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 | 1,134 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
Acadia Pharmaceuticals, Inc. | common | 004225108 | 1,653 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
Adept Technology, Inc. | common | 006854202 | 24,038 | 1,854,812 | SH | SOLE | 1,854,812 | 0 | 0 | ||
Aerovironment, Inc. | common | 008073108 | 9,377 | 467,909 | SH | SOLE | 467,909 | 0 | 0 | ||
Amber Road, Inc. | common | 02318Y108 | 1,097 | 259,864 | SH | SOLE | 259,864 | 0 | 0 | ||
Ameresco, Inc. | common | 02361E108 | 2,006 | 341,240 | SH | SOLE | 341,240 | 0 | 0 | ||
American Superconductor, Corp. | common | 030111207 | 6,009 | 1,387,864 | SH | SOLE | 1,387,864 | 0 | 0 | ||
Amtech Systems, Inc. | common | 032332504 | 1,395 | 324,504 | SH | SOLE | 324,504 | 0 | 0 | ||
Aqua Metals, Inc. | common | 03837J101 | 6,388 | 1,260,000 | SH | SOLE | 1,260,000 | 0 | 0 | ||
Aratana Therapeutics, Inc. | common | 03874P101 | 6,345 | 750,000 | SH | SOLE | 750,000 | 0 | 0 | ||
Ardmore Shipping Corp. (Irelan | common | Y0207T100 | 6,701 | 554,710 | SH | SOLE | 554,710 | 0 | 0 | ||
Argos Therapeutics, Inc. | common | 040221103 | 3,489 | 719,305 | SH | SOLE | 719,305 | 0 | 0 | ||
Arrowhead Research Corporation | common | 042797209 | 1,552 | 269,493 | SH | SOLE | 269,493 | 0 | 0 | ||
Ascendis Pharma A/S ADR (Denma | common | 04351P101 | 1,390 | 78,540 | SH | SOLE | 78,540 | 0 | 0 | ||
Avinger, Inc. | common | 053734109 | 7,355 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
BioTelemetry, Inc. | common | 090672106 | 1,775 | 145,000 | SH | SOLE | 145,000 | 0 | 0 | ||
Biodel, Inc. | common | 09064M204 | 1,940 | 4,408,831 | SH | SOLE | 4,408,831 | 0 | 0 | ||
Brightcove, Inc. | common | 075097042 | 9,513 | 1,933,630 | SH | SOLE | 1,933,630 | 0 | 0 | ||
Broadwind Energy Inc. | common | 11161T108 | 3,038 | 1,467,550 | SH | SOLE | 1,467,550 | 0 | 0 | ||
CEVA, Inc. | common | 157210105 | 23,490 | 1,264,946 | SH | SOLE | 1,264,946 | 0 | 0 | ||
CPI Aerostructures, Inc. | common | 125919308 | 8,202 | 931,040 | SH | SOLE | 931,040 | 0 | 0 | ||
CVD Equipment Corporation | common | 126601103 | 3,193 | 288,700 | SH | SOLE | 288,700 | 0 | 0 | ||
CYREN Ltd. (Isreal) | common | 010802725 | 129 | 72,425 | SH | SOLE | 72,425 | 0 | 0 | ||
Cellectar Biosciences, Inc. | common | 15117F203 | 2,189 | 1,111,227 | SH | SOLE | 1,111,227 | 0 | 0 | ||
ChannelAdvisor, Corp. | common | 159179100 | 119 | 11,958 | SH | SOLE | 11,958 | 0 | 0 | ||
Cidara Therapeutics Inc. | common | 171757107 | 1,684 | 132,400 | SH | SOLE | 132,400 | 0 | 0 | ||
Cipher Pharmaceuticals, Inc. | common | 17253X105 | 816 | 220,000 | SH | SOLE | 220,000 | 0 | 0 | ||
Constant Contact Inc. | common | 210313102 | 581 | 23,967 | SH | SOLE | 23,967 | 0 | 0 | ||
Control4 Corp. | common | 21240D107 | 403 | 49,395 | SH | SOLE | 49,395 | 0 | 0 | ||
