The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
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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 | FIGI | (to the nearest dollar) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
| ABEONA THERAPEUTICS INC | COM NEW | 00289Y206 | 452,641 | 160,511 | SH | OTR | 1 | 0 | 160,511 | 0 | ||
| ABEONA THERAPEUTICS INC | COM NEW | 00289Y206 | 1,386,490 | 491,663 | SH | SOLE | 491,663 | 0 | 0 | |||
| ADTRAN HOLDINGS INC | COM | 00486H105 | 4,213,875 | 265,692 | SH | OTR | 1 | 0 | 265,692 | 0 | ||
| ADTRAN HOLDINGS INC | COM | 00486H105 | 12,913,640 | 814,227 | SH | SOLE | 814,227 | 0 | 0 | |||
| ADVERUM BIOTECHNOLOGIES INC | COM | 00773U108 | 214,187 | 298,560 | SH | OTR | 1 | 0 | 298,560 | 0 | ||
| ADVERUM BIOTECHNOLOGIES INC | COM | 00773U108 | 646,693 | 901,440 | SH | SOLE | 901,440 | 0 | 0 | |||
| AIRGAIN INC | COM | 00938A104 | 957,514 | 178,308 | SH | OTR | 1 | 0 | 178,308 | 0 | ||
| AIRGAIN INC | COM | 00938A104 | 2,938,335 | 547,176 | SH | SOLE | 547,176 | 0 | 0 | |||
| ANI PHARMACEUTICALS INC | COM | 00182C103 | 3,398,364 | 85,558 | SH | OTR | 1 | 0 | 85,558 | 0 | ||
| ANI PHARMACEUTICALS INC | COM | 00182C103 | 10,428,407 | 262,548 | SH | SOLE | 262,548 | 0 | 0 | |||
| APREA THERAPEUTICS INC | COM NEW | 03836J201 | 377,667 | 84,869 | SH | OTR | 1 | 0 | 84,869 | 0 | ||
| APREA THERAPEUTICS INC | COM NEW | 03836J201 | 1,154,982 | 260,131 | SH | SOLE | 260,131 | 0 | 0 | |||
| APYX MEDICAL CORPORATION | COM | 03837C106 | 373,740 | 129,771 | SH | OTR | 1 | 0 | 129,771 | 0 | ||
| APYX MEDICAL CORPORATION | COM | 03837C106 | 1,135,382 | 394,230 | SH | SOLE | 394,230 | 0 | 0 | |||
| AVIAT NETWORKS INC | COM NEW | 05366Y201 | 4,523,082 | 131,256 | SH | OTR | 1 | 0 | 131,256 | 0 | ||
| AVIAT NETWORKS INC | COM NEW | 05366Y201 | 13,841,273 | 401,662 | SH | SOLE | 401,662 | 0 | 0 | |||
| BIOCARDIA INC | COM | 09060U507 | 246,176 | 125,600 | SH | OTR | 1 | 0 | 125,600 | 0 | ||
| BIOCARDIA INC | COM | 09060U507 | 747,924 | 383,551 | SH | SOLE | 383,551 | 0 | 0 | |||
| BIODESIX INC | COM | 09075X108 | 2,529,957 | 1,360,192 | SH | OTR | 1 | 0 | 1,360,192 | 0 | ||
| BIODESIX INC | COM | 09075X108 | 7,782,871 | 4,184,339 | SH | SOLE | 4,184,339 | 0 | 0 | |||
| BK TECHNOLOGIES CORP | COM | 05587G104 | 3,630,082 | 1,273,713 | SH | SOLE | 1,273,713 | 0 | 0 | |||
| BK TECHNOLOGIES CORP | COM | 05587G104 | 1,185,631 | 416,011 | SH | OTR | 1 | 0 | 416,011 | 0 | ||
| BRAINSTORM CELL THERAPEUTICS | COM NEW | 10501E201 | 1,184,495 | 358,938 | SH | OTR | 1 | 0 | 358,938 | 0 | ||
| BRAINSTORM CELL THERAPEUTICS | COM NEW | 10501E201 | 3,630,518 | 1,100,157 | SH | SOLE | 1,100,157 | 0 | 0 | |||
