| Description of Property | Date Acquired | Cost or Other Basis | Prior Years' Depreciation | Computation Method | Rate / Life (# of years) |
Current Year's Depreciation Expense | Net Investment Income | Adjusted Net Income | Cost of Goods Sold Not Included |
|---|
| Name of Stock | End of Year Book Value | End of Year Fair Market Value |
|---|---|---|
| 37830 ACUSPHERE INC. | 1,844,198 | 2,648 |
| 577688 AEROGROW INT'L INC. | 1,121,719 | 687,449 |
| 18850 AGENUS INC. | 1,006,286 | 85,956 |
| 30196 AGENUS INC. | 88,684 | 137,694 |
| 72949 ALIEN TECHNOLOGY SER. A' | 208,113 | 104,317 |
| 6880 AMERICA'S SUPPLIERS INC. | 348,995 | 826 |
| 1228 AMERICAN INT'L GP WT EXP | 20,004 | 32,137 |
| 2300 AMERICAN INTERNATIONAL GR | 2,255,578 | 145,038 |
| 14407 ANI PHARMACEUTICAL | ||
| 146830 ARCA BIOPHARMA, INC. | 1,733,166 | 107,182 |
| 295900 ARRAY BIOPHARMA INC. | 1,275,345 | 1,515,008 |
| 22920 ASTEA INTERNATIONAL INC. | 251,546 | 59,592 |
| 5 BACTOLAC PHARMACEUTICAL INC. | 160,650 | 593,000 |
| 538649 BAROFOLD INC SER. A CV. | 199,300 | 199,300 |
| 169049 BAROFOLD INC SER. A CV. | 62,548 | 62,548 |
| 391566 BENECHILL INC. SER D CV | 650,000 | 391,566 |
| 473000 BIOCEPT, INC WARRANTS | 231,770 | |
| 473000 BIOCEPT, INC COMMON | 591,250 | 969,650 |
| 243900 BIOCRYST PHARMACEUTICAL | 1,299,997 | 2,192,661 |
| 722891 BIOPTIX DIAG SERIES B | 899,999 | 7,229 |
| 1944000 BIOPTIX DIAGNOSTICES C | 486,000 | 19,440 |
| 972000 BIOPTIX DIAG PFD WAR | ||
| 60000 BIOPTIX DIAG SERIES C PF | 150,000 | 6,000 |
| 300000 BIOPTIX SER C PFD WTS | ||
| 525251 CALIBER THERAPEUT B CV | 57,778 | 57,778 |
| 700335 CALIBER THER SERIES B | 77,037 | 77,037 |
| 2791187 CALIBER THER SERIES A1 | 307,031 | 307,031 |
| 1575752 CALIBER THERAPEUTICS B | 173,333 | 173,333 |
| 700344 CALIBER THERAPEUTICS WT | ||
| 77036.74 CALIBER THERA NOTES | 77,037 | 77,037 |
| 1876000 CALIENT TECH. SER 4 CV | 938,000 | 2,345,000 |
| 800000 CALIENT TECH. SER 5 CV | 600,000 | 1,000,000 |
| 513938 CALIENT TECH SER 6 PER | 416,290 | 642,423 |
| 702000 CALIENT TECH SER 7 CV | 877,500 | 877,500 |
| 276600 CAPSTONE THERAPEUTICS C | 1,250,076 | 41,767 |
| 58840 CARDIOVASCULAR SYSTEMS I | 673,998 | 806,108 |
| 431327 CARMENTA BIOSCIENCE | 107,832 | |
| 172000 CASTLE BIOSCIENCES SER | 1,001,178 | 1,001,178 |
| 50428 CATALYST BIOSCIENCES CS | 440,089 | 194,652 |
| 1880 CEL-SCI CORP. | 92,834 | 987 |
| 53571 CERECOR INC. UNITS | 900,000 | 307,498 |
| 10714 CERECOR INC. WTS | ||
| CERTES NETWORKS COMMON | ||
| 225000 CERTES NETWORKS SER A P | 225,000 | 225,000 |
| 296134 CERTES NETWORKS SER A P | 296,134 | 296,134 |
| 1 CGROWTH CAP INC COMMON | ||
| 81840 CHEMOCENTRYX | 930,940 | 572,062 |
| 25102 CIBER, INC. | 183,709 | 89,614 |
| 226000 CODEXIS INC. | 874,271 | 733,370 |
| 151000 COVALENT DATA SER A CV | 350,229 | 175,160 |
