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 | 58 | 515 | SH | SOLE | 515 | 0 | 0 | ||
ADARA ACQUISITION CORP | COM CL A | 00653H102 | 3,888 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
ADARA ACQUISITION CORP | *W EXP 02/11/202 | 00653H110 | 134 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
AJAX I | COM | G0190X100 | 100 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
AJAX I | *W EXP 10/27/202 | G0190X126 | 5 | 2,500 | SH | SOLE | 2,500 | 0 | 0 | ||
ALTICE USA INC | CL A | 02156K103 | 24,874 | 728,600 | SH | SOLE | 728,600 | 0 | 0 | ||
ALTRIA GROUP INC | COM | 02209S103 | 57 | 1,200 | SH | SOLE | 1,200 | 0 | 0 | ||
AMERICAN EXPRESS CO | COM | 025816109 | 4,131 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
AMERIPRISE FINL INC | COM | 03076C106 | 3,980 | 15,993 | SH | SOLE | 15,993 | 0 | 0 | ||
ARKO CORP | *W EXP 12/22/202 | 041242116 | 663 | 333,333 | SH | SOLE | 333,333 | 0 | 0 | ||
AT&T INC | COM | 00206R102 | 47 | 1,650 | SH | SOLE | 1,650 | 0 | 0 | ||
AVIAT NETWORKS INC | COM NEW | 05366Y201 | 2 | 66 | SH | SOLE | 66 | 0 | 0 | ||
B RILEY PRIN 250 MERGER CORP | UNIT 04/06/2026 | 05602L203 | 2,238 | 225,000 | SH | SOLE | 225,000 | 0 | 0 | ||
B RILEY PRINCIPAL 150 MERGER | COM CL A | 05601V103 | 2,194 | 225,000 | SH | SOLE | 225,000 | 0 | 0 | ||
B RILEY PRINCIPAL 150 MERGER | *W EXP 03/01/202 | 05601V111 | 90 | 75,000 | SH | SOLE | 75,000 | 0 | 0 | ||
BANK NEW YORK MELLON CORP | COM | 064058100 | 102 | 2,000 | SH | SOLE | 2,000 | 0 | 0 | ||
BK TECHNOLOGIES CORPORATION | COM | 05587G104 | 945 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
BLACKSTONE GROUP INC | COM | 09260D107 | 7,771 | 80,000 | SH | SOLE | 80,000 | 0 | 0 | ||
BRUNSWICK CORP | COM | 117043109 | 49,810 | 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 | 292 | 6,000 | SH | SOLE | 6,000 | 0 | 0 | ||
CASSAVA SCIENCES INC | COM | 14817C107 | 32,040 | 375,000 | SH | SOLE | 375,000 | 0 | 0 | ||
CELCUITY INC | COM | 15102K100 | 1,200 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
CM LIFE SCIENCES II INC | CL A | 125842104 | 859 | 70,100 | SH | SOLE | 70,100 | 0 | 0 | ||
CM LIFE SCIENCES II INC | *W EXP 03/01/202 | 125842112 | 76 | 14,020 | SH | SOLE | 14,020 | 0 | 0 | ||
CM LIFE SCIENCES III INC | CLASS A COM | 125841106 | 10,320 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
CM LIFE SCIENCES III INC | *W EXP 04/30/202 | 125841114 | 516 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
CODEXIS INC | COM | 192005106 | 13,123 | 579,116 | SH | SOLE | 579,116 | 0 | 0 | ||
CONSTELLATION PHARMCETICLS I | COM | 210373106 | 6,168 | 182,500 | SH | SOLE | 182,500 | 0 | 0 | ||
CUE BIOPHARMA INC | COM | 22978P106 | 2,039 | 175,000 | SH | SOLE | 175,000 | 0 | 0 | ||
CURIS INC | COM NEW | 231269200 | 2,518 | 311,978 | SH | SOLE | 311,978 | 0 | 0 | ||
