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 |
Aehr Test Systems | common | 00760J108 | 2,639 | 1,898,534 | SH | SOLE | 1,898,534 | 0 | 0 | ||
American Superconductor Corpor | common | 030111207 | 17,677 | 1,220,814 | SH | SOLE | 1,220,814 | 0 | 0 | ||
Aqua Metals, Inc. | common | 03837J101 | 1,703 | 1,868,907 | SH | SOLE | 1,868,907 | 0 | 0 | ||
Atomera Incorporated | common | 04965B100 | 6,992 | 669,051 | SH | SOLE | 669,051 | 0 | 0 | ||
Avid Bioservices, Inc. | common | 05368M106 | 6,043 | 793,000 | SH | SOLE | 793,000 | 0 | 0 | ||
BioTelemetry, Inc. | common | 090672106 | 2,211 | 48,500 | SH | SOLE | 48,500 | 0 | 0 | ||
Boingo Wireless, Inc. | common | 09739C102 | 2,552 | 250,316 | SH | SOLE | 250,316 | 0 | 0 | ||
CEVA, Inc. | common | 157210105 | 15,050 | 382,268 | SH | SOLE | 382,268 | 0 | 0 | ||
CVD Equipment Corporation | common | 126601103 | 794 | 259,414 | SH | SOLE | 259,414 | 0 | 0 | ||
CareDx, Inc. | common | 14167L103 | 2,493 | 65,700 | SH | SOLE | 65,700 | 0 | 0 | ||
Celsius Holdings, Inc. | common | 15118V207 | 11,355 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
Century Casinos, Inc. | common | 156492100 | 8,220 | 1,500,000 | SH | SOLE | 1,500,000 | 0 | 0 | ||
Citi Trends, Inc. | common | 17306X102 | 7,128 | 285,342 | SH | SOLE | 285,342 | 0 | 0 | ||
EMCORE Corp. | common | 290846203 | 259 | 79,708 | SH | SOLE | 79,708 | 0 | 0 | ||
Eton Pharmaceuticals, Inc. | common | 29772L108 | 4,911 | 621,681 | SH | SOLE | 621,681 | 0 | 0 | ||
Everspin Technology, Inc. | common | 30041T104 | 9,085 | 1,602,319 | SH | SOLE | 1,602,319 | 0 | 0 | ||
Exicure, Inc. | common | 30205M101 | 7,074 | 4,042,200 | SH | SOLE | 4,042,200 | 0 | 0 | ||
Franchise Group, Inc. | common | 35180X105 | 3,345 | 131,912 | SH | SOLE | 131,912 | 0 | 0 | ||
GAN, Ltd. (London) | common | G3728V109 | 5,462 | 323,180 | SH | SOLE | 323,180 | 0 | 0 | ||
Gaia, Inc. | common | 36269P104 | 7,592 | 772,282 | SH | SOLE | 772,282 | 0 | 0 | ||
Genasys Incorporated | common | 36872P103 | 28,905 | 4,699,959 | SH | SOLE | 4,699,959 | 0 | 0 | ||
Genocea Biosciences, Inc. | common | 372427104 | 1,219 | 532,516 | SH | SOLE | 532,516 | 0 | 0 | ||
Griffon Corp. | common | 398433102 | 5,862 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
Health Science Acquisitions Co | common | G4411D109 | 2,200 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
Ideal Power, Inc. | common | 451622203 | 1,766 | 284,793 | SH | SOLE | 284,793 | 0 | 0 | ||
Impinj, Inc. | common | 453204109 | 11,894 | 451,377 | SH | SOLE | 451,377 | 0 | 0 | ||
Infusystem Holdings, Inc. | common | 45685K102 | 25,640 | 2,000,000 | SH | SOLE | 2,000,000 | 0 | 0 | ||
Intellicheck, Inc. | common | 45817G201 | 834 | 125,010 | SH | SOLE | 125,010 | 0 | 0 | ||
Iteris, Inc. | common | 46564T107 | 1,457 | 355,359 | SH | SOLE | 355,359 | 0 | 0 | ||
K12 Inc. | common | 48273U102 | 658 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
Kopin Corporation | common | 500600101 | 7,661 | 5,551,344 | SH | SOLE | 5,551,344 | 0 | 0 | ||
LeMaitre Vascular Inc. | common | 525558201 | 7,482 | 230,000 | SH | SOLE | 230,000 | 0 | 0 | ||
