Executive Vice President

0001535264-18-000050.txt : 20180809 0001535264-18-000050.hdr.sgml : 20180809 20180809135747 ACCESSION NUMBER: 0001535264-18-000050 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180630 FILED AS OF DATE: 20180809 DATE AS OF CHANGE: 20180809 EFFECTIVENESS DATE: 20180809 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: 181004412 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 06-30-2018 06-30-2018 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 08-08-2018 0 93 599036 false INFORMATION TABLE 2 inftable.xml AWM 13F JUNE 30, 2018 Adesto Technologies Corp. common 00687D101 15986 1903062 SH SOLE 1903062 0 0 Aehr Test Systems common 00760J108 4235 1802226 SH SOLE 1802226 0 0 Aerovironment, Inc. common 008073108 2493 34900 SH SOLE 34900 0 0 Airgain, Inc. common 00938A104 874 95107 SH SOLE 95107 0 0 American Superconductor, Corp. common 030111207 8770 1252914 SH SOLE 1252914 0 0 Aqua Metals, Inc. common 03837J101 7143 2480184 SH SOLE 2480184 0 0 Aspen Group, Inc. common 04530L203 5067 678380 SH SOLE 678380 0 0 Asure Software, Inc. common 04649U102 7964 499327 SH SOLE 499327 0 0 Atomera Incorporated common 04965B100 5423 886062 SH SOLE 886062 0 0 AxoGen, Inc. common 05463X106 13141 261506 SH SOLE 261506 0 0 BioTelemetry, Inc. common 090672106 4014 89189 SH SOLE 89189 0 0 Biofrontera AG (Germany) common 09075G105 3674 302418 SH SOLE 302418 0 0 Broadwind Energy, Inc. common 11161T207 2766 1171834 SH SOLE 1171834 0 0 CEVA, Inc. common 157210105 21702 718623 SH SOLE 718623 0 0 CVD Equipment Corporation common 126601103 1728 259414 SH SOLE 259414 0 0 CareDx, Inc. common 14167L103 3807 311002 SH SOLE 311002 0 0 Century Casinos, Inc. common 156492100 6306 720689 SH SOLE 720689 0 0 Christopher & Banks Corp. common 171046105 515 547960 SH SOLE 547960 0 0 Citi Trends, Inc. common 17306X102 10693 389700 SH SOLE 389700 0 0 Clearside Biomedical, Inc. common 185063104 7109 664995 SH SOLE 664995 0 0 Corium International Inc. common 21887L107 18370 2293343 SH SOLE 2293343 0 0 DSP Group, Inc. common 23332B106 9650 775140 SH SOLE 775140 0 0 Destination XL Group, Inc. common 25065K104 597 265461 SH SOLE 265461 0 0 Determine, Inc. common 250660107 2052 1455220 SH SOLE 1455220 0 0 Digimarc Corporation common 25381B101 1173 43772 SH SOLE 43772 0 0 Electrocore, LLC common 28531P103 4540 275000 SH SOLE 275000 0 0 Enservco Corp common 29358Y102 4640 4000000 SH SOLE 4000000 0 0 Everspin Technology, Inc. common 30041T104 14147 1585981 SH SOLE 1585981 0 0 Gaia, Inc. common 36269P104 4252 210000 SH SOLE 210000 0 0 Graham Corp. common 384556106 2506 97107 SH SOLE 97107 0 0 IZEA Inc. common 46603N301 482 507885 SH SOLE 507885 0 0 Ideal Power, Inc. common 451622104 927 874300 SH SOLE 874300 0 0 Impinj, Inc. common 453204109 11510 520573 SH SOLE 520573 0 0 Infusystem Holdings, Inc. common 45685K102 6036 1700270 SH SOLE 1700270 0 0 Inspired Entertainment, Inc. common 45782N108 6839 1094283 SH SOLE 1094283 0 0 Iteris, Inc. common 46564T107 1620 334769 SH SOLE 334769 0 0 Juniper Pharmaceuticals, Inc common 48203L107 1740 200000 SH SOLE 200000 0 0 Kopin Corporation common 500600101 18916 6614094 SH SOLE 6614094 0 0 Kornit Digital Ltd., Israel common M6372Q113 6478 363958 SH SOLE 363958 0 0 LRAD Corporation common 50213V109 13020 4950706 SH SOLE 4950706 0 0 LeMaitre Vascular Inc. common 525558201 11724 350194 SH SOLE 350194 0 0 LiqTech International Inc. common 53632A102 2982 4005250 SH SOLE 4005250 0 0 LivePerson, Inc. common 538146101 34024 1612507 SH SOLE 