Corium International Inc. | common | 21887L107 | 1,636 | 175,000 | SH | SOLE | 175,000 | 0 | 0 | ||
DSP Group, Inc. | common | 23332B106 | 6,704 | 735,935 | SH | SOLE | 735,935 | 0 | 0 | ||
Determine, Inc. | common | 250660107 | 3,230 | 821,760 | SH | SOLE | 821,760 | 0 | 0 | ||
Dicerna Pharmaceuticals, Inc. | common | 253031108 | 657 | 80,000 | SH | SOLE | 80,000 | 0 | 0 | ||
Digital Turbine, Inc. | common | 254400W10 | 136 | 75,356 | SH | SOLE | 75,356 | 0 | 0 | ||
Dixie Group, Inc. | common | 255519100 | 3,179 | 380,244 | SH | SOLE | 380,244 | 0 | 0 | ||
ESSA Pharma Inc. | common | 29668H104 | 4,552 | 727,272 | SH | SOLE | 727,272 | 0 | 0 | ||
Energous, Corp. | common | 29272C103 | 5,889 | 853,477 | SH | SOLE | 853,477 | 0 | 0 | ||
Extreme Networks, Inc. | common | 30226D106 | 3,428 | 1,020,219 | SH | SOLE | 1,020,219 | 0 | 0 | ||
EyeGate Pharmaceuticals, Inc. | common | 30233M107 | 304 | 106,561 | SH | SOLE | 106,561 | 0 | 0 | ||
Five Prime Therapeutics, Inc. | common | 33830X104 | 1,819 | 118,199 | SH | SOLE | 118,199 | 0 | 0 | ||
Foundation Healthcare, Inc. | common | 350405106 | 1,776 | 357,422 | SH | SOLE | 357,422 | 0 | 0 | ||
Fuelcell Energy Inc. | common | 35952H106 | 1,288 | 1,752,903 | SH | SOLE | 1,752,903 | 0 | 0 | ||
Gaiam, Inc. | common | 36268Q103 | 922 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
General Equipment Enterprises, | common | 369730304 | 370 | 925,000 | SH | SOLE | 925,000 | 0 | 0 | ||
Genocea Biosciences, Inc. | common | 372427104 | 3,371 | 492,100 | SH | SOLE | 492,100 | 0 | 0 | ||
Gigamon, Inc. | common | 37518B102 | 5,300 | 264,877 | SH | SOLE | 264,877 | 0 | 0 | ||
Good Times Restaurants, Inc. | common | 382140879 | 625 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Great Lakes Dredge & Dock Co. | common | 390607109 | 504 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Ideal Power, Inc. | common | 451622104 | 11,118 | 1,681,935 | SH | SOLE | 1,681,935 | 0 | 0 | ||
Incontact Inc. | common | 45336E109 | 9,619 | 1,280,865 | SH | SOLE | 1,280,865 | 0 | 0 | ||
Infusystem Holdings, Inc. | common | 45685K102 | 3,203 | 1,173,102 | SH | SOLE | 1,173,102 | 0 | 0 | ||
Intellicheck Mobilisa, Inc. | common | 45817G201 | 1,806 | 1,985,022 | SH | SOLE | 1,985,022 | 0 | 0 | ||
Interplay Entertainment Corp. | common | 460615107 | 173 | 9,133,000 | SH | SOLE | 9,133,000 | 0 | 0 | ||
Inventure Foods, Inc. | common | 461212102 | 1,484 | 167,082 | SH | SOLE | 167,082 | 0 | 0 | ||
Iteris, Inc. | common | 46564T107 | 1,317 | 535,369 | SH | SOLE | 535,369 | 0 | 0 | ||
Kopin Corporation | common | 500600101 | 20,114 | 6,405,598 | SH | SOLE | 6,405,598 | 0 | 0 | ||
L.B. Foster Company | common | 350060109 | 2,178 | 177,394 | SH | SOLE | 177,394 | 0 | 0 | ||
LDR Holding Corp. | common | 50185U105 | 1,419 | 41,100 | SH | SOLE | 41,100 | 0 | 0 | ||
LRAD Corporation | common | 50213V109 | 7,795 | 4,667,710 | SH | SOLE | 4,667,710 | 0 | 0 | ||
