888 | 0 | |
IDEAL PWR INC | COM NEW | 451622203 | 1,964 | 160,480 | SH | SOLE | 160,480 | 0 | 0 | ||
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 104,343 | 616,100 | SH | Put | SOLE | 616,100 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 34,533 | 203,900 | SH | Put | OTR | 1 | 0 | 203,900 | 0 |
LIGHTPATH TECHNOLOGIES INC | COM CL A | 532257805 | 1,882 | 1,530,407 | SH | SOLE | 1,530,407 | 0 | 0 | ||
LIGHTPATH TECHNOLOGIES INC | COM CL A | 532257805 | 627 | 509,425 | SH | OTR | 1 | 0 | 509,425 | 0 | |
MATERION CORP | COM | 576690101 | 10,035 | 136,111 | SH | SOLE | 136,111 | 0 | 0 | ||
MATERION CORP | COM | 576690101 | 3,324 | 45,078 | SH | OTR | 1 | 0 | 45,078 | 0 | |
MEDICENNA THERAPEUTICS CORP | COM | 58490H107 | 674 | 571,489 | SH | OTR | 1 | 0 | 571,489 | 0 | |
MEDICENNA THERAPEUTICS CORP | COM | 58490H107 | 1,973 | 1,701,211 | SH | SOLE | 1,701,211 | 0 | 0 | ||
MYOMO INC | COM NEW | 62857J201 | 778 | 463,243 | SH | SOLE | 463,243 | 0 | 0 | ||
MYOMO INC | COM NEW | 62857J201 | 259 | 153,936 | SH | OTR | 1 | 0 | 153,936 | 0 | |
NEUBASE THERAPEUTICS INC | COM | 64132K102 | 269 | 256,553 | SH | OTR | 1 | 0 | 256,553 | 0 | |
NEUBASE THERAPEUTICS INC | COM | 64132K102 | 810 | 771,032 | SH | SOLE | 771,032 | 0 | 0 | ||
NLS PHARMACEUTICS LTD | *W EXP 09/25/202 | H57830111 | 23 | 194,060 | SH | Call | OTR | 1 | 0 | 194,060 | 0 |
NLS PHARMACEUTICS LTD | *W EXP 09/25/202 | H57830111 | 76 | 633,361 | SH | Call | SOLE | 633,361 | 0 | 0 | |
PARABELLUM ACQUISITION CORP | *W EXP 99/99/999 | 69901P117 | 9 | 139,072 | SH | Call | OTR | 1 | 0 | 139,072 | 0 |
PARABELLUM ACQUISITION CORP | *W EXP 99/99/999 | 69901P117 | 29 | 450,214 | SH | Call | SOLE | 450,214 | 0 | 0 | |
PARATEK PHARMACEUTICALS INC | COM | 699374302 | 1,631 | 845,298 | SH | OTR | 1 | 0 | 845,298 | 0 | |
PARATEK PHARMACEUTICALS INC | COM | 699374302 | 4,906 | 2,541,874 | SH | SOLE | 2,541,874 | 0 | 0 | ||
PROCESSA PHARMACEUTICALS INC | COM NEW | 74275C205 | 654 | 232,749 | SH | SOLE | 232,749 | 0 | 0 | ||
PROCESSA PHARMACEUTICALS INC | COM NEW | 74275C205 | 199 | 70,954 | SH | OTR | 1 | 0 | 70,954 | 0 | |
REZOLUTE INC | COM NEW | 76200L309 | 68 | 21,126 | SH | OTR | 1 | 0 | 21,126 | 0 | |
REZOLUTE INC | COM NEW | 76200L309 | 206 | 63,657 | SH | SOLE | 63,657 | 0 | 0 | ||
RF INDS LTD | COM PAR $0.01 | 749552105 | 2,377 | 383,353 | SH | SOLE | 383,353 | 0 | 0 | ||
RF INDS LTD | COM PAR $0.01 | 749552105 | 798 | 128,684 | SH | OTR | 1 | 0 | 128,684 | 0 | |
RVL PHARMACEUTICALS PLC | SHS | G6S41R101 | 29 | 21,146 | SH | OTR | 1 | 0 | 21,146 | 0 | |
