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 |
| 3M Company | COM | 88579Y101 | 1,113 | 7,772 | SH | OTR | 6,917 | 0 | 855 | ||
| Aflac Incorporated | COM | 001055102 | 900 | 14,466 | SH | OTR | 12,836 | 0 | 1,630 | ||
| Akorn, Inc. | COM | 009728106 | 499 | 15,000 | SH | DFND | 15,000 | 0 | 0 | ||
| Akorn, Inc. | COM | 009728106 | 9,074 | 272,913 | SH | OTR | 251,303 | 0 | 21,610 | ||
| Alcatel Lucent Spons ADR | SPONSORED ADR | 013904305 | 765 | 215,000 | SH | DFND | 215,000 | 0 | 0 | ||
| Alcatel Lucent Spons ADR | SPONSORED ADR | 013904305 | 4,901 | 1,376,796 | SH | OTR | 1,249,806 | 0 | 126,990 | ||
| Alkermes PLC | SHS | G01767105 | 250 | 4,959 | SH | OTR | 4,959 | 0 | 0 | ||
| Alphatec Holdings Inc. | COM | 02081G102 | 116 | 71,060 | SH | OTR | 71,060 | 0 | 0 | ||
| American Express Company | COM | 025816109 | 1,129 | 11,897 | SH | OTR | 10,442 | 0 | 1,455 | ||
| Angiodynamics, Inc. | COM | 03475V101 | 3,065 | 187,668 | SH | OTR | 164,416 | 0 | 23,252 | ||
| Array Biopharma Inc. | COM | 04269X105 | 2,964 | 650,000 | SH | DFND | 650,000 | 0 | 0 | ||
| Array Biopharma Inc. | COM | 04269X105 | 6,210 | 1,361,900 | SH | OTR | 1,266,505 | 0 | 95,395 | ||
| AtriCure Inc. | COM | 04963C209 | 2,946 | 160,290 | SH | OTR | 137,265 | 0 | 23,025 | ||
| AutoZone Inc. | COM | 053332102 | 995 | 1,855 | SH | OTR | 1,635 | 0 | 220 | ||
| CommVault Systems Inc. | COM | 204166102 | 705 | 14,340 | SH | OTR | 12,005 | 0 | 2,335 | ||
| Constant Contact, Inc. | COM | 210313102 | 1,949 | 60,701 | SH | OTR | 52,936 | 0 | 7,765 | ||
| Datalink Corp. | COM | 237934104 | 2,420 | 242,007 | SH | OTR | 212,544 | 0 | 29,463 | ||
| Deere & Co. | COM | 244199105 | 971 | 10,718 | SH | OTR | 9,463 | 0 | 1,255 | ||
| Eastman Chemical Co. | COM | 277432100 | 947 | 10,841 | SH | OTR | 9,446 | 0 | 1,395 | ||
| Emcore Corp. | COM NEW | 290846203 | 6,410 | 1,555,750 | SH | DFND | 1,555,750 | 0 | 0 | ||
| Emcore Corp. | COM NEW | 290846203 | 6,143 | 1,491,108 | SH | OTR | 1,491,108 | 0 | 0 | ||
| Enzo Biochem, Inc . | COM | 294100102 | 551 | 105,000 | SH | DFND | 105,000 | 0 | 0 | ||
| Enzo Biochem, Inc. | COM | 294100102 | 1,928 | 367,285 | SH | OTR | 367,285 | 0 | 0 | ||
| EOG Resources | COM | 26875P101 | 1,311 | 11,220 | SH | OTR | 9,840 | 0 | 1,380 | ||
| Extreme Networks, Inc. | COM | 30226D106 | 222 | 50,000 | SH | DFND | 50,000 | 0 | 0 | ||
| Extreme Networks, Inc. | COM | 30226D106 | 2,588 | 582,822 | SH | OTR | 503,382 | 0 | 79,440 | ||
| Exxon Mobil Corporation | COM | 30231G102 | 897 | 8,909 | SH | OTR | 7,836 | 0 | 1,073 | ||
| Finisar Corp. | COM NEW | 31787A507 | 8,098 | 410,000 | SH | DFND | 410,000 | 0 | 0 | ||
| Finisar Corp. | COM NEW | 31787A507 | 11,941 | 604,591 | SH | OTR | 576,841 | 0 | 27,750 | ||
| Flamel Technologies SA Spons A | SPONSORED ADR | 338488109 | 166 | 11,034 | SH | OTR | 11,034 | 0 | 0 | ||
| Fluidigm Corp. | COM | 34385P108 | 1,601 | 54,451 | SH | OTR | 46,846 | 0 | 7,605 | ||
