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 | 1,623 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
Achaogen, Inc. | common | 004449104 | 1,577 | 121,100 | SH | SOLE | 121,100 | 0 | 0 | ||
Aehr Test Systems | common | 00760J108 | 2,530 | 1,050,000 | SH | SOLE | 1,050,000 | 0 | 0 | ||
Aerovironment, Inc. | common | 008073108 | 9,590 | 357,434 | SH | SOLE | 357,434 | 0 | 0 | ||
Aldeyra Therapeutics, Inc. | common | 01438T106 | 4,882 | 912,610 | SH | SOLE | 912,610 | 0 | 0 | ||
American Superconductor, Corp. | common | 030111207 | 9,187 | 1,246,576 | SH | SOLE | 1,246,576 | 0 | 0 | ||
Aqua Metals, Inc. | common | 03837J101 | 19,108 | 1,457,524 | SH | SOLE | 1,457,524 | 0 | 0 | ||
Aratana Therapeutics, Inc. | common | 03874P101 | 7,216 | 1,005,000 | SH | SOLE | 1,005,000 | 0 | 0 | ||
Ardelyx, Inc. | common | 039697107 | 1,420 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Atomera Incorporated | common | 04965B100 | 5,758 | 852,985 | SH | SOLE | 852,985 | 0 | 0 | ||
AxoGen, Inc. | common | 05463X106 | 3,079 | 342,106 | SH | SOLE | 342,106 | 0 | 0 | ||
Bazaarvoice Inc. | common | 073271108 | 3,705 | 763,991 | SH | SOLE | 763,991 | 0 | 0 | ||
BioTelemetry, Inc. | common | 090672106 | 2,440 | 109,189 | SH | SOLE | 109,189 | 0 | 0 | ||
Boingo Wireless, Inc. | common | 09739C102 | 4,328 | 355,026 | SH | SOLE | 355,026 | 0 | 0 | ||
Brightcove, Inc. | common | 075097042 | 11,860 | 1,473,280 | SH | SOLE | 1,473,280 | 0 | 0 | ||
Broadwind Energy, Inc. | common | 11161T108 | 6,068 | 1,500,009 | SH | SOLE | 1,500,009 | 0 | 0 | ||
CEVA, Inc. | common | 157210105 | 37,154 | 1,107,410 | SH | SOLE | 1,107,410 | 0 | 0 | ||
CPI Aerostructures, Inc. | common | 125919308 | 3,920 | 423,752 | SH | SOLE | 423,752 | 0 | 0 | ||
CVD Equipment Corporation | common | 126601103 | 2,506 | 288,700 | SH | SOLE | 288,700 | 0 | 0 | ||
Castlight Health, Inc. | common | 14862Q100 | 2,460 | 496,932 | SH | SOLE | 496,932 | 0 | 0 | ||
ChannelAdvisor, Corp. | common | 159179100 | 5,323 | 370,914 | SH | SOLE | 370,914 | 0 | 0 | ||
Cherokee Inc. | common | 16444H102 | 3,150 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
Cidara Therapeutics Inc. | common | 171757107 | 2,732 | 262,655 | SH | SOLE | 262,655 | 0 | 0 | ||
Cipher Pharmaceuticals, Inc. | common | 17253X105 | 676 | 185,300 | SH | SOLE | 185,300 | 0 | 0 | ||
Citi Trends, Inc. | common | 17306X102 | 7,113 | 377,573 | SH | SOLE | 377,573 | 0 | 0 | ||
Clearside Biomedical, Inc. | common | 185063104 | 1,117 | 125,000 | SH | SOLE | 125,000 | 0 | 0 | ||
CoLucid Pharmaceuticals, Inc. | common | 19716T101 | 10,517 | 288,919 | SH | SOLE | 288,919 | 0 | 0 | ||
Concert Pharmaceuticals, Inc. | common | 206022105 | 1,132 | 110,000 | SH | SOLE | 110,000 | 0 | 0 | ||
Corium International Inc. | common | 21887L107 | 812 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
DSP Group, Inc. | common | 23332B106 | 9,704 | 743,639 | SH | SOLE | 743,639 | 0 | 0 | ||
Determine, Inc. | common | 250660107 | 1,325 | 716,220 | SH | SOLE | 716,220 | 0 | 0 | ||
Digimarc Corporation | common | 25381B101 | 2,461 | 82,039 | SH | SOLE | 82,039 | 0 | 0 | ||
ESSA Pharma Inc. | common | 29668H104 | 3,716 | 1,696,968 | SH | SOLE | 1,696,968 | 0 | 0 | ||
