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 | 4,784 | 1,898,534 | SH | SOLE | 1,898,534 | 0 | 0 | ||
Alto Ingredients, Inc. | common | 021513106 | 3,363 | 619,402 | SH | SOLE | 619,402 | 0 | 0 | ||
American Public Education, Inc | common | 02913V103 | 11,580 | 325,000 | SH | SOLE | 325,000 | 0 | 0 | ||
American Superconductor Corpor | common | 030111207 | 16,202 | 854,534 | SH | SOLE | 854,534 | 0 | 0 | ||
Andina Acquisition Corp. III | common | 604415108 | 1,027 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Aqua Metals, Inc. | common | 03837J101 | 225 | 55,474 | SH | SOLE | 55,474 | 0 | 0 | ||
Atomera Incorporated | common | 04965B100 | 4,483 | 183,000 | SH | SOLE | 183,000 | 0 | 0 | ||
Avid Bioservices, Inc. | common | 05368M106 | 22,478 | 1,233,000 | SH | SOLE | 1,233,000 | 0 | 0 | ||
Aziyo Biologics, Inc. | common | 05479K106 | 1,480 | 107,077 | SH | SOLE | 107,077 | 0 | 0 | ||
Ballantyne Strong, Inc. | common | 058516105 | 459 | 176,024 | SH | SOLE | 176,024 | 0 | 0 | ||
Bellus Health, Inc. | common | 07987C204 | 1,536 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
Bridgeline Digital Inc. | common | 10807Q700 | 699 | 241,935 | SH | SOLE | 241,935 | 0 | 0 | ||
CEVA, Inc. | common | 157210105 | 18,877 | 336,187 | SH | SOLE | 336,187 | 0 | 0 | ||
CareDx, Inc. | common | 14167L103 | 3,881 | 57,000 | SH | SOLE | 57,000 | 0 | 0 | ||
Century Casinos, Inc. | common | 156492100 | 15,640 | 1,522,888 | SH | SOLE | 1,522,888 | 0 | 0 | ||
Citi Trends, Inc. | common | 17306X102 | 8,772 | 104,700 | SH | SOLE | 104,700 | 0 | 0 | ||
CleanSpark, Inc. | common | 18452B209 | 3,335 | 140,000 | SH | SOLE | 140,000 | 0 | 0 | ||
Cryoport, Inc. | common | 229050307 | 1,560 | 30,000 | SH | SOLE | 30,000 | 0 | 0 | ||
CytoSorbents Corp. | common | 23283X206 | 1,302 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
DZS, Inc. | common | 268211109 | 6,220 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
DermTech, Inc. | common | 24984K105 | 1,524 | 30,000 | SH | SOLE | 30,000 | 0 | 0 | ||
EMCORE Corp. | common | 290846203 | 10,715 | 1,962,446 | SH | SOLE | 1,962,446 | 0 | 0 | ||
Enservco Corporation | common | 29358Y102 | 778 | 450,000 | SH | SOLE | 450,000 | 0 | 0 | ||
Eton Pharmaceuticals, Inc. | common | 29772L108 | 6,580 | 898,878 | SH | SOLE | 898,878 | 0 | 0 | ||
Everspin Technology, Inc. | common | 30041T104 | 11,272 | 1,878,597 | SH | SOLE | 1,878,597 | 0 | 0 | ||
Exicure, Inc. | common | 30205M101 | 581 | 266,309 | SH | SOLE | 266,309 | 0 | 0 | ||
Franchise Group, Inc. | common | 35180X105 | 4,763 | 131,912 | SH | SOLE | 131,912 | 0 | 0 | ||
GAN, Ltd. (London) | common | G3728V109 | 8,588 | 471,870 | SH | SOLE | 471,870 | 0 | 0 | ||
Gaia, Inc. | common | 36269P104 | 9,182 | 772,282 | SH | SOLE | 772,282 | 0 | 0 | ||
Genasys Incorporated | common | 36872P103 | 29,098 | 4,349,544 | SH | SOLE | 4,349,544 | 0 | 0 | ||
