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 |
| ACASTI PHARMA INC | CL A | 00430K865 | 427,031 | 123,777 | SH | OTR | 1 | 0 | 123,777 | 0 | ||
| ACASTI PHARMA INC | CL A | 00430K865 | 1,279,518 | 373,582 | SH | SOLE | 373,582 | 0 | 0 | |||
| ADVERUM BIOTECHNOLOGIES INC | COM NEW | 00773U207 | 574,084 | 40,600 | SH | OTR | 1 | 0 | 40,600 | 0 | ||
| ADVERUM BIOTECHNOLOGIES INC | COM NEW | 00773U207 | 1,724,323 | 121,947 | SH | SOLE | 121,947 | 0 | 0 | |||
| ALIMERA SCIENCES INC | COM NEW | 016259202 | 1,472,948 | 377,679 | SH | OTR | 1 | 0 | 377,679 | 0 | ||
| ALIMERA SCIENCES INC | COM NEW | 016259202 | 4,456,452 | 1,142,680 | SH | SOLE | 1,142,680 | 0 | 0 | |||
| APREA THERAPEUTICS INC | COM NEW | 03836J201 | 1,013,919 | 157,241 | SH | OTR | 1 | 0 | 157,241 | 0 | ||
| APREA THERAPEUTICS INC | COM NEW | 03836J201 | 2,490,898 | 382,059 | SH | SOLE | 382,059 | 0 | 0 | |||
| BEYOND AIR INC | COM | 08862L103 | 1,605,679 | 922,804 | SH | OTR | 1 | 0 | 922,804 | 0 | ||
| BEYOND AIR INC | COM | 08862L103 | 4,857,478 | 2,791,654 | SH | SOLE | 2,791,654 | 0 | 0 | |||
| BIODESIX INC | COM | 09075X108 | 1,157,825 | 809,668 | SH | OTR | 1 | 0 | 809,668 | 0 | ||
| BIODESIX INC | COM | 09075X108 | 3,591,326 | 2,511,417 | SH | SOLE | 2,511,417 | 0 | 0 | |||
| BIOFRONTERA INC | COM NEW | 09077D209 | 188,485 | 123,352 | SH | OTR | 1 | 0 | 123,352 | 0 | ||
| BIOFRONTERA INC | COM NEW | 09077D209 | 577,718 | 378,082 | SH | SOLE | 378,082 | 0 | 0 | |||
| BK TECHNOLOGIES CORPORATION | COM NEW | 05587G203 | 1,196,485 | 81,951 | SH | OTR | 1 | 0 | 81,951 | 0 | ||
| BK TECHNOLOGIES CORPORATION | COM NEW | 05587G203 | 3,634,597 | 248,945 | SH | SOLE | 248,945 | 0 | 0 | |||
| BRAINSWAY LTD | SPONSORED ADS | 10501L106 | 318,156 | 60,143 | SH | OTR | 1 | 0 | 60,143 | 0 | ||
| BRAINSWAY LTD | SPONSORED ADS | 10501L106 | 966,975 | 182,793 | SH | SOLE | 182,793 | 0 | 0 | |||
| CELLECTAR BIOSCIENCES INC | COM NEW | 15117F807 | 2,766,852 | 695,189 | SH | OTR | 1 | 0 | 695,189 | 0 | ||
| CELLECTAR BIOSCIENCES INC | COM NEW | 15117F807 | 8,396,717 | 2,109,728 | SH | SOLE | 2,109,728 | 0 | 0 | |||
| COGNITION THERAPEUTICS INC | COM | 19243B102 | 866,127 | 475,894 | SH | OTR | 1 | 0 | 475,894 | 0 | ||
| COGNITION THERAPEUTICS INC | COM | 19243B102 | 2,586,910 | 1,421,379 | SH | SOLE | 1,421,379 | 0 | 0 | |||
| COYA THERAPEUTICS INC | COMMON STOCK | 22407B108 | 1,577,716 | 159,044 | SH | OTR | 1 | 0 | 159,044 | 0 | ||
| COYA THERAPEUTICS INC | COMMON STOCK | 22407B108 | 4,864,599 | 490,383 | SH | SOLE | 490,383 | 0 | 0 | |||
| CYBIN INC | COM | 23256X100 | 462,258 | 1,159,070 | SH | OTR | 1 | 0 | 1,159,070 | 0 | ||
| CYBIN INC | COM | 23256X100 | 1,392,711 | 3,492,095 | SH | SOLE | 3,492,095 | 0 | 0 | |||
