Executive Vice President

0001535264-20-000036.txt : 20200515 0001535264-20-000036.hdr.sgml : 20200515 20200515111429 ACCESSION NUMBER: 0001535264-20-000036 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200515 DATE AS OF CHANGE: 20200515 EFFECTIVENESS DATE: 20200515 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: 20882104 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 true 0001535264 XXXXXXXX 03-31-2020 03-31-2020 AWM Investment Company, Inc.

527 MADISON AVENUE SUITE 2600 NEW YORK NY 10022

13F HOLDINGS REPORT 028-16479 N David Greenhouse Executive Vice President 212-319-6670 /s/ David Greenhouse New York NY 05-15-2020 0 94 377134 false INFORMATION TABLE 2 inftable.xml AWM 13F MARCH 2020 Adesto Technologies Corp common 00687D101 8907 795946 SH SOLE 795946 0 0 Aehr Test Systems common 00760J108 3171 1898524 SH SOLE 1898524 0 0 American Superconductor Corp common 030111207 6205 1132314 SH SOLE 1132314 0 0 Anchiano Therapeutics, Ltd. - common 03280X102 124 158123 SH SOLE 158123 0 0 Aqua Metals, Inc. common 03837J101 1520 3376647 SH SOLE 3376647 0 0 Atomera Incorporated common 04965B100 5803 1657938 SH SOLE 1657938 0 0 Avid Bioservices, Inc. common 05368M106 3727 729332 SH SOLE 729332 0 0 Bellus Health Inc. common 07987C204 1377 138012 SH SOLE 138012 0 0 Bellus Health, Inc. (Canada) R common 07987C204 14535 1461988 SH SOLE 1461988 0 0 BioTelemetry, Inc. common 090672106 1868 48500 SH SOLE 48500 0 0 Boingo Wireless, Inc. common 09739C102 4513 425316 SH SOLE 425316 0 0 Broadwind Energy, Inc. common 11161T207 1932 1380092 SH SOLE 1380092 0 0 CEVA, Inc. common 157210105 11293 453000 SH SOLE 453000 0 0 CPI Aerostructures, Inc. common 125919308 356 158438 SH SOLE 158438 0 0 CVD Equipment Corporation common 126601103 617 259414 SH SOLE 259414 0 0 CareDx, Inc. common 14167L103 1762 80700 SH SOLE 80700 0 0 Celsius Holdings, Inc. common 15118V207 3684 875050 SH SOLE 875050 0 0 Century Casinos, Inc. common 156492100 2505 1039336 SH SOLE 1039336 0 0 Chembio Diagnostics Inc. common 163572209 2688 525000 SH SOLE 525000 0 0 Citi Trends, Inc. common 17306X102 2648 297536 SH SOLE 297536 0 0 DSP Group, Inc. common 23332B106 1397 104237 SH SOLE 104237 0 0 Destination XL Group, Inc. common 25065K104 100 285176 SH SOLE 285176 0 0 Eton Pharmaceuticals, Inc. common 29772L108 4169 1016882 SH SOLE 1016882 0 0 Everspin Technology, Inc. common 30041T104 4401 1679723 SH SOLE 1679723 0 0 Exicure, Inc. common 30205M101 5982 4042200 SH SOLE 4042200 0 0 Gaia, Inc. common 36269P104 6876 774271 SH SOLE 774271 0 0 Genasys Incorporated common 36872P103 15757 4818706 SH SOLE 4818706 0 0 Glu Mobile Inc. common 379890106 182 28956 SH SOLE 28956 0 0 IZEA Worldwide, Inc. common 46604H105 454 2268000 SH SOLE 2268000 0 0 Ideal Power, Inc. common 451622203 52 27605 SH SOLE 27605 0 0 Impinj, Inc. common 453204109 8896 532377 SH SOLE 532377 0 0 Infusystem Holdings, Inc. common 45685K102 16980 2000000 SH SOLE 2000000 0 0 Inspired Entertainment, Inc. common 45782N108 2895 856594 SH SOLE 856594 0 0 Iteris, Inc. common 46564T107 1137 355359 SH SOLE 355359 0 0 K12 Inc. common 48273U102 660 35000 SH SOLE 35000 0 0 Kopin Corporation common 500600101 2571 7361611 SH SOLE 7361611 0 0 LeMaitre Vascular Inc. common 525558201 5732 230000 SH SOLE 230000 0 0 Limelight Networks, Inc. common 53261M104 11957 2097688 SH SOLE 2097688 0 0 LiqTech International, Inc. common 53632A102 8766 2043290 SH SOLE 2043290 0 0 LivePerson, Inc. common 538146101 16366 719366 SH SOLE 719366 0 0 Lovesac Company, The common 54738L109 4250 729016 SH SOLE 729016 0 0 Magal Security System, Ltd common M6786D104 1163 395656 SH SOLE 395656 0 0 