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 |
ABEONA THERAPEUTICS INC | COM NEW | 00289Y206 | 106 | 34,773 | SH | OTR | 1 | 0 | 34,773 | 0 | |
ABEONA THERAPEUTICS INC | COM NEW | 00289Y206 | 322 | 105,871 | SH | SOLE | 105,871 | 0 | 0 | ||
ADTRAN HOLDINGS INC | COM | 00486H105 | 5,683 | 290,241 | SH | OTR | 1 | 0 | 290,241 | 0 | |
ADTRAN HOLDINGS INC | COM | 00486H105 | 17,050 | 870,778 | SH | SOLE | 870,778 | 0 | 0 | ||
ADVERUM BIOTECHNOLOGIES INC | COM | 00773U108 | 284 | 298,560 | SH | OTR | 1 | 0 | 298,560 | 0 | |
ADVERUM BIOTECHNOLOGIES INC | COM | 00773U108 | 856 | 901,440 | SH | SOLE | 901,440 | 0 | 0 | ||
AIRGAIN INC | COM | 00938A104 | 1,300 | 180,308 | SH | OTR | 1 | 0 | 180,308 | 0 | |
AIRGAIN INC | COM | 00938A104 | 3,945 | 547,176 | SH | SOLE | 547,176 | 0 | 0 | ||
ANI PHARMACEUTICALS INC | COM | 00182C103 | 2,515 | 78,251 | SH | OTR | 1 | 0 | 78,251 | 0 | |
ANI PHARMACEUTICALS INC | COM | 00182C103 | 7,590 | 236,155 | SH | SOLE | 236,155 | 0 | 0 | ||
APOLLO ENDOSURGERY INC | COM | 03767D108 | 697 | 126,535 | SH | OTR | 1 | 0 | 126,535 | 0 | |
APOLLO ENDOSURGERY INC | COM | 03767D108 | 2,105 | 382,001 | SH | SOLE | 382,001 | 0 | 0 | ||
ARDELYX INC | COM | 039697107 | 433 | 364,102 | SH | OTR | 1 | 0 | 364,102 | 0 | |
ARDELYX INC | COM | 039697107 | 1,337 | 1,123,374 | SH | SOLE | 1,123,374 | 0 | 0 | ||
ATHENEX INC | COM | 04685N103 | 67 | 248,832 | SH | OTR | 1 | 0 | 248,832 | 0 | |
ATHENEX INC | COM | 04685N103 | 202 | 751,302 | SH | SOLE | 751,302 | 0 | 0 | ||
AVEO PHARMACEUTICALS INC | COM NEW | 053588307 | 5,638 | 685,026 | SH | OTR | 1 | 0 | 685,026 | 0 | |
AVEO PHARMACEUTICALS INC | COM NEW | 053588307 | 16,906 | 2,054,229 | SH | SOLE | 2,054,229 | 0 | 0 | ||
AVIAT NETWORKS INC | COM NEW | 05366Y201 | 3,676 | 134,256 | SH | OTR | 1 | 0 | 134,256 | 0 | |
AVIAT NETWORKS INC | COM NEW | 05366Y201 | 10,998 | 401,662 | SH | SOLE | 401,662 | 0 | 0 | ||
BK TECHNOLOGIES CORPORATION | COM | 05587G104 | 832 | 345,434 | SH | OTR | 1 | 0 | 345,434 | 0 | |
BK TECHNOLOGIES CORPORATION | COM | 05587G104 | 2,478 | 1,028,316 | SH | SOLE | 1,028,316 | 0 | 0 | ||
CALAMP CORP | COM | 128126109 | 2,231 | 581,045 | SH | OTR | 1 | 0 | 581,045 | 0 | |
CALAMP CORP | COM | 128126109 | 6,743 | 1,755,897 | SH | SOLE | 1,755,897 | 0 | 0 | ||
CAMBIUM NETWORKS CORP | SHS | G17766109 | 325 | 19,182 | SH | SOLE | 19,182 | 0 | 0 | ||
