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 | 1,260 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
Aerovironment, Inc. | common | 008073108 | 13,008 | 467,909 | SH | SOLE | 467,909 | 0 | 0 | ||
Aldeyra Therapeutics, Inc. | common | 01438T106 | 5,222 | 917,810 | SH | SOLE | 917,810 | 0 | 0 | ||
American Superconductor, Corp. | common | 030111207 | 10,521 | 1,246,576 | SH | SOLE | 1,246,576 | 0 | 0 | ||
Aqua Metals, Inc. | common | 03837J101 | 13,149 | 1,117,650 | SH | SOLE | 1,117,650 | 0 | 0 | ||
Aratana Therapeutics, Inc. | common | 03874P101 | 7,055 | 1,116,255 | SH | SOLE | 1,116,255 | 0 | 0 | ||
Ardmore Shipping Corp. (Irelan | common | Y0207T100 | 4,090 | 604,110 | SH | SOLE | 604,110 | 0 | 0 | ||
Avinger, Inc. | common | 053734109 | 5,969 | 500,295 | SH | SOLE | 500,295 | 0 | 0 | ||
Bazaarvoice Inc. | common | 073271108 | 3,765 | 938,991 | SH | SOLE | 938,991 | 0 | 0 | ||
BioTelemetry, Inc. | common | 090672106 | 2,363 | 145,000 | SH | SOLE | 145,000 | 0 | 0 | ||
Boingo Wireless, Inc. | common | 09739C102 | 3,167 | 355,026 | SH | SOLE | 355,026 | 0 | 0 | ||
Boot Barn Holdings, Inc. | common | 099406100 | 1,224 | 142,000 | SH | SOLE | 142,000 | 0 | 0 | ||
Brightcove, Inc. | common | 075097042 | 16,755 | 1,904,022 | SH | SOLE | 1,904,022 | 0 | 0 | ||
Broadwind Energy, Inc. | common | 11161T108 | 6,119 | 1,450,009 | SH | SOLE | 1,450,009 | 0 | 0 | ||
CEVA, Inc. | common | 157210105 | 30,088 | 1,107,410 | SH | SOLE | 1,107,410 | 0 | 0 | ||
CPI Aerostructures, Inc. | common | 125919308 | 5,179 | 842,149 | SH | SOLE | 842,149 | 0 | 0 | ||
CVD Equipment Corporation | common | 126601103 | 2,477 | 288,700 | SH | SOLE | 288,700 | 0 | 0 | ||
ChannelAdvisor, Corp. | common | 159179100 | 283 | 19,521 | SH | SOLE | 19,521 | 0 | 0 | ||
Cidara Therapeutics Inc. | common | 171757107 | 2,708 | 262,655 | SH | SOLE | 262,655 | 0 | 0 | ||
Cipher Pharmaceuticals, Inc. | common | 17253X105 | 1,103 | 211,300 | SH | SOLE | 211,300 | 0 | 0 | ||
Clearside Biomedical, Inc. | common | 185063104 | 350 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
Concert Pharmaceuticals, Inc. | common | 206022105 | 1,123 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Corium International Inc. | common | 21887L107 | 1,191 | 343,301 | SH | SOLE | 343,301 | 0 | 0 | ||
DSP Group, Inc. | common | 23332B106 | 7,890 | 743,639 | SH | SOLE | 743,639 | 0 | 0 | ||
Determine, Inc. | common | 250660107 | 1,242 | 816,820 | SH | SOLE | 816,820 | 0 | 0 | ||
ESSA Pharma Inc. | common | 29668H104 | 5,006 | 1,696,968 | SH | SOLE | 1,696,968 | 0 | 0 | ||
Earthstone Energy, Inc. | common | 27032D205 | 3,881 | 360,000 | SH | SOLE | 360,000 | 0 | 0 | ||
Energous Corporation | common | 29272C103 | 8,343 | 644,271 | SH | SOLE | 644,271 | 0 | 0 | ||
Extreme Networks, Inc. | common | 30226D106 | 3,442 | 1,015,219 | SH | SOLE | 1,015,219 | 0 | 0 | ||
Five Prime Therapeutics, Inc. | common | 33830X104 | 3,721 | 90,000 | SH | SOLE | 90,000 | 0 | 0 | ||
Gaiam, Inc. | common | 36268Q103 | 1,336 | 172,670 | SH | SOLE | 172,670 | 0 | 0 | ||
