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 | 45 | 515 | SH | SOLE | 515 | 0 | 0 | ||
ADVERUM BIOTECHNOLOGIES INC | COM | 00773U108 | 1,545 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
ALTICE USA INC | CL A | 02156K103 | 15,694 | 603,600 | SH | SOLE | 603,600 | 0 | 0 | ||
ALTRIA GROUP INC | COM | 02209S103 | 46 | 1,200 | SH | SOLE | 1,200 | 0 | 0 | ||
AMAG PHARMACEUTICALS INC | COM | 00163U106 | 12,220 | 1,299,994 | SH | SOLE | 1,299,994 | 0 | 0 | ||
AMERICAN EXPRESS CO | COM | 025816109 | 2,506 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
AMERIPRISE FINL INC | COM | 03076C106 | 2,465 | 15,993 | SH | SOLE | 15,993 | 0 | 0 | ||
AT&T INC | COM | 00206R102 | 47 | 1,650 | SH | SOLE | 1,650 | 0 | 0 | ||
AVIAT NETWORKS INC | COM NEW | 05366Y201 | 1 | 33 | SH | SOLE | 33 | 0 | 0 | ||
B RILEY PRIN MERGER CORP II | CL A | 05600U106 | 5,005 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
B RILEY PRIN MERGER CORP II | *W EXP 05/06/202 | 05600U114 | 338 | 250,000 | SH | SOLE | 250,000 | 0 | 0 | ||
BANK NEW YORK MELLON CORP | COM | 064058100 | 69 | 2,000 | SH | SOLE | 2,000 | 0 | 0 | ||
BLACKSTONE GROUP INC | COM CL A | 09260D107 | 4,176 | 80,000 | SH | SOLE | 80,000 | 0 | 0 | ||
BLUEBIRD BIO INC | COM | 09609G100 | 1,349 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
BRUNSWICK CORP | COM | 117043109 | 18,032 | 306,099 | SH | SOLE | 306,099 | 0 | 0 | ||
CADENCE DESIGN SYSTEM INC | COM | 127387108 | 56 | 525 | SH | SOLE | 525 | 0 | 0 | ||
CAREDX INC | COM | 14167L103 | 4,742 | 125,000 | SH | SOLE | 125,000 | 0 | 0 | ||
CARRIER GLOBAL CORPORATION | COM | 14448C104 | 183 | 6,000 | SH | SOLE | 6,000 | 0 | 0 | ||
CASSAVA SCIENCES INC | COM | 14817C107 | 7,879 | 684,503 | SH | SOLE | 684,503 | 0 | 0 | ||
CODEXIS INC | COM | 192005106 | 6,799 | 579,116 | SH | SOLE | 579,116 | 0 | 0 | ||
CUE BIOPHARMA INC | COM | 22978P106 | 2,258 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
DCP MIDSTREAM LP | COM UT LTD PTN | 23311P100 | 31,821 | 2,848,805 | SH | SOLE | 2,848,805 | 0 | 0 | ||
DISH NETWORK CORPORATION | CL A | 25470M109 | 2,250 | 77,500 | SH | SOLE | 77,500 | 0 | 0 | ||
DUOS TECHNOLOGIES GROUP INC | COM | 266042407 | 1,725 | 453,616 | SH | SOLE | 453,616 | 0 | 0 | ||
DURECT CORP | COM | 266605104 | 45,169 | 26,414,656 | SH | SOLE | 26,414,656 | 0 | 0 | ||
ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 1,994 | 126,301 | SH | SOLE | 126,301 | 0 | 0 | ||
EXXON MOBIL CORP | COM | 30231G102 | 37 | 1,075 | SH | SOLE | 1,075 | 0 | 0 | ||
FATE THERAPEUTICS INC | COM | 31189P102 | 3,997 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
FG NEW AMER ACQUISITION CORP | UNIT 08/31/2027 | 30259V205 | 5,005 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
GRACE W R & CO DEL NEW | COM | 38388F108 | 8,096 | 200,934 | SH | SOLE | 200,934 | 0 | 0 | ||
GRITSTONE ONCOLOGY INC | COM | 39868T105 | 448 | 169,039 | SH | SOLE | 169,039 | 0 | 0 | ||
HAYMAKER ACQUISITION CORP II | *W EXP 10/31/202 | 42087L119 | 330 | 333,333 | SH | SOLE | 333,333 | 0 | 0 | ||
HC2 HLDGS INC | COM | 404139107 | 173 | 71,543 | SH | SOLE | 71,543 | 0 | 0 | ||
IDENTIV INC | COM NEW | 45170X205 | 13,749 | 2,196,389 | SH | SOLE | 2,196,389 | 0 | 0 | ||
INDEPENDENCE HLDG CO NEW | COM NEW | 453440307 | 2,063 | 54,711 | SH | SOLE | 54,711 | 0 | 0 | ||
INFINITY PHARMACEUTICALS INC | COM | 45665G303 | 292 | 250,000 | SH | SOLE | 250,000 | 0 | 0 | ||
INTELLICHECK INC | COM NEW | 45817G201 | 18,265 | 2,738,314 | SH | SOLE | 2,738,314 | 0 | 0 | ||