| BROADWIND INC | COM NEW | 11161T207 | 944,640 | 246,000 | SH | OTR | 1 | 0 | 246,000 | 0 | ||
| BROADWIND INC | COM NEW | 11161T207 | 2,895,360 | 754,000 | SH | SOLE | 754,000 | 0 | 0 | |||
| CALAMP CORP | COM | 128126109 | 1,729,048 | 481,629 | SH | OTR | 1 | 0 | 481,629 | 0 | ||
| CALAMP CORP | COM | 128126109 | 5,298,118 | 1,475,799 | SH | SOLE | 1,475,799 | 0 | 0 | |||
| CAMBIUM NETWORKS CORP | SHS | G17766109 | 2,311,769 | 130,461 | SH | OTR | 1 | 0 | 130,461 | 0 | ||
| CAMBIUM NETWORKS CORP | SHS | G17766109 | 7,099,217 | 400,633 | SH | SOLE | 400,633 | 0 | 0 | |||
| CAPSTONE GREEN ENERGY CORP | COM | 14067D508 | 200,702 | 150,904 | SH | OTR | 1 | 0 | 150,904 | 0 | ||
| CAPSTONE GREEN ENERGY CORP | COM | 14067D508 | 615,789 | 462,999 | SH | SOLE | 462,999 | 0 | 0 | |||
| CELLECTAR BIOSCIENCES INC | COM NEW | 15117F807 | 484,704 | 336,600 | SH | OTR | 1 | 0 | 336,600 | 0 | ||
| CELLECTAR BIOSCIENCES INC | COM NEW | 15117F807 | 851,262 | 595,288 | SH | SOLE | 595,288 | 0 | 0 | |||
| COGNITION THERAPEUTICS INC | COM | 19243B102 | 993,404 | 501,719 | SH | OTR | 1 | 0 | 501,719 | 0 | ||
| COGNITION THERAPEUTICS INC | COM | 19243B102 | 3,041,545 | 1,536,134 | SH | SOLE | 1,536,134 | 0 | 0 | |||
| COYA THERAPEUTICS INC | COMMON STOCK | 22407B108 | 542,767 | 137,758 | SH | OTR | 1 | 0 | 137,758 | 0 | ||
| COYA THERAPEUTICS INC | COMMON STOCK | 22407B108 | 1,677,779 | 422,242 | SH | SOLE | 422,242 | 0 | 0 | |||
| CTI BIOPHARMA CORP | COM | 12648L601 | 2,169,674 | 516,589 | SH | OTR | 1 | 0 | 516,589 | 0 | ||
| CTI BIOPHARMA CORP | COM | 12648L601 | 6,650,326 | 1,583,411 | SH | SOLE | 1,583,411 | 0 | 0 | |||
| CVD EQUIP CORP | COM | 126601103 | 1,092,449 | 82,139 | SH | OTR | 1 | 0 | 82,139 | 0 | ||
| CVD EQUIP CORP | COM | 126601103 | 3,348,528 | 251,769 | SH | SOLE | 251,769 | 0 | 0 | |||
| DESKTOP METAL INC | COM CL A | 25058X105 | 424,343 | 184,497 | SH | OTR | 1 | 0 | 184,497 | 0 | ||
| DESKTOP METAL INC | COM CL A | 25058X105 | 1,300,657 | 565,503 | SH | SOLE | 565,503 | 0 | 0 | |||
| DIGITAL TURBINE INC | COM NEW | 25400W102 | 2,037,299 | 164,830 | SH | OTR | 1 | 0 | 164,830 | 0 | ||
| DIGITAL TURBINE INC | COM NEW | 25400W102 | 6,244,457 | 505,215 | SH | SOLE | 505,215 | 0 | 0 | |||
| DZS INC | COM | 268211109 | 909,977 | 115,333 | SH | OTR | 1 | 0 | 115,333 | 0 | ||
| DZS INC | COM | 268211109 | 2,809,282 | 356,056 | SH | SOLE | 356,056 | 0 | 0 | |||
| EVERSPIN TECHNOLOGIES INC | COM | 30041T104 | 1,425,755 | 209,362 | SH | OTR | 1 | 0 | 209,362 | 0 | ||
| EVERSPIN TECHNOLOGIES INC | COM | 30041T104 | 4,362,268 | 640,568 | SH | SOLE | 640,568 | 0 | 0 | |||
