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PRINCETON CAPITAL MANAGEMENT INC

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13F filer, CIK 868911, PRINCETON, NJ

PRINCETON CAPITAL MANAGEMENT INC reported $152,868,000 across 75 holdings for the quarter ended 2016-09-30, in a 13F-HR filed 2016-11-03. Its ten largest share positions make up 35.82% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0000868911-16-000017

Period
2016-09-30
Reported value
$153M
Holdings
75
Top 10 weight
35.82%
New
2
Sold out
3

Largest buys vs the previous quarter

SecurityShares changeApprox. value
NXPIadded+21,940$2.24M
METAadded+6,041$775K
PCRXnew+16,565$567K
BMYadded+9,211$497K
GOOGLadded+367$295K

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Largest sells vs the previous quarter

SecurityShares changeApprox. value
FEI COexited-9,799-$1.05M
AAPLreduced-3,519-$398K
CREE INCreduced-14,625-$376K
GENERAL ELEC COreduced-8,821-$261K
BIOLASE INCreduced-135,410-$237K

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Holdings, Q3 2016

Share positions as resolved from 13F-HR 0000868911-16-000017, largest first. % of portfolio is the value over $152,869,000, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
GENERAL ELEC COGENERAL ELEC COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 230,530 shares; 2016Q1: 228,499 shares; 2016Q2: 222,787 shares; 2016Q3: 213,966 shares 213,966$6.34M4.15%-8,821
VZVERIZON COMMUNICATIONS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 123,397 shares; 2016Q1: 124,227 shares; 2016Q2: 123,272 shares; 2016Q3: 118,939 shares 118,939$6.18M4.04%-4,333Timeline
AMTAMERICAN TOWER CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 51,560 shares; 2016Q1: 50,481 shares; 2016Q2: 49,206 shares; 2016Q3: 48,671 shares 48,671$5.52M3.61%-535Timeline
GLWCORNING INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 283,486 shares; 2016Q1: 264,753 shares; 2016Q2: 233,417 shares; 2016Q3: 230,504 shares 230,504$5.45M3.57%-2,913Timeline
CSCOCISCO SYS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 162,414 shares; 2016Q1: 160,553 shares; 2016Q2: 172,938 shares; 2016Q3: 171,400 shares 171,400$5.44M3.56%-1,538Timeline
TAT&T INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 133,150 shares; 2016Q1: 136,885 shares; 2016Q2: 136,312 shares; 2016Q3: 132,511 shares 132,511$5.38M3.52%-3,801Timeline
GOOGLALPHABET INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 6,173 shares; 2016Q1: 6,022 shares; 2016Q2: 6,045 shares; 2016Q3: 6,412 shares 6,412$5.16M3.37%+367Timeline
MLMMARTIN MARIETTA MATLS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 29,462 shares; 2016Q1: 28,881 shares; 2016Q2: 28,236 shares; 2016Q3: 28,595 shares 28,595$5.12M3.35%+359Timeline
AMZNAMAZON COM INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 5,751 shares; 2016Q1: 5,830 shares; 2016Q2: 5,815 shares; 2016Q3: 6,092 shares 6,092$5.1M3.34%+277Timeline
MSFTMICROSOFT CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 80,341 shares; 2016Q1: 85,797 shares; 2016Q2: 87,777 shares; 2016Q3: 88,138 shares 88,138$5.08M3.32%+361Timeline
BABOEING COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 41,274 shares; 2016Q1: 40,147 shares; 2016Q2: 38,484 shares; 2016Q3: 38,369 shares 38,369$5.05M3.31%-115Timeline
UNPUNION PAC CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 51,418 shares; 2016Q1: 51,633 shares; 2016Q2: 51,459 shares; 2016Q3: 51,804 shares 51,804$5.05M3.3%+345Timeline
OLEDUNIVERSAL DISPLAY CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 87,713 shares; 2016Q1: 87,807 shares; 2016Q2: 84,243 shares; 2016Q3: 85,914 shares 85,914$4.77M3.12%+1,671Timeline
AAPLAPPLE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 45,434 shares; 2016Q1: 44,831 shares; 2016Q2: 43,694 shares; 2016Q3: 40,175 shares 40,175$4.54M2.97%-3,519Timeline
BMYBRISTOL-MYERS SQUIBB COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 74,899 shares; 2016Q1: 76,607 shares; 2016Q2: 72,516 shares; 2016Q3: 81,727 shares 81,727$4.41M2.88%+9,211Timeline
