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 |
|
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 | 1,560 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
Achaogen, Inc. | common | 004449104 | 3,280 | 130,000 | SH | SOLE | 130,000 | 0 | 0 | ||
Adverum Biotechnologies, Inc. | common | 00773U108 | 540 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
Aehr Test Systems | common | 00760J108 | 2,785 | 578,925 | SH | SOLE | 578,925 | 0 | 0 | ||
Aerovironment, Inc. | common | 008073108 | 10,022 | 357,534 | SH | SOLE | 357,534 | 0 | 0 | ||
Aldeyra Therapeutics, Inc. | common | 01438T106 | 4,563 | 912,610 | SH | SOLE | 912,610 | 0 | 0 | ||
American Superconductor, Corp. | common | 030111207 | 8,494 | 1,238,245 | SH | SOLE | 1,238,245 | 0 | 0 | ||
Aqua Metals, Inc. | common | 03837J101 | 25,698 | 1,315,157 | SH | SOLE | 1,315,157 | 0 | 0 | ||
Aratana Therapeutics, Inc. | common | 03874P101 | 5,632 | 1,062,620 | SH | SOLE | 1,062,620 | 0 | 0 | ||
Ardelyx, Inc. | common | 039697107 | 1,265 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Atomera Incorporated | common | 04965B100 | 6,039 | 852,985 | SH | SOLE | 852,985 | 0 | 0 | ||
Aurinia Pharmaceuticals Inc. | common | 05156V102 | 2,202 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
AxoGen, Inc. | common | 05463X106 | 3,575 | 342,106 | SH | SOLE | 342,106 | 0 | 0 | ||
Bazaarvoice Inc. | common | 073271108 | 3,715 | 863,991 | SH | SOLE | 863,991 | 0 | 0 | ||
BioTelemetry, Inc. | common | 090672106 | 2,872 | 99,189 | SH | SOLE | 99,189 | 0 | 0 | ||
Boingo Wireless, Inc. | common | 09739C102 | 4,612 | 355,026 | SH | SOLE | 355,026 | 0 | 0 | ||
Brightcove, Inc. | common | 075097042 | 13,112 | 1,473,280 | SH | SOLE | 1,473,280 | 0 | 0 | ||
Broadwind Energy, Inc. | common | 11161T108 | 12,495 | 1,500,009 | SH | SOLE | 1,500,009 | 0 | 0 | ||
CEVA, Inc. | common | 157210105 | 39,940 | 1,125,068 | SH | SOLE | 1,125,068 | 0 | 0 | ||
CPI Aerostructures, Inc. | common | 125919308 | 1,132 | 167,710 | SH | SOLE | 167,710 | 0 | 0 | ||
CVD Equipment Corporation | common | 126601103 | 3,008 | 288,700 | SH | SOLE | 288,700 | 0 | 0 | ||
Citi Trends, Inc. | common | 17306X102 | 7,310 | 430,000 | SH | SOLE | 430,000 | 0 | 0 | ||
Clearside Biomedical, Inc. | common | 185063104 | 2,709 | 341,217 | SH | SOLE | 341,217 | 0 | 0 | ||
Concert Pharmaceuticals, Inc. | common | 206022105 | 1,170 | 68,606 | SH | SOLE | 68,606 | 0 | 0 | ||
Corium International Inc. | common | 21887L107 | 10,248 | 2,451,700 | SH | SOLE | 2,451,700 | 0 | 0 | ||
DSP Group, Inc. | common | 23332B106 | 8,924 | 743,639 | SH | SOLE | 743,639 | 0 | 0 | ||
Dermira, Inc. | common | 24983L104 | 1,023 | 30,000 | SH | SOLE | 30,000 | 0 | 0 | ||
Determine, Inc. | common | 250660107 | 2,449 | 716,220 | SH | SOLE | 716,220 | 0 | 0 | ||
Digimarc Corporation | common | 25381B101 | 2,215 | 82,039 | SH | SOLE | 82,039 | 0 | 0 | ||
ESSA Pharma Inc. | common | 29668H104 | 5,295 | 1,696,968 | SH | SOLE | 1,696,968 | 0 | 0 | ||
Enservco Corp | common | 29358Y102 | 1,158 | 3,458,206 | SH | SOLE | 3,458,206 | 0 | 0 | ||
