0001535264-17-000042.txt : 20170512 0001535264-17-000042.hdr.sgml : 20170512 20170512165115 ACCESSION NUMBER: 0001535264-17-000042 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170512 DATE AS OF CHANGE: 20170512 EFFECTIVENESS DATE: 20170512 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: 17839439 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 03-31-2017 03-31-2017 AWM Investment Company, Inc.

527 MADISON AVENUE SUITE 2600 NEW YORK NY 10022

13F HOLDINGS REPORT 028-16479 N Adam Stettner 212-319-6670 /s/Adam Stettner New York X1 05-10-2017 0 96 534228 false INFORMATION TABLE 2 inftable.xml AWM 13F MARCH 2017 ARI Network Services, Inc. common 001930205 1560 300000 SH SOLE 300000 0 0 Achaogen, Inc. common 004449104 3280 130000 SH SOLE 130000 0 0 Adverum Biotechnologies, Inc. common 00773U108 540 200000 SH SOLE 200000 0 0 Aehr Test Systems common 00760J108 2785 578925 SH SOLE 578925 0 0 Aerovironment, Inc. common 008073108 10022 357534 SH SOLE 357534 0 0 Aldeyra Therapeutics, Inc. common 01438T106 4563 912610 SH SOLE 912610 0 0 American Superconductor, Corp. common 030111207 8494 1238245 SH SOLE 1238245 0 0 Aqua Metals, Inc. common 03837J101 25698 1315157 SH SOLE 1315157 0 0 Aratana Therapeutics, Inc. common 03874P101 5632 1062620 SH SOLE 1062620 0 0 Ardelyx, Inc. common 039697107 1265 100000 SH SOLE 100000 0 0 Atomera Incorporated common 04965B100 6039 852985 SH SOLE 852985 0 0 Aurinia Pharmaceuticals Inc. common 05156V102 2202 300000 SH SOLE 300000 0 0 AxoGen, Inc. common 05463X106 3575 342106 SH SOLE 342106 0 0 Bazaarvoice Inc. common 073271108 3715 863991 SH SOLE 863991 0 0 BioTelemetry, Inc. common 090672106 2872 99189 SH SOLE 99189 0 0 Boingo Wireless, Inc. common 09739C102 4612 355026 SH SOLE 355026 0 0 Brightcove, Inc. common 075097042 13112 1473280 SH SOLE 1473280 0 0 Broadwind Energy, Inc. common 11161T108 12495 1500009 SH SOLE 1500009 0 0 CEVA, Inc. common 157210105 39940 1125068 SH SOLE 1125068 0 0 CPI Aerostructures, Inc. common 125919308 1132 167710 SH SOLE 167710 0 0 CVD Equipment Corporation common 126601103 3008 288700 SH SOLE 288700 0 0 Citi Trends, Inc. common 17306X102 7310 430000 SH SOLE 430000 0 0 Clearside Biomedical, Inc. common 185063104 2709 341217 SH SOLE 341217 0 0 Concert Pharmaceuticals, Inc. common 206022105 1170 68606 SH SOLE 68606 0 0 Corium International Inc. common 21887L107 10248 2451700 SH SOLE 2451700 0 0 DSP Group, Inc. common 23332B106 8924 743639 SH SOLE 743639 0 0 Dermira, Inc. common 24983L104 1023 30000 SH SOLE 30000 0 0 Determine, Inc. common 250660107 2449 716220 SH SOLE 716220 0 0 Digimarc Corporation common 25381B101 2215 82039 SH SOLE 82039 0 0 ESSA Pharma Inc. common 29668H104 5295 1696968 SH SOLE 1696968 0 0 Enservco Corp common 29358Y102 1158 3458206 SH SOLE 3458206 0 0 Everspin Technology, Inc. common 30041T101 6678 796850 SH SOLE 796850 0 0 Female Health Co. common 314462102 565 559616 SH SOLE 559616 0 0 Five Prime Therapeutics, Inc. common 33830X104 2892 80000 SH SOLE 80000 0 0 Health Insurance Innovations common 42225K106 2370 148100 SH SOLE 148100 0 0 IZEA Inc. (F4) common 46603N202 4277 1018216 SH SOLE 1018216 0 0 Ideal Power, Inc. common 451622104 2833 871635 SH SOLE 871635 0 0 Ideal Power, Inc. Restricted common 451622104 1297 475000 SH SOLE 475000 0 0 Impinj, Inc. common 453204109 14818 489524 SH SOLE 489524 0 0 Infusystem Holdings, Inc. common 45685K102 4196 1824341 SH SOLE 1824341 0 0 Intellicheck Mobilisa, Inc. common 45817G201 5181 1985022 SH SOLE 1985022 0 0 Iteris, Inc. common 46564T107 2912 535369 SH SOLE 535369 0 0 Juniper Pharmaceuticals, Inc common 48203L107 475 100000 SH SOLE 100000 0 0 Kopin