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 | 1,332 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
Aehr Test Systems (Restricted) | common | 00760J108 | 2,551 | 1,050,000 | SH | SOLE | 1,050,000 | 0 | 0 | ||
Aerovironment, Inc. | common | 008073108 | 11,835 | 484,822 | SH | SOLE | 484,822 | 0 | 0 | ||
Aldeyra Therapeutics, Inc. | common | 01438T106 | 7,205 | 917,810 | SH | SOLE | 917,810 | 0 | 0 | ||
American Superconductor, Corp. | common | 030111207 | 8,738 | 1,246,576 | SH | SOLE | 1,246,576 | 0 | 0 | ||
Aptevo Therapeutics, Inc. | common | 03835L103 | 530 | 207,000 | SH | SOLE | 207,000 | 0 | 0 | ||
Aqua Metals, Inc. | common | 03837J101 | 11,272 | 1,272,250 | SH | SOLE | 1,272,250 | 0 | 0 | ||
Aratana Therapeutics, Inc. | common | 03874P101 | 9,407 | 1,005,000 | SH | SOLE | 1,005,000 | 0 | 0 | ||
Ardelyx, Inc. | common | 039697107 | 1,294 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Ardmore Shipping Corp. (Irelan | common | Y0207T100 | 4,253 | 604,110 | SH | SOLE | 604,110 | 0 | 0 | ||
Atomera Incorporated | common | 04965B100 | 6,653 | 852,985 | SH | SOLE | 852,985 | 0 | 0 | ||
Avinger, Inc. | common | 053734109 | 1,864 | 390,790 | SH | SOLE | 390,790 | 0 | 0 | ||
Bazaarvoice Inc. | common | 073271108 | 4,367 | 738,991 | SH | SOLE | 738,991 | 0 | 0 | ||
BioTelemetry, Inc. | common | 090672106 | 2,028 | 109,189 | SH | SOLE | 109,189 | 0 | 0 | ||
Boingo Wireless, Inc. | common | 09739C102 | 3,650 | 355,026 | SH | SOLE | 355,026 | 0 | 0 | ||
Brightcove, Inc. | common | 075097042 | 19,816 | 1,518,442 | SH | SOLE | 1,518,442 | 0 | 0 | ||
Broadwind Energy, Inc. | common | 11161T108 | 6,380 | 1,450,009 | SH | SOLE | 1,450,009 | 0 | 0 | ||
CEVA, Inc. | common | 157210105 | 38,837 | 1,107,410 | SH | SOLE | 1,107,410 | 0 | 0 | ||
CPI Aerostructures, Inc. | common | 125919308 | 4,179 | 603,068 | SH | SOLE | 603,068 | 0 | 0 | ||
CVD Equipment Corporation | common | 126601103 | 2,419 | 288,700 | SH | SOLE | 288,700 | 0 | 0 | ||
Castlight Health, Inc. | common | 14862Q100 | 1,664 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
ChannelAdvisor, Corp. | common | 159179100 | 4,118 | 318,465 | SH | SOLE | 318,465 | 0 | 0 | ||
Cidara Therapeutics Inc. | common | 171757107 | 3,007 | 262,655 | SH | SOLE | 262,655 | 0 | 0 | ||
Cipher Pharmaceuticals, Inc. | common | 17253X105 | 708 | 185,300 | SH | SOLE | 185,300 | 0 | 0 | ||
Citi Trends, Inc. | common | 17306X102 | 3,641 | 182,707 | SH | SOLE | 182,707 | 0 | 0 | ||
Clearside Biomedical, Inc. | common | 185063104 | 867 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
CoLucid Pharmaceuticals, Inc. | common | 19716T101 | 11,022 | 288,919 | SH | SOLE | 288,919 | 0 | 0 | ||
Concert Pharmaceuticals, Inc. | common | 206022105 | 1,011 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Corium International Inc. | common | 21887L107 | 1,116 | 198,511 | SH | SOLE | 198,511 | 0 | 0 | ||
DSP Group, Inc. | common | 23332B106 | 8,931 | 743,639 | SH | SOLE | 743,639 | 0 | 0 | ||
Determine, Inc. | common | 250660107 | 1,289 | 716,220 | SH | SOLE | 716,220 | 0 | 0 | ||
Digimarc Corporation | common | 25381B101 | 3,068 | 80,000 | SH | SOLE | 80,000 | 0 | 0 | ||