| FENNEC PHARMACEUTICALS INC | COM | 31447P100 | 332,284 | 39,938 | SH | OTR | 1 | 0 | 39,938 | 0 | ||
| FENNEC PHARMACEUTICALS INC | COM | 31447P100 | 1,016,837 | 122,216 | SH | SOLE | 122,216 | 0 | 0 | |||
| FRANKLIN WIRELESS CORP | COM | 355184102 | 492,153 | 98,826 | SH | OTR | 1 | 0 | 98,826 | 0 | ||
| FRANKLIN WIRELESS CORP | COM | 355184102 | 1,450,047 | 291,174 | SH | SOLE | 291,174 | 0 | 0 | |||
| IDEAL PWR INC | COM NEW | 451622203 | 549,545 | 52,588 | SH | OTR | 1 | 0 | 52,588 | 0 | ||
| IDEAL PWR INC | COM NEW | 451622203 | 1,677,016 | 160,480 | SH | SOLE | 160,480 | 0 | 0 | |||
| INDIE SEMICONDUCTOR INC | CLASS A COM | 45569U101 | 6,300,112 | 597,167 | SH | OTR | 1 | 0 | 597,167 | 0 | ||
| INDIE SEMICONDUCTOR INC | CLASS A COM | 45569U101 | 19,283,638 | 1,827,833 | SH | SOLE | 1,827,833 | 0 | 0 | |||
| INFINERA CORP | COM | 45667G103 | 845,328 | 108,934 | SH | OTR | 1 | 0 | 108,934 | 0 | ||
| INFINERA CORP | COM | 45667G103 | 2,591,142 | 333,910 | SH | SOLE | 333,910 | 0 | 0 | |||
| KWESST MICRO SYSTEMS INC | COM NEW | 501506604 | 58,941 | 147,353 | SH | Call | OTR | 1 | 0 | 147,353 | 0 | |
| KWESST MICRO SYSTEMS INC | COM NEW | 501506604 | 394,906 | 147,353 | SH | OTR | 1 | 0 | 147,353 | 0 | ||
| KWESST MICRO SYSTEMS INC | COM NEW | 501506604 | 677,094 | 252,647 | SH | SOLE | 252,647 | 0 | 0 | |||
| KWESST MICRO SYSTEMS INC | COM NEW | 501506604 | 180,659 | 451,647 | SH | Call | SOLE | 451,647 | 0 | 0 | ||
| LIGHTPATH TECHNOLOGIES INC | COM CL A | 532257805 | 1,180,116 | 836,962 | SH | OTR | 1 | 0 | 836,962 | 0 | ||
| LIGHTPATH TECHNOLOGIES INC | COM CL A | 532257805 | 3,616,608 | 2,564,970 | SH | SOLE | 2,564,970 | 0 | 0 | |||
| MARINUS PHARMACEUTICALS INC | COM NEW | 56854Q200 | 2,268,272 | 328,735 | SH | OTR | 1 | 0 | 328,735 | 0 | ||
| MARINUS PHARMACEUTICALS INC | COM NEW | 56854Q200 | 6,951,164 | 1,007,415 | SH | SOLE | 1,007,415 | 0 | 0 | |||
| MEDICENNA THERAPEUTICS CORP | COM | 58490H107 | 696,110 | 1,070,938 | SH | OTR | 1 | 0 | 1,070,938 | 0 | ||
| MEDICENNA THERAPEUTICS CORP | COM | 58490H107 | 2,063,841 | 3,276,045 | SH | SOLE | 3,276,045 | 0 | 0 | |||
| MYOMO INC | COM NEW | 62857J201 | 671,590 | 1,119,317 | SH | OTR | 1 | 0 | 1,119,317 | 0 | ||
| MYOMO INC | COM NEW | 62857J201 | 528,410 | 880,683 | SH | SOLE | 880,683 | 0 | 0 | |||
| NERDY INC | CL A COM | 64081V109 | 411,312 | 98,400 | SH | OTR | 1 | 0 | 98,400 | 0 | ||
| NERDY INC | CL A COM | 64081V109 | 1,260,688 | 301,600 | SH | SOLE | 301,600 | 0 | 0 | |||
| PARATEK PHARMACEUTICALS INC | COM | 699374302 | 1,671,028 | 657,885 | SH | OTR | 1 | 0 | 657,885 | 0 | ||
| PARATEK PHARMACEUTICALS INC | COM | 699374302 | 5,122,995 | 2,016,927 | SH | SOLE | 2,016,927 | 0 | 0 | |||