Everspin Technology, Inc. | common | 30041T101 | 6,678 | 796,850 | SH | SOLE | 796,850 | 0 | 0 | ||
Female Health Co. | common | 314462102 | 565 | 559,616 | SH | SOLE | 559,616 | 0 | 0 | ||
Five Prime Therapeutics, Inc. | common | 33830X104 | 2,892 | 80,000 | SH | SOLE | 80,000 | 0 | 0 | ||
Health Insurance Innovations | common | 42225K106 | 2,370 | 148,100 | SH | SOLE | 148,100 | 0 | 0 | ||
IZEA Inc. (F4) | common | 46603N202 | 4,277 | 1,018,216 | SH | SOLE | 1,018,216 | 0 | 0 | ||
Ideal Power, Inc. | common | 451622104 | 2,833 | 871,635 | SH | SOLE | 871,635 | 0 | 0 | ||
Ideal Power, Inc. Restricted | common | 451622104 | 1,297 | 475,000 | SH | SOLE | 475,000 | 0 | 0 | ||
Impinj, Inc. | common | 453204109 | 14,818 | 489,524 | SH | SOLE | 489,524 | 0 | 0 | ||
Infusystem Holdings, Inc. | common | 45685K102 | 4,196 | 1,824,341 | SH | SOLE | 1,824,341 | 0 | 0 | ||
Intellicheck Mobilisa, Inc. | common | 45817G201 | 5,181 | 1,985,022 | SH | SOLE | 1,985,022 | 0 | 0 | ||
Iteris, Inc. | common | 46564T107 | 2,912 | 535,369 | SH | SOLE | 535,369 | 0 | 0 | ||
Juniper Pharmaceuticals, Inc | common | 48203L107 | 475 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Kopin Corporation | common | 500600101 | 27,064 | 6,601,034 | SH | SOLE | 6,601,034 | 0 | 0 | ||
Kornit Digital Ltd., Israel | common | M6372Q113 | 3,804 | 199,177 | SH | SOLE | 199,177 | 0 | 0 | ||
Kratos Defense & Security | common | 50077B207 | 11,203 | 1,440,000 | SH | SOLE | 1,440,000 | 0 | 0 | ||
LRAD Corporation | common | 50213V109 | 6,025 | 3,989,757 | SH | SOLE | 3,989,757 | 0 | 0 | ||
LeMaitre Vascular Inc. | common | 525558201 | 18,845 | 765,105 | SH | SOLE | 765,105 | 0 | 0 | ||
LivePerson, Inc. | common | 538146101 | 13,793 | 2,013,578 | SH | SOLE | 2,013,578 | 0 | 0 | ||
Loxo Oncology, Inc. | common | 548862101 | 7,574 | 180,000 | SH | SOLE | 180,000 | 0 | 0 | ||
MCBC Holdings, Inc. | common | 55276F107 | 6,787 | 419,732 | SH | SOLE | 419,732 | 0 | 0 | ||
Manitex Int'l Inc. | common | 563420108 | 3,267 | 487,682 | SH | SOLE | 487,682 | 0 | 0 | ||
MaxLinear, Inc. | common | 57776J100 | 7,573 | 270,000 | SH | SOLE | 270,000 | 0 | 0 | ||
Microvision, Inc. | common | 594960106 | 15,335 | 6,158,486 | SH | SOLE | 6,158,486 | 0 | 0 | ||
NTN Buzztime, Inc. | common | 629410309 | 2,788 | 324,191 | SH | SOLE | 324,191 | 0 | 0 | ||
NV5 Global Inc. | common | 62945V109 | 2,444 | 64,994 | SH | SOLE | 64,994 | 0 | 0 | ||
NeoPhotonics Corporation | common | 64051T100 | 17,641 | 1,957,938 | SH | SOLE | 1,957,938 | 0 | 0 | ||
Neonode, Inc. | common | 64051M402 | 5,465 | 3,415,615 | SH | SOLE | 3,415,615 | 0 | 0 | ||
Netlist, Inc. | common | 64118P109 | 5,624 | 5,680,928 | SH | SOLE | 5,680,928 | 0 | 0 | ||
Ooma,Inc. | common | 683416101 | 11,075 | 1,113,078 | SH | SOLE | 1,113,078 | 0 | 0 | ||
Opko Health Inc. | common | 68375N103 | 2,800 | 350,000 | SH | SOLE | 350,000 | 0 | 0 | ||
OvaScience, Inc. | common | 69014Q101 | 280 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
PC-Tel, Inc. | common | 69325Q105 | 2,036 | 285,899 | SH | SOLE | 285,899 | 0 | 0 | ||
Park Electrochemical Corp. | common | 700416209 | 3,518 | 197,000 | SH | SOLE | 197,000 | 0 | 0 | ||
