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 |
ARI Network Services, Inc. | common | 001930205 | 758 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
Acadia Pharmaceuticals, Inc. | common | 004225108 | 2,107 | 66,357 | SH | SOLE | 66,357 | 0 | 0 | ||
Active Power, Inc. | common | 00504W308 | 1,159 | 629,800 | SH | SOLE | 629,800 | 0 | 0 | ||
Adept Technology, Inc. | common | 006854202 | 12,741 | 1,467,850 | SH | SOLE | 1,467,850 | 0 | 0 | ||
Aerovironment, Inc. | common | 008073108 | 9,160 | 336,159 | SH | SOLE | 336,159 | 0 | 0 | ||
Amber Road, Inc. | common | 02318Y108 | 2,543 | 248,844 | SH | SOLE | 248,844 | 0 | 0 | ||
Ameresco, Inc. | common | 02361E108 | 2,004 | 286,240 | SH | SOLE | 286,240 | 0 | 0 | ||
Amtech Systems, Inc. | common | 032332504 | 382 | 37,629 | SH | SOLE | 37,629 | 0 | 0 | ||
Antibe Therapeutics, Inc. | common | 037025103 | 717 | 1,666,667 | SH | SOLE | 1,666,667 | 0 | 0 | ||
Aratana Therapeutics, Inc. | common | 03874P101 | 10,692 | 600,000 | SH | SOLE | 600,000 | 0 | 0 | ||
Ardmore Shipping Corp(Ireland) | common | Y0207T100 | 6,640 | 554,710 | SH | SOLE | 554,710 | 0 | 0 | ||
Argos Therapeutics, Inc. | common | 040221103 | 7,500 | 750,000 | SH | SOLE | 750,000 | 0 | 0 | ||
Arrowhead Research Corporation | common | 042797209 | 416 | 56,408 | SH | SOLE | 56,408 | 0 | 0 | ||
BTU International Corp. | common | 056032105 | 4,415 | 1,341,837 | SH | SOLE | 1,341,837 | 0 | 0 | ||
Bavarian Nordic A/S (Denmark) | common | 009225196 | 2,888 | 90,000 | SH | SOLE | 90,000 | 0 | 0 | ||
BioTelemetry, Inc. | common | 090672106 | 2,509 | 250,182 | SH | SOLE | 250,182 | 0 | 0 | ||
Brightcove, Inc. | common | 075097042 | 14,926 | 1,918,557 | SH | SOLE | 1,918,557 | 0 | 0 | ||
Broadwind Energy Inc. | common | 11161T108 | 11,385 | 2,112,191 | SH | SOLE | 2,112,191 | 0 | 0 | ||
CEVA, Inc. | common | 157210105 | 23,137 | 1,275,449 | SH | SOLE | 1,275,449 | 0 | 0 | ||
CPI Aerostructures, Inc. | common | 125919308 | 9,767 | 931,040 | SH | SOLE | 931,040 | 0 | 0 | ||
CTPartners Executive Search | common | 22945C105 | 1,671 | 110,000 | SH | SOLE | 110,000 | 0 | 0 | ||
CVD Equipment Corporation | common | 126601103 | 5,024 | 349,166 | SH | SOLE | 349,166 | 0 | 0 | ||
Carbon Natural Gas Co. | common | 14115T109 | 6,969 | 10,888,889 | SH | SOLE | 10,888,889 | 0 | 0 | ||
Cellectar Biosciences, Inc. | common | 15117F203 | 3,530 | 1,142,368 | SH | SOLE | 1,142,368 | 0 | 0 | ||
Chase Packaging Corporation | common | 161635107 | 38 | 684,954 | SH | SOLE | 684,954 | 0 | 0 | ||
Cimatron Ltd. (Israel) | common | M23798107 | 1,982 | 224,467 | SH | SOLE | 224,467 | 0 | 0 | ||
Constant Contact Inc. | common | 210313102 | 10,983 | 299,252 | SH | SOLE | 299,252 | 0 | 0 | ||
