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 |
5:01 Acquition Corp. | common | 33836P105 | 1,017 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Aehr Test Systems | common | 00760J108 | 4,803 | 1,898,534 | SH | SOLE | 1,898,534 | 0 | 0 | ||
Alto Ingredients, Inc. | common | 021513106 | 5,077 | 935,000 | SH | SOLE | 935,000 | 0 | 0 | ||
American Superconductor Corp | common | 030111207 | 29,712 | 1,268,670 | SH | SOLE | 1,268,670 | 0 | 0 | ||
Aqua Metals, Inc. | common | 03837J101 | 2,228 | 742,570 | SH | SOLE | 742,570 | 0 | 0 | ||
Atomera Incorporated | common | 04965B100 | 9,311 | 578,658 | SH | SOLE | 578,658 | 0 | 0 | ||
Avid Bioservices, Inc. | common | 05368M106 | 14,229 | 1,233,000 | SH | SOLE | 1,233,000 | 0 | 0 | ||
Aziyo Biologics, Inc. | common | 05479K106 | 3,508 | 257,377 | SH | SOLE | 257,377 | 0 | 0 | ||
Bellus Health, Inc. | common | 07987C204 | 1,224 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
BioTelemetry, Inc. | common | 090672106 | 3,496 | 48,500 | SH | SOLE | 48,500 | 0 | 0 | ||
Boingo Wireless, Inc. | common | 09739C102 | 2,831 | 222,537 | SH | SOLE | 222,537 | 0 | 0 | ||
CEVA, Inc. | common | 157210105 | 17,393 | 382,268 | SH | SOLE | 382,268 | 0 | 0 | ||
CareDx, Inc. | common | 14167L103 | 4,347 | 60,000 | SH | SOLE | 60,000 | 0 | 0 | ||
Celsius Holdings, Inc. | common | 15118V207 | 11,320 | 225,000 | SH | SOLE | 225,000 | 0 | 0 | ||
Century Casinos, Inc. | common | 156492100 | 9,731 | 1,522,888 | SH | SOLE | 1,522,888 | 0 | 0 | ||
Citi Trends, Inc. | common | 17306X102 | 11,426 | 230,000 | SH | SOLE | 230,000 | 0 | 0 | ||
Cryoport, Inc. | common | 229050307 | 1,316 | 30,000 | SH | SOLE | 30,000 | 0 | 0 | ||
CytoSorbents Corp. | common | 23283X206 | 1,594 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
Delcath Systems, Inc. | common | 24661P807 | 1,559 | 87,000 | SH | SOLE | 87,000 | 0 | 0 | ||
EMCORE Corp. | common | 290846203 | 2,141 | 392,801 | SH | SOLE | 392,801 | 0 | 0 | ||
Eton Pharmaceuticals, Inc. | common | 29772L108 | 7,900 | 971,681 | SH | SOLE | 971,681 | 0 | 0 | ||
Everspin Technology, Inc. | common | 30041T104 | 8,642 | 1,878,597 | SH | SOLE | 1,878,597 | 0 | 0 | ||
Exicure, Inc. | common | 30205M101 | 3,363 | 1,900,000 | SH | SOLE | 1,900,000 | 0 | 0 | ||
Franchise Group, Inc. | common | 35180X105 | 4,017 | 131,912 | SH | SOLE | 131,912 | 0 | 0 | ||
GAN, Ltd. (London) | common | G3728V109 | 10,610 | 523,180 | SH | SOLE | 523,180 | 0 | 0 | ||
Gaia, Inc. | common | 36269P104 | 7,630 | 772,282 | SH | SOLE | 772,282 | 0 | 0 | ||
Genasys Incorporated | common | 36872P103 | 28,359 | 4,349,544 | SH | SOLE | 4,349,544 | 0 | 0 | ||
GrowGeneration Corp. | common | 39986L109 | 5,027 | 125,000 | SH | SOLE | 125,000 | 0 | 0 | ||
Health Science Acquisitions Co | common | G4411D109 | 2,562 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
INVO Bioscience, Inc. | common | 44984F302 | 1,881 | 625,000 | SH | SOLE | 625,000 | 0 | 0 | ||
Ideal Power, Inc. | common | 451622203 | 2,327 | 284,793 | SH | SOLE | 284,793 | 0 | 0 | ||
Impinj, Inc. | common | 453204109 | 18,899 | 451,377 | SH | SOLE | 451,377 | 0 | 0 | ||
Infusystem Holdings, Inc. | common | 45685K102 | 37,560 | 2,000,000 | SH | SOLE | 2,000,000 | 0 | 0 | ||
Intellicheck, Inc. | common | 45817G201 | 1,426 | 125,010 | SH | SOLE | 125,010 | 0 | 0 | ||
Iteris, Inc. | common | 46564T107 | 2,008 | 355,359 | SH | SOLE | 355,359 | 0 | 0 | ||