DUOS TECHNOLOGIES GROUP INC | COM | 266042407 | 4,654 | 453,616 | SH | SOLE | 453,616 | 0 | 0 | ||
DURECT CORP | COM | 266605104 | 43,056 | 26,414,656 | SH | SOLE | 26,414,656 | 0 | 0 | ||
ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 3,048 | 126,301 | SH | SOLE | 126,301 | 0 | 0 | ||
EXXON MOBIL CORP | COM | 30231G102 | 68 | 1,075 | SH | SOLE | 1,075 | 0 | 0 | ||
FATE THERAPEUTICS INC | COM | 31189P102 | 8,679 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
FG NEW AMER ACQUISITION CORP | UNIT 08/31/2027 | 30259V205 | 550 | 250,000 | SH | SOLE | 250,000 | 0 | 0 | ||
FINCH THERAPEUTICS GROUP INC | COM | 31773D101 | 11,403 | 810,416 | SH | SOLE | 810,416 | 0 | 0 | ||
GLOBAL BLOOD THERAPEUTICS IN | COM | 37890U108 | 3,502 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
GRACE W R & CO DEL NEW | COM | 38388F108 | 13,889 | 200,934 | SH | SOLE | 200,934 | 0 | 0 | ||
GRUPO TELEVISA S A B | SPON ADR REP ORD | 40049J206 | 2,142 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
HC2 HLDGS INC | COM | 404139107 | 1,094 | 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 | 67 | 75,000 | SH | SOLE | 75,000 | 0 | 0 | ||
IDENTIV INC | COM NEW | 45170X205 | 37,339 | 2,196,389 | SH | SOLE | 2,196,389 | 0 | 0 | ||
IMMUCELL CORP | COM PAR | 452525306 | 576 | 60,607 | SH | SOLE | 60,607 | 0 | 0 | ||
INDEPENDENCE HLDG CO NEW | COM NEW | 453440307 | 2,534 | 54,711 | SH | SOLE | 54,711 | 0 | 0 | ||
INFINITY PHARMACEUTICALS INC | COM | 45665G303 | 748 | 250,000 | SH | SOLE | 250,000 | 0 | 0 | ||
INTELLICHECK INC | COM NEW | 45817G201 | 17,356 | 2,073,583 | SH | SOLE | 2,073,583 | 0 | 0 | ||
INTEVAC INC | COM | 461148108 | 33,359 | 4,949,355 | SH | SOLE | 4,949,355 | 0 | 0 | ||
ISLEWORTH HEALTHCARE ACQU CO | COM | 46468P102 | 9,800 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
ISLEWORTH HEALTHCARE ACQU CO | *W EXP 08/02/202 | 46468P110 | 350 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
ISPECIMEN INC | COM | 45032V108 | 4,334 | 600,291 | SH | SOLE | 600,291 | 0 | 0 | ||
JPMORGAN CHASE & CO | COM | 46625H100 | 4,666 | 30,000 | SH | SOLE | 30,000 | 0 | 0 | ||
L3HARRIS TECHNOLOGIES INC | COM | 502431109 | 346 | 1,600 | SH | SOLE | 1,600 | 0 | 0 | ||
LIBERTY GLOBAL PLC | SHS CL A | G5480U104 | 624 | 22,989 | SH | SOLE | 22,989 | 0 | 0 | ||
LIBERTY GLOBAL PLC | SHS CL C | G5480U120 | 1,882 | 69,618 | SH | SOLE | 69,618 | 0 | 0 | ||
LIBERTY LATIN AMERICA LTD | COM CL C | G9001E128 | 233 | 16,522 | SH | SOLE | 16,522 | 0 | 0 | ||
LIBERTY LATIN AMERICA LTD | COM CL A | G9001E102 | 56 | 4,017 | SH | SOLE | 4,017 | 0 | 0 | ||
LIBERTY MEDIA CORP DEL | COM C SIRIUSXM | 531229607 | 10,966 | 236,396 | SH | SOLE | 236,396 | 0 | 0 | ||
LIBERTY MEDIA CORP DEL | COM A SIRIUSXM | 531229409 | 4,826 | 103,602 | SH | SOLE | 103,602 | 0 | 0 | ||