Crailar Technologies Inc. | common | 224248104 | 1,333 | 6,410,123 | SH | SOLE | 6,410,123 | 0 | 0 | ||
DSP Group, Inc. | common | 23332B106 | 5,482 | 504,334 | SH | SOLE | 504,334 | 0 | 0 | ||
Dicerna Pharmaceuticals, Inc. | common | 253031108 | 1,318 | 80,000 | SH | SOLE | 80,000 | 0 | 0 | ||
Digital Guardian Inc. | common | 999999999 | 292 | 860,226 | SH | SOLE | 860,226 | 0 | 0 | ||
Dixie Group, Inc. | common | 255519100 | 4,540 | 495,094 | SH | SOLE | 495,094 | 0 | 0 | ||
Energous, Corp. | common | 29272C103 | 9,931 | 906,096 | SH | SOLE | 906,096 | 0 | 0 | ||
Entropic Communications, Inc. | common | 29384R105 | 9,043 | 3,574,310 | SH | SOLE | 3,574,310 | 0 | 0 | ||
Erickson Incorporated | common | 29482P100 | 5,329 | 638,976 | SH | SOLE | 638,976 | 0 | 0 | ||
Extreme Networks, Inc. | common | 30226D106 | 8,553 | 2,422,864 | SH | SOLE | 2,422,864 | 0 | 0 | ||
Five Prime Therapeutics, Inc. | common | 33830X104 | 8,100 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
Foundation Healthcare, Inc. | common | 350405106 | 1,126 | 3,574,220 | SH | SOLE | 3,574,220 | 0 | 0 | ||
Fuelcell Energy Inc. | common | 35952H106 | 4,905 | 3,184,885 | SH | SOLE | 3,184,885 | 0 | 0 | ||
GeneNews, Ltd. (Canada) (CF) | common | 36870T107 | 14,093 | 9,303,242 | SH | SOLE | 9,303,242 | 0 | 0 | ||
Gigamon, Inc. | common | 37518B102 | 8,315 | 468,966 | SH | SOLE | 468,966 | 0 | 0 | ||
Global Power Equipment Group | common | 37941P306 | 898 | 65,000 | SH | SOLE | 65,000 | 0 | 0 | ||
Hamilton Thorne, Ltd.(Canada) | common | 407891100 | 2,949 | 8,356,544 | SH | SOLE | 8,356,544 | 0 | 0 | ||
Hamilton Thorne, Ltd.(Rest Lt | common | 407891100 | 406 | 1,400,000 | SH | SOLE | 1,400,000 | 0 | 0 | ||
Health Insurance Innovations | common | 42225K106 | 365 | 51,000 | SH | SOLE | 51,000 | 0 | 0 | ||
IZEA Inc. | common | 46603N202 | 3,040 | 10,857,144 | SH | SOLE | 10,857,144 | 0 | 0 | ||
Ideal Power, Inc. | common | 451622104 | 8,327 | 1,146,935 | SH | SOLE | 1,146,935 | 0 | 0 | ||
Incontact Inc. | common | 45336E109 | 7,591 | 863,552 | SH | SOLE | 863,552 | 0 | 0 | ||
Infusystem Holdings, Inc. | common | 45685K102 | 3,695 | 1,173,102 | SH | SOLE | 1,173,102 | 0 | 0 | ||
Integral Vision, Inc. | common | 45811H106 | 5 | 1,850,000 | SH | SOLE | 1,850,000 | 0 | 0 | ||
Intermap Technologies Corp | common | 458977204 | 837 | 14,976,204 | SH | SOLE | 14,976,204 | 0 | 0 | ||
Interplay Entertainment Corp. | common | 460615107 | 58 | 9,133,000 | SH | SOLE | 9,133,000 | 0 | 0 | ||
Iteris, Inc. | common | 46564T107 | 962 | 556,169 | SH | SOLE | 556,169 | 0 | 0 | ||
Kindred Biosciences, Inc. | common | 494577109 | 977 | 131,090 | SH | SOLE | 131,090 | 0 | 0 | ||
Kopin Corporation | common | 500600101 | 22,178 | 6,126,598 | SH | SOLE | 6,126,598 | 0 | 0 | ||
