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 |
Adesto Technologies Corp | common | 00687D101 | 8,907 | 795,946 | SH | SOLE | 795,946 | 0 | 0 | ||
Aehr Test Systems | common | 00760J108 | 3,171 | 1,898,524 | SH | SOLE | 1,898,524 | 0 | 0 | ||
American Superconductor Corp | common | 030111207 | 6,205 | 1,132,314 | SH | SOLE | 1,132,314 | 0 | 0 | ||
Anchiano Therapeutics, Ltd. - | common | 03280X102 | 124 | 158,123 | SH | SOLE | 158,123 | 0 | 0 | ||
Aqua Metals, Inc. | common | 03837J101 | 1,520 | 3,376,647 | SH | SOLE | 3,376,647 | 0 | 0 | ||
Atomera Incorporated | common | 04965B100 | 5,803 | 1,657,938 | SH | SOLE | 1,657,938 | 0 | 0 | ||
Avid Bioservices, Inc. | common | 05368M106 | 3,727 | 729,332 | SH | SOLE | 729,332 | 0 | 0 | ||
Bellus Health Inc. | common | 07987C204 | 1,377 | 138,012 | SH | SOLE | 138,012 | 0 | 0 | ||
Bellus Health, Inc. (Canada) R | common | 07987C204 | 14,535 | 1,461,988 | SH | SOLE | 1,461,988 | 0 | 0 | ||
BioTelemetry, Inc. | common | 090672106 | 1,868 | 48,500 | SH | SOLE | 48,500 | 0 | 0 | ||
Boingo Wireless, Inc. | common | 09739C102 | 4,513 | 425,316 | SH | SOLE | 425,316 | 0 | 0 | ||
Broadwind Energy, Inc. | common | 11161T207 | 1,932 | 1,380,092 | SH | SOLE | 1,380,092 | 0 | 0 | ||
CEVA, Inc. | common | 157210105 | 11,293 | 453,000 | SH | SOLE | 453,000 | 0 | 0 | ||
CPI Aerostructures, Inc. | common | 125919308 | 356 | 158,438 | SH | SOLE | 158,438 | 0 | 0 | ||
CVD Equipment Corporation | common | 126601103 | 617 | 259,414 | SH | SOLE | 259,414 | 0 | 0 | ||
CareDx, Inc. | common | 14167L103 | 1,762 | 80,700 | SH | SOLE | 80,700 | 0 | 0 | ||
Celsius Holdings, Inc. | common | 15118V207 | 3,684 | 875,050 | SH | SOLE | 875,050 | 0 | 0 | ||
Century Casinos, Inc. | common | 156492100 | 2,505 | 1,039,336 | SH | SOLE | 1,039,336 | 0 | 0 | ||
Chembio Diagnostics Inc. | common | 163572209 | 2,688 | 525,000 | SH | SOLE | 525,000 | 0 | 0 | ||
Citi Trends, Inc. | common | 17306X102 | 2,648 | 297,536 | SH | SOLE | 297,536 | 0 | 0 | ||
DSP Group, Inc. | common | 23332B106 | 1,397 | 104,237 | SH | SOLE | 104,237 | 0 | 0 | ||
Destination XL Group, Inc. | common | 25065K104 | 100 | 285,176 | SH | SOLE | 285,176 | 0 | 0 | ||
Eton Pharmaceuticals, Inc. | common | 29772L108 | 4,169 | 1,016,882 | SH | SOLE | 1,016,882 | 0 | 0 | ||
Everspin Technology, Inc. | common | 30041T104 | 4,401 | 1,679,723 | SH | SOLE | 1,679,723 | 0 | 0 | ||
Exicure, Inc. | common | 30205M101 | 5,982 | 4,042,200 | SH | SOLE | 4,042,200 | 0 | 0 | ||
Gaia, Inc. | common | 36269P104 | 6,876 | 774,271 | SH | SOLE | 774,271 | 0 | 0 | ||
Genasys Incorporated | common | 36872P103 | 15,757 | 4,818,706 | SH | SOLE | 4,818,706 | 0 | 0 | ||
Glu Mobile Inc. | common | 379890106 | 182 | 28,956 | SH | SOLE | 28,956 | 0 | 0 | ||
IZEA Worldwide, Inc. | common | 46604H105 | 454 | 2,268,000 | SH | SOLE | 2,268,000 | 0 | 0 | ||
Ideal Power, Inc. | common | 451622203 | 52 | 27,605 | SH | SOLE | 27,605 | 0 | 0 | ||
Impinj, Inc. | common | 453204109 | 8,896 | 532,377 | SH | SOLE | 532,377 | 0 | 0 | ||
Infusystem Holdings, Inc. | common | 45685K102 | 16,980 | 2,000,000 | SH | SOLE | 2,000,000 | 0 | 0 | ||
