Vice President

0001535264-16-000121.txt : 20160208 0001535264-16-000121.hdr.sgml : 20160208 20160208130232 ACCESSION NUMBER: 0001535264-16-000121 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20151231 FILED AS OF DATE: 20160208 DATE AS OF CHANGE: 20160208 EFFECTIVENESS DATE: 20160208 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: 161394935 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 12-31-2015 12-31-2015 AWM Investment Company, Inc.

527 MADISON AVENUE SUITE 2600 NEW YORK NY 10022

13F HOLDINGS REPORT 028-16479 N Adam C. Stettner Vice President 212-319-6670 /s/Adam C. Stettner New York X1 02-08-2016 0 94 508537 false INFORMATION TABLE 2 inftable.xml AWM 13F DEC 2015 ARI Network Services, Inc. common 001930205 1350 300000 SH SOLE 300000 0 0 Acadia Pharmaceuticals, Inc. common 004225108 1782 50000 SH SOLE 50000 0 0 Aerovironment, Inc. common 008073108 13789 467909 SH SOLE 467909 0 0 Amber Road, Inc. common 02318Y108 891 175068 SH SOLE 175068 0 0 Ameresco, Inc. common 02361E108 2133 341240 SH SOLE 341240 0 0 American Superconductor, Corp. common 030111207 8777 1377838 SH SOLE 1377838 0 0 Aqua Metals, Inc. common 03837J101 6680 1253350 SH SOLE 1253350 0 0 Aratana Therapeutics, Inc. common 03874P101 2609 467507 SH SOLE 467507 0 0 Ardmore Shipping Corp. common Y0207T100 7056 554710 SH SOLE 554710 0 0 Avinger, Inc. common 053734109 11355 500000 SH SOLE 500000 0 0 Bazaarvoice Inc. common 073271108 1971 450000 SH SOLE 450000 0 0 BioTelemetry, Inc. common 090672106 1694 145000 SH SOLE 145000 0 0 Bluebird Bio, Inc. common 09609G100 1927 30000 SH SOLE 30000 0 0 Brightcove, Inc. common 075097042 12051 1943630 SH SOLE 1943630 0 0 Broadwind Energy, Inc. common 11161T108 3393 1631480 SH SOLE 1631480 0 0 CEVA, Inc. common 157210105 26563 1137114 SH SOLE 1137114 0 0 CPI Aerostructures, Inc. common 125919308 9059 931040 SH SOLE 931040 0 0 CVD Equipment Corporation common 126601103 2910 288700 SH SOLE 288700 0 0 Cidara Therapeutics Inc. common 171757107 2574 150000 SH SOLE 150000 0 0 Cipher Pharmaceuticals, Inc. common 17253X105 1172 250000 SH SOLE 250000 0 0 Constant Contact Inc. common 210313102 701 23967 SH SOLE 23967 0 0 Control4 Corp. common 21240D107 469 64459 SH SOLE 64459 0 0 Corium International Inc. common 21887L107 1595 196376 SH SOLE 196376 0 0 DSP Group, Inc. common 23332B106 6947 735935 SH SOLE 735935 0 0 Derma Sciences, Inc. common 249827502 864 188995 SH SOLE 188995 0 0 Determine, Inc. common 250660107 2128 821760 SH SOLE 821760 0 0 ESSA Pharma Inc. common 29668H104 3340 727272 SH SOLE 727272 0 0 Energous Corporation common 29272C103 11643 1471919 SH SOLE 1471919 0 0 Extreme Networks, Inc. common 30226D106 4162 1020219 SH SOLE 1020219 0 0 EyeGate Pharmaceuticals, Inc. common 30233M107 292 106561 SH SOLE 106561 0 0 Five Prime Therapeutics, Inc. common 33830X104 4905 118199 SH SOLE 118199 0 0 Gaiam, Inc. common 36268Q103 936 150000 SH SOLE 150000 0 0 General Employment Enterprises common 369730106 130 21875 SH SOLE 21875 0 0 Genocea Biosciences, Inc. common 372427104 3768 715000 SH SOLE 715000 0 0 Gigamon, Inc. common 37518B102 7038 264877 SH SOLE 264877 0 0 Good Times Restaurants, Inc. common 382140879 480 100000 SH SOLE 100000 0 0 Great Lakes Dredge & Dock Co. common 390607109 594 150100 SH SOLE 150100 0 0 Ideal Power, Inc. common 451622104 13455 1681935 SH SOLE 1681935 0 0 Infusystem Holdings, Inc. common 45685K102 3578 1173102 SH SOLE 1173102 0 0 Intellicheck Mobilisa, Inc. common 45817G201 2184 1985022 SH SOLE 1985022 0 0 Invuity, Inc. common 46187J205 1411 160000 SH SOLE 160000 0 0 Iteris, Inc. common 46564T107 1151 535369 