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 | 676 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
Acadia Pharmaceuticals, Inc. | common | 004225108 | 1,629 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
Adept Technology, Inc. | common | 006854202 | 11,407 | 1,854,812 | SH | SOLE | 1,854,812 | 0 | 0 | ||
Aerovironment, Inc. | common | 008073108 | 8,912 | 336,159 | SH | SOLE | 336,159 | 0 | 0 | ||
Amber Road, Inc. | common | 02318Y108 | 3,618 | 391,116 | SH | SOLE | 391,116 | 0 | 0 | ||
Ameresco, Inc. | common | 02361E108 | 2,118 | 286,240 | SH | SOLE | 286,240 | 0 | 0 | ||
Amtech Systems, Inc. | common | 032332504 | 5,358 | 479,226 | SH | SOLE | 479,226 | 0 | 0 | ||
Aratana Therapeutics, Inc. | common | 03874P101 | 9,606 | 600,000 | SH | SOLE | 600,000 | 0 | 0 | ||
Ardmore Shipping Corp. (Irelan | common | Y0207T100 | 5,586 | 554,710 | SH | SOLE | 554,710 | 0 | 0 | ||
Argos Therapeutics, Inc. | common | 040221103 | 6,682 | 750,000 | SH | SOLE | 750,000 | 0 | 0 | ||
Arrowhead Research Corporation | common | 042797209 | 7,124 | 1,053,031 | SH | SOLE | 1,053,031 | 0 | 0 | ||
Avinger, Inc. | common | 053734109 | 5,545 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
BIOLASE, Inc. | common | 090911108 | 129 | 64,008 | SH | SOLE | 64,008 | 0 | 0 | ||
BioTelemetry, Inc. | common | 090672106 | 2,214 | 250,182 | SH | SOLE | 250,182 | 0 | 0 | ||
Brightcove, Inc. | common | 075097042 | 14,063 | 1,918,557 | SH | SOLE | 1,918,557 | 0 | 0 | ||
Broadwind Energy Inc. | common | 11161T108 | 8,882 | 1,776,350 | SH | SOLE | 1,776,350 | 0 | 0 | ||
CEVA, Inc. | common | 157210105 | 26,886 | 1,261,046 | SH | SOLE | 1,261,046 | 0 | 0 | ||
CPI Aerostructures, Inc. | common | 125919308 | 11,359 | 931,040 | SH | SOLE | 931,040 | 0 | 0 | ||
CTPartners Executive Search | common | 22945C105 | 5,140 | 1,025,921 | SH | SOLE | 1,025,921 | 0 | 0 | ||
CVD Equipment Corporation | common | 126601103 | 4,667 | 338,466 | SH | SOLE | 338,466 | 0 | 0 | ||
Carbon Natural Gas Co. | common | 14115T109 | 7,078 | 10,888,889 | SH | SOLE | 10,888,889 | 0 | 0 | ||
Cellectar Biosciences, Inc. | common | 15117F203 | 3,553 | 1,142,368 | SH | SOLE | 1,142,368 | 0 | 0 | ||
ChannelAdvisor, Corp. | common | 159179100 | 4,848 | 500,277 | SH | SOLE | 500,277 | 0 | 0 | ||
Chase Packaging Corporation | common | 161635107 | 48 | 684,954 | SH | SOLE | 684,954 | 0 | 0 | ||
Constant Contact Inc. | common | 210313102 | 505 | 13,206 | SH | SOLE | 13,206 | 0 | 0 | ||
Crailar Technologies Inc. | common | 224248104 | 1,588 | 6,410,123 | SH | SOLE | 6,410,123 | 0 | 0 | ||
DSP Group, Inc. | common | 23332B106 | 7,877 | 657,534 | SH | SOLE | 657,534 | 0 | 0 | ||
Dicerna Pharmaceuticals, Inc. | common | 253031108 | 1,922 | 80,000 | SH | SOLE | 80,000 | 0 | 0 | ||
Digital Guardian Inc. (Private | common | 999999999 | 292 | 860,226 | SH | SOLE | 860,226 | 0 | 0 | ||
Dixie Group, Inc. | common | 255519100 | 3,855 | 425,945 | SH | SOLE | 425,945 | 0 | 0 | ||
Energous, Corp. | common | 29272C103 | 7,734 | 819,296 | SH | SOLE | 819,296 | 0 | 0 | ||
