Type
2018
2017
2016
2018
2017
2016
Accelerize Inc. Regional $90,500 $90,500 $79,000 $21,729,600 $23,544,172 $23,846,152 Acelrx Pharmaceuticals Inc. National $776,993 $644,380 $634,680 $2,151,000 $7,995,000 $17,357,000 Adamas Pharmaceuticals Inc. Big 4 $1,127,000 $853,000 $666,000 $34,046,000 $571,000 $572,000 Adamis Pharmaceuticals Corp. National $338,000 $324,000 $189,000 $15,086,600 $13,073,259 $6,473,978 Adomani, Inc. Regional $114,000 $114,000 $135,675 $5,011,000 $425,000 $68,000 Aduro Biotech, Inc. Big 4 $656,805 $695,952 $675,781 $15,087,000 $17,239,000 $50,681,000 Adynxx, Inc. National $189,849 $219,081 $203,425 $2,216,000 $2,019,000 $16,294,000 AEHR Test Systems Regional $166,649 $161,852 $170,630 $29,555,000 $18,898,000 $14,501,000 Aerkomm Inc. Regional $188,000 $156,000 $30,000 $1,745,000 $7,834 $7,834 Aerocentury Corp. National $418,000 $316,000 $295,500 $30,517,500 $34,461,100 $25,332,600 Aethlon Medical Inc. Regional $111,780 $110,946 $97,000 $149,625 $392,073 $886,572 Aftermaster Inc. Regional $122,000 $115,000 $110,000 $1,649,500 $879,984 $1,918,226 AgeX Therapeutics, Inc. National $232,000 $369,000 $- $1,396,000 $1,404,000 $- Aimmune Therapeutics, Inc. Big 4 $726,000 $627,000 $412,000 $- $- $- Airborne Wireless Network Regional $25,000 $16,100 $12,050 $- $- $- Airxpanders Inc Regional $174,723 $139,000 $151,000 $7,817,000 $3,906,000 $570,000 Alector, Inc. Big 4 $1,144,160 $80,000 $- $27,677,000 $3,735,000 $- Allakos Inc. Big 4 $1,428,000 $528,000 $- $- $- $- Allogene Therapeutics, Inc. Big 4 $1,518,000 $26,000 $- $- $- $- Almost Never Films Regional $29,676 $8,000 $3,500 $10,000 $10,000 $- America Great Health Regional $14,083 $335,500 $- $1,578,210 $- $- American River Bankshares Regional $228,800 $233,800 $172,500 $21,984,000 $22,010,000 $23,198,000 American Shared Hospital Services National $239,000 $274,000 $241,250 $19,714,000 $19,556,000 $18,700,000 Anaptysbio Inc Big 4 $562,000 $553,000 $523,000 $5,000,000 $10,000,000 $16,684,000 Anixa Biosciences Inc (formerly Itus Corp.) Regional $82,035 $81,125 $79,910 $1,112,500 $362,500 $300,000 Apex Global Brands Inc. (formerly Cherokee Inc.) Big 4 $715,000 $1,646,300 $491,169 $29,365,000 $34,022,000 $34,654,000 Apex Resources Inc. Regional $3,750 $3,750 $2,250 $94,264 $125,386 $125,269 Applied BioSciences Corp. Regional $41,000 $35,000 $9,500 $197,554 $45,554 $- APT Systems Inc Regional $27,000 $24,500 $7,000 $33 $49 $20,199 Arcus Biosciences, Inc. Big 4 $603,050 $1,312,690 $- $8,353,000 $- $- Ardelyx, Inc. Big 4 $909,200 $875,268 $721,240 $2,607,000 $42,000,000 $-
Type
2018
2017
2016
2018
2017
2016
Arena Pharmaceuticals Inc. Big 4 $725,725 $1,051,430 $1,053,730 $17,970,000 $21,337,000 $123,975,000 Aridis Pharmaceuticals, Inc. National $463,957 $145,181 $- $2,757,000 $860,000 $- Arizona Gold & Onyx Mining Co Regional $32,500 $7,500 $7,500 $- $- $- Armata Pharmaceuticals, Inc. (formerly Ampliphi
Biosciences Corp) Big 4 $270,000 $324,000 $448,595 $10,400,000 $115,000 $260,000 Arrowhead Research Corp. Regional $194,000 $195,000 $185,500 $16,142,300 $31,407,709 $158,333 Artelo Biosciences, Inc. Regional $51,235 $11,700 $9,500 $- $- $- Atara Biotherapeutics, Inc. Big 4 $950,000 $758,000 $603,000 $- $- $- Athena Silver Corp. Regional $24,500 $24,000 $23,850 $1,300,000 $1,300,000 $1,300,000 Atomera Inc National $147,000 $119,000 $178,000 $246,000 $110,000 $- Atyr Pharma Inc Big 4 $349,966 $386,131 $334,406 $- $- $- Audentes Therapeutics, Inc. Big 4 $1,187,000 $675,000 $742,475 $- $- $- Aura Systems Inc Regional $55,000 $82,500 $47,500 $2,600,000 $2,600,000 $183,032 Avalanche Biotechnologies, Inc. Big 4 $450,000 $485,000 $785,000 $1,612,000 $1,849,000 $1,455,000 Avinger Inc. National $808,511 $1,002,454 $1,065,220 $7,915,000 $9,934,000 $19,214,000 Axonics Modulation Technologies, Inc. National $283,291 $149,002 $- $707,000 $128,000 $- Barfresh Food Group Inc. National $71,985 $66,439 $53,208 $4,235,160 $1,997,012 $1,457,499 Bigfoot Project Investments Inc Regional $27,000 $18,500 $6,000 $2,827 $84,297 $2,236 Biocept Inc. National $423,826 $272,068 $214,236 $3,250,300 $5,068,663 $3,223,096 BioCorRx Inc. Regional $65,000 $57,000 $57,000 $376,656 $657,271 $701,772 Biolargo, Inc. Regional $79,600 $82,000 $75,000 $1,364,000 $516,000 $281,106 Biolase, Inc. National $277,186 $291,246 $244,650 $46,155,000 $46,926,000 $51,810,000 Biomerica Inc Regional $63,014 $64,619 $59,551 $5,564,180 $5,791,670 $5,139,816 Bionano Genomics, Inc Big 4 $1,020,000 $45,000 $- $12,000,700 $10,746,673 $- Biopharmx Corp Regional $304,000 $331,000 $291,000 $73,000 $100,000 $64,000 BioSig Technologies, Inc. Regional $75,000 $59,500 $58,000 $- $- $- BioSolar Inc Regional $23,000 $23,000 $23,000 $- $- $- Biotime Inc. National $604,000 $985,000 $682,536 $4,988,000 $3,458,000 $5,923,000 Biovie Inc. Regional $22,000 $12,000 $12,000 $- $- $- Broadvision Inc. National $245,528 $215,707 $233,189 $5,051,000 $6,357,000 $7,940,000 Broadway Financial Corp National $192,000 $195,000 $168,000 $12,427,000 $16,287,000 $15,290,000 Cadiz Inc. Big 4 $328,000 $270,000 $287,000 $440,000 $437,000 $412,000
Type
2018
2017
2016
2018
2017
2016
California First National Bancorp Regional $- $122,000 $107,000 $17,526,000 $26,313,000 $32,587,000 Calithera Biosciences, Inc. Big 4 $757,000 $775,000 $663,000 $22,254,000 $25,955,000 $- Cantabio Pharmaceuticals Inc. National $85,000 $86,000 $59,000 $- $- $- Capricor Therapeutics, Inc. Regional $97,000 $91,250 $89,150 $1,671,360 $2,666,340 $3,998,618 Catalyst Biosciences, Inc. National $339,600 $282,974 $208,250 $6,000 $1,018,000 $399,000 Catasys, Inc. National $156,100 $139,500 $80,000 $15,177,000 $7,717,000 $7,075,000 Cavitation Technologies, Inc. Regional $83,000 $68,000 $76,730 $1,303,000 $1,897,000 $1,798,217 Century Cobalt Corp. Regional $11,204 $9,600 $10,750 $- $- $- Cerebain Biotech Corp. Regional $33,000 $25,500 $13,500 $- $- $- Cesca Therapeutics Inc. National $357,000 $294,000 $364,000 $9,672,000 $14,525,000 $11,929,000 ChemoCentryx, Inc. Big 4 $998,497 $825,800 $422,600 $42,875,000 $82,497,000 $11,935,000 China Crawfish, Ltd. Regional $4,850 $7,250 $7,250 $- $- $- China WuYi Mountain, Ltd. Regional $13,300 $10,000 $- $- $- $- Chineseinvestors.com, Inc. Regional $72,277 $60,080 $25,000 $2,353,330 $1,667,977 $903,185 Chromadex Corp. National $350,000 $435,000 $331,000 $31,557,000 $21,201,482 $26,811,086 Cidara Therapeutics, Inc. Big 4 $658,767 $457,005 $491,268 $- $- $- Citadel Exploration, Inc. Regional $61,000 $47,000 $23,550 $1,066,310 $166,355 $107,071 Clean Energy Technologies, Inc. Regional $48,254 $50,528 $62,846 $1,331,170 $957,633 $2,047,333 Cohbar, Inc. National $125,322 $115,984 $107,263 $- $- $- Coherus Biosciences, Inc. Big 4 $1,865,300 $1,547,140 $1,807,260 $- $1,556,000 $190,106,000 ColorStars Group Regional $79,996 $18,375 $- $3,291 $18,851 $- Community West Bancshares National $253,435 $223,500 $252,500 $36,257,000 $40,341,000 $34,469,000 Conatus Pharmaceuticals Inc. Big 4 $502,275 $486,689 $409,089 $33,586,000 $35,376,796 $799,046 Concierge Technologies Inc Regional $333,191 $75,960 $41,000 $28,710,600 $32,011,121 $27,776,780 Corvus Pharmaceuticals, Inc. Big 4 $625,226 $675,140 $642,448 $- $- $- Crinetics Pharmaceuticals, Inc. National $732,652 $110,282 $- $2,428,000 $2,442,000 $- Cryoport, Inc. Regional $223,123 $85,500 $75,600 $19,626,500 $11,954,267 $5,900,000 Cure Pharmaceutical Holding Corp. Regional $85,811 $85,000 $85,510 $583,941 $180,404 $84,165 Cyberfort Software, Inc. Regional $32,500 $45,650 $9,250 $- $- $- Cymabay Therapeutics, Inc. Big 4 $1,573,450 $946,512 $699,838 $- $10,000,000 $- Cytokinetics Inc. Big 4 $1,376,741 $1,169,250 $1,069,380 $31,501,000 $13,368,000 $106,407,000