LIBERTY MEDIA CORP DEL | COM C BRAVES GRP | 531229888 | 575 | 20,717 | SH | SOLE | 20,717 | 0 | 0 | ||
LIBERTY MEDIA CORP DEL | COM A BRAVES GRP | 531229706 | 292 | 10,356 | SH | SOLE | 10,356 | 0 | 0 | ||
LINDE PLC | SHS | G5494J103 | 55,688 | 192,627 | SH | SOLE | 192,627 | 0 | 0 | ||
LIONS GATE ENTMNT CORP | CL B NON VTG | 535919500 | 300 | 16,413 | SH | SOLE | 16,413 | 0 | 0 | ||
LIQTECH INTL INC | COM | 53632A201 | 15,800 | 2,158,448 | SH | SOLE | 2,158,448 | 0 | 0 | ||
LUMENTUM HLDGS INC | COM | 55024U109 | 54 | 660 | SH | SOLE | 660 | 0 | 0 | ||
MAGENTA THERAPEUTICS INC | COM | 55910K108 | 4,248 | 434,400 | SH | SOLE | 434,400 | 0 | 0 | ||
MARINUS PHARMACEUTICALS INC | COM NEW | 56854Q200 | 19,061 | 1,062,500 | SH | SOLE | 1,062,500 | 0 | 0 | ||
NGL ENERGY PARTNERS LP | COM UNIT REPST | 62913M107 | 5,028 | 2,112,695 | SH | SOLE | 2,112,695 | 0 | 0 | ||
NUSTAR ENERGY LP | UNIT COM | 67058H102 | 7,861 | 435,500 | SH | SOLE | 435,500 | 0 | 0 | ||
OTIS WORLDWIDE CORP | COM | 68902V107 | 245 | 3,000 | SH | SOLE | 3,000 | 0 | 0 | ||
PAYPAL HLDGS INC | COM | 70450Y103 | 1,457 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
PIONEER MERGER CORP | CL A SHS | G7S24C103 | 21,059 | 2,125,000 | SH | SOLE | 2,125,000 | 0 | 0 | ||
PIONEER MERGER CORP | *W EXP 01/07/202 | G7S24C111 | 1,140 | 708,333 | SH | SOLE | 708,333 | 0 | 0 | ||
QUMU CORP | COM | 749063103 | 1,440 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
RAYTHEON TECHNOLOGIES CORP | COM | 75513E101 | 512 | 6,000 | SH | SOLE | 6,000 | 0 | 0 | ||
RICEBRAN TECHNOLOGIES | COM NEW | 762831204 | 1,130 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
ROTH CH ACQUISITION III CO | COM | 77867Q102 | 148 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
ROTH CH ACQUISITION III CO | *W EXP 02/26/202 | 77867Q110 | 6 | 3,750 | SH | SOLE | 3,750 | 0 | 0 | ||
ROYALTY PHARMA PLC | SHS CLASS A | G7709Q104 | 8,198 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
S&P GLOBAL INC | COM | 78409V104 | 16,418 | 40,000 | SH | SOLE | 40,000 | 0 | 0 | ||
SHELL MIDSTREAM PARTNERS L P | UNIT LTD INT | 822634101 | 13,490 | 913,347 | SH | SOLE | 913,347 | 0 | 0 | ||
SONOS INC | COM | 83570H108 | 2,290 | 65,000 | SH | SOLE | 65,000 | 0 | 0 | ||
SPDR GOLD TR | GOLD SHS | 78463V107 | 78,674 | 475,000 | SH | SOLE | 475,000 | 0 | 0 | ||
SPROTT PHYSICAL GOLD TR | UNIT | 85207H104 | 176 | 12,540 | SH | SOLE | 12,540 | 0 | 0 | ||
TERADYNE INC | COM | 880770102 | 80 | 600 | SH | SOLE | 600 | 0 | 0 | ||
THOR INDS INC | COM | 885160101 | 12,402 | 109,753 | SH | SOLE | 109,753 | 0 | 0 | ||
X4 PHARMACEUTICALS INC | COM | 98420X103 | 232 | 35,730 | SH | SOLE | 35,730 | 0 | 0 | ||
XILINX INC | COM | 983919101 | 77 | 530 | SH | SOLE | 530 | 0 | 0 | ||
XPERI HOLDING CORP | COM | 98390M103 | 2 | 90 | SH | SOLE | 90 | 0 | 0 | ||
YEXT INC | COM | 98585N106 | 857 | 60,000 | SH | SOLE | 60,000 | 0 | 0 |