Entropic Communications, Inc. | common | 29384R105 | 1,222 | 412,925 | SH | SOLE | 412,925 | 0 | 0 | ||
Erickson Incorporated | common | 29482P100 | 1,255 | 290,451 | SH | SOLE | 290,451 | 0 | 0 | ||
Extreme Networks, Inc. | common | 30226D106 | 7,656 | 2,422,864 | SH | SOLE | 2,422,864 | 0 | 0 | ||
Five Prime Therapeutics, Inc. | common | 33830X104 | 6,855 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
Flex Pharma Inc. | common | 33938A105 | 490 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
Foundation Healthcare, Inc. | common | 350405106 | 1,208 | 357,422 | SH | SOLE | 357,422 | 0 | 0 | ||
Fuelcell Energy Inc. | common | 35952H106 | 3,981 | 3,184,885 | SH | SOLE | 3,184,885 | 0 | 0 | ||
GeneNews, Ltd. (Canada) (CF) | common | 36870T107 | 5,618 | 10,028,553 | SH | SOLE | 10,028,553 | 0 | 0 | ||
Gigamon, Inc. | common | 37518B102 | 9,961 | 468,966 | SH | SOLE | 468,966 | 0 | 0 | ||
Global Power Equipment Group | common | 37941P306 | 858 | 65,000 | SH | SOLE | 65,000 | 0 | 0 | ||
Great Lakes Dredge & Dock Co. | common | 390607109 | 601 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Hamilton Thorne, Ltd.(Canada) | common | 407891100 | 2,772 | 9,756,544 | SH | SOLE | 9,756,544 | 0 | 0 | ||
Health Insurance Innovations | common | 42225K106 | 1,447 | 185,295 | SH | SOLE | 185,295 | 0 | 0 | ||
Hutchinson Technology Inc. | common | 448407106 | 604 | 226,200 | SH | SOLE | 226,200 | 0 | 0 | ||
I.D. Systems Inc. | common | 449489103 | 135 | 21,173 | SH | SOLE | 21,173 | 0 | 0 | ||
IZEA Inc. | common | 46603N202 | 4,343 | 10,857,144 | SH | SOLE | 10,857,144 | 0 | 0 | ||
Ideal Power, Inc. | common | 451622104 | 10,861 | 1,146,935 | SH | SOLE | 1,146,935 | 0 | 0 | ||
Immersion Corporation | common | 452521107 | 1,103 | 120,136 | SH | SOLE | 120,136 | 0 | 0 | ||
Incontact Inc. | common | 45336E109 | 8,749 | 802,652 | SH | SOLE | 802,652 | 0 | 0 | ||
Infusystem Holdings, Inc. | common | 45685K102 | 3,179 | 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 | ||
Intellicheck Mobilisa, Inc. | common | 45817G201 | 3,077 | 1,985,022 | SH | SOLE | 1,985,022 | 0 | 0 | ||
Intermap Technologies Corp(Can | common | 458977204 | 1,181 | 14,976,204 | SH | SOLE | 14,976,204 | 0 | 0 | ||
Interplay Entertainment Corp. | common | 460615107 | 91 | 9,133,000 | SH | SOLE | 9,133,000 | 0 | 0 | ||
Iteris, Inc. | common | 46564T107 | 1,065 | 585,369 | SH | SOLE | 585,369 | 0 | 0 | ||
Kopin Corporation | common | 500600101 | 21,566 | 6,126,598 | SH | SOLE | 6,126,598 | 0 | 0 | ||
LRAD Corporation | common | 50213V109 | 10,969 | 4,667,710 | SH | SOLE | 4,667,710 | 0 | 0 | ||
Lakeland Industries, Inc. | common | 511795106 | 1,379 | 154,090 | SH | SOLE | 154,090 | 0 | 0 | ||
Lemaitre Vascular Inc. | common | 525558201 | 11,144 | 1,329,858 | SH | SOLE | 1,329,858 | 0 | 0 | ||
LendingTree, Inc. | common | 894675107 | 8,540 | 152,469 | SH | SOLE | 152,469 | 0 | 0 | ||
Lightbridge Corporation | common | 53224K104 | 4,351 | 3,508,789 | SH | SOLE | 3,508,789 | 0 | 0 | ||
