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 | 3,702 | 1,898,534 | SH | SOLE | 1,898,534 | 0 | 0 | ||
American Superconductor Corpor | common | 030111207 | 9,925 | 1,220,814 | SH | SOLE | 1,220,814 | 0 | 0 | ||
Anchiano Therapeutics, Ltd. - | common | 03280X102 | 217 | 158,123 | SH | SOLE | 158,123 | 0 | 0 | ||
Aqua Metals, Inc. | common | 03837J101 | 2,616 | 1,868,907 | SH | SOLE | 1,868,907 | 0 | 0 | ||
Atomera Incorporated | common | 04965B100 | 9,372 | 1,041,367 | SH | SOLE | 1,041,367 | 0 | 0 | ||
Avid Bioservices, Inc. | common | 05368M106 | 4,785 | 728,832 | SH | SOLE | 728,832 | 0 | 0 | ||
Bellus Health Inc. | common | 07987C204 | 1,420 | 138,012 | SH | SOLE | 138,012 | 0 | 0 | ||
Bellus Health, Inc. (Canada) R | common | 07987C204 | 15,129 | 1,461,988 | SH | SOLE | 1,461,988 | 0 | 0 | ||
BioTelemetry, Inc. | common | 090672106 | 2,192 | 48,500 | SH | SOLE | 48,500 | 0 | 0 | ||
Boingo Wireless, Inc. | common | 09739C102 | 3,334 | 250,316 | SH | SOLE | 250,316 | 0 | 0 | ||
Broadwind Energy, Inc. | common | 11161T207 | 1,031 | 275,000 | SH | SOLE | 275,000 | 0 | 0 | ||
CEVA, Inc. | common | 157210105 | 16,007 | 427,768 | SH | SOLE | 427,768 | 0 | 0 | ||
CVD Equipment Corporation | common | 126601103 | 776 | 259,414 | SH | SOLE | 259,414 | 0 | 0 | ||
CareDx, Inc. | common | 14167L103 | 2,328 | 65,700 | SH | SOLE | 65,700 | 0 | 0 | ||
Celsius Holdings, Inc. | common | 15118V207 | 7,618 | 647,200 | SH | SOLE | 647,200 | 0 | 0 | ||
Century Casinos, Inc. | common | 156492100 | 4,554 | 1,097,404 | SH | SOLE | 1,097,404 | 0 | 0 | ||
Citi Trends, Inc. | common | 17306X102 | 5,770 | 285,342 | SH | SOLE | 285,342 | 0 | 0 | ||
Dirtt Environmental Solutions | common | 25490H106 | 513 | 425,000 | SH | SOLE | 425,000 | 0 | 0 | ||
Eton Pharmaceuticals, Inc. | common | 29772L108 | 4,374 | 802,617 | SH | SOLE | 802,617 | 0 | 0 | ||
Everspin Technology, Inc. | common | 30041T104 | 11,822 | 1,684,102 | SH | SOLE | 1,684,102 | 0 | 0 | ||
Exicure, Inc. | common | 30205M101 | 9,863 | 4,042,200 | SH | SOLE | 4,042,200 | 0 | 0 | ||
GAN Ltd. (London) | common | G3728V109 | 6,468 | 254,154 | SH | SOLE | 254,154 | 0 | 0 | ||
Gaia, Inc. | common | 36269P104 | 6,480 | 773,282 | SH | SOLE | 773,282 | 0 | 0 | ||
Genasys Incorporated (F4) | common | 36872P103 | 23,419 | 4,818,706 | SH | SOLE | 4,818,706 | 0 | 0 | ||
GrowGeneration Corp. | common | 39986L109 | 6,156 | 900,000 | SH | SOLE | 900,000 | 0 | 0 | ||
Ideal Power, Inc. | common | 451622203 | 1,301 | 199,186 | SH | SOLE | 199,186 | 0 | 0 | ||
Impinj, Inc. | common | 453204109 | 12,402 | 451,477 | SH | SOLE | 451,477 | 0 | 0 | ||
Infusystem Holdings, Inc. | common | 45685K102 | 23,080 | 2,000,000 | SH | SOLE | 2,000,000 | 0 | 0 | ||
Intellicheck, Inc. | common | 45817G201 | 755 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Iteris, Inc. | common | 46564T107 | 1,690 | 355,359 | SH | SOLE | 355,359 | 0 | 0 | ||
K12 Inc. | common | 48273U102 | 953 | 35,000 | SH | SOLE | 35,000 | 0 | 0 | ||
Kopin Corporation | common | 500600101 | 7,555 | 5,680,157 | SH | SOLE | 5,680,157 | 0 | 0 | ||
