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 | 1,350 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
Acadia Pharmaceuticals, Inc. | common | 004225108 | 1,782 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
Aerovironment, Inc. | common | 008073108 | 13,789 | 467,909 | SH | SOLE | 467,909 | 0 | 0 | ||
Amber Road, Inc. | common | 02318Y108 | 891 | 175,068 | SH | SOLE | 175,068 | 0 | 0 | ||
Ameresco, Inc. | common | 02361E108 | 2,133 | 341,240 | SH | SOLE | 341,240 | 0 | 0 | ||
American Superconductor, Corp. | common | 030111207 | 8,777 | 1,377,838 | SH | SOLE | 1,377,838 | 0 | 0 | ||
Aqua Metals, Inc. | common | 03837J101 | 6,680 | 1,253,350 | SH | SOLE | 1,253,350 | 0 | 0 | ||
Aratana Therapeutics, Inc. | common | 03874P101 | 2,609 | 467,507 | SH | SOLE | 467,507 | 0 | 0 | ||
Ardmore Shipping Corp. | common | Y0207T100 | 7,056 | 554,710 | SH | SOLE | 554,710 | 0 | 0 | ||
Avinger, Inc. | common | 053734109 | 11,355 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
Bazaarvoice Inc. | common | 073271108 | 1,971 | 450,000 | SH | SOLE | 450,000 | 0 | 0 | ||
BioTelemetry, Inc. | common | 090672106 | 1,694 | 145,000 | SH | SOLE | 145,000 | 0 | 0 | ||
Bluebird Bio, Inc. | common | 09609G100 | 1,927 | 30,000 | SH | SOLE | 30,000 | 0 | 0 | ||
Brightcove, Inc. | common | 075097042 | 12,051 | 1,943,630 | SH | SOLE | 1,943,630 | 0 | 0 | ||
Broadwind Energy, Inc. | common | 11161T108 | 3,393 | 1,631,480 | SH | SOLE | 1,631,480 | 0 | 0 | ||
CEVA, Inc. | common | 157210105 | 26,563 | 1,137,114 | SH | SOLE | 1,137,114 | 0 | 0 | ||
CPI Aerostructures, Inc. | common | 125919308 | 9,059 | 931,040 | SH | SOLE | 931,040 | 0 | 0 | ||
CVD Equipment Corporation | common | 126601103 | 2,910 | 288,700 | SH | SOLE | 288,700 | 0 | 0 | ||
Cidara Therapeutics Inc. | common | 171757107 | 2,574 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
Cipher Pharmaceuticals, Inc. | common | 17253X105 | 1,172 | 250,000 | SH | SOLE | 250,000 | 0 | 0 | ||
Constant Contact Inc. | common | 210313102 | 701 | 23,967 | SH | SOLE | 23,967 | 0 | 0 | ||
Control4 Corp. | common | 21240D107 | 469 | 64,459 | SH | SOLE | 64,459 | 0 | 0 | ||
Corium International Inc. | common | 21887L107 | 1,595 | 196,376 | SH | SOLE | 196,376 | 0 | 0 | ||
DSP Group, Inc. | common | 23332B106 | 6,947 | 735,935 | SH | SOLE | 735,935 | 0 | 0 | ||
Derma Sciences, Inc. | common | 249827502 | 864 | 188,995 | SH | SOLE | 188,995 | 0 | 0 | ||
Determine, Inc. | common | 250660107 | 2,128 | 821,760 | SH | SOLE | 821,760 | 0 | 0 | ||
ESSA Pharma Inc. | common | 29668H104 | 3,340 | 727,272 | SH | SOLE | 727,272 | 0 | 0 | ||
Energous Corporation | common | 29272C103 | 11,643 | 1,471,919 | SH | SOLE | 1,471,919 | 0 | 0 | ||
Extreme Networks, Inc. | common | 30226D106 | 4,162 | 1,020,219 | SH | SOLE | 1,020,219 | 0 | 0 | ||
EyeGate Pharmaceuticals, Inc. | common | 30233M107 | 292 | 106,561 | SH | SOLE | 106,561 | 0 | 0 | ||
Five Prime Therapeutics, Inc. | common | 33830X104 | 4,905 | 118,199 | SH | SOLE | 118,199 | 0 | 0 | ||