INTCINTEL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 92,593 shares; 2016Q1: 93,088 shares; 2016Q2: 117,761 shares; 2016Q3: 113,061 shares 113,061$4.27M2.79%-4,700Timeline
CCICROWN CASTLE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 40,043 shares; 2016Q1: 40,857 shares; 2016Q2: 44,184 shares; 2016Q3: 43,773 shares 43,773$4.12M2.7%-411Timeline
UPSUNITED PARCEL SVCS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 41,298 shares; 2016Q1: 39,006 shares; 2016Q2: 35,317 shares; 2016Q3: 34,939 shares 34,939$3.82M2.5%-378Timeline
QCOMQUALCOMM INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 48,095 shares; 2016Q1: 46,942 shares; 2016Q2: 46,136 shares; 2016Q3: 46,396 shares 46,396$3.18M2.08%+260Timeline
UISUNISYS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 194,873 shares; 2016Q1: 221,504 shares; 2016Q2: 288,934 shares; 2016Q3: 315,626 shares 315,626$3.07M2.01%+26,692Timeline
GOOGALPHABET INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 4,493 shares; 2016Q1: 4,342 shares; 2016Q2: 4,126 shares; 2016Q3: 3,838 shares 3,838$2.98M1.95%-288Timeline
NXPINXP SEMICONDUCTORS N VQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: not reported; 2016Q1: not reported; 2016Q2: 7,165 shares; 2016Q3: 29,105 shares 29,105$2.97M1.94%+21,940Timeline
PFEPFIZER INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: not reported; 2016Q1: 78,219 shares; 2016Q2: 89,736 shares; 2016Q3: 87,055 shares 87,055$2.95M1.93%-2,681Timeline
CANADIAN PACIFIC RAILWAYSCANADIAN PACIFIC RAILWAYSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 29,520 shares; 2016Q1: 28,826 shares; 2016Q2: 18,806 shares; 2016Q3: 18,616 shares 18,616$2.84M1.86%-190
METAMETA PLATFORMS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: not reported; 2016Q1: 14,215 shares; 2016Q2: 13,718 shares; 2016Q3: 19,759 shares 19,759$2.53M1.66%+6,041Timeline
NVONOVO-NORDISK A SQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 23,604 shares; 2016Q1: 45,211 shares; 2016Q2: 56,944 shares; 2016Q3: 57,771 shares 57,771$2.4M1.57%+827Timeline
AXTIAXT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 470,350 shares; 2016Q1: 467,250 shares; 2016Q2: 466,550 shares; 2016Q3: 443,150 shares 443,150$2.3M1.5%-23,400Timeline
VRTXVERTEX PHARMACEUTICALS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 24,968 shares; 2016Q1: 25,277 shares; 2016Q2: 25,322 shares; 2016Q3: 25,549 shares 25,549$2.23M1.46%+227Timeline
AALAMERICAN AIRLINES GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 61,992 shares; 2016Q1: 60,774 shares; 2016Q2: 59,195 shares; 2016Q3: 60,070 shares 60,070$2.2M1.44%+875Timeline
UALUNITED AIRLS HLDGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 77,227 shares; 2016Q1: 75,610 shares; 2016Q2: 38,859 shares; 2016Q3: 40,384 shares 40,384$2.12M1.39%+1,525Timeline
UEICUNIVERSAL ELECTRS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 36,768 shares; 2016Q1: 26,664 shares; 2016Q2: 25,742 shares; 2016Q3: 23,698 shares 23,698$1.76M1.15%-2,044Timeline
CATCATERPILLAR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 19,362 shares; 2016Q1: 19,611 shares; 2016Q2: 20,963 shares; 2016Q3: 19,798 shares 19,798$1.76M1.15%-1,165Timeline
FARO TECHNOLOGIES INCFARO TECHNOLOGIES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 45,511 shares; 2016Q1: 47,278 shares; 2016Q2: 47,872 shares; 2016Q3: 48,302 shares 48,302$1.74M1.14%+430
IPGPIPG PHOTONICS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 12,498 shares; 2016Q1: 12,808 shares; 2016Q2: 17,625 shares; 2016Q3: 19,635 shares 19,635$1.62M1.06%+2,010Timeline
VMCVULCAN MATLS COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 12,800 shares; 2016Q1: 12,645 shares; 2016Q2: 12,634 shares; 2016Q3: 13,669 shares 13,669$1.55M1.02%+1,035Timeline
MPWRMONOLITHIC PWR SYS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: not reported; 2016Q1: not reported; 2016Q2: 18,644 shares; 2016Q3: 17,955 shares 17,955$1.45M0.95%-689Timeline
