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 |
ABBVIE INC | COM | 00287Y109 | 56 | 515 | SH | SOLE | 515 | 0 | 0 | ||
ADARA ACQUISITION CORP | COM CL A | 00653H102 | 3,920 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
ADARA ACQUISITION CORP | *W EXP 02/11/202 | 00653H110 | 103 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
ALTICE USA INC | CL A | 02156K103 | 7,845 | 378,600 | SH | SOLE | 378,600 | 0 | 0 | ||
ALTRIA GROUP INC | COM | 02209S103 | 55 | 1,200 | SH | SOLE | 1,200 | 0 | 0 | ||
AMERICAN EXPRESS CO | COM | 025816109 | 4,188 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
ARKO CORP | *W EXP 12/22/202 | 041242116 | 727 | 333,333 | SH | SOLE | 333,333 | 0 | 0 | ||
ASTRA SPACE INC | COM CL A | 04634X103 | 41 | 4,773 | SH | SOLE | 4,773 | 0 | 0 | ||
AT&T INC | COM | 00206R102 | 45 | 1,650 | SH | SOLE | 1,650 | 0 | 0 | ||
ATI PHYSICAL THERAPY INC | COM CL A | 00216W109 | 2,866 | 754,083 | SH | SOLE | 754,083 | 0 | 0 | ||
AVIAT NETWORKS INC | COM NEW | 05366Y201 | 2 | 66 | SH | SOLE | 66 | 0 | 0 | ||
B RILEY PRIN 250 MERGER CORP | CLASS A COM | 05602L104 | 2,174 | 225,000 | SH | SOLE | 225,000 | 0 | 0 | ||
B RILEY PRIN 250 MERGER CORP | *W EXP 04/01/202 | 05602L112 | 53 | 75,000 | SH | SOLE | 75,000 | 0 | 0 | ||
B RILEY PRINCIPAL 150 MERGER | COM CL A | 05601V103 | 2,194 | 225,000 | SH | SOLE | 225,000 | 0 | 0 | ||
B RILEY PRINCIPAL 150 MERGER | *W EXP 03/01/202 | 05601V111 | 58 | 75,000 | SH | SOLE | 75,000 | 0 | 0 | ||
BANK NEW YORK MELLON CORP | COM | 064058100 | 104 | 2,000 | SH | SOLE | 2,000 | 0 | 0 | ||
BK TECHNOLOGIES CORPORATION | COM | 05587G104 | 848 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
BLACKSTONE INC | COM | 09260D107 | 9,307 | 80,000 | SH | SOLE | 80,000 | 0 | 0 | ||
BRUNSWICK CORP | COM | 117043109 | 47,635 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
CADENCE DESIGN SYSTEM INC | COM | 127387108 | 80 | 525 | SH | SOLE | 525 | 0 | 0 | ||
CARRIER GLOBAL CORPORATION | COM | 14448C104 | 311 | 6,000 | SH | SOLE | 6,000 | 0 | 0 | ||
CAZOO GROUP LTD | *W EXP 08/26/202 | G2007L113 | 4 | 2,500 | SH | SOLE | 2,500 | 0 | 0 | ||
CELCUITY INC | COM | 15102K100 | 900 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
CM LIFE SCIENCES III INC | CLASS A COM | 125841106 | 9,920 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
CM LIFE SCIENCES III INC | *W EXP 04/30/202 | 125841114 | 428 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
CODEXIS INC | COM | 192005106 | 13,470 | 579,116 | SH | SOLE | 579,116 | 0 | 0 | ||
CORSAIR PARTNERING CORP | SHS CL A | G2540H108 | 12,313 | 1,250,000 | SH | SOLE | 1,250,000 | 0 | 0 | ||
CORSAIR PARTNERING CORP | *W EXP 07/06/202 | G2540H116 | 317 | 416,666 | SH | SOLE | 416,666 | 0 | 0 | ||
CUE BIOPHARMA INC | COM | 22978P106 | 2,550 | 175,000 | SH | SOLE | 175,000 | 0 | 0 | ||
CUE HEALTH INC | COM | 229790100 | 11,810 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
CURIS INC | COM NEW | 231269200 | 2,443 | 311,978 | SH | SOLE | 311,978 | 0 | 0 | ||
DUOS TECHNOLOGIES GROUP INC | COM | 266042407 | 2,808 | 453,616 | SH | SOLE | 453,616 | 0 | 0 | ||