Corporation common 500600101 27064 6601034 SH SOLE 6601034 0 0 Kornit Digital Ltd., Israel common M6372Q113 3804 199177 SH SOLE 199177 0 0 Kratos Defense & Security common 50077B207 11203 1440000 SH SOLE 1440000 0 0 LRAD Corporation common 50213V109 6025 3989757 SH SOLE 3989757 0 0 LeMaitre Vascular Inc. common 525558201 18845 765105 SH SOLE 765105 0 0 LivePerson, Inc. common 538146101 13793 2013578 SH SOLE 2013578 0 0 Loxo Oncology, Inc. common 548862101 7574 180000 SH SOLE 180000 0 0 MCBC Holdings, Inc. common 55276F107 6787 419732 SH SOLE 419732 0 0 Manitex Int'l Inc. common 563420108 3267 487682 SH SOLE 487682 0 0 MaxLinear, Inc. common 57776J100 7573 270000 SH SOLE 270000 0 0 Microvision, Inc. common 594960106 15335 6158486 SH SOLE 6158486 0 0 NTN Buzztime, Inc. common 629410309 2788 324191 SH SOLE 324191 0 0 NV5 Global Inc. common 62945V109 2444 64994 SH SOLE 64994 0 0 NeoPhotonics Corporation common 64051T100 17641 1957938 SH SOLE 1957938 0 0 Neonode, Inc. common 64051M402 5465 3415615 SH SOLE 3415615 0 0 Netlist, Inc. common 64118P109 5624 5680928 SH SOLE 5680928 0 0 Ooma,Inc. common 683416101 11075 1113078 SH SOLE 1113078 0 0 Opko Health Inc. common 68375N103 2800 350000 SH SOLE 350000 0 0 OvaScience, Inc. common 69014Q101 280 150000 SH SOLE 150000 0 0 PC-Tel, Inc. common 69325Q105 2036 285899 SH SOLE 285899 0 0 Park Electrochemical Corp. common 700416209 3518 197000 SH SOLE 197000 0 0 Pfenex, Inc. common 717071104 5363 923107 SH SOLE 923107 0 0 Pfsweb, Inc. common 717098206 10189 1560394 SH SOLE 1560394 0 0 Polar Power, Inc. common 73102V105 2019 243233 SH SOLE 243233 0 0 Presbia, PLC (Ireland) common G7234P100 809 257727 SH SOLE 257727 0 0 QuickLogic Corp. common 74837P108 178 100000 SH SOLE 100000 0 0 RADCOM Ltd. common M81865111 838 39000 SH SOLE 39000 0 0 Rand logistics Inc. common 752182105 210 328835 SH SOLE 328835 0 0 Repligen Corporation common 759916109 4224 120000 SH SOLE 120000 0 0 Revolution Lighting Tech common 76155G107 7669 1025219 SH SOLE 1025219 0 0 Roka Bioscience Inc. common BBG000P8K 471 132297 SH SOLE 132297 0 0 SCYNEXIS, Inc. common 811292101 345 125000 SH SOLE 125000 0 0 Saia, Inc. common 78709Y105 664 15000 SH SOLE 15000 0 0 SeaChange International, Inc. common 811699107 488 196673 SH SOLE 196673 0 0 Sensus Healthcare, Inc common 81728J109 2160 491938 SH SOLE 491938 0 0 Sequans Communications - ADR common 817323108 20131 7320230 SH SOLE 7320230 0 0 SharpSpring, Inc. common 784589202 2415 530734 SH SOLE 530734 0 0 Sierra Oncology, Inc. common 74346L101 765 500000 SH SOLE 500000 0 0 Streamline Health Solutions common 86323X106 1147 1124539 SH SOLE 1124539 0 0 Syros Pharmaceuticals, Inc. common 87184Q107 757 47550 SH SOLE 47550 0 0 TUESDAY MORNING CORPORATION common 899035505 187 50000 SH SOLE 50000 0 0 Tactile Systems Technology common 87357P100 10422 550000 SH SOLE 550000 0 0 TearLab Corp. common 878193101 852 300000 SH SOLE 300000 0 0 The Meet Group, Inc. common 585141104 850 144396 SH SOLE 144396 0 0 Trillium Therapeutics Corp. common 89620X100 2256 365327 SH SOLE 365327 0 0 Ultra Clean Holdings, Inc. common 90385V107 17229 1021300 SH SOLE 1021300 0 0 Verastem, Inc. common 92337C104 621 300000 SH SOLE 300000 0 0 Vocera Communications, Inc. common 92857F107 16567 667232 SH SOLE 667232 0 0 XCel Brands Inc. common 98400M101 1008 373440 SH SOLE 373440 0 0 Xactly Corporation common 98386L101 558 46928 SH SOLE 46928 0 0 Cellectar Biosciences @4.68 8/ warrants 15117F203 41 106600 SH SOLE 106600 0 0 EyeGate Pharmaceuticals @10.62 warrants 30233M115 21 137092 SH SOLE 137092 0 0 Sensus Healthcare, Inc @6.75 6 warrants 81728J117 297 494939 SH SOLE 494939 0 0