CAPSTONE GREEN ENERGY CORP | COM | 14067D508 | 396 | 223,920 | SH | OTR | 1 | 0 | 223,920 | 0 | |
CAPSTONE GREEN ENERGY CORP | COM | 14067D508 | 1,197 | 676,080 | SH | SOLE | 676,080 | 0 | 0 | ||
CELLECTAR BIOSCIENCES INC | COM NEW | 15117F807 | 140 | 41,636 | SH | OTR | 1 | 0 | 41,636 | 0 | |
CELLECTAR BIOSCIENCES INC | COM NEW | 15117F807 | 446 | 132,786 | SH | SOLE | 132,786 | 0 | 0 | ||
COGNITION THERAPEUTICS INC | COM | 19243B102 | 380 | 200,188 | SH | OTR | 1 | 0 | 200,188 | 0 | |
COGNITION THERAPEUTICS INC | COM | 19243B102 | 1,136 | 598,147 | SH | SOLE | 598,147 | 0 | 0 | ||
CONTEXT THERAPEUTICS INC | COM | 21077P108 | 358 | 322,628 | SH | OTR | 1 | 0 | 322,628 | 0 | |
CONTEXT THERAPEUTICS INC | COM | 21077P108 | 1,076 | 969,143 | SH | SOLE | 969,143 | 0 | 0 | ||
CYCLO THERAPEUTICS INC | *W EXP 11/14/202 | 23254X110 | 26 | 73,736 | SH | Call | OTR | 1 | 0 | 73,736 | 0 |
CYCLO THERAPEUTICS INC | *W EXP 11/14/202 | 23254X110 | 77 | 219,795 | SH | SOLE | 219,795 | 0 | 0 | ||
DZS INC | COM | 268211109 | 4,669 | 413,228 | SH | OTR | 1 | 0 | 413,228 | 0 | |
DZS INC | COM | 268211109 | 14,291 | 1,264,651 | SH | SOLE | 1,264,651 | 0 | 0 | ||
EVERSPIN TECHNOLOGIES INC | COM | 30041T104 | 1,238 | 213,862 | SH | OTR | 1 | 0 | 213,862 | 0 | |
EVERSPIN TECHNOLOGIES INC | COM | 30041T104 | 3,709 | 640,568 | SH | SOLE | 640,568 | 0 | 0 | ||
EVOLUS INC | COM | 30052C107 | 403 | 50,030 | SH | OTR | 1 | 0 | 50,030 | 0 | |
EVOLUS INC | COM | 30052C107 | 1,207 | 149,970 | SH | SOLE | 149,970 | 0 | 0 | ||
FRANKLIN WIRELESS CORP | COM | 355184102 | 289 | 98,826 | SH | OTR | 1 | 0 | 98,826 | 0 | |
FRANKLIN WIRELESS CORP | COM | 355184102 | 850 | 291,174 | SH | SOLE | 291,174 | 0 | 0 | ||
ICAD INC | COM NEW | 44934S206 | 933 | 444,486 | SH | OTR | 1 | 0 | 444,486 | 0 | |
ICAD INC | COM NEW | 44934S206 | 2,753 | 1,311,148 | SH | SOLE | 1,311,148 | 0 | 0 | ||
IDEAL PWR INC | COM NEW | 451622203 | 547 | 52,888 | SH | OTR | 1 | 0 | 52,888 | 0 | |
IDEAL PWR INC | COM NEW | 451622203 | 1,661 | 160,480 | SH | SOLE | 160,480 | 0 | 0 | ||
INDIE SEMICONDUCTOR INC | CLASS A COM | 45569U101 | 2,651 | 362,199 | SH | OTR | 1 | 0 | 362,199 | 0 | |
INDIE SEMICONDUCTOR INC | CLASS A COM | 45569U101 | 7,983 | 1,090,567 | SH | SOLE | 1,090,567 | 0 | 0 | ||
