Q3 2020 Holdings
Filed 2020-11-02 | 1556 holdings | $37.4M | 13F-HR | View on SEC ↗ · Holdings Table ↗
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| Issuer | Class | CUSIP | Value ↑ | Shares | % Portfolio |
|---|---|---|---|---|---|
| Hancock Jaffe Laboratories I | *W EXP 05/30/202 | 41015N114 | $1 | 10,000 | 0.0% |
| Senseonics Hldgs Inc(SENS1GBP) | COM | 81727U105 | $4 | 10,500 | 0.0% |
| Bristol-Myers Squibb Co(CELG-R) | RIGHT 12/30/2030 | 110122140 | $6 | 15,000 | 0.0% |
| Eyepoint Pharmaceuticals Inc | COM | 30233G100 | $7 | 14,000 | 0.0% |
| Pareteum Corp(TEUM) | COM NEW | 69946T207 | $8 | 11,762 | 0.0% |
| Hexo Corp | COM | 428304109 | $10 | 15,174 | 0.0% |
| Ampio Pharmaceuticals Inc | COM | 03209T109 | $10 | 10,500 | 0.0% |
| CSI Compressco LP | COM UNIT | 12637A103 | $10 | 10,990 | 0.0% |
| Novan Inc | COM | 66988N106 | $10 | 21,500 | 0.0% |
| Mcewen MNG Inc | COM | 58039P107 | $11 | 10,362 | 0.0% |
| Organigram Hldgs Inc | COM | 68620P101 | $11 | 10,665 | 0.0% |
| Prospect Cap Corp | NOTE 4.950% 7/1 | 74348TAR3 | $11 | $11,000 | 0.0% |
| Bionano Genomics Inc(BNGOUSD) | COM | 09075F107 | $11 | 17,000 | 0.0% |
| Transglobe Energy Corp | COM | 893662106 | $12 | 24,804 | 0.0% |
| Acasti Pharma Inc | CL A NEW | 00430K402 | $14 | 30,000 | 0.0% |
| Pennsylvania Real Estate INV | SH BEN INT | 709102107 | $14 | 25,024 | 0.0% |
| Reeds Inc | COM | 758338107 | $14 | 15,000 | 0.0% |
| Turquoise Hill RES LTD | COM | 900435108 | $18 | 23,600 | 0.0% |
| Oncolytics Biotech Inc(ONCY) | COM NEW | 682310875 | $18 | 10,736 | 0.0% |
| CBL & Assoc Pptys Inc | COM | 124830100 | $20 | 113,599 | 0.0% |
| Newage Inc | COM | 650194103 | $21 | 12,029 | 0.0% |
| Vertex Energy Inc(VTNRUSD) | COM | 92534K107 | $23 | 45,246 | 0.0% |
| Western Asset MTG Cap Corp | COM | 95790D105 | $27 | 13,432 | 0.0% |
| BlackRock Cap Invt Corp(BKCCUSD) | COM | 092533108 | $28 | 11,533 | 0.0% |
| Akers Biosciences Inc | COM | 00973E409 | $28 | 12,500 | 0.0% |
| Geron Corp(GERN) | COM | 374163103 | $29 | 16,850 | 0.0% |
| Vyne Therapeutics Inc | COM NEW | 92941V100 | $30 | 18,006 | 0.0% |
| Entercom Communications Corp(ETMUSD) | CL A | 293639100 | $32 | 20,147 | 0.0% |
| Transocean LTD(RIG) | REG SHS | H8817H100 | $32 | 39,046 | 0.0% |
| Genius Brands Intl Inc | COM | 37229T301 | $33 | 28,143 | 0.0% |
| MEI Pharma Inc | COM NEW | 55279B202 | $33 | 10,441 | 0.0% |
| Pavmed Inc | COM | 70387R106 | $34 | 19,188 | 0.0% |
| Oncosec MED Inc | COM | 68234L306 | $35 | 10,500 | 0.0% |
| FAT Brands Inc(FATAQ) | COM | 30258N105 | $38 | 11,000 | 0.0% |
| Patterson UTI Energy Inc(PTEN) | COM | 703481101 | $38 | 10,882 | 0.0% |
| Cohen & Steers MLP Inc & ENR | COM SHS | 19249B106 | $41 | 26,928 | 0.0% |
| Athersys Inc New(ATHXEUR) | COM | 04744L106 | $41 | 15,098 | 0.0% |
| Neuberger Berman MLP and ENR(NML) | COM | 64129H104 | $41 | 17,397 | 0.0% |
| New Gold Inc CDA(NGD) | COM | 644535106 | $43 | 31,800 | 0.0% |
| Durect Corp(DRRXEUR) | COM | 266605104 | $47 | 23,000 | 0.0% |
| Baytex Energy Corp(BTE) | COM | 07317Q105 | $47 | 94,200 | 0.0% |
| Nomura Hldgs Inc(NMR) | SPONSORED ADR | 65535H208 | $48 | 10,861 | 0.0% |
| Communications SYS Inc | COM | 203900105 | $52 | 13,550 | 0.0% |
| Mizuho Financial Group Inc.(MFG) | SPONSORED ADR | 60687Y109 | $55 | 22,121 | 0.0% |
| Biosig Technologies Inc | COM NEW | 09073N201 | $56 | 11,320 | 0.0% |
| AMC Entmt Hldgs Inc | CL A COM | 00165C104 | $57 | 12,080 | 0.0% |
| Sientra Inc | COM | 82621J105 | $58 | 15,000 | 0.0% |
| United Microelectronics Corp(UMC) | SPON ADR NEW | 910873405 | $59 | 20,845 | 0.0% |
| Republic First Bancorp Inc(FRBKQ) | COM | 760416107 | $61 | 30,680 | 0.0% |
| Crescent PT Energy Corp | COM | 22576C101 | $69 | 42,811 | 0.0% |