RVL PHARMACEUTICALS PLC | SHS | G6S41R101 | 87 | 63,847 | SH | SOLE | 63,847 | 0 | 0 | ||
SAVERONE 2014 LTD | SPONSORED ADS | 80516T105 | 708 | 307,237 | SH | SOLE | 307,237 | 0 | 0 | ||
SAVERONE 2014 LTD | SPONSORED ADS | 80516T105 | 50 | 141,864 | SH | Call | OTR | 1 | 0 | 141,864 | 0 |
SAVERONE 2014 LTD | SPONSORED ADS | 80516T105 | 150 | 428,330 | SH | Call | SOLE | 428,330 | 0 | 0 | |
SAVERONE 2014 LTD | SPONSORED ADS | 80516T105 | 319 | 141,863 | SH | OTR | 1 | 0 | 141,863 | 0 | |
SCPHARMACEUTICALS INC | COM | 810648105 | 4,872 | 1,010,739 | SH | SOLE | 1,010,739 | 0 | 0 | ||
SCPHARMACEUTICALS INC | COM | 810648105 | 1,619 | 335,985 | SH | OTR | 1 | 0 | 335,985 | 0 | |
SCYNEXIS INC | COM NEW | 811292200 | 3,120 | 1,677,619 | SH | SOLE | 1,677,619 | 0 | 0 | ||
SCYNEXIS INC | COM NEW | 811292200 | 1,043 | 560,517 | SH | OTR | 1 | 0 | 560,517 | 0 | |
SILICON MOTION TECHNOLOGY CO | SPONSORED ADR | 82706C108 | 7,162 | 85,565 | SH | SOLE | 85,565 | 0 | 0 | ||
SILICON MOTION TECHNOLOGY CO | SPONSORED ADR | 82706C108 | 2,413 | 28,835 | SH | OTR | 1 | 0 | 28,835 | 0 | |
SOLENO THERAPEUTICS INC | COM NEW | 834203200 | 293 | 1,582,704 | SH | OTR | 1 | 0 | 1,582,704 | 0 | |
SOLENO THERAPEUTICS INC | COM NEW | 834203200 | 884 | 4,778,645 | SH | SOLE | 4,778,645 | 0 | 0 | ||
SONO GROUP N V | COM | N81409109 | 2,572 | 874,813 | SH | OTR | 1 | 0 | 874,813 | 0 | |
SONO GROUP N V | COM | N81409109 | 7,765 | 2,641,316 | SH | SOLE | 2,641,316 | 0 | 0 | ||
TELA BIO INC | COM | 872381108 | 1,614 | 230,296 | SH | SOLE | 230,296 | 0 | 0 | ||
TELA BIO INC | COM | 872381108 | 542 | 76,168 | SH | OTR | 1 | 0 | 76,168 | 0 | |
THERATECHNOLOGIES INC | COM | 88338H100 | 4,922 | 2,169,644 | SH | SOLE | 2,169,644 | 0 | 0 | ||
THERATECHNOLOGIES INC | COM | 88338H100 | 2,085 | 743,423 | SH | OTR | 1 | 0 | 743,423 | 0 | |
TRANSCODE THERAPEUTICS INC | COM | 89357L105 | 1,216 | 964,843 | SH | SOLE | 964,843 | 0 | 0 | ||
TRANSCODE THERAPEUTICS INC | COM | 89357L105 | 408 | 324,157 | SH | OTR | 1 | 0 | 324,157 | 0 | |
TRANSPHORM INC | COM | 89386L100 | 10,645 | 2,861,640 | SH | SOLE | 2,861,640 | 0 | 0 | ||
TRANSPHORM INC | COM | 89386L100 | 3,418 | 917,297 | SH | OTR | 1 | 0 | 917,297 | 0 | |
VACCINEX INC | COM | 918640103 | 1,700 | 1,574,006 | SH | SOLE | 1,574,006 | 0 | 0 | ||
VACCINEX INC | COM | 918640103 | 548 | 507,795 | SH | OTR | 1 | 0 | 507,795 | 0 | |
X4 PHARMACEUTICALS INC | COM | 98420X103 | 721 | 747,575 | SH | SOLE | 747,575 | 0 | 0 | ||
X4 PHARMACEUTICALS INC | COM | 98420X103 | 241 | 250,144 | SH | OTR | 1 | 0 | 250,144 | 0 |