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 | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
| 3M Company | COM | 88579Y101 | 1,010 | 7,121 | SH | OTR | 6,326 | 0 | 795 | ||
| Aflac Incorporated | COM | 001055102 | 849 | 14,604 | SH | OTR | 13,044 | 0 | 1,560 | ||
| Akorn, Inc. | COM | 009728106 | 2,704 | 94,850 | SH | OTR | 81,290 | 0 | 13,560 | ||
| American Express Company | COM | 025816109 | 854 | 11,524 | SH | OTR | 10,139 | 0 | 1,385 | ||
| Apple Inc. | COM | 037833100 | 207 | 1,880 | SH | OTR | 1,880 | 0 | 0 | ||
| Array Biopharma Inc. | COM | 04269X105 | 1,741 | 381,777 | SH | OTR | 326,842 | 0 | 54,935 | ||
| AtriCure Inc. | COM | 04963C209 | 4,427 | 202,035 | SH | OTR | 173,865 | 0 | 28,170 | ||
| Avinger, Inc. | COM | 053734109 | 222 | 15,060 | SH | OTR | 15,060 | 0 | 0 | ||
| Cempra, Inc | COM | 15130J109 | 2,648 | 95,121 | SH | OTR | 85,213 | 0 | 9,908 | ||
| CommVault Systems Inc. | COM | 204166102 | 1,088 | 32,036 | SH | OTR | 26,506 | 0 | 5,530 | ||
| Constant Contact, Inc. | COM | 210313102 | 2,334 | 96,298 | SH | OTR | 80,918 | 0 | 15,380 | ||
| Cummins Inc. | COM | 231021106 | 865 | 7,970 | SH | OTR | 7,070 | 0 | 900 | ||
| Eagle Pharmaceuticals, Inc. | COM | 269796108 | 397 | 5,358 | SH | OTR | 5,358 | 0 | 0 | ||
| Eastman Chemical Co. | COM | 277432100 | 809 | 12,496 | SH | OTR | 11,041 | 0 | 1,455 | ||
| Emcore Corp. | COM NEW | 290846203 | 11,823 | 1,738,700 | SH | DFND | 1,738,700 | 0 | 0 | ||
| Emcore Corp. | COM NEW | 290846203 | 10,173 | 1,496,023 | SH | OTR | 1,496,023 | 0 | 0 | ||
| Enzo Biochem, Inc | COM | 294100102 | 222 | 70,000 | SH | DFND | 70,000 | 0 | 0 | ||
| Enzo Biochem, Inc | COM | 294100102 | 1,902 | 600,027 | SH | OTR | 552,322 | 0 | 47,705 | ||
| EOG Resources | COM | 26875P101 | 767 | 10,530 | SH | OTR | 9,385 | 0 | 1,145 | ||
| Exxon Mobil Corporation | COM | 30231G102 | 632 | 8,505 | SH | OTR | 7,504 | 0 | 1,001 | ||
| Finisar Corp. | COM NEW | 31787A507 | 4,307 | 387,000 | SH | DFND | 387,000 | 0 | 0 | ||
| Finisar Corp. | COM NEW | 31787A507 | 5,825 | 523,404 | SH | OTR | 498,481 | 0 | 24,923 | ||
| Flamel Technologies SA Spons A | SPONSORED ADR | 338488109 | 278 | 17,049 | SH | OTR | 17,049 | 0 | 0 | ||
| Gigamon Inc. | COM | 37518B102 | 740 | 37,000 | SH | DFND | 37,000 | 0 | 0 | ||
| Gigamon Inc. | COM | 37518B102 | 4,402 | 219,975 | SH | OTR | 203,620 | 0 | 16,355 | ||
| Halliburton Company | COM | 406216101 | 721 | 20,385 | SH | OTR | 17,795 | 0 | 2,590 | ||
