Vice President

0001535264-19-000042.txt : 20190514 0001535264-19-000042.hdr.sgml : 20190514 20190514162128 ACCESSION NUMBER: 0001535264-19-000042 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190514 DATE AS OF CHANGE: 20190514 EFFECTIVENESS DATE: 20190514 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: 19823020 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 03-31-2019 03-31-2019 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 05-10-2019 0 94 508091 false INFORMATION TABLE 2 inftable.xml AWM 13F MARCH 2019 Adesto Technologies Corporatio common 00687D101 16813 2778968 SH SOLE 2778968 0 0 Aehr Test Systems common 00760J108 2620 1898524 SH SOLE 1898524 0 0 American Superconductor Corp common 030111207 13854 1077268 SH SOLE 1077268 0 0 Anchiano Therapeutics, Ltd. common 03280X102 679 100000 SH SOLE 100000 0 0 Aqua Metals, Inc. common 03837J101 11060 3602486 SH SOLE 3602486 0 0 Atomera Incorporated common 04965B100 3955 1459450 SH SOLE 1459450 0 0 BioTelemetry, Inc. common 090672106 4070 65000 SH SOLE 65000 0 0 Biofrontera AG (Germany) common 999999999 5045 800000 SH SOLE 800000 0 0 Boingo Wireless, Inc. common 09739C102 4918 211246 SH SOLE 211246 0 0 Broadwind Energy, Inc. common 11161T207 1969 1171834 SH SOLE 1171834 0 0 CEVA, Inc. common 157210105 19814 734947 SH SOLE 734947 0 0 CPI Aerostructures, Inc. common 125919308 3760 578438 SH SOLE 578438 0 0 CVD Equipment Corporation common 126601103 1019 259414 SH SOLE 259414 0 0 CareDx, Inc. common 14167L103 9015 286002 SH SOLE 286002 0 0 Century Casinos, Inc. common 156492100 10241 1130402 SH SOLE 1130402 0 0 Citi Trends, Inc. common 17306X102 6871 355808 SH SOLE 355808 0 0 DSP Group, Inc. common 23332B106 6366 452460 SH SOLE 452460 0 0 Del Frisco's Restaurant Group common 245077102 1037 161718 SH SOLE 161718 0 0 Destination XL Group, Inc. common 25065K104 699 285176 SH SOLE 285176 0 0 Enservco Corporation common 29358Y102 2210 4169250 SH SOLE 4169250 0 0 Eton Pharmaceuticals, Inc. common 29772L108 3400 425000 SH SOLE 425000 0 0 Everspin Technology, Inc. common 30041T104 12124 1582742 SH SOLE 1582742 0 0 Gaia, Inc. common 36269P104 2955 322974 SH SOLE 322974 0 0 Graham Corp. common 384556106 2928 149146 SH SOLE 149146 0 0 I.D. Systems Inc. common 449489103 1186 200000 SH SOLE 200000 0 0 Ideal Power, Inc. common 451622104 501 1431829 SH SOLE 1431829 0 0 Immersion Corporation common 452521107 180 21309 SH SOLE 21309 0 0 Impinj, Inc. common 453204109 10002 596949 SH SOLE 596949 0 0 Infusystem Holdings, Inc. common 45685K102 8518 1700270 SH SOLE 1700270 0 0 Inspired Entertainment, Inc. common 45782N108 6489 973543 SH SOLE 973543 0 0 Iteris, Inc. common 46564T107 1559 373859 SH SOLE 373859 0 0 Kopin Corporation common 500600101 9759 7282997 SH SOLE 7282997 0 0 Kornit Digital, Ltd. (Israel) common M6372Q113 6278 263796 SH SOLE 263796 0 0 LRAD Corporation (F4) common 50213V109 14110 4950706 SH SOLE 4950706 0 0 LeMaitre Vascular Inc. common 525558201 10230 330000 SH SOLE 330000 0 0 LiqTech International Inc. common 53632A102 11413 5308382 SH SOLE 5308382 0 0 LivePerson, Inc. common 538146101 24026 827900 SH SOLE 827900 0 0 Lovesac Company, The common 54738L109 16953 609600 SH SOLE 609600 0 0 Magal Security System, Ltd common 2544056US 2053 395656 SH SOLE 395656 0 0 Manitex International, Inc. common 563420108 2606 340634 SH SOLE 340634 0 0 MasterCraft Boat Holdings, Inc common 57637H103 7294 323174 SH SOLE 323174 0 0 MaxLinear, Inc. common 57776J100 1679 65764 SH SOLE 65764 0 0 Maxwell Technologies, Inc. common 577767106 1703 380878 SH SOLE 380878 0 0 Microvision, Inc. common 594960304 