| PROSOMNUS INC | COMMON STOCK | 50535E108 | 507,999 | 97,399 | SH | OTR | 1 | 0 | 97,399 | 0 | ||
| PROSOMNUS INC | COMMON STOCK | 50535E108 | 1,527,786 | 293,241 | SH | SOLE | 293,241 | 0 | 0 | |||
| REZOLUTE INC | COM NEW | 76200L309 | 22,783 | 11,866 | SH | SOLE | 11,866 | 0 | 0 | |||
| RVL PHARMACEUTICALS PLC | SHS | G6S41R101 | 368,025 | 322,829 | SH | OTR | 1 | 0 | 322,829 | 0 | ||
| RVL PHARMACEUTICALS PLC | SHS | G6S41R101 | 1,064,263 | 933,564 | SH | SOLE | 933,564 | 0 | 0 | |||
| SAVERONE 2014 LTD | SPONSORED ADS | 80516T105 | 31,029 | 141,364 | SH | Call | OTR | 1 | 0 | 141,364 | 0 | |
| SAVERONE 2014 LTD | SPONSORED ADS | 80516T105 | 93,909 | 427,830 | SH | Call | SOLE | 427,830 | 0 | 0 | ||
| SCPHARMACEUTICALS INC | COM | 810648105 | 4,631,577 | 510,648 | SH | OTR | 1 | 0 | 510,648 | 0 | ||
| SCPHARMACEUTICALS INC | COM | 810648105 | 14,195,901 | 1,565,149 | SH | SOLE | 1,565,149 | 0 | 0 | |||
| SCYNEXIS INC | COM NEW | 811292200 | 855,981 | 285,327 | SH | OTR | 1 | 0 | 285,327 | 0 | ||
| SCYNEXIS INC | COM NEW | 811292200 | 2,622,057 | 874,019 | SH | SOLE | 874,019 | 0 | 0 | |||
| SOLENO THERAPEUTICS INC | COM | 834203309 | 222,374 | 103,913 | SH | OTR | 1 | 0 | 103,913 | 0 | ||
| SOLENO THERAPEUTICS INC | COM | 834203309 | 681,753 | 318,576 | SH | SOLE | 318,576 | 0 | 0 | |||
| SPRUCE BIOSCIENCES INC | COM | 85209E109 | 581,465 | 270,624 | SH | OTR | 1 | 0 | 270,624 | 0 | ||
| SPRUCE BIOSCIENCES INC | COM | 85209E109 | 1,790,601 | 833,376 | SH | SOLE | 833,376 | 0 | 0 | |||
| TELA BIO INC | COM | 872381108 | 4,358,665 | 409,649 | SH | OTR | 1 | 0 | 409,649 | 0 | ||
| TELA BIO INC | COM | 872381108 | 13,235,841 | 1,243,970 | SH | SOLE | 1,243,970 | 0 | 0 | |||
| TFF PHARMACEUTICALS INC | COM | 87241J104 | 293,188 | 427,824 | SH | OTR | 1 | 0 | 427,824 | 0 | ||
| TFF PHARMACEUTICALS INC | COM | 87241J104 | 898,638 | 1,311,306 | SH | SOLE | 1,311,306 | 0 | 0 | |||
| THERATECHNOLOGIES INC | COM | 88338H100 | 684,450 | 846,654 | SH | OTR | 1 | 0 | 846,654 | 0 | ||
| THERATECHNOLOGIES INC | COM | 88338H100 | 2,067,984 | 2,561,780 | SH | SOLE | 2,561,780 | 0 | 0 | |||
| TRANSPHORM INC | COM | 89386L100 | 3,530,360 | 884,802 | SH | OTR | 1 | 0 | 884,802 | 0 | ||
| TRANSPHORM INC | COM | 89386L100 | 10,870,931 | 2,724,544 | SH | SOLE | 2,724,544 | 0 | 0 | |||
| VACCINEX INC | COM | 918640103 | 55,449 | 138,795 | SH | OTR | 1 | 0 | 138,795 | 0 | ||
| VACCINEX INC | COM | 918640103 | 324,796 | 813,006 | SH | SOLE | 813,006 | 0 | 0 | |||
| Y-MABS THERAPEUTICS INC | COM | 984241109 | 523,480 | 104,487 | SH | OTR | 1 | 0 | 104,487 | 0 | ||
| Y-MABS THERAPEUTICS INC | COM | 984241109 | 1,622,864 | 323,925 | SH | SOLE | 323,925 | 0 | 0 | |||