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 | 1,184,189 | 281,280 | SH | OTR | 1 | 0 | 281,280 | 0 | |
ABEONA THERAPEUTICS INC | COM NEW | 00289Y206 | 3,595,222 | 853,972 | SH | SOLE | 853,972 | 0 | 0 | ||
ADVERUM BIOTECHNOLOGIES INC | COM | 00773U108 | 497,502 | 331,668 | SH | OTR | 1 | 0 | 331,668 | 0 | |
ADVERUM BIOTECHNOLOGIES INC | COM | 00773U108 | 1,488,475 | 992,317 | SH | SOLE | 992,317 | 0 | 0 | ||
AIRGAIN INC | COM | 00938A104 | 661,914 | 180,358 | SH | OTR | 1 | 0 | 180,358 | 0 | |
AIRGAIN INC | COM | 00938A104 | 1,989,786 | 542,176 | SH | SOLE | 542,176 | 0 | 0 | ||
ALIMERA SCIENCES INC | COM NEW | 016259202 | 1,840,498 | 593,709 | SH | OTR | 1 | 0 | 593,709 | 0 | |
ALIMERA SCIENCES INC | COM NEW | 016259202 | 5,514,475 | 1,778,863 | SH | SOLE | 1,778,863 | 0 | 0 | ||
ANI PHARMACEUTICALS INC | COM | 00182C103 | 3,877,305 | 66,781 | SH | OTR | 1 | 0 | 66,781 | 0 | |
ANI PHARMACEUTICALS INC | COM | 00182C103 | 11,961,521 | 206,020 | SH | SOLE | 206,020 | 0 | 0 | ||
ANNOVIS BIO INC | COM | 03615A108 | 116,926 | 12,321 | SH | OTR | 1 | 0 | 12,321 | 0 | |
ANNOVIS BIO INC | COM | 03615A108 | 347,524 | 36,620 | SH | SOLE | 36,620 | 0 | 0 | ||
APPLIED THERAPEUTICS INC | COM | 03828A101 | 482,993 | 193,973 | SH | OTR | 1 | 0 | 193,973 | 0 | |
APPLIED THERAPEUTICS INC | COM | 03828A101 | 1,492,449 | 599,377 | SH | SOLE | 599,377 | 0 | 0 | ||
APREA THERAPEUTICS INC | COM NEW | 03836J201 | 365,238 | 87,169 | SH | OTR | 1 | 0 | 87,169 | 0 | |
APREA THERAPEUTICS INC | COM NEW | 03836J201 | 1,092,169 | 262,131 | SH | SOLE | 262,131 | 0 | 0 | ||
APYX MEDICAL CORPORATION | COM | 03837C106 | 1,480,339 | 462,606 | SH | OTR | 1 | 0 | 462,606 | 0 | |
APYX MEDICAL CORPORATION | COM | 03837C106 | 4,584,400 | 1,432,625 | SH | SOLE | 1,432,625 | 0 | 0 | ||
ASPEN AEROGELS INC | COM | 04523Y105 | 3,683,956 | 428,367 | SH | OTR | 1 | 0 | 428,367 | 0 | |
ASPEN AEROGELS INC | COM | 04523Y105 | 11,383,433 | 1,323,655 | SH | SOLE | 1,323,655 | 0 | 0 | ||
ASSERTIO HOLDINGS INC | COM NEW | 04546C205 | 590,779 | 230,773 | SH | OTR | 1 | 0 | 230,773 | 0 | |
ASSERTIO HOLDINGS INC | COM NEW | 04546C205 | 1,825,495 | 713,084 | SH | SOLE | 713,084 | 0 | 0 | ||
AVIAT NETWORKS INC | COM NEW | 05366Y201 | 2,341,435 | 75,046 | SH | OTR | 1 | 0 | 75,046 | 0 | |
AVIAT NETWORKS INC | COM NEW | 05366Y201 | 7,565,938 | 242,498 | SH | SOLE | 242,498 | 0 | 0 | ||
