Vice President

0001535264-20-000030.txt : 20200213 0001535264-20-000030.hdr.sgml : 20200213 20200213160423 ACCESSION NUMBER: 0001535264-20-000030 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200213 DATE AS OF CHANGE: 20200213 EFFECTIVENESS DATE: 20200213 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: 20610362 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 12-31-2019 12-31-2019 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 02-13-2020 0 92 511818 false INFORMATION TABLE 2 inftable.xml AWM 13F DEC 2019 Adesto Technologies Corp common 00687D101 15977 1879651 SH SOLE 1879651 0 0 Aehr Test Systems common 00760J108 3797 1898524 SH SOLE 1898524 0 0 Aemetis, Inc. common 00770K202 149 178944 SH SOLE 178944 0 0 Akoustis Technologies, Inc. common 00973N102 6189 773611 SH SOLE 773611 0 0 American Superconductor Corp common 030111207 8747 1114328 SH SOLE 1114328 0 0 Anchiano Therapeutics, Ltd. common 03280X102 438 312980 SH SOLE 312980 0 0 Aqua Metals, Inc. common 03837J101 4198 5557906 SH SOLE 5557906 0 0 Atomera Incorporated common 04965B100 5111 1659450 SH SOLE 1659450 0 0 Avid Bioservices, Inc. common 05368M106 6467 843162 SH SOLE 843162 0 0 Bellus Health, Inc. (Canada) common 07987C105 11045 1461988 SH SOLE 1461988 0 0 BioTelemetry, Inc. common 090672106 2778 60000 SH SOLE 60000 0 0 Boingo Wireless, Inc. common 09739C102 5199 474821 SH SOLE 474821 0 0 Broadwind Energy, Inc. common 11161T207 2266 1365092 SH SOLE 1365092 0 0 CEVA, Inc. common 157210105 12671 470000 SH SOLE 470000 0 0 CPI Aerostructures, Inc. common 125919308 1066 158438 SH SOLE 158438 0 0 CVD Equipment Corporation common 126601103 835 259414 SH SOLE 259414 0 0 CareDx, Inc. common 14167L103 5069 235000 SH SOLE 235000 0 0 Celsius Holdings, Inc. common 15118V207 5045 1044459 SH SOLE 1044459 0 0 Century Casinos, Inc. common 156492100 8323 1050836 SH SOLE 1050836 0 0 Citi Trends, Inc. common 17306X102 8226 355808 SH SOLE 355808 0 0 DSP Group, Inc. common 23332B106 3142 199623 SH SOLE 199623 0 0 Destination XL Group, Inc. common 25065K104 365 285176 SH SOLE 285176 0 0 Energy Recovery Inc. common 29270J100 777 79400 SH SOLE 79400 0 0 Enservco Corporation common 29358Y102 473 2540068 SH SOLE 2540068 0 0 Eton Pharmaceuticals, Inc. common 29772L108 3722 516882 SH SOLE 516882 0 0 Everspin Technology, Inc. common 30041T104 8169 1553091 SH SOLE 1553091 0 0 Exicure, Inc. common 30205M101 13139 4594200 SH SOLE 4594200 0 0 Gaia, Inc. common 36269P104 6481 811151 SH SOLE 811151 0 0 Genasys Incorporated common 36872P103 15862 4850706 SH SOLE 4850706 0 0 Graham Corp. common 384556106 3473 158729 SH SOLE 158729 0 0 IZEA Worldwide, Inc. common 46604H105 539 2278000 SH SOLE 2278000 0 0 Ideal Power, Inc. common 451622203 29 12605 SH SOLE 12605 0 0 Impinj, Inc. common 453204109 12906 499077 SH SOLE 499077 0 0 Infusystem Holdings, Inc. common 45685K102 17060 2000000 SH SOLE 2000000 0 0 Inspired Entertainment, Inc. common 45782N108 6740 998543 SH SOLE 998543 0 0 Iteris, Inc. common 46564T107 1866 373859 SH SOLE 373859 0 0 Kopin Corporation common 500600101 2921 7282997 SH SOLE 7282997 0 0 LeMaitre Vascular Inc. common 525558201 11324 315000 SH SOLE 315000 0 0 Limelight Networks, Inc. common 53261M104 9058 2220000 SH SOLE 2220000 0 0 LiqTech International, Inc. common 53632A102 11953 2043290 SH SOLE 2043290 0 0 LivePerson, Inc. common 538146101 24336 657743 SH SOLE 657743 0 0 Lovesac Company, The common 54738L109 11925 743016 SH SOLE 743016 0 0 Magal Security System, Ltd common 2544056US 1484 395656 SH SOLE 395656 0 0 Microvision, Inc. common 594960304 