Lemaitre Vascular Inc. | common | 525558201 | 14,525 | 1,191,517 | SH | SOLE | 1,191,517 | 0 | 0 | ||
LendingTree, Inc. | common | 894675107 | 13,164 | 141,500 | SH | SOLE | 141,500 | 0 | 0 | ||
LivePerson, Inc. | common | 538146101 | 15,820 | 2,092,578 | SH | SOLE | 2,092,578 | 0 | 0 | ||
Loxo Oncology, Inc. | common | 548862101 | 1,311 | 75,000 | SH | SOLE | 75,000 | 0 | 0 | ||
Manitex Int'l Inc. | common | 563420108 | 4,391 | 781,362 | SH | SOLE | 781,362 | 0 | 0 | ||
Marinus Pharmaceuticals, Inc. | common | 56854Q101 | 1,022 | 122,500 | SH | SOLE | 122,500 | 0 | 0 | ||
MaxLinear, Inc. | common | 57776J100 | 9,019 | 725,000 | SH | SOLE | 725,000 | 0 | 0 | ||
MoSys, Inc. | common | 619718109 | 8,929 | 5,992,697 | SH | SOLE | 5,992,697 | 0 | 0 | ||
NTN Buzztime, Inc. | common | 629410309 | 2,916 | 9,082,575 | SH | SOLE | 9,082,575 | 0 | 0 | ||
NV5 Holding Inc. | common | 62945V109 | 742 | 40,000 | SH | SOLE | 40,000 | 0 | 0 | ||
NeoPhotonics Corporation | common | 64051T100 | 15,455 | 2,269,508 | SH | SOLE | 2,269,508 | 0 | 0 | ||
Neonode, Inc. | common | 64051M402 | 5,906 | 2,420,499 | SH | SOLE | 2,420,499 | 0 | 0 | ||
Netlist, Inc. | common | 64118P109 | 1,997 | 4,753,843 | SH | SOLE | 4,753,843 | 0 | 0 | ||
NeuroDerm Ltd. (Israel) | common | M74231107 | 1,550 | 75,000 | SH | SOLE | 75,000 | 0 | 0 | ||
Novavax, Inc. | common | 670002104 | 2,828 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
Opko Health Inc. | common | 68375N103 | 2,943 | 350,000 | SH | SOLE | 350,000 | 0 | 0 | ||
OvaScience, Inc. | common | 69014Q101 | 976 | 115,000 | SH | SOLE | 115,000 | 0 | 0 | ||
PC-Tel, Inc. | common | 69325Q105 | 1,428 | 237,545 | SH | SOLE | 237,545 | 0 | 0 | ||
Pacira Pharmaceuticals, Inc. | common | 695127100 | 4,727 | 115,018 | SH | SOLE | 115,018 | 0 | 0 | ||
ParkerVision, Inc. | common | 701354102 | 388 | 2,070,867 | SH | SOLE | 2,070,867 | 0 | 0 | ||
Pfenex, Inc. | common | 717071104 | 12,890 | 858,775 | SH | SOLE | 858,775 | 0 | 0 | ||
Pfsweb, Inc. | common | 717098206 | 25,312 | 1,780,000 | SH | SOLE | 1,780,000 | 0 | 0 | ||
PowerSecure International, Inc | common | 73936N105 | 9,730 | 844,630 | SH | SOLE | 844,630 | 0 | 0 | ||
Presbia, PLC (Ireland) | common | G7234P100 | 2,399 | 437,803 | SH | SOLE | 437,803 | 0 | 0 | ||
Quantum Fuel Systems Tech Worl | common | 74765E109 | 906 | 823,939 | SH | SOLE | 823,939 | 0 | 0 | ||
Rand logistics Inc. | common | 752182105 | 1,171 | 547,235 | SH | SOLE | 547,235 | 0 | 0 | ||
Redhill Biopharma Ltd. | common | 757468103 | 3,481 | 269,606 | SH | SOLE | 269,606 | 0 | 0 | ||
Repligen Corporation | common | 759916109 | 5,291 | 190,000 | SH | SOLE | 190,000 | 0 | 0 | ||
SCYNEXIS, Inc. | common | 811292101 | 2,222 | 305,200 | SH | SOLE | 305,200 | 0 | 0 | ||
SMART Technologies, Inc.(Canad | common | 83172R108 | 2,233 | 3,483,053 | SH | SOLE | 3,483,053 | 0 | 0 | ||
