Vice President

0001535264-18-000041.txt : 20180510 0001535264-18-000041.hdr.sgml : 20180510 20180510111425 ACCESSION NUMBER: 0001535264-18-000041 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180331 FILED AS OF DATE: 20180510 DATE AS OF CHANGE: 20180510 EFFECTIVENESS DATE: 20180510 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: 18821104 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 03-31-2018 03-31-2018 AWM Investment Company, Inc.

527 MADISON AVENUE SUITE 2600 NEW YORK NY 10022

13F HOLDINGS REPORT 028-16479 N Adam Stettner Vice President 212-319-6670 /s/Adam Stettner New York NY 05-10-2018 0 100 518610 false INFORMATION TABLE 2 inftable.xml AWM 13F MARCH 31 2018 ASV Holdings Inc. common 00215L104 4511 621330 SH SOLE 621330 0 0 Adesto Technologies Corp. common 00687D101 14345 1938500 SH SOLE 1938500 0 0 Aehr Test Systems common 00760J108 4055 1802226 SH SOLE 1802226 0 0 Aerovironment, Inc. common 008073108 2338 51379 SH SOLE 51379 0 0 American Superconductor, Corp. common 030111207 8127 1396324 SH SOLE 1396324 0 0 Aqua Metals, Inc. common 03837J101 2853 1101467 SH SOLE 1101467 0 0 Aratana Therapeutics, Inc. common 03874P101 2707 613795 SH SOLE 613795 0 0 Aspen Aerogels, Inc. common 04523Y105 1368 320264 SH SOLE 320264 0 0 Asure Software, Inc. common 04649U102 4153 339327 SH SOLE 339327 0 0 Atomera Incorporated common 04965B100 5529 886062 SH SOLE 886062 0 0 AxoGen, Inc. common 05463X106 9545 261506 SH SOLE 261506 0 0 BioTelemetry, Inc. common 090672106 3080 99189 SH SOLE 99189 0 0 Biofrontera AG (Germany) common 09075G105 4996 302418 SH SOLE 302418 0 0 Broadwind Energy, Inc. common 11161T207 2523 1146834 SH SOLE 1146834 0 0 CEVA, Inc. common 157210105 25795 712558 SH SOLE 712558 0 0 CVD Equipment Corporation common 126601103 2629 287900 SH SOLE 287900 0 0 CareDx, Inc. common 14167L103 2197 275700 SH SOLE 275700 0 0 Celcuity Inc. common 15102K100 3170 192377 SH SOLE 192377 0 0 Century Casinos, Inc. common 156492100 5190 695689 SH SOLE 695689 0 0 Christopher & Banks Corp. common 171046105 802 749960 SH SOLE 749960 0 0 Citi Trends, Inc. common 17306X102 13291 430000 SH SOLE 430000 0 0 Clearside Biomedical, Inc. common 185063104 6010 560155 SH SOLE 560155 0 0 Corium International Inc. common 21887L107 26018 2268343 SH SOLE 2268343 0 0 DSP Group, Inc. common 23332B106 9084 769816 SH SOLE 769816 0 0 Dermira, Inc. common 24983L104 1566 196000 SH SOLE 196000 0 0 Determine, Inc. common 250660107 2066 1455220 SH SOLE 1455220 0 0 Digimarc Corporation common 25381B101 1220 50945 SH SOLE 50945 0 0 Enservco Corp common 29358Y102 3752 4123442 SH SOLE 4123442 0 0 Everspin Technology, Inc. common 30041T104 10113 1339524 SH SOLE 1339524 0 0 Gaia, Inc. common 36269P104 3255 210000 SH SOLE 210000 0 0 IZEA Inc. common 46603N301 1988 543216 SH SOLE 543216 0 0 Ideal Power, Inc. common 451622104 1075 943000 SH SOLE 943000 0 0 Impinj, Inc. common 453204109 6838 525225 SH SOLE 525225 0 0 Infusystem Holdings, Inc. common 45685K102 4931 1700270 SH SOLE 1700270 0 0 Inspired Entertainment, Inc. common 45782N108 5417 984937 SH SOLE 984937 0 0 Iteris, Inc. common 46564T107 1660 334769 SH SOLE 334769 0 0 Juniper Pharmaceuticals, Inc common 48203L107 1522 150000 SH SOLE 150000 0 0 Kopin Corporation common 500600101 20636 6614094 SH SOLE 6614094 0 0 Kornit Digital Ltd., Israel common M6372Q113 4695 363958 SH SOLE 363958 0 0 Kratos Defense & Security common 50077B207 179 17407 SH SOLE 17407 0 0 LRAD Corporation common 50213V109 9176 3989757 SH SOLE 3989757 0 0 LeMaitre Vascular Inc. common 525558201 12818 353794 SH SOLE 353794 0 0 Leap Therapeutic, Inc. common 52187K101 802 96600 SH SOLE 96600 0 0 LivePerson, Inc. common 538146101 31287 1913578 SH SOLE 1913578 0 0 Loxo Oncology, Inc. common 548862101 9806 85000 SH SOLE 85000 0 0 MCBC Holdings, Inc. common 55276F107 6741 267500 SH SOLE 267500 0 0 Magal Security