LivePerson, Inc. | common | 538146101 | 16,098 | 1,572,800 | SH | SOLE | 1,572,800 | 0 | 0 | ||
Loxo Oncology, Inc. | common | 548862101 | 934 | 75,000 | SH | SOLE | 75,000 | 0 | 0 | ||
MagneTek, Inc. | common | 559424403 | 8,702 | 225,904 | SH | SOLE | 225,904 | 0 | 0 | ||
Manitex Int'l Inc. | common | 563420108 | 7,135 | 733,297 | SH | SOLE | 733,297 | 0 | 0 | ||
Marin Software, Inc. | common | 56804T106 | 1,284 | 204,162 | SH | SOLE | 204,162 | 0 | 0 | ||
Marinus Pharmaceuticals, Inc. | common | 56854Q101 | 2,403 | 267,337 | SH | SOLE | 267,337 | 0 | 0 | ||
MaxLinear, Inc. | common | 57776J100 | 7,873 | 968,397 | SH | SOLE | 968,397 | 0 | 0 | ||
Meru Networks, Inc. | common | 59047Q103 | 417 | 289,465 | SH | SOLE | 289,465 | 0 | 0 | ||
MoSys, Inc. | common | 619718109 | 12,855 | 6,121,540 | SH | SOLE | 6,121,540 | 0 | 0 | ||
NTN Buzztime, Inc. | common | 629410309 | 3,420 | 8,143,115 | SH | SOLE | 8,143,115 | 0 | 0 | ||
NV5 Holding Inc. | common | 62945V109 | 1,459 | 89,190 | SH | SOLE | 89,190 | 0 | 0 | ||
NeoPhotonics Corporation | common | 64051T100 | 8,839 | 1,309,437 | SH | SOLE | 1,309,437 | 0 | 0 | ||
Neonode, Inc. | common | 64051M402 | 8,267 | 2,607,876 | SH | SOLE | 2,607,876 | 0 | 0 | ||
Netlist, Inc. | common | 64118P109 | 2,660 | 4,587,053 | SH | SOLE | 4,587,053 | 0 | 0 | ||
Novavax, Inc. | common | 670002104 | 3,308 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
Opko Health Inc. | common | 68375N103 | 4,959 | 350,000 | SH | SOLE | 350,000 | 0 | 0 | ||
Oramed Pharmaceuticals Inc. | common | 68403P203 | 2,607 | 409,316 | SH | SOLE | 409,316 | 0 | 0 | ||
Orion Marine Group, Inc. | common | 68628V308 | 3,615 | 408,056 | SH | SOLE | 408,056 | 0 | 0 | ||
Ossen Innovation Co. Spon-ADR | common | 688410109 | 763 | 1,121,537 | SH | SOLE | 1,121,537 | 0 | 0 | ||
OvaScience, Inc. | common | 69014Q101 | 347 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
PC-Tel, Inc. | common | 69325Q105 | 1,956 | 244,545 | SH | SOLE | 244,545 | 0 | 0 | ||
Pacira Pharmaceuticals, Inc. | common | 695127100 | 6,221 | 70,018 | SH | SOLE | 70,018 | 0 | 0 | ||
ParkerVision, Inc. | common | 701354102 | 1,815 | 2,187,196 | SH | SOLE | 2,187,196 | 0 | 0 | ||
Parnell Pharmaceuticals Holdin | common | q73622104 | 1,345 | 273,901 | SH | SOLE | 273,901 | 0 | 0 | ||
Pfenex, Inc. | common | 717071104 | 13,689 | 858,775 | SH | SOLE | 858,775 | 0 | 0 | ||
Pfsweb, Inc. | common | 717098206 | 22,968 | 2,089,868 | SH | SOLE | 2,089,868 | 0 | 0 | ||
PowerSecure International, Inc | common | 73936N105 | 13,457 | 1,022,531 | SH | SOLE | 1,022,531 | 0 | 0 | ||
Precision Optics Corporation, | common | 740294301 | 698 | 1,269,213 | SH | SOLE | 1,269,213 | 0 | 0 | ||
Presbia, PLC (Ireland) | common | G7234P100 | 5,563 | 752,781 | SH | SOLE | 752,781 | 0 | 0 | ||
Pure Technologies, Ltd. (Canad | common | 745915108 | 11,959 | 1,869,300 | SH | SOLE | 1,869,300 | 0 | 0 | ||
Quantum Fuel Systems Tech Worl | common | 74765E109 | 4,938 | 1,849,604 | SH | SOLE | 1,849,604 | 0 | 0 | ||