ESSA Pharma Inc. | common | 29668H104 | 4,785 | 1,696,968 | SH | SOLE | 1,696,968 | 0 | 0 | ||
Earthstone Energy, Inc. | common | 27032D205 | 3,421 | 397,834 | SH | SOLE | 397,834 | 0 | 0 | ||
Energous Corporation | common | 29272C103 | 2,938 | 149,800 | SH | SOLE | 149,800 | 0 | 0 | ||
Extreme Networks, Inc. | common | 30226D106 | 3,150 | 701,566 | SH | SOLE | 701,566 | 0 | 0 | ||
Five Prime Therapeutics, Inc. | common | 33830X104 | 4,199 | 80,000 | SH | SOLE | 80,000 | 0 | 0 | ||
Health Insurance Innovations | common | 42225K106 | 630 | 120,000 | SH | SOLE | 120,000 | 0 | 0 | ||
IZEA Inc. | common | 46603N202 | 5,977 | 1,018,216 | SH | SOLE | 1,018,216 | 0 | 0 | ||
Ideal Power, Inc. | common | 451622104 | 8,696 | 1,681,935 | SH | SOLE | 1,681,935 | 0 | 0 | ||
Immersion Corporation | common | 452521107 | 2,748 | 336,734 | SH | SOLE | 336,734 | 0 | 0 | ||
Impinj, Inc. | common | 453204109 | 8,256 | 220,623 | SH | SOLE | 220,623 | 0 | 0 | ||
Infusystem Holdings, Inc. | common | 45685K102 | 3,915 | 1,413,494 | SH | SOLE | 1,413,494 | 0 | 0 | ||
Intellicheck Mobilisa, Inc. | common | 45817G201 | 3,414 | 1,985,022 | SH | SOLE | 1,985,022 | 0 | 0 | ||
Invuity, Inc. | common | 46187J205 | 2,058 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
Iteris, Inc. | common | 46564T107 | 1,949 | 535,369 | SH | SOLE | 535,369 | 0 | 0 | ||
Kopin Corporation | common | 500600101 | 14,431 | 6,619,921 | SH | SOLE | 6,619,921 | 0 | 0 | ||
LRAD Corporation | common | 50213V109 | 7,840 | 4,192,710 | SH | SOLE | 4,192,710 | 0 | 0 | ||
LeMaitre Vascular Inc. | common | 525558201 | 16,598 | 836,614 | SH | SOLE | 836,614 | 0 | 0 | ||
LendingTree, Inc. | common | 894675107 | 6,590 | 68,000 | SH | SOLE | 68,000 | 0 | 0 | ||
LivePerson, Inc. | common | 538146101 | 17,603 | 2,093,078 | SH | SOLE | 2,093,078 | 0 | 0 | ||
Loxo Oncology, Inc. | common | 548862101 | 4,712 | 180,000 | SH | SOLE | 180,000 | 0 | 0 | ||
MCBC Holdings, Inc. | common | 55276F107 | 5,523 | 484,441 | SH | SOLE | 484,441 | 0 | 0 | ||
Manitex Int'l Inc. | common | 563420108 | 4,305 | 781,362 | SH | SOLE | 781,362 | 0 | 0 | ||
MaxLinear, Inc. | common | 57776J100 | 6,081 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
MoSys, Inc. | common | 619718109 | 4,367 | 5,822,957 | SH | SOLE | 5,822,957 | 0 | 0 | ||
NTN Buzztime, Inc. | common | 629410309 | 1,237 | 181,650 | SH | SOLE | 181,650 | 0 | 0 | ||
NV5 Global Inc. | common | 62945V109 | 2,504 | 77,500 | SH | SOLE | 77,500 | 0 | 0 | ||
NeoPhotonics Corporation | common | 64051T100 | 28,653 | 1,753,538 | SH | SOLE | 1,753,538 | 0 | 0 | ||
Neonode, Inc. | common | 64051M402 | 5,028 | 4,410,539 | SH | SOLE | 4,410,539 | 0 | 0 | ||
Netlist, Inc. | common | 64118P109 | 7,044 | 5,680,928 | SH | SOLE | 5,680,928 | 0 | 0 | ||
Opko Health Inc. | common | 68375N103 | 3,706 | 350,000 | SH | SOLE | 350,000 | 0 | 0 | ||
OvaScience, Inc. | common | 69014Q101 | 358 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
PC-Tel, Inc. | common | 69325Q105 | 1,674 | 316,403 | SH | SOLE | 316,403 | 0 | 0 | ||
ParkerVision, Inc. | common | 701354102 | 1,125 | 264,072 | SH | SOLE | 264,072 | 0 | 0 | ||
Pfenex, Inc. | common | 717071104 | 8,395 | 938,042 | SH | SOLE | 938,042 | 0 | 0 | ||