Earthstone Energy, Inc. | common | 27032D205 | 4,795 | 349,000 | SH | SOLE | 349,000 | 0 | 0 | ||
Energous Corporation | common | 29272C103 | 3,437 | 203,962 | SH | SOLE | 203,962 | 0 | 0 | ||
Enservco Corp | common | 29358Y102 | 2,100 | 3,750,000 | SH | SOLE | 3,750,000 | 0 | 0 | ||
Everspin Technology, Inc. | common | 30041T101 | 6,606 | 796,850 | SH | SOLE | 796,850 | 0 | 0 | ||
Extreme Networks, Inc. | common | 30226D106 | 2,006 | 398,762 | SH | SOLE | 398,762 | 0 | 0 | ||
Female Health Co. | common | 314462102 | 364 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
Five Prime Therapeutics, Inc. | common | 33830X104 | 4,009 | 80,000 | SH | SOLE | 80,000 | 0 | 0 | ||
IZEA Inc. | common | 46603N202 | 4,592 | 1,018,216 | SH | SOLE | 1,018,216 | 0 | 0 | ||
Ideal Power, Inc. | common | 451622104 | 5,550 | 1,681,935 | SH | SOLE | 1,681,935 | 0 | 0 | ||
Impinj, Inc. | common | 453204109 | 16,632 | 470,623 | SH | SOLE | 470,623 | 0 | 0 | ||
Infusystem Holdings, Inc. | common | 45685K102 | 5,239 | 2,054,507 | SH | SOLE | 2,054,507 | 0 | 0 | ||
Intellicheck Mobilisa, Inc. | common | 45817G201 | 5,459 | 1,985,022 | SH | SOLE | 1,985,022 | 0 | 0 | ||
Invuity, Inc. | common | 46187J205 | 484 | 84,222 | SH | SOLE | 84,222 | 0 | 0 | ||
Iteris, Inc. | common | 46564T107 | 1,949 | 535,369 | SH | SOLE | 535,369 | 0 | 0 | ||
Kopin Corporation | common | 500600101 | 18,747 | 6,601,034 | SH | SOLE | 6,601,034 | 0 | 0 | ||
Kratos Defense & Security Solu | common | 50077B207 | 7,400 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
LRAD Corporation | common | 50213V109 | 6,822 | 3,989,757 | SH | SOLE | 3,989,757 | 0 | 0 | ||
LeMaitre Vascular Inc. | common | 525558201 | 19,388 | 765,105 | SH | SOLE | 765,105 | 0 | 0 | ||
LendingTree, Inc. | common | 894675107 | 4,865 | 48,000 | SH | SOLE | 48,000 | 0 | 0 | ||
LivePerson, Inc. | common | 538146101 | 15,203 | 2,013,578 | SH | SOLE | 2,013,578 | 0 | 0 | ||
Loxo Oncology, Inc. | common | 548862101 | 5,781 | 180,000 | SH | SOLE | 180,000 | 0 | 0 | ||
MCBC Holdings, Inc. | common | 55276F107 | 6,591 | 452,065 | SH | SOLE | 452,065 | 0 | 0 | ||
Manitex Int'l Inc. | common | 563420108 | 3,345 | 487,682 | SH | SOLE | 487,682 | 0 | 0 | ||
MaxLinear, Inc. | common | 57776J100 | 6,322 | 290,000 | SH | SOLE | 290,000 | 0 | 0 | ||
Microvision, Inc. | common | 594960106 | 7,717 | 6,124,766 | SH | SOLE | 6,124,766 | 0 | 0 | ||
NTN Buzztime, Inc. | common | 629410309 | 2,756 | 324,191 | SH | SOLE | 324,191 | 0 | 0 | ||
NV5 Global Inc. | common | 62945V109 | 2,588 | 77,500 | SH | SOLE | 77,500 | 0 | 0 | ||
NeoPhotonics Corporation | common | 64051T100 | 19,821 | 1,833,538 | SH | SOLE | 1,833,538 | 0 | 0 | ||
Neonode, Inc. | common | 64051M402 | 6,746 | 3,666,195 | SH | SOLE | 3,666,195 | 0 | 0 | ||
Netlist, Inc. | common | 64118P109 | 5,795 | 5,680,928 | SH | SOLE | 5,680,928 | 0 | 0 | ||
Opko Health Inc. | common | 68375N103 | 3,255 | 350,000 | SH | SOLE | 350,000 | 0 | 0 | ||
OvaScience, Inc. | common | 69014Q101 | 229 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
PC-Tel, Inc. | common | 69325Q105 | 1,544 | 286,999 | SH | SOLE | 286,999 | 0 | 0 | ||
ParkerVision, Inc. | common | 701354102 | 609 | 331,062 | SH | SOLE | 331,062 | 0 | 0 | ||