| Healthways Inc. | COM | 422245100 | 173 | 15,590 | SH | OTR | 15,590 | 0 | 0 | ||
| Hormel Foods Corporation | COM | 440452100 | 1,117 | 17,640 | SH | OTR | 15,600 | 0 | 2,040 | ||
| IGI Laboratories, Inc. | COM | 449575109 | 3,457 | 528,600 | SH | DFND | 528,600 | 0 | 0 | ||
| IGI Laboratories, Inc. | COM | 449575109 | 9,174 | 1,402,720 | SH | OTR | 1,337,375 | 0 | 65,345 | ||
| Insulet Corp. | COM | 45784P101 | 1,877 | 72,441 | SH | OTR | 61,676 | 0 | 10,765 | ||
| Integrated Device Technology Inc. | COM | 458118106 | 3,171 | 156,230 | SH | OTR | 131,015 | 0 | 25,215 | ||
| Intel Corp. | COM | 458140100 | 200 | 6,644 | SH | OTR | 6,644 | 0 | 0 | ||
| Intersect ENT Inc. | COM | 46071F103 | 2,630 | 112,400 | SH | DFND | 112,400 | 0 | 0 | ||
| Intersect ENT Inc. | COM | 46071F103 | 7,638 | 326,409 | SH | OTR | 307,343 | 0 | 19,066 | ||
| IntraLinks Holdings Inc. | COM | 46118H104 | 1,078 | 130,000 | SH | DFND | 130,000 | 0 | 0 | ||
| IntraLinks Holdings Inc. | COM | 46118H104 | 4,108 | 495,560 | SH | OTR | 453,595 | 0 | 41,965 | ||
| Johnson & Johnson | COM | 478160104 | 834 | 8,938 | SH | OTR | 7,963 | 0 | 975 | ||
| K2M Grp Hldgs | COM | 48273J107 | 1,904 | 102,351 | SH | OTR | 88,913 | 0 | 13,438 | ||
| Lexicon Pharmaceuticals Inc. | COM NEW | 528872302 | 129 | 12,020 | SH | OTR | 12,020 | 0 | 0 | ||
| Ligand Pharmaceuticals Inc | COM NEW | 53220K504 | 2,699 | 31,508 | SH | OTR | 27,785 | 0 | 3,723 | ||
| Marriott Intl. Inc. | CL A | 571903202 | 1,059 | 15,527 | SH | OTR | 13,675 | 0 | 1,852 | ||
| MaxLinear, Inc. | CL A | 57776J100 | 885 | 71,114 | SH | OTR | 59,379 | 0 | 11,735 | ||
| NeoGenomics Inc | COM NEW | 64049M209 | 1,433 | 250,000 | SH | DFND | 250,000 | 0 | 0 | ||
| NeoGenomics Inc | COM NEW | 64049M209 | 7,525 | 1,313,268 | SH | OTR | 1,194,323 | 0 | 118,945 | ||
| Nordstrom Inc. | COM | 655664100 | 917 | 12,788 | SH | OTR | 11,363 | 0 | 1,425 | ||
| NxStage Medical, Inc | COM | 67072V103 | 2,346 | 148,757 | SH | OTR | 128,117 | 0 | 20,640 | ||
| Oclaro, Inc. | COM NEW | 67555N206 | 10,849 | 4,717,000 | SH | DFND | 4,717,000 | 0 | 0 | ||
| Oclaro, Inc. | COM NEW | 67555N206 | 14,233 | 6,188,229 | SH | OTR | 6,116,149 | 0 | 72,080 | ||
| Omnicell Inc. | COM | 68213N109 | 3,849 | 123,768 | SH | OTR | 108,153 | 0 | 15,615 | ||
| Pernix Therapeutics Holdings, Inc. | COM | 71426V108 | 480 | 152,000 | SH | DFND | 152,000 | 0 | 0 | ||
| Pernix Therapeutics Holdings, Inc. | COM | 71426V108 | 706 | 223,293 | SH | OTR | 223,293 | 0 | 0 | ||