BIODESIX INC | COM | 09075X108 | 1,983,906 | 1,202,367 | SH | OTR | 1 | 0 | 1,202,367 | 0 | |
BIODESIX INC | COM | 09075X108 | 6,112,146 | 3,704,331 | SH | SOLE | 3,704,331 | 0 | 0 | ||
BK TECHNOLOGIES CORPORATION | COM NEW | 05587G203 | 1,018,159 | 81,951 | SH | OTR | 1 | 0 | 81,951 | 0 | |
BK TECHNOLOGIES CORPORATION | COM NEW | 05587G203 | 3,092,893 | 248,945 | SH | SOLE | 248,945 | 0 | 0 | ||
BRAINSWAY LTD | SPONSORED ADS | 10501L106 | 1,360,038 | 336,643 | SH | OTR | 1 | 0 | 336,643 | 0 | |
BRAINSWAY LTD | SPONSORED ADS | 10501L106 | 4,114,251 | 1,018,379 | SH | SOLE | 1,018,379 | 0 | 0 | ||
BROADWIND INC | COM NEW | 11161T207 | 792,640 | 247,700 | SH | OTR | 1 | 0 | 247,700 | 0 | |
BROADWIND INC | COM NEW | 11161T207 | 2,380,800 | 744,000 | SH | SOLE | 744,000 | 0 | 0 | ||
CALAMP CORP | COM | 128126109 | 288,987 | 712,493 | SH | OTR | 1 | 0 | 712,493 | 0 | |
CALAMP CORP | COM | 128126109 | 934,769 | 2,304,658 | SH | SOLE | 2,304,658 | 0 | 0 | ||
CAPSTONE GREEN ENERGY CORP | COM | 14067D508 | 314,254 | 443,235 | SH | OTR | 1 | 0 | 443,235 | 0 | |
CAPSTONE GREEN ENERGY CORP | COM | 14067D508 | 961,946 | 1,356,765 | SH | SOLE | 1,356,765 | 0 | 0 | ||
CELLECTAR BIOSCIENCES INC | COM NEW | 15117F807 | 736,885 | 279,123 | SH | OTR | 1 | 0 | 279,123 | 0 | |
CELLECTAR BIOSCIENCES INC | COM NEW | 15117F807 | 1,051,745 | 398,388 | SH | SOLE | 398,388 | 0 | 0 | ||
CLENE INC | COMMON STOCK | 185634102 | 696,384 | 1,404,284 | SH | OTR | 1 | 0 | 1,404,284 | 0 | |
CLENE INC | COMMON STOCK | 185634102 | 2,180,767 | 4,397,594 | SH | SOLE | 4,397,594 | 0 | 0 | ||
COGNITION THERAPEUTICS INC | COM | 19243B102 | 732,555 | 508,719 | SH | OTR | 1 | 0 | 508,719 | 0 | |
COGNITION THERAPEUTICS INC | COM | 19243B102 | 2,203,393 | 1,530,134 | SH | SOLE | 1,530,134 | 0 | 0 | ||
COYA THERAPEUTICS INC | COMMON STOCK | 22407B108 | 518,603 | 134,006 | SH | OTR | 1 | 0 | 134,006 | 0 | |
COYA THERAPEUTICS INC | COMMON STOCK | 22407B108 | 1,542,866 | 401,788 | SH | SOLE | 401,788 | 0 | 0 | ||
CVD EQUIP CORP | COM | 126601103 | 573,612 | 83,739 | SH | OTR | 1 | 0 | 83,739 | 0 | |
CVD EQUIP CORP | COM | 126601103 | 1,674,314 | 251,769 | SH | SOLE | 251,769 | 0 | 0 | ||
ELECTROVAYA INC | COM NEW | 28617B606 | 2,441,595 | 820,538 | SH | OTR | 1 | 0 | 820,538 | 0 | |
ELECTROVAYA INC | COM NEW | 28617B606 | 7,140,539 | 2,532,770 | SH | SOLE | 2,532,770 | 0 | 0 | ||
