Executive Vice President

0001535264-16-000166.txt : 20160809 0001535264-16-000166.hdr.sgml : 20160809 20160809131514 ACCESSION NUMBER: 0001535264-16-000166 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160630 FILED AS OF DATE: 20160809 DATE AS OF CHANGE: 20160809 EFFECTIVENESS DATE: 20160809 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: 161817132 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 06-30-2016 06-30-2016 AWM Investment Company, Inc.

527 MADISON AVENUE SUITE 2600 NEW YORK NY 10022

13F HOLDINGS REPORT 028-16479 N David Greenhouse Executive Vice President 2123196670 /s/David Greenhouse New York NY 08-09-2016 0 96 468004 false INFORMATION TABLE 2 inftable.xml AWM 13F 063016 ARI Network Services, Inc. common 001930205 1260 300000 SH SOLE 300000 0 0 Aerovironment, Inc. common 008073108 13008 467909 SH SOLE 467909 0 0 Aldeyra Therapeutics, Inc. common 01438T106 5222 917810 SH SOLE 917810 0 0 American Superconductor, Corp. common 030111207 10521 1246576 SH SOLE 1246576 0 0 Aqua Metals, Inc. common 03837J101 13149 1117650 SH SOLE 1117650 0 0 Aratana Therapeutics, Inc. common 03874P101 7055 1116255 SH SOLE 1116255 0 0 Ardmore Shipping Corp. (Irelan common Y0207T100 4090 604110 SH SOLE 604110 0 0 Avinger, Inc. common 053734109 5969 500295 SH SOLE 500295 0 0 Bazaarvoice Inc. common 073271108 3765 938991 SH SOLE 938991 0 0 BioTelemetry, Inc. common 090672106 2363 145000 SH SOLE 145000 0 0 Boingo Wireless, Inc. common 09739C102 3167 355026 SH SOLE 355026 0 0 Boot Barn Holdings, Inc. common 099406100 1224 142000 SH SOLE 142000 0 0 Brightcove, Inc. common 075097042 16755 1904022 SH SOLE 1904022 0 0 Broadwind Energy, Inc. common 11161T108 6119 1450009 SH SOLE 1450009 0 0 CEVA, Inc. common 157210105 30088 1107410 SH SOLE 1107410 0 0 CPI Aerostructures, Inc. common 125919308 5179 842149 SH SOLE 842149 0 0 CVD Equipment Corporation common 126601103 2477 288700 SH SOLE 288700 0 0 ChannelAdvisor, Corp. common 159179100 283 19521 SH SOLE 19521 0 0 Cidara Therapeutics Inc. common 171757107 2708 262655 SH SOLE 262655 0 0 Cipher Pharmaceuticals, Inc. common 17253X105 1103 211300 SH SOLE 211300 0 0 Clearside Biomedical, Inc. common 185063104 350 50000 SH SOLE 50000 0 0 Concert Pharmaceuticals, Inc. common 206022105 1123 100000 SH SOLE 100000 0 0 Corium International Inc. common 21887L107 1191 343301 SH SOLE 343301 0 0 DSP Group, Inc. common 23332B106 7890 743639 SH SOLE 743639 0 0 Determine, Inc. common 250660107 1242 816820 SH SOLE 816820 0 0 ESSA Pharma Inc. common 29668H104 5006 1696968 SH SOLE 1696968 0 0 Earthstone Energy, Inc. common 27032D205 3881 360000 SH SOLE 360000 0 0 Energous Corporation common 29272C103 8343 644271 SH SOLE 644271 0 0 Extreme Networks, Inc. common 30226D106 3442 1015219 SH SOLE 1015219 0 0 Five Prime Therapeutics, Inc. common 33830X104 3721 90000 SH SOLE 90000 0 0 Gaiam, Inc. common 36268Q103 1336 172670 SH SOLE 172670 0 0 Genocea Biosciences, Inc. common 372427104 3193 778849 SH SOLE 778849 0 0 Gigamon, Inc. common 37518B102 5581 149277 SH SOLE 149277 0 0 Great Elm Capital Group, Inc. common 39036P100 1159 175889 SH SOLE 175889 0 0 Great Lakes Dredge & Dock Co. common 390607109 872 200000 SH SOLE 200000 0 0 IZEA Inc. common 46603N202 7759 1018216 SH SOLE 1018216 0 0 Ideal Power, Inc. common 451622104 8292 1681935 SH SOLE 1681935 0 0 Immersion Corporation common 452521107 2298 313091 SH SOLE 313091 0 0 Infusystem Holdings, Inc. common 45685K102 3779 1453621 SH SOLE 1453621 0 0 Intellicheck Mobilisa, Inc. common 45817G201 2739 1985022 SH SOLE 1985022 0 0 Intricon Corp. common 46121H109 294 55000 SH SOLE 55000 0 0 Invuity, Inc. common 46187J205 1429 150000 SH SOLE 150000 0 