0001535264-15-000072.txt : 20150707 0001535264-15-000072.hdr.sgml : 20150707 20150707134516 ACCESSION NUMBER: 0001535264-15-000072 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150701 FILED AS OF DATE: 20150707 DATE AS OF CHANGE: 20150707 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Carbon Natural Gas Co CENTRAL INDEX KEY: 0000086264 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 260818050 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1700 BROADWAY, SUITE 1170 CITY: DENVER STATE: CO ZIP: 80290 BUSINESS PHONE: 720-407-7043 MAIL ADDRESS: STREET 1: 1700 BROADWAY, SUITE 1170 CITY: DENVER STATE: CO ZIP: 80290 FORMER COMPANY: FORMER CONFORMED NAME: ST LAWRENCE SEAWAY CORP DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AWM Investment Company, Inc. CENTRAL INDEX KEY: 0001535264 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-02040 FILM NUMBER: 15976098 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 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2015-07-01 0 0000086264 Carbon Natural Gas Co CRBO 0001535264 AWM Investment Company, Inc. 527 MADISON AVENUE SUITE 2600 NEW YORK NY 10022 0 0 1 0 Common Stock 2015-07-01 4 S 0 20000 0.6205 D 10868889 I By Limited Partnerships This is a weighted average price. AWM Investment Company, Inc., a Delaware Corporation (AWM), is the investment adviser to Special Situations Fund III QP, L.P. (QP), Special Situations Cayman Fund, L.P. (Cayman) & Special Situations Private Equity Fund, L.P. (PE and together with QP and Cayman, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over. 7,540,556 shares of Common Stock of the Issuer (the Shares) held by QP, 2,217,222 Shares held by Cayman & 1,111,111 Shares held by PE. Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) & 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 2015-07-07