President

0001535264-24-000041.txt : 20240516 0001535264-24-000041.hdr.sgml : 20240516 20240515174039 ACCESSION NUMBER: 0001535264-24-000041 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20240331 FILED AS OF DATE: 20240516 DATE AS OF CHANGE: 20240515 EFFECTIVENESS DATE: 20240516 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AWM Investment Company, Inc. CENTRAL INDEX KEY: 0001535264 ORGANIZATION NAME: 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: 24952842 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 X0202 13F-HR LIVE false false false 0001535264 XXXXXXXX 03-31-2024 03-31-2024 AWM Investment Company, Inc.

527 MADISON AVENUE SUITE 2600 NEW YORK NY 10022

13F HOLDINGS REPORT 028-16479 N David Greenhouse President 212-319-6670 David Greenhouse NEW YORK NY 05-15-2024 0 126 763579402 false INFORMATION TABLE 2 inftable.xml 13F Q1 24 908 Devices, Inc. common 65443P102 5047371 668526 SH SOLE 668526 0 0 ADMA Biologics, Inc. common 000899104 37718221 5714882 SH SOLE 5714882 0 0 ARS Pharmaceuticals,Inc. common 82835W108 1022000 100000 SH SOLE 100000 0 0 AVITA Medical, Inc. common 05380C102 7966141 496952 SH SOLE 496952 0 0 Aehr Test Systems common 00760J108 15233710 1228525 SH SOLE 1228525 0 0 Aerovironment, Inc. common 008073108 16527569 107826 SH SOLE 107826 0 0 Akoustis Technologies, Inc. common 00973N102 908525 1537008 SH SOLE 1537008 0 0 Alpine Immune Sciences, Inc. common 02083G100 1585600 40000 SH SOLE 40000 0 0 Alto Neuroscience, Inc. common 02157Q109 4591906 299147 SH SOLE 299147 0 0 American Public Education, Inc common 02913V103 2405054 169370 SH SOLE 169370 0 0 American Superconductor Corpor common 030111207 35954420 2661319 SH SOLE 2661319 0 0 Aqua Metals, Inc. common 03837J101 968400 1800000 SH SOLE 1800000 0 0 Arbe Robotics, Ltd.(Israel) common M1R95N100 16120536 7713175 SH SOLE 7713175 0 0 Aspen Aerogels, Inc. common 04523Y105 34809966 1977839 SH SOLE 1977839 0 0 Aviat Networks, Inc. common 05366Y201 5015179 130808 SH SOLE 130808 0 0 Avid Bioservices, Inc. common 05368M106 4647649 693679 SH SOLE 693679 0 0 Beam Global common 07373B109 6688038 983535 SH SOLE 983535 0 0 Bitcoin Depot, Inc. common 09174P105 1775619 937002 SH SOLE 937002 0 0 Bitfarms, Ltd. (Canada) (U.S. common 09173B107 430365 192989 SH SOLE 192989 0 0 BlackSky Technology, Inc. common 09263B108 3788513 2785671 SH SOLE 2785671 0 0 Blade Air Mobility, Inc. common 092667104 6088677 2136378 SH SOLE 2136378 0 0 CEVA, Inc. common 157210105 11516332 507104 SH SOLE 507104 0 0 Century Casinos, Inc. common 156492100 5195157 1644037 SH SOLE 1644037 0 0 Citi Trends, Inc. common 17306X102 7210286 265768 SH SOLE 265768 0 0 ClearPoint Neuro, Inc. common 18507C103 893731 131431 SH SOLE 131431 0 0 Cognition Therapeutics, Inc. common 19243B102 1183000 650000 SH SOLE 650000 0 0 Crinetics Pharmaceuticals, Inc common 22663K107 2574550 55000 SH SOLE 55000 0 0 Cybin, Inc. (Canada) common 23256X100 930375 2250000 SH SOLE 2250000 0 0 DHI Group, Inc. common 23331S100 1481550 581000 SH SOLE 581000 0 0 Destination XL Group, Inc. common 25065K104 33837469 9399297 SH SOLE 9399297 0 0 EMCORE Corporation common 290846401 1380000 4000000 SH SOLE 4000000 0 0 ElectroCore, Inc. common 28531P202 3395746 550364 SH SOLE 550364 0 0 Everspin Technology, Inc. common 30041T104 15889429 2006241 SH SOLE 2006241 0 0 Fathom Holdings, Inc. common 31198V109 2820509 1417341 SH SOLE 1417341 0 0 Forza X1,Inc. common 34988N104 