Type
2018
2017
2016
2018
2017
2016
Cytori Therapeutics, Inc. National $384,000 $378,000 $542,604 $6,654,000 $6,411,000 $11,380,000 Cytrx Corp. National $180,220 $425,210 $436,609 $250,000 $100,000 $200,000 Daily Journal Corp. Regional $285,000 $285,000 $268,000 $40,703,000 $41,384,000 $41,612,000 Dare Bioscience, Inc. National $188,560 $227,139 $428,783 $- $- $- Defense Technologies International Corp. Regional $17,600 $100,000 $50,000 $- $- $- Dermira, Inc. Big 4 $1,184,500 $1,320,800 $1,194,900 $42,339,000 $4,541,000 $22,585,000 Digital Development Partners, Inc. Regional $14,500 $14,500 $9,500 $- $- $- Digital Locations, Inc. Regional $63,500 $42,000 $42,000 $23,776 $- $- Digital Power Corp. National $610,564 $313,986 $129,545 $27,154,200 $10,175,000 $7,596,000 Driven Deliveries, Inc. Regional $22,500 $16,000 $15,500 $- $- $167,669 Durect Corp. Big 4 $1,105,320 $986,400 $987,798 $18,564,000 $49,170,000 $14,025,000 Dynavax Technologies Corp. Big 4 $1,442,680 $1,203,800 $1,300,800 $8,198,000 $327,000 $11,043,000 ECOMAT Inc. Regional $5,650 $5,350 $- $400,000 $400,000 $- Eidos Therapeutics, Inc. Big 4 $3,285,160 $694,000 $- $- $- $- Eiger Biopharmaceuticals, Inc. Big 4 $596,900 $400,000 $548,000 $- $- $- Ekso Bionics Holdings, Inc. National $375,961 $213,711 $357,211 $11,332,000 $7,353,000 $14,221,000 Emerald Bioscience, Inc. National $260,550 $135,000 $72,500 $- $- $- Endonovo Therapeutics, Inc. Regional $80,790 $77,050 $81,750 $83,263 $- $- Ener-Core Inc. Regional $- $122,000 $82,000 $1,100,000 $1,100,000 $- Energous Corp. National $170,542 $167,581 $167,349 $514,823 $1,154,009 $1,451,941 Enochian Biosciences Inc Regional $144,714 $56,474 $55,800 $- $- $42,769 Entest Group, Inc. Regional $15,000 $15,023 $15,000 $- $- $- Envision Solar International, Inc. Regional $69,900 $62,900 $60,500 $6,162,400 $1,412,042 $2,781,273 Equillium, Inc. Big 4 $638,989 $60,192 $- $- $- $- Evofem Biosciences, Inc Big 4 $838,547 $485,736 $256,209 $- $- $- Evoke Pharma Inc. National $142,594 $186,656 $138,596 $- $- $- Evolus, Inc. Big 4 $855,000 $635,000 $581,000 $- $- $- eWellness Healthcare Corp Regional $80,000 $82,590 $80,300 $- $- $- Fat Brands, Inc Regional $331,000 $205,000 $- $18,367,000 $2,173,000 $- Fate Therapeutics Inc. Big 4 $675,099 $464,676 $345,828 $4,740,000 $4,106,000 $4,402,000 First Colombia Development Corp. Regional $38,838 $10,000 $10,000 $1,000,000 $1,000,000 $1,000,000
Type
2018
2017
2016
2018
2017
2016
First Northern Community Bancorp National $243,835 $239,070 $235,802 $49,458,000 $46,466,000 $43,245,000 Firsthand Technology Value Fund, Inc. Regional $42,000 $40,000 $37,500 $3,467,840 $1,565,791 $878,023 Five Point Holdings, LLC Big 4 $2,157,000 $1,972,000 $3,685,000 $48,990,000 $139,431,000 $39,368,000 Five Prime Therapeutics Inc. Big 4 $1,592,100 $1,188,400 $1,241,640 $49,868,000 $39,508,000 $30,691,000 Flux Power Holdings, Inc. Regional $94,000 $90,000 $106,000 $4,118,000 $902,000 $558,000 Focus Universal Inc. Regional $16,000 $24,000 $46,633 $308,129 $898,084 $1,121,978 Foothills Exploration, Inc. Regional $64,775 $31,000 $42,000 $2,567,440 $155,161 $- Forge Innovation Development Corp. Regional $10,000 $11,000 $11,000 $36,000 $15,000 $15,000 Forty Seven, Inc. Big 4 $1,355,000 $342,000 $- $- $- $- Franklin Wireless Corp Regional $65,675 $67,020 $65,000 $30,065,800 $48,565,524 $59,804,694 Freeze Tag, Inc. Regional $43,000 $38,200 $27,700 $2,113,150 $2,217,975 $2,359,759 Friendable, Inc. Regional $52,950 $52,950 $54,950 $6,190 $8,694 $28,884 Fulgent Genetics, Inc. Big 4 $772,318 $701,516 $2,475,250 $21,351,000 $18,730,000 $18,276,000 Fuse Group Holding Inc. Regional $34,500 $25,000 $6,750 $- $- $25,175 Gala Pharmaceutical Inc. Regional $22,000 $18,250 $13,500 $4,675 $1,592 $1,592 Generation Alpha, Inc. Regional $173,070 $94,232 $98,775 $3,348,290 $8,975,840 $8,563,751 