7864 8116909 SH SOLE 8116909 0 0 Millendo Therapeutics, Inc. common 60040X103 300 20000 SH SOLE 20000 0 0 Myomo, Inc. common 62857J102 720 600200 SH SOLE 600200 0 0 NV5 Global, Inc. common 62945V109 890 15000 SH SOLE 15000 0 0 Nano Dimension Ltd. ADR(Israel common 63008G104 946 1333000 SH SOLE 1333000 0 0 NeoPhotonics Corporation common 64051T100 15191 2415051 SH SOLE 2415051 0 0 Neonode, Inc. common 64051M402 1012 320279 SH SOLE 320279 0 0 Neuronetics, Inc. common 64131A105 2707 177487 SH SOLE 177487 0 0 Nuvectra Corporation common 67075N108 3513 319089 SH SOLE 319089 0 0 OPKO Health, Inc. common 68375N103 1566 600000 SH SOLE 600000 0 0 Ooma,Inc. common 683416101 16285 1230006 SH SOLE 1230006 0 0 OptimizeRx Corporation common 68401U105 17128 1346528 SH SOLE 1346528 0 0 OrthoPediatrics, Corp. common 68752L100 16500 373041 SH SOLE 373041 0 0 PC-Tel, Inc. common 69325Q105 957 190987 SH SOLE 190987 0 0 Pfsweb, Inc. common 717098206 5799 1113003 SH SOLE 1113003 0 0 Primo Water Corp. common 74165N105 928 60000 SH SOLE 60000 0 0 QuickLogic Corp. common 74837P108 1477 2419435 SH SOLE 2419435 0 0 RADCOM, Ltd. common M81865111 3705 499298 SH SOLE 499298 0 0 Reata Pharmaceuticals, Inc. common 75615P103 6410 75000 SH SOLE 75000 0 0 Reed's, Inc. common 758338107 8408 2909202 SH SOLE 2909202 0 0 Repligen Corporation common 759916109 7149 121000 SH SOLE 121000 0 0 Sequans Communications - ADR common 817323108 10136 9214784 SH SOLE 9214784 0 0 SharpSpring, Inc. common 820054104 6527 407454 SH SOLE 407454 0 0 Spero Therapeutics, Inc. common 84833T103 7203 562296 SH SOLE 562296 0 0 Tactile Systems Technology common 87357P100 6575 124714 SH SOLE 124714 0 0 Tecnoglass, Inc. (Colombia) common G87264100 2440 335171 SH SOLE 335171 0 0 TravelCenters of America LLC common 894174101 389 94672 SH SOLE 94672 0 0 Trevena, Inc. common 89532E109 5616 3600000 SH SOLE 3600000 0 0 Tuesday Morning Corporation common 899035505 3184 1501989 SH SOLE 1501989 0 0 Turtle Beach Corporation common 900450206 5913 520543 SH SOLE 520543 0 0 Ultra Clean Holdings, Inc. common 90385V107 6520 630000 SH SOLE 630000 0 0 Veru,Inc. common 92536C103 1460 1000000 SH SOLE 1000000 0 0 Vivint Solar, Inc. common 92854q106 3506 705354 SH SOLE 705354 0 0 Yatra Online, Inc. (India) common 999999999 2946 600000 SH SOLE 600000 0 0 Zafgen, Inc. common 98885E102 3842 1402297 SH SOLE 1402297 0 0 Zealand Pharma A/S (Denmark) common 999999999 7325 410185 SH SOLE 410185 0 0 Zealand Pharma A/S ADR (Denmar common 98920Y304 340 19981 SH SOLE 19981 0 0 argenx SE - ADR (Netherlands) common 04016X101 11860 95000 SH SOLE 95000 0 0 eMagin Corporation common 29076N206 3748 4492624 SH SOLE 4492624 0 0 scPharmaceuticals, Inc. common 810648105 738 246057 SH SOLE 246057 0 0 voxeljet AG, ADR (Germany) common 92912L107 6296 2785927 SH SOLE 2785927 0 0 Ideal Power, Inc. Series A PS preferred 999999999 283 810000 SH SOLE 810000 0 0 Cellectar Biosciences @4.68 8/ warrants 15117F203 11 106600 SH SOLE 106600 0 0 EyeGate Pharmaceuticals @10.62 warrants 30233M115 3 137092 SH SOLE 137092 0 0 Ideal Power @2.41 9/4/17-3/3/2 warrants 999999999 12 1183430 SH SOLE 1183430 0 0 Neonode (Pre-fund $1) @.10 no warrants 999999999 1102 360000 SH SOLE 360000 0 0 Neonode Inc @11.20 2/17/17-2/1 warrants 999999999 124 200000 SH SOLE 200000 0 0 Sensus Healthcare, Inc @6.75 6 warrants 81728J117 65 130261 SH SOLE 130261 0 0 Turtle Beach Corp. @0 pre-fund warrants 999999999 6248 550000 SH SOLE 550000 0 0 eMagin Corporation @1.55 1/29/ warrants 999999999 133 890000 SH SOLE 890000 0 0 eMagin Corporation @2.45 5/24/ warrants 999999999 130 1625000 SH SOLE 1625000 0 0