0001535264-17-000066.txt : 20170830 0001535264-17-000066.hdr.sgml : 20170830 20170830151033 ACCESSION NUMBER: 0001535264-17-000066 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170830 DATE AS OF CHANGE: 20170830 EFFECTIVENESS DATE: 20170830 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-16479 FILM NUMBER: 171060436 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/A 1 primary_doc.xml 13F-HR/A LIVE false false false 0001535264 XXXXXXXX 06-30-2017 06-30-2017 true 1 RESTATEMENT 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 NY 08-30-2017 0 92 565537 false INFORMATION TABLE 2 inftable.xml AWM13FJUNE2017 ARI Network Services, Inc. common 001930205 2115 300000 SH SOLE 300000 0 0 ASV Holdings Inc. common 00215K104 5909 725000 SH SOLE 725000 0 0 Achaogen, Inc. common 004449104 2829 130200 SH SOLE 130200 0 0 Adesto Technologies Corp. common 00687D101 8190 1800000 SH SOLE 1800000 0 0 Adverum Biotechnologies, Inc. common 00773U108 500 200000 SH SOLE 200000 0 0 Aehr Test Systems common 00760J108 4998 1332890 SH SOLE 1332890 0 0 Aerovironment, Inc. common 008073108 12731 333272 SH SOLE 333272 0 0 American Superconductor, Corp. common 030111207 7018 1519124 SH SOLE 1519124 0 0 Aqua Metals, Inc. common 03837J101 18331 1460637 SH SOLE 1460637 0 0 Aratana Therapeutics, Inc. common 03874P101 11478 1587620 SH SOLE 1587620 0 0 Ardelyx, Inc. common 039697107 510 100000 SH SOLE 100000 0 0 Asure Software, Inc. common 04649U102 2595 177624 SH SOLE 177624 0 0 Atomera Incorporated common 04965B100 3676 852985 SH SOLE 852985 0 0 Aurinia Pharmaceuticals Inc. common 05156V102 2161 352500 SH SOLE 352500 0 0 Avinger, Inc. common 053734109 516 1150000 SH SOLE 1150000 0 0 AxoGen, Inc. common 05463X106 5645 337006 SH SOLE 337006 0 0 Bazaarvoice Inc. common 073271108 3189 644230 SH SOLE 644230 0 0 BioTelemetry, Inc. common 090672106 3318 99189 SH SOLE 99189 0 0 Boingo Wireless, Inc. common 09739C102 5305 354591 SH SOLE 354591 0 0 Broadwind Energy, Inc. common 11161T207 7270 1442434 SH SOLE 1442434 0 0 CEVA, Inc. common 157210105 39857 876931 SH SOLE 876931 0 0 CVD Equipment Corporation common 126601103 3196 288700 SH SOLE 288700 0 0 Christopher & Banks Corp. common 171046105 982 749960 SH SOLE 749960 0 0 Citi Trends, Inc. common 17306X102 9125 430000 SH SOLE 430000 0 0 Clearside Biomedical, Inc. common 185063104 3657 401433 SH SOLE 401433 0 0 Corium International Inc. common 21887L107 16984 2276700 SH SOLE 2276700 0 0 DSP Group, Inc. common 23332B106 8626 743639 SH SOLE 743639 0 0 Determine, Inc. common 250660107 3871 1455220 SH SOLE 1455220 0 0 Digimarc Corporation common 25381B101 2169 54023 SH SOLE 54023 0 0 ESSA Pharma Inc. common 29668H104 792 1440269 SH SOLE 1440269 0 0 Enservco Corp common 29358Y102 1202 3839415 SH SOLE 3839415 0 0 Everspin Technology, Inc. common 30041T104 15104 755954 SH SOLE 755954 0 0 Female Health Co. common 92536C103 630 600000 SH SOLE 600000 0 0 Five Prime Therapeutics, Inc. common 33830X104 3011 100000 SH SOLE 100000 0 0 Health Insurance Innovations, common 42225K106 2546 108347 SH SOLE 108347 0 0 IZEA Inc. common 46603N301 1945 1018216 SH SOLE 1018216 0 0 Ideal Power, Inc. common 451622104 2828 1346635 SH SOLE 1346635 0 0 Identiv, Inc. common 45170X205 3293 627271 SH SOLE 627271 0 0 Impinj, Inc. common 453204109 23694 487024 SH SOLE 487024 0 0 Infusystem Holdings, Inc. common 45685K102 2544 1413201 SH SOLE 1413201 0 0 Intellicheck Mobilisa, Inc. common 45817G201 6318 1628341 SH SOLE 1628341 0 0 Iteris, Inc. common 46564T107 