4988 6927200 SH SOLE 6927200 0 0 Millendo Therapeutics, Inc. common 60040X103 4124 611900 SH SOLE 611900 0 0 Mohawk Group Holdings, Inc. common 608189106 2643 448704 SH SOLE 448704 0 0 Myomo, Inc. common 62857J102 112 373159 SH SOLE 373159 0 0 NV5 Global, Inc. common 62945V109 757 15000 SH SOLE 15000 0 0 NeoPhotonics Corporation common 64051T100 16773 1901722 SH SOLE 1901722 0 0 Neonode, Inc. common 64051M709 691 356210 SH SOLE 356210 0 0 OPKO Health, Inc. common 68375N103 1470 1000000 SH SOLE 1000000 0 0 Ocean Power Technologies, Inc. common 674870506 184 211891 SH SOLE 211891 0 0 Ooma,Inc. common 683416101 16577 1253006 SH SOLE 1253006 0 0 OptimizeRx Corporation common 68401U204 9777 952027 SH SOLE 952027 0 0 OrthoPediatrics Corporation common 68752L100 16531 351795 SH SOLE 351795 0 0 PC-Tel, Inc. common 69325Q105 1022 120698 SH SOLE 120698 0 0 Pfsweb, Inc. common 717098206 6999 1832185 SH SOLE 1832185 0 0 Powerfleet, Inc. common 73931J109 1302 200000 SH SOLE 200000 0 0 Primo Water Corp. common 74165N105 1931 172000 SH SOLE 172000 0 0 Purple Innovation, Inc. common 74640Y106 3484 400000 SH SOLE 400000 0 0 QuickLogic Corporation common 74837P108 1864 310690 SH SOLE 310690 0 0 RADCOM, Ltd. common M81865111 4414 523553 SH SOLE 523553 0 0 Reata Pharmaceuticals, Inc. common 75615P103 15332 75000 SH SOLE 75000 0 0 Repligen Corporation common 759916109 11192 121000 SH SOLE 121000 0 0 Sequans Communications S.A. common 817323207 7197 2399001 SH SOLE 2399001 0 0 SharpSpring, Inc. common 820054104 6822 594798 SH SOLE 594798 0 0 Spero Therapeutics, Inc. common 84833T103 4561 474344 SH SOLE 474344 0 0 Tactile Systems Technology common 87357P100 8825 130714 SH SOLE 130714 0 0 TravelCenters of America LLC common 89421B109 496 28934 SH SOLE 28934 0 0 Tuesday Morning Corporation common 899035505 822 444300 SH SOLE 444300 0 0 Turtle Beach Corporation common 900450206 5061 535543 SH SOLE 535543 0 0 Ultra Clean Holdings, Inc. common 90385V107 12386 527721 SH SOLE 527721 0 0 Veru,Inc. common 92536C103 1675 500000 SH SOLE 500000 0 0 Viemed Healthcare, Inc. common 92663R105 6800 1086000 SH SOLE 1086000 0 0 Vivint Solar, Inc. common 92854q106 4423 609205 SH SOLE 609205 0 0 Westport Fuel Systems Inc. common 960908309 2033 857879 SH SOLE 857879 0 0 Zagg, Inc. common 98884U108 892 110000 SH SOLE 110000 0 0 Zealand Pharma A/S (Denmark) common 999999999 14489 410185 SH SOLE 410185 0 0 Zealand Pharma A/S ADR(Denmark common 98920Y304 663 19981 SH SOLE 19981 0 0 argenx SE - ADR (Netherlands) common 04016X101 15249 95000 SH SOLE 95000 0 0 eMagin Corporation common 29076N206 1545 4492624 SH SOLE 4492624 0 0 voxeljet AG, ADR (Germany) common 92912L107 5711 2785927 SH SOLE 2785927 0 0 EyeGate Pharmaceuticals @10.62 warrants 30233M115 7 137092 SH SOLE 137092 0 0 Ideal Power @.001 (pre-funded) warrants 999999999 929 403828 SH SOLE 403828 0 0 Ideal Power @2.32 11/13/24 9.9 warrants 999999999 510 504787 SH SOLE 504787 0 0 Ocean Power Technologies @3.85 warrants 674870188 57 714280 SH SOLE 714280 0 0 Sensus Healthcare, Inc @6.75 6 warrants 81728J117 13 130261 SH SOLE 130261 0 0 Turtle Beach Corp. @0 pre-fund warrants 999999999 5197 550000 SH SOLE 550000 0 0 Verb Technology @3.443 4/9/24 warrants 92337U112 288 640000 SH SOLE 640000 0 0 eMagin Corp @.78 10/9/19-10/9/ warrants 999999999 270 3000000 SH SOLE 3000000 0 0 eMagin Corporation @.01 pre fu warrants 999999999 1320 4000000 SH SOLE 4000000 0 0 eMagin Corporation @1.55 1/29/ warrants 999999999 36 890000 SH SOLE 890000 0 0 eMagin Corporation @2.45 5/24/ warrants 999999999 32 1625000 SH SOLE 1625000 0 0