LRAD Corporation | common | 50213V109 | 12,603 | 4,667,710 | SH | SOLE | 4,667,710 | 0 | 0 | ||
Lakeland Industries, Inc. | common | 511795106 | 648 | 69,198 | SH | SOLE | 69,198 | 0 | 0 | ||
Lemaitre Vascular Inc. | common | 525558201 | 10,173 | 1,329,858 | SH | SOLE | 1,329,858 | 0 | 0 | ||
Lightbridge Corporation | common | 53224K104 | 5,439 | 3,508,789 | SH | SOLE | 3,508,789 | 0 | 0 | ||
LivePerson, Inc. | common | 538146101 | 20,124 | 1,427,200 | SH | SOLE | 1,427,200 | 0 | 0 | ||
Loxo Oncology, Inc. | common | 548862101 | 881 | 75,000 | SH | SOLE | 75,000 | 0 | 0 | ||
MagneTek, Inc. | common | 559424403 | 9,761 | 240,126 | SH | SOLE | 240,126 | 0 | 0 | ||
Manitex Int'l Inc. | common | 563420108 | 6,704 | 527,491 | SH | SOLE | 527,491 | 0 | 0 | ||
Marin Software, Inc. | common | 56804T106 | 1,933 | 228,456 | SH | SOLE | 228,456 | 0 | 0 | ||
Marinus Pharmaceuticals, Inc. | common | 56854Q101 | 2,818 | 267,337 | SH | SOLE | 267,337 | 0 | 0 | ||
Marrone Bio Innovations, Inc. | common | 57165B106 | 1,135 | 314,461 | SH | SOLE | 314,461 | 0 | 0 | ||
MaxLinear, Inc. | common | 57776J100 | 7,176 | 968,397 | SH | SOLE | 968,397 | 0 | 0 | ||
Meru Networks, Inc. | common | 59047Q103 | 971 | 258,265 | SH | SOLE | 258,265 | 0 | 0 | ||
MicroFinancial Incorporated | common | 595072109 | 10,132 | 992,804 | SH | SOLE | 992,804 | 0 | 0 | ||
MoSys, Inc. | common | 619718109 | 2,914 | 1,558,027 | SH | SOLE | 1,558,027 | 0 | 0 | ||
NTN Buzztime, Inc. | common | 629410309 | 3,442 | 7,823,652 | SH | SOLE | 7,823,652 | 0 | 0 | ||
NV5 Holding Inc. | common | 62945V109 | 975 | 75,000 | SH | SOLE | 75,000 | 0 | 0 | ||
NeoPhotonics Corporation | common | 64051T100 | 7,541 | 2,230,997 | SH | SOLE | 2,230,997 | 0 | 0 | ||
Neonode, Inc. | common | 64051M402 | 9,358 | 2,768,640 | SH | SOLE | 2,768,640 | 0 | 0 | ||
Netlist, Inc. | common | 64118P109 | 505 | 691,263 | SH | SOLE | 691,263 | 0 | 0 | ||
Novavax, Inc. | common | 670002104 | 3,380 | 570,000 | SH | SOLE | 570,000 | 0 | 0 | ||
Opko Health Inc. | common | 68375N103 | 3,496 | 350,000 | SH | SOLE | 350,000 | 0 | 0 | ||
Oramed Pharmaceuticals Inc. | common | 68403P203 | 1,866 | 409,316 | SH | SOLE | 409,316 | 0 | 0 | ||
Orion Marine Group, Inc. | common | 68628V308 | 3,133 | 283,518 | SH | SOLE | 283,518 | 0 | 0 | ||
Ossen Innovation Co. Spon-ADR | common | 688410109 | 920 | 1,121,537 | SH | SOLE | 1,121,537 | 0 | 0 | ||
OvaScience, Inc. | common | 69014Q101 | 3,272 | 74,000 | SH | SOLE | 74,000 | 0 | 0 | ||
PC-Tel, Inc. | common | 69325Q105 | 4,127 | 476,576 | SH | SOLE | 476,576 | 0 | 0 | ||
Pacira Pharmaceuticals, Inc. | common | 695127100 | 15,959 | 180,000 | SH | SOLE | 180,000 | 0 | 0 | ||
ParkerVision, Inc. | common | 701354102 | 1,990 | 2,187,196 | SH | SOLE | 2,187,196 | 0 | 0 | ||