| 190747 CONTRAFECT COMMON | 914,177 | 774,433 |
| 383000 CORTEX PHARMACEUTICALS | 795,840 | 9,613 |
| 88400 CROSSROADS SYSTEMS, INC. | 1,054,245 | 121,992 |
| 645006 CUR MEDIA COMMON | 645,006 | 412,804 |
| 645000 CUR MEDIA COMMON | 322,494 | 412,800 |
| 62579 CYCLACEL PHARMACEUTICALS | 835,683 | 36,296 |
| 11000 DATA I/O CORP. | 60,500 | 33,000 |
| 49000 DIGI INTERNATIONAL INC. | 450,280 | 632,100 |
| 1260025 DR SEARS FAM. ESS. SER | 900,018 | 126,003 |
| 43146 EASIC CORP. COMMON | 927,438 | 32,360 |
| 102479 EASIC CORP. COMMON | 14,146 | 76,859 |
| 34159 EASIC CORP. SER A-2 | 32,645 | 179,335 |
| 9459 EASIC CORP. SER A-1 P | 130,575 | 709,425 |
| 19600 EDCI HOLDINGS, INC. | 326,064 | 7,252 |
| 196252 EDGE THERAPEUTIC | 870,100 | 3,508,986 |
| 9687 ENSERVCO CORP. | 32,645 | 5,328 |
| 635000 ENUMERAL BIOMEDICAL CS | 635,000 | 184,150 |
| 635000 ENUMERAL BIOMEDICAL WTS | ||
| 450000 ETUBICS UNITS EXPIRED | ||
| 450000 ETUBICS CON PFD NOTE | 450,000 | 450,000 |
| 77100 EVOKE PHARMACEUTICAL | 901,699 | 285,270 |
| 40000 EVOKE PHARMACEUTICAL | 222,250 | 148,000 |
| 195395 EVOTEC AG ADS | 2,235,113 | 1,712,442 |
| 88684 EXELIXIS INC. | 1,578,428 | 533,878 |
| 335000 FLUROFINDER CONV NOTE | ||
| 516240 FLUOROFINDER CL A | 245,833 | 245,833 |
| 1552441 FLUOROFINDER CL A-1 | 591,126 | 739,272 |
| 297640 FORCE10 SER. RE. ESCROW | 8,929 | |
| 54500 FORESTAR GROUP INC. | 1,282,556 | 771,175 |
| 163328 GENMARK DIAGNOSTICS, IN | 1,250,000 | 1,038,766 |
| 71500 GENMARK DIAGNOSTICES, IN | 349,635 | 454,740 |
| 13654 GOOD TIMES RESTAURANTS I | 284,495 | 80,968 |
| 138500 GTX, INC. | 1,399,767 | 146,810 |
| 19400 GTX, INC. | 11,414 | 20,564 |
| 420100 HARBOR DIVERSIFIED INC. | 1,165,104 | 37,809 |
| 79000 HEAT BIOLOGICS | 790,000 | 320,740 |
| 150000 HIBERNA CORP. COMMON | 150,000 | 9,000 |
| 2285000 HYPERACTIVE '08 SER C | 799,750 | 799,750 |
| 700000 HYPERACTIVE '10 SER D C | 245,000 | 245,000 |
| 319000 HYPERACTIVE '12 SER D C | 111,650 | 111,650 |
| 228500 HYPERATIVE SEC C PFD WT | ||
| 95700 HYPERACTIVE SEC D PFD WT | ||
| 1150000 IMTHERA MED, SER 1-A . | 1,145,607 | 4,140,000 |
| 230000 IMTHERA MED. SER 1-A | 230,000 | 828,000 |
| 75400 INCYTE CORP | 466,635 | 8,861,762 |
| 309492 INTEREACT911 SER PFD | 123,594 | 12,380 |
| 10600000 INTERACT911 SEC C-1 | ||
| 3500000 INTERACT911 SEC C-1 | ||
| 3500000 INTERACT911 WARRANTS S | ||
| 97200 KINDRED BIOSCIENCES INC. | 1,002,725 | 522,936 |
| 36000 KINDRED BIOSCIENCES INC. | 244,991 | 193,680 |
| 8680 KINROSS GOLD CORP. | 71,507 | 17,447 |
| 88500 LANDEC CORP | 279,218 | 1,088,550 |
| 58933 LANTRONIX INC. | 779,706 | 71,898 |
| 200000 LEAPFROG ENTERPRISES A | 787,880 | 160,000 |
| 128571 LEXICON PHARMA INC CL A | 885,987 | 1,222,710 |
| 520000 LINEAGEN INC SER C-1 PF | 520,000 | 520,000 |
| 26910 LIVE MICROSYSTEMS INC. | 1,140,033 | 10,495 |
| 49286 LPATH WARRANTS 3/9/17 | 110,400 | 2,464 |