Inspired Entertainment, Inc. | common | 45782N108 | 2,895 | 856,594 | SH | SOLE | 856,594 | 0 | 0 | ||
Iteris, Inc. | common | 46564T107 | 1,137 | 355,359 | SH | SOLE | 355,359 | 0 | 0 | ||
K12 Inc. | common | 48273U102 | 660 | 35,000 | SH | SOLE | 35,000 | 0 | 0 | ||
Kopin Corporation | common | 500600101 | 2,571 | 7,361,611 | SH | SOLE | 7,361,611 | 0 | 0 | ||
LeMaitre Vascular Inc. | common | 525558201 | 5,732 | 230,000 | SH | SOLE | 230,000 | 0 | 0 | ||
Limelight Networks, Inc. | common | 53261M104 | 11,957 | 2,097,688 | SH | SOLE | 2,097,688 | 0 | 0 | ||
LiqTech International, Inc. | common | 53632A102 | 8,766 | 2,043,290 | SH | SOLE | 2,043,290 | 0 | 0 | ||
LivePerson, Inc. | common | 538146101 | 16,366 | 719,366 | SH | SOLE | 719,366 | 0 | 0 | ||
Lovesac Company, The | common | 54738L109 | 4,250 | 729,016 | SH | SOLE | 729,016 | 0 | 0 | ||
Magal Security System, Ltd | common | M6786D104 | 1,163 | 395,656 | SH | SOLE | 395,656 | 0 | 0 | ||
Microvision, Inc. | common | 594960304 | 790 | 4,581,322 | SH | SOLE | 4,581,322 | 0 | 0 | ||
Millendo Therapeutics, Inc. | common | 60040X103 | 3,231 | 611,900 | SH | SOLE | 611,900 | 0 | 0 | ||
Misonix,Inc. | common | 604871103 | 1,911 | 202,901 | SH | SOLE | 202,901 | 0 | 0 | ||
Mohawk Group Holdings, Inc. | common | 608189106 | 390 | 239,558 | SH | SOLE | 239,558 | 0 | 0 | ||
NV5 Global, Inc. | common | 62945V109 | 413 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
NeoPhotonics Corporation | common | 64051T100 | 13,787 | 1,901,722 | SH | SOLE | 1,901,722 | 0 | 0 | ||
Neonode, Inc. | common | 64051M709 | 630 | 356,210 | SH | SOLE | 356,210 | 0 | 0 | ||
OneWater Marine, Inc. - CL A | common | 68280L101 | 1,394 | 182,240 | SH | SOLE | 182,240 | 0 | 0 | ||
Ooma,Inc. | common | 683416101 | 14,984 | 1,256,021 | SH | SOLE | 1,256,021 | 0 | 0 | ||
OptimizeRx Corporation | common | 68401U204 | 8,914 | 983,866 | SH | SOLE | 983,866 | 0 | 0 | ||
OrthoPediatrics Corporation | common | 68752L100 | 11,182 | 282,095 | SH | SOLE | 282,095 | 0 | 0 | ||
Pfsweb, Inc. | common | 717098206 | 5,443 | 1,814,185 | SH | SOLE | 1,814,185 | 0 | 0 | ||
Powerfleet, Inc. | common | 73931J109 | 657 | 190,000 | SH | SOLE | 190,000 | 0 | 0 | ||
Primo Water Corp. | common | 74167P108 | 554 | 61,142 | SH | SOLE | 61,142 | 0 | 0 | ||
Profound Medical Corp. (U.S.) | common | 74319B502 | 3,399 | 348,939 | SH | SOLE | 348,939 | 0 | 0 | ||
Purple Innovation, Inc. | common | 74640Y106 | 1,098 | 193,313 | SH | SOLE | 193,313 | 0 | 0 | ||
QuickLogic Corporation | common | 74837P405 | 882 | 310,690 | SH | SOLE | 310,690 | 0 | 0 | ||
RADA Electronic Industries,Ltd | common | M81863124 | 3,500 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
RADCOM, Ltd. (Israel) | common | M81865111 | 3,516 | 578,312 | SH | SOLE | 578,312 | 0 | 0 | ||
Reata Pharmaceuticals, Inc. | common | 75615P103 | 8,660 | 60,000 | SH | SOLE | 60,000 | 0 | 0 | ||
Repligen Corporation | common | 759916109 | 9,654 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Resonant, Inc. | common | 76118L102 | 6,907 | 4,666,666 | SH | SOLE | 4,666,666 | 0 | 0 | ||