Microvision, Inc. common 594960304 790 4581322 SH SOLE 4581322 0 0 Millendo Therapeutics, Inc. common 60040X103 3231 611900 SH SOLE 611900 0 0 Misonix,Inc. common 604871103 1911 202901 SH SOLE 202901 0 0 Mohawk Group Holdings, Inc. common 608189106 390 239558 SH SOLE 239558 0 0 NV5 Global, Inc. common 62945V109 413 10000 SH SOLE 10000 0 0 NeoPhotonics Corporation common 64051T100 13787 1901722 SH SOLE 1901722 0 0 Neonode, Inc. common 64051M709 630 356210 SH SOLE 356210 0 0 OneWater Marine, Inc. - CL A common 68280L101 1394 182240 SH SOLE 182240 0 0 Ooma,Inc. common 683416101 14984 1256021 SH SOLE 1256021 0 0 OptimizeRx Corporation common 68401U204 8914 983866 SH SOLE 983866 0 0 OrthoPediatrics Corporation common 68752L100 11182 282095 SH SOLE 282095 0 0 Pfsweb, Inc. common 717098206 5443 1814185 SH SOLE 1814185 0 0 Powerfleet, Inc. common 73931J109 657 190000 SH SOLE 190000 0 0 Primo Water Corp. common 74167P108 554 61142 SH SOLE 61142 0 0 Profound Medical Corp. (U.S.) common 74319B502 3399 348939 SH SOLE 348939 0 0 Purple Innovation, Inc. common 74640Y106 1098 193313 SH SOLE 193313 0 0 QuickLogic Corporation common 74837P405 882 310690 SH SOLE 310690 0 0 RADA Electronic Industries,Ltd common M81863124 3500 1000000 SH SOLE 1000000 0 0 RADCOM, Ltd. (Israel) common M81865111 3516 578312 SH SOLE 578312 0 0 Reata Pharmaceuticals, Inc. common 75615P103 8660 60000 SH SOLE 60000 0 0 Repligen Corporation common 759916109 9654 100000 SH SOLE 100000 0 0 Resonant, Inc. common 76118L102 6907 4666666 SH SOLE 4666666 0 0 SeaSpine Holdings Corp. common 81255T108 2403 294077 SH SOLE 294077 0 0 Sequans Communications S.A. AD common 817323207 12027 2362804 SH SOLE 2362804 0 0 SharpSpring, Inc. common 820054104 3558 587098 SH SOLE 587098 0 0 Spero Therapeutics, Inc. common 84833T103 3199 395949 SH SOLE 395949 0 0 Tactile Systems Technology, In common 87357P100 1147 28560 SH SOLE 28560 0 0 The Joint Corp. common 47973J102 1063 97958 SH SOLE 97958 0 0 TravelCenters of America LLC common 89421B109 782 80000 SH SOLE 80000 0 0 Tuesday Morning Corporation common 899035505 90 156200 SH SOLE 156200 0 0 Turtle Beach Corporation common 900450206 3498 560543 SH SOLE 560543 0 0 Ultra Clean Holdings, Inc. common 90385V107 4968 360000 SH SOLE 360000 0 0 Veru,Inc. common 92536C103 1635 500000 SH SOLE 500000 0 0 Viemed Healthcare, Inc. common 92663R105 6788 1445000 SH SOLE 1445000 0 0 Vivint Solar, Inc. common 92854q106 1966 450000 SH SOLE 450000 0 0 Westport Fuel Systems Inc. common 960908309 687 730000 SH SOLE 730000 0 0 Zealand Pharma A/S (Denmark) common 999999999 11298 327576 SH SOLE 327576 0 0 Zealand Pharma A/S ADR (Denmar common 98920Y304 689 19981 SH SOLE 19981 0 0 argenx SE - ADR (Netherlands) common 04016X101 10538 80000 SH SOLE 80000 0 0 eMagin Corporation common 29076N206 730 3410100 SH SOLE 3410100 0 0 voxeljet AG, ADR (Germany) common 92912L107 2434 2785927 SH SOLE 2785927 0 0 EyeGate Pharmaceuticals @10.62 warrants 30233M115 4 137092 SH SOLE 137092 0 0 Ideal Power @.001 (pre-funded) warrants 999999999 763 403828 SH SOLE 403828 0 0 Ideal Power @2.32 11/13/24 9.9 warrants 999999999 325 504787 SH SOLE 504787 0 0 Ocean Power Technologies @3.85 warrants 674870118 29 714280 SH SOLE 714280 0 0 Sensus Healthcare, Inc @6.75 6 warrants 81728J117 5 130261 SH SOLE 130261 0 0 Turtle Beach Corp. @0 pre-fund warrants 999999999 3432 550000 SH SOLE 550000 0 0 Verb Technology @3.443 4/9/24 warrants 92337U112 124 427915 SH SOLE 427915 0 0 eMagin Corp @.78 10/9/19-10/9/ warrants 999999999 210 3000000 SH SOLE 3000000 0 0 eMagin Corporation @.01 pre fu warrants 999999999 800 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