| 566297 LPATH INC. COMMON | 2,855,338 | 103,859 |
| 57400 MAGNUM SEMICOND CV NOTE | 57,400 | 57,400 |
| 1496997 MAGNUM SEMI. SER E-1 | 1,634,786 | 1,796,396 |
| 250000 MARKET FORCE SER B CV P | 665,000 | 250,000 |
| 301524 MIRAGEN THERA SER A PRE | 904,572 | 1,335,751 |
| 50028 MIRAGEN THERA SER B PREF | 300,168 | 221,624 |
| 77154 MIRAGEN THERA SER C PFD | 341,793 | 341,792 |
| 42775 MOVE, INC. | ||
| 38190 MS & AD INSURANCE GROUP | 1,350,346 | 1,136,764 |
| 170000 MYREXIS, INC. | 477,685 | 18,700 |
| 81400 NEPHROGENEX INC COMMON | 976,800 | 247,456 |
| 1068000 NEUROTROPE SER A PFD | 1,068,000 | 598,080 |
| 2850824 NEW FRONTIER ENERGY IN | 644,030 | 5,702 |
| 575.3 NEW FRONTIER ENERGY SER | 99,120 | 1 |
| 1500 NEW FRONTIER SER B CV PFD | 313,990 | 2 |
| 1 NEWRON SPORT | ||
| 511000 NEXTIO INC. SER. E CV P | ||
| 107520 NEXTIO INC. SERIES F CV | ||
| 10077 NEXTIO WT. EXP 12/30/202 | ||
| 104800 OMEROS CORP. | 555,620 | 1,313,144 |
| 2200 OMEROS CORP. | 23,628 | 27,566 |
| 119000 ONCOGENEX PHARMACEUTICA | 1,101,292 | 246,330 |
| 290000 OSTENDO TECH | 731,820 | 730,800 |
| 57580 OVASCIENCE INC. COMMON | 403,469 | 746,813 |
| 177400 PAIN THERAPEUTICS INC. | 408,724 | 328,190 |
| 5314 PAION AG | 450,055 | 13,032 |
| 488383 PEERNOVA SER A-1 CV PFD | 781,510 | 781,510 |
| 369800 PEREGRINE PHARMACEUTICA | 634,242 | 414,176 |
| 114441.4 PEREGRINE SEMI | ||
| 22100 PHARMACYCLICS, INC. | ||
| 2014 PHOTOMEDEX, INC. | 366,788 | 967 |
| 9900 PLANAR SYSTEMS INC. | ||
| 700 PREMIER ALLI. GROUP SER D | ||
| 233334 PREMIER ALLIANCE GR WTS | 31,500 | |
| 123681 PREMIER ALLIANCE GR COM | ||
| 94900 PROGENICS PHARMACEUTICAL | 385,668 | 696,566 |
| 50546 QUALMARK CORP. | 394,916 | 6,571 |
| 1497999 QUANTIA INC SER A-2 CV | ||
| 3256000 QUANTIA INC SER B-1 CV | ||
| 896114 QUANTIA INC SER A-1 | ||
| 22998 RALLY SOFTWARE | ||
| 910746 RAPT MEDIA SER B PFD | 350,000 | 350,000 |
| 1300000 REFLEX SECURITY SER. B | ||
| 12600 REFLEX SECURITY SER. C C | ||
| 382066 REFLEX SYS LLC SER B | 15,265 | 38,206 |
| 2367693 REFLEX SYS LLC SER A | 236,769 | |
| 140000 RING ENERGY | 770,000 | 1,454,600 |
| 158645 ROOT9B TECH INC | 112,778 | 222,103 |
| 246000 SANGAMO BIOSCIENCES INC | 1,127,936 | 1,734,300 |
| 353900 SCICLONE PHARMACEUTICAL | 1,400,033 | 2,696,718 |
| 360000 SIGNAL GENETICS | 971,770 | 298,872 |
| 311213 SOLFOCUS INC. SER A 2 | ||
| 155700 SOLFOCUS INC. SER A | ||
| 184201 SOLFOCUS COMMON | ||
| 5884 SOLITARIO EXPL. & ROYALTY | 6,884 | 2,943 |
| 62725 SOMPO JAPAM NIPPONKOA | 1,817,571 | 1,817,582 |
| 80200 SORRENTO EXPLOR | 581,450 | 692,928 |
| 2954 STRASBAUGH | 21,886 | 89 |
| 5000 SUGGESTION BOX INC COM | 353,645 | 45 |
| 192.1 SUNIVA INC. SER. B CV P | ||
| 28.5 SUNIVA INC. SER. D CV PF | 359,955 | 34,360 |
| 112 SUNIVA INC. SER E CV P | 369,771 | 35,297 |
| SUNIVA INC. - SAFE | 185,913 | 380,526 |