Parnell Pharmaceuticals Holdin | common | q73622104 | 1,134 | 273,901 | SH | SOLE | 273,901 | 0 | 0 | ||
Pfenex, Inc. | common | 717071104 | 7,320 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
Pfsweb, Inc. | common | 717098206 | 29,105 | 2,298,955 | SH | SOLE | 2,298,955 | 0 | 0 | ||
PowerSecure International, Inc | common | 73936N105 | 11,912 | 1,022,531 | SH | SOLE | 1,022,531 | 0 | 0 | ||
Precision Optics Corporation | common | 740294301 | 762 | 1,269,213 | SH | SOLE | 1,269,213 | 0 | 0 | ||
Pure Technologies, Ltd. | common | 745915108 | 11,889 | 1,869,300 | SH | SOLE | 1,869,300 | 0 | 0 | ||
Quantum Fuel Systems Tech Worl | common | 74765E109 | 1,120 | 535,732 | SH | SOLE | 535,732 | 0 | 0 | ||
Qumu Corporation | common | 749063103 | 299 | 21,871 | SH | SOLE | 21,871 | 0 | 0 | ||
Regulus Therapeutics, Inc. | common | 75915K101 | 2,440 | 152,100 | SH | SOLE | 152,100 | 0 | 0 | ||
Repligen Corporation | common | 759916109 | 7,920 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
Resonant, Inc. | common | 76118L102 | 1,872 | 161,086 | SH | SOLE | 161,086 | 0 | 0 | ||
Response Genetics, Inc. | common | 76123U105 | 1,199 | 3,786,979 | SH | SOLE | 3,786,979 | 0 | 0 | ||
Revolution Lighting Technologi | common | 76155G107 | 3,069 | 2,273,100 | SH | SOLE | 2,273,100 | 0 | 0 | ||
SFX Entertainment, Inc. | common | 784178303 | 2,949 | 650,956 | SH | SOLE | 650,956 | 0 | 0 | ||
SMART Technologies, Inc.(Canad | common | 83172R108 | 4,110 | 3,483,053 | SH | SOLE | 3,483,053 | 0 | 0 | ||
SMTP, Inc. | common | 784589202 | 1,623 | 266,971 | SH | SOLE | 266,971 | 0 | 0 | ||
Saia, Inc. | common | 78709Y105 | 1,246 | 22,500 | SH | SOLE | 22,500 | 0 | 0 | ||
Sangamo BioSciences, Inc. | common | 800677106 | 6,997 | 460,000 | SH | SOLE | 460,000 | 0 | 0 | ||
SeaChange International, Inc. | common | 811699107 | 5,324 | 834,485 | SH | SOLE | 834,485 | 0 | 0 | ||
Second Sight Medical Products | common | 81362J100 | 2,411 | 234,965 | SH | SOLE | 234,965 | 0 | 0 | ||
Selectica, Inc. | common | 816288104 | 3,981 | 768,569 | SH | SOLE | 768,569 | 0 | 0 | ||
Sequans Communications - ADR | common | 817323108 | 2,730 | 2,294,290 | SH | SOLE | 2,294,290 | 0 | 0 | ||
Silicon Motion Technology Corp | common | 82706C108 | 11,601 | 490,527 | SH | SOLE | 490,527 | 0 | 0 | ||
Silver Spring Networks, Inc. | common | 82817Q103 | 3,473 | 412,033 | SH | SOLE | 412,033 | 0 | 0 | ||
Spark Networks, Inc. | common | 84651P100 | 4,717 | 1,313,918 | SH | SOLE | 1,313,918 | 0 | 0 | ||
Spectral Diagnostics Inc. | common | 847574100 | 474 | 1,572,500 | SH | SOLE | 1,572,500 | 0 | 0 | ||
StarTek, inc. | common | 85569C107 | 752 | 77,147 | SH | SOLE | 77,147 | 0 | 0 | ||
Streamline Health Solutions | common | 86323X106 | 1,060 | 244,818 | SH | SOLE | 244,818 | 0 | 0 | ||
