0001535264-20-000030.txt : 20200213
0001535264-20-000030.hdr.sgml : 20200213
20200213160423
ACCESSION NUMBER: 0001535264-20-000030
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20191231
FILED AS OF DATE: 20200213
DATE AS OF CHANGE: 20200213
EFFECTIVENESS DATE: 20200213
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: 20610362
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
12-31-2019
12-31-2019
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
02-13-2020
0
92
511818
false
INFORMATION TABLE
2
inftable.xml
AWM 13F DEC 2019
Adesto Technologies Corp
common
00687D101
15977
1879651
SH
SOLE
1879651
0
0
Aehr Test Systems
common
00760J108
3797
1898524
SH
SOLE
1898524
0
0
Aemetis, Inc.
common
00770K202
149
178944
SH
SOLE
178944
0
0
Akoustis Technologies, Inc.
common
00973N102
6189
773611
SH
SOLE
773611
0
0
American Superconductor Corp
common
030111207
8747
1114328
SH
SOLE
1114328
0
0
Anchiano Therapeutics, Ltd.
common
03280X102
438
312980
SH
SOLE
312980
0
0
Aqua Metals, Inc.
common
03837J101
4198
5557906
SH
SOLE
5557906
0
0
Atomera Incorporated
common
04965B100
5111
1659450
SH
SOLE
1659450
0
0
Avid Bioservices, Inc.
common
05368M106
6467
843162
SH
SOLE
843162
0
0
Bellus Health, Inc. (Canada)
common
07987C105
11045
1461988
SH
SOLE
1461988
0
0
BioTelemetry, Inc.
common
090672106
2778
60000
SH
SOLE
60000
0
0
Boingo Wireless, Inc.
common
09739C102
5199
474821
SH
SOLE
474821
0
0
Broadwind Energy, Inc.
common
11161T207
2266
1365092
SH
SOLE
1365092
0
0
CEVA, Inc.
common
157210105
12671
470000
SH
SOLE
470000
0
0
CPI Aerostructures, Inc.
common
125919308
1066
158438
SH
SOLE
158438
0
0
CVD Equipment Corporation
common
126601103
835
259414
SH
SOLE
259414
0
0
CareDx, Inc.
common
14167L103
5069
235000
SH
SOLE
235000
0
0
Celsius Holdings, Inc.
common
15118V207
5045
1044459
SH
SOLE
1044459
0
0
Century Casinos, Inc.
common
156492100
8323
1050836
SH
SOLE
1050836
0
0
Citi Trends, Inc.
common
17306X102
8226
355808
SH
SOLE
355808
0
0
DSP Group, Inc.
common
23332B106
3142
199623
SH
SOLE
199623
0
0
Destination XL Group, Inc.
common
25065K104
365
285176
SH
SOLE
285176
0
0
Energy Recovery Inc.
common
29270J100
777
79400
SH
SOLE
79400
0
0
Enservco Corporation
common
29358Y102
473
2540068
SH
SOLE
2540068
0
0
Eton Pharmaceuticals, Inc.
common
29772L108
3722
516882
SH
SOLE
516882
0
0
Everspin Technology, Inc.
common
30041T104
8169
1553091
SH
SOLE
1553091
0
0
Exicure, Inc.
common
30205M101
13139
4594200
SH
SOLE
4594200
0
0
Gaia, Inc.
common
36269P104
6481
811151
SH
SOLE
811151
0
0
Genasys Incorporated
common
36872P103
15862
4850706
SH
SOLE
4850706
0
0
Graham Corp.
common
384556106
3473
158729
SH
SOLE
158729
0
0
IZEA Worldwide, Inc.
common
46604H105
539
2278000
SH
SOLE
2278000
0
0
Ideal Power, Inc.
common
451622203
29
12605
SH
SOLE
12605
0
0
Impinj, Inc.
common
453204109
12906
499077
SH
SOLE
499077
0
0
Infusystem Holdings, Inc.
common
45685K102
17060
2000000
SH
SOLE
2000000
0
0
Inspired Entertainment, Inc.
common
45782N108
6740
998543
SH
SOLE
998543
0
0
Iteris, Inc.
common
46564T107
1866
373859
SH
SOLE
373859
0
0
Kopin Corporation
common
500600101
2921
7282997
SH
SOLE
7282997
0
0
LeMaitre Vascular Inc.
common
525558201
11324
315000
SH
SOLE
315000
0
0
Limelight Networks, Inc.
common
53261M104
9058
2220000
SH
SOLE
2220000
0
0
LiqTech International, Inc.
common
53632A102
11953
2043290
SH
SOLE
2043290
0
0
LivePerson, Inc.
common
538146101
24336
657743
SH
SOLE
657743
0
0
Lovesac Company, The
common
54738L109
11925
743016
SH
SOLE
743016
0
0
Magal Security System, Ltd
common
2544056US
1484
395656
SH
SOLE
395656
0
0
Microvision, Inc.
common
594960304
4988
6927200
SH
SOLE
6927200
0
0
Millendo Therapeutics, Inc.
common
60040X103
4124
611900
SH
SOLE
611900
0
0
Mohawk Group Holdings, Inc.