DEDEERE & COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 29,967 shares; 2016Q1: 14,898 shares; 2016Q2: 14,800 shares; 2016Q3: 13,097 shares 13,097$1.12M0.73%-1,703Timeline
NEOPHOTONICS CORPNEOPHOTONICS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 69,625 shares; 2016Q1: 69,625 shares; 2016Q2: 71,150 shares; 2016Q3: 64,800 shares 64,800$1.06M0.69%-6,350
ANALOGIC CORPANALOGIC CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 13,147 shares; 2016Q1: 12,597 shares; 2016Q2: 12,197 shares; 2016Q3: 11,747 shares 11,747$1.04M0.68%-450
INCYINCYTE CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: not reported; 2016Q1: not reported; 2016Q2: 10,309 shares; 2016Q3: 9,827 shares 9,827$927K0.61%-482Timeline
SENOMYX INCSENOMYX INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 243,115 shares; 2016Q1: 236,515 shares; 2016Q2: 242,315 shares; 2016Q3: 217,540 shares 217,540$927K0.61%-24,775
CREE INCCREE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 54,354 shares; 2016Q1: 46,885 shares; 2016Q2: 50,520 shares; 2016Q3: 35,895 shares 35,895$923K0.6%-14,625
INFINERA CORPINFINERA CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 11,475 shares; 2016Q1: 28,375 shares; 2016Q2: 83,036 shares; 2016Q3: 102,103 shares 102,103$922K0.6%+19,067
REGNREGENERON PHARMACEUTICALSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: not reported; 2016Q1: 811 shares; 2016Q2: 1,951 shares; 2016Q3: 2,235 shares 2,235$899K0.59%+284Timeline
ENTGENTEGRIS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 55,800 shares; 2016Q1: 55,874 shares; 2016Q2: 56,874 shares; 2016Q3: 51,524 shares 51,524$898K0.59%-5,350Timeline
DYDYCOM INDS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: not reported; 2016Q1: 6,935 shares; 2016Q2: 6,931 shares; 2016Q3: 10,479 shares 10,479$857K0.56%+3,548Timeline
OPHTHOTECH CORPOPHTHOTECH CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 9,550 shares; 2016Q1: 9,562 shares; 2016Q2: 18,452 shares; 2016Q3: 18,486 shares 18,486$853K0.56%+34
SCANA CORP NEWSCANA CORP NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 9,987 shares; 2016Q1: 11,531 shares; 2016Q2: 12,128 shares; 2016Q3: 11,378 shares 11,378$823K0.54%-750
MENTOR GRAPHICS CORPMENTOR GRAPHICS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 32,925 shares; 2016Q1: 32,925 shares; 2016Q2: 30,975 shares; 2016Q3: 28,800 shares 28,800$761K0.5%-2,175
RED HAT INCRED HAT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: not reported; 2016Q1: 5,380 shares; 2016Q2: 6,945 shares; 2016Q3: 8,931 shares 8,931$722K0.47%+1,986
QRVOQORVO INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 8,172 shares; 2016Q1: 8,288 shares; 2016Q2: 8,275 shares; 2016Q3: 11,069 shares 11,069$617K0.4%+2,794Timeline
PCRXPACIRA BIOSCIENCES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: not reported; 2016Q1: not reported; 2016Q2: not reported; 2016Q3: 16,565 shares 16,565$567K0.37%newTimeline
EASTERLY GOVERNMENT PROPERT…EASTERLY GOVERNMENT PROPERTIESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: not reported; 2016Q1: 16,001 shares; 2016Q2: 19,847 shares; 2016Q3: 29,372 shares 29,372$560K0.37%+9,525
DUKDUKE ENERGY CORP NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 4,375 shares; 2016Q1: 5,964 shares; 2016Q2: 6,572 shares; 2016Q3: 6,547 shares 6,547$524K0.34%-25Timeline
SGMOQSANGAMO THERAPEUTICS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 127,395 shares; 2016Q1: 124,395 shares; 2016Q2: 124,395 shares; 2016Q3: 107,145 shares 107,145$496K0.32%-17,250Timeline
SUMMIT MATERIALS INC CLASS ASUMMIT MATERIALS INC CLASS AQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: not reported; 2016Q1: 15,292 shares; 2016Q2: 15,666 shares; 2016Q3: 25,967 shares 25,967$482K0.32%+10,301
ACIWACI WORLDWIDE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: not reported; 2016Q1: not reported; 2016Q2: 26,720 shares; 2016Q3: 23,445 shares 23,445$454K0.3%-3,275Timeline
