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 | 984,159 | 196,439 | SH | OTR | 1 | 0 | 196,439 | 0 | ||
| ABEONA THERAPEUTICS INC | COM NEW | 00289Y206 | 2,962,563 | 591,330 | SH | SOLE | 591,330 | 0 | 0 | |||
| ADVERUM BIOTECHNOLOGIES INC | COM | 00773U108 | 590,456 | 784,346 | SH | OTR | 1 | 0 | 784,346 | 0 | ||
| ADVERUM BIOTECHNOLOGIES INC | COM | 00773U108 | 1,798,042 | 2,388,473 | SH | SOLE | 2,388,473 | 0 | 0 | |||
| ALIMERA SCIENCES INC | COM NEW | 016259202 | 2,404,693 | 556,642 | SH | OTR | 1 | 0 | 556,642 | 0 | ||
| ALIMERA SCIENCES INC | COM NEW | 016259202 | 7,211,920 | 1,669,426 | SH | SOLE | 1,669,426 | 0 | 0 | |||
| APPLIED THERAPEUTICS INC | COM | 03828A101 | 1,383,486 | 412,981 | SH | OTR | 1 | 0 | 412,981 | 0 | ||
| APPLIED THERAPEUTICS INC | COM | 03828A101 | 4,174,294 | 1,246,058 | SH | SOLE | 1,246,058 | 0 | 0 | |||
| APREA THERAPEUTICS INC | COM NEW | 03836J201 | 409,694 | 87,169 | SH | OTR | 1 | 0 | 87,169 | 0 | ||
| APREA THERAPEUTICS INC | COM NEW | 03836J201 | 1,232,016 | 262,131 | SH | SOLE | 262,131 | 0 | 0 | |||
| APYX MEDICAL CORPORATION | COM | 03837C106 | 1,357,679 | 518,198 | SH | OTR | 1 | 0 | 518,198 | 0 | ||
| APYX MEDICAL CORPORATION | COM | 03837C106 | 3,988,536 | 1,522,342 | SH | SOLE | 1,522,342 | 0 | 0 | |||
| ASPEN AEROGELS INC | COM | 04523Y105 | 6,958,791 | 440,988 | SH | OTR | 1 | 0 | 440,988 | 0 | ||
| ASPEN AEROGELS INC | COM | 04523Y105 | 21,515,967 | 1,363,496 | SH | SOLE | 1,363,496 | 0 | 0 | |||
| BIODESIX INC | COM | 09075X108 | 2,100,901 | 1,141,794 | SH | OTR | 1 | 0 | 1,141,794 | 0 | ||
| BIODESIX INC | COM | 09075X108 | 6,471,560 | 3,517,152 | SH | SOLE | 3,517,152 | 0 | 0 | |||
| BK TECHNOLOGIES CORPORATION | COM NEW | 05587G203 | 1,002,203 | 81,951 | SH | OTR | 1 | 0 | 81,951 | 0 | ||
| BK TECHNOLOGIES CORPORATION | COM NEW | 05587G203 | 3,044,423 | 248,945 | SH | SOLE | 248,945 | 0 | 0 | |||
| BRAINSWAY LTD | SPONSORED ADS | 10501L106 | 1,675,300 | 258,534 | SH | OTR | 1 | 0 | 258,534 | 0 | ||
| BRAINSWAY LTD | SPONSORED ADS | 10501L106 | 5,054,361 | 779,994 | SH | SOLE | 779,994 | 0 | 0 | |||
| CELLECTAR BIOSCIENCES INC | COM NEW | 15117F807 | 1,922,128 | 693,909 | SH | OTR | 1 | 0 | 693,909 | 0 | ||
| CELLECTAR BIOSCIENCES INC | COM NEW | 15117F807 | 3,383,031 | 1,221,311 | SH | SOLE | 1,221,311 | 0 | 0 | |||
| COGNITION THERAPEUTICS INC | COM | 19243B102 | 941,130 | 508,719 | SH | OTR | 1 | 0 | 508,719 | 0 | ||
| COGNITION THERAPEUTICS INC | COM | 19243B102 | 2,830,748 | 1,530,134 | SH | SOLE | 1,530,134 | 0 | 0 | |||
| COYA THERAPEUTICS INC | COMMON STOCK | 22407B108 | 1,836,398 | 256,761 | SH | OTR | 1 | 0 | 256,761 | 0 | ||