| DELCATH SYS INC | COM NEW | 24661P807 | 3,155,454 | 681,554 | SH | OTR | 1 | 0 | 681,554 | 0 | ||
| DELCATH SYS INC | COM NEW | 24661P807 | 7,937,952 | 1,678,174 | SH | SOLE | 1,678,174 | 0 | 0 | |||
| EAGLE PHARMACEUTICALS INC | COM | 269796108 | 1,546,361 | 295,107 | SH | OTR | 1 | 0 | 295,107 | 0 | ||
| EAGLE PHARMACEUTICALS INC | COM | 269796108 | 4,670,946 | 891,402 | SH | SOLE | 891,402 | 0 | 0 | |||
| ELECTROVAYA INC | COM NEW | 28617B606 | 2,535,662 | 694,702 | SH | OTR | 1 | 0 | 694,702 | 0 | ||
| ELECTROVAYA INC | COM NEW | 28617B606 | 11,858,077 | 3,425,239 | SH | SOLE | 3,425,239 | 0 | 0 | |||
| ELUTIA INC | CL A COM | 05479K106 | 1,375,183 | 436,566 | SH | OTR | 1 | 0 | 436,566 | 0 | ||
| EVOKE PHARMA INC | COM NEW | 30049G203 | 180,681 | 296,199 | SH | OTR | 1 | 0 | 296,199 | 0 | ||
| EVOKE PHARMA INC | COM NEW | 30049G203 | 335,723 | 550,365 | SH | SOLE | 550,365 | 0 | 0 | |||
| FENNEC PHARMACEUTICALS INC | COM | 31447P100 | 1,573,480 | 141,500 | SH | OTR | 1 | 0 | 141,500 | 0 | ||
| FENNEC PHARMACEUTICALS INC | COM | 31447P100 | 4,768,612 | 428,832 | SH | SOLE | 428,832 | 0 | 0 | |||
| FRANKLIN WIRELESS CORP | COM | 355184102 | 295,490 | 98,826 | SH | OTR | 1 | 0 | 98,826 | 0 | ||
| FRANKLIN WIRELESS CORP | COM | 355184102 | 870,610 | 291,174 | SH | SOLE | 291,174 | 0 | 0 | |||
| HUMACYTE INC | COM | 44486Q103 | 1,670,558 | 537,157 | SH | OTR | 1 | 0 | 537,157 | 0 | ||
| HUMACYTE INC | COM | 44486Q103 | 5,034,471 | 1,618,801 | SH | SOLE | 1,618,801 | 0 | 0 | |||
| IDEAL PWR INC | COM NEW | 451622203 | 2,063,732 | 231,880 | SH | OTR | 1 | 0 | 231,880 | 0 | ||
| IDEAL PWR INC | COM NEW | 451622203 | 4,166,268 | 468,120 | SH | SOLE | 468,120 | 0 | 0 | |||
| IMMIX BIOPHARMA INC | COM | 45258H106 | 1,187,255 | 386,728 | SH | OTR | 1 | 0 | 386,728 | 0 | ||
| IMMIX BIOPHARMA INC | COM | 45258H106 | 3,586,595 | 1,168,272 | SH | SOLE | 1,168,272 | 0 | 0 | |||
| IN8BIO INC | COM | 45674E109 | 843,494 | 714,825 | SH | OTR | 1 | 0 | 714,825 | 0 | ||
| IN8BIO INC | COM | 45674E109 | 2,548,962 | 2,160,137 | SH | SOLE | 2,160,137 | 0 | 0 | |||
| INFINERA CORP | COM | 45667G103 | 5,362,383 | 889,284 | SH | OTR | 1 | 0 | 889,284 | 0 | ||
| INTELLICHECK INC | COM NEW | 45817G201 | 1,312,983 | 377,294 | SH | OTR | 1 | 0 | 377,294 | 0 | ||
| INTELLICHECK INC | COM NEW | 45817G201 | 3,955,827 | 1,136,732 | SH | SOLE | 1,136,732 | 0 | 0 | |||
| KIORA PHARMACEUTICALS INC | COM NEW | 49721T309 | 612,808 | 868,000 | SH | OTR | 1 | 0 | 868,000 | 0 | ||
| KIORA PHARMACEUTICALS INC | COM NEW | 49721T309 | 1,010,992 | 1,432,000 | SH | SOLE | 1,432,000 | 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 | 344,946 | 273,767 | SH | OTR | 1 | 0 | 273,767 | 0 | ||
| KWESST MICRO SYSTEMS INC | COM NEW | 501506604 | 285,185 | 228,148 | SH | SOLE | 228,148 | 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 | 1,209,533 | 876,473 | SH | OTR | 1 | 0 | 876,473 | 0 | ||
