Executive Vice President

0001535264-19-000034.txt : 20190213 0001535264-19-000034.hdr.sgml : 20190213 20190213135929 ACCESSION NUMBER: 0001535264-19-000034 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190213 DATE AS OF CHANGE: 20190213 EFFECTIVENESS DATE: 20190213 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: 19596092 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 12-31-2018 12-31-2018 AWM Investment Company, Inc.

527 MADISON AVENUE SUITE 2600 NEW YORK NY 10022

13F HOLDINGS REPORT 028-16479 N David Greenhouse Executive Vice President 212-319-6670 /s/David M. Greenhouse New York NY 02-13-2019 0 95 459468 false INFORMATION TABLE 2 inftable.xml AWM 13F DEC 2018 Adesto Technologies Corporatio common 00687D101 12227 2778968 SH SOLE 2778968 0 0 Aehr Test Systems common 00760J108 2677 1898524 SH SOLE 1898524 0 0 American Superconductor Corpor common 030111207 15447 1385341 SH SOLE 1385341 0 0 Amyris, Inc. common 03236M200 1684 504250 SH SOLE 504250 0 0 Aqua Metals, Inc. common 03837J101 3573 1963386 SH SOLE 1963386 0 0 Aspen Group, Inc. common 04530L203 2544 464156 SH SOLE 464156 0 0 Atomera Incorporated common 04965B100 4189 1459450 SH SOLE 1459450 0 0 AxoGen, Inc. common 05463X106 4546 222500 SH SOLE 222500 0 0 BioTelemetry, Inc. common 090672106 4479 75000 SH SOLE 75000 0 0 Biofrontera AG ADR (Germany) common 09075G105 3541 302418 SH SOLE 302418 0 0 Boingo Wireless, Inc. common 09739C102 3533 171741 SH SOLE 171741 0 0 Broadwind Energy, Inc. common 11161T207 1523 1171834 SH SOLE 1171834 0 0 CEVA, Inc. common 157210105 16357 740477 SH SOLE 740477 0 0 CPI Aerostructures, Inc. common 125919308 3685 578438 SH SOLE 578438 0 0 CVD Equipment Corporation common 126601103 921 259414 SH SOLE 259414 0 0 CareDx, Inc. common 14167L103 7819 311002 SH SOLE 311002 0 0 Century Casinos, Inc. common 156492100 8388 1135111 SH SOLE 1135111 0 0 Citi Trends, Inc. common 17306X102 7051 345808 SH SOLE 345808 0 0 DSP Group, Inc. common 23332B106 8682 775140 SH SOLE 775140 0 0 Del Frisco's Restaurant Group common 245077102 1156 161718 SH SOLE 161718 0 0 Destination XL Group, Inc. common 25065K104 619 285176 SH SOLE 285176 0 0 Determine, Inc. common 250660107 335 1455220 SH SOLE 1455220 0 0 Digimarc Corporation common 25381B101 635 43772 SH SOLE 43772 0 0 Electrocore, LLC common 28531P103 1684 268997 SH SOLE 268997 0 0 Enservco Corporation common 29358Y102 1560 4217450 SH SOLE 4217450 0 0 Eton Pharmaceuticals, Inc. common 29772L108 2601 425000 SH SOLE 425000 0 0 Everspin Technology, Inc. common 30041T104 8879 1582742 SH SOLE 1582742 0 0 Gaia, Inc. common 36269P104 3388 327034 SH SOLE 327034 0 0 Graham Corp. common 384556106 3406 149146 SH SOLE 149146 0 0 Ideal Power, Inc. common 451622104 202 823399 SH SOLE 823399 0 0 Immersion Corporation common 452521107 340 37896 SH SOLE 37896 0 0 Impinj, Inc. common 453204109 8686 596949 SH SOLE 596949 0 0 Infusystem Holdings, Inc. common 45685K102 5849 1700270 SH SOLE 1700270 0 0 Inspired Entertainment, Inc. common 45782N108 4702 979483 SH SOLE 979483 0 0 Iteris, Inc. common 46564T107 1249 334769 SH SOLE 334769 0 0 Kopin Corporation common 500600101 6558 6564694 SH SOLE 6564694 0 0 Kornit Digital, Ltd. (Israel) common M6372Q113 5406 288796 SH SOLE 288796 0 0 LRAD Corporation common 50213V109 12476 4950706 SH SOLE 4950706 0 0 LeMaitre Vascular Inc. common 525558201 7801 330000 SH SOLE 330000 0 0 LiqTech International Inc. common 53632A102 6352 4636182 SH SOLE 4636182 0 0 LivePerson, Inc. common 538146101 26988 1430959 SH SOLE 1430959 0 0 Lovesac Company, The common 54738L109 13984 609600 SH SOLE 609600 0 0 Loxo Oncology, Inc. common 548862101 9805 70000 SH SOLE 70000 0 0 Magal Security System, Ltd common 2544056US 