| Gigamon Inc. | COM | 37518B102 | 771 | 40,270 | SH | OTR | 33,480 | 0 | 6,790 | ||
| IGI Laboratories, Inc. | COM | 449575109 | 664 | 125,000 | SH | DFND | 125,000 | 0 | 0 | ||
| IGI Laboratories, Inc. | COM | 449575109 | 1,090 | 205,190 | SH | OTR | 202,120 | 0 | 3,070 | ||
| Insulet Corp. | COM | 45784P101 | 198 | 5,000 | SH | DFND | 5,000 | 0 | 0 | ||
| Insulet Corp. | COM | 45784P101 | 2,050 | 51,680 | SH | OTR | 44,510 | 0 | 7,170 | ||
| Integrated Device Technology Inc. | COM | 458118106 | 3,216 | 208,000 | SH | OTR | 176,450 | 0 | 31,550 | ||
| Intel Corp. | COM | 458140100 | 204 | 6,614 | SH | OTR | 6,614 | 0 | 0 | ||
| International Business Machines Corp. | COM | 459200101 | 837 | 4,620 | SH | OTR | 4,150 | 0 | 470 | ||
| IntraLinks Holdings Inc. | COM | 46118H104 | 107 | 12,000 | SH | DFND | 12,000 | 0 | 0 | ||
| IntraLinks Holdings Inc. | COM | 46118H104 | 1,466 | 164,895 | SH | OTR | 136,675 | 0 | 28,220 | ||
| Johnson & Johnson | COM | 478160104 | 998 | 9,539 | SH | OTR | 8,474 | 0 | 1,065 | ||
| Kofax Ltd. | COM USD | G5307C105 | 172 | 20,000 | SH | DFND | 20,000 | 0 | 0 | ||
| Kofax Ltd. | COM USD | G5307C105 | 3,321 | 386,163 | SH | OTR | 333,517 | 0 | 52,646 | ||
| Lemaitre Vascular Inc. | COM | 525558201 | 123 | 14,848 | SH | OTR | 14,848 | 0 | 0 | ||
| Ligand Pharmaceuticals Inc. | COM NEW | 53220K504 | 1,174 | 18,847 | SH | OTR | 16,482 | 0 | 2,365 | ||
| Marriott Intenational, Inc. | CL A | 571903202 | 1,240 | 19,343 | SH | OTR | 16,994 | 0 | 2,349 | ||
| Merus Labs International Inc. | COM | 59047R101 | 206 | 93,485 | SH | OTR | 93,485 | 0 | 0 | ||
| National Oilwell Varco Inc. | COM | 637071101 | 889 | 10,795 | SH | OTR | 9,580 | 0 | 1,215 | ||
| NeoGenomics Inc. | COM NEW | 64049M209 | 166 | 50,000 | SH | DFND | 50,000 | 0 | 0 | ||
| NeoGenomics Inc. | COM NEW | 64049M209 | 1,524 | 458,917 | SH | OTR | 433,957 | 0 | 24,960 | ||
| NPS Pharmaceuticals Inc. | COM | 62936P103 | 217 | 6,570 | SH | OTR | 6,570 | 0 | 0 | ||
| NxStage Medical, Inc | COM | 67072V103 | 251 | 17,490 | SH | OTR | 17,490 | 0 | 0 | ||
| Oclaro, Inc. | COM NEW | 67555N206 | 9,805 | 4,457,000 | SH | DFND | 4,457,000 | 0 | 0 | ||
| Oclaro, Inc. | COM NEW | 67555N206 | 12,121 | 5,509,380 | SH | OTR | 5,427,060 | 0 | 82,320 | ||
| Omnicell Inc. | COM | 68213N109 | 287 | 10,000 | SH | DFND | 10,000 | 0 | 0 | ||
| Omnicell Inc. | COM | 68213N109 | 4,512 | 157,153 | SH | OTR | 139,728 | 0 | 17,425 | ||
| Pepsico Inc. | COM | 713448108 | 1,019 | 11,403 | SH | OTR | 10,083 | 0 | 1,320 | ||
| Pernix Therapeutics Holdings, Inc. | COM | 71426V108 | 1,114 | 124,000 | SH | DFND | 124,000 | 0 | 0 | ||
| Pernix Therapeutics Holdings, Inc. | COM | 71426V108 | 4,587 | 510,753 | SH | OTR | 478,183 | 0 | 32,570 | ||
| PMC-Sierra Inc. | COM | 69344F106 | 152 | 20,000 | SH | OTR | 20,000 | 0 | 0 | ||
| PowerShares QQQ Trust | UNIT SER 1 | 73935A104 | 254 | 2,700 | SH | OTR | 2,700 | 0 | 0 | ||