Kratos Defense & Security Solu | common | 50077B207 | 2,973 | 190,218 | SH | SOLE | 190,218 | 0 | 0 | ||
LeMaitre Vascular Inc. | common | 525558201 | 6,072 | 230,000 | SH | SOLE | 230,000 | 0 | 0 | ||
Limelight Networks, Inc. | common | 53261M104 | 15,262 | 2,073,688 | SH | SOLE | 2,073,688 | 0 | 0 | ||
LiqTech International, Inc.(De | common | 53632A102 | 11,156 | 2,043,290 | SH | SOLE | 2,043,290 | 0 | 0 | ||
LivePerson, Inc. | common | 538146101 | 19,969 | 482,000 | SH | SOLE | 482,000 | 0 | 0 | ||
Lovesac Company, The | common | 54738L109 | 17,181 | 655,000 | SH | SOLE | 655,000 | 0 | 0 | ||
Magal Security System, Ltd (Is | common | M6786D104 | 1,187 | 395,656 | SH | SOLE | 395,656 | 0 | 0 | ||
MasterCraft Boat Holdings, Inc | common | 57637H103 | 2,381 | 125,000 | SH | SOLE | 125,000 | 0 | 0 | ||
Millendo Therapeutics, Inc. | common | 60040X103 | 350 | 199,000 | SH | SOLE | 199,000 | 0 | 0 | ||
Misonix,Inc. | common | 604871103 | 2,289 | 168,711 | SH | SOLE | 168,711 | 0 | 0 | ||
NV5 Global, Inc. | common | 62945V109 | 351 | 6,900 | SH | SOLE | 6,900 | 0 | 0 | ||
Natural Gas Services Group Inc | common | 63886Q109 | 2,767 | 441,261 | SH | SOLE | 441,261 | 0 | 0 | ||
NeoPhotonics Corporation | common | 64051T100 | 15,857 | 1,785,722 | SH | SOLE | 1,785,722 | 0 | 0 | ||
Neonode, Inc. | common | 64051M709 | 619 | 72,963 | SH | SOLE | 72,963 | 0 | 0 | ||
Noodles & Co. | common | 65540B105 | 2,362 | 390,448 | SH | SOLE | 390,448 | 0 | 0 | ||
OPKO Health, Inc. | common | 68375N103 | 2,728 | 800,000 | SH | SOLE | 800,000 | 0 | 0 | ||
Ooma,Inc. | common | 683416101 | 19,051 | 1,156,021 | SH | SOLE | 1,156,021 | 0 | 0 | ||
OptimizeRx Corporation | common | 68401U204 | 12,820 | 983,866 | SH | SOLE | 983,866 | 0 | 0 | ||
OrthoPediatrics Corporation | common | 68752L100 | 13,269 | 303,221 | SH | SOLE | 303,221 | 0 | 0 | ||
Pfsweb, Inc. | common | 717098206 | 12,119 | 1,814,185 | SH | SOLE | 1,814,185 | 0 | 0 | ||
Powerfleet, Inc. | common | 73931J109 | 878 | 190,000 | SH | SOLE | 190,000 | 0 | 0 | ||
Primo Water Corp. | common | 74167P108 | 841 | 61,142 | SH | SOLE | 61,142 | 0 | 0 | ||
Profound Medical Corp. (U.S.) | common | 74319B502 | 5,911 | 348,939 | SH | SOLE | 348,939 | 0 | 0 | ||
Purple Innovation, Inc. | common | 74640Y106 | 9,602 | 533,452 | SH | SOLE | 533,452 | 0 | 0 | ||
QuickLogic Corporation | common | 74837P405 | 2,699 | 882,119 | SH | SOLE | 882,119 | 0 | 0 | ||
RADA Electronic Industries,Ltd | common | M81863124 | 6,540 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
RADCOM, Ltd. (Israel) | common | M81865111 | 4,707 | 578,312 | SH | SOLE | 578,312 | 0 | 0 | ||
Reata Pharmaceuticals, Inc. | common | 75615P103 | 9,361 | 60,000 | SH | SOLE | 60,000 | 0 | 0 | ||
Repligen Corporation | common | 759916109 | 12,361 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Repro-Med Systems, Inc. | common | 759910102 | 3,323 | 370,000 | SH | SOLE | 370,000 | 0 | 0 | ||
Resonant, Inc. | common | 76118L102 | 9,714 | 4,169,213 | SH | SOLE | 4,169,213 | 0 | 0 | ||
SeaSpine Holdings Corp. | common | 81255T108 | 3,075 | 293,677 | SH | SOLE | 293,677 | 0 | 0 | ||