Pfenex, Inc. | common | 717071104 | 5,363 | 923,107 | SH | SOLE | 923,107 | 0 | 0 | ||
Pfsweb, Inc. | common | 717098206 | 10,189 | 1,560,394 | SH | SOLE | 1,560,394 | 0 | 0 | ||
Polar Power, Inc. | common | 73102V105 | 2,019 | 243,233 | SH | SOLE | 243,233 | 0 | 0 | ||
Presbia, PLC (Ireland) | common | G7234P100 | 809 | 257,727 | SH | SOLE | 257,727 | 0 | 0 | ||
QuickLogic Corp. | common | 74837P108 | 178 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
RADCOM Ltd. | common | M81865111 | 838 | 39,000 | SH | SOLE | 39,000 | 0 | 0 | ||
Rand logistics Inc. | common | 752182105 | 210 | 328,835 | SH | SOLE | 328,835 | 0 | 0 | ||
Repligen Corporation | common | 759916109 | 4,224 | 120,000 | SH | SOLE | 120,000 | 0 | 0 | ||
Revolution Lighting Tech | common | 76155G107 | 7,669 | 1,025,219 | SH | SOLE | 1,025,219 | 0 | 0 | ||
Roka Bioscience Inc. | common | BBG000P8K | 471 | 132,297 | SH | SOLE | 132,297 | 0 | 0 | ||
SCYNEXIS, Inc. | common | 811292101 | 345 | 125,000 | SH | SOLE | 125,000 | 0 | 0 | ||
Saia, Inc. | common | 78709Y105 | 664 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
SeaChange International, Inc. | common | 811699107 | 488 | 196,673 | SH | SOLE | 196,673 | 0 | 0 | ||
Sensus Healthcare, Inc | common | 81728J109 | 2,160 | 491,938 | SH | SOLE | 491,938 | 0 | 0 | ||
Sequans Communications - ADR | common | 817323108 | 20,131 | 7,320,230 | SH | SOLE | 7,320,230 | 0 | 0 | ||
SharpSpring, Inc. | common | 784589202 | 2,415 | 530,734 | SH | SOLE | 530,734 | 0 | 0 | ||
Sierra Oncology, Inc. | common | 74346L101 | 765 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
Streamline Health Solutions | common | 86323X106 | 1,147 | 1,124,539 | SH | SOLE | 1,124,539 | 0 | 0 | ||
Syros Pharmaceuticals, Inc. | common | 87184Q107 | 757 | 47,550 | SH | SOLE | 47,550 | 0 | 0 | ||
TUESDAY MORNING CORPORATION | common | 899035505 | 187 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
Tactile Systems Technology | common | 87357P100 | 10,422 | 550,000 | SH | SOLE | 550,000 | 0 | 0 | ||
TearLab Corp. | common | 878193101 | 852 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
The Meet Group, Inc. | common | 585141104 | 850 | 144,396 | SH | SOLE | 144,396 | 0 | 0 | ||
Trillium Therapeutics Corp. | common | 89620X100 | 2,256 | 365,327 | SH | SOLE | 365,327 | 0 | 0 | ||
Ultra Clean Holdings, Inc. | common | 90385V107 | 17,229 | 1,021,300 | SH | SOLE | 1,021,300 | 0 | 0 | ||
Verastem, Inc. | common | 92337C104 | 621 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
Vocera Communications, Inc. | common | 92857F107 | 16,567 | 667,232 | SH | SOLE | 667,232 | 0 | 0 | ||
XCel Brands Inc. | common | 98400M101 | 1,008 | 373,440 | SH | SOLE | 373,440 | 0 | 0 | ||
Xactly Corporation | common | 98386L101 | 558 | 46,928 | SH | SOLE | 46,928 | 0 | 0 | ||
Cellectar Biosciences @4.68 8/ | warrants | 15117F203 | 41 | 106,600 | SH | SOLE | 106,600 | 0 | 0 | ||
EyeGate Pharmaceuticals @10.62 | warrants | 30233M115 | 21 | 137,092 | SH | SOLE | 137,092 | 0 | 0 | ||
Sensus Healthcare, Inc @6.75 6 | warrants | 81728J117 | 297 | 494,939 | SH | SOLE | 494,939 | 0 | 0 |