0 Iteris, Inc. common 46564T107 1531 535369 SH SOLE 535369 0 0 Kopin Corporation common 500600101 14696 6619921 SH SOLE 6619921 0 0 LRAD Corporation common 50213V109 7505 4192710 SH SOLE 4192710 0 0 LeMaitre Vascular Inc. common 525558201 13824 968760 SH SOLE 968760 0 0 LendingTree, Inc. common 894675107 11723 132723 SH SOLE 132723 0 0 LivePerson, Inc. common 538146101 13270 2093078 SH SOLE 2093078 0 0 Loxo Oncology, Inc. common 548862101 4404 190000 SH SOLE 190000 0 0 MCBC Holdings, Inc. common 55276F107 3043 275390 SH SOLE 275390 0 0 Manitex Int'l Inc. common 563420108 5415 781362 SH SOLE 781362 0 0 MaxLinear, Inc. common 57776J100 3982 221452 SH SOLE 221452 0 0 MoSys, Inc. common 619718109 2358 5822957 SH SOLE 5822957 0 0 NTN Buzztime, Inc. common 629410309 1562 181650 SH SOLE 181650 0 0 NV5 Global Inc. common 62945V109 2204 77500 SH SOLE 77500 0 0 NeoPhotonics Corporation common 64051T100 19194 2014045 SH SOLE 2014045 0 0 Neonode, Inc. common 64051M402 5855 4010539 SH SOLE 4010539 0 0 Netlist, Inc. common 64118P109 5814 4969543 SH SOLE 4969543 0 0 Opko Health Inc. common 68375N103 3269 350000 SH SOLE 350000 0 0 OvaScience, Inc. common 69014Q101 260 50000 SH SOLE 50000 0 0 PC-Tel, Inc. common 69325Q105 1490 316403 SH SOLE 316403 0 0 ParkerVision, Inc. common 701354102 829 264072 SH SOLE 264072 0 0 Pfenex, Inc. common 717071104 7970 952216 SH SOLE 952216 0 0 Pfsweb, Inc. common 717098206 14685 1545738 SH SOLE 1545738 0 0 Presbia, PLC (Ireland) common G7234P100 1783 394406 SH SOLE 394406 0 0 Pulse Biosciences, Inc. common 74587B101 301 67000 SH SOLE 67000 0 0 QuinStreet, Inc. common 74874Q100 2316 652390 SH SOLE 652390 0 0 RADCOM Ltd. common M81865111 3060 262664 SH SOLE 262664 0 0 Rand logistics Inc. common 752182105 667 647235 SH SOLE 647235 0 0 Repligen Corporation common 759916109 3830 140000 SH SOLE 140000 0 0 Revolution Lighting Technologi common 76155G107 5871 950000 SH SOLE 950000 0 0 SCYNEXIS, Inc. common 811292101 271 125000 SH SOLE 125000 0 0 Saia, Inc. common 78709Y105 566 22500 SH SOLE 22500 0 0 Sangamo BioSciences, Inc. common 800677106 534 92200 SH SOLE 92200 0 0 SeaChange International, Inc. common 811699107 3680 1153677 SH SOLE 1153677 0 0 Sequans Communications - ADR ( common 817323108 8446 4120230 SH SOLE 4120230 0 0 SharpSpring, Inc. common 784589202 2776 530734 SH SOLE 530734 0 0 Streamline Health Solutions common 86323X106 1876 1563734 SH SOLE 1563734 0 0 Support.com, Inc. common 86858W101 229 271753 SH SOLE 271753 0 0 TearLab Corp. (F4) common 878193101 3377 5277250 SH SOLE 5277250 0 0 Tivo, Inc. common 888706108 2009 202908 SH SOLE 202908 0 0 Trevena, Inc. common 89532E109 907 143904 SH SOLE 143904 0 0 Trillium Therapeutics Corp. Ca common 89620X100 1878 209177 SH SOLE 209177 0 0 Turtle Beach Corporation common 900450107 388 400000 SH SOLE 400000 0 0 Ultra Clean Holdings, Inc. common 90385V107 8380 1472701 SH SOLE 1472701 0 0 Verastem, Inc. common 92337C104 1820 1400000 SH SOLE 1400000 0 0 Vitae Pharmaceuticals, Inc. common 92847N103 12709 1177864 SH SOLE 1177864 0 0 Vocera Communications, Inc. common 92857F107 19921 1550263 SH SOLE 1550263 0 0 XCel Brands Inc. common 98400M101 1811 360000 SH SOLE 360000 0 0 Xactly Corporation common 98386L101 793 61928 SH SOLE 61928 0 0 Xplore Technologies, Corp. common 983950700 240 100000 SH SOLE 100000 0 0 Zagg, Inc. common 98884U108 658 125300 SH SOLE 125300 0 0 iRadimed Corporation common 46266A109 3456 158830 SH SOLE 158830 0 0 inContact Inc. common 45336E109 18010 1300365 SH SOLE 1300365 0 0 Cellectar Biosciences @4.68 8/ warrants 15117F203 47 106600 SH SOLE 106600 0 0 EyeGate Pharmaceuticals @10.62 warrants 30233M115 86 137092 SH SOLE 137092 0 0