President

0001535264-22-000034.txt : 20220812 0001535264-22-000034.hdr.sgml : 20220812 20220812173016 ACCESSION NUMBER: 0001535264-22-000034 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220630 FILED AS OF DATE: 20220812 DATE AS OF CHANGE: 20220812 EFFECTIVENESS DATE: 20220812 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: 221161398 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 06-30-2022 06-30-2022 AWM Investment Company, Inc.

527 MADISON AVENUE SUITE 2600 NEW YORK NY 10022

13F HOLDINGS REPORT 028-16479 N David Greenhouse President 2123196670 David Greenhouse New York NY 08-12-2022 0 128 634774 false INFORMATION TABLE 2 inftable.xml 13F Q2 2022 ADMA Biologics, Inc. common 000899104 9930 5015000 SH SOLE 5 15000 0 Aehr Test Systems common 00760J108 12355 1647319 SH SOLE 1 47319 0 Aerovironment, Inc. common 008073108 3305 40208 SH SOLE 0 40208 0 AirSculpt Technologies, Inc. common 009496100 2480 418262 SH SOLE 0 18262 0 Alpha Teknova, Inc. common 02080L102 756 90000 SH SOLE 0 90000 0 American Public Education, Inc common 02913V103 809 50070 SH SOLE 0 50070 0 American Superconductor Corp common 030111207 7830 1511497 SH SOLE 1 11497 0 Apollo Endosurgery, Inc. common 03767D108 1302 356809 SH SOLE 0 56809 0 Aqua Metals, Inc. common 03837J101 45 55474 SH SOLE 0 55474 0 Assure Holdings Corp(CND need common 04265J204 2200 1549403 SH SOLE 1 49403 0 Atomera Incorporated common 04965B100 1661 177034 SH SOLE 0 77034 0 Avid Bioservices, Inc. common 05368M106 17989 1178826 SH SOLE 1 78826 0 Backblaze, Inc. common 05637B105 2912 556783 SH SOLE 0 56783 0 Bellus Health, Inc. (Canada) common 07987C204 3511 380000 SH SOLE 0 80000 0 BioLife Solutions, Inc. common 09062W204 690 50000 SH SOLE 0 50000 0 Bitfarms, Ltd. of Canada common 09173B107 474 423361 SH SOLE 0 23361 0 Bitfarms, Ltd. of Canada common 09173B107 459 410000 SH SOLE 0 10000 0 Bridgeline Digital, Inc. common 10807Q700 360 300000 SH SOLE 0 00000 0 Burcon NutraScience Corp. (Can common 120831102 1546 3902823 SH SOLE 3 02823 0 CEVA, Inc. common 157210105 12351 368037 SH SOLE 0 68037 0 CareDx, Inc. common 14167L103 1074 50000 SH SOLE 0 50000 0 Century Casinos, Inc. common 156492100 11743 1630957 SH SOLE 1 30957 0 Citi Trends, Inc. common 17306X102 1764 74608 SH SOLE 0 74608 0 Concert Pharmaceuticals, Inc. common 206022105 2125 504661 SH SOLE 0 04661 0 Cryoport, Inc. common 229050307 929 30000 SH SOLE 0 30000 0 DHI Group, Inc. common 23331S100 2888 581000 SH SOLE 0 81000 0 DZS, Inc. common 268211109 9928 610201 SH SOLE 0 10201 0 Destination XL Group, Inc. common 25065K104 37190 10970434 SH SOLE 10 70434 0 DoubleDown Interactive Co Ltd common 25862B109 495 50153 SH SOLE 0 50153 0 EMCORE Corporation common 290846203 8538 2781094 SH SOLE 2 81094 0 Eco Wave Power Global AB (Swe common 27900N103 505 119000 SH SOLE 0 19000 0 Edgio, Inc. common 53261M104 2150 930735 SH SOLE 0 30735 0 ElectroCore, Inc. common 28531P103 2801 5493876 SH SOLE 5 93876 0 Enthusiast Gaming Holdings Inc common 29385B109 1777 897100 SH SOLE 0 97100 0 Eton Pharmaceuticals, Inc. common 29772L108 1214 463320 SH SOLE 0 63320 0 Everspin Technology, Inc. common 30041T104 10264 1958741 SH SOLE 1 58741 0 Franchise Group, Inc. common 