SH SOLE 535369 0 0 Kopin Corporation common 500600101 17423 6405598 SH SOLE 6405598 0 0 LDR Holding Corp. common 50185U105 3825 152333 SH SOLE 152333 0 0 LRAD Corporation common 50213V109 8343 4192710 SH SOLE 4192710 0 0 LeMaitre Vascular Inc. common 525558201 20554 1191517 SH SOLE 1191517 0 0 LendingTree, Inc. common 894675107 14402 161308 SH SOLE 161308 0 0 LivePerson, Inc. common 538146101 14128 2093078 SH SOLE 2093078 0 0 Loxo Oncology, Inc. common 548862101 2987 105000 SH SOLE 105000 0 0 Manitex Int'l Inc. common 563420108 4649 781362 SH SOLE 781362 0 0 MaxLinear, Inc. common 57776J100 5810 394438 SH SOLE 394438 0 0 MoSys, Inc. common 619718109 6347 5822957 SH SOLE 5822957 0 0 NTN Buzztime, Inc. common 629410309 1453 9082575 SH SOLE 9082575 0 0 NV5 Global Inc. common 62945V109 879 40000 SH SOLE 40000 0 0 NeoPhotonics Corporation common 64051T100 24256 2233561 SH SOLE 2233561 0 0 Neonode, Inc. common 64051M402 10182 4024446 SH SOLE 4024446 0 0 Netlist, Inc. common 64118P109 4360 4954543 SH SOLE 4954543 0 0 Novavax, Inc. common 670002104 3356 400000 SH SOLE 400000 0 0 Opko Health Inc. common 68375N103 3517 350000 SH SOLE 350000 0 0 OvaScience, Inc. common 69014Q101 1137 116352 SH SOLE 116352 0 0 PC-Tel, Inc. common 69325Q105 1438 316053 SH SOLE 316053 0 0 Pacira Pharmaceuticals, Inc. common 695127100 3595 46818 SH SOLE 46818 0 0 ParkerVision, Inc. common 701354102 462 1988766 SH SOLE 1988766 0 0 Pfenex, Inc. common 717071104 10632 858775 SH SOLE 858775 0 0 Pfsweb, Inc. common 717098206 21910 1702446 SH SOLE 1702446 0 0 PowerSecure International, Inc common 73936N105 12712 844630 SH SOLE 844630 0 0 Presbia, PLC (Ireland) common G7234P100 2303 437803 SH SOLE 437803 0 0 Rand logistics Inc. common 752182105 1036 647235 SH SOLE 647235 0 0 Repligen Corporation common 759916109 5658 200000 SH SOLE 200000 0 0 SCYNEXIS, Inc. common 811292101 1861 299687 SH SOLE 299687 0 0 Saia, Inc. common 78709Y105 501 22500 SH SOLE 22500 0 0 Sangamo BioSciences, Inc. common 800677106 842 92200 SH SOLE 92200 0 0 SeaChange International, Inc. common 811699107 6402 949913 SH SOLE 949913 0 0 Sequans Communications - ADR common 817323108 9181 4371704 SH SOLE 4371704 0 0 SharpSpring, Inc. common 784589202 1688 530734 SH SOLE 530734 0 0 Silicon Motion Technology Corp common 82706C108 2051 65389 SH SOLE 65389 0 0 StarTek, inc. common 85569C107 189 52853 SH SOLE 52853 0 0 Streamline Health Solutions common 86323X106 2205 1563734 SH SOLE 1563734 0 0 Sucampo Pharmaceuticals, Inc. common 864909106 1729 100000 SH SOLE 100000 0 0 Support.com, Inc. common 86858W101 1308 1295320 SH SOLE 1295320 0 0 Tivo, Inc. common 888706108 1751 202908 SH SOLE 202908 0 0 Trevena, Inc. common 89532E109 2100 200000 SH SOLE 200000 0 0 Trillium Therapeutics Corp. common 89620X100 2609 206937 SH SOLE 206937 0 0 Truett-Hurst, Inc. common 897871109 164 113390 SH SOLE 113390 0 0 Ultra Clean Holdings, Inc. common 90385V107 7540 1472701 SH SOLE 1472701 0 0 Unwired Planet, Inc. common 91531F103 1481 1715578 SH SOLE 1715578 0 0 Vitae Pharmaceuticals, Inc. common 92847N103 14401 795624 SH SOLE 795624 0 0 Vocera Communications, Inc. common 92857F107 26916 2206262 SH SOLE 2206262 0 0 XCel Brands Inc. common 98400M101 2700 360000 SH SOLE 360000 0 0 Xplore Technologies, Corp. common 983950700 1152 225000 SH SOLE 225000 0 0 iRadimed Corporation common 46266A109 7802 278330 SH SOLE 278330 0 0 inContact Inc. common 45336E109 12405 1300365 SH SOLE 1300365 0 0 Cellectar Biosciences @4.68 2/ warrants 15117F203 595 1066000 SH SOLE 1066000 0 0 EyeGate Pharmaceuticals @10.62 warrants 30233M115 103 137092 SH SOLE 137092 0 0