ELUTIA INC | CL A COM | 05479K106 | 644,789 | 493,970 | SH | OTR | 1 | 0 | 493,970 | 0 | |
ELUTIA INC | CL A COM | 05479K106 | 1,658,941 | 1,270,030 | SH | SOLE | 1,270,030 | 0 | 0 | ||
EVERSPIN TECHNOLOGIES INC | COM | 30041T104 | 2,082,603 | 211,862 | SH | OTR | 1 | 0 | 211,862 | 0 | |
EVERSPIN TECHNOLOGIES INC | COM | 30041T104 | 6,257,463 | 636,568 | SH | SOLE | 636,568 | 0 | 0 | ||
FENNEC PHARMACEUTICALS INC | COM | 31447P100 | 695,696 | 92,636 | SH | OTR | 1 | 0 | 92,636 | 0 | |
FENNEC PHARMACEUTICALS INC | COM | 31447P100 | 2,109,484 | 280,890 | SH | SOLE | 280,890 | 0 | 0 | ||
FRANKLIN WIRELESS CORP | COM | 355184102 | 314,267 | 98,826 | SH | OTR | 1 | 0 | 98,826 | 0 | |
FRANKLIN WIRELESS CORP | COM | 355184102 | 931,757 | 291,174 | SH | SOLE | 291,174 | 0 | 0 | ||
GSI TECHNOLOGY INC | COM | 36241U106 | 1,353,374 | 499,400 | SH | OTR | 1 | 0 | 499,400 | 0 | |
GSI TECHNOLOGY INC | COM | 36241U106 | 4,066,626 | 1,500,600 | SH | SOLE | 1,500,600 | 0 | 0 | ||
IDEAL PWR INC | COM NEW | 451622203 | 226,971 | 23,184 | SH | OTR | 1 | 0 | 23,184 | 0 | |
IDEAL PWR INC | COM NEW | 451622203 | 666,657 | 68,763 | SH | SOLE | 68,763 | 0 | 0 | ||
INDIE SEMICONDUCTOR INC | CLASS A COM | 45569U101 | 3,292,046 | 522,547 | SH | OTR | 1 | 0 | 522,547 | 0 | |
INDIE SEMICONDUCTOR INC | CLASS A COM | 45569U101 | 9,937,954 | 1,577,453 | SH | SOLE | 1,577,453 | 0 | 0 | ||
KARYOPHARM THERAPEUTICS INC | COM | 48576U106 | 597,615 | 445,981 | SH | OTR | 1 | 0 | 445,981 | 0 | |
KARYOPHARM THERAPEUTICS INC | COM | 48576U106 | 1,778,841 | 1,327,493 | SH | SOLE | 1,327,493 | 0 | 0 | ||
KWESST MICRO SYSTEMS INC | COM NEW | 501506604 | 476,729 | 283,767 | SH | OTR | 1 | 0 | 283,767 | 0 | |
KWESST MICRO SYSTEMS INC | COM NEW | 501506604 | 422,232 | 272,408 | SH | SOLE | 272,408 | 0 | 0 | ||
KWESST MICRO SYSTEMS INC | *W EXP 12/09/202 | 501506133 | 16,209 | 147,353 | SH | Call | OTR | 1 | 0 | 147,353 | 0 |
KWESST MICRO SYSTEMS INC | *W EXP 12/09/202 | 501506133 | 107,944 | 451,647 | SH | Call | SOLE | 451,647 | 0 | 0 | |
LIGHTPATH TECHNOLOGIES INC | COM CL A | 532257805 | 1,347,936 | 929,611 | SH | OTR | 1 | 0 | 929,611 | 0 | |
LIGHTPATH TECHNOLOGIES INC | COM CL A | 532257805 | 4,051,765 | 2,794,321 | SH | SOLE | 2,794,321 | 0 | 0 | ||
MEDICENNA THERAPEUTICS CORP | COM | 58490H107 | 311,327 | 1,088,938 | SH | OTR | 1 | 0 | 1,088,938 | 0 | |