DURECT CORP | COM | 266605104 | 33,811 | 26,414,656 | SH | SOLE | 26,414,656 | 0 | 0 | ||
ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 2,733 | 126,301 | SH | SOLE | 126,301 | 0 | 0 | ||
EXXON MOBIL CORP | COM | 30231G102 | 63 | 1,075 | SH | SOLE | 1,075 | 0 | 0 | ||
FINCH THERAPEUTICS GROUP INC | COM | 31773D101 | 10,535 | 810,416 | SH | SOLE | 810,416 | 0 | 0 | ||
GLOBAL BLOOD THERAPEUTICS IN | COM | 37890U108 | 3,185 | 125,000 | SH | SOLE | 125,000 | 0 | 0 | ||
GRUPO TELEVISA S A B | SPON ADR REP ORD | 40049J206 | 1,647 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
HEALTHCARE SERVICES ACQU COR | COM CL A | 42227K104 | 1,463 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
HEALTHCARE SERVICES ACQU COR | *W EXP 99/99/999 | 42227K112 | 50 | 75,000 | SH | SOLE | 75,000 | 0 | 0 | ||
IDENTIV INC | COM NEW | 45170X205 | 41,380 | 2,196,389 | SH | SOLE | 2,196,389 | 0 | 0 | ||
IMMUCELL CORP | COM PAR | 452525306 | 567 | 60,607 | SH | SOLE | 60,607 | 0 | 0 | ||
INDEPENDENCE HOLDINGS CORP | CLASS A ORD SHS | G4761A101 | 2,713 | 54,711 | SH | SOLE | 54,711 | 0 | 0 | ||
INFINITY PHARMACEUTICALS INC | COM | 45665G303 | 855 | 250,000 | SH | SOLE | 250,000 | 0 | 0 | ||
INNOVATE CORP | COM | 45784J105 | 1,127 | 274,799 | SH | SOLE | 274,799 | 0 | 0 | ||
INTELLICHECK INC | COM NEW | 45817G201 | 16,983 | 2,073,583 | SH | SOLE | 2,073,583 | 0 | 0 | ||
INTEVAC INC | COM | 461148108 | 23,658 | 4,949,355 | SH | SOLE | 4,949,355 | 0 | 0 | ||
IROBOT CORP | COM | 462726100 | 3,332 | 42,450 | SH | SOLE | 42,450 | 0 | 0 | ||
ISLEWORTH HEALTHCARE ACQU CO | COM | 46468P102 | 9,830 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
ISLEWORTH HEALTHCARE ACQU CO | *W EXP 08/02/202 | 46468P110 | 275 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
ISPECIMEN INC | COM | 45032V108 | 3,607 | 618,180 | SH | SOLE | 618,180 | 0 | 0 | ||
JPMORGAN CHASE & CO | COM | 46625H100 | 4,911 | 30,000 | SH | SOLE | 30,000 | 0 | 0 | ||
L3HARRIS TECHNOLOGIES INC | COM | 502431109 | 352 | 1,600 | SH | SOLE | 1,600 | 0 | 0 | ||
LIBERTY GLOBAL PLC | SHS CL A | G5480U104 | 685 | 22,989 | SH | SOLE | 22,989 | 0 | 0 | ||
LIBERTY GLOBAL PLC | SHS CL C | G5480U120 | 2,051 | 69,618 | SH | SOLE | 69,618 | 0 | 0 | ||
LIBERTY LATIN AMERICA LTD | COM CL A | G9001E102 | 53 | 4,017 | SH | SOLE | 4,017 | 0 | 0 | ||
LIBERTY LATIN AMERICA LTD | COM CL C | G9001E128 | 217 | 16,522 | SH | SOLE | 16,522 | 0 | 0 | ||
LIBERTY MEDIA CORP DEL | COM C SIRIUSXM | 531229607 | 11,222 | 236,396 | SH | SOLE | 236,396 | 0 | 0 | ||
LIBERTY MEDIA CORP DEL | COM A SIRIUSXM | 531229409 | 4,887 | 103,602 | SH | SOLE | 103,602 | 0 | 0 | ||
LIBERTY MEDIA CORP DEL | COM C BRAVES GRP | 531229888 | 547 | 20,717 | SH | SOLE | 20,717 | 0 | 0 | ||
LIBERTY MEDIA CORP DEL | COM A BRAVES GRP | 531229706 | 279 | 10,356 | SH | SOLE | 10,356 | 0 | 0 | ||
LINDE PLC | SHS | G5494J103 | 56,513 | 192,627 | SH | SOLE | 192,627 | 0 | 0 | ||
LIONS GATE ENTMNT CORP | CL B NON VTG | 535919500 | 213 | 16,413 | SH | SOLE | 16,413 | 0 | 0 | ||