1612507 0 0 Lovesac Company, The common 54738L109 8715 420000 SH SOLE 420000 0 0 Loxo Oncology, Inc. common 548862101 13011 75000 SH SOLE 75000 0 0 MCBC Holdings, Inc. common 55276F107 7744 267500 SH SOLE 267500 0 0 Magal Security Sys Ltd (Israel common 2544056US 1958 367374 SH SOLE 367374 0 0 Manitex Int'l Inc. common 563420108 6086 487682 SH SOLE 487682 0 0 MaxLinear, Inc. common 57776J100 4144 265840 SH SOLE 265840 0 0 Maxwell Technologies, Inc. common 577767106 4891 940615 SH SOLE 940615 0 0 Microvision, Inc. common 594960304 9112 8135860 SH SOLE 8135860 0 0 NTN Buzztime, Inc. common 629410606 1266 285112 SH SOLE 285112 0 0 NV5 Global Inc. common 62945V109 1039 15000 SH SOLE 15000 0 0 NeoPhotonics Corporation common 64051T100 14772 2371183 SH SOLE 2371183 0 0 Neonode, Inc. common 64051M402 1212 3202806 SH SOLE 3202806 0 0 Netlist, Inc. common 64118P109 838 4751218 SH SOLE 4751218 0 0 Neuronetics, Inc. common 64131A105 3326 125000 SH SOLE 125000 0 0 OPKO Health Inc. common 68375N103 3290 700000 SH SOLE 700000 0 0 Ooma,Inc. common 683416101 18891 1335051 SH SOLE 1335051 0 0 OptimizeRx Corporation common 68401U105 14226 1367925 SH SOLE 1367925 0 0 OrthoPediatrics, Corp. common 68752L100 12239 459418 SH SOLE 459418 0 0 PC-Tel, Inc. common 69325Q105 1712 274399 SH SOLE 274399 0 0 Pfsweb, Inc. common 717098206 12235 1258725 SH SOLE 1258725 0 0 QuickLogic Corp. common 74837P108 3105 2700000 SH SOLE 2700000 0 0 Reata Pharmaceuticals, Inc. common 75615P103 2448 70000 SH SOLE 70000 0 0 Reed's, Inc. common 758338107 3268 1146756 SH SOLE 1146756 0 0 Repligen Corporation common 759916109 5692 121000 SH SOLE 121000 0 0 SITO Mobile Ltd. common 82988R203 783 302495 SH SOLE 302495 0 0 Saia, Inc. common 78709Y105 971 12010 SH SOLE 12010 0 0 Sensus Healthcare, Inc common 81728J109 3571 491938 SH SOLE 491938 0 0 Sequans Communications - ADR common 817323108 18495 9066057 SH SOLE 9066057 0 0 SharpSpring, Inc. common 820054104 4806 549837 SH SOLE 549837 0 0 Spero Therapeutics, Inc. common 84833T103 2061 140474 SH SOLE 140474 0 0 Tactile Systems Technology common 87357P100 21003 403906 SH SOLE 403906 0 0 Trillium Therapeutics Inc. common 89620X506 4207 701138 SH SOLE 701138 0 0 Tuesday Morning Corporation common 899035505 4013 1315839 SH SOLE 1315839 0 0 Turtle Beach Corporation common 900450206 15350 755409 SH SOLE 755409 0 0 Ultra Clean Holdings, Inc. common 90385V107 14955 900909 SH SOLE 900909 0 0 Veru,Inc. common 92536C103 1172 580000 SH SOLE 580000 0 0 Vivint Solar Inc. common 92854q106 2042 412556 SH SOLE 412556 0 0 Vocera Communications, Inc. common 92857F107 444 14850 SH SOLE 14850 0 0 Xplore Technologies, Corp. common 983950700 1109 288732 SH SOLE 288732 0 0 Yatra Online, Inc. common 999999999 3216 600000 SH SOLE 600000 0 0 Zafgen Inc. common 98885E102 7202 703977 SH SOLE 703977 0 0 Zealand Pharma A/S ADR (Denmar common 98920Y304 4165 328478 SH SOLE 328478 0 0 argenx SE - ADR (Netherlands) common 04016X101 8286 100000 SH SOLE 100000 0 0 eMagin Corporation common 29076N206 9773 5429524 SH SOLE 5429524 0 0 scPharmaceuticals, Inc. common 810648105 2297 405807 SH SOLE 405807 0 0 Ideal Power, Inc. Series A PS preferred 999999999 859 810000 SH SOLE 810000 0 0 Ideal Power, Inc. Series A PS preferred 999999999 751 708430 SH SOLE 708430 0 0 Cellectar Biosciences @4.68 8/ warrants 15117F203 19 106600 SH SOLE 106600 0 0 EyeGate Pharmaceuticals @10.62 warrants 30233M115 12 137092 SH SOLE 137092 0 0 Sensus Healthcare, Inc @6.75 7 warrants 81728J117 619 494939 SH SOLE 494939 0 0