Executive Vice President

0001535264-16-000169.txt : 20161114 0001535264-16-000169.hdr.sgml : 20161111 20161114134326 ACCESSION NUMBER: 0001535264-16-000169 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161114 DATE AS OF CHANGE: 20161114 EFFECTIVENESS DATE: 20161114 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: 161993330 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 09-30-2016 09-30-2016 AWM Investment Company, Inc.

527 MADISON AVENUE SUITE 2600 NEW YORK NY 10022

13F HOLDINGS REPORT 028-16479 N David M. Greenhouse Executive Vice President 212-319-6670 /s/David M. Greenhouse New York NY 11-14-2016 0 99 545685 false INFORMATION TABLE 2 inftable.xml AWM 13F SEPT 30 2016 ARI Network Services, Inc. common 001930205 1332 300000 SH SOLE 300000 0 0 Aehr Test Systems (Restricted) common 00760J108 2551 1050000 SH SOLE 1050000 0 0 Aerovironment, Inc. common 008073108 11835 484822 SH SOLE 484822 0 0 Aldeyra Therapeutics, Inc. common 01438T106 7205 917810 SH SOLE 917810 0 0 American Superconductor, Corp. common 030111207 8738 1246576 SH SOLE 1246576 0 0 Aptevo Therapeutics, Inc. common 03835L103 530 207000 SH SOLE 207000 0 0 Aqua Metals, Inc. common 03837J101 11272 1272250 SH SOLE 1272250 0 0 Aratana Therapeutics, Inc. common 03874P101 9407 1005000 SH SOLE 1005000 0 0 Ardelyx, Inc. common 039697107 1294 100000 SH SOLE 100000 0 0 Ardmore Shipping Corp. (Irelan common Y0207T100 4253 604110 SH SOLE 604110 0 0 Atomera Incorporated common 04965B100 6653 852985 SH SOLE 852985 0 0 Avinger, Inc. common 053734109 1864 390790 SH SOLE 390790 0 0 Bazaarvoice Inc. common 073271108 4367 738991 SH SOLE 738991 0 0 BioTelemetry, Inc. common 090672106 2028 109189 SH SOLE 109189 0 0 Boingo Wireless, Inc. common 09739C102 3650 355026 SH SOLE 355026 0 0 Brightcove, Inc. common 075097042 19816 1518442 SH SOLE 1518442 0 0 Broadwind Energy, Inc. common 11161T108 6380 1450009 SH SOLE 1450009 0 0 CEVA, Inc. common 157210105 38837 1107410 SH SOLE 1107410 0 0 CPI Aerostructures, Inc. common 125919308 4179 603068 SH SOLE 603068 0 0 CVD Equipment Corporation common 126601103 2419 288700 SH SOLE 288700 0 0 Castlight Health, Inc. common 14862Q100 1664 400000 SH SOLE 400000 0 0 ChannelAdvisor, Corp. common 159179100 4118 318465 SH SOLE 318465 0 0 Cidara Therapeutics Inc. common 171757107 3007 262655 SH SOLE 262655 0 0 Cipher Pharmaceuticals, Inc. common 17253X105 708 185300 SH SOLE 185300 0 0 Citi Trends, Inc. common 17306X102 3641 182707 SH SOLE 182707 0 0 Clearside Biomedical, Inc. common 185063104 867 50000 SH SOLE 50000 0 0 CoLucid Pharmaceuticals, Inc. common 19716T101 11022 288919 SH SOLE 288919 0 0 Concert Pharmaceuticals, Inc. common 206022105 1011 100000 SH SOLE 100000 0 0 Corium International Inc. common 21887L107 1116 198511 SH SOLE 198511 0 0 DSP Group, Inc. common 23332B106 8931 743639 SH SOLE 743639 0 0 Determine, Inc. common 250660107 1289 716220 SH SOLE 716220 0 0 Digimarc Corporation common 25381B101 3068 80000 SH SOLE 80000 0 0 ESSA Pharma Inc. common 29668H104 4785 1696968 SH SOLE 1696968 0 0 Earthstone Energy, Inc. common 27032D205 3421 397834 SH SOLE 397834 0 0 Energous Corporation common 29272C103 2938 149800 SH SOLE 149800 0 0 Extreme Networks, Inc. common 30226D106 3150 701566 SH SOLE 701566 0 0 Five Prime Therapeutics, Inc. common 33830X104 4199 80000 SH SOLE 80000 0 0 Health Insurance Innovations common 42225K106 630 120000 SH SOLE 120000 0 0 IZEA Inc. common 46603N202 5977 1018216 SH SOLE 1018216 0 0 Ideal Power, Inc. common 451622104 8696 1681935 SH SOLE 1681935 0 0 Immersion Corporation common 452521107 2748 336734 SH SOLE 336734 0 0 Impinj, Inc. common 453204109 8256 220623 SH SOLE 220623 0 0 Infusystem Holdings, Inc. common 45685K102 3915 1413494 SH SOLE 1413494 0 0 Intellicheck Mobilisa, Inc. common 45817G201 3414 