100063 209775 SH SOLE 209775 0 0 Gaia, Inc. common 36269P104 5353832 1738257 SH SOLE 1738257 0 0 Gambling.com Group Ltd. common 63R239101 12334110 1350943 SH SOLE 1350943 0 0 Genasys, Inc. common 36872P103 13626419 5749544 SH SOLE 5749544 0 0 Gilat Satellite Networks, Ltd. common M51474118 4200545 773581 SH SOLE 773581 0 0 GrowGeneration Corp. common 39986L109 2864839 1001692 SH SOLE 1001692 0 0 Ideal Power, Inc. common 451622203 1444924 162351 SH SOLE 162351 0 0 Immunovant, Inc. common 45258J102 2261700 70000 SH SOLE 70000 0 0 Impinj, Inc. common 453204109 40995149 319252 SH SOLE 319252 0 0 Infusystem Holdings, Inc. common 45685K102 16283000 1900000 SH SOLE 1900000 0 0 Kopin Corporation common 500600101 9766586 5425881 SH SOLE 5425881 0 0 Lantronix, Inc. common 516548203 3521933 989307 SH SOLE 989307 0 0 LeMaitre Vascular, Inc. common 525558201 13736520 207000 SH SOLE 207000 0 0 Leonardo DRS, Inc. common 52661A108 12704865 575141 SH SOLE 575141 0 0 LightPath Technologies, Inc. - common 532257805 2518500 1825000 SH SOLE 1825000 0 0 Lilium N.V. (Germany) common N52586109 1861291 1938845 SH SOLE 1938845 0 0 LiqTech International, Inc. (D common 53632A102 772500 250000 SH SOLE 250000 0 0 LivePerson, Inc. common 538146101 2239706 2245544 SH SOLE 2245544 0 0 Longboard Pharmaceuticals, Inc common 54300N103 4568789 211518 SH SOLE 211518 0 0 Lulu's Fashion Lounge Holdings common 55003A108 280000 200000 SH SOLE 200000 0 0 Markforged Holding Corp. common 236759156 512727 613310 SH SOLE 613310 0 0 MaxCyte, Inc. common 5777K1061 510024 121724 SH SOLE 121724 0 0 Mind Medicine (MindMed) Inc. common 60255C885 7830200 833000 SH SOLE 833000 0 0 Modular Medical, Inc. common 60785L207 1387500 750000 SH SOLE 750000 0 0 Movano, Inc. common 62459M107 552380 1343663 SH SOLE 1343663 0 0 Nano Dimension, Ltd. ADR (Isra common 63008G203 1846806 663126 SH SOLE 663126 0 0 Natural Gas Services Group, In common 63886Q109 14077307 724514 SH SOLE 724514 0 0 NeoGames S.A. (Luxembourg) common L6673X107 1169463 40382 SH SOLE 40382 0 0 NeuroOne Medical Technologies common 64130M100 1740000 1450000 SH SOLE 1450000 0 0 Nuvation Bio, Inc. common 67080N101 4914000 1350000 SH SOLE 1350000 0 0 OPKO Health, Inc. common 68375N103 1560000 1300000 SH SOLE 1300000 0 0 OncoCyte Corporation common 68235C107 2210058 754286 SH SOLE 754286 0 0 Ooma, Inc. common 683416101 12026856 1409948 SH SOLE 1409948 0 0 OptimizeRx Corporation common 68401U204 10364460 853042 SH SOLE 853042 0 0 OrthoPediatrics Corporation common 68752L100 14218970 487619 SH SOLE 487619 0 0 Orthofix Medical, Inc. common 68752M108 6889101 474456 SH SOLE 474456 0 0 Outbrain, Inc. common 69002R103 1189562 301155 SH SOLE 301155 0 0 PowerFleet, Inc. common 73931J109 18247971 3417223 SH SOLE 3417223 0 0 Profire Energy, Inc. common 74316X101 4846919 2619956 SH SOLE 2619956 0 0 Progyny, Inc. common 74340E103 953750 25000 SH SOLE 25000 0 0 PureTech Health PLC-ADR common 746237106 196650 6900 SH SOLE 6900 0 0 QuickLogic Corporation common 74837P405 699309 43625 SH SOLE 43625 0 0 Quipt Home Medical Corp. common 74880P104 1287402 294600 SH SOLE 294600 0 0 RADCOM, Ltd. (Israel) common M81865111 9383272 840795 SH SOLE 840795 0 0 Red Cat Holdings, Inc. common 75644T100 3825000 5000000 SH SOLE 5000000 0 0 Rekor Systems, Inc. common 759419104 3322957 1451073 SH SOLE 1451073 0 0 Repligen Corporation common 759916109 13794000 75000 SH SOLE 75000 0 0 Reservoir Media, Inc. common 