0001535264-17-000060.txt : 20170814
0001535264-17-000060.hdr.sgml : 20170814
20170814093738
ACCESSION NUMBER: 0001535264-17-000060
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170630
FILED AS OF DATE: 20170814
DATE AS OF CHANGE: 20170814
EFFECTIVENESS DATE: 20170814
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: AWM Investment Company, Inc.
CENTRAL INDEX KEY: 0001535264
IRS NUMBER: 113086452
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-16479
FILM NUMBER: 171027742
BUSINESS ADDRESS:
STREET 1: 527 MADISON AVENUE
STREET 2: SUITE 2600
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-319-6670
MAIL ADDRESS:
STREET 1: 527 MADISON AVENUE
STREET 2: SUITE 2600
CITY: NEW YORK
STATE: NY
ZIP: 10022
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001535264
XXXXXXXX
06-30-2017
06-30-2017
AWM Investment Company, Inc.
527 MADISON AVENUE
SUITE 2600
NEW YORK
NY
10022
13F HOLDINGS REPORT
028-16479
N
Adam Stettner
Vice President
212-319-6670
/s/Adam Stettner
New York
NY
08-10-2017
0
92
565537
false
INFORMATION TABLE
2
inftable.xml
AWM 13F JUNE 2017
ARI Network Services, Inc.
common
001930205
2115
300000
SH
SOLE
300000
0
0
ASV Holdings Inc.
common
BBG00GLTQ
5909
725000
SH
SOLE
725000
0
0
Achaogen, Inc.
common
004449104
2829
130200
SH
SOLE
130200
0
0
Adesto Technologies Corp.
common
00687D101
8190
1800000
SH
SOLE
1800000
0
0
Adverum Biotechnologies, Inc.
common
00773U108
500
200000
SH
SOLE
200000
0
0
Aehr Test Systems
common
00760J108
4998
1332890
SH
SOLE
1332890
0
0
Aerovironment, Inc.
common
008073108
12731
333272
SH
SOLE
333272
0
0
American Superconductor, Corp.
common
030111207
7018
1519124
SH
SOLE
1519124
0
0
Aqua Metals, Inc.
common
03837J101
18331
1460637
SH
SOLE
1460637
0
0
Aratana Therapeutics, Inc.
common
03874P101
11478
1587620
SH
SOLE
1587620
0
0
Ardelyx, Inc.
common
039697107
510
100000
SH
SOLE
100000
0
0
Asure Software, Inc.
common
04649U102
2595
177624
SH
SOLE
177624
0
0
Atomera Incorporated
common
04965B100
3676
852985
SH
SOLE
852985
0
0
Aurinia Pharmaceuticals Inc.
common
05156V102
2161
352500
SH
SOLE
352500
0
0
Avinger, Inc.
common
053734109
516
1150000
SH
SOLE
1150000
0
0
AxoGen, Inc.
common
05463X106
5645
337006
SH
SOLE
337006
0
0
Bazaarvoice Inc.
common
073271108
3189
644230
SH
SOLE
644230
0
0
BioTelemetry, Inc.
common
090672106
3318
99189
SH
SOLE
99189
0
0
Boingo Wireless, Inc.
common
09739C102
5305
354591
SH
SOLE
354591
0
0
Broadwind Energy, Inc.
common
11161T108
7270
1442434
SH
SOLE
1442434
0
0
CEVA, Inc.
common
157210105
39857
876931
SH
SOLE
876931
0
0
CVD Equipment Corporation
common
126601103
3196
288700
SH
SOLE
288700
0
0
Christopher & Banks Corp.
common
171046105
982
749960
SH
SOLE
749960
0
0
Citi Trends, Inc.
common
17306X102
9125
430000
SH
SOLE
430000
0
0
Clearside Biomedical, Inc.
common
185063104
3657
401433
SH
SOLE
401433
0
0
Corium International Inc.
common
21887L107
16984
2276700
SH
SOLE
2276700
0
0
DSP Group, Inc.
common
23332B106
8626
743639
SH
SOLE
743639
0
0
Determine, Inc.
common
250660107
3871
1455220
SH
SOLE
1455220
0
0
Digimarc Corporation
common
25381B101
2169
54023
SH
SOLE
54023
0
0
ESSA Pharma Inc.
common
29668H104
792
1440269
SH
SOLE
1440269
0
0
Enservco Corp
common
29358Y102
1202
3839415
SH
SOLE
3839415
0
0
Everspin Technology, Inc.
common
30041T101
15104
755954
SH
SOLE
755954
0
0
Female Health Co.
common
314462102
630
600000
SH
SOLE
600000
0
0
Five Prime Therapeutics, Inc.
common
33830X104
3011
100000
SH
SOLE
100000
0
0
Health Insurance Innovations,
common
42225K106
2546
108347
SH
SOLE
108347
0
0
IZEA Inc. (F4)
common
46603N202
1945
1018216
SH
SOLE
1018216
0
0
Ideal Power, Inc.
common
451622104
2828
1346635
SH
SOLE
1346635
0
0
Identiv, Inc.
common
45170X205
3293
627271
SH
SOLE
627271
0
0
Impinj, Inc.
common
453204109
23694
487024
SH
SOLE
487024
0
0
Infusystem Holdings, Inc.
common
45685K102
2544
1413201
SH
SOLE
1413201
0
0
Intellicheck Mobilisa, Inc.
