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 | UNIT 99/99/9999 | 00653H201 | 3,968 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
AJAX I | COM | G0190X100 | 103 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
AJAX I | *W EXP 10/27/202 | G0190X126 | 4 | 2,500 | SH | SOLE | 2,500 | 0 | 0 | ||
ALTICE USA INC | CL A | 02156K103 | 22,888 | 703,600 | SH | SOLE | 703,600 | 0 | 0 | ||
ALTRIA GROUP INC | COM | 02209S103 | 61 | 1,200 | SH | SOLE | 1,200 | 0 | 0 | ||
AMERICAN EXPRESS CO | COM | 025816109 | 3,536 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
AMERIPRISE FINL INC | COM | 03076C106 | 3,718 | 15,993 | SH | SOLE | 15,993 | 0 | 0 | ||
ARKO CORP | *W EXP 12/22/202 | 041242116 | 683 | 333,333 | SH | SOLE | 333,333 | 0 | 0 | ||
AT&T INC | COM | 00206R102 | 50 | 1,650 | SH | SOLE | 1,650 | 0 | 0 | ||
AVIAT NETWORKS INC | COM NEW | 05366Y201 | 2 | 33 | SH | SOLE | 33 | 0 | 0 | ||
B RILEY PRINCIPAL 150 MERGER | UNIT 99/99/9999 | 05601V202 | 2,250 | 225,000 | SH | SOLE | 225,000 | 0 | 0 | ||
BANK NEW YORK MELLON CORP | COM | 064058100 | 95 | 2,000 | SH | SOLE | 2,000 | 0 | 0 | ||
BLACKSTONE GROUP INC | COM | 09260D107 | 5,962 | 80,000 | SH | SOLE | 80,000 | 0 | 0 | ||
BRUNSWICK CORP | COM | 117043109 | 47,685 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
CADENCE DESIGN SYSTEM INC | COM | 127387108 | 72 | 525 | SH | SOLE | 525 | 0 | 0 | ||
CARRIER GLOBAL CORPORATION | COM | 14448C104 | 253 | 6,000 | SH | SOLE | 6,000 | 0 | 0 | ||
CASSAVA SCIENCES INC | COM | 14817C107 | 22,475 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
CELCUITY INC | COM | 15102K100 | 717 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
CM LIFE SCIENCES II INC | UNIT 02/25/2028 | 125842203 | 897 | 70,100 | SH | SOLE | 70,100 | 0 | 0 | ||
CM LIFE SCIENCES INC | COM CL A | 18978W109 | 1,489 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
CODEXIS INC | COM | 192005106 | 13,256 | 579,116 | SH | SOLE | 579,116 | 0 | 0 | ||
CONSTELLATION PHARMCETICLS I | COM | 210373106 | 4,269 | 182,500 | SH | SOLE | 182,500 | 0 | 0 | ||
CUE BIOPHARMA INC | COM | 22978P106 | 915 | 75,000 | SH | SOLE | 75,000 | 0 | 0 | ||
CURIS INC | COM NEW | 231269200 | 3,532 | 311,978 | SH | SOLE | 311,978 | 0 | 0 | ||
DISH NETWORK CORPORATION | CL A | 25470M109 | 2,806 | 77,500 | SH | SOLE | 77,500 | 0 | 0 | ||
DUOS TECHNOLOGIES GROUP INC | COM | 266042407 | 4,953 | 453,616 | SH | SOLE | 453,616 | 0 | 0 | ||
DURECT CORP | COM | 266605104 | 52,301 | 26,414,656 | SH | SOLE | 26,414,656 | 0 | 0 | ||
ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 2,781 | 126,301 | SH | SOLE | 126,301 | 0 | 0 | ||
EXXON MOBIL CORP | COM | 30231G102 | 60 | 1,075 | SH | SOLE | 1,075 | 0 | 0 | ||
FATE THERAPEUTICS INC | COM | 31189P102 | 8,245 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
FG NEW AMER ACQUISITION CORP | *W EXP 08/31/202 | 30259V114 | 385 | 250,000 | SH | SOLE | 250,000 | 0 | 0 | ||
GLOBAL BLOOD THERAPEUTICS IN | COM | 37890U108 | 4,075 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
GRACE W R & CO DEL NEW | COM | 38388F108 | 12,028 | 200,934 | SH | SOLE | 200,934 | 0 | 0 | ||
HC2 HLDGS INC | COM | 404139107 | 1,083 | 274,799 | SH | SOLE | 274,799 | 0 | 0 | ||
HEALTHCARE SERVICES ACQU COR | COM CL A | 42227K104 | 1,452 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
HEALTHCARE SERVICES ACQU COR | *W EXP 99/99/999 | 42227K112 | 47 | 75,000 | SH | SOLE | 75,000 | 0 | 0 | ||
IDENTIV INC | COM NEW | 45170X205 | 25,171 | 2,196,389 | SH | SOLE | 2,196,389 | 0 | 0 | ||
INDEPENDENCE HLDG CO NEW | COM NEW | 453440307 | 2,180 | 54,711 | SH | SOLE | 54,711 | 0 | 0 | ||
INFINITY PHARMACEUTICALS INC | COM | 45665G303 | 808 | 250,000 | SH | SOLE | 250,000 | 0 | 0 | ||