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 16,904 | 102,500 | SH | Put | OTR | 1 | 0 | 102,500 | 0 |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 50,713 | 307,500 | SH | Put | SOLE | 307,500 | 0 | 0 | |
LIGHTPATH TECHNOLOGIES INC | COM CL A | 532257805 | 545 | 509,425 | SH | OTR | 1 | 0 | 509,425 | 0 | |
LIGHTPATH TECHNOLOGIES INC | COM CL A | 532257805 | 1,638 | 1,530,407 | SH | SOLE | 1,530,407 | 0 | 0 | ||
MATERION CORP | COM | 576690101 | 4,806 | 60,079 | SH | OTR | 1 | 0 | 60,079 | 0 | |
MATERION CORP | COM | 576690101 | 14,489 | 181,110 | SH | SOLE | 181,110 | 0 | 0 | ||
MEDICENNA THERAPEUTICS CORP | COM | 58490H107 | 799 | 963,801 | SH | OTR | 1 | 0 | 963,801 | 0 | |
MEDICENNA THERAPEUTICS CORP | COM | 58490H107 | 2,394 | 2,886,353 | SH | SOLE | 2,886,353 | 0 | 0 | ||
MYOMO INC | COM NEW | 62857J201 | 249 | 153,936 | SH | OTR | 1 | 0 | 153,936 | 0 | |
MYOMO INC | COM NEW | 62857J201 | 750 | 463,243 | SH | SOLE | 463,243 | 0 | 0 | ||
NEUBASE THERAPEUTICS INC | COM | 64132K102 | 84 | 212,035 | SH | OTR | 1 | 0 | 212,035 | 0 | |
NEUBASE THERAPEUTICS INC | COM | 64132K102 | 261 | 659,988 | SH | SOLE | 659,988 | 0 | 0 | ||
NLS PHARMACEUTICS LTD | *W EXP 09/25/202 | H57830111 | 49 | 194,060 | SH | Call | OTR | 1 | 0 | 194,060 | 0 |
NLS PHARMACEUTICS LTD | *W EXP 09/25/202 | H57830111 | 158 | 633,361 | SH | SOLE | 633,361 | 0 | 0 | ||
PARABELLUM ACQUISITION CORP | *W EXP 99/99/999 | 69901P117 | 3 | 139,072 | SH | Call | OTR | 1 | 0 | 139,072 | 0 |
PARABELLUM ACQUISITION CORP | *W EXP 99/99/999 | 69901P117 | 8 | 450,214 | SH | SOLE | 450,214 | 0 | 0 | ||
PARATEK PHARMACEUTICALS INC | COM | 699374302 | 2,492 | 969,698 | SH | OTR | 1 | 0 | 969,698 | 0 | |
PARATEK PHARMACEUTICALS INC | COM | 699374302 | 7,498 | 2,917,474 | SH | SOLE | 2,917,474 | 0 | 0 | ||
PROCESSA PHARMACEUTICALS INC | COM NEW | 74275C205 | 160 | 70,954 | SH | OTR | 1 | 0 | 70,954 | 0 | |
PROCESSA PHARMACEUTICALS INC | COM NEW | 74275C205 | 526 | 232,749 | SH | SOLE | 232,749 | 0 | 0 | ||
REZOLUTE INC | COM NEW | 76200L309 | 33 | 11,866 | SH | SOLE | 11,866 | 0 | 0 | ||
RF INDS LTD | COM PAR $0.01 | 749552105 | 740 | 128,684 | SH | OTR | 1 | 0 | 128,684 | 0 | |
RF INDS LTD | COM PAR $0.01 | 749552105 | 2,204 | 383,353 | SH | SOLE | 383,353 | 0 | 0 | ||
RVL PHARMACEUTICALS PLC | SHS | G6S41R101 | 390 | 185,647 | SH | OTR | 1 | 0 | 185,647 | 0 | |