common
45817G201
6318
1628341
SH
SOLE
1628341
0
0
Iteris, Inc.
common
46564T107
3330
535369
SH
SOLE
535369
0
0
Juniper Pharmaceuticals, Inc
common
48203L107
505
100000
SH
SOLE
100000
0
0
Kopin Corporation
common
500600101
24765
6675282
SH
SOLE
6675282
0
0
Kornit Digital Ltd., Israel
common
M6372Q113
6774
350098
SH
SOLE
350098
0
0
Kratos Defense & Security Solu
common
50077B207
389
32807
SH
SOLE
32807
0
0
LRAD Corporation
common
50213V109
6743
3989757
SH
SOLE
3989757
0
0
LeMaitre Vascular Inc.
common
525558201
20743
664428
SH
SOLE
664428
0
0
LivePerson, Inc.
common
538146101
22149
2013578
SH
SOLE
2013578
0
0
Loxo Oncology, Inc.
common
548862101
12830
160000
SH
SOLE
160000
0
0
MCBC Holdings, Inc.
common
55276F107
8274
423232
SH
SOLE
423232
0
0
Manitex Int'l Inc.
common
563420108
3404
487682
SH
SOLE
487682
0
0
MaxLinear, Inc.
common
57776J100
7251
260000
SH
SOLE
260000
0
0
Microvision, Inc.
common
594960106
13997
6602231
SH
SOLE
6602231
0
0
NTN Buzztime, Inc.
common
629410309
2204
324191
SH
SOLE
324191
0
0
NV5 Global Inc.
common
62945V109
1452
34156
SH
SOLE
34156
0
0
NeoPhotonics Corporation
common
64051T100
17492
2265838
SH
SOLE
2265838
0
0
Neonode, Inc.
common
64051M402
3376
3126315
SH
SOLE
3126315
0
0
Netlist, Inc.
common
64118P109
5671
5560089
SH
SOLE
5560089
0
0
Ooma,Inc.
common
683416101
10752
1343950
SH
SOLE
1343950
0
0
Opko Health Inc.
common
68375N103
2303
350000
SH
SOLE
350000
0
0
OvaScience, Inc.
common
69014Q101
234
150000
SH
SOLE
150000
0
0
PC-Tel, Inc.
common
69325Q105
1943
274399
SH
SOLE
274399
0
0
Park Electrochemical Corp.
common
700416209
3629
197000
SH
SOLE
197000
0
0
Pfenex, Inc.
common
717071104
2259
563255
SH
SOLE
563255
0
0
Pfsweb, Inc.
common
717098206
12889
1560394
SH
SOLE
1560394
0
0
RADCOM Ltd.
common
M81865111
610
31500
SH
SOLE
31500
0
0
Rand logistics Inc.
common
752182105
128
328835
SH
SOLE
328835
0
0
Repligen Corporation
common
759916109
4973
120000
SH
SOLE
120000
0
0
Revolution Lighting Technologi
common
76155G107
6095
924941
SH
SOLE
924941
0
0
Roka Bioscience Inc.
common
BBG000P8K
352
132297
SH
SOLE
132297
0
0
Saia, Inc.
common
78709Y105
769
15000
SH
SOLE
15000
0
0
Sensus Healthcare, Inc
common
81728J109
1978
491938
SH
SOLE
491938
0
0
Sequans Communications - ADR
common
817323108
25577
7727240
SH
SOLE
7727240
0
0
SharpSpring, Inc.
common
784589202
2404
530734
SH
SOLE
530734
0
0
Sierra Oncology, Inc.
common
74346L101
585
500000
SH
SOLE
500000
0
0
Syros Pharmaceuticals, Inc.
common
87184Q107
1957
121624
SH
SOLE
121624
0
0
Tactile Systems Technology,
common
87357P100
15719
550000
SH
SOLE
550000
0
0
The Meet Group, Inc.
common
585141104
728
144096
SH
SOLE
144096
0
0
Trillium Therapeutics Corp.
common
89620X100
4415
1003522
SH
SOLE
1003522
0
0
Tuesday Morning Corporation
common
899035505
1235
650000
SH
SOLE
650000
0
0
Ultra Clean Holdings, Inc.
common
90385V107
16312
870000
SH
SOLE
870000
0
0
Verastem, Inc.
common
92337C104
109
50000
SH
SOLE
50000
0
0
Vocera Communications, Inc.
common
92857F107
12784
483857
SH
SOLE
483857
0
0
XCel Brands Inc.
common
98400M101
1312
430002
SH
SOLE
430002
0
0
Xactly Corporation
common
98386L101
734
46928
SH
SOLE
46928
0
0
Xplore Technologies, Corp.
common
983950700
301
154521
SH
SOLE
154521
0
0
argenx SE - ADR (Netherlands)
common
04016X101
2121
100000
SH
SOLE
100000
0
0
eMagin Corporation
common
29076N206
7989
3261000
SH
SOLE
3261000
0
0
Cellectar Biosciences @4.68 8/
warrants
15117F203
23
106600
SH
SOLE
106600
0
0
EyeGate Pharmaceuticals @10.62
warrants
30233M115
11
137092
SH
SOLE
137092
0
0
Sensus Healthcare, Inc @6.75 6
warrants
81728J117
297
494939
SH
SOLE
494939
0
0