Generation Bio Co. | common | 37148k100 | 6,421 | 225,599 | SH | SOLE | 225,599 | 0 | 0 | ||
Greenbrook TMS, Inc. (Canada) | common | 393704101 | 7,633 | 630,447 | SH | SOLE | 630,447 | 0 | 0 | ||
INVO Bioscience, Inc. | common | 44984F302 | 4,114 | 950,125 | SH | SOLE | 950,125 | 0 | 0 | ||
Ideal Power, Inc. | common | 451622203 | 3,115 | 235,271 | SH | SOLE | 235,271 | 0 | 0 | ||
Immunoprecise Antibodies, Ltd. | common | 45257F200 | 4,694 | 478,020 | SH | SOLE | 478,020 | 0 | 0 | ||
Impinj, Inc. | common | 453204109 | 24,510 | 430,977 | SH | SOLE | 430,977 | 0 | 0 | ||
Infusystem Holdings, Inc. | common | 45685K102 | 40,720 | 2,000,000 | SH | SOLE | 2,000,000 | 0 | 0 | ||
Intellicheck, Inc. | common | 45817G201 | 1,048 | 125,010 | SH | SOLE | 125,010 | 0 | 0 | ||
Iteris, Inc. | common | 46564T107 | 2,193 | 355,359 | SH | SOLE | 355,359 | 0 | 0 | ||
Kopin Corporation | common | 500600101 | 16,075 | 1,532,446 | SH | SOLE | 1,532,446 | 0 | 0 | ||
LeMaitre Vascular Inc. | common | 525558201 | 11,219 | 230,000 | SH | SOLE | 230,000 | 0 | 0 | ||
Leaf Group, Ltd. | common | 52177G102 | 4,636 | 718,784 | SH | SOLE | 718,784 | 0 | 0 | ||
Limelight Networks, Inc. | common | 53261M104 | 4,918 | 1,377,536 | SH | SOLE | 1,377,536 | 0 | 0 | ||
LiqTech International, Inc. (D | common | 53632A102 | 16,410 | 2,028,444 | SH | SOLE | 2,028,444 | 0 | 0 | ||
LivePerson, Inc. | common | 538146101 | 18,454 | 349,900 | SH | SOLE | 349,900 | 0 | 0 | ||
Lovesac Company, The | common | 54738L109 | 23,064 | 407,486 | SH | SOLE | 407,486 | 0 | 0 | ||
Magal Security System, Ltd (Is | common | M6786D104 | 1,038 | 231,618 | SH | SOLE | 231,618 | 0 | 0 | ||
Medicenna Therapeutics Corp. | common | 58490H107 | 4,068 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
Misonix, Inc. | common | 604871103 | 4,883 | 249,239 | SH | SOLE | 249,239 | 0 | 0 | ||
Motorsports Games, Inc. | common | 62011B102 | 3,961 | 170,291 | SH | SOLE | 170,291 | 0 | 0 | ||
Movano, Inc. | common | 62459M107 | 4,986 | 900,000 | SH | SOLE | 900,000 | 0 | 0 | ||
Nano Dimension, Ltd. ADR (Isra | common | 63008G203 | 3,393 | 394,961 | SH | SOLE | 394,961 | 0 | 0 | ||
Natural Gas Services Group Inc | common | 63886Q109 | 4,524 | 479,199 | SH | SOLE | 479,199 | 0 | 0 | ||
NeoGames S.A. (Luxembourg) | common | L6673X107 | 9,837 | 275,000 | SH | SOLE | 275,000 | 0 | 0 | ||
NeoPhotonics Corporation | common | 64051T100 | 22,953 | 1,920,722 | SH | SOLE | 1,920,722 | 0 | 0 | ||
Neonode, Inc. | common | 64051M709 | 4,274 | 456,120 | SH | SOLE | 456,120 | 0 | 0 | ||
Noodles & Co. | common | 65540B105 | 4,972 | 480,403 | SH | SOLE | 480,403 | 0 | 0 | ||
Nuvation Bio, Inc. | common | 67080N101 | 4,554 | 435,824 | SH | SOLE | 435,824 | 0 | 0 | ||
OPKO Health, Inc. | common | 68375N103 | 3,432 | 800,000 | SH | SOLE | 800,000 | 0 | 0 | ||