Qumu Corporation | common | 749063103 | 293 | 21,871 | SH | SOLE | 21,871 | 0 | 0 | ||
Rand logistics Inc. | common | 752182105 | 710 | 218,400 | SH | SOLE | 218,400 | 0 | 0 | ||
Regulus Therapeutics, Inc. | common | 75915K101 | 2,117 | 125,000 | SH | SOLE | 125,000 | 0 | 0 | ||
Repligen Corporation | common | 759916109 | 6,983 | 230,000 | SH | SOLE | 230,000 | 0 | 0 | ||
Response Genetics, Inc. | common | 76123U105 | 1,707 | 3,710,482 | SH | SOLE | 3,710,482 | 0 | 0 | ||
Revolution Lighting Technologi | common | 76155G107 | 291 | 262,333 | SH | SOLE | 262,333 | 0 | 0 | ||
SMART Technologies, Inc.(Canad | common | 83172R108 | 4,249 | 3,483,053 | SH | SOLE | 3,483,053 | 0 | 0 | ||
SMTP, Inc. | common | 784589202 | 1,259 | 239,825 | SH | SOLE | 239,825 | 0 | 0 | ||
Saia, Inc. | common | 78709Y105 | 997 | 22,500 | SH | SOLE | 22,500 | 0 | 0 | ||
Sangamo BioSciences, Inc. | common | 800677106 | 2,700 | 172,200 | SH | SOLE | 172,200 | 0 | 0 | ||
SeaChange International, Inc. | common | 811699107 | 6,551 | 834,485 | SH | SOLE | 834,485 | 0 | 0 | ||
Selectica, Inc. | common | 816288104 | 4,996 | 768,569 | SH | SOLE | 768,569 | 0 | 0 | ||
Sequans Communications - ADR | common | 817323108 | 3,698 | 2,201,190 | SH | SOLE | 2,201,190 | 0 | 0 | ||
Silicon Motion Technology Corp | common | 82706C108 | 13,132 | 488,527 | SH | SOLE | 488,527 | 0 | 0 | ||
Spark Networks, Inc. | common | 84651P100 | 3,398 | 841,088 | SH | SOLE | 841,088 | 0 | 0 | ||
StarTek, inc. | common | 85569C107 | 575 | 77,147 | SH | SOLE | 77,147 | 0 | 0 | ||
Streamline Health Solutions | common | 86323X106 | 5,745 | 1,609,318 | SH | SOLE | 1,609,318 | 0 | 0 | ||
Sucampo Pharmaceuticals, Inc. | common | 864909106 | 4,668 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
Summit Corporations plc | common | B02T3K5GB | 2,204 | 938,086 | SH | SOLE | 938,086 | 0 | 0 | ||
Support.com, Inc. | common | 86858W101 | 3,881 | 2,488,120 | SH | SOLE | 2,488,120 | 0 | 0 | ||
Synergetics USA, Inc. | common | 87160G107 | 5,588 | 1,036,727 | SH | SOLE | 1,036,727 | 0 | 0 | ||
Tivo, Inc. | common | 888706108 | 2,153 | 202,908 | SH | SOLE | 202,908 | 0 | 0 | ||
Trillium Therapeutics Corp. | common | 89620X100 | 7,529 | 373,873 | SH | SOLE | 373,873 | 0 | 0 | ||
Truett-Hurst, Inc. | common | 897871109 | 952 | 313,000 | SH | SOLE | 313,000 | 0 | 0 | ||
Ultra Clean Holdings, Inc. | common | 90385V107 | 13,333 | 1,864,691 | SH | SOLE | 1,864,691 | 0 | 0 | ||
Unwired Planet, Inc. | common | 91531F103 | 981 | 1,715,578 | SH | SOLE | 1,715,578 | 0 | 0 | ||
UrtheCast Corporation (Canada) | common | 91731X102 | 1,596 | 996,600 | SH | SOLE | 996,600 | 0 | 0 | ||
Verastem, Inc. | common | 92337C104 | 4,068 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
Visualant, Inc. | common | 928449107 | 1,192 | 15,900,000 | SH | SOLE | 15,900,000 | 0 | 0 | ||
Vitae Pharmaceuticals, Inc. | common | 92847N103 | 10,211 | 872,000 | SH | SOLE | 872,000 | 0 | 0 | ||
Vitesse Semiconductor Corp. | common | 928497304 | 7,978 | 1,502,400 | SH | SOLE | 1,502,400 | 0 | 0 | ||