Kopin Corporation | common | 500600101 | 13,436 | 5,529,147 | SH | SOLE | 5,529,147 | 0 | 0 | ||
LeMaitre Vascular Inc. | common | 525558201 | 9,315 | 230,000 | SH | SOLE | 230,000 | 0 | 0 | ||
Leaf Group, Ltd. | common | 52177G102 | 4,322 | 929,500 | SH | SOLE | 929,500 | 0 | 0 | ||
Limelight Networks, Inc. | common | 53261M104 | 7,871 | 1,972,688 | SH | SOLE | 1,972,688 | 0 | 0 | ||
LiqTech International, Inc. | common | 53632A102 | 16,346 | 2,043,290 | SH | SOLE | 2,043,290 | 0 | 0 | ||
LivePerson, Inc. | common | 538146101 | 22,403 | 360,000 | SH | SOLE | 360,000 | 0 | 0 | ||
Lovesac Company, The | common | 54738L109 | 18,107 | 420,219 | SH | SOLE | 420,219 | 0 | 0 | ||
Magal Security System, Ltd (Is | common | M6786D104 | 899 | 231,618 | SH | SOLE | 231,618 | 0 | 0 | ||
Medicenna Therapeutics Corp. | common | 58490H107 | 4,675 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
Misonix, Inc. | common | 604871103 | 3,115 | 249,239 | SH | SOLE | 249,239 | 0 | 0 | ||
Mohawk Group Holdings, Inc. | common | 608189106 | 5,336 | 310,038 | SH | SOLE | 310,038 | 0 | 0 | ||
Nano Dimension, Ltd. ADR (Isra | common | 63008G203 | 1,098 | 120,712 | SH | SOLE | 120,712 | 0 | 0 | ||
Natural Gas Services Group | common | 63886Q109 | 4,539 | 478,824 | SH | SOLE | 478,824 | 0 | 0 | ||
NeoGames S.A. (Luxembourg) | common | L6673X107 | 10,447 | 275,000 | SH | SOLE | 275,000 | 0 | 0 | ||
NeoPhotonics Corporation | common | 64051T100 | 17,459 | 1,920,722 | SH | SOLE | 1,920,722 | 0 | 0 | ||
Neonode, Inc. | common | 64051M709 | 3,082 | 456,620 | SH | SOLE | 456,620 | 0 | 0 | ||
Noodles & Co. | common | 65540B105 | 3,795 | 480,403 | SH | SOLE | 480,403 | 0 | 0 | ||
OPKO Health, Inc. | common | 68375N103 | 3,160 | 800,000 | SH | SOLE | 800,000 | 0 | 0 | ||
OneWater Marine, Inc. - CL A | common | 68280L101 | 4,989 | 171,487 | SH | SOLE | 171,487 | 0 | 0 | ||
Ooma, Inc. | common | 683416101 | 15,929 | 1,106,165 | SH | SOLE | 1,106,165 | 0 | 0 | ||
OptimizeRx Corporation | common | 68401U204 | 21,812 | 700,000 | SH | SOLE | 700,000 | 0 | 0 | ||
OrthoPediatrics Corporation | common | 68752L100 | 12,508 | 303,221 | SH | SOLE | 303,221 | 0 | 0 | ||
Pfsweb, Inc. | common | 717098206 | 13,420 | 1,994,021 | SH | SOLE | 1,994,021 | 0 | 0 | ||
Powerfleet, Inc. | common | 73931J109 | 1,412 | 190,000 | SH | SOLE | 190,000 | 0 | 0 | ||
Primo Water Corp. | common | 74167P108 | 959 | 61,142 | SH | SOLE | 61,142 | 0 | 0 | ||
Profound Medical Corp. (U.S.) | common | 74319B502 | 7,174 | 348,939 | SH | SOLE | 348,939 | 0 | 0 | ||
Progyny, Inc. | common | 74340E103 | 1,696 | 40,000 | SH | SOLE | 40,000 | 0 | 0 | ||
PureTech Health PLC. - ADR | common | 746237106 | 1,673 | 30,000 | SH | SOLE | 30,000 | 0 | 0 | ||
QuickLogic Corporation | common | 74837P405 | 2,938 | 775,222 | SH | SOLE | 775,222 | 0 | 0 | ||
RADA Electronic Industries,Ltd | common | M81863124 | 9,750 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
RADCOM, Ltd. (Israel) | common | M81865111 | 6,333 | 578,312 | SH | SOLE | 578,312 | 0 | 0 | ||
Reata Pharmaceuticals, Inc. | common | 75615P103 | 2,472 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
Repligen Corporation | common | 759916109 | 19,163 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Resonant, Inc. | common | 76118L102 | 11,048 | 4,169,213 | SH | SOLE | 4,169,213 | 0 | 0 | ||
SeaSpine Holdings Corp. | common | 81255T108 | 7,705 | 441,547 | SH | SOLE | 441,547 | 0 | 0 | ||