Gaiam, Inc. | common | 36268Q103 | 936 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
General Employment Enterprises | common | 369730106 | 130 | 21,875 | SH | SOLE | 21,875 | 0 | 0 | ||
Genocea Biosciences, Inc. | common | 372427104 | 3,768 | 715,000 | SH | SOLE | 715,000 | 0 | 0 | ||
Gigamon, Inc. | common | 37518B102 | 7,038 | 264,877 | SH | SOLE | 264,877 | 0 | 0 | ||
Good Times Restaurants, Inc. | common | 382140879 | 480 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Great Lakes Dredge & Dock Co. | common | 390607109 | 594 | 150,100 | SH | SOLE | 150,100 | 0 | 0 | ||
Ideal Power, Inc. | common | 451622104 | 13,455 | 1,681,935 | SH | SOLE | 1,681,935 | 0 | 0 | ||
Infusystem Holdings, Inc. | common | 45685K102 | 3,578 | 1,173,102 | SH | SOLE | 1,173,102 | 0 | 0 | ||
Intellicheck Mobilisa, Inc. | common | 45817G201 | 2,184 | 1,985,022 | SH | SOLE | 1,985,022 | 0 | 0 | ||
Invuity, Inc. | common | 46187J205 | 1,411 | 160,000 | SH | SOLE | 160,000 | 0 | 0 | ||
Iteris, Inc. | common | 46564T107 | 1,151 | 535,369 | SH | SOLE | 535,369 | 0 | 0 | ||
Kopin Corporation | common | 500600101 | 17,423 | 6,405,598 | SH | SOLE | 6,405,598 | 0 | 0 | ||
LDR Holding Corp. | common | 50185U105 | 3,825 | 152,333 | SH | SOLE | 152,333 | 0 | 0 | ||
LRAD Corporation | common | 50213V109 | 8,343 | 4,192,710 | SH | SOLE | 4,192,710 | 0 | 0 | ||
LeMaitre Vascular Inc. | common | 525558201 | 20,554 | 1,191,517 | SH | SOLE | 1,191,517 | 0 | 0 | ||
LendingTree, Inc. | common | 894675107 | 14,402 | 161,308 | SH | SOLE | 161,308 | 0 | 0 | ||
LivePerson, Inc. | common | 538146101 | 14,128 | 2,093,078 | SH | SOLE | 2,093,078 | 0 | 0 | ||
Loxo Oncology, Inc. | common | 548862101 | 2,987 | 105,000 | SH | SOLE | 105,000 | 0 | 0 | ||
Manitex Int'l Inc. | common | 563420108 | 4,649 | 781,362 | SH | SOLE | 781,362 | 0 | 0 | ||
MaxLinear, Inc. | common | 57776J100 | 5,810 | 394,438 | SH | SOLE | 394,438 | 0 | 0 | ||
MoSys, Inc. | common | 619718109 | 6,347 | 5,822,957 | SH | SOLE | 5,822,957 | 0 | 0 | ||
NTN Buzztime, Inc. | common | 629410309 | 1,453 | 9,082,575 | SH | SOLE | 9,082,575 | 0 | 0 | ||
NV5 Global Inc. | common | 62945V109 | 879 | 40,000 | SH | SOLE | 40,000 | 0 | 0 | ||
NeoPhotonics Corporation | common | 64051T100 | 24,256 | 2,233,561 | SH | SOLE | 2,233,561 | 0 | 0 | ||
Neonode, Inc. | common | 64051M402 | 10,182 | 4,024,446 | SH | SOLE | 4,024,446 | 0 | 0 | ||
Netlist, Inc. | common | 64118P109 | 4,360 | 4,954,543 | SH | SOLE | 4,954,543 | 0 | 0 | ||
Novavax, Inc. | common | 670002104 | 3,356 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
Opko Health Inc. | common | 68375N103 | 3,517 | 350,000 | SH | SOLE | 350,000 | 0 | 0 | ||
OvaScience, Inc. | common | 69014Q101 | 1,137 | 116,352 | SH | SOLE | 116,352 | 0 | 0 | ||
PC-Tel, Inc. | common | 69325Q105 | 1,438 | 316,053 | SH | SOLE | 316,053 | 0 | 0 | ||
Pacira Pharmaceuticals, Inc. | common | 695127100 | 3,595 | 46,818 | SH | SOLE | 46,818 | 0 | 0 | ||
ParkerVision, Inc. | common | 701354102 | 462 | 1,988,766 | SH | SOLE | 1,988,766 | 0 | 0 | ||