3330 535369 SH SOLE 535369 0 0 Juniper Pharmaceuticals, Inc common 48203L107 505 100000 SH SOLE 100000 0 0 Kopin Corporation common 500600101 24765 6675282 SH SOLE 6675282 0 0 Kornit Digital Ltd., Israel common M6372Q113 6774 350098 SH SOLE 350098 0 0 Kratos Defense & Security Solu common 50077B207 389 32807 SH SOLE 32807 0 0 LRAD Corporation common 50213V109 6743 3989757 SH SOLE 3989757 0 0 LeMaitre Vascular Inc. common 525558201 20743 664428 SH SOLE 664428 0 0 LivePerson, Inc. common 538146101 22149 2013578 SH SOLE 2013578 0 0 Loxo Oncology, Inc. common 548862101 12830 160000 SH SOLE 160000 0 0 MCBC Holdings, Inc. common 55276F107 8274 423232 SH SOLE 423232 0 0 Manitex Int'l Inc. common 563420108 3404 487682 SH SOLE 487682 0 0 MaxLinear, Inc. common 57776J100 7251 260000 SH SOLE 260000 0 0 Microvision, Inc. common 594960304 13997 6602231 SH SOLE 6602231 0 0 NTN Buzztime, Inc. common 629410606 2204 324191 SH SOLE 324191 0 0 NV5 Global Inc. common 62945V109 1452 34156 SH SOLE 34156 0 0 NeoPhotonics Corporation common 64051T100 17492 2265838 SH SOLE 2265838 0 0 Neonode, Inc. common 64051M402 3376 3126315 SH SOLE 3126315 0 0 Netlist, Inc. common 64118P109 5671 5560089 SH SOLE 5560089 0 0 Ooma,Inc. common 683416101 10752 1343950 SH SOLE 1343950 0 0 Opko Health Inc. common 68375N103 2303 350000 SH SOLE 350000 0 0 OvaScience, Inc. common 69014Q101 234 150000 SH SOLE 150000 0 0 PC-Tel, Inc. common 69325Q105 1943 274399 SH SOLE 274399 0 0 Park Electrochemical Corp. common 700416209 3629 197000 SH SOLE 197000 0 0 Pfenex, Inc. common 717071104 2259 563255 SH SOLE 563255 0 0 Pfsweb, Inc. common 717098206 12889 1560394 SH SOLE 1560394 0 0 RADCOM Ltd. common M81865111 610 31500 SH SOLE 31500 0 0 Rand logistics Inc. common 752182105 128 328835 SH SOLE 328835 0 0 Repligen Corporation common 759916109 4973 120000 SH SOLE 120000 0 0 Revolution Lighting Tech common 76155G206 6095 924941 SH SOLE 924941 0 0 Roka Bioscience Inc. common 775431208 352 132297 SH SOLE 132297 0 0 Saia, Inc. common 78709Y105 769 15000 SH SOLE 15000 0 0 Sensus Healthcare, Inc common 81728J109 1978 491938 SH SOLE 491938 0 0 Sequans Communications - ADR common 817323108 25577 7727240 SH SOLE 7727240 0 0 SharpSpring, Inc. common 820054104 2404 530734 SH SOLE 530734 0 0 Sierra Oncology, Inc. common 82640U107 585 500000 SH SOLE 500000 0 0 Syros Pharmaceuticals, Inc. common 87184Q107 1957 121624 SH SOLE 121624 0 0 Tactile Systems Technology, common 87357P100 15719 550000 SH SOLE 550000 0 0 The Meet Group, Inc. common 58513U101 728 144096 SH SOLE 144096 0 0 Trillium Therapeutics Corp. common 89620X506 4415 1003522 SH SOLE 1003522 0 0 Tuesday Morning Corporation common 899035505 1235 650000 SH SOLE 650000 0 0 Ultra Clean Holdings, Inc. common 90385V107 16312 870000 SH SOLE 870000 0 0 Verastem, Inc. common 92337C104 109 50000 SH SOLE 50000 0 0 Vocera Communications, Inc. common 92857F107 12784 483857 SH SOLE 483857 0 0 XCel Brands Inc. common 98400M101 1312 430002 SH SOLE 430002 0 0 Xactly Corporation common 98386L101 734 46928 SH SOLE 46928 0 0 Xplore Technologies, Corp. common 983950700 301 154521 SH SOLE 154521 0 0 argenx SE - ADR (Netherlands) common 04016X101 2121 100000 SH SOLE 100000 0 0 eMagin Corporation common 29076N206 7989 3261000 SH SOLE 3261000 0 0 Cellectar Biosciences @4.68 8/ warrants 15117F120 23 106600 SH SOLE 106600 0 0 EyeGate Pharmaceuticals @10.62 warrants 30233M115 11 137092 SH SOLE 137092 0 0 Sensus Healthcare, Inc @6.75 6 warrants 81728J117 297 494939 SH SOLE 494939 0 0