Generation Next Franchise Brands, Inc. Regional $80,268 $66,494 $13,122 $890,594 $1,117,999 $5,057,355 Genius Brands International, Inc. Regional $95,000 $74,000 $74,000 $993,452 $5,335,728 $866,875 Geron Corp. Big 4 $652,750 $490,000 $465,000 $1,066,000 $1,065,000 $6,162,000 Giga Tronics Inc. Regional $195,433 $168,250 $204,500 $9,800,000 $9,800,000 $14,596,000 Giggles N' Hugs, Inc. Regional $32,550 $52,000 $40,500 $2,431,900 $2,454,125 $3,023,494 Global Blood Therapeutics, Inc. Big 4 $895,035 $855,000 $455,000 $- $- $- Goliath Film & Media Holdings Regional $21,000 $20,000 $21,000 $- $250,000 $175,000 Gores Holdings III, Inc. Big 4 $140,500 $15,000 $- $- $- $- Gossamer Bio, Inc. Big 4 $1,162,830 $75,462 $- $- $- $- Graphene & Solar Technologies Ltd Regional $89,995 $10,000 $- $1,900,000 $1,900,000 $1,900,000 Green Envirotech Holdings Corp. Regional $27,000 $45,000 $24,000 $- $- $- Green Hygienics Holdings Inc. Regional $6,000 $3,000 $3,000 $- $- $- GreenBox POS Regional $12,000 $14,400 $12,600 $- $- $1,715,522 Greenkraft, Inc. Regional $27,800 $16,000 $21,000 $434,168 $1,153,429 $846,957 Gritstone Oncology, Inc. Big 4 $2,044,000 $281,000 $- $1,187,000 $- $- GSV Capital Corp. Big 4 $679,327 $736,000 $847,175 $- $- $-
Type
2018
2017
2016
2018
2017
2016
GT Biopharma, Inc. Regional $69,000 $64,000 $56,000 $5,800,000 $5,800,000 $5,800,000 GTX Corp Regional $90,642 $59,500 $43,000 $687,043 $538,388 $703,570 Guardion Health Sciences, Inc. Regional $100,990 $129,834 $84,426 $942,153 $437,349 $141,029 Hancock Jaffe Laboratories, Inc. National $103,195 $126,655 $192,142 $186,552 $551,847 $551,847 Harpoon Therapeutics, Inc. Big 4 $1,227,650 $315,499 $- $4,750,000 $708,000 $- Harrow Health, Inc. (formerly Imprimis
Pharmaceuticals, Inc.) Regional $189,426 $164,850 $151,999 $41,372,000 $26,774,000 $19,942,000 Hartford Great Health Corp. Regional $9,900 $9,000 $9,100 $- $- $- Heritage Global Inc. Regional $126,000 $126,000 $128,000 $23,664,000 $20,129,000 $23,781,000 HK EBUS Corp Regional $7,500 $6,500 $10,000 $- $- $- Holly Brothers Pictures, Inc. Regional $20,000 $9,773 $8,023 $- $- $- hopTo Inc. National $127,000 $131,600 $147,500 $3,153,400 $3,889,500 $4,001,300 HQDA Elderly Life Network Corp. Regional $25,000 $5,000 $4,000 $- $50,000 $- Humanigen, Inc Regional $238,000 $246,354 $250,140 $- $- $- Hypersolar, Inc. Regional $23,000 $23,000 $23,000 $- $- $- HypGen Inc Regional $15,900 $6,500 $2,000 $- $- $- HyreCar Inc. Regional $113,106 $47,068 $- $9,777,080 $4,432,732 $- ICOX Innovations Inc. Regional $41,000 $15,000 $11,000 $- $500,000 $- IGEN Networks Corp Regional $66,500 $50,600 $24,921 $1,198,880 $1,347,059 $1,143,117 Imageware Systems Inc National $396,000 $248,000 $202,000 $4,404,000 $4,293,000 $3,812,000 Imaging3 Inc Regional $58,500 $88,000 $84,400 $1,700,000 $41,829 $33,083 Inmune Bio, Inc. Regional $106,757 $68,345 $- $- $- $- Innerscope Hearing Technologies, Inc. Regional $28,606 $28,606 $20,583 $324,876 $470,626 $1,897,688 Innovative Industrial Properties Inc National $220,000 $183,000 $234,000 $14,787,000 $6,420,000 $321,000 Innovus Pharmaceuticals, Inc. Regional $65,775 $57,225 $46,380 $23,990,000 $8,816,000 $4,818,603 Inovio Pharmaceuticals, Inc. Big 4 $955,422 $895,861 $618,534 $30,481,900 $42,220,086 $35,368,361 Inpixon National $499,850 $453,894 $317,426 $3,756,000 $45,134,000 $52,561,000 Interdyne Co Regional $14,025 $11,796 $10,165 $- $- $- Intermolecular Inc. Regional $466,803 $468,602 $592,250 $33,660,000 $37,203,000 $47,298,000 International Land Alliance Inc. Regional $37,500 $28,500 $35,500 $- $- $- International Stem Cell CORP National $561,000 $415,000 $282,000 $11,089,000 $7,456,000 $7,165,000 I-ON Digital Corp. Regional $66,000 $38,000 $33,505 $7,091,650 $9,206,355 $1,954,428
Type
2018
2017
2016
2018
2017
2016