Summit Corporations plc | common | B02T3K5GB | 1,980 | 938,086 | SH | SOLE | 938,086 | 0 | 0 | ||
Support.com, Inc. | common | 86858W101 | 4,153 | 1,968,120 | SH | SOLE | 1,968,120 | 0 | 0 | ||
Synergetics USA, Inc. | common | 87160G107 | 4,510 | 1,036,727 | SH | SOLE | 1,036,727 | 0 | 0 | ||
Tivo, Inc. | common | 888706108 | 2,402 | 202,908 | SH | SOLE | 202,908 | 0 | 0 | ||
Tokai Pharmaceuticals, Inc. | common | 88907J107 | 1,474 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Tree.com, Inc. | common | 894675107 | 5,920 | 122,469 | SH | SOLE | 122,469 | 0 | 0 | ||
Trillium Therapeutics Corp. | common | 89620X100 | 3,647 | 404,841 | SH | SOLE | 404,841 | 0 | 0 | ||
Ultra Clean Holdings, Inc. | common | 90385V107 | 17,304 | 1,864,691 | SH | SOLE | 1,864,691 | 0 | 0 | ||
Unwired Planet, Inc. | common | 91531F103 | 1,861 | 1,861,278 | SH | SOLE | 1,861,278 | 0 | 0 | ||
Upland Software, Inc. | common | 91544A109 | 1,540 | 161,060 | SH | SOLE | 161,060 | 0 | 0 | ||
UrtheCast Corporation (Canada) | common | 91731X102 | 1,363 | 996,600 | SH | SOLE | 996,600 | 0 | 0 | ||
Verastem, Inc. | common | 92337C104 | 1,782 | 195,000 | SH | SOLE | 195,000 | 0 | 0 | ||
Visualant, Inc. | common | 928449107 | 1,669 | 15,900,000 | SH | SOLE | 15,900,000 | 0 | 0 | ||
Vitae Pharmaceuticals, Inc. | common | 92847N103 | 13,728 | 825,000 | SH | SOLE | 825,000 | 0 | 0 | ||
Vitesse Semiconductor Corp. | common | 928497304 | 5,679 | 1,502,400 | SH | SOLE | 1,502,400 | 0 | 0 | ||
Vocera Communications, Inc. | common | 92857F107 | 24,886 | 2,388,325 | SH | SOLE | 2,388,325 | 0 | 0 | ||
WaferGen Bio-systems Inc. | common | 93041P308 | 4,200 | 1,400,000 | SH | SOLE | 1,400,000 | 0 | 0 | ||
World Energy Solutions, Inc. | common | 98145W208 | 4,613 | 838,652 | SH | SOLE | 838,652 | 0 | 0 | ||
XEBEC Adsorption, Inc. | common | 983891102 | 482 | 9,333,761 | SH | SOLE | 9,333,761 | 0 | 0 | ||
Zafgen Inc. | common | 98885E102 | 1,079 | 35,000 | SH | SOLE | 35,000 | 0 | 0 | ||
diaDexus, Inc. | common | 25245P106 | 441 | 881,238 | SH | SOLE | 881,238 | 0 | 0 | ||
hopTo Inc. | common | 440271104 | 1,193 | 8,524,700 | SH | SOLE | 8,524,700 | 0 | 0 | ||
iPass, Inc. | common | 46261V108 | 4,082 | 2,979,509 | SH | SOLE | 2,979,509 | 0 | 0 | ||
iRadimed,Corp. | common | 46266A109 | 2,713 | 210,285 | SH | SOLE | 210,285 | 0 | 0 | ||
Arrowhead Research Corp @1.83 | preferred | 999999999 | 9,275 | 2,300 | SH | SOLE | 2,300 | 0 | 0 | ||
Digital Guardian Ser A1 cvt pf | preferred | 999999999 | 1,898 | 1,898,146 | SH | SOLE | 1,898,146 | 0 | 0 | ||
Digital Guardian Ser B-1 cvt p | preferred | 999999999 | 1,505 | 430,113 | SH | SOLE | 430,113 | 0 | 0 | ||