35180X105 4626 131912 SH SOLE 0 31912 0 GAN, Ltd. (London) common G3728V109 2022 683228 SH SOLE 0 83228 0 Gaia, Inc. common 36269P104 3405 801236 SH SOLE 0 01236 0 Gambling.com Group Ltd. common 63R239101 7553 959670 SH SOLE 0 59670 0 Gee Group, Inc. common 36165A102 1193 2285192 SH SOLE 2 85192 0 Genasys, Inc. common 36872P103 14136 4349544 SH SOLE 4 49544 0 Greenbrook TMS, Inc. (Canada) common 393704309 333 259813 SH SOLE 0 59813 0 INVO Bioscience, Inc. common 44984F302 411 623860 SH SOLE 0 23860 0 Ideal Power, Inc. common 451622203 2880 235271 SH SOLE 0 35271 0 Impinj, Inc. common 453204109 29088 495787 SH SOLE 0 95787 0 Infusystem Holdings, Inc. common 45685K102 19260 2000000 SH SOLE 2 00000 0 Karat Packaging, Inc. common 48563L101 5220 305986 SH SOLE 0 05986 0 Kopin Corporation common 500600101 1620 1446746 SH SOLE 1 46746 0 Lantronix, Inc. common 516548203 4070 756533 SH SOLE 0 56533 0 LeMaitre Vascular, Inc. common 525558201 10476 230000 SH SOLE 0 30000 0 Legacy Housing Corp. common 52472M101 731 55987 SH SOLE 0 55987 0 LiqTech International, Inc. common 53632A102 1094 2430141 SH SOLE 2 30141 0 LivePerson, Inc. common 538146101 11554 817120 SH SOLE 0 17120 0 Lovesac Company, The common 54738L109 10783 392096 SH SOLE 0 92096 0 Lulu's Fashion Lounge Holdings common 55003A108 1627 150000 SH SOLE 0 50000 0 MaxCyte, Inc. common 5777K1061 1419 300000 SH SOLE 0 00000 0 Minerva Surgical, Inc. common 60343F106 3634 1546517 SH SOLE 1 46517 0 Movano, Inc. common 62459M107 2151 900000 SH SOLE 0 00000 0 Nano Dimension, Ltd. ADR (Isra common 63008G203 1768 563126 SH SOLE 0 63126 0 Natural Gas Services Group Inc common 63886Q109 7541 685508 SH SOLE 0 85508 0 NeoGames S.A. (Luxembourg) common L6673X107 3037 226500 SH SOLE 0 26500 0 Neonode, Inc. common 64051M709 784 153200 SH SOLE 0 53200 0 NeuroOne Medical Technologies common 64130M100 1119 1363331 SH SOLE 1 63331 0 Nkarta, Inc. common 65487U108 1232 100000 SH SOLE 0 00000 0 Noodles & Co. common 65540B105 2800 595803 SH SOLE 0 95803 0 Nuvation Bio, Inc. common 67080N101 1102 340000 SH SOLE 0 40000 0 OPKO Health, Inc. common 68375N103 2024 800000 SH SOLE 0 00000 0 Oncocyte Corp. common 68235C107 6970 7746557 SH SOLE 7 46557 0 OneWater Marine, Inc. - CL A common 68280L101 3291 99567 SH SOLE 0 99567 0 Ooma, Inc. common 683416101 16694 1409948 SH SOLE 1 09948 0 OptimizeRx Corporation common 68401U204 10511 383743 SH SOLE 0 83743 0 Orbital Energy Group, Inc. common 68559A110 1801 2859711 SH SOLE 2 59711 0 OrthoPediatrics Corporation common 68752L100 12860 298021 SH SOLE 0 98021 0 PLBY Group,Inc. common 72814P109 2459 384176 SH SOLE 0 84176 0 Pfsweb, Inc. common 717098206 24048 2044899 SH SOLE 2 44899 0 PowerFleet, Inc. common 73931J109 3423 1577446 SH SOLE 1 77446 0 Profire Energy, Inc. common 74316X101 1935 1343897 SH SOLE 1 43897 0 Profound Medical Corp. (U.S.) common 74319B502 626 85908 SH SOLE 0 85908 0 Progyny, Inc. common 74340E103 871 30000 SH SOLE 0 30000 0 PureTech Health PLC (Britain) common 746237106 1252 600000 SH SOLE 0 00000 0 PureTech Health PLC-ADR (Brita common 746237106 1261 60000 SH SOLE 0 60000 0 Quantum Corp. common 747906501 1180 830994 SH SOLE 0 30994 0 QuickLogic Corporation common 