Iridex Corp. Regional $547,000 $591,000 $651,000 $42,600,000 $41,593,000 $46,158,000 Ishares Gold Trust Big 4 $61,800 $61,800 $61,800 $- $- $- Ishares S&P Gsci Commodity-Indexed Trust Big 4 $61,800 $61,800 $61,800 $24,497,200 $9,707,419 $2,294,340 Ishares Silver Trust Big 4 $61,800 $61,800 $101,800 $- $- $- iSign Solutions Inc. Regional $52,537 $42,222 $69,179 $917,000 $1,013,000 $1,065,000 Jaguar Animal Health, Inc. National $599,140 $594,909 $413,792 $4,416,140 $4,361,186 $141,523 Jakroo Inc. Regional $65,000 $71,855 $77,137 $10,975,300 $9,470,585 $9,354,365 Jubilant Flame International, Ltd Regional $13,500 $12,700 $7,700 $5,103 $- $- Kezar Life Sciences, Inc. Big 4 $912,800 $82,000 $- $- $- $- Kindred Biosciences, Inc. Regional $194,791 $109,450 $104,069 $1,966,000 $- $- Kiwa Bio-Tech Products Group Corp Regional $205,000 $135,000 $50,000 $30,650,400 $17,270,069 $9,620,929 Kodiak Sciences Inc. Big 4 $662,482 $2,074,570 $- $- $- $- Kura Oncology, Inc. Big 4 $460,717 $565,970 $289,908 $- $- $- La Jolla Pharmaceutical Co Regional $175,191 $145,471 $141,068 $10,056,000 $- $616,000 Lantronix Inc. Regional $151,500 $151,500 $151,500 $45,580,000 $44,730,000 $40,592,000 LGBTQ Loyalty Holdings, Inc. Regional $42,900 $27,500 $20,500 $2,574 $3,793 $12,055 Lion Biotechnologies, Inc. National $375,965 $331,148 $233,981 $- $- $- Liquidmetal Technologies Inc Regional $160,913 $178,024 $168,714 $532,000 $321,000 $480,000 Livexlive Media, Inc. Regional $232,000 $154,543 $- $7,195,000 $225,000 $- LRAD Corp. Regional $179,150 $127,371 $124,955 $26,306,800 $20,314,178 $16,361,005 MAKINGORG, INC. Regional $25,000 $16,000 $10,500 $- $54,605 $- Mannkind Corp. Big 4 $1,132,480 $1,143,260 $1,347,220 $27,859,000 $11,745,000 $174,758,000 Marijuana Co of America, Inc. Regional $38,384 $16,000 $12,500 $252,135 $26,830 $8,729 Marrone Bio Innovations Inc National $454,543 $1,525,220 $1,322,900 $21,220,000 $18,167,000 $14,042,000 MassRoots, Inc. Regional $94,000 $72,500 $71,500 $19,597 $319,242 $701,581 Mateon Therapeutics Inc. (Fka Oxigene Inc.) National $181,744 $213,095 $104,000 $100,000 $- $- Max Sound Corp. Regional $34,600 $75,600 $52,500 $- $- $- McorpCX, Inc. Regional $47,500 $44,500 $35,300 $3,987,200 $2,514,014 $1,637,671 Medicinova Inc. National $258,014 $287,452 $354,895 $- $- $- Mei Pharma, Inc. National $288,100 $197,000 $138,900 $1,622,000 $23,249,000 $- Mentor Capital, Inc. Regional $59,400 $51,405 $45,900 $5,281,530 $3,182,700 $2,761,245
Type
2018
2017
2016
2018
2017
2016
Merion, Inc. Regional $115,000 $79,000 $115,000 $379,026 $760,172 $910,766 Mirati Therapeutics, Inc. Big 4 $622,368 $412,797 $425,525 $12,926,000 $- $- Modular Medical, Inc. Regional $22,000 $6,800 $6,200 $- $- $- Moregain Pictures, Inc. Regional $33,600 $18,545 $15,085 $- $- $- Mosys, Inc. Regional $251,000 $227,000 $255,000 $16,600,000 $8,842,000 $6,024,000 Mount TAM Biotechnologies, Inc. Regional $72,500 $72,500 $72,500 $- $- $- MRI Interventions, Inc. Regional $151,200 $195,815 $229,225 $7,353,270 $7,379,525 $5,749,454 Mydx, Inc. Regional $45,000 $45,125 $29,150 $268,912 $379,666 $732,309 Mynd Analytics, Inc. National $165,100 $198,311 $- $1,315,500 $128,500 $85,100 Myokardia Inc Big 4 $2,051,000 $1,058,000 $1,066,700 $33,558,000 $22,500,000 $39,199,000 Nantkwest, Inc. Big 4 $854,967 $844,178 $768,831 $47,000 $45,000 $44,000 Nascent Biotech Inc. Regional $30,500 $35,300 $26,500 $- $3,000,000 $- Nate's Food Co. Regional $6,000 $31,150 $18,520 $3,255 $4,486 $29,250 Nebula Acquisition Corp Regional $72,000 $22,500 $- $- $- $- Netlist Inc. Regional $137,600 $152,640 $143,750 $33,529,000 $38,322,000 $19,655,000 NewBridge Global Ventures, Inc. Regional $29,500 $38,822 $37,000 $27,200 $29,200 $4,100,000 Novabay Pharmaceuticals, Inc. National $220,370 $222,721 $219,635 $12,508,000 $18,230,000 $11,897,000 Novus Therapeutics, Inc. Big 4 $541,000 $542,000 $415,000 $- $- $- Ntn