Trillium Therapeutics @6.30Cd | preferred | 89620X100 | 3,383 | 11,664,286 | SH | SOLE | 11,664,286 | 0 | 0 | ||
ARI Network Service 2.00 3/12/ | warrants | 999999999 | 215 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Aeterna Zentaris @1.25 1/14/19 | warrants | 999999999 | 50 | 333,334 | SH | SOLE | 333,334 | 0 | 0 | ||
Altair Nanotech @.58 5/28/16 * | warrants | 03820G106 | 5 | 939,973 | SH | SOLE | 939,973 | 0 | 0 | ||
Benitec Biopharma @1.59A 2/28/ | warrants | 999999999 | 221 | 1,051,402 | SH | SOLE | 1,051,402 | 0 | 0 | ||
CYREN Ltd. @3.08 1/30/15-1/30/ | warrants | 999999999 | 134 | 496,242 | SH | SOLE | 496,242 | 0 | 0 | ||
Cellectar Biosciences@1.00 2/6 | warrants | 15117F203 | 853 | 1,066,000 | SH | SOLE | 1,066,000 | 0 | 0 | ||
Cerus Corporation @3.20 5/16/1 | warrants | 999999999 | 1,309 | 421,052 | SH | SOLE | 421,052 | 0 | 0 | ||
ChinaCast Education Corp R144 | warrants | 999999999 | 2 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
Crailar Tech Inc.@.535 8/6/19 | warrants | 999999999 | 480 | 6,000,000 | SH | SOLE | 6,000,000 | 0 | 0 | ||
Cyclacel Phrm @13.44 RR 10/7/1 | warrants | 999999999 | 26 | 293,350 | SH | SOLE | 293,350 | 0 | 0 | ||
CytRx Corporation R/R 8/1/16 @ | warrants | 232828301 | 72 | 2,400,000 | SH | SOLE | 2,400,000 | 0 | 0 | ||
Derma Sciences, Inc. (R/R) @9. | warrants | 999999999 | 48 | 60,606 | SH | SOLE | 60,606 | 0 | 0 | ||
Dynavax Technologies Corp@1.50 | warrants | 268158102 | 83 | 360,000 | SH | SOLE | 360,000 | 0 | 0 | ||
EnteroMedics, Inc (RR) @2.19 6 | warrants | 999999999 | 135 | 1,500,000 | SH | SOLE | 1,500,000 | 0 | 0 | ||
EnteroMedics, Inc. (R/R) @1.14 | warrants | 999999999 | 61 | 132,140 | SH | SOLE | 132,140 | 0 | 0 | ||
EnteroMedics, Inc. (R/R) @1.90 | warrants | 999999999 | 23 | 180,000 | SH | SOLE | 180,000 | 0 | 0 | ||
Foundation Health@1.24 6/20/16 | warrants | 999999999 | 179 | 3,571,000 | SH | SOLE | 3,571,000 | 0 | 0 | ||
Galena Biopharma R/R @.65 4/21 | warrants | 999999999 | 280 | 307,393 | SH | SOLE | 307,393 | 0 | 0 | ||
GeneNews @.24 2/1/15 Reg S (CF | warrants | 999999999 | 207 | 4,144,638 | SH | SOLE | 4,144,638 | 0 | 0 | ||
GeneNews @.24 6/1/15 Reg S (CF | warrants | 999999999 | 41 | 690,278 | SH | SOLE | 690,278 | 0 | 0 | ||
Hamilton Thorne @.20c 10/10/15 | warrants | 999999999 | 294 | 1,400,000 | SH | SOLE | 1,400,000 | 0 | 0 | ||
IZEA Inc. (R/R) @.35 2/21/19 1 | warrants | 999999999 | 489 | 5,428,572 | SH | SOLE | 5,428,572 | 0 | 0 | ||
IZEA Inc. (R/R) @.50 2/21/19 1 | warrants | 999999999 | 489 | 5,428,572 | SH | SOLE | 5,428,572 | 0 | 0 | ||
Idera Pharmaceuticals (R/R) @3 | warrants | 999999999 | 216 | 216,000 | SH | SOLE | 216,000 | 0 | 0 | ||
LRAD Corporation (R/R) @2.67 2 | warrants | 999999999 | 268 | 788,090 | SH | SOLE | 788,090 | 0 | 0 | ||