LIQTECH INTL INC | COM | 53632A201 | 11,897 | 2,170,948 | SH | SOLE | 2,170,948 | 0 | 0 | ||
LUMENTUM HLDGS INC | COM | 55024U109 | 55 | 660 | SH | SOLE | 660 | 0 | 0 | ||
MAGENTA THERAPEUTICS INC | COM | 55910K108 | 3,162 | 434,400 | SH | SOLE | 434,400 | 0 | 0 | ||
MARINUS PHARMACEUTICALS INC | COM NEW | 56854Q200 | 12,091 | 1,062,500 | SH | SOLE | 1,062,500 | 0 | 0 | ||
MAXCYTE INC | COM | 57777K106 | 3,027 | 250,000 | SH | SOLE | 250,000 | 0 | 0 | ||
ONDAS HLDGS INC | COM NEW | 68236H204 | 1,643 | 179,392 | SH | SOLE | 179,392 | 0 | 0 | ||
OPPFI INC | *W EXP 07/20/202 | 68386H111 | 385 | 250,000 | SH | SOLE | 250,000 | 0 | 0 | ||
OTIS WORLDWIDE CORP | COM | 68902V107 | 247 | 3,000 | SH | SOLE | 3,000 | 0 | 0 | ||
PAYPAL HLDGS INC | COM | 70450Y103 | 1,301 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
PIONEER MERGER CORP | CL A SHS | G7S24C103 | 21,101 | 2,125,000 | SH | SOLE | 2,125,000 | 0 | 0 | ||
PIONEER MERGER CORP | *W EXP 01/07/202 | G7S24C111 | 779 | 708,333 | SH | SOLE | 708,333 | 0 | 0 | ||
QUMU CORP | COM | 749063103 | 1,240 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
RAYTHEON TECHNOLOGIES CORP | COM | 75513E101 | 516 | 6,000 | SH | SOLE | 6,000 | 0 | 0 | ||
RICEBRAN TECHNOLOGIES | COM NEW | 762831204 | 590 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
ROTH CH ACQUISITION III CO | COM | 77867Q102 | 149 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
ROTH CH ACQUISITION III CO | *W EXP 02/26/202 | 77867Q110 | 5 | 3,750 | SH | SOLE | 3,750 | 0 | 0 | ||
ROYALTY PHARMA PLC | SHS CLASS A | G7709Q104 | 40,332 | 1,115,980 | SH | SOLE | 1,115,980 | 0 | 0 | ||
S&P GLOBAL INC | COM | 78409V104 | 16,996 | 40,000 | SH | SOLE | 40,000 | 0 | 0 | ||
SEMA4 HOLDINGS CORP | COM CL A | 81663L101 | 759 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
SOC TELEMED INC | COM CL A | 78472F101 | 5,006 | 2,214,900 | SH | SOLE | 2,214,900 | 0 | 0 | ||
SOMALOGIC INC | CLASS A COM | 83444K105 | 869 | 70,100 | SH | SOLE | 70,100 | 0 | 0 | ||
SOMALOGIC INC | *W EXP 03/01/202 | 83444K113 | 48 | 14,020 | SH | SOLE | 14,020 | 0 | 0 | ||
SONOS INC | COM | 83570H108 | 7,003 | 216,400 | SH | SOLE | 216,400 | 0 | 0 | ||
SPDR GOLD TR | GOLD SHS | 78463V107 | 78,005 | 475,000 | SH | SOLE | 475,000 | 0 | 0 | ||
SPROTT PHYSICAL GOLD TR | UNIT | 85207H104 | 173 | 12,540 | SH | SOLE | 12,540 | 0 | 0 | ||
STRIDE INC | COM | 86333M108 | 4,926 | 137,052 | SH | SOLE | 137,052 | 0 | 0 | ||
TERADYNE INC | COM | 880770102 | 66 | 600 | SH | SOLE | 600 | 0 | 0 | ||
THOR INDS INC | COM | 885160101 | 13,473 | 109,753 | SH | SOLE | 109,753 | 0 | 0 | ||
TRICIDA INC | COM | 89610F101 | 6,032 | 1,300,000 | SH | SOLE | 1,300,000 | 0 | 0 | ||
VIVINT SMART HOME INC | COM CL A | 928542109 | 3,583 | 379,200 | SH | SOLE | 379,200 | 0 | 0 | ||
X4 PHARMACEUTICALS INC | COM | 98420X103 | 189 | 35,730 | SH | SOLE | 35,730 | 0 | 0 | ||
XILINX INC | COM | 983919101 | 80 | 530 | SH | SOLE | 530 | 0 | 0 | ||
XPERI HOLDING CORP | COM | 98390M103 | 2 | 90 | SH | SOLE | 90 | 0 | 0 | ||
YEXT INC | COM | 98585N106 | 722 | 60,000 | SH | SOLE | 60,000 | 0 | 0 |