Vice President

0001535264-19-000056.txt : 20191112 0001535264-19-000056.hdr.sgml : 20191112 20191112145057 ACCESSION NUMBER: 0001535264-19-000056 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191112 DATE AS OF CHANGE: 20191112 EFFECTIVENESS DATE: 20191112 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: 191208676 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 09-30-2019 09-30-2019 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 11-12-2019 0 97 471277 false INFORMATION TABLE 2 inftable.xml AWM 13F SEPTEMBER 2019 Adesto Technologies Corporatio common 00687D101 15867 1853651 SH SOLE 1853651 0 0 Aehr Test Systems common 00760J108 3398 1898524 SH SOLE 1898524 0 0 Aemetis, Inc. common 00770K202 263 241443 SH SOLE 241443 0 0 American Superconductor Corp common 030111207 8736 1114328 SH SOLE 1114328 0 0 Aqua Metals, Inc. common 03837J101 8707 5121986 SH SOLE 5121986 0 0 AstroNova, Inc. common 04638F108 423 26188 SH SOLE 26188 0 0 Atomera Incorporated common 04965B100 6256 1659450 SH SOLE 1659450 0 0 Avid Bioservices, Inc. common 05368M106 4416 833162 SH SOLE 833162 0 0 Bellus Health, Inc. (Canada) common 07987C105 9394 1461988 SH SOLE 1461988 0 0 BioTelemetry, Inc. common 090672106 2444 60000 SH SOLE 60000 0 0 Boingo Wireless, Inc. common 09739C102 5565 501381 SH SOLE 501381 0 0 Broadwind Energy, Inc. common 11161T207 2065 1221874 SH SOLE 1221874 0 0 CEVA, Inc. common 157210105 14333 480000 SH SOLE 480000 0 0 CPI Aerostructures, Inc. common 125919308 2853 347140 SH SOLE 347140 0 0 CVD Equipment Corporation common 126601103 859 259414 SH SOLE 259414 0 0 CareDx, Inc. common 14167L103 5313 235000 SH SOLE 235000 0 0 Celsius Holdings, Inc. common 15118V207 3070 883520 SH SOLE 883520 0 0 Century Casinos, Inc. common 156492100 8123 1050836 SH SOLE 1050836 0 0 Citi Trends, Inc. common 17306X102 6511 355808 SH SOLE 355808 0 0 DSP Group, Inc. common 23332B106 3332 236538 SH SOLE 236538 0 0 Destination XL Group, Inc. common 25065K104 482 285176 SH SOLE 285176 0 0 Enservco Corporation common 29358Y102 1152 4486629 SH SOLE 4486629 0 0 Eton Pharmaceuticals, Inc. common 29772L108 3056 483466 SH SOLE 483466 0 0 Everspin Technology, Inc. common 30041T104 9520 1553091 SH SOLE 1553091 0 0 Exicure, Inc. common 30205M101 9283 3669200 SH SOLE 3669200 0 0 Gaia, Inc. common 36269P104 5175 791835 SH SOLE 791835 0 0 Graham Corp. common 384556106 4524 227794 SH SOLE 227794 0 0 IZEA Worldwide, Inc. common 46604H105 587 2278000 SH SOLE 2278000 0 0 Ideal Power, Inc. common 451622203 646 240035 SH SOLE 240035 0 0 Impinj, Inc. common 453204109 15387 499077 SH SOLE 499077 0 0 Infusystem Holdings, Inc. common 45685K102 10580 2000000 SH SOLE 2000000 0 0 Inspired Entertainment, Inc. common 45782N108 7180 998543 SH SOLE 998543 0 0 Iteris, Inc. common 46564T107 2148 373859 SH SOLE 373859 0 0 Kopin Corporation common 500600101 4940 7282997 SH SOLE 7282997 0 0 Kura Sushi USA, Inc. common 501270102 2679 136554 SH SOLE 136554 0 0 LRAD Corporation common 50213V109 16250 4850706 SH SOLE 4850706 0 0 LeMaitre Vascular Inc. common 525558201 10767 315000 SH SOLE 315000 0 0 Limelight Networks, Inc. common 53261M104 6060 2000000 SH SOLE 2000000 0 0 LiqTech International, Inc. common 53632A102 17169 2173290 SH SOLE 2173290 0 0 LivePerson, Inc. common 538146101 26396 739394 SH SOLE 739394 0 0 Lovesac Company, The common 54738L109 10914 584600 SH SOLE 584600 0 0 Magal Security System, Ltd common 2544056US 1634 395656 SH SOLE 395656 0 0 Manitex International, Inc. common 563420108 817 122798 SH SOLE 122798 0 0 Microvision, Inc. common 594960304 4108 6927200 SH SOLE 6927200 0 0 Mohawk Group Holdings, Inc. common 608189106 3821 488638 SH SOLE 488638 0 0 Myomo, Inc. common 62857J102 