Buzztime Inc. Regional $166,000 $152,000 $149,300 $23,335,000 $21,274,000 $22,312,000 Nuzee, Inc. Regional $105,267 $52,036 $43,922 $1,388,970 $1,425,163 $1,313,911 Oak Valley Bancorp National $221,122 $181,000 $149,500 $42,725,000 $41,221,000 $36,702,000 Oaktree Strategic Income Corp Big 4 $525,566 $544,163 $493,601 $33,290,700 $35,802,014 $- Obalon Therapeutics Inc Big 4 $534,575 $580,860 $968,040 $9,101,000 $9,914,000 $3,393,000 Odonate Therapeutics, Inc. Regional $109,383 $203,342 $32,559 $- $- $- Odyssey Group International, Inc. Regional $42,070 $34,400 $44,500 $37,452 $37,452 $37,452 Omnitek Engineering Corp Regional $36,190 $30,500 $30,000 $1,285,690 $1,074,213 $1,308,100 Oncocyte Corp National $168,170 $201,228 $248,435 $- $- $- Oncosec Medical Inc National $233,188 $176,550 $243,110 $- $- $- Oncternal Therapeutics, Inc. Big 4 $418,438 $345,453 $397,241 $12,400,000 $12,400,000 $12,400,000 Ondas Holdings Inc. Regional $107,300 $45,000 $10,000 $190,029 $274,403 $5,512 One Stop Systems, Inc. Regional $158,470 $205,372 $- $37,027,400 $26,725,949 $-
Type
2018
2017
2016
2018
2017
2016
OP Bancorp Regional $329,975 $150,000 $195,000 $49,019,000 $- $37,336,242 Opiant Pharmaceuticals, Inc. Regional $96,500 $56,000 $40,800 $13,982,200 $18,445,996 $9,897,595 Organovo Holdings, Inc. National $339,000 $290,600 $245,600 $4,603,000 $4,230,000 $1,483,000 Originclear, Inc. Regional $80,109 $73,891 $86,457 $4,637,700 $3,355,632 $5,071,095 Otonomy, Inc. Big 4 $463,000 $387,000 $460,000 $745,000 $1,236,000 $683,000 Pacific Green Technologies Inc. Regional $17,500 $23,000 $17,000 $1,995,000 $- $- Pacific Health Care Organization Inc Regional $56,161 $55,997 $57,011 $6,796,910 $6,505,527 $5,687,696 Pacific Ventures Group, Inc. Regional $10,500 $10,500 $20,000 $3,211,570 $4,420 $4,763 Parallax Health Sciences, Inc. Regional $95,000 $120,000 $160,000 $11,739 $94,937 $22,749,087 Patriot Scientific Corp Regional $51,100 $64,350 $75,350 $4,500,000 $4,500,000 $4,500,000 Pfenex Inc. Big 4 $460,000 $362,000 $362,600 $14,857,000 $28,780,000 $60,194,000 PharmaCyte Biotech, Inc. Regional $152,614 $132,702 $60,500 $1,200,000 $1,200,000 $1,200,000 Pierre Corp. Regional $19,500 $12,250 $8,425 $- $- $- Plumas Bancorp Regional $218,000 $179,000 $106,000 $40,967,000 $37,233,000 $32,752,000 Polar Power, Inc. Regional $133,854 $174,110 $66,500 $24,046,400 $14,418,726 $- Portola Pharmaceuticals Inc. Big 4 $2,594,000 $1,938,000 $1,563,000 $40,130,000 $22,546,000 $35,504,000 Pro Dex Inc. National $151,638 $172,038 $191,000 $22,465,000 $21,943,000 $20,158,000 Protagonist Therapeutics, Inc Big 4 $785,570 $930,250 $1,273,380 $30,925,000 $20,063,000 $- Proteo Inc Regional $75,000 $57,000 $56,000 $205,992 $199,293 $242,930 Pulse Biosciences, Inc. Big 4 $170,000 $87,000 $102,000 $- $- $- Pure Bioscience, Inc. National $164,000 $173,000 $154,000 $1,774,000 $1,831,000 $1,289,000 PureBase Corp Regional $68,000 $86,500 $80,000 $564,296 $484,706 $177,705 Qualstar Corp. Regional $78,250 $84,362 $128,235 $12,229,000 $10,641,000 $9,417,000 Quanta Inc Regional $37,000 $8,000 $- $- $- $- Quicklogic Corporation National $399,100 $393,500 $254,200 $12,629,000 $12,149,000 $11,421,000 Ra Medical Systems, Inc. Big 4 $1,604,420 $66,289 $- $6,257,000 $5,870,000 $- RC-1, Inc. Regional $28,500 $21,500 $21,500 $163,500 $155,000 $15,000 Regen BioPharma Inc Regional $15,046 $10,046 $5,023 $100,000 $110,000 $100,000 Rego Payment Architectures, Inc. Regional $70,000 $69,000 $67,000 $46,755 $- $1,050 Regulus Therapeutics Inc. Big 4 $569,000 $664,000 $407,000 $72,000 $72,000 $1,194,000 Reign Sapphire Corp Regional $71,000 $69,000 $18,500 $28,348 $38,434 $1,804,587
Type
2018
2017
2016
2018
2017
2016