Sequans Communications S.A. AD | common | 817323207 | 19,416 | 3,214,540 | SH | SOLE | 3,214,540 | 0 | 0 | ||
SharpSpring, Inc. | common | 820054104 | 16,583 | 1,018,604 | SH | SOLE | 1,018,604 | 0 | 0 | ||
Soleno Therapeutics, Inc. | common | 834203200 | 2,991 | 1,550,000 | SH | SOLE | 1,550,000 | 0 | 0 | ||
Spero Therapeutics, Inc. | common | 84833T103 | 7,228 | 372,755 | SH | SOLE | 372,755 | 0 | 0 | ||
Spruce Biosciences, Inc. | common | 85209E109 | 972 | 40,000 | SH | SOLE | 40,000 | 0 | 0 | ||
Sunrun, Inc. | common | 86771W105 | 5,706 | 82,244 | SH | SOLE | 82,244 | 0 | 0 | ||
Tactile Systems Technology | common | 87357P100 | 1,958 | 43,560 | SH | SOLE | 43,560 | 0 | 0 | ||
Telos Corp. | common | 87969B101 | 9,894 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
The Cooper Companies, Inc. | common | 216648402 | 1,635 | 4,500 | SH | SOLE | 4,500 | 0 | 0 | ||
The Joint Corp. | common | 47973J102 | 3,996 | 152,181 | SH | SOLE | 152,181 | 0 | 0 | ||
TravelCenters of America LLC | common | 89421B109 | 21,998 | 674,800 | SH | SOLE | 674,800 | 0 | 0 | ||
Tufin Software Technologies | common | M8893U102 | 449 | 36,003 | SH | SOLE | 36,003 | 0 | 0 | ||
Turtle Beach Corporation | common | 900450206 | 11,756 | 545,543 | SH | SOLE | 545,543 | 0 | 0 | ||
Ultra Clean Holdings, Inc. | common | 90385V107 | 5,775 | 185,391 | SH | SOLE | 185,391 | 0 | 0 | ||
Universal Technical Institute, | common | 913915104 | 1,026 | 158,781 | SH | SOLE | 158,781 | 0 | 0 | ||
Verb Technology Company, Inc. | common | 923370U10 | 495 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
Veru,Inc. | common | 92536C103 | 3,460 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
Vicor Corporation | common | 925815102 | 7,285 | 79,000 | SH | SOLE | 79,000 | 0 | 0 | ||
Viemed Healthcare, Inc. (Canad | common | 92663R105 | 8,482 | 1,085,000 | SH | SOLE | 1,085,000 | 0 | 0 | ||
Vital Farms, Inc. | common | 92847W103 | 633 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
Westport Fuel Systems, Inc. | common | 960908309 | 16,427 | 3,082,047 | SH | SOLE | 3,082,047 | 0 | 0 | ||
Yatra Online, Inc. (India) | common | G98338109 | 1,267 | 656,624 | SH | SOLE | 656,624 | 0 | 0 | ||
Zealand Pharma A/S (Denmark) | common | 999999999 | 10,771 | 297,226 | SH | SOLE | 297,226 | 0 | 0 | ||
Zealand Pharma A/S ADR (Denmar | common | 98920Y304 | 718 | 19,981 | SH | SOLE | 19,981 | 0 | 0 | ||
argenx SE - ADR (Netherlands) | common | 04016X101 | 23,527 | 80,000 | SH | SOLE | 80,000 | 0 | 0 | ||
eMagin Corporation | common | 29076N206 | 4,629 | 2,805,512 | SH | SOLE | 2,805,512 | 0 | 0 | ||
voxeljet AG, ADR (Germany) | common | 92912L107 | 5,485 | 561,978 | SH | SOLE | 561,978 | 0 | 0 | ||
Ideal Power @.001 (pre-funded) | warrants | 999999999 | 2,074 | 253,830 | SH | SOLE | 253,830 | 0 | 0 | ||
Ideal Power @2.32 11/13/24 9.9 | warrants | 999999999 | 2,815 | 439,180 | SH | SOLE | 439,180 | 0 | 0 | ||
Ideal Power @8.90 8/5/25 9.99 | warrants | 999999999 | 117 | 39,366 | SH | SOLE | 39,366 | 0 | 0 | ||
Ocean Power Technologies @3.85 | warrants | 674870118 | 829 | 714,280 | SH | SOLE | 714,280 | 0 | 0 | ||
Turtle Beach Corp. @0 pre-fund | warrants | 999999999 | 11,852 | 550,000 | SH | SOLE | 550,000 | 0 | 0 | ||
eMagin Corp @.78 10/9/19-10/9/ | warrants | 999999999 | 3,120 | 3,000,000 | SH | SOLE | 3,000,000 | 0 | 0 | ||
eMagin Corporation @1.55 1/29/ | warrants | 999999999 | 400 | 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 |