MEDICENNA THERAPEUTICS CORP | COM | 58490H107 | 958,717 | 3,251,045 | SH | SOLE | 3,251,045 | 0 | 0 | ||
MYOMO INC | COM NEW | 62857J201 | 1,551,626 | 1,397,861 | SH | OTR | 1 | 0 | 1,397,861 | 0 | |
MYOMO INC | COM NEW | 62857J201 | 878,034 | 791,022 | SH | SOLE | 791,022 | 0 | 0 | ||
OUSTER INC | COM NEW | 68989M202 | 1,587,146 | 314,910 | SH | OTR | 1 | 0 | 314,910 | 0 | |
OUSTER INC | COM NEW | 68989M202 | 4,904,338 | 973,083 | SH | SOLE | 973,083 | 0 | 0 | ||
PROSOMNUS INC | COMMON STOCK | 50535E108 | 100,368 | 91,244 | SH | OTR | 1 | 0 | 91,244 | 0 | |
PROSOMNUS INC | COMMON STOCK | 50535E108 | 298,775 | 287,284 | SH | SOLE | 287,284 | 0 | 0 | ||
SAVERONE 2014 LTD | *W EXP 06/02/202 | 80516T113 | 21,205 | 141,364 | SH | Call | OTR | 1 | 0 | 141,364 | 0 |
SAVERONE 2014 LTD | *W EXP 06/02/202 | 80516T113 | 57,946 | 427,330 | SH | Call | SOLE | 427,330 | 0 | 0 | |
SCPHARMACEUTICALS INC | COM | 810648105 | 3,842,415 | 539,665 | SH | OTR | 1 | 0 | 539,665 | 0 | |
SCPHARMACEUTICALS INC | COM | 810648105 | 11,871,489 | 1,667,344 | SH | SOLE | 1,667,344 | 0 | 0 | ||
SPRUCE BIOSCIENCES INC | COM | 85209E109 | 682,687 | 302,074 | SH | OTR | 1 | 0 | 302,074 | 0 | |
SPRUCE BIOSCIENCES INC | COM | 85209E109 | 2,054,173 | 908,926 | SH | SOLE | 908,926 | 0 | 0 | ||
TELA BIO INC | COM | 872381108 | 2,513,760 | 314,220 | SH | OTR | 1 | 0 | 314,220 | 0 | |
TELA BIO INC | COM | 872381108 | 7,509,800 | 938,725 | SH | SOLE | 938,725 | 0 | 0 | ||
TEMPEST THERAPEUTICS INC | COM | 87978U108 | 31,785 | 101,550 | SH | OTR | 1 | 0 | 101,550 | 0 | |
TEMPEST THERAPEUTICS INC | COM | 87978U108 | 92,842 | 304,700 | SH | SOLE | 304,700 | 0 | 0 | ||
TFF PHARMACEUTICALS INC | COM | 87241J104 | 226,391 | 646,832 | SH | OTR | 1 | 0 | 646,832 | 0 | |
TFF PHARMACEUTICALS INC | COM | 87241J104 | 702,941 | 2,008,403 | SH | SOLE | 2,008,403 | 0 | 0 | ||
THERATECHNOLOGIES INC | COM NEW | 88338H704 | 421,413 | 196,006 | SH | OTR | 1 | 0 | 196,006 | 0 | |
THERATECHNOLOGIES INC | COM NEW | 88338H704 | 1,305,889 | 607,390 | SH | SOLE | 607,390 | 0 | 0 | ||
TRANSPHORM INC | COM | 89386L100 | 2,558,057 | 1,152,278 | SH | OTR | 1 | 0 | 1,152,278 | 0 | |
TRANSPHORM INC | COM | 89386L100 | 7,697,362 | 3,467,280 | SH | SOLE | 3,467,280 | 0 | 0 | ||
VACCINEX INC | COM NEW | 918640202 | 810,842 | 717,559 | SH | OTR | 1 | 0 | 717,559 | 0 | |
VACCINEX INC | COM NEW | 918640202 | 421,054 | 372,614 | SH | SOLE | 372,614 | 0 | 0 |