1761 395656 SH SOLE 395656 0 0 Manitex International, Inc. common 563420108 1935 340634 SH SOLE 340634 0 0 MasterCraft Boat Holdings Inc. common 57637H103 6043 323174 SH SOLE 323174 0 0 MaxLinear, Inc. common 57776J100 2112 120000 SH SOLE 120000 0 0 Maxwell Technologies, Inc. common 577767106 5953 2876067 SH SOLE 2876067 0 0 Microvision, Inc. common 594960304 4926 8157718 SH SOLE 8157718 0 0 Millendo Therapeutics, Inc. common 60040X103 159 20000 SH SOLE 20000 0 0 NV5 Global, Inc. common 62945V109 908 15000 SH SOLE 15000 0 0 NeoPhotonics Corporation common 64051T100 15098 2330000 SH SOLE 2330000 0 0 Neonode, Inc. common 64051M402 532 320279 SH SOLE 320279 0 0 Neuronetics, Inc. common 64131A105 2419 125000 SH SOLE 125000 0 0 Nuvectra Corporation common 67075N108 4397 269089 SH SOLE 269089 0 0 OPKO Health, Inc. common 68375N103 1806 600000 SH SOLE 600000 0 0 Ooma,Inc. common 683416101 17998 1296706 SH SOLE 1296706 0 0 OptimizeRx Corporation common 68401U105 15006 1367925 SH SOLE 1367925 0 0 OrthoPediatrics, Corp. common 68752L100 16896 484418 SH SOLE 484418 0 0 PC-Tel, Inc. common 69325Q105 1177 274399 SH SOLE 274399 0 0 Pfsweb, Inc. common 717098206 5629 1097306 SH SOLE 1097306 0 0 QuickLogic Corp. common 74837P108 1928 2626153 SH SOLE 2626153 0 0 RADCOM, Ltd. common M81865111 3705 499298 SH SOLE 499298 0 0 Reata Pharmaceuticals, Inc. common 75615P103 4207 75000 SH SOLE 75000 0 0 Reed's, Inc. common 758338107 1675 809202 SH SOLE 809202 0 0 Repligen Corporation common 759916109 6382 121000 SH SOLE 121000 0 0 Sequans Communications - ADR common 817323108 7188 9214784 SH SOLE 9214784 0 0 SharpSpring, Inc. common 820054104 6505 511006 SH SOLE 511006 0 0 Spero Therapeutics, Inc. common 84833T103 3223 524025 SH SOLE 524025 0 0 Tactile Systems Technology common 87357P100 8300 182208 SH SOLE 182208 0 0 Tuesday Morning Corporation common 899035505 2723 1601989 SH SOLE 1601989 0 0 Turtle Beach Corporation common 900450206 7414 519543 SH SOLE 519543 0 0 Ultra Clean Holdings, Inc. common 90385V107 7284 860000 SH SOLE 860000 0 0 Veru,Inc. common 92536C103 1400 1000000 SH SOLE 1000000 0 0 Vivint Solar, Inc. common 92854q106 2687 705354 SH SOLE 705354 0 0 Yatra Online, Inc. (India) common 999999999 2457 611100 SH SOLE 611100 0 0 Zafgen, Inc. common 98885E102 3485 703977 SH SOLE 703977 0 0 Zealand Pharma A/S (Denmark) common 999999999 5189 410185 SH SOLE 410185 0 0 Zealand Pharma A/S ADR(Denmark common 98920Y304 232 19981 SH SOLE 19981 0 0 argenx SE - ADR (Netherlands) common 04016X101 9127 95000 SH SOLE 95000 0 0 eMagin Corporation common 29076N206 5592 5429524 SH SOLE 5429524 0 0 scPharmaceuticals, Inc. common 810648105 1555 413504 SH SOLE 413504 0 0 voxeljet AG, ADR (Germany) common 92912L107 4736 2785927 SH SOLE 2785927 0 0 Ideal Power, Inc. Series A PS preferred 999999999 199 810000 SH SOLE 810000 0 0 Ideal Power, Inc. Series A PS preferred 999999999 174 708430 SH SOLE 708430 0 0 Cellectar Biosciences @4.68 8/ warrants 15117F203 5 106600 SH SOLE 106600 0 0 EyeGate Pharmaceuticals @10.62 warrants 30233M115 8 137092 SH SOLE 137092 0 0 Ideal Power @2.41 9/4/17-3/3/2 warrants 999999999 2 1183430 SH SOLE 1183430 0 0 Neonode (Pre-fund $1) @.10 no warrants 999999999 562 360000 SH SOLE 360000 0 0 Neonode Inc @11.20 2/17/17-2/1 warrants 999999999 64 200000 SH SOLE 200000 0 0 Sensus Healthcare, Inc @6.75 7 warrants 81728J117 480 494939 SH SOLE 494939 0 0 Turtle Beach Corp. @0 pre-fund warrants 999999999 7848 550000 SH SOLE 550000 0 0 eMagin Corporation @1.55 1/29/ warrants 999999999 205 890000 SH SOLE 890000 0 0 eMagin Corporation @2.45 5/24/ warrants 999999999 244 1625000 SH SOLE 1625000 0 0 Corium International CVR rcv $ rights 999999999 403 2240461 SH SOLE 2240461 0 0