0001044321-15-000051.txt : 20150204 0001044321-15-000051.hdr.sgml : 20150204 20150204094034 ACCESSION NUMBER: 0001044321-15-000051 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150204 FILED AS OF DATE: 20150204 DATE AS OF CHANGE: 20150204 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LRAD Corp CENTRAL INDEX KEY: 0000924383 STANDARD INDUSTRIAL CLASSIFICATION: HOUSEHOLD AUDIO & VIDEO EQUIPMENT [3651] IRS NUMBER: 870361799 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 16990 GOLDENTOP RD., STE. A CITY: SAN DIEGO STATE: CA ZIP: 92127 BUSINESS PHONE: 858-676-1112 MAIL ADDRESS: STREET 1: 16990 GOLDENTOP RD., STE. A CITY: SAN DIEGO STATE: CA ZIP: 92127 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN TECHNOLOGY CORP /DE/ DATE OF NAME CHANGE: 19940602 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: 000-24248 FILM NUMBER: 15573787 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 2015-02-04 0 0000924383 LRAD Corp LRAD 0001535264 AWM Investment Company, Inc. 527 MADISON AVENUE SUITE 2600 NEW YORK NY 10022 0 0 1 0 Common Stock 4667710 I By Limited Partnerships Warrants 2.67 2011-02-04 2016-02-04 Common Stock 788090 788090 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), Special Situations Private Equity Fund, L.P. (SSPE), Special Situations Technology Fund, L.P. (TECH) and Special Situations Technology Fund II, L.P. (TECH II and together with SSFQP, SSPE and TECH, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 2,147,462 shares of Common Stock of the Issuer (the Shares) and 372,466 Warrants held by SSFQP, 715,290 Shares and 102,564 Warrants held by SSPE, 250,139 Shares and 43,385 Warrants held by TECH and 1,554,819 Shares and 269,675 Warrants held by TECH II. Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. Marxe, Greenhouse and Stettner previously reported the Shares held by the Funds on Form 3 and Form 4. Accordingly, reference should be made to Marxe, Greenhouse and Stettner (CIK #0001044321) for any prior filings with the Securities and Exchange Commission relating to the Shares held by each of the Funds. 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 C. Stettner 2015-02-04