0001535264-17-000005.txt : 20170202 0001535264-17-000005.hdr.sgml : 20170202 20170202153916 ACCESSION NUMBER: 0001535264-17-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170202 DATE AS OF CHANGE: 20170202 EFFECTIVENESS DATE: 20170202 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: 17568156 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 12-31-2016 12-31-2016 AWM Investment Company, Inc.

527 MADISON AVENUE SUITE 2600 NEW YORK NY 10022

13F HOLDINGS REPORT 028-16479 N David M. Greenhouse 212-319-6670 /s/David M. Greenhouse New York NY 02-02-2017 0 100 510028 false INFORMATION TABLE 2 inftable.xml AWM 13F DEC 2016 ARI Network Services, Inc. common 001930205 1623 300000 SH SOLE 300000 0 0 Achaogen, Inc. common 004449104 1577 121100 SH SOLE 121100 0 0 Aehr Test Systems common 00760J108 2530 1050000 SH SOLE 1050000 0 0 Aerovironment, Inc. common 008073108 9590 357434 SH SOLE 357434 0 0 Aldeyra Therapeutics, Inc. common 01438T106 4882 912610 SH SOLE 912610 0 0 American Superconductor, Corp. common 030111207 9187 1246576 SH SOLE 1246576 0 0 Aqua Metals, Inc. common 03837J101 19108 1457524 SH SOLE 1457524 0 0 Aratana Therapeutics, Inc. common 03874P101 7216 1005000 SH SOLE 1005000 0 0 Ardelyx, Inc. common 039697107 1420 100000 SH SOLE 100000 0 0 Atomera Incorporated common 04965B100 5758 852985 SH SOLE 852985 0 0 AxoGen, Inc. common 05463X106 3079 342106 SH SOLE 342106 0 0 Bazaarvoice Inc. common 073271108 3705 763991 SH SOLE 763991 0 0 BioTelemetry, Inc. common 090672106 2440 109189 SH SOLE 109189 0 0 Boingo Wireless, Inc. common 09739C102 4328 355026 SH SOLE 355026 0 0 Brightcove, Inc. common 075097042 11860 1473280 SH SOLE 1473280 0 0 Broadwind Energy, Inc. common 11161T108 6068 1500009 SH SOLE 1500009 0 0 CEVA, Inc. common 157210105 37154 1107410 SH SOLE 1107410 0 0 CPI Aerostructures, Inc. common 125919308 3920 423752 SH SOLE 423752 0 0 CVD Equipment Corporation common 126601103 2506 288700 SH SOLE 288700 0 0 Castlight Health, Inc. common 14862Q100 2460 496932 SH SOLE 496932 0 0 ChannelAdvisor, Corp. common 159179100 5323 370914 SH SOLE 370914 0 0 Cherokee Inc. common 16444H102 3150 300000 SH SOLE 300000 0 0 Cidara Therapeutics Inc. common 171757107 2732 262655 SH SOLE 262655 0 0 Cipher Pharmaceuticals, Inc. common 17253X105 676 185300 SH SOLE 185300 0 0 Citi Trends, Inc. common 17306X102 7113 377573 SH SOLE 377573 0 0 Clearside Biomedical, Inc. common 185063104 1117 125000 SH SOLE 125000 0 0 CoLucid Pharmaceuticals, Inc. common 19716T101 10517 288919 SH SOLE 288919 0 0 Concert Pharmaceuticals, Inc. common 206022105 1132 110000 SH SOLE 110000 0 0 Corium International Inc. common 21887L107 812 200000 SH SOLE 200000 0 0 DSP Group, Inc. common 23332B106 9704 743639 SH SOLE 743639 0 0 Determine, Inc. common 250660107 1325 716220 SH SOLE 716220 0 0 Digimarc Corporation common 25381B101 2461 82039 SH SOLE 82039 0 0 ESSA Pharma Inc. common 29668H104 3716 1696968 SH SOLE 1696968 0 0 Earthstone Energy, Inc. common 27032D205 4795 349000 SH SOLE 349000 0 0 Energous Corporation common 29272C103 3437 203962 SH SOLE 203962 0 0 Enservco Corp common 29358Y102 2100 3750000 SH SOLE 3750000 0 0 Everspin Technology, Inc. common 30041T101 6606 796850 SH SOLE 796850 0 0 Extreme Networks, Inc. common 30226D106 2006 398762 SH SOLE 398762 0 0 Female Health Co. common 314462102 364 400000 SH SOLE 400000 0 0 Five Prime Therapeutics, Inc. common 33830X104 4009 80000 SH SOLE 80000 0 0 IZEA Inc. common 46603N202 4592 1018216 SH SOLE 1018216 0 0 Ideal Power, Inc. common 451622104 5550 1681935 SH SOLE 1681935 0 0 Impinj, Inc. common 453204109 16632 470623 SH SOLE 470623 0 0 Infusystem Holdings, Inc. common 45685K102 5239 2054507 SH SOLE 2054507 0 0 Intellicheck Mobilisa, Inc. common 45817G201 5459 1985022 SH SOLE 1985022 0 0 