Pfenex, Inc. | common | 717071104 | 8,373 | 923,107 | SH | SOLE | 923,107 | 0 | 0 | ||
Pfsweb, Inc. | common | 717098206 | 13,139 | 1,545,738 | SH | SOLE | 1,545,738 | 0 | 0 | ||
Polar Power, Inc. | common | 73102V105 | 3,522 | 393,500 | SH | SOLE | 393,500 | 0 | 0 | ||
Presbia, PLC (Ireland) | common | G7234P100 | 1,143 | 331,307 | SH | SOLE | 331,307 | 0 | 0 | ||
RADCOM Ltd. | common | M81865111 | 694 | 39,000 | SH | SOLE | 39,000 | 0 | 0 | ||
Rand logistics Inc. | common | 752182105 | 273 | 328,835 | SH | SOLE | 328,835 | 0 | 0 | ||
Repligen Corporation | common | 759916109 | 3,698 | 120,000 | SH | SOLE | 120,000 | 0 | 0 | ||
Revolution Lighting Technologi | common | 76155G107 | 5,225 | 950,000 | SH | SOLE | 950,000 | 0 | 0 | ||
SCYNEXIS, Inc. | common | 811292101 | 399 | 125,000 | SH | SOLE | 125,000 | 0 | 0 | ||
Saia, Inc. | common | 78709Y105 | 993 | 22,500 | SH | SOLE | 22,500 | 0 | 0 | ||
SeaChange International, Inc. | common | 811699107 | 452 | 196,673 | SH | SOLE | 196,673 | 0 | 0 | ||
Sensus Healthcare, Inc | common | 81728J109 | 2,573 | 491,938 | SH | SOLE | 491,938 | 0 | 0 | ||
Sequans Communications - ADR | common | 817323108 | 13,689 | 7,320,230 | SH | SOLE | 7,320,230 | 0 | 0 | ||
SharpSpring, Inc. | common | 784589202 | 2,797 | 530,734 | SH | SOLE | 530,734 | 0 | 0 | ||
Sierra Oncology, Inc. | common | 74346L101 | 745 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
Streamline Health Solutions | common | 86323X106 | 1,397 | 1,126,739 | SH | SOLE | 1,126,739 | 0 | 0 | ||
Support.com, Inc. | common | 86858W101 | 174 | 202,663 | SH | SOLE | 202,663 | 0 | 0 | ||
Syros Pharmaceuticals, Inc. | common | 87184Q107 | 578 | 47,550 | SH | SOLE | 47,550 | 0 | 0 | ||
TRACON Pharmaceuticals, Inc. | common | 89237H100 | 1,098 | 224,153 | SH | SOLE | 224,153 | 0 | 0 | ||
Tactile Systems Technology, In | common | 87357P100 | 9,025 | 550,000 | SH | SOLE | 550,000 | 0 | 0 | ||
TearLab Corp. | common | 878193101 | 3,712 | 7,277,250 | SH | SOLE | 7,277,250 | 0 | 0 | ||
Trevena, Inc. | common | 89532E109 | 1,176 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
Trillium Therapeutics Corp. Ca | common | 89620X100 | 2,064 | 365,327 | SH | SOLE | 365,327 | 0 | 0 | ||
Turtle Beach Corporation | common | 900450107 | 524 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
Ultra Clean Holdings, Inc. | common | 90385V107 | 12,382 | 1,276,531 | SH | SOLE | 1,276,531 | 0 | 0 | ||
Verastem, Inc. | common | 92337C104 | 422 | 377,082 | SH | SOLE | 377,082 | 0 | 0 | ||
Vocera Communications, Inc. | common | 92857F107 | 17,592 | 951,427 | SH | SOLE | 951,427 | 0 | 0 | ||
XCel Brands Inc. | common | 98400M101 | 1,639 | 372,540 | SH | SOLE | 372,540 | 0 | 0 | ||
Xactly Corporation | common | 98386L101 | 516 | 46,928 | SH | SOLE | 46,928 | 0 | 0 | ||
Xplore Technologies, Corp. | common | 983950700 | 769 | 380,621 | SH | SOLE | 380,621 | 0 | 0 | ||
Cellectar Biosciences @4.68 8/ | warrants | 15117F203 | 19 | 106,600 | SH | SOLE | 106,600 | 0 | 0 | ||
EyeGate Pharmaceuticals @10.62 | warrants | 30233M115 | 41 | 137,092 | SH | SOLE | 137,092 | 0 | 0 | ||
Sensus Healthcare, Inc @6.75 6 | warrants | 81728J117 | 247 | 494,939 | SH | SOLE | 494,939 | 0 | 0 |