| LIGHTPATH TECHNOLOGIES INC | COM CL A | 532257805 | 3,653,493 | 2,647,459 | SH | SOLE | 2,647,459 | 0 | 0 | |||
| MICRON TECHNOLOGY INC | COM | 595112103 | 7,592,116 | 64,400 | SH | Call | OTR | 1 | 0 | 64,400 | 0 | |
| MICRON TECHNOLOGY INC | COM | 595112103 | 23,059,284 | 195,600 | SH | Call | SOLE | 195,600 | 0 | 0 | ||
| MYOMO INC | COM NEW | 62857J201 | 4,883,405 | 1,493,396 | SH | OTR | 1 | 0 | 1,493,396 | 0 | ||
| MYOMO INC | COM NEW | 62857J201 | 4,281,071 | 1,309,196 | SH | SOLE | 1,309,196 | 0 | 0 | |||
| ONESPAN INC | COM | 68287N100 | 1,449,098 | 124,600 | SH | OTR | 1 | 0 | 124,600 | 0 | ||
| ONESPAN INC | COM | 68287N100 | 4,365,902 | 375,400 | SH | SOLE | 375,400 | 0 | 0 | |||
| OUSTER INC | COM NEW | 68989M202 | 3,726,337 | 469,312 | SH | OTR | 1 | 0 | 469,312 | 0 | ||
| OUSTER INC | COM NEW | 68989M202 | 11,019,148 | 1,387,802 | SH | SOLE | 1,387,802 | 0 | 0 | |||
| POLYPID LTD | COM | M8001Q126 | 876,515 | 175,303 | SH | OTR | 1 | 0 | 175,303 | 0 | ||
| POLYPID LTD | COM | M8001Q126 | 1,398,138 | 303,943 | SH | SOLE | 303,943 | 0 | 0 | |||
| PROFOUND MED CORP | COM NEW | 74319B502 | 1,373,083 | 160,971 | SH | OTR | 1 | 0 | 160,971 | 0 | ||
| PROFOUND MED CORP | COM NEW | 74319B502 | 4,143,550 | 485,762 | SH | SOLE | 485,762 | 0 | 0 | |||
| RED CAT HLDGS INC | COM | 75644T100 | 926,788 | 1,211,488 | SH | OTR | 1 | 0 | 1,211,488 | 0 | ||
| RED CAT HLDGS INC | COM | 75644T100 | 2,871,340 | 3,753,385 | SH | SOLE | 3,753,385 | 0 | 0 | |||
| SAVERONE 2014 LTD | *W EXP 06/02/202 | 80516T113 | 12,678 | 140,864 | SH | OTR | 1 | 0 | 140,864 | 0 | ||
| SAVERONE 2014 LTD | *W EXP 06/02/202 | 80516T113 | 29,913 | 427,330 | SH | SOLE | 427,330 | 0 | 0 | |||
| SCPHARMACEUTICALS INC | COM | 810648105 | 4,222,774 | 841,190 | SH | OTR | 1 | 0 | 841,190 | 0 | ||
| SCPHARMACEUTICALS INC | COM | 810648105 | 12,790,804 | 2,547,969 | SH | SOLE | 2,547,969 | 0 | 0 | |||
| SPDR SER TR | S&P BIOTECH | 78464A870 | 23,627,610 | 249,000 | SH | Put | OTR | 1 | 0 | 249,000 | 0 | |
| SPDR SER TR | S&P BIOTECH | 78464A870 | 71,262,390 | 751,000 | SH | Put | SOLE | 751,000 | 0 | 0 | ||
| TELA BIO INC | COM | 872381108 | 1,993,986 | 351,673 | SH | OTR | 1 | 0 | 351,673 | 0 | ||
| TELA BIO INC | COM | 872381108 | 6,030,510 | 1,063,582 | SH | SOLE | 1,063,582 | 0 | 0 | |||
| THERATECHNOLOGIES INC | COM NEW | 88338H704 | 1,480,079 | 908,024 | SH | OTR | 1 | 0 | 908,024 | 0 | ||
| THERATECHNOLOGIES INC | COM NEW | 88338H704 | 4,676,519 | 2,817,180 | SH | SOLE | 2,817,180 | 0 | 0 | |||
| VACCINEX INC | COM | 918640301 | 346,210 | 46,722 | SH | OTR | 1 | 0 | 46,722 | 0 | ||
| VACCINEX INC | COM | 918640301 | 86,275 | 11,643 | SH | SOLE | 11,643 | 0 | 0 | |||