Invuity, Inc. common 46187J205 484 84222 SH SOLE 84222 0 0 Iteris, Inc. common 46564T107 1949 535369 SH SOLE 535369 0 0 Kopin Corporation common 500600101 18747 6601034 SH SOLE 6601034 0 0 Kratos Defense & Security Solu common 50077B207 7400 1000000 SH SOLE 1000000 0 0 LRAD Corporation common 50213V109 6822 3989757 SH SOLE 3989757 0 0 LeMaitre Vascular Inc. common 525558201 19388 765105 SH SOLE 765105 0 0 LendingTree, Inc. common 894675107 4865 48000 SH SOLE 48000 0 0 LivePerson, Inc. common 538146101 15203 2013578 SH SOLE 2013578 0 0 Loxo Oncology, Inc. common 548862101 5781 180000 SH SOLE 180000 0 0 MCBC Holdings, Inc. common 55276F107 6591 452065 SH SOLE 452065 0 0 Manitex Int'l Inc. common 563420108 3345 487682 SH SOLE 487682 0 0 MaxLinear, Inc. common 57776J100 6322 290000 SH SOLE 290000 0 0 Microvision, Inc. common 594960106 7717 6124766 SH SOLE 6124766 0 0 NTN Buzztime, Inc. common 629410309 2756 324191 SH SOLE 324191 0 0 NV5 Global Inc. common 62945V109 2588 77500 SH SOLE 77500 0 0 NeoPhotonics Corporation common 64051T100 19821 1833538 SH SOLE 1833538 0 0 Neonode, Inc. common 64051M402 6746 3666195 SH SOLE 3666195 0 0 Netlist, Inc. common 64118P109 5795 5680928 SH SOLE 5680928 0 0 Opko Health Inc. common 68375N103 3255 350000 SH SOLE 350000 0 0 OvaScience, Inc. common 69014Q101 229 150000 SH SOLE 150000 0 0 PC-Tel, Inc. common 69325Q105 1544 286999 SH SOLE 286999 0 0 ParkerVision, Inc. common 701354102 609 331062 SH SOLE 331062 0 0 Pfenex, Inc. common 717071104 8373 923107 SH SOLE 923107 0 0 Pfsweb, Inc. common 717098206 13139 1545738 SH SOLE 1545738 0 0 Polar Power, Inc. common 73102V105 3522 393500 SH SOLE 393500 0 0 Presbia, PLC (Ireland) common G7234P100 1143 331307 SH SOLE 331307 0 0 RADCOM Ltd. common M81865111 694 39000 SH SOLE 39000 0 0 Rand logistics Inc. common 752182105 273 328835 SH SOLE 328835 0 0 Repligen Corporation common 759916109 3698 120000 SH SOLE 120000 0 0 Revolution Lighting Technologi common 76155G107 5225 950000 SH SOLE 950000 0 0 SCYNEXIS, Inc. common 811292101 399 125000 SH SOLE 125000 0 0 Saia, Inc. common 78709Y105 993 22500 SH SOLE 22500 0 0 SeaChange International, Inc. common 811699107 452 196673 SH SOLE 196673 0 0 Sensus Healthcare, Inc common 81728J109 2573 491938 SH SOLE 491938 0 0 Sequans Communications - ADR common 817323108 13689 7320230 SH SOLE 7320230 0 0 SharpSpring, Inc. common 784589202 2797 530734 SH SOLE 530734 0 0 Sierra Oncology, Inc. common 74346L101 745 500000 SH SOLE 500000 0 0 Streamline Health Solutions common 86323X106 1397 1126739 SH SOLE 1126739 0 0 Support.com, Inc. common 86858W101 174 202663 SH SOLE 202663 0 0 Syros Pharmaceuticals, Inc. common 87184Q107 578 47550 SH SOLE 47550 0 0 TRACON Pharmaceuticals, Inc. common 89237H100 1098 224153 SH SOLE 224153 0 0 Tactile Systems Technology, In common 87357P100 9025 550000 SH SOLE 550000 0 0 TearLab Corp. common 878193101 3712 7277250 SH SOLE 7277250 0 0 Trevena, Inc. common 89532E109 1176 200000 SH SOLE 200000 0 0 Trillium Therapeutics Corp. Ca common 89620X100 2064 365327 SH SOLE 365327 0 0 Turtle Beach Corporation common 900450107 524 400000 SH SOLE 400000 0 0 Ultra Clean Holdings, Inc. common 90385V107 12382 1276531 SH SOLE 1276531 0 0 Verastem, Inc. common 92337C104 422 377082 SH SOLE 377082 0 0 Vocera Communications, Inc. common 92857F107 17592 951427 SH SOLE 951427 0 0 XCel Brands Inc. common 98400M101 1639 372540 SH SOLE 372540 0 0 Xactly Corporation common 98386L101 516 46928 SH SOLE 46928 0 0 Xplore Technologies, Corp. common 983950700 769 380621 SH SOLE 380621 0 0 Cellectar Biosciences @4.68 8/ warrants 15117F203 19 106600 SH SOLE 106600 0 0 EyeGate Pharmaceuticals @10.62 warrants 30233M115 41 137092 SH SOLE 137092 0 0 Sensus Healthcare, Inc @6.75 6 warrants 81728J117 247 494939 SH SOLE 494939 0 0