291 473159 SH SOLE 473159 0 0 NV5 Global, Inc. common 62945V109 1024 15000 SH SOLE 15000 0 0 NeoPhotonics Corporation common 64051T100 11886 1951722 SH SOLE 1951722 0 0 Neonode, Inc. common 64051M402 572 238413 SH SOLE 238413 0 0 Neuronetics, Inc. common 64131A105 192 23074 SH SOLE 23074 0 0 OPKO Health, Inc. common 68375N103 1975 945000 SH SOLE 945000 0 0 Ocean Power Technologies, Inc. common 674870506 410 229168 SH SOLE 229168 0 0 Ooma,Inc. common 683416101 13031 1253006 SH SOLE 1253006 0 0 OptimizeRx Corporation common 68401U105 15119 1044164 SH SOLE 1044164 0 0 OrthoPediatrics, Corp. common 68752L100 12096 343041 SH SOLE 343041 0 0 PC-Tel, Inc. common 69325Q105 1436 170987 SH SOLE 170987 0 0 Pfsweb, Inc. common 717098206 4635 1832185 SH SOLE 1832185 0 0 Powerfleet, Inc. common 73931J109 1096 200000 SH SOLE 200000 0 0 Primo Water Corp. common 74165N105 1253 102000 SH SOLE 102000 0 0 QuickLogic Corporation common 74837P108 1905 5419435 SH SOLE 5419435 0 0 RADCOM, Ltd. common M81865111 4569 499298 SH SOLE 499298 0 0 Reata Pharmaceuticals, Inc. common 75615P103 6022 75000 SH SOLE 75000 0 0 Reed's, Inc. common 758338107 1950 1500000 SH SOLE 1500000 0 0 Repligen Corporation common 759916109 9279 121000 SH SOLE 121000 0 0 Sequans Communications S.A. AD common 817323108 8298 9559338 SH SOLE 9559338 0 0 SharpSpring, Inc. common 820054104 3075 317020 SH SOLE 317020 0 0 Sonim Technologies, Inc. common 83548F101 311 106042 SH SOLE 106042 0 0 Spero Therapeutics, Inc. common 84833T103 6342 598315 SH SOLE 598315 0 0 Tactile Systems Technology common 87357P100 5532 130714 SH SOLE 130714 0 0 TravelCenters of America LLC common 894174101 355 28934 SH SOLE 28934 0 0 Trevena, Inc. common 89532E109 2204 2278345 SH SOLE 2278345 0 0 Tuesday Morning Corporation common 899035505 698 444300 SH SOLE 444300 0 0 Turtle Beach Corporation common 900450206 6250 535543 SH SOLE 535543 0 0 Ultra Clean Holdings, Inc. common 90385V107 8269 565000 SH SOLE 565000 0 0 Verb Technology Company, Inc. common 923370U10 691 640000 SH SOLE 640000 0 0 Veru,Inc. common 92536C103 1080 500000 SH SOLE 500000 0 0 Viemed Healthcare, Inc. common 92663R105 7178 1040200 SH SOLE 1040200 0 0 Vivint Solar, Inc. common 92854q106 3984 609205 SH SOLE 609205 0 0 Westport Fuel Systems Inc. common 960908309 1839 676139 SH SOLE 676139 0 0 Zagg, Inc. common 98884U108 690 110000 SH SOLE 110000 0 0 Zealand Pharma A/S (Denmark) common 999999999 10442 410185 SH SOLE 410185 0 0 Zealand Pharma A/S ADR (Denmar common 98920Y304 507 19981 SH SOLE 19981 0 0 argenx SE - ADR (Netherlands) common 04016X101 10826 95000 SH SOLE 95000 0 0 eMagin Corporation common 29076N206 1744 4492624 SH SOLE 4492624 0 0 voxeljet AG, ADR (Germany) common 92912L107 5265 2785927 SH SOLE 2785927 0 0 Ideal Power, Inc. Series A PS preferred 999999999 218 810000 SH SOLE 810000 0 0 EyeGate Pharmaceuticals @10.62 warrants 30233M115 3 137092 SH SOLE 137092 0 0 Flowr Corporation Reg S @5.00C warrants 999999999 59 425000 SH SOLE 425000 0 0 Neonode (Pre-fund $1) @.10 no warrants 999999999 824 360000 SH SOLE 360000 0 0 Neonode Inc @11.20 2/17/17-2/1 warrants 999999999 28 200000 SH SOLE 200000 0 0 Sensus Healthcare, Inc @6.75 6 warrants 81728J117 33 130261 SH SOLE 130261 0 0 Turtle Beach Corp. @0 pre-fund warrants 999999999 6418 550000 SH SOLE 550000 0 0 Verb Technology Co. @3.443 4/9 warrants 92337U112 218 640000 SH SOLE 640000 0 0 eMagin Corp @.78 10/9/19-10/9/ warrants 999999999 330 3000000 SH SOLE 3000000 0 0 eMagin Corporation @.01 pre fu warrants 999999999 1520 4000000 SH SOLE 4000000 0 0 eMagin Corporation @1.55 1/29/ warrants 999999999 53 890000 SH SOLE 890000 0 0 eMagin Corporation @2.45 5/24/ warrants 999999999 49 1625000 SH SOLE 1625000 0 0