74837P405 3521 415230 SH SOLE 0 15230 0 Quipt Home Medical Corp. common 74880P104 1346 294600 SH SOLE 0 94600 0 RADA Electronic Industries Ltd common M81863124 7902 855164 SH SOLE 0 55164 0 RADCOM, Ltd. (Israel) common M81865111 6651 578312 SH SOLE 0 78312 0 Rent the Runway, Inc. common 76010Y103 1229 400181 SH SOLE 0 00181 0 Repligen Corporation common 759916109 16240 100000 SH SOLE 0 00000 0 Reservior Media, Inc. common 76119X105 3433 526470 SH SOLE 0 26470 0 SRAX, Inc. common 78472M106 1695 510503 SH SOLE 0 10503 0 SeaSpine Holdings Corp. common 81255T108 3797 671950 SH SOLE 0 71950 0 Sequans Communications S.A. AD common 817323207 10356 3849940 SH SOLE 3 49940 0 Sera Prognostics, Inc. common 81749D107 568 346479 SH SOLE 0 46479 0 Shotspotter, Inc. common 82536T107 2891 107438 SH SOLE 0 07438 0 Sientra, Inc. common 82621J105 1835 2190990 SH SOLE 2 90990 0 Sigma Labs, Inc. common 826598500 893 697785 SH SOLE 0 97785 0 Societal CDMO, Inc. common 75629F109 4460 5609689 SH SOLE 5 09689 0 Sunrun, Inc. common 86771W105 934 40000 SH SOLE 0 40000 0 Synchronoss Technologies, Inc. common 87157B103 1639 1424794 SH SOLE 1 24794 0 The Real Good Food Company Inc common 75601G109 2533 360267 SH SOLE 0 60267 0 TravelCenters of America LLC common 89421B109 24312 705307 SH SOLE 0 05307 0 Turtle Beach Corporation common 900450206 7747 633455 SH SOLE 0 33455 0 Ultra Clean Holdings, Inc. common 90385V107 5854 196627 SH SOLE 0 96627 0 Universal Technical Institute common 913915104 8028 1125888 SH SOLE 1 25888 0 Usio,Inc. common 917313108 858 353160 SH SOLE 0 53160 0 VIQ Solutions, Inc. (Canada) common 91825V400 2350 1643326 SH SOLE 1 43326 0 Veru, Inc. common 92536C103 22969 2032617 SH SOLE 2 32617 0 Vicor Corporation common 925815102 4966 90731 SH SOLE 0 90731 0 Viemed Healthcare, Inc.(Canada common 92663R105 4622 854875 SH SOLE 0 54875 0 Westport Fuel Systems, Inc. common 960908309 3870 3832047 SH SOLE 3 32047 0 Zealand Pharma A/S (Denmark) common 999999999 2793 213608 SH SOLE 0 13608 0 Zealand Pharma A/S ADR (Denmar common 98920Y304 631 48957 SH SOLE 0 48957 0 argenx SE - ADR (Netherlands) common 04016X101 18944 50000 SH SOLE 0 50000 0 eMagin Corporation common 29076N206 728 1119887 SH SOLE 1 19887 0 nLight, Inc. common 65487K100 5033 492433 SH SOLE 0 92433 0 urban-gro, Inc. common 91704K202 1919 396424 SH SOLE 0 96424 0 voxeljet AG, ADR (Germany) common 92912L106 3220 952785 SH SOLE 0 52785 0 Ideal Power @.001 (pre-funded) warrants 999999999 3107 253830 SH SOLE 0 53830 0 Ideal Power @2.32 11/13/24 9.9 warrants 999999999 4431 439180 SH SOLE 0 39180 0 Ideal Power @8.90 8/5/25 9.99 warrants 999999999 212 39366 SH SOLE 0 39366 0 NeuroOne Medical @1.75 1/14/26 warrants 999999999 300 3000000 SH SOLE 3 00000 0 Ocean Power Technologies @3.85 warrants 674870118 19 464280 SH SOLE 0 64280 0 Polished.com, Inc. 5/26/22-6/2 warrants 28252C117 520 2000000 SH SOLE 2 00000 0 Qualtek Services, Inc.-A Wt @1 warrants 74760R113 8 50000 SH SOLE 0 50000 0 Turtle Beach Corp. @0 pre-fund warrants 999999999 6726 550000 SH SOLE 0 50000 0 eMagin Corp @.78 10/9/19-10/9/ warrants 999999999 450 3000000 SH SOLE 3 00000 0 eMagin Corporation @1.55 1/29/ warrants 999999999 9 890000 SH SOLE 0 90000 0