| COYA THERAPEUTICS INC | COMMON STOCK | 22407B108 | 5,544,259 | 775,216 | SH | SOLE | 775,216 | 0 | 0 | |||
| DELCATH SYS INC | COM NEW | 24661P807 | 1,224,072 | 294,248 | SH | OTR | 1 | 0 | 294,248 | 0 | ||
| DELCATH SYS INC | COM NEW | 24661P807 | 3,693,872 | 887,950 | SH | SOLE | 887,950 | 0 | 0 | |||
| ELECTROVAYA INC | COM NEW | 28617B606 | 2,510,480 | 820,538 | SH | OTR | 1 | 0 | 820,538 | 0 | ||
| ELECTROVAYA INC | COM NEW | 28617B606 | 7,749,564 | 2,532,770 | SH | SOLE | 2,532,770 | 0 | 0 | |||
| ELUTIA INC | CL A COM | 05479K106 | 1,033,651 | 478,542 | SH | OTR | 1 | 0 | 478,542 | 0 | ||
| ELUTIA INC | CL A COM | 05479K106 | 2,638,349 | 1,221,458 | SH | SOLE | 1,221,458 | 0 | 0 | |||
| FENNEC PHARMACEUTICALS INC | COM | 31447P100 | 1,587,630 | 141,500 | SH | OTR | 1 | 0 | 141,500 | 0 | ||
| FENNEC PHARMACEUTICALS INC | COM | 31447P100 | 2,107,901 | 187,870 | SH | SOLE | 187,870 | 0 | 0 | |||
| FRANKLIN WIRELESS CORP | COM | 355184102 | 335,020 | 98,826 | SH | OTR | 1 | 0 | 98,826 | 0 | ||
| FRANKLIN WIRELESS CORP | COM | 355184102 | 987,080 | 291,174 | SH | SOLE | 0 | 291,174 | 0 | |||
| GSI TECHNOLOGY INC | COM | 36241U106 | 629,030 | 238,269 | SH | OTR | 1 | 0 | 238,269 | 0 | ||
| GSI TECHNOLOGY INC | COM | 36241U106 | 1,864,690 | 706,322 | SH | SOLE | 706,322 | 0 | 0 | |||
| IDEAL PWR INC | COM NEW | 451622203 | 220,062 | 28,322 | SH | SOLE | 28,322 | 0 | 0 | |||
| IN8BIO INC | COM | 45674E109 | 1,296,676 | 1,018,865 | SH | OTR | 1 | 0 | 1,018,865 | 0 | ||
| IN8BIO INC | COM | 45674E109 | 3,919,172 | 3,079,496 | SH | SOLE | 0 | 3,079,496 | 0 | |||
| INDIE SEMICONDUCTOR INC | CLASS A COM | 45569U101 | 4,545,201 | 560,444 | SH | OTR | 1 | 0 | 560,444 | 0 | ||
| INDIE SEMICONDUCTOR INC | CLASS A COM | 45569U101 | 13,742,849 | 1,694,556 | SH | SOLE | 1,694,556 | 0 | 0 | |||
| KWESST MICRO SYSTEMS INC | *W EXP 12/09/202 | 501506133 | 14,685 | 146,853 | SH | OTR | 1 | 0 | 146,853 | 0 | ||
| KWESST MICRO SYSTEMS INC | COM NEW | 501506604 | 255,390 | 283,767 | SH | OTR | 1 | 0 | 283,767 | 0 | ||
| KWESST MICRO SYSTEMS INC | COM NEW | 501506604 | 245,167 | 272,408 | SH | SOLE | 272,408 | 0 | 0 | |||
| KWESST MICRO SYSTEMS INC | *W EXP 12/09/202 | 501506133 | 63,140 | 451,647 | SH | SOLE | 451,647 | 0 | 0 | |||
| LIGHTPATH TECHNOLOGIES INC | COM CL A | 532257805 | 1,171,310 | 929,611 | SH | OTR | 1 | 0 | 929,611 | 0 | ||
| LIGHTPATH TECHNOLOGIES INC | COM CL A | 532257805 | 3,520,844 | 2,794,321 | SH | SOLE | 2,794,321 | 0 | 0 | |||
| LIVEPERSON INC | COM | 538146101 | 1,518,668 | 400,704 | SH | OTR | 1 | 0 | 400,704 | 0 | ||