Vocera Communications, Inc. | common | 92857F107 | 23,573 | 2,376,325 | SH | SOLE | 2,376,325 | 0 | 0 | ||
WaferGen Bio-systems Inc. | common | 93041P308 | 6,342 | 1,400,000 | SH | SOLE | 1,400,000 | 0 | 0 | ||
XEBEC Adsorption, Inc. (Canada | common | 983891102 | 442 | 9,333,761 | SH | SOLE | 9,333,761 | 0 | 0 | ||
Xplore Technologies, Corp. | common | 983950700 | 1,206 | 190,000 | SH | SOLE | 190,000 | 0 | 0 | ||
Zafgen Inc. | common | 98885E102 | 6,908 | 174,398 | SH | SOLE | 174,398 | 0 | 0 | ||
diaDexus, Inc. | common | 25245P106 | 366 | 881,238 | SH | SOLE | 881,238 | 0 | 0 | ||
hopTo Inc. | common | 440271104 | 1,482 | 8,524,700 | SH | SOLE | 8,524,700 | 0 | 0 | ||
iPass, Inc. | common | 46261V108 | 3,158 | 2,979,509 | SH | SOLE | 2,979,509 | 0 | 0 | ||
iRadimed,Corp. | common | 46266A109 | 3,203 | 210,285 | SH | SOLE | 210,285 | 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 | ||
Selectica Inc. Series F cvrt @ | preferred | 999999999 | 346 | 5,319 | SH | SOLE | 5,319 | 0 | 0 | ||
Trillium Therapeutics @6.30Cd | preferred | 89620X100 | 7,465 | 11,664,286 | SH | SOLE | 11,664,286 | 0 | 0 | ||
ARI Network Service 2.00 3/12/ | warrants | 999999999 | 156 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Aeterna Zentaris @.14 1/14/19 | warrants | 999999999 | 140 | 333,334 | SH | SOLE | 333,334 | 0 | 0 | ||
Altair Nanotech @.58 5/28/16 * | warrants | 03820G106 | 3 | 939,973 | SH | SOLE | 939,973 | 0 | 0 | ||
Benitec Biopharma @1.59A 2/28/ | warrants | 999999999 | 95 | 1,051,402 | SH | SOLE | 1,051,402 | 0 | 0 | ||
CYREN Ltd. @3.08 1/30/15-1/30/ | warrants | 999999999 | 303 | 496,242 | SH | SOLE | 496,242 | 0 | 0 | ||
Cellectar Biosciences@1.00 2/6 | warrants | 15117F203 | 831 | 1,066,000 | SH | SOLE | 1,066,000 | 0 | 0 | ||
Cerus Corporation @3.20 5/16/1 | warrants | 999999999 | 488 | 421,052 | SH | SOLE | 421,052 | 0 | 0 | ||
ChinaCast Education Corp R144 | warrants | 999999999 | 1 | 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 | 29 | 293,350 | SH | SOLE | 293,350 | 0 | 0 | ||
CytRx Corporation R/R 8/1/16 @ | warrants | 232828301 | 96 | 2,400,000 | SH | SOLE | 2,400,000 | 0 | 0 | ||
Derma Sciences, Inc. (R/R) @9. | warrants | 999999999 | 35 | 60,606 | SH | SOLE | 60,606 | 0 | 0 | ||
Dynavax Technologies Corp@1.50 | warrants | 268158102 | 266 | 360,000 | SH | SOLE | 360,000 | 0 | 0 | ||
EnteroMedics, Inc (RR) @2.19 6 | warrants | 999999999 | 15 | 1,500,000 | SH | SOLE | 1,500,000 | 0 | 0 | ||
EnteroMedics, Inc. (R/R) @1.14 | warrants | 999999999 | 17 | 132,140 | SH | SOLE | 132,140 | 0 | 0 | ||
EnteroMedics, Inc. (R/R) @1.90 | warrants | 999999999 | 5 | 180,000 | SH | SOLE | 180,000 | 0 | 0 | ||
Essa Pharmaceutical @2.75 9/16 | warrants | 999999999 | 3,745 | 727,272 | SH | SOLE | 727,272 | 0 | 0 | ||
Foundation Health @12.42 6/20/ | warrants | 999999999 | 155 | 431,307 | SH | SOLE | 431,307 | 0 | 0 | ||
Galena Biopharma R/R @.65 4/21 | warrants | 999999999 | 243 | 307,393 | SH | SOLE | 307,393 | 0 | 0 | ||