INTELLICHECK INC | COM NEW | 45817G201 | 17,377 | 2,073,583 | SH | SOLE | 2,073,583 | 0 | 0 | ||
INTEVAC INC | COM | 461148108 | 35,388 | 4,949,355 | SH | SOLE | 4,949,355 | 0 | 0 | ||
ISLEWORTH HEALTHCARE ACQU CO | COM | 46468P102 | 9,690 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
ISLEWORTH HEALTHCARE ACQU CO | *W EXP 08/02/202 | 46468P110 | 233 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
JPMORGAN CHASE & CO | COM | 46625H100 | 4,567 | 30,000 | SH | SOLE | 30,000 | 0 | 0 | ||
L3HARRIS TECHNOLOGIES INC | COM | 502431109 | 324 | 1,600 | SH | SOLE | 1,600 | 0 | 0 | ||
LIBERTY GLOBAL PLC | SHS CL A | G5480U104 | 590 | 22,989 | SH | SOLE | 22,989 | 0 | 0 | ||
LIBERTY GLOBAL PLC | SHS CL C | G5480U120 | 1,778 | 69,618 | SH | SOLE | 69,618 | 0 | 0 | ||
LIBERTY LATIN AMERICA LTD | COM CL A | G9001E102 | 52 | 4,017 | SH | SOLE | 4,017 | 0 | 0 | ||
LIBERTY LATIN AMERICA LTD | COM CL C | G9001E128 | 214 | 16,522 | SH | SOLE | 16,522 | 0 | 0 | ||
LIBERTY MEDIA CORP DEL | COM C SIRIUSXM | 531229607 | 10,427 | 236,396 | SH | SOLE | 236,396 | 0 | 0 | ||
LIBERTY MEDIA CORP DEL | COM A SIRIUSXM | 531229409 | 4,567 | 103,602 | SH | SOLE | 103,602 | 0 | 0 | ||
LIBERTY MEDIA CORP DEL | COM C BRAVES GRP | 531229888 | 576 | 20,717 | SH | SOLE | 20,717 | 0 | 0 | ||
LIBERTY MEDIA CORP DEL | COM A BRAVES GRP | 531229706 | 295 | 10,356 | SH | SOLE | 10,356 | 0 | 0 | ||
LINDE PLC | SHS | G5494J103 | 53,963 | 192,627 | SH | SOLE | 192,627 | 0 | 0 | ||
LIONS GATE ENTMNT CORP | CL B NON VTG | 535919500 | 212 | 16,413 | SH | SOLE | 16,413 | 0 | 0 | ||
LIQTECH INTL INC | COM | 53632A201 | 17,462 | 2,158,448 | SH | SOLE | 2,158,448 | 0 | 0 | ||
LUMENTUM HLDGS INC | COM | 55024U109 | 60 | 660 | SH | SOLE | 660 | 0 | 0 | ||
MAGENTA THERAPEUTICS INC | COM | 55910K108 | 5,143 | 434,400 | SH | SOLE | 434,400 | 0 | 0 | ||
MARINUS PHARMACEUTICALS INC | COM NEW | 56854Q200 | 12,847 | 829,910 | SH | SOLE | 829,910 | 0 | 0 | ||
NGL ENERGY PARTNERS LP | COM UNIT REPST | 62913M107 | 4,310 | 2,112,695 | SH | SOLE | 2,112,695 | 0 | 0 | ||
NUSTAR ENERGY LP | UNIT COM | 67058H102 | 7,443 | 435,500 | SH | SOLE | 435,500 | 0 | 0 | ||
OTIS WORLDWIDE CORP | COM | 68902V107 | 205 | 3,000 | SH | SOLE | 3,000 | 0 | 0 | ||
PAYPAL HLDGS INC | COM | 70450Y103 | 1,214 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
QUMU CORP | COM | 749063103 | 978 | 144,726 | SH | SOLE | 144,726 | 0 | 0 | ||
RAYTHEON TECHNOLOGIES CORP | COM | 75513E101 | 464 | 6,000 | SH | SOLE | 6,000 | 0 | 0 | ||
RICEBRAN TECHNOLOGIES | COM NEW | 762831204 | 1,686 | 1,703,334 | SH | SOLE | 1,703,334 | 0 | 0 | ||
ROTH CH ACQUISITION III CO | UNIT 02/26/2026 | 77867Q201 | 150 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
ROYALTY PHARMA PLC | SHS CLASS A | G7709Q104 | 8,724 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
S&P GLOBAL INC | COM | 78409V104 | 14,115 | 40,000 | SH | SOLE | 40,000 | 0 | 0 | ||
SHELL MIDSTREAM PARTNERS L P | UNIT LTD INT | 822634101 | 12,184 | 913,347 | SH | SOLE | 913,347 | 0 | 0 | ||
SONOS INC | COM | 83570H108 | 2,436 | 65,000 | SH | SOLE | 65,000 | 0 | 0 | ||
SPDR GOLD TR | GOLD SHS | 78463V107 | 75,981 | 475,000 | SH | SOLE | 475,000 | 0 | 0 | ||
SPROTT PHYSICAL GOLD TR | UNIT | 85207H104 | 168 | 12,540 | SH | SOLE | 12,540 | 0 | 0 | ||
TERADYNE INC | COM | 880770102 | 73 | 600 | SH | SOLE | 600 | 0 | 0 | ||
THOR INDS INC | COM | 885160101 | 14,788 | 109,753 | SH | SOLE | 109,753 | 0 | 0 | ||
X4 PHARMACEUTICALS INC | COM | 98420X103 | 308 | 35,730 | SH | SOLE | 35,730 | 0 | 0 | ||
XILINX INC | COM | 983919101 | 66 | 530 | SH | SOLE | 530 | 0 | 0 | ||
XPERI HOLDING CORP | COM | 98390M103 | 2 | 90 | SH | SOLE | 90 | 0 | 0 | ||
YEXT INC | COM | 98585N106 | 869 | 60,000 | SH | SOLE | 60,000 | 0 | 0 |