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