| The Procter & Gamble Company | COM | 742718109 | 922 | 11,729 | SH | OTR | 10,344 | 0 | 1,385 | ||
| RTI Surgical Inc. | COM | 74975N105 | 1,248 | 287,000 | SH | DFND | 287,000 | 0 | 0 | ||
| RTI Surgical Inc. | COM | 74975N105 | 6,968 | 1,601,917 | SH | OTR | 1,450,067 | 0 | 151,850 | ||
| Ruckus Wireless Inc. | COM | 781220108 | 298 | 25,000 | SH | DFND | 25,000 | 0 | 0 | ||
| Ruckus Wireless Inc. | COM | 781220108 | 2,190 | 183,918 | SH | OTR | 159,853 | 0 | 24,065 | ||
| Skyworks Solutions, Inc. | COM | 83088M102 | 3,486 | 74,234 | SH | OTR | 63,844 | 0 | 10,390 | ||
| Southern Company | COM | 842587107 | 941 | 20,726 | SH | OTR | 18,206 | 0 | 2,520 | ||
| Southwest Airlines Co. | COM | 844741108 | 1,157 | 43,066 | SH | OTR | 37,926 | 0 | 5,140 | ||
| SPDR Trust Ser 1 | TR UNIT | 78462F103 | 900 | 4,600 | SH | OTR | 4,600 | 0 | 0 | ||
| Staar Surgical Co. | COM PAR $0.01 | 852312305 | 1,008 | 60,000 | SH | DFND | 60,000 | 0 | 0 | ||
| Staar Surgical Co. | COM PAR $0.01 | 852312305 | 3,131 | 186,377 | SH | OTR | 172,402 | 0 | 13,975 | ||
| Streamline Health Solutions Inc. | COM | 86323X106 | 1,568 | 326,707 | SH | OTR | 276,728 | 0 | 49,979 | ||
| SunOpta, Inc. | COM | 8676EP108 | 422 | 30,000 | SH | DFND | 30,000 | 0 | 0 | ||
| SunOpta, Inc. | COM | 8676EP108 | 9,201 | 653,457 | SH | OTR | 614,967 | 0 | 38,490 | ||
| Superconductor Technologies, Inc. | COM PAR $0.001 | 867931404 | 4,613 | 1,596,290 | SH | DFND | 1,596,290 | 0 | 0 | ||
| Superconductor Technologies, Inc. | COM PAR $0.001 | 867931404 | 2,946 | 1,019,226 | SH | OTR | 1,019,010 | 0 | 216 | ||
| Supernus Pharmaceuticals, Inc. | COM | 868459108 | 1,752 | 160,000 | SH | DFND | 160,000 | 0 | 0 | ||
| Supernus Pharmaceuticals, Inc. | COM | 868459108 | 5,524 | 504,470 | SH | OTR | 473,975 | 0 | 30,495 | ||
| Synergetics USA, Inc. | COM | 87160G107 | 2,255 | 727,523 | SH | OTR | 619,913 | 0 | 107,610 | ||
| T. Rowe Price | COM | 74144T108 | 889 | 10,535 | SH | OTR | 9,215 | 0 | 1,320 | ||
| TearLab Corp. | COM | 878193101 | 1,708 | 350,767 | SH | OTR | 296,657 | 0 | 54,110 | ||
| Triquint Semiconductor Inc. | COM | 89674K103 | 1,715 | 108,452 | SH | OTR | 90,118 | 0 | 18,334 | ||
| V F Corporation | COM | 918204108 | 1,100 | 17,460 | SH | OTR | 15,400 | 0 | 2,060 | ||
| Vanguard Short-Term Corporate | SHRT TRM CORP BD | 92206C409 | 281 | 3,500 | SH | OTR | 3,500 | 0 | 0 | ||
| Vanguard Total Stock | TOTAL STK MKT | 922908769 | 397 | 3,900 | SH | OTR | 3,900 | 0 | 0 | ||
| Verizon Communications Inc. | COM | 92343V104 | 913 | 18,661 | SH | OTR | 16,686 | 0 | 1,975 | ||
| Vitesse Semiconductor Corporation | COM NEW | 928497304 | 6,745 | 1,955,000 | SH | DFND | 1,955,000 | 0 | 0 | ||
| Vitesse Semiconductor Corporation | COM NEW | 928497304 | 12,563 | 3,641,336 | SH | OTR | 3,518,206 | 0 | 123,130 | ||
| Volcano Corporation | COM | 928645100 | 1,116 | 63,352 | SH | OTR | 53,784 | 0 | 9,568 | ||
| Wells Fargo & Co. | COM | 949746101 | 1,169 | 22,248 | SH | OTR | 19,743 | 0 | 2,505 | ||