76119X105 5683130 716662 SH SOLE 716662 0 0 Rocket Lab USA, Inc. common 773122106 830220 202000 SH SOLE 202000 0 0 Savara, Inc. common 805111101 498000 100000 SH SOLE 100000 0 0 Sera Prognostics, Inc. common 81749D107 5320442 584664 SH SOLE 584664 0 0 Shapeways Holdings, Inc. common 81947T102 505363 255234 SH SOLE 255234 0 0 Sidus Space,Inc. common 826165201 678000 200000 SH SOLE 200000 0 0 Silynxcom, Ltd. (Israel) common M8T145100 1828677 536269 SH SOLE 536269 0 0 Societal CDMO, Inc. common 75629F109 8517420 7886500 SH SOLE 7886500 0 0 Spero Therapeutics, Inc. common 84833T103 573448 333400 SH SOLE 333400 0 0 Spruce Biosciences, Inc. common 85209E109 157180 200000 SH SOLE 200000 0 0 Synchronoss Technologies, Inc. common 87157B103 4434768 531110 SH SOLE 531110 0 0 Talkspace, Inc. common 87427V103 10212628 2860680 SH SOLE 2860680 0 0 Tela Bio, Inc. common 208077520 3345090 589963 SH SOLE 589963 0 0 The Lovesac Company common 54738L109 11677330 516696 SH SOLE 516696 0 0 The Real Brokerage, Inc.(Canad common 75585H206 5314071 1703228 SH SOLE 1703228 0 0 The Real Good Food Company, In common 75601G109 677996 1878106 SH SOLE 1878106 0 0 The RealReal, Inc. common 88339P101 1861547 476099 SH SOLE 476099 0 0 Treace Medical Concepts, Inc. common 89455T109 717750 55000 SH SOLE 55000 0 0 Turtle Beach Corporation common 900450206 9437210 547402 SH SOLE 547402 0 0 Twin Vee PowerCats Co. common 90177C101 807785 939176 SH SOLE 939176 0 0 Ultra Clean Holdings, Inc. common 90385V107 6534873 142248 SH SOLE 142248 0 0 Universal Technical Institute, common 913915104 9245200 580000 SH SOLE 580000 0 0 Usio,Inc. common 917313108 2158772 1269866 SH SOLE 1269866 0 0 Vicor Corporation common 925815102 8583236 224457 SH SOLE 224457 0 0 Viemed Healthcare, Inc. (Canad common 92663R105 13488153 1430345 SH SOLE 1430345 0 0 Vital Farms, Inc. common 92847W103 3657248 157301 SH SOLE 157301 0 0 Westport Fuel Systems, Inc. (C common 960908309 2487667 369090 SH SOLE 369090 0 0 XCel Brands, Inc. common 98400M101 599999 769230 SH SOLE 769230 0 0 Xtant Medical Holdings, Inc. common 98420P308 442501 378206 SH SOLE 378206 0 0 argenx SE - ADR (Netherlands) common 04016X101 9843000 25000 SH SOLE 25000 0 0 nLight, Inc. common 65487K100 9638265 741405 SH SOLE 741405 0 0 urban-gro, Inc. (F4) common 91704K202 1472801 1075037 SH SOLE 1075037 0 0 Clene Inc @1.50 6/16/30 (60day warrants 999999999 900000 5000000 SH SOLE 5000000 0 0 Clene Inc. @1.10 6/16/26 (60da warrants 999999999 550000 5000000 SH SOLE 5000000 0 0 ElectroCore Inc. @4.35 2/1/24- warrants 999999999 1090650 396600 SH SOLE 396600 0 0 ElectroCore, Inc. Pre-funded @ warrants 999999999 3084500 500000 SH SOLE 500000 0 0 Ideal Power @.001 (pre-funded) warrants 999999999 2373061 266666 SH SOLE 266666 0 0 Ideal Power @.001 (pre-funded) warrants 999999999 2258833 253830 SH SOLE 253830 0 0 Ideal Power @2.32 11/13/24 9.9 warrants 999999999 2920547 439180 SH SOLE 439180 0 0 Ideal Power @8.90 8/5/25 9.99 warrants 999999999 79913 39366 SH SOLE 39366 0 0 Kopin Corporation pre-funded @ warrants 999999999 10740000 6000000 SH SOLE 6000000 0 0 Mobilicom Ltd. @5.00 8/31/27 A warrants 60742B110 119097 363100 SH SOLE 363100 0 0 NeuroOne Medical @1.75 1/14/26 warrants 999999999 120000 3000000 SH SOLE 3000000 0 0 OncoCyte Corp @1.53 4/19/27 4. warrants 999999999 37523 3752345 SH SOLE 3752345 0 0 Turtle Beach Corp. @0 pre-fund warrants 999999999 9482000 550000 SH SOLE 550000 0 0