Oncocyte Corp. | common | 68235C107 | 3,892 | 750,000 | SH | SOLE | 750,000 | 0 | 0 | ||
OneWater Marine, Inc. - CL A | common | 68280L101 | 3,482 | 87,144 | SH | SOLE | 87,144 | 0 | 0 | ||
Ooma, Inc. | common | 683416101 | 17,533 | 1,106,165 | SH | SOLE | 1,106,165 | 0 | 0 | ||
OptimizeRx Corporation | common | 68401U204 | 24,375 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
OrthoPediatrics Corporation | common | 68752L100 | 14,538 | 298,221 | SH | SOLE | 298,221 | 0 | 0 | ||
Pfsweb, Inc. | common | 717098206 | 13,062 | 1,935,179 | SH | SOLE | 1,935,179 | 0 | 0 | ||
Powerfleet, Inc. | common | 73931J109 | 6,905 | 840,000 | SH | SOLE | 840,000 | 0 | 0 | ||
Primo Water Corp. | common | 74167P108 | 994 | 61,142 | SH | SOLE | 61,142 | 0 | 0 | ||
Profound Medical Corp. (U.S.) | common | 74319B502 | 7,028 | 348,939 | SH | SOLE | 348,939 | 0 | 0 | ||
Progyny, Inc. | common | 74340E103 | 2,225 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
PureTech Health PLC-ADR (Brita | common | 746237106 | 1,774 | 30,000 | SH | SOLE | 30,000 | 0 | 0 | ||
Quantum Corp. | common | 747906501 | 3,415 | 410,000 | SH | SOLE | 410,000 | 0 | 0 | ||
QuickLogic Corporation | common | 74837P405 | 2,700 | 390,230 | SH | SOLE | 390,230 | 0 | 0 | ||
Qumu Corporation | common | 749063103 | 2,366 | 350,000 | SH | SOLE | 350,000 | 0 | 0 | ||
RADA Electronic Industries, Lt | common | M81863124 | 11,770 | 980,000 | SH | SOLE | 980,000 | 0 | 0 | ||
RADCOM, Ltd. (Israel) | common | M81865111 | 5,714 | 578,312 | SH | SOLE | 578,312 | 0 | 0 | ||
Reata Pharmaceuticals, Inc. | common | 75615P103 | 1,994 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
Recro Pharma, Inc. | common | 75629F109 | 1,092 | 391,304 | SH | SOLE | 391,304 | 0 | 0 | ||
Repligen Corporation | common | 759916109 | 19,441 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Resonant, Inc. | common | 76118L102 | 11,392 | 2,686,785 | SH | SOLE | 2,686,785 | 0 | 0 | ||
Roth CH Acquisition III Co. | common | 77867Q102 | 1,980 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
SeaSpine Holdings Corp. | common | 81255T108 | 7,683 | 441,547 | SH | SOLE | 441,547 | 0 | 0 | ||
Sequans Communications S.A. AD | common | 817323207 | 19,718 | 3,264,540 | SH | SOLE | 3,264,540 | 0 | 0 | ||
SharpSpring, Inc. | common | 820054104 | 15,494 | 968,353 | SH | SOLE | 968,353 | 0 | 0 | ||
Sientra, Inc. | common | 82621J105 | 3,342 | 458,500 | SH | SOLE | 458,500 | 0 | 0 | ||
Sigma Labs, Inc. | common | 826598500 | 2,224 | 597,785 | SH | SOLE | 597,785 | 0 | 0 | ||
Soleno Therapeutics, Inc. | common | 834203200 | 632 | 501,837 | SH | SOLE | 501,837 | 0 | 0 | ||
Spero Therapeutics, Inc. | common | 84833T103 | 5,487 | 372,755 | SH | SOLE | 372,755 | 0 | 0 | ||
Sunrun, Inc. | common | 86771W105 | 2,419 | 40,000 | SH | SOLE | 40,000 | 0 | 0 | ||
Telos Corp. | common | 87969B101 | 6,984 | 184,181 | SH | SOLE | 184,181 | 0 | 0 | ||
