0001535264-24-000039.txt : 20240412 0001535264-24-000039.hdr.sgml : 20240412 20240412162913 ACCESSION NUMBER: 0001535264-24-000039 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240403 FILED AS OF DATE: 20240412 DATE AS OF CHANGE: 20240412 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AWM Investment Company, Inc. CENTRAL INDEX KEY: 0001535264 ORGANIZATION NAME: STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39933 FILM NUMBER: 24841847 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 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: urban-gro, Inc. CENTRAL INDEX KEY: 0001706524 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-MACHINERY, EQUIPMENT & SUPPLIES [5080] ORGANIZATION NAME: 07 Trade & Services IRS NUMBER: 465158469 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1751 PANORAMA PT STREET 2: UNIT G CITY: LAFAYETTE STATE: CO ZIP: 80026 BUSINESS PHONE: 720-390-3880 MAIL ADDRESS: STREET 1: 1751 PANORAMA PT STREET 2: UNIT G CITY: LAFAYETTE STATE: CO ZIP: 80026 3 1 primary_doc.xml PRIMARY DOCUMENT X0206 3 2024-04-03 0 0001706524 urban-gro, Inc. URGO 0001535264 AWM Investment Company, Inc. 527 MADISON AVENUE SUITE 2600 NEW YORK NY 10022 0 0 1 0 Common Stock 1445037 I By Limited Partnerships AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Fund III QP, L.P. (SSFQP) and Special Situations Cayman Fund, L.P. (Cay). (Cay and together with SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 1,098,839 shares of Common Stock of the Issuer (the Shares) held by SSFQP and 346,198 Shares held by Cay. David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Adam Stettner 2024-04-12