Pfenex, Inc. | common | 717071104 | 10,632 | 858,775 | SH | SOLE | 858,775 | 0 | 0 | ||
Pfsweb, Inc. | common | 717098206 | 21,910 | 1,702,446 | SH | SOLE | 1,702,446 | 0 | 0 | ||
PowerSecure International, Inc | common | 73936N105 | 12,712 | 844,630 | SH | SOLE | 844,630 | 0 | 0 | ||
Presbia, PLC (Ireland) | common | G7234P100 | 2,303 | 437,803 | SH | SOLE | 437,803 | 0 | 0 | ||
Rand logistics Inc. | common | 752182105 | 1,036 | 647,235 | SH | SOLE | 647,235 | 0 | 0 | ||
Repligen Corporation | common | 759916109 | 5,658 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
SCYNEXIS, Inc. | common | 811292101 | 1,861 | 299,687 | SH | SOLE | 299,687 | 0 | 0 | ||
Saia, Inc. | common | 78709Y105 | 501 | 22,500 | SH | SOLE | 22,500 | 0 | 0 | ||
Sangamo BioSciences, Inc. | common | 800677106 | 842 | 92,200 | SH | SOLE | 92,200 | 0 | 0 | ||
SeaChange International, Inc. | common | 811699107 | 6,402 | 949,913 | SH | SOLE | 949,913 | 0 | 0 | ||
Sequans Communications - ADR | common | 817323108 | 9,181 | 4,371,704 | SH | SOLE | 4,371,704 | 0 | 0 | ||
SharpSpring, Inc. | common | 784589202 | 1,688 | 530,734 | SH | SOLE | 530,734 | 0 | 0 | ||
Silicon Motion Technology Corp | common | 82706C108 | 2,051 | 65,389 | SH | SOLE | 65,389 | 0 | 0 | ||
StarTek, inc. | common | 85569C107 | 189 | 52,853 | SH | SOLE | 52,853 | 0 | 0 | ||
Streamline Health Solutions | common | 86323X106 | 2,205 | 1,563,734 | SH | SOLE | 1,563,734 | 0 | 0 | ||
Sucampo Pharmaceuticals, Inc. | common | 864909106 | 1,729 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Support.com, Inc. | common | 86858W101 | 1,308 | 1,295,320 | SH | SOLE | 1,295,320 | 0 | 0 | ||
Tivo, Inc. | common | 888706108 | 1,751 | 202,908 | SH | SOLE | 202,908 | 0 | 0 | ||
Trevena, Inc. | common | 89532E109 | 2,100 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
Trillium Therapeutics Corp. | common | 89620X100 | 2,609 | 206,937 | SH | SOLE | 206,937 | 0 | 0 | ||
Truett-Hurst, Inc. | common | 897871109 | 164 | 113,390 | SH | SOLE | 113,390 | 0 | 0 | ||
Ultra Clean Holdings, Inc. | common | 90385V107 | 7,540 | 1,472,701 | SH | SOLE | 1,472,701 | 0 | 0 | ||
Unwired Planet, Inc. | common | 91531F103 | 1,481 | 1,715,578 | SH | SOLE | 1,715,578 | 0 | 0 | ||
Vitae Pharmaceuticals, Inc. | common | 92847N103 | 14,401 | 795,624 | SH | SOLE | 795,624 | 0 | 0 | ||
Vocera Communications, Inc. | common | 92857F107 | 26,916 | 2,206,262 | SH | SOLE | 2,206,262 | 0 | 0 | ||
XCel Brands Inc. | common | 98400M101 | 2,700 | 360,000 | SH | SOLE | 360,000 | 0 | 0 | ||
Xplore Technologies, Corp. | common | 983950700 | 1,152 | 225,000 | SH | SOLE | 225,000 | 0 | 0 | ||
iRadimed Corporation | common | 46266A109 | 7,802 | 278,330 | SH | SOLE | 278,330 | 0 | 0 | ||
inContact Inc. | common | 45336E109 | 12,405 | 1,300,365 | SH | SOLE | 1,300,365 | 0 | 0 | ||
Cellectar Biosciences @4.68 2/ | warrants | 15117F203 | 595 | 1,066,000 | SH | SOLE | 1,066,000 | 0 | 0 | ||
EyeGate Pharmaceuticals @10.62 | warrants | 30233M115 | 103 | 137,092 | SH | SOLE | 137,092 | 0 | 0 |