Lightbridge @2.31 5/17/15-5/17 | warrants | 999999999 | 1,367 | 2,734,590 | SH | SOLE | 2,734,590 | 0 | 0 | ||
Lightbridge Corp R/R@9.00 7/28 | warrants | 999999999 | 27 | 454,546 | SH | SOLE | 454,546 | 0 | 0 | ||
Lightbridge RR @2.30 4/25/14-4 | warrants | 999999999 | 263 | 571,428 | SH | SOLE | 571,428 | 0 | 0 | ||
Mast Therap (2w=1cs) @1.10 11/ | warrants | 999999999 | 37 | 3,750,000 | SH | SOLE | 3,750,000 | 0 | 0 | ||
NV5 Holding Inc. @7.80 3/27/18 | warrants | 62945V117 | 650 | 99,970 | SH | SOLE | 99,970 | 0 | 0 | ||
Palatin RR@1.00 3/2/12-3/2/17 | warrants | 999999999 | 495 | 4,500,000 | SH | SOLE | 4,500,000 | 0 | 0 | ||
Palatin(RR) @1.00 3/1/16 *.086 | warrants | 999999999 | 31 | 4,500,000 | SH | SOLE | 4,500,000 | 0 | 0 | ||
Parkervision, Inc. (R/R) @.535 | warrants | 999999999 | 492 | 1,229,104 | SH | SOLE | 1,229,104 | 0 | 0 | ||
Power Solutions R/R @13.00 4/2 | warrants | 999999999 | 9,760 | 251,416 | SH | SOLE | 251,416 | 0 | 0 | ||
Precision Optics (R/R) @1.50 2 | warrants | 999999999 | 70 | 350,000 | SH | SOLE | 350,000 | 0 | 0 | ||
Precision Optics R/R @1.03 5/1 | warrants | 999999999 | 133 | 493,398 | SH | SOLE | 493,398 | 0 | 0 | ||
Precision Optics R/R @1.11 9/2 | warrants | 999999999 | 135 | 481,733 | SH | SOLE | 481,733 | 0 | 0 | ||
Remark Media @5.22 8/29/17 R/R | warrants | 999999999 | 100 | 147,222 | SH | SOLE | 147,222 | 0 | 0 | ||
Selectica @7.00 7/24/14-1/24/1 | warrants | 999999999 | 57 | 67,319 | SH | SOLE | 67,319 | 0 | 0 | ||
Selectica @7.00 8/27/14-8/27/1 | warrants | 999999999 | 60 | 65,625 | SH | SOLE | 65,625 | 0 | 0 | ||
Selectica @7.75 11/30/13-5/31/ | warrants | 999999999 | 123 | 185,714 | SH | SOLE | 185,714 | 0 | 0 | ||
Threshold Pharmaceutical R/R @ | warrants | 999999999 | 181 | 190,476 | SH | SOLE | 190,476 | 0 | 0 | ||
Transgenomic @1.08 2/7/17 (R/R | warrants | 999999999 | 17 | 1,750,000 | SH | SOLE | 1,750,000 | 0 | 0 | ||
Trillium @.28Cd 12/13/18 R/R 1 | warrants | 999999999 | 2,500 | 17,857,143 | SH | SOLE | 17,857,143 | 0 | 0 | ||
Visualant, Inc. @.15 6/10/18 ( | warrants | 999999999 | 636 | 15,900,000 | SH | SOLE | 15,900,000 | 0 | 0 | ||
Visualant, Inc. @.20 6/10/18 ( | warrants | 999999999 | 636 | 15,900,000 | SH | SOLE | 15,900,000 | 0 | 0 | ||
WaferGen Bio-systems @5.00 8/2 | warrants | 999999999 | 826 | 1,400,000 | SH | SOLE | 1,400,000 | 0 | 0 | ||
XEBEC Adsorption @.45C 11/1/15 | warrants | 999999999 | 18 | 2,500,000 | SH | SOLE | 2,500,000 | 0 | 0 | ||
hopTo Inc. @1.00 6/18/18 9.99% | warrants | 999999999 | 41 | 1,375,000 | SH | SOLE | 1,375,000 | 0 | 0 | ||
iCo Therapeutics Inc @.539C 1/ | warrants | 999999999 | 29 | 4,051,621 | SH | SOLE | 4,051,621 | 0 | 0 | ||
Sphere 3D Corporation 20% | Rights | 999999999 | 2,250 | 3,000,000 | SH | SOLE | 3,000,000 | 0 | 0 |