Sys Ltd(Israel) common 2544056US 764 132464 SH SOLE 132464 0 0 Manitex Int'l Inc. common 563420108 5574 487682 SH SOLE 487682 0 0 MaxLinear, Inc. common 57776J100 5915 260000 SH SOLE 260000 0 0 Maxwell Technologies, Inc. common 577767106 3370 568311 SH SOLE 568311 0 0 Microvision, Inc. common 594960304 8325 7367231 SH SOLE 7367231 0 0 NTN Buzztime, Inc. common 629410606 1712 251562 SH SOLE 251562 0 0 NV5 Global Inc. common 62945V109 1402 25156 SH SOLE 25156 0 0 NeoPhotonics Corporation common 64051T100 16030 2340183 SH SOLE 2340183 0 0 Neonode, Inc. common 64051M402 1298 3080979 SH SOLE 3080979 0 0 Netlist, Inc. common 64118P109 1596 6909089 SH SOLE 6909089 0 0 OPKO Health Inc. common 68375N103 808 255000 SH SOLE 255000 0 0 Ooma,Inc. common 683416101 14684 1347149 SH SOLE 1347149 0 0 OrthoPediatrics, Corp. common 68752L100 6919 459418 SH SOLE 459418 0 0 OvaScience, Inc. common 69014Q101 122 150000 SH SOLE 150000 0 0 PC-Tel, Inc. common 69325Q105 1970 274399 SH SOLE 274399 0 0 Pfsweb, Inc. common 717098206 13009 1488492 SH SOLE 1488492 0 0 Reata Pharmaceuticals, Inc. common 75615P103 1333 65000 SH SOLE 65000 0 0 Reed's, Inc. common 758338107 1896 1115458 SH SOLE 1115458 0 0 Repligen Corporation common 759916109 4378 121000 SH SOLE 121000 0 0 SITO Mobile Ltd. common 82988R203 502 125000 SH SOLE 125000 0 0 Saia, Inc. common 78709Y105 903 12010 SH SOLE 12010 0 0 Sensus Healthcare, Inc common 81728J109 2873 491938 SH SOLE 491938 0 0 Sequans Communications - ADR common 817323108 14458 8606057 SH SOLE 8606057 0 0 SharpSpring, Inc. common 820054104 3501 549637 SH SOLE 549637 0 0 Spero Therapeutics, Inc. common 84833T103 4987 350000 SH SOLE 350000 0 0 Tactile Systems Technology common 87357P100 15456 486035 SH SOLE 486035 0 0 Trillium Therapeutics Corp. Ca common 89620X506 6870 954138 SH SOLE 954138 0 0 Tuesday Morning Corporation common 899035505 2568 650100 SH SOLE 650100 0 0 Ultra Clean Holdings, Inc. common 90385V107 18961 985000 SH SOLE 985000 0 0 Veru,Inc. common 92536C103 1050 580000 SH SOLE 580000 0 0 Vivint Solar Inc. common 92854q106 1506 412556 SH SOLE 412556 0 0 Vocera Communications, Inc. common 92857F107 8027 342757 SH SOLE 342757 0 0 XCel Brands Inc. common 98400M101 1374 429277 SH SOLE 429277 0 0 Xplore Technologies, Corp. common 983950700 935 288732 SH SOLE 288732 0 0 XpresSpa Group, Inc. common 98420U109 1903 2643745 SH SOLE 2643745 0 0 Zafgen Inc. common 98885E102 3755 503977 SH SOLE 503977 0 0 Zealand Pharma A/S ADR (Denmar common 98920Y304 4817 320719 SH SOLE 320719 0 0 argenx SE - ADR (Netherlands) common 04016X101 8044 100000 SH SOLE 100000 0 0 eMagin Corporation common 29076N206 7873 5429524 SH SOLE 5429524 0 0 scPharmaceuticals, Inc. common 810648105 2645 213317 SH SOLE 213317 0 0 Ideal Power, Inc. Series A PS preferred 999999999 923 810000 SH SOLE 810000 0 0 Ideal Power, Inc. Series A PS preferred 999999999 808 708430 SH SOLE 708430 0 0 Trillium Therapeutics @6.30Cd preferred 89620X100 2782 11664286 SH SOLE 11664286 0 0 Cellectar Biosciences @4.68 8/ warrants 15117F203 13 106600 SH SOLE 106600 0 0 Determine @6.00 8/6/15-8/6/20 warrants 999999999 1 26595 SH SOLE 26595 0 0 Determine @7.00 8/27/14-8/27/1 warrants 999999999 1 65625 SH SOLE 65625 0 0 EyeGate Pharmaceuticals @10.62 warrants 30233M115 12 137092 SH SOLE 137092 0 0 Ideal Power @2.41 9/4/17-3/3/2 warrants 999999999 237 1183430 SH SOLE 1183430 0 0 Neonode (Pre-fund $1) @.01 no warrants 999999999 1476 3600000 SH SOLE 3600000 0 0 Neonode Inc @1.12 2/17/17-2/17 warrants 999999999 160 2000000 SH SOLE 2000000 0 0 Sensus Healthcare, Inc @6.75 6 warrants 81728J117 297 494939 SH SOLE 494939 0 0 Trillium @.28Cd 12/13/18 R/R 5 warrants 999999999 893 17857143 SH SOLE 17857143 0 0 eMagin Corporation @1.55 1/29/ warrants 999999999 418 890000 SH SOLE 890000 0 0 eMagin Corporation @2.45 5/24/ warrants 999999999 617 1625000 SH SOLE 1625000 0 0