| PowerShares QQQ Trust | UNIT SER 1 | 73935A104 | 275 | 2,700 | SH | OTR | 2,700 | 0 | 0 | ||
| The Procter & Gamble Company | COM | 742718109 | 802 | 11,147 | SH | OTR | 9,867 | 0 | 1,280 | ||
| Qorvo | COM | 74736K101 | 1,689 | 37,491 | SH | OTR | 31,538 | 0 | 5,953 | ||
| QUALCOMM Inc. | COM | 747525103 | 677 | 12,605 | SH | OTR | 11,200 | 0 | 1,405 | ||
| RTI Surgical Inc. | COM | 74975N105 | 1,603 | 282,200 | SH | DFND | 282,200 | 0 | 0 | ||
| RTI Surgical Inc. | COM | 74975N105 | 7,085 | 1,247,327 | SH | OTR | 1,155,742 | 0 | 91,585 | ||
| Ruckus Wireless Inc. | COM | 781220108 | 3,106 | 261,428 | SH | OTR | 218,973 | 0 | 42,455 | ||
| Sientra, Inc. | COM | 82621J105 | 243 | 23,910 | SH | OTR | 23,910 | 0 | 0 | ||
| Skyworks Solutions | COM | 83088M102 | 2,714 | 32,226 | SH | OTR | 27,076 | 0 | 5,150 | ||
| Southern Company | COM | 842587107 | 872 | 19,505 | SH | OTR | 17,020 | 0 | 2,485 | ||
| Southwest Airlines Co. | COM | 844741108 | 1,178 | 30,970 | SH | OTR | 27,530 | 0 | 3,440 | ||
| SPDR Trust Ser 1 | TR UNIT | 78462F103 | 843 | 4,400 | SH | OTR | 4,400 | 0 | 0 | ||
| Starbucks Corp. | COM | 855244109 | 210 | 3,695 | SH | OTR | 3,695 | 0 | 0 | ||
| SunOpta, Inc. | COM | 8676EP108 | 753 | 154,900 | SH | OTR | 154,900 | 0 | 0 | ||
| Superconductor Technologies, Inc. | COM PAR $0.001 | 867931404 | 1,084 | 1,748,290 | SH | DFND | 1,748,290 | 0 | 0 | ||
| Superconductor Technologies, Inc. | COM PAR $0.001 | 867931404 | 849 | 1,369,489 | SH | OTR | 1,369,489 | 0 | 0 | ||
| Supernus Pharmaceuticals, Inc. | COM | 868459108 | 2,034 | 145,000 | SH | DFND | 145,000 | 0 | 0 | ||
| Supernus Pharmaceuticals, Inc. | COM | 868459108 | 8,207 | 584,960 | SH | OTR | 557,389 | 0 | 27,571 | ||
| T. Rowe Price | COM | 74144T108 | 783 | 11,260 | SH | OTR | 9,990 | 0 | 1,270 | ||
| V F Corporation | COM | 918204108 | 1,046 | 15,340 | SH | OTR | 13,510 | 0 | 1,830 | ||
| Vanguard Short-Term Corporate | SHRT TRM CORP BD | 92206C409 | 319 | 4,000 | SH | OTR | 4,000 | 0 | 0 | ||
| Vanguard Total Stock | TOTAL STK MKT | 922908769 | 355 | 3,600 | SH | OTR | 3,600 | 0 | 0 | ||
| Veracyte Inc. | COM | 92337F107 | 190 | 40,410 | SH | OTR | 40,410 | 0 | 0 | ||
| Verizon Communications, Inc. | COM | 92343V104 | 770 | 17,696 | SH | OTR | 15,771 | 0 | 1,925 | ||
| Vonage Holdings Corp. | COM | 92886T201 | 788 | 134,055 | SH | OTR | 111,840 | 0 | 22,215 | ||
| Wells Fargo & Co. | COM | 949746101 | 1,042 | 20,291 | SH | OTR | 18,141 | 0 | 2,150 | ||