common
608189106
2643
448704
SH
SOLE
448704
0
0
Myomo, Inc.
common
62857J102
112
373159
SH
SOLE
373159
0
0
NV5 Global, Inc.
common
62945V109
757
15000
SH
SOLE
15000
0
0
NeoPhotonics Corporation
common
64051T100
16773
1901722
SH
SOLE
1901722
0
0
Neonode, Inc.
common
64051M709
691
356210
SH
SOLE
356210
0
0
OPKO Health, Inc.
common
68375N103
1470
1000000
SH
SOLE
1000000
0
0
Ocean Power Technologies, Inc.
common
674870506
184
211891
SH
SOLE
211891
0
0
Ooma,Inc.
common
683416101
16577
1253006
SH
SOLE
1253006
0
0
OptimizeRx Corporation
common
68401U204
9777
952027
SH
SOLE
952027
0
0
OrthoPediatrics Corporation
common
68752L100
16531
351795
SH
SOLE
351795
0
0
PC-Tel, Inc.
common
69325Q105
1022
120698
SH
SOLE
120698
0
0
Pfsweb, Inc.
common
717098206
6999
1832185
SH
SOLE
1832185
0
0
Powerfleet, Inc.
common
73931J109
1302
200000
SH
SOLE
200000
0
0
Primo Water Corp.
common
74165N105
1931
172000
SH
SOLE
172000
0
0
Purple Innovation, Inc.
common
74640Y106
3484
400000
SH
SOLE
400000
0
0
QuickLogic Corporation
common
74837P108
1864
310690
SH
SOLE
310690
0
0
RADCOM, Ltd.
common
M81865111
4414
523553
SH
SOLE
523553
0
0
Reata Pharmaceuticals, Inc.
common
75615P103
15332
75000
SH
SOLE
75000
0
0
Repligen Corporation
common
759916109
11192
121000
SH
SOLE
121000
0
0
Sequans Communications S.A.
common
817323207
7197
2399001
SH
SOLE
2399001
0
0
SharpSpring, Inc.
common
820054104
6822
594798
SH
SOLE
594798
0
0
Spero Therapeutics, Inc.
common
84833T103
4561
474344
SH
SOLE
474344
0
0
Tactile Systems Technology
common
87357P100
8825
130714
SH
SOLE
130714
0
0
TravelCenters of America LLC
common
89421B109
496
28934
SH
SOLE
28934
0
0
Tuesday Morning Corporation
common
899035505
822
444300
SH
SOLE
444300
0
0
Turtle Beach Corporation
common
900450206
5061
535543
SH
SOLE
535543
0
0
Ultra Clean Holdings, Inc.
common
90385V107
12386
527721
SH
SOLE
527721
0
0
Veru,Inc.
common
92536C103
1675
500000
SH
SOLE
500000
0
0
Viemed Healthcare, Inc.
common
92663R105
6800
1086000
SH
SOLE
1086000
0
0
Vivint Solar, Inc.
common
92854q106
4423
609205
SH
SOLE
609205
0
0
Westport Fuel Systems Inc.
common
960908309
2033
857879
SH
SOLE
857879
0
0
Zagg, Inc.
common
98884U108
892
110000
SH
SOLE
110000
0
0
Zealand Pharma A/S (Denmark)
common
999999999
14489
410185
SH
SOLE
410185
0
0
Zealand Pharma A/S ADR(Denmark
common
98920Y304
663
19981
SH
SOLE
19981
0
0
argenx SE - ADR (Netherlands)
common
04016X101
15249
95000
SH
SOLE
95000
0
0
eMagin Corporation
common
29076N206
1545
4492624
SH
SOLE
4492624
0
0
voxeljet AG, ADR (Germany)
common
92912L107
5711
2785927
SH
SOLE
2785927
0
0
EyeGate Pharmaceuticals @10.62
warrants
30233M115
7
137092
SH
SOLE
137092
0
0
Ideal Power @.001 (pre-funded)
warrants
999999999
929
403828
SH
SOLE
403828
0
0
Ideal Power @2.32 11/13/24 9.9
warrants
999999999
510
504787
SH
SOLE
504787
0
0
Ocean Power Technologies @3.85
warrants
674870188
57
714280
SH
SOLE
714280
0
0
Sensus Healthcare, Inc @6.75 6
warrants
81728J117
13
130261
SH
SOLE
130261
0
0
Turtle Beach Corp. @0 pre-fund
warrants
999999999
5197
550000
SH
SOLE
550000
0
0
Verb Technology @3.443 4/9/24
warrants
92337U112
288
640000
SH
SOLE
640000
0
0
eMagin Corp @.78 10/9/19-10/9/
warrants
999999999
270
3000000
SH
SOLE
3000000
0
0
eMagin Corporation @.01 pre fu
warrants
999999999
1320
4000000
SH
SOLE
4000000
0
0
eMagin Corporation @1.55 1/29/
warrants
999999999
36
890000
SH
SOLE
890000
0
0
eMagin Corporation @2.45 5/24/
warrants
999999999
32
1625000
SH
SOLE
1625000
0
0