Sequans Communications S.A. AD | common | 817323207 | 17,249 | 2,809,216 | SH | SOLE | 2,809,216 | 0 | 0 | ||
SharpSpring, Inc. | common | 820054104 | 7,392 | 841,908 | SH | SOLE | 841,908 | 0 | 0 | ||
Soleno Therapeutics, Inc. | common | 834203200 | 3,441 | 1,550,000 | SH | SOLE | 1,550,000 | 0 | 0 | ||
Sonim Technologies, Inc. | common | 83548F101 | 4,875 | 6,024,808 | SH | SOLE | 6,024,808 | 0 | 0 | ||
Spero Therapeutics, Inc. | common | 84833T103 | 3,298 | 243,755 | SH | SOLE | 243,755 | 0 | 0 | ||
Tactile Systems Technology, In | common | 87357P100 | 769 | 18,560 | SH | SOLE | 18,560 | 0 | 0 | ||
The Joint Corp. | common | 47973J102 | 2,309 | 151,181 | SH | SOLE | 151,181 | 0 | 0 | ||
TravelCenters of America LLC | common | 89421B109 | 1,232 | 80,000 | SH | SOLE | 80,000 | 0 | 0 | ||
Turtle Beach Corporation | common | 900450206 | 7,515 | 510,543 | SH | SOLE | 510,543 | 0 | 0 | ||
U.S. Global Investors, Inc. | common | 902952100 | 350 | 185,000 | SH | SOLE | 185,000 | 0 | 0 | ||
Ultra Clean Holdings, Inc. | common | 90385V107 | 7,558 | 334,000 | SH | SOLE | 334,000 | 0 | 0 | ||
Veru,Inc. | common | 92536C103 | 1,336 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
Vicor Corporation | common | 925815102 | 6,475 | 90,000 | SH | SOLE | 90,000 | 0 | 0 | ||
Viemed Healthcare, Inc. (Canad | common | 92663R105 | 12,535 | 1,308,123 | SH | SOLE | 1,308,123 | 0 | 0 | ||
Vivint Solar, Inc. | common | 92854q106 | 3,554 | 359,000 | SH | SOLE | 359,000 | 0 | 0 | ||
Vocera Communications, Inc. | common | 92857F107 | 2,249 | 106,079 | SH | SOLE | 106,079 | 0 | 0 | ||
Westport Fuel Systems Inc. | common | 960908309 | 1,238 | 998,412 | SH | SOLE | 998,412 | 0 | 0 | ||
Zealand Pharma A/S (Denmark) | common | 999999999 | 10,191 | 297,226 | SH | SOLE | 297,226 | 0 | 0 | ||
Zealand Pharma A/S ADR (Denmar | common | 98920Y304 | 699 | 19,981 | SH | SOLE | 19,981 | 0 | 0 | ||
argenx SE - ADR (Netherlands) | common | 04016X101 | 18,018 | 80,000 | SH | SOLE | 80,000 | 0 | 0 | ||
eMagin Corporation | common | 29076N206 | 2,330 | 2,952,241 | SH | SOLE | 2,952,241 | 0 | 0 | ||
voxeljet AG, ADR (Germany) | common | 92912L107 | 4,383 | 2,809,899 | SH | SOLE | 2,809,899 | 0 | 0 | ||
EyeGate Pharmaceuticals @10.62 | warrants | 30233M115 | 6 | 137,092 | SH | SOLE | 137,092 | 0 | 0 | ||
Ideal Power @.001 (pre-funded) | warrants | 999999999 | 1,658 | 253,830 | SH | SOLE | 253,830 | 0 | 0 | ||
Ideal Power @2.32 11/13/24 9.9 | warrants | 999999999 | 2,585 | 504,787 | SH | SOLE | 504,787 | 0 | 0 | ||
Ocean Power Technologies @3.85 | warrants | 674870118 | 143 | 714,280 | SH | SOLE | 714,280 | 0 | 0 | ||
Turtle Beach Corp. @0 pre-fund | warrants | 999999999 | 8,096 | 550,000 | SH | SOLE | 550,000 | 0 | 0 | ||
eMagin Corp @.78 10/9/19-10/9/ | warrants | 999999999 | 1,080 | 3,000,000 | SH | SOLE | 3,000,000 | 0 | 0 | ||
eMagin Corporation @1.55 1/29/ | warrants | 999999999 | 258 | 890,000 | SH | SOLE | 890,000 | 0 | 0 | ||
eMagin Corporation @2.45 5/24/ | warrants | 999999999 | 374 | 1,625,000 | SH | SOLE | 1,625,000 | 0 | 0 |