1985022 SH SOLE 1985022 0 0 Invuity, Inc. common 46187J205 2058 150000 SH SOLE 150000 0 0 Iteris, Inc. common 46564T107 1949 535369 SH SOLE 535369 0 0 Kopin Corporation common 500600101 14431 6619921 SH SOLE 6619921 0 0 LRAD Corporation common 50213V109 7840 4192710 SH SOLE 4192710 0 0 LeMaitre Vascular Inc. common 525558201 16598 836614 SH SOLE 836614 0 0 LendingTree, Inc. common 894675107 6590 68000 SH SOLE 68000 0 0 LivePerson, Inc. common 538146101 17603 2093078 SH SOLE 2093078 0 0 Loxo Oncology, Inc. common 548862101 4712 180000 SH SOLE 180000 0 0 MCBC Holdings, Inc. common 55276F107 5523 484441 SH SOLE 484441 0 0 Manitex Int'l Inc. common 563420108 4305 781362 SH SOLE 781362 0 0 MaxLinear, Inc. common 57776J100 6081 300000 SH SOLE 300000 0 0 MoSys, Inc. common 619718109 4367 5822957 SH SOLE 5822957 0 0 NTN Buzztime, Inc. common 629410309 1237 181650 SH SOLE 181650 0 0 NV5 Global Inc. common 62945V109 2504 77500 SH SOLE 77500 0 0 NeoPhotonics Corporation common 64051T100 28653 1753538 SH SOLE 1753538 0 0 Neonode, Inc. common 64051M402 5028 4410539 SH SOLE 4410539 0 0 Netlist, Inc. common 64118P109 7044 5680928 SH SOLE 5680928 0 0 Opko Health Inc. common 68375N103 3706 350000 SH SOLE 350000 0 0 OvaScience, Inc. common 69014Q101 358 50000 SH SOLE 50000 0 0 PC-Tel, Inc. common 69325Q105 1674 316403 SH SOLE 316403 0 0 ParkerVision, Inc. common 701354102 1125 264072 SH SOLE 264072 0 0 Pfenex, Inc. common 717071104 8395 938042 SH SOLE 938042 0 0 Pfsweb, Inc. common 717098206 13803 1545738 SH SOLE 1545738 0 0 Presbia, PLC (Ireland) common G7234P100 1684 358249 SH SOLE 358249 0 0 QuinStreet, Inc. common 74874Q100 2235 739917 SH SOLE 739917 0 0 RADCOM Ltd. common M81865111 1674 82000 SH SOLE 82000 0 0 Rand logistics Inc. common 752182105 485 647235 SH SOLE 647235 0 0 Repligen Corporation common 759916109 3623 120000 SH SOLE 120000 0 0 Revolution Lighting Technologi common 76155G107 5994 950000 SH SOLE 950000 0 0 SCYNEXIS, Inc. common 811292101 484 125000 SH SOLE 125000 0 0 Saia, Inc. common 78709Y105 674 22500 SH SOLE 22500 0 0 SeaChange International, Inc. common 811699107 3449 1153677 SH SOLE 1153677 0 0 Sensus Healthcare, Inc common 81728J109 3025 491938 SH SOLE 491938 0 0 Sequans Communications - ADR common 817323108 12957 7320230 SH SOLE 7320230 0 0 SharpSpring, Inc. common 784589202 2733 530734 SH SOLE 530734 0 0 Streamline Health Solutions common 86323X106 2647 1438334 SH SOLE 1438334 0 0 Support.com, Inc. common 86858W101 228 271753 SH SOLE 271753 0 0 Syros Pharmaceuticals, Inc. common 87184Q107 660 47550 SH SOLE 47550 0 0 Tactile Systems Technology common 87357P100 10285 550000 SH SOLE 550000 0 0 TearLab Corp. (F4) common 878193101 4730 7277250 SH SOLE 7277250 0 0 Trevena, Inc. common 89532E109 971 143904 SH SOLE 143904 0 0 Trillium Therapeutics Corp. common 89620X100 3092 209177 SH SOLE 209177 0 0 Turtle Beach Corporation common 900450107 524 400000 SH SOLE 400000 0 0 Ultra Clean Holdings, Inc. common 90385V107 10913 1472701 SH SOLE 1472701 0 0 Verastem, Inc. common 92337C104 1696 1275323 SH SOLE 1275323 0 0 Vitae Pharmaceuticals, Inc. common 92847N103 22227 1062498 SH SOLE 1062498 0 0 Vocera Communications, Inc. common 92857F107 21125 1250000 SH SOLE 1250000 0 0 XCel Brands Inc. common 98400M101 1775 360000 SH SOLE 360000 0 0 Xactly Corporation common 98386L101 691 46928 SH SOLE 46928 0 0 Xplore Technologies, Corp. common 983950700 885 368902 SH SOLE 368902 0 0 iRadimed Corporation common 46266A109 801 47119 SH SOLE 47119 0 0 inContact Inc. common 45336E109 15944 1140507 SH SOLE 1140507 0 0 Cellectar Biosciences @4.68 8/ warrants 15117F203 27 106600 SH SOLE 106600 0 0 EyeGate Pharmaceuticals @10.62 warrants 30233M115 48 137092 SH SOLE 137092 0 0 Sensus Healthcare, Inc @6.75 6 warrants 999999999 634 494939 SH SOLE 494939 0 0