Executive Vice President

0001535264-17-000077.txt : 20171114 0001535264-17-000077.hdr.sgml : 20171114 20171114145414 ACCESSION NUMBER: 0001535264-17-000077 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171114 DATE AS OF CHANGE: 20171114 EFFECTIVENESS DATE: 20171114 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: 171200752 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 09-30-2017 09-30-2017 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 10-31-2017 0 89 572578 false INFORMATION TABLE 2 inftable.xml AWM 13F SEPT 30 2017 ASV Holdings Inc. common 00215L104 4195 514143 SH SOLE 514143 0 0 Achaogen, Inc. common 004449104 1917 120200 SH SOLE 120200 0 0 Adesto Technologies Corp. common 00687D101 14132 1800200 SH SOLE 1800200 0 0 Aehr Test Systems common 00760J108 5841 1428131 SH SOLE 1428131 0 0 Aerovironment, Inc. common 008073108 8368 154621 SH SOLE 154621 0 0 American Superconductor, Corp. common 030111207 2739 603364 SH SOLE 603364 0 0 Aqua Metals, Inc. common 03837J101 10147 1481378 SH SOLE 1481378 0 0 Aratana Therapeutics, Inc. common 03874P101 9578 1562517 SH SOLE 1562517 0 0 Asure Software, Inc. common 04649U102 3411 274667 SH SOLE 274667 0 0 Atomera Incorporated common 04965B100 3262 838585 SH SOLE 838585 0 0 Aurinia Pharmaceuticals Inc. common 05156V102 2210 352500 SH SOLE 352500 0 0 AxoGen, Inc. common 05463X106 6521 337006 SH SOLE 337006 0 0 Bazaarvoice Inc. common 073271108 3189 644230 SH SOLE 644230 0 0 BioTelemetry, Inc. common 090672106 3273 99189 SH SOLE 99189 0 0 Boingo Wireless, Inc. common 09739C102 7563 353891 SH SOLE 353891 0 0 Broadwind Energy, Inc. common 11161T207 4590 1416734 SH SOLE 1416734 0 0 CEVA, Inc. common 157210105 35878 838277 SH SOLE 838277 0 0 CVD Equipment Corporation common 126601103 3147 288700 SH SOLE 288700 0 0 Celcuity Inc. common 15102K100 3672 300000 SH SOLE 300000 0 0 Christopher & Banks Corp. common 171046105 1020 749960 SH SOLE 749960 0 0 Citi Trends, Inc. common 17306X102 8544 430000 SH SOLE 430000 0 0 Clearside Biomedical, Inc. common 185063104 893 102224 SH SOLE 102224 0 0 Corium International Inc. common 21887L107 25484 2300000 SH SOLE 2300000 0 0 DSP Group, Inc. common 23332B106 9667 743639 SH SOLE 743639 0 0 Daseke Inc. common 23753F107 522 40000 SH SOLE 40000 0 0 Dermira, Inc. common 24983L104 2025 75000 SH SOLE 75000 0 0 Determine, Inc. common 250660107 3121 1455220 SH SOLE 1455220 0 0 Digimarc Corporation common 25381B101 2460 67223 SH SOLE 67223 0 0 Enservco Corp common 29358Y102 2101 3938797 SH SOLE 3938797 0 0 Everspin Technology, Inc. common 3041T1014 11725 686075 SH SOLE 686075 0 0 Female Health Company common 92536C103 1590 600000 SH SOLE 600000 0 0 Five Prime Therapeutics, Inc. common 33830X104 4091 100000 SH SOLE 100000 0 0 Form Holdings Corporation common 34634E102 4106 2953745 SH SOLE 2953745 0 0 Great Lakes Dredge & Dock Co. common 390607109 531 109391 SH SOLE 109391 0 0 IZEA Inc. common 46603N301 3857 543216 SH SOLE 543216 0 0 Ideal Power, Inc. common 451622104 2102 811635 SH SOLE 811635 0 0 Identiv, Inc. common 45170X205 3231 696325 SH SOLE 696325 0 0 Impinj, Inc. common 453204109 20419 490724 SH SOLE 490724 0 0 Infusystem Holdings, Inc. common 45685K102 3041 1483656 SH SOLE 1483656 0 0 Intellicheck Mobilisa, Inc. common 45817G201 4297 1491896 SH SOLE 1491896 0 0 Invitae Corp. common 461852103 187 20000 SH SOLE 20000 0 0 