Limelight Networks, Inc. | common | 53261M104 | 11,656 | 2,023,688 | SH | SOLE | 2,023,688 | 0 | 0 | ||
LiqTech International, Inc.(De | common | 53632A102 | 17,266 | 2,043,290 | SH | SOLE | 2,043,290 | 0 | 0 | ||
LivePerson, Inc. | common | 538146101 | 18,716 | 360,000 | SH | SOLE | 360,000 | 0 | 0 | ||
Lovesac Company, The | common | 54738L109 | 11,644 | 420,219 | SH | SOLE | 420,219 | 0 | 0 | ||
Magal Security System, Ltd (Is | common | M6786D104 | 859 | 231,618 | SH | SOLE | 231,618 | 0 | 0 | ||
Medicenna Therapeutics Corp. C | common | 58490H107 | 4,108 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
Millendo Therapeutics, Inc. | common | 60040X103 | 324 | 199,000 | SH | SOLE | 199,000 | 0 | 0 | ||
Misonix,Inc. | common | 604871103 | 2,444 | 208,336 | SH | SOLE | 208,336 | 0 | 0 | ||
Mohawk Group Holdings, Inc. | common | 608189106 | 3,605 | 436,937 | SH | SOLE | 436,937 | 0 | 0 | ||
Natural Gas Services Group, In | common | 63886Q109 | 4,046 | 478,824 | SH | SOLE | 478,824 | 0 | 0 | ||
NeoPhotonics Corporation | common | 64051T100 | 11,697 | 1,920,722 | SH | SOLE | 1,920,722 | 0 | 0 | ||
Neonode, Inc. | common | 64051M709 | 3,777 | 478,120 | SH | SOLE | 478,120 | 0 | 0 | ||
Noodles & Co. | common | 65540B105 | 3,027 | 440,548 | SH | SOLE | 440,548 | 0 | 0 | ||
OPKO Health, Inc. | common | 68375N103 | 2,952 | 800,000 | SH | SOLE | 800,000 | 0 | 0 | ||
OneWater Marine, Inc. - CL A | common | 68280L101 | 5,635 | 275,000 | SH | SOLE | 275,000 | 0 | 0 | ||
Ooma,Inc. | common | 683416101 | 14,435 | 1,106,165 | SH | SOLE | 1,106,165 | 0 | 0 | ||
OptimizeRx Corporation | common | 68401U204 | 18,940 | 908,382 | SH | SOLE | 908,382 | 0 | 0 | ||
OrthoPediatrics Corporation | common | 68752L100 | 13,924 | 303,221 | SH | SOLE | 303,221 | 0 | 0 | ||
Pacific Ethanol, Inc. | common | 69423U305 | 6,497 | 888,800 | SH | SOLE | 888,800 | 0 | 0 | ||
Pfsweb, Inc. | common | 717098206 | 13,480 | 2,014,916 | SH | SOLE | 2,014,916 | 0 | 0 | ||
Powerfleet, Inc. | common | 73931J109 | 1,070 | 190,000 | SH | SOLE | 190,000 | 0 | 0 | ||
Primo Water Corp. | common | 74167P108 | 868 | 61,142 | SH | SOLE | 61,142 | 0 | 0 | ||
Profound Medical Corp. (U.S.) | common | 74319B502 | 6,155 | 348,939 | SH | SOLE | 348,939 | 0 | 0 | ||
QuickLogic Corporation | common | 74837P405 | 2,743 | 882,119 | SH | SOLE | 882,119 | 0 | 0 | ||
Qumu Corporation | common | 749063103 | 923 | 200,300 | SH | SOLE | 200,300 | 0 | 0 | ||
RADA Electronic Industries,Ltd | common | M81863124 | 5,930 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
RADCOM, Ltd. (Israel) | common | M81865111 | 5,419 | 578,312 | SH | SOLE | 578,312 | 0 | 0 | ||
Reata Pharmaceuticals, Inc. | common | 75615P103 | 1,948 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
Repligen Corporation | common | 759916109 | 14,754 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Repro-Med Systems, Inc. | common | 759910102 | 2,472 | 342,368 | SH | SOLE | 342,368 | 0 | 0 | ||
Resonant, Inc. | common | 76118L102 | 9,923 | 4,169,213 | SH | SOLE | 4,169,213 | 0 | 0 | ||