RVL PHARMACEUTICALS PLC | SHS | G6S41R101 | 1,163 | 553,884 | SH | SOLE | 553,884 | 0 | 0 | ||
SAVERONE 2014 LTD | *W EXP 06/02/202 | 80516T113 | 42 | 141,364 | SH | Call | OTR | 1 | 0 | 141,364 | 0 |
SAVERONE 2014 LTD | *W EXP 06/02/202 | 80516T113 | 128 | 428,330 | SH | SOLE | 428,330 | 0 | 0 | ||
SCPHARMACEUTICALS INC | COM | 810648105 | 1,229 | 188,522 | SH | OTR | 1 | 0 | 188,522 | 0 | |
SCPHARMACEUTICALS INC | COM | 810648105 | 3,707 | 568,541 | SH | SOLE | 568,541 | 0 | 0 | ||
SCYNEXIS INC | COM NEW | 811292200 | 1,177 | 490,609 | SH | OTR | 1 | 0 | 490,609 | 0 | |
SCYNEXIS INC | COM NEW | 811292200 | 3,519 | 1,466,445 | SH | SOLE | 1,466,445 | 0 | 0 | ||
SILICON MOTION TECHNOLOGY CO | SPONSORED ADR | 82706C108 | 1,880 | 28,835 | SH | OTR | 1 | 0 | 28,835 | 0 | |
SILICON MOTION TECHNOLOGY CO | SPONSORED ADR | 82706C108 | 5,578 | 85,565 | SH | SOLE | 85,565 | 0 | 0 | ||
SOLENO THERAPEUTICS INC | COM | 834203309 | 176 | 105,513 | SH | OTR | 1 | 0 | 105,513 | 0 | |
SOLENO THERAPEUTICS INC | COM | 834203309 | 532 | 318,576 | SH | SOLE | 318,576 | 0 | 0 | ||
SONO GROUP N V | COM | N81409109 | 2,222 | 874,813 | SH | OTR | 1 | 0 | 874,813 | 0 | |
SONO GROUP N V | COM | N81409109 | 6,709 | 2,641,316 | SH | SOLE | 2,641,316 | 0 | 0 | ||
TELA BIO INC | COM | 872381108 | 3,239 | 380,196 | SH | OTR | 1 | 0 | 380,196 | 0 | |
TELA BIO INC | COM | 872381108 | 9,794 | 1,149,473 | SH | SOLE | 1,149,473 | 0 | 0 | ||
THERATECHNOLOGIES INC | COM | 88338H100 | 1,763 | 743,423 | SH | OTR | 1 | 0 | 743,423 | 0 | |
THERATECHNOLOGIES INC | COM | 88338H100 | 5,146 | 2,169,644 | SH | SOLE | 2,169,644 | 0 | 0 | ||
TRANSCODE THERAPEUTICS INC | COM | 89357L105 | 357 | 324,157 | SH | OTR | 1 | 0 | 324,157 | 0 | |
TRANSCODE THERAPEUTICS INC | COM | 89357L105 | 1,061 | 964,843 | SH | SOLE | 964,843 | 0 | 0 | ||
TRANSPHORM INC | COM | 89386L100 | 4,584 | 911,237 | SH | OTR | 1 | 0 | 911,237 | 0 | |
TRANSPHORM INC | COM | 89386L100 | 14,394 | 2,861,638 | SH | SOLE | 2,861,638 | 0 | 0 | ||
VACCINEX INC | COM | 918640103 | 251 | 507,795 | SH | OTR | 1 | 0 | 507,795 | 0 | |
VACCINEX INC | COM | 918640103 | 779 | 1,574,006 | SH | SOLE | 1,574,006 | 0 | 0 | ||
X4 PHARMACEUTICALS INC | COM | 98420X103 | 428 | 250,144 | SH | OTR | 1 | 0 | 250,144 | 0 | |
X4 PHARMACEUTICALS INC | COM | 98420X103 | 1,278 | 747,575 | SH | SOLE | 747,575 | 0 | 0 |