Genocea Biosciences, Inc. | common | 372427104 | 3,193 | 778,849 | SH | SOLE | 778,849 | 0 | 0 | ||
Gigamon, Inc. | common | 37518B102 | 5,581 | 149,277 | SH | SOLE | 149,277 | 0 | 0 | ||
Great Elm Capital Group, Inc. | common | 39036P100 | 1,159 | 175,889 | SH | SOLE | 175,889 | 0 | 0 | ||
Great Lakes Dredge & Dock Co. | common | 390607109 | 872 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
IZEA Inc. | common | 46603N202 | 7,759 | 1,018,216 | SH | SOLE | 1,018,216 | 0 | 0 | ||
Ideal Power, Inc. | common | 451622104 | 8,292 | 1,681,935 | SH | SOLE | 1,681,935 | 0 | 0 | ||
Immersion Corporation | common | 452521107 | 2,298 | 313,091 | SH | SOLE | 313,091 | 0 | 0 | ||
Infusystem Holdings, Inc. | common | 45685K102 | 3,779 | 1,453,621 | SH | SOLE | 1,453,621 | 0 | 0 | ||
Intellicheck Mobilisa, Inc. | common | 45817G201 | 2,739 | 1,985,022 | SH | SOLE | 1,985,022 | 0 | 0 | ||
Intricon Corp. | common | 46121H109 | 294 | 55,000 | SH | SOLE | 55,000 | 0 | 0 | ||
Invuity, Inc. | common | 46187J205 | 1,429 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
Iteris, Inc. | common | 46564T107 | 1,531 | 535,369 | SH | SOLE | 535,369 | 0 | 0 | ||
Kopin Corporation | common | 500600101 | 14,696 | 6,619,921 | SH | SOLE | 6,619,921 | 0 | 0 | ||
LRAD Corporation | common | 50213V109 | 7,505 | 4,192,710 | SH | SOLE | 4,192,710 | 0 | 0 | ||
LeMaitre Vascular Inc. | common | 525558201 | 13,824 | 968,760 | SH | SOLE | 968,760 | 0 | 0 | ||
LendingTree, Inc. | common | 894675107 | 11,723 | 132,723 | SH | SOLE | 132,723 | 0 | 0 | ||
LivePerson, Inc. | common | 538146101 | 13,270 | 2,093,078 | SH | SOLE | 2,093,078 | 0 | 0 | ||
Loxo Oncology, Inc. | common | 548862101 | 4,404 | 190,000 | SH | SOLE | 190,000 | 0 | 0 | ||
MCBC Holdings, Inc. | common | 55276F107 | 3,043 | 275,390 | SH | SOLE | 275,390 | 0 | 0 | ||
Manitex Int'l Inc. | common | 563420108 | 5,415 | 781,362 | SH | SOLE | 781,362 | 0 | 0 | ||
MaxLinear, Inc. | common | 57776J100 | 3,982 | 221,452 | SH | SOLE | 221,452 | 0 | 0 | ||
MoSys, Inc. | common | 619718109 | 2,358 | 5,822,957 | SH | SOLE | 5,822,957 | 0 | 0 | ||
NTN Buzztime, Inc. | common | 629410309 | 1,562 | 181,650 | SH | SOLE | 181,650 | 0 | 0 | ||
NV5 Global Inc. | common | 62945V109 | 2,204 | 77,500 | SH | SOLE | 77,500 | 0 | 0 | ||
NeoPhotonics Corporation | common | 64051T100 | 19,194 | 2,014,045 | SH | SOLE | 2,014,045 | 0 | 0 | ||
Neonode, Inc. | common | 64051M402 | 5,855 | 4,010,539 | SH | SOLE | 4,010,539 | 0 | 0 | ||
Netlist, Inc. | common | 64118P109 | 5,814 | 4,969,543 | SH | SOLE | 4,969,543 | 0 | 0 | ||
Opko Health Inc. | common | 68375N103 | 3,269 | 350,000 | SH | SOLE | 350,000 | 0 | 0 | ||
OvaScience, Inc. | common | 69014Q101 | 260 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
PC-Tel, Inc. | common | 69325Q105 | 1,490 | 316,403 | SH | SOLE | 316,403 | 0 | 0 | ||
ParkerVision, Inc. | common | 701354102 | 829 | 264,072 | SH | SOLE | 264,072 | 0 | 0 | ||
Pfenex, Inc. | common | 717071104 | 7,970 | 952,216 | SH | SOLE | 952,216 | 0 | 0 | ||
Pfsweb, Inc. | common | 717098206 | 14,685 | 1,545,738 | SH | SOLE | 1,545,738 | 0 | 0 | ||