SeaSpine Holdings Corp. | common | 81255T108 | 2,403 | 294,077 | SH | SOLE | 294,077 | 0 | 0 | ||
Sequans Communications S.A. AD | common | 817323207 | 12,027 | 2,362,804 | SH | SOLE | 2,362,804 | 0 | 0 | ||
SharpSpring, Inc. | common | 820054104 | 3,558 | 587,098 | SH | SOLE | 587,098 | 0 | 0 | ||
Spero Therapeutics, Inc. | common | 84833T103 | 3,199 | 395,949 | SH | SOLE | 395,949 | 0 | 0 | ||
Tactile Systems Technology, In | common | 87357P100 | 1,147 | 28,560 | SH | SOLE | 28,560 | 0 | 0 | ||
The Joint Corp. | common | 47973J102 | 1,063 | 97,958 | SH | SOLE | 97,958 | 0 | 0 | ||
TravelCenters of America LLC | common | 89421B109 | 782 | 80,000 | SH | SOLE | 80,000 | 0 | 0 | ||
Tuesday Morning Corporation | common | 899035505 | 90 | 156,200 | SH | SOLE | 156,200 | 0 | 0 | ||
Turtle Beach Corporation | common | 900450206 | 3,498 | 560,543 | SH | SOLE | 560,543 | 0 | 0 | ||
Ultra Clean Holdings, Inc. | common | 90385V107 | 4,968 | 360,000 | SH | SOLE | 360,000 | 0 | 0 | ||
Veru,Inc. | common | 92536C103 | 1,635 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
Viemed Healthcare, Inc. | common | 92663R105 | 6,788 | 1,445,000 | SH | SOLE | 1,445,000 | 0 | 0 | ||
Vivint Solar, Inc. | common | 92854q106 | 1,966 | 450,000 | SH | SOLE | 450,000 | 0 | 0 | ||
Westport Fuel Systems Inc. | common | 960908309 | 687 | 730,000 | SH | SOLE | 730,000 | 0 | 0 | ||
Zealand Pharma A/S (Denmark) | common | 999999999 | 11,298 | 327,576 | SH | SOLE | 327,576 | 0 | 0 | ||
Zealand Pharma A/S ADR (Denmar | common | 98920Y304 | 689 | 19,981 | SH | SOLE | 19,981 | 0 | 0 | ||
argenx SE - ADR (Netherlands) | common | 04016X101 | 10,538 | 80,000 | SH | SOLE | 80,000 | 0 | 0 | ||
eMagin Corporation | common | 29076N206 | 730 | 3,410,100 | SH | SOLE | 3,410,100 | 0 | 0 | ||
voxeljet AG, ADR (Germany) | common | 92912L107 | 2,434 | 2,785,927 | SH | SOLE | 2,785,927 | 0 | 0 | ||
EyeGate Pharmaceuticals @10.62 | warrants | 30233M115 | 4 | 137,092 | SH | SOLE | 137,092 | 0 | 0 | ||
Ideal Power @.001 (pre-funded) | warrants | 999999999 | 763 | 403,828 | SH | SOLE | 403,828 | 0 | 0 | ||
Ideal Power @2.32 11/13/24 9.9 | warrants | 999999999 | 325 | 504,787 | SH | SOLE | 504,787 | 0 | 0 | ||
Ocean Power Technologies @3.85 | warrants | 674870118 | 29 | 714,280 | SH | SOLE | 714,280 | 0 | 0 | ||
Sensus Healthcare, Inc @6.75 6 | warrants | 81728J117 | 5 | 130,261 | SH | SOLE | 130,261 | 0 | 0 | ||
Turtle Beach Corp. @0 pre-fund | warrants | 999999999 | 3,432 | 550,000 | SH | SOLE | 550,000 | 0 | 0 | ||
Verb Technology @3.443 4/9/24 | warrants | 92337U112 | 124 | 427,915 | SH | SOLE | 427,915 | 0 | 0 | ||
eMagin Corp @.78 10/9/19-10/9/ | warrants | 999999999 | 210 | 3,000,000 | SH | SOLE | 3,000,000 | 0 | 0 | ||
eMagin Corporation @.01 pre fu | warrants | 999999999 | 800 | 4,000,000 | SH | SOLE | 4,000,000 | 0 | 0 | ||
eMagin Corporation @1.55 1/29/ | warrants | 999999999 | 36 | 890,000 | SH | SOLE | 890,000 | 0 | 0 | ||
eMagin Corporation @2.45 5/24/ | warrants | 999999999 | 32 | 1,625,000 | SH | SOLE | 1,625,000 | 0 | 0 |