INTEVAC INC | COM | 461148108 | 27,271 | 4,949,355 | SH | SOLE | 4,949,355 | 0 | 0 | ||
JPMORGAN CHASE & CO | COM | 46625H100 | 2,888 | 30,000 | SH | SOLE | 30,000 | 0 | 0 | ||
L3HARRIS TECHNOLOGIES INC | COM | 502431109 | 272 | 1,600 | SH | SOLE | 1,600 | 0 | 0 | ||
LIBERTY GLOBAL PLC | SHS CL C | G5480U120 | 1,430 | 69,618 | SH | SOLE | 69,618 | 0 | 0 | ||
LIBERTY GLOBAL PLC | SHS CL A | G5480U104 | 483 | 22,989 | SH | SOLE | 22,989 | 0 | 0 | ||
LIBERTY LATIN AMERICA LTD | COM CL A | G9001E102 | 33 | 4,017 | SH | SOLE | 4,017 | 0 | 0 | ||
LIBERTY LATIN AMERICA LTD | COM CL C | G9001E128 | 134 | 16,522 | SH | SOLE | 16,522 | 0 | 0 | ||
LIBERTY MEDIA CORP DEL | COM A SIRIUSXM | 531229409 | 3,436 | 103,602 | SH | SOLE | 103,602 | 0 | 0 | ||
LIBERTY MEDIA CORP DEL | COM C BRAVES GRP | 531229888 | 435 | 20,717 | SH | SOLE | 20,717 | 0 | 0 | ||
LIBERTY MEDIA CORP DEL | COM C SIRIUSXM | 531229607 | 7,820 | 236,396 | SH | SOLE | 236,396 | 0 | 0 | ||
LIBERTY MEDIA CORP DEL | COM A BRAVES GRP | 531229706 | 216 | 10,356 | SH | SOLE | 10,356 | 0 | 0 | ||
LINDE PLC | SHS | G5494J103 | 45,870 | 192,627 | SH | SOLE | 192,627 | 0 | 0 | ||
LIONS GATE ENTMNT CORP | CL B NON VTG | 535919500 | 143 | 16,413 | SH | SOLE | 16,413 | 0 | 0 | ||
LIQTECH INTL INC | COM | 53632A201 | 18,239 | 2,158,448 | SH | SOLE | 2,158,448 | 0 | 0 | ||
LUMENTUM HLDGS INC | COM | 55024U109 | 50 | 660 | SH | SOLE | 660 | 0 | 0 | ||
MAGENTA THERAPEUTICS INC | COM | 55910K108 | 2,393 | 351,875 | SH | SOLE | 351,875 | 0 | 0 | ||
MARINUS PHARMACEUTICALS INC | COM NEW | 56854Q200 | 7,459 | 580,462 | SH | SOLE | 580,462 | 0 | 0 | ||
NGL ENERGY PARTNERS LP | COM UNIT REPST | 62913M107 | 10,751 | 2,714,937 | SH | SOLE | 2,714,937 | 0 | 0 | ||
NUSTAR ENERGY LP | UNIT COM | 67058H102 | 4,625 | 435,500 | SH | SOLE | 435,500 | 0 | 0 | ||
ORBITAL ENERGY GROUP INC | COM | 68559A109 | 2,294 | 3,700,542 | SH | SOLE | 3,700,542 | 0 | 0 | ||
ORCHARD THERAPEUTICS PLC | ADS | 68570P101 | 1,028 | 250,000 | SH | SOLE | 250,000 | 0 | 0 | ||
OTIS WORLDWIDE CORP | COM | 68902V107 | 187 | 3,000 | SH | SOLE | 3,000 | 0 | 0 | ||
PAYPAL HLDGS INC | COM | 70450Y103 | 985 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
PRGX GLOBAL INC | COM NEW | 69357C503 | 38 | 7,938 | SH | SOLE | 7,938 | 0 | 0 | ||
RAYTHEON TECHNOLOGIES CORP | COM | 75513E101 | 345 | 6,000 | SH | SOLE | 6,000 | 0 | 0 | ||
RICEBRAN TECHNOLOGIES | COM NEW | 762831204 | 715 | 1,703,334 | SH | SOLE | 1,703,334 | 0 | 0 | ||
ROYALTY PHARMA PLC | SHS CL A | G7709Q104 | 46,949 | 1,115,980 | SH | SOLE | 1,115,980 | 0 | 0 | ||
S&P GLOBAL INC | COM | 78409V104 | 14,424 | 40,000 | SH | SOLE | 40,000 | 0 | 0 | ||
SHELL MIDSTREAM PARTNERS L P | UNIT LTD INT | 822634101 | 8,640 | 913,347 | SH | SOLE | 913,347 | 0 | 0 | ||
SPDR GOLD TR | GOLD SHS | 78463V107 | 84,132 | 475,000 | SH | SOLE | 475,000 | 0 | 0 | ||
SPROTT PHYSICAL GOLD TR | UNIT | 85207H104 | 189 | 12,540 | SH | SOLE | 12,540 | 0 | 0 | ||
TERADYNE INC | COM | 880770102 | 48 | 600 | SH | SOLE | 600 | 0 | 0 | ||
TG THERAPEUTICS INC | COM | 88322Q108 | 1,873 | 70,000 | SH | SOLE | 70,000 | 0 | 0 | ||
THOR INDS INC | COM | 885160101 | 10,455 | 109,753 | SH | SOLE | 109,753 | 0 | 0 | ||
X4 PHARMACEUTICALS INC | COM | 98420X103 | 242 | 35,730 | SH | SOLE | 35,730 | 0 | 0 | ||
XEROX HOLDINGS CORP | COM NEW | 98421M106 | 31,463 | 1,676,225 | SH | SOLE | 1,676,225 | 0 | 0 | ||
XILINX INC | COM | 983919101 | 55 | 530 | SH | SOLE | 530 | 0 | 0 | ||
XPERI HOLDING CORP | COM | 98390M103 | 1 | 90 | SH | SOLE | 90 | 0 | 0 |