| LIVEPERSON INC | COM | 538146101 | 4,582,868 | 1,209,200 | SH | SOLE | 1,209,200 | 0 | 0 | |||
| MYOMO INC | COM NEW | 62857J201 | 7,003,284 | 1,397,861 | SH | OTR | 1 | 0 | 1,397,861 | 0 | ||
| MYOMO INC | COM NEW | 62857J201 | 6,364,849 | 1,270,429 | SH | SOLE | 1,270,429 | 0 | 0 | |||
| OUSTER INC | COM NEW | 68989M202 | 3,599,623 | 469,312 | SH | OTR | 1 | 0 | 469,312 | 0 | ||
| OUSTER INC | COM NEW | 68989M202 | 10,644,441 | 1,387,802 | SH | SOLE | 1,387,802 | 0 | 0 | |||
| PROFOUND MED CORP | COM NEW | 74319B502 | 1,366,644 | 160,971 | SH | OTR | 1 | 0 | 160,971 | 0 | ||
| PROFOUND MED CORP | COM NEW | 74319B502 | 4,124,119 | 485,762 | SH | SOLE | 485,762 | 0 | 0 | |||
| RED CAT HLDGS INC | COM | 75644T100 | 1,100,877 | 1,250,997 | SH | OTR | 1 | 0 | 1,250,997 | 0 | ||
| RED CAT HLDGS INC | COM | 75644T100 | 3,322,094 | 3,775,107 | SH | SOLE | 3,775,107 | 0 | 0 | |||
| SAVERONE 2014 LTD | *W EXP 06/02/202 | 80516T113 | 16,904 | 140,864 | SH | OTR | 1 | 0 | 140,864 | 0 | ||
| SAVERONE 2014 LTD | *W EXP 06/02/202 | 80516T113 | 51,280 | 427,330 | SH | SOLE | 427,330 | 0 | 0 | |||
| SCPHARMACEUTICALS INC | COM | 810648105 | 4,836,327 | 771,344 | SH | OTR | 1 | 0 | 771,344 | 0 | ||
| SCPHARMACEUTICALS INC | COM | 810648105 | 14,643,278 | 2,335,451 | SH | SOLE | 2,335,451 | 0 | 0 | |||
| SPRUCE BIOSCIENCES INC | COM | 85209E109 | 1,543,914 | 526,933 | SH | OTR | 1 | 0 | 526,933 | 0 | ||
| SPRUCE BIOSCIENCES INC | COM | 85209E109 | 4,679,005 | 1,596,930 | SH | SOLE | 1,596,930 | 0 | 0 | |||
| TELA BIO INC | COM | 872381108 | 2,286,091 | 345,331 | SH | OTR | 1 | 0 | 345,331 | 0 | ||
| TELA BIO INC | COM | 872381108 | 6,835,905 | 1,032,614 | SH | SOLE | 1,032,614 | 0 | 0 | |||
| TFF PHARMACEUTICALS INC | COM NEW | 87241J203 | 206,964 | 29,482 | SH | SOLE | 29,482 | 0 | 0 | |||
| THERATECHNOLOGIES INC | COM NEW | 88338H704 | 1,468,622 | 906,557 | SH | OTR | 1 | 0 | 906,557 | 0 | ||
| THERATECHNOLOGIES INC | COM NEW | 88338H704 | 4,556,647 | 2,812,745 | SH | SOLE | 2,812,745 | 0 | 0 | |||
| TRANSPHORM INC | COM | 89386L100 | 4,211,290 | 1,153,778 | SH | OTR | 1 | 0 | 1,153,778 | 0 | ||
| TRANSPHORM INC | COM | 89386L100 | 12,655,572 | 3,467,280 | SH | SOLE | 3,467,280 | 0 | 0 | |||
| VACCINEX INC | COM NEW | 918640202 | 434,832 | 654,079 | SH | OTR | 1 | 0 | 654,079 | 0 | ||
| VACCINEX INC | COM NEW | 918640202 | 108,350 | 162,982 | SH | SOLE | 162,982 | 0 | 0 | |||
| VERU INC | COM | 92536C103 | 616,216 | 855,855 | SH | OTR | 1 | 0 | 855,855 | 0 | ||
| VERU INC | COM | 92536C103 | 1,859,541 | 2,582,696 | SH | SOLE | 2,582,696 | 0 | 0 | |||