SMTP, Inc. | common | 784589202 | 2,489 | 530,734 | SH | SOLE | 530,734 | 0 | 0 | ||
Saia, Inc. | common | 78709Y105 | 696 | 22,500 | SH | SOLE | 22,500 | 0 | 0 | ||
Sangamo BioSciences, Inc. | common | 800677106 | 520 | 92,200 | SH | SOLE | 92,200 | 0 | 0 | ||
SeaChange International, Inc. | common | 811699107 | 5,984 | 949,913 | SH | SOLE | 949,913 | 0 | 0 | ||
Sequans Communications - ADR | common | 817323108 | 2,805 | 2,549,700 | SH | SOLE | 2,549,700 | 0 | 0 | ||
Silicon Motion Technology Corp | common | 82706C108 | 2,391 | 87,537 | SH | SOLE | 87,537 | 0 | 0 | ||
Speed Commerce, Inc. | common | 847764T10 | 229 | 1,179,950 | SH | SOLE | 1,179,950 | 0 | 0 | ||
StarTek, inc. | common | 85569C107 | 439 | 130,000 | SH | SOLE | 130,000 | 0 | 0 | ||
Streamline Health Solutions | common | 86323X106 | 561 | 244,818 | SH | SOLE | 244,818 | 0 | 0 | ||
Sucampo Pharmaceuticals, Inc. | common | 864909106 | 1,987 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Support.com, Inc. | common | 86858W101 | 3,122 | 2,787,120 | SH | SOLE | 2,787,120 | 0 | 0 | ||
Synergetics USA, Inc. | common | 87160G107 | 6,811 | 1,036,727 | SH | SOLE | 1,036,727 | 0 | 0 | ||
Tivo, Inc. | common | 888706108 | 1,757 | 202,908 | SH | SOLE | 202,908 | 0 | 0 | ||
Trillium Therapeutics Corp. | common | 89620X100 | 2,696 | 206,937 | SH | SOLE | 206,937 | 0 | 0 | ||
Truett-Hurst, Inc. | common | 897871109 | 266 | 263,453 | SH | SOLE | 263,453 | 0 | 0 | ||
Ultra Clean Holdings, Inc. | common | 90385V107 | 8,453 | 1,472,701 | SH | SOLE | 1,472,701 | 0 | 0 | ||
Unwired Planet, Inc. | common | 91531F103 | 1,244 | 1,715,578 | SH | SOLE | 1,715,578 | 0 | 0 | ||
VIVUS, Inc. | common | 928551100 | 574 | 350,000 | SH | SOLE | 350,000 | 0 | 0 | ||
Verastem, Inc. | common | 92337C104 | 716 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
Vitae Pharmaceuticals, Inc. | common | 92847N103 | 8,760 | 795,624 | SH | SOLE | 795,624 | 0 | 0 | ||
Vocera Communications, Inc. | common | 92857F107 | 25,850 | 2,265,556 | SH | SOLE | 2,265,556 | 0 | 0 | ||
XCel Brands Inc. | common | 98400M101 | 3,092 | 360,000 | SH | SOLE | 360,000 | 0 | 0 | ||
Xplore Technologies, Corp. | common | 983950700 | 1,066 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
Zafgen Inc. | common | 98885E102 | 5,674 | 177,598 | SH | SOLE | 177,598 | 0 | 0 | ||
Zogenix, Inc. | common | 98978L204 | 823 | 61,000 | SH | SOLE | 61,000 | 0 | 0 | ||
iPass, Inc. | common | 46261V108 | 1,656 | 1,707,362 | SH | SOLE | 1,707,362 | 0 | 0 | ||
iRadimed,Corp. | common | 46266A109 | 3,784 | 155,330 | SH | SOLE | 155,330 | 0 | 0 | ||
Cellectar Biosciences@1.00 2/6 | warrants | 15117F203 | 906 | 1,066,000 | SH | SOLE | 1,066,000 | 0 | 0 | ||
EyeGate Pharmaceuticals @10.62 | warrants | 30233M115 | 140 | 137,092 | SH | SOLE | 137,092 | 0 | 0 | ||
Overland Storage, Inc. 20% of | Rights | 999999999 | 2,250 | 3,000,000 | SH | SOLE | 3,000,000 | 0 | 0 |