SeaSpine Holdings Corp. | common | 81255T108 | 6,302 | 440,729 | SH | SOLE | 440,729 | 0 | 0 | ||
Sequans Communications S.A. AD | common | 817323207 | 16,769 | 2,808,816 | SH | SOLE | 2,808,816 | 0 | 0 | ||
SharpSpring, Inc. | common | 820054104 | 10,642 | 954,408 | SH | SOLE | 954,408 | 0 | 0 | ||
Soleno Therapeutics, Inc. | common | 834203200 | 3,890 | 1,550,000 | SH | SOLE | 1,550,000 | 0 | 0 | ||
Sonim Technologies, Inc. | common | 83548F101 | 3,495 | 4,504,376 | SH | SOLE | 4,504,376 | 0 | 0 | ||
Spero Therapeutics, Inc. | common | 84833T103 | 5,566 | 498,755 | SH | SOLE | 498,755 | 0 | 0 | ||
Tactile Systems Technology, In | common | 87357P100 | 1,594 | 43,560 | SH | SOLE | 43,560 | 0 | 0 | ||
The Joint Corp. | common | 47973J102 | 2,646 | 152,181 | SH | SOLE | 152,181 | 0 | 0 | ||
TravelCenters of America LLC | common | 89421B109 | 13,186 | 674,800 | SH | SOLE | 674,800 | 0 | 0 | ||
Turtle Beach Corporation | common | 900450206 | 9,929 | 545,543 | SH | SOLE | 545,543 | 0 | 0 | ||
Ultra Clean Holdings, Inc. | common | 90385V107 | 6,567 | 306,000 | SH | SOLE | 306,000 | 0 | 0 | ||
Verb Technology Company, Inc. | common | 923370U10 | 1,107 | 1,024,896 | SH | SOLE | 1,024,896 | 0 | 0 | ||
Veru,Inc. | common | 92536C103 | 1,048 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
Vicor Corporation | common | 925815102 | 6,180 | 79,500 | SH | SOLE | 79,500 | 0 | 0 | ||
Viemed Healthcare, Inc. (Canad | common | 92663R105 | 9,410 | 1,085,000 | SH | SOLE | 1,085,000 | 0 | 0 | ||
Vivint Solar, Inc. | common | 92854q106 | 8,893 | 210,000 | SH | SOLE | 210,000 | 0 | 0 | ||
Westport Fuel Systems, Inc. | common | 960908309 | 5,024 | 3,082,047 | SH | SOLE | 3,082,047 | 0 | 0 | ||
Zealand Pharma A/S (Denmark) | common | 999999999 | 11,308 | 297,226 | SH | SOLE | 297,226 | 0 | 0 | ||
Zealand Pharma A/S ADR (Denmar | common | 98920Y304 | 759 | 19,981 | SH | SOLE | 19,981 | 0 | 0 | ||
argenx SE - ADR (Netherlands) | common | 04016X101 | 21,002 | 80,000 | SH | SOLE | 80,000 | 0 | 0 | ||
eMagin Corporation | common | 29076N206 | 3,563 | 2,805,512 | SH | SOLE | 2,805,512 | 0 | 0 | ||
voxeljet AG, ADR (Germany) | common | 92912L107 | 4,754 | 561,978 | SH | SOLE | 561,978 | 0 | 0 | ||
Ideal Power @.001 (pre-funded) | warrants | 999999999 | 1,574 | 253,830 | SH | SOLE | 253,830 | 0 | 0 | ||
Ideal Power @2.32 11/13/24 9.9 | warrants | 999999999 | 2,069 | 439,180 | SH | SOLE | 439,180 | 0 | 0 | ||
Ideal Power @8.90 8/5/25 9.99 | warrants | 999999999 | 100 | 39,366 | SH | SOLE | 39,366 | 0 | 0 | ||
Ocean Power Technologies @3.85 | warrants | 674870118 | 243 | 714,280 | SH | SOLE | 714,280 | 0 | 0 | ||
Turtle Beach Corp. @0 pre-fund | warrants | 999999999 | 10,010 | 550,000 | SH | SOLE | 550,000 | 0 | 0 | ||
eMagin Corp @.78 10/9/19-10/9/ | warrants | 999999999 | 2,460 | 3,000,000 | SH | SOLE | 3,000,000 | 0 | 0 | ||
eMagin Corporation @1.55 1/29/ | warrants | 999999999 | 409 | 890,000 | SH | SOLE | 890,000 | 0 | 0 | ||
eMagin Corporation @2.45 5/24/ | warrants | 999999999 | 569 | 1,625,000 | SH | SOLE | 1,625,000 | 0 | 0 |