The Cooper Companies, Inc. | common | 216648402 | 1,728 | 4,500 | SH | SOLE | 4,500 | 0 | 0 | ||
The Joint Corp. | common | 47973J102 | 4,837 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
TravelCenters of America LLC | common | 89421B109 | 18,307 | 674,800 | SH | SOLE | 674,800 | 0 | 0 | ||
Turtle Beach Corporation | common | 900450206 | 14,550 | 545,543 | SH | SOLE | 545,543 | 0 | 0 | ||
Ultra Clean Holdings, Inc. | common | 90385V107 | 8,532 | 147,000 | SH | SOLE | 147,000 | 0 | 0 | ||
Universal Technical Institute, | common | 913915104 | 1,506 | 257,854 | SH | SOLE | 257,854 | 0 | 0 | ||
Verb Technology Company, Inc. | common | 923370U10 | 1,841 | 1,314,950 | SH | SOLE | 1,314,950 | 0 | 0 | ||
Veru,Inc. | common | 92536C103 | 7,542 | 700,000 | SH | SOLE | 700,000 | 0 | 0 | ||
Vicor Corporation | common | 925815102 | 6,717 | 79,000 | SH | SOLE | 79,000 | 0 | 0 | ||
Viemed Healthcare, Inc.(Canada | common | 92663R105 | 11,038 | 1,085,000 | SH | SOLE | 1,085,000 | 0 | 0 | ||
Westport Fuel Systems, Inc. (C | common | 960908309 | 22,160 | 3,082,047 | SH | SOLE | 3,082,047 | 0 | 0 | ||
Yatra Online, Inc. (India) | common | G98338109 | 1,530 | 656,624 | SH | SOLE | 656,624 | 0 | 0 | ||
Zealand Pharma A/S (Denmark) | common | 999999999 | 9,403 | 297,226 | SH | SOLE | 297,226 | 0 | 0 | ||
Zealand Pharma A/S ADR (Denmar | common | 98920Y304 | 639 | 19,981 | SH | SOLE | 19,981 | 0 | 0 | ||
argenx SE - ADR (Netherlands) | common | 04016X101 | 22,031 | 80,000 | SH | SOLE | 80,000 | 0 | 0 | ||
eMagin Corporation | common | 29076N206 | 4,192 | 1,120,887 | SH | SOLE | 1,120,887 | 0 | 0 | ||
nLight, Inc. | common | 65487K100 | 8,424 | 260,000 | SH | SOLE | 260,000 | 0 | 0 | ||
urban-gro, Inc. | common | 91704K202 | 1,991 | 236,156 | SH | SOLE | 236,156 | 0 | 0 | ||
voxeljet AG, ADR (Germany) | common | 92912L106 | 10,686 | 684,978 | SH | SOLE | 684,978 | 0 | 0 | ||
Ideal Power @.001 (pre-funded) | warrants | 999999999 | 3,360 | 253,830 | SH | SOLE | 253,830 | 0 | 0 | ||
Ideal Power @2.32 11/13/24 9.9 | warrants | 999999999 | 5,143 | 439,180 | SH | SOLE | 439,180 | 0 | 0 | ||
Ideal Power @8.90 8/5/25 9.99 | warrants | 999999999 | 322 | 39,366 | SH | SOLE | 39,366 | 0 | 0 | ||
Ocean Power Technologies @3.85 | warrants | 674870118 | 585 | 464,280 | SH | SOLE | 464,280 | 0 | 0 | ||
Roth CH Acquisition III Co @11 | warrants | 77867Q110 | 40 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
Turtle Beach Corp. @0 pre-fund | warrants | 999999999 | 14,668 | 550,000 | SH | SOLE | 550,000 | 0 | 0 | ||
eMagin Corp @.78 10/9/19-10/9/ | warrants | 999999999 | 9,510 | 3,000,000 | SH | SOLE | 3,000,000 | 0 | 0 | ||
eMagin Corporation @1.55 1/29/ | warrants | 999999999 | 2,234 | 890,000 | SH | SOLE | 890,000 | 0 | 0 | ||
eMagin Corporation @2.45 5/24/ | warrants | 999999999 | 2,860 | 1,625,000 | SH | SOLE | 1,625,000 | 0 | 0 |