Pfsweb, Inc. | common | 717098206 | 13,803 | 1,545,738 | SH | SOLE | 1,545,738 | 0 | 0 | ||
Presbia, PLC (Ireland) | common | G7234P100 | 1,684 | 358,249 | SH | SOLE | 358,249 | 0 | 0 | ||
QuinStreet, Inc. | common | 74874Q100 | 2,235 | 739,917 | SH | SOLE | 739,917 | 0 | 0 | ||
RADCOM Ltd. | common | M81865111 | 1,674 | 82,000 | SH | SOLE | 82,000 | 0 | 0 | ||
Rand logistics Inc. | common | 752182105 | 485 | 647,235 | SH | SOLE | 647,235 | 0 | 0 | ||
Repligen Corporation | common | 759916109 | 3,623 | 120,000 | SH | SOLE | 120,000 | 0 | 0 | ||
Revolution Lighting Technologi | common | 76155G107 | 5,994 | 950,000 | SH | SOLE | 950,000 | 0 | 0 | ||
SCYNEXIS, Inc. | common | 811292101 | 484 | 125,000 | SH | SOLE | 125,000 | 0 | 0 | ||
Saia, Inc. | common | 78709Y105 | 674 | 22,500 | SH | SOLE | 22,500 | 0 | 0 | ||
SeaChange International, Inc. | common | 811699107 | 3,449 | 1,153,677 | SH | SOLE | 1,153,677 | 0 | 0 | ||
Sensus Healthcare, Inc | common | 81728J109 | 3,025 | 491,938 | SH | SOLE | 491,938 | 0 | 0 | ||
Sequans Communications - ADR | common | 817323108 | 12,957 | 7,320,230 | SH | SOLE | 7,320,230 | 0 | 0 | ||
SharpSpring, Inc. | common | 784589202 | 2,733 | 530,734 | SH | SOLE | 530,734 | 0 | 0 | ||
Streamline Health Solutions | common | 86323X106 | 2,647 | 1,438,334 | SH | SOLE | 1,438,334 | 0 | 0 | ||
Support.com, Inc. | common | 86858W101 | 228 | 271,753 | SH | SOLE | 271,753 | 0 | 0 | ||
Syros Pharmaceuticals, Inc. | common | 87184Q107 | 660 | 47,550 | SH | SOLE | 47,550 | 0 | 0 | ||
Tactile Systems Technology | common | 87357P100 | 10,285 | 550,000 | SH | SOLE | 550,000 | 0 | 0 | ||
TearLab Corp. (F4) | common | 878193101 | 4,730 | 7,277,250 | SH | SOLE | 7,277,250 | 0 | 0 | ||
Trevena, Inc. | common | 89532E109 | 971 | 143,904 | SH | SOLE | 143,904 | 0 | 0 | ||
Trillium Therapeutics Corp. | common | 89620X100 | 3,092 | 209,177 | SH | SOLE | 209,177 | 0 | 0 | ||
Turtle Beach Corporation | common | 900450107 | 524 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
Ultra Clean Holdings, Inc. | common | 90385V107 | 10,913 | 1,472,701 | SH | SOLE | 1,472,701 | 0 | 0 | ||
Verastem, Inc. | common | 92337C104 | 1,696 | 1,275,323 | SH | SOLE | 1,275,323 | 0 | 0 | ||
Vitae Pharmaceuticals, Inc. | common | 92847N103 | 22,227 | 1,062,498 | SH | SOLE | 1,062,498 | 0 | 0 | ||
Vocera Communications, Inc. | common | 92857F107 | 21,125 | 1,250,000 | SH | SOLE | 1,250,000 | 0 | 0 | ||
XCel Brands Inc. | common | 98400M101 | 1,775 | 360,000 | SH | SOLE | 360,000 | 0 | 0 | ||
Xactly Corporation | common | 98386L101 | 691 | 46,928 | SH | SOLE | 46,928 | 0 | 0 | ||
Xplore Technologies, Corp. | common | 983950700 | 885 | 368,902 | SH | SOLE | 368,902 | 0 | 0 | ||
iRadimed Corporation | common | 46266A109 | 801 | 47,119 | SH | SOLE | 47,119 | 0 | 0 | ||
inContact Inc. | common | 45336E109 | 15,944 | 1,140,507 | SH | SOLE | 1,140,507 | 0 | 0 | ||
Cellectar Biosciences @4.68 8/ | warrants | 15117F203 | 27 | 106,600 | SH | SOLE | 106,600 | 0 | 0 | ||
EyeGate Pharmaceuticals @10.62 | warrants | 30233M115 | 48 | 137,092 | SH | SOLE | 137,092 | 0 | 0 | ||
Sensus Healthcare, Inc @6.75 6 | warrants | 999999999 | 634 | 494,939 | SH | SOLE | 494,939 | 0 | 0 |