Hamilton Thorne @.20c 10/10/15 | warrants | 999999999 | 210 | 1,400,000 | SH | SOLE | 1,400,000 | 0 | 0 | ||
IZEA Inc. (R/R) @.35 2/21/19 1 | warrants | 999999999 | 869 | 5,428,572 | SH | SOLE | 5,428,572 | 0 | 0 | ||
IZEA Inc. (R/R) @.50 2/21/19 1 | warrants | 999999999 | 651 | 5,428,572 | SH | SOLE | 5,428,572 | 0 | 0 | ||
Idera Pharmaceuticals (R/R) @3 | warrants | 999999999 | 73 | 216,000 | SH | SOLE | 216,000 | 0 | 0 | ||
LRAD Corporation (R/R) @2.67 2 | warrants | 999999999 | 102 | 788,090 | SH | SOLE | 788,090 | 0 | 0 | ||
Lightbridge @2.31 5/17/15-5/17 | warrants | 999999999 | 820 | 2,734,590 | SH | SOLE | 2,734,590 | 0 | 0 | ||
Lightbridge Corp R/R@9.00 7/28 | warrants | 999999999 | 4 | 454,546 | SH | SOLE | 454,546 | 0 | 0 | ||
Lightbridge RR @2.30 4/25/14-4 | warrants | 999999999 | 154 | 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 | ||
Palatin RR@1.00 3/2/12-3/2/17 | warrants | 999999999 | 1,035 | 4,500,000 | SH | SOLE | 4,500,000 | 0 | 0 | ||
Palatin(RR) @1.00 3/1/16 *.086 | warrants | 999999999 | 90 | 4,500,000 | SH | SOLE | 4,500,000 | 0 | 0 | ||
Parkervision, Inc. (R/R) @.535 | warrants | 999999999 | 381 | 1,229,104 | SH | SOLE | 1,229,104 | 0 | 0 | ||
Power Solutions R/R @13.00 4/2 | warrants | 999999999 | 12,913 | 251,416 | SH | SOLE | 251,416 | 0 | 0 | ||
Precision Optics (R/R) @1.50 2 | warrants | 999999999 | 63 | 350,000 | SH | SOLE | 350,000 | 0 | 0 | ||
Precision Optics R/R @1.03 5/1 | warrants | 999999999 | 123 | 493,398 | SH | SOLE | 493,398 | 0 | 0 | ||
Precision Optics R/R @1.11 9/2 | warrants | 999999999 | 125 | 481,733 | SH | SOLE | 481,733 | 0 | 0 | ||
Remark Media @5.22 8/29/17 R/R | warrants | 999999999 | 109 | 147,222 | SH | SOLE | 147,222 | 0 | 0 | ||
Selectica @6.00 8/6/15-8/6/20 | warrants | 999999999 | 57 | 26,595 | SH | SOLE | 26,595 | 0 | 0 | ||
Selectica @7.00 7/24/14-1/24/1 | warrants | 999999999 | 102 | 67,319 | SH | SOLE | 67,319 | 0 | 0 | ||
Selectica @7.00 8/27/14-8/27/1 | warrants | 999999999 | 106 | 65,625 | SH | SOLE | 65,625 | 0 | 0 | ||
Selectica @7.75 11/30/13-5/31/ | warrants | 999999999 | 238 | 185,714 | SH | SOLE | 185,714 | 0 | 0 | ||
Threshold Pharmaceutical R/R @ | warrants | 999999999 | 320 | 190,476 | SH | SOLE | 190,476 | 0 | 0 | ||
Transgenomic @1.08 2/7/17 (R/R | warrants | 999999999 | 35 | 1,750,000 | SH | SOLE | 1,750,000 | 0 | 0 | ||
Trillium @.28Cd 12/13/18 R/R 1 | warrants | 999999999 | 8,929 | 17,857,143 | SH | SOLE | 17,857,143 | 0 | 0 | ||
Visualant, Inc. @.15 6/10/18 ( | warrants | 999999999 | 477 | 15,900,000 | SH | SOLE | 15,900,000 | 0 | 0 | ||
Visualant, Inc. @.20 6/10/18 ( | warrants | 999999999 | 477 | 15,900,000 | SH | SOLE | 15,900,000 | 0 | 0 | ||
WaferGen Bio-systems @5.00 8/2 | warrants | 999999999 | 1,904 | 1,400,000 | SH | SOLE | 1,400,000 | 0 | 0 | ||
XEBEC Adsorption @.45C 11/1/15 | warrants | 999999999 | 10 | 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 | 41 | 4,051,621 | SH | SOLE | 4,051,621 | 0 | 0 | ||
Overland Storage, Inc. 20% of | Rights | 999999999 | 2,250 | 3,000,000 | SH | SOLE | 3,000,000 | 0 | 0 |