| 10700 SUNRISE TELECOM, INC. | 20,066 | 326 |
| 700700 SYNCHR SER A CV PFD | 729,429 | 729,429 |
| 15602 SYNERON MEDICAL LTD. | 148,704 | 126,532 |
| 536377 TABULA INC. SER. D CV P | ||
| 100000 TABULA CONV PROM NOTE | 100,000 | 20,000 |
| 353000 TARGACEPT INC. COM | ||
| 381240 TARGACEPT PROM NOTE | 343,116 | 343,116 |
| 27928 TITAN PHARMACEUTICALS | 1,047,803 | 118,973 |
| 59000 TOKIO MARINE HOLDINGS IN | 896,155 | 2,293,979 |
| 740000 UR-ENERGY, INC. | 772,283 | 400,784 |
| 182000 UR-ENERGY, INC | 200,200 | 98,571 |
| 91000 UR-ENERGY, INC WTS | ||
| 31300 URSTADT BIDDLE PROP. (A) | 194,305 | 629,130 |
| 31300 URSTADT BIDDLE PREF COMM | 196,966 | 544,933 |
| 385841 VENAXIS, INC. | 2,880,831 | 109,965 |
| 16667 VENAXIS, INC. WTS | ||
| 203828.5 VERASTEM INC. COM | 1,499,050 | 375,044 |
| 78403 VERASTEM INC. COM | 491,088 | 144,262 |
| 250000 VERASTEM INC.COM | 441,499 | 460,000 |
| 1242 VERNALIS PLC | 498,746 | 2,744 |
| 81359 VIOLIN MEMORY COMMON | 960,000 | 130,988 |
| 1425192 VITAL ACCESS CORP SER | ||
| 278000 VITAL ACC CV PROM NOTE | ||
| 1930656 VITAL ACCESS A-1 PFD | 1,216,314 | 1,216,314 |
| 145619 VITAL ACCESS WTS | ||
| 41126 VITAL ACCESS WTS(KICKER) | ||
| 8666 VOLTARI COMMON | ||
| 8670 VOLTARI COMMON | ||
| 68000 YAMANASHI CHUO BANK | 709,115 | 320,620 |
| Category/ Item | Listed at Cost or FMV | Book Value | End of Year Fair Market Value |
|---|---|---|---|
| BOULDER VENTURES IV ANNEX, LP | AT COST | 159,975 | 356,853 |
| BOULDER VENTURES V, LP | AT COST | 1,544,822 | 1,877,077 |
| ORCHESTRA MEDICAL VENTURES II | AT COST | 1,918,473 | 1,917,091 |
| LONGWOOD FOUNDERS FUND LP | AT COST | 341,243 | 190,207 |
| SOFINNOVA HEALTHQUEST PARTNERS | AT COST | 148,905 | 560,323 |
| BOULDER VENTURES VI | AT COST | 787,061 | 703,247 |
| Description | Amount |
|---|---|
| Description | Revenue and Expenses per Books | Net Investment Income | Adjusted Net Income | Disbursements for Charitable Purposes |
|---|---|---|---|---|
| BOULDER VENTURES IV, ANNEX, LP | 1,739 | 1,739 | ||
| ORCHESTRA MEDICAL VENTURES II | 71,665 | 71,665 | ||
| BOULDER VENTURES V, LP | 63,925 | 63,925 | ||
| LONGWOOD VENTURES LP | 51,928 | 51,928 | ||
| SONFINNOVA HEALTHQUEST VENTURE | 63,130 | 63,130 | ||
| BOULDER VENTURES VI, LP | 52,939 | 52,939 |
| Description | Revenue And Expenses Per Books | Net Investment Income | Adjusted Net Income |
|---|---|---|---|
| REFLEX SYSTEMS, LLC |
| Category | Amount | Net Investment Income | Adjusted Net Income | Disbursements for Charitable Purposes |
|---|---|---|---|---|
| TAX PREPARATION | 19,000 | 18,800 | 200 | |
| AGENCY FEES | 107,007 | 107,007 |
| Category | Amount | Net Investment Income | Adjusted Net Income | Disbursements for Charitable Purposes |
|---|---|---|---|---|
| US EXCISE TAXES | 91,838 | |||
| FOREIGN TAXES | 10,618 | 10,618 |