Presbia, PLC (Ireland) | common | G7234P100 | 1,783 | 394,406 | SH | SOLE | 394,406 | 0 | 0 | ||
Pulse Biosciences, Inc. | common | 74587B101 | 301 | 67,000 | SH | SOLE | 67,000 | 0 | 0 | ||
QuinStreet, Inc. | common | 74874Q100 | 2,316 | 652,390 | SH | SOLE | 652,390 | 0 | 0 | ||
RADCOM Ltd. | common | M81865111 | 3,060 | 262,664 | SH | SOLE | 262,664 | 0 | 0 | ||
Rand logistics Inc. | common | 752182105 | 667 | 647,235 | SH | SOLE | 647,235 | 0 | 0 | ||
Repligen Corporation | common | 759916109 | 3,830 | 140,000 | SH | SOLE | 140,000 | 0 | 0 | ||
Revolution Lighting Technologi | common | 76155G107 | 5,871 | 950,000 | SH | SOLE | 950,000 | 0 | 0 | ||
SCYNEXIS, Inc. | common | 811292101 | 271 | 125,000 | SH | SOLE | 125,000 | 0 | 0 | ||
Saia, Inc. | common | 78709Y105 | 566 | 22,500 | SH | SOLE | 22,500 | 0 | 0 | ||
Sangamo BioSciences, Inc. | common | 800677106 | 534 | 92,200 | SH | SOLE | 92,200 | 0 | 0 | ||
SeaChange International, Inc. | common | 811699107 | 3,680 | 1,153,677 | SH | SOLE | 1,153,677 | 0 | 0 | ||
Sequans Communications - ADR ( | common | 817323108 | 8,446 | 4,120,230 | SH | SOLE | 4,120,230 | 0 | 0 | ||
SharpSpring, Inc. | common | 784589202 | 2,776 | 530,734 | SH | SOLE | 530,734 | 0 | 0 | ||
Streamline Health Solutions | common | 86323X106 | 1,876 | 1,563,734 | SH | SOLE | 1,563,734 | 0 | 0 | ||
Support.com, Inc. | common | 86858W101 | 229 | 271,753 | SH | SOLE | 271,753 | 0 | 0 | ||
TearLab Corp. (F4) | common | 878193101 | 3,377 | 5,277,250 | SH | SOLE | 5,277,250 | 0 | 0 | ||
Tivo, Inc. | common | 888706108 | 2,009 | 202,908 | SH | SOLE | 202,908 | 0 | 0 | ||
Trevena, Inc. | common | 89532E109 | 907 | 143,904 | SH | SOLE | 143,904 | 0 | 0 | ||
Trillium Therapeutics Corp. Ca | common | 89620X100 | 1,878 | 209,177 | SH | SOLE | 209,177 | 0 | 0 | ||
Turtle Beach Corporation | common | 900450107 | 388 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
Ultra Clean Holdings, Inc. | common | 90385V107 | 8,380 | 1,472,701 | SH | SOLE | 1,472,701 | 0 | 0 | ||
Verastem, Inc. | common | 92337C104 | 1,820 | 1,400,000 | SH | SOLE | 1,400,000 | 0 | 0 | ||
Vitae Pharmaceuticals, Inc. | common | 92847N103 | 12,709 | 1,177,864 | SH | SOLE | 1,177,864 | 0 | 0 | ||
Vocera Communications, Inc. | common | 92857F107 | 19,921 | 1,550,263 | SH | SOLE | 1,550,263 | 0 | 0 | ||
XCel Brands Inc. | common | 98400M101 | 1,811 | 360,000 | SH | SOLE | 360,000 | 0 | 0 | ||
Xactly Corporation | common | 98386L101 | 793 | 61,928 | SH | SOLE | 61,928 | 0 | 0 | ||
Xplore Technologies, Corp. | common | 983950700 | 240 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Zagg, Inc. | common | 98884U108 | 658 | 125,300 | SH | SOLE | 125,300 | 0 | 0 | ||
iRadimed Corporation | common | 46266A109 | 3,456 | 158,830 | SH | SOLE | 158,830 | 0 | 0 | ||
inContact Inc. | common | 45336E109 | 18,010 | 1,300,365 | SH | SOLE | 1,300,365 | 0 | 0 | ||
Cellectar Biosciences @4.68 8/ | warrants | 15117F203 | 47 | 106,600 | SH | SOLE | 106,600 | 0 | 0 | ||
EyeGate Pharmaceuticals @10.62 | warrants | 30233M115 | 86 | 137,092 | SH | SOLE | 137,092 | 0 | 0 |