Research Solutions, Inc. Regional $106,124 $88,140 $98,801 $28,018,400 $25,747,276 $34,363,945 Reshape Lifesciences Inc. Big 4 $1,046,000 $736,000 $- $606,710 $17,697,679 $22,801,494 Resonant Inc. Regional $240,059 $192,013 $210,846 $524,000 $653,000 $302,000 Restoration Robotics, Inc. National $552,664 $1,230,560 $122,251 $21,956,000 $21,297,000 $15,600,000 Reva Medical, Inc. National $- $523,000 $349,000 $265,000 $45,000 $- Revance Therapeutics, Inc. Big 4 $1,574,000 $752,645 $970,598 $3,729,000 $262,000 $300,000 Reven Housing Reit, Inc. Regional $148,000 $167,000 $88,000 $8,914,440 $7,817,709 $5,648,014 Reviv3 Procare Co Regional $42,500 $30,500 $- $933,218 $582,005 $- Rezolute, Inc. Regional $143,086 $122,271 $112,895 $- $- $- Rich Pharmaceuticals, Inc. Regional $18,000 $30,000 $61,175 $115,000 $115,000 $- Ridgefield Acquisition Corp Regional $16,000 $8,500 $8,750 $- $- $- Rigel Pharmaceuticals Inc. Big 4 $1,199,000 $1,054,000 $902,000 $44,509,000 $4,484,000 $20,383,000 Ritter Pharmaceuticals Inc National $130,000 $106,419 $167,049 $- $- $- RMR Industrials, Inc. Regional $102,600 $137,444 $34,806 $1,060,440 $418,981 $- Royale Energy, Inc. Regional $180,824 $184,352 $139,413 $3,283,040 $1,007,379 $- Salon Media Group Inc Regional $75,000 $115,000 $116,000 $4,537,000 $4,570,000 $6,959,000 Second Sight Medical Products Inc. Regional $117,500 $117,500 $124,716 $6,896,000 $7,964,000 $3,941,000 Semler Scientific, Inc. National $200,650 $186,425 $173,000 $21,491,000 $12,452,000 $7,434,000 Service Team Inc. Regional $39,000 $33,000 $30,500 $3,329,880 $3,673,673 $3,030,734 Seychelle Environmental Technologies Inc. Regional $68,080 $195,400 $65,000 $5,279,380 $4,378,436 $10,910,067 ShiftPixy, Inc. National $246,145 $118,800 $90,400 $34,958,700 $20,244,419 $8,460,653 Shotspotter, Inc Regional $340,830 $226,826 $200,057 $34,753,000 $23,763,000 $15,507,000 Sienna Biopharmaceuticals, Inc. Big 4 $693,000 $1,205,120 $281,000 $- $- $- Simlatus Corp Regional $35,500 $21,500 $32,489 $23,405 $68,955 $45,081 Simulations Plus Inc. Regional $242,590 $233,575 $122,655 $29,666,500 $24,137,913 $19,972,079 Social Capital Hedosophia Holdings Corp. National $54,848 $54,270 $- $- $- $- Social Reality, Inc. Regional $125,000 $100,000 $85,000 $9,880,610 $23,348,714 $35,763,047 Socket Mobile, Inc. Regional $95,000 $95,000 $92,000 $16,454,400 $21,285,800 $20,787,588 Soleno Therapeutics Inc National $334,092 $267,012 $307,670 $1,326,470 $1,452,788 $1,450,788 Sonoma Pharmaceuticals, Inc. National $246,700 $294,396 $221,000 $16,658,000 $12,825,000 $17,086,000 Sophiris Bio Inc. Big 4 $628,000 $428,000 $576,000 $- $238,000 $37,000
Type
2018
2017
2016
2018
2017
2016
Sorrento Therapeutics, Inc. Big 4 $2,213,740 $1,394,390 $660,950 $21,193,000 $151,856,000 $8,152,000 Source Capital Inc Big 4 $50,400 $41,905 $40,883 $- $- $- Star Alliance International Corp. Regional $15,200 $15,600 $7,350 $- $- $- Starco Brands, Inc. Regional $34,180 $31,000 $60,500 $126,162 $8,185 $445,965 Sugarmade, Inc. Regional $48,769 $157,910 $25,000 $4,439,320 $4,100,560 $4,348,256 Sunesis Pharmaceuticals Inc. Big 4 $488,509 $497,765 $608,930 $237,000 $669,000 $2,536,000 Sunstock, Inc. Regional $65,000 $55,000 $40,000 $414,565 $10,497 $54,036 Sutro Biopharma, Inc. Big 4 $1,645,380 $436,450 $- $38,419,000 $51,741,000 $- Synthorx, Inc. Big 4 $1,056,940 $75,852 $- $- $- $- Taitron Components Inc. Regional $71,000 $78,400 $64,670 $8,222,000 $7,622,000 $6,915,000 Tearlab Corp. National $275,000 $328,000 $323,500 $24,999,000 $26,263,000 $28,014,000 Tech Central, Inc. Regional $15,500 $15,100 $12,100 $38,950 $39,250 $95,392 Tejon Ranch Co Big 4 $676,725 $615,800 $548,579 $45,619,000 $35,657,000 $45,577,000 Terra Tech Corp. National $1,020,570 $435,875 $370,000 $31,333,600 $35,800,844 $25,327,763 Textmunication Holdings, Inc. Regional $18,000 $34,000 $32,000 $1,066,410 $943,739 $458,271 Therapeutic Solutions International, Inc. Regional $81,280 $80,000 $86,400 $3,484 $2,851 $5,009 Titan