Iteris, Inc. common 46564T107 2560 384969 SH SOLE 384969 0 0 Kopin Corporation common 500600101 27742 6652845 SH SOLE 6652845 0 0 Kornit Digital Ltd., Israel common M6372Q113 5358 350198 SH SOLE 350198 0 0 Kratos Defense & Security Solu common 50077B207 228 17407 SH SOLE 17407 0 0 LRAD Corporation common 50213V109 8498 3989757 SH SOLE 3989757 0 0 LeMaitre Vascular Inc. common 525558201 21021 561768 SH SOLE 561768 0 0 LivePerson, Inc. common 538146101 27284 2013578 SH SOLE 2013578 0 0 Loxo Oncology, Inc. common 548862101 11515 125000 SH SOLE 125000 0 0 MCBC Holdings, Inc. common 55276F107 7052 346008 SH SOLE 346008 0 0 Magal Security Sys Ltd (Israel common 2544056US 50 10450 SH SOLE 10450 0 0 Manitex Int'l Inc. common 563420108 4379 487682 SH SOLE 487682 0 0 MaxLinear, Inc. common 57776J100 6175 260000 SH SOLE 260000 0 0 Microvision, Inc. common 594960304 20342 7317231 SH SOLE 7317231 0 0 NTN Buzztime, Inc. common 629410606 1905 311076 SH SOLE 311076 0 0 NV5 Global Inc. common 62945V109 1375 25156 SH SOLE 25156 0 0 NeoPhotonics Corporation common 64051T100 13640 2453258 SH SOLE 2453258 0 0 Neonode, Inc. common 64051M402 3945 3082079 SH SOLE 3082079 0 0 Netlist, Inc. common 64118P109 5078 6909089 SH SOLE 6909089 0 0 Ooma,Inc. common 683416101 14212 1347149 SH SOLE 1347149 0 0 Opko Health Inc. common 68375N103 1749 255000 SH SOLE 255000 0 0 OvaScience, Inc. common 69014Q101 213 150000 SH SOLE 150000 0 0 PC-Tel, Inc. common 69325Q105 1729 274399 SH SOLE 274399 0 0 Park Electrochemical Corp. common 700416209 3644 197000 SH SOLE 197000 0 0 Pfsweb, Inc. common 717098206 13029 1560394 SH SOLE 1560394 0 0 RADCOM Ltd. common M81865111 1100 52265 SH SOLE 52265 0 0 Reata Pharmaceuticals, Inc. common 75615P103 4966 159665 SH SOLE 159665 0 0 Repligen Corporation common 759916109 4637 121000 SH SOLE 121000 0 0 Revolution Lighting Technologi common 76155G206 2638 405846 SH SOLE 405846 0 0 Saia, Inc. common 78709Y105 814 13000 SH SOLE 13000 0 0 Sensus Healthcare, Inc common 81728J109 2450 491938 SH SOLE 491938 0 0 Sequans Communications - ADR common 817323108 24264 7727240 SH SOLE 7727240 0 0 SharpSpring, Inc. common 820054104 1725 530734 SH SOLE 530734 0 0 Syros Pharmaceuticals, Inc. common 87184Q107 1840 125000 SH SOLE 125000 0 0 Tactile Systems Technology, In common 87357P100 14911 481773 SH SOLE 481773 0 0 The Meet Group, Inc. common 58513U101 361 99096 SH SOLE 99096 0 0 Trillium Therapeutics Corp. Ca common 89620X506 5560 1079618 SH SOLE 1079618 0 0 Tuesday Morning Corporation common 899035505 2080 650100 SH SOLE 650100 0 0 Ultra Clean Holdings, Inc. common 90385V107 22864 746716 SH SOLE 746716 0 0 Vocera Communications, Inc. common 92857F107 13356 425759 SH SOLE 425759 0 0 XCel Brands Inc. common 98400M101 1591 430002 SH SOLE 430002 0 0 Xplore Technologies, Corp. common 983950700 544 154521 SH SOLE 154521 0 0 YogaWorks, Inc. common 986005106 221 79790 SH SOLE 79790 0 0 Zealand Pharma A/S ADR (Denmar common 98920Y304 5380 280201 SH SOLE 280201 0 0 argenx SE - ADR (Netherlands) common 04016X101 2244 100000 SH SOLE 100000 0 0 eMagin Corporation common 29076N206 7337 3261000 SH SOLE 3261000 0 0 Cellectar Biosciences @4.68 8/ warrants 15117F203 17 106600 SH SOLE 106600 0 0 EyeGate Pharmaceuticals @10.62 warrants 30233M115 16 137092 SH SOLE 137092 0 0 Sensus Healthcare, Inc @6.75 6 warrants 81728J117 287 494939 SH SOLE 494939 0 0