MAXWELL TECHNOLOGIES INCMAXWELL TECHNOLOGIES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 98,110 shares; 2016Q1: 94,935 shares; 2016Q2: 94,935 shares; 2016Q3: 84,215 shares 84,215$435K0.28%-10,720
MESOBLAST LTD F SP…MESOBLAST LTD F SPONSORE…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 46,829 shares; 2016Q1: 46,467 shares; 2016Q2: 109,382 shares; 2016Q3: 96,995 shares 96,995$418K0.27%-12,387
MorphosysMorphosysQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 39,440 shares; 2016Q1: 33,680 shares; 2016Q2: 10,236 shares; 2016Q3: 9,626 shares 9,626$404K0.26%-610
TROVAGENE INCTROVAGENE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: not reported; 2016Q1: not reported; 2016Q2: 69,270 shares; 2016Q3: 84,670 shares 84,670$380K0.25%+15,400
MRKMERCK & CO INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 4,324 shares; 2016Q1: 5,808 shares; 2016Q2: 6,393 shares; 2016Q3: 5,993 shares 5,993$374K0.24%-400Timeline
IRMIRON MTN INC DELQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: not reported; 2016Q1: 6,282 shares; 2016Q2: 8,997 shares; 2016Q3: 7,897 shares 7,897$296K0.19%-1,100Timeline
BIOLASE INCBIOLASE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 341,958 shares; 2016Q1: 300,833 shares; 2016Q2: 300,829 shares; 2016Q3: 165,419 shares 165,419$289K0.19%-135,410
DDOMINION ENERGY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: not reported; 2016Q1: 3,289 shares; 2016Q2: 3,845 shares; 2016Q3: 3,845 shares 3,845$286K0.19%0Timeline
NVZMYNOVOZYMES NOVOZYMES B ADR (DNKQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 8,675 shares; 2016Q1: 8,075 shares; 2016Q2: 7,300 shares; 2016Q3: 6,225 shares 6,225$274K0.18%-1,075Timeline
MCKMCKESSON CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 1,200 shares; 2016Q1: not reported; 2016Q2: 1,200 shares; 2016Q3: 1,200 shares 1,200$200K0.13%0Timeline
ALOTASTRONOVA INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 13,500 shares; 2016Q1: 13,400 shares; 2016Q2: 13,400 shares; 2016Q3: 11,400 shares 11,400$169K0.11%-2,000Timeline
AXOVANT SCIENCES LTDAXOVANT SCIENCES LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: not reported; 2016Q1: not reported; 2016Q2: not reported; 2016Q3: 10,380 shares 10,380$145K0.09%new
MVISMICROVISION INC DELQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 58,714 shares; 2016Q1: 83,577 shares; 2016Q2: 88,277 shares; 2016Q3: 82,764 shares 82,764$114K0.07%-5,513Timeline
HARRIS & HARRIS GROUP INCHARRIS & HARRIS GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 48,200 shares; 2016Q1: 48,200 shares; 2016Q2: 48,200 shares; 2016Q3: 42,600 shares 42,600$59K0.04%-5,600
CYTORI THERAPEUTICS INCCYTORI THERAPEUTICS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: not reported; 2016Q1: not reported; 2016Q2: 32,296 shares; 2016Q3: 28,815 shares 28,815$58K0.04%-3,481
TERRAVIA HOLDINTERRAVIA HOLDINQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: not reported; 2016Q1: not reported; 2016Q2: 25,875 shares; 2016Q3: 20,350 shares 20,350$56K0.04%-5,525
DYAIDYADIC INTL INC DELQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 22,700 shares; 2016Q1: 22,700 shares; 2016Q2: 22,700 shares; 2016Q3: 17,700 shares 17,700$27K0.02%-5,000Timeline
Microvision Warrants - exp …Microvision Warrants - exp 11/15/…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: 176,650 shares; 2016Q1: 176,650 shares; 2016Q2: 176,650 shares; 2016Q3: 176,650 shares 176,650$2K<0.01%0

Sold out in Q3 2016

Positions in the previous quarter's report that this quarter's report no longer lists.

SecurityShares beforeValue beforeType
FEI COFEI CO9,799$1.05Mshares
OSIRIS THERAPEUTICS INC NEWOSIRIS THERAPEUTICS INC NEW34,825$177Kshares
OTONOMY INCOTONOMY INC10,425$166Kshares

How Q3 2016 was built

Available 13F filings of this filer for the quarter and their roles: the base report is the latest original or restatement, NEW HOLDINGS amendments filed after it are added (method).

FilingRoleAmendmentFiledAcceptedIngested
13F-HR 0000868911-16-000017 base2016-11-03acceptance time not in the bulk data set