Pharmaceuticals Inc National $302,204 $210,824 $164,688 $6,618,000 $215,000 $15,065,000 Tocagen Inc Big 4 $469,900 $574,376 $850,513 $18,036,000 $41,000 $49,000 TOMI Environmental Solutions, Inc. Regional $108,000 $99,000 $94,000 $5,584,610 $4,993,668 $6,343,432 Toucan Interactive Corp Regional $1,000 $8,500 $7,000 $8,200 $8,200 $8,200 TPG RE Finance Trust, Inc. Big 4 $760,000 $555,000 $175,000 $1,307,000 $198,903,000 $153,631,000 TPT Global Tech, Inc. Regional $103,910 $130,000 $- $937,069 $2,115,160 $- Tracon Pharmaceuticals, Inc. Big 4 $343,053 $319,636 $375,022 $3,000,000 $8,755,000 $3,449,000 Tricida, Inc. Big 4 $2,381,170 $502,521 $- $- $- $- Trio-Tech International Regional $236,140 $229,020 $214,590 $42,361,000 $38,538,000 $34,454,000 Trovagene, Inc. National $226,646 $272,618 $275,952 $378,325 $505,404 $381,072 True Drinks Holdings, Inc. Regional $66,000 $94,800 $68,265 $1,947,050 $3,823,000 $- Truett-Hurst, Inc. Regional $346,000 $281,000 $281,000 $6,471,000 $21,536,000 $25,783,000 Twist Bioscience Corp Big 4 $2,133,250 $577,500 $- $25,427,000 $10,767,000 $- U.S. Lithium Corp. Regional $11,600 $10,000 $10,000 $- $- $- Unico American Corp. Regional $211,000 $206,000 $199,000 $33,612,800 $36,791,482 $35,267,724
Type
2018
2017
2016
2018
2017
2016
United Security Bancshares National $287,438 $202,865 $252,461 $40,281,000 $37,236,000 $33,987,000 United States 12 Month Natural Gas Fund, LP Regional $25,000 $25,000 $25,000 $624,970 $- $- United States 12 Month Oil Fund, LP Regional $45,000 $45,000 $45,000 $1,392,210 $889,110 $365,728 United States Brent Oil Fund, LP Regional $35,000 $35,000 $35,000 $1,284,170 $654,768 $290,408 United States Commodity Index Funds Trust Regional $165,000 $165,000 $165,000 $10,487,600 $4,132,628 $2,019,303 United States Diesel-Heating Oil Fund, LP Regional $25,000 $25,000 $25,000 $48,095 $33,539 $8,576 United States Gasoline Fund, LP Regional $45,000 $45,000 $45,000 $724,902 $460,679 $195,116 United States Natural Gas Fund, LP Regional $165,000 $165,000 $165,000 $- $- $- United States Short Oil Fund, LP Regional $25,000 $25,000 $25,000 $- $- $- Unity Biotechnology, Inc. Big 4 $1,884,000 $442,000 $- $1,382,000 $- $- US Nuclear Corp. Regional $60,000 $36,000 $37,000 $3,634,560 $3,415,043 $2,570,127 USCF Funds Trust Regional $50,000 $50,000 $- $115,370 $23,712 $- US-China Biomedical Technology, Inc. Regional $27,500 $10,000 $20,000 $- $- $- Vaxart, Inc. Big 4 $693,046 $411,351 $427,000 $4,159,000 $8,900,000 $9,300,000 Velt International Group Inc. Regional $10,000 $15,500 $17,500 $23,048 $657,839 $1,276,883 Verb Technology Company, Inc. Regional $57,000 $59,498 $31,890 $32,000 $6,000 $- Veritone, Inc. National $526,900 $687,700 $475,599 $27,047,000 $14,413,000 $8,911,000 Vet Online Supply Inc Regional $50,160 $17,500 $11,800 $5,379 $3,064 $1,096 Viaspace Inc. Regional $54,000 $63,000 $30,091 $93,000 $116,000 $205,000 Vical Inc. Big 4 $322,256 $442,765 $352,533 $1,622,000 $13,819,000 $14,531,000 Viking Therapeutics, Inc. National $163,662 $159,160 $155,921 $- $- $- Vistagen Therapeutics, Inc. National $216,041 $204,250 $197,180 $- $1,250,000 $- Vitality Biopharma, Inc. Regional $74,983 $50,301 $59,474 $102,419 $163,363 $248,348 Western Asset Mortgage Capital Corp. Big 4 $1,415,360 $1,498,250 $1,413,000 $- $- $- Xencor Inc. National $423,000 $500,000 $576,000 $40,603,000 $35,711,000 $87,520,000 XOMA Corp Big 4 $597,982 $792,543 $970,254 $5,299,000 $52,690,000 $5,564,000 XSUNX Inc. Regional $37,700 $37,700 $36,700 $665,017 $1,172,972 $750,556 YBCC, Inc. Regional $40,000 $41,385 $40,000 $2,248,250 $2,103,890 $1,130,743 Yew Bio-Pharm Group, Inc. Regional $96,000 $91,000 $86,000 $37,596,900 $40,539,690 $22,581,267 Zogenix, Inc. Big 4 $1,418,000 $1,429,000 $1,006,350 $- $9,821,000 $28,850,000 Zosano Pharma Corp. National $360,733 $200,518 $128,130 $- $- $-
