Executive vice President

0001535264-15-000024.txt : 20150211 0001535264-15-000024.hdr.sgml : 20150211 20150211132507 ACCESSION NUMBER: 0001535264-15-000024 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20141231 FILED AS OF DATE: 20150211 DATE AS OF CHANGE: 20150211 EFFECTIVENESS DATE: 20150211 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: 15598401 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 12-31-2014 12-31-2014 AWM Investment Company, Inc.

527 MADISON AVENUE SUITE 2600 NEW YORK NY 10022

13F HOLDINGS REPORT 028-16479 Y AWM Investment Company, Inc. , A Delaware corporation ("AWM"), is the investment adviser to Special Situations Cayman Fund, L.P. ("CAYMAN"), Special Situations Fund III QP, L.P. ("SSFQP") , Special Situations Private Equity Fund, L.P. ("SSPE"), Special Situations Technology Fund, L.P. ("TECH"), Special Situations Technology Fund II, L.P. ("TECH II"), and Special Situations Life Sciences Fund, L.P. ("SSLS" and together with CAYMAN, SSFQP, SSPE, TECH and TECH II, the "Funds"). As the investment adviser to the Funds, AWM holds sole voting and investment power over the shares of common stock of the issuers listed on the Form 13F Information Table (the "Shares") held by each of the Funds. Austin W. Marxe ("Marxe"), David M. Greenhouse ("Greenhouse"), and Adam C. Stettner ("Stettner") are the controlling principals of AWM. Marxe, Greenhouse and Stettner previously reported the Shares held by the Funds on Form 13F. Accordingly, reference should be made to Marxe, Greenhouse and Stettner (CIK #0001044321) for any prior 13F filings with the Securities and Exchange Commission relating to the Shares held by each of the Funds. David M. Greenhouse Executive vice President 212-319-6670 /s/ David M. Greenhouse New York NY 02-11-2015 0 191 733430 false INFORMATION TABLE 2 inftable.xml AWM 13F 123114 ARI Network Services, Inc. common 001930205 758 200000 SH SOLE 200000 0 0 Acadia Pharmaceuticals, Inc. common 004225108 2107 66357 SH SOLE 66357 0 0 Active Power, Inc. common 00504W308 1159 629800 SH SOLE 629800 0 0 Adept Technology, Inc. common 006854202 12741 1467850 SH SOLE 1467850 0 0 Aerovironment, Inc. common 008073108 9160 336159 SH SOLE 336159 0 0 Amber Road, Inc. common 02318Y108 2543 248844 SH SOLE 248844 0 0 Ameresco, Inc. common 02361E108 2004 286240 SH SOLE 286240 0 0 Amtech Systems, Inc. common 032332504 382 37629 SH SOLE 37629 0 0 Antibe Therapeutics, Inc. common 037025103 717 1666667 SH SOLE 1666667 0 0 Aratana Therapeutics, Inc. common 03874P101 10692 600000 SH SOLE 600000 0 0 Ardmore Shipping Corp(Ireland) common Y0207T100 6640 554710 SH SOLE 554710 0 0 Argos Therapeutics, Inc. common 040221103 7500 750000 SH SOLE 750000 0 0 Arrowhead Research Corporation common 042797209 416 56408 SH SOLE 56408 0 0 BTU International Corp. common 056032105 4415 1341837 SH SOLE 1341837 0 0 Bavarian Nordic A/S (Denmark) common 009225196 2888 90000 SH SOLE 90000 0 0 BioTelemetry, Inc. common 090672106 2509 250182 SH SOLE 250182 0 0 Brightcove, Inc. common 075097042 14926 1918557 SH SOLE 1918557 0 0 Broadwind Energy Inc. common 11161T108 11385 2112191 SH SOLE 2112191 0 0 CEVA, Inc. common 157210105 23137 1275449 SH SOLE 1275449 0 0 CPI Aerostructures, Inc. common 125919308 9767 931040 SH SOLE 931040 0 0 CTPartners Executive Search common 22945C105 1671 110000 SH SOLE 110000 0 0 CVD Equipment Corporation common 126601103 5024 349166 SH SOLE 349166 0 0 Carbon Natural Gas Co. common 14115T109 6969 10888889 SH SOLE 10888889 0 0 Cellectar Biosciences, Inc. common 15117F203 3530 1142368 SH SOLE 1142368 0 0 Chase Packaging Corporation common 161635107 38 684954 SH SOLE 684954 0 0 Cimatron Ltd. (Israel) common M23798107 1982 224467 SH SOLE 224467 0 0 Constant Contact Inc. common 210313102 10983 299252 SH SOLE 299252 0 0 Crailar Technologies Inc. common 224248104 1333 6410123 SH SOLE 6410123 0 0 DSP Group, Inc. common 23332B106 5482 504334 SH SOLE 504334 0 0 Dicerna Pharmaceuticals, Inc. common 253031108 1318 80000 SH SOLE 80000 0 0 Digital Guardian Inc. common 999999999 292 860226 SH SOLE 860226 0 0 Dixie Group, Inc. common 255519100 4540 495094 SH SOLE 495094 0 0 Energous, Corp. common 29272C103 9931 906096 SH SOLE 906096 0 0 Entropic Communications, Inc. common 29384R105 9043 3574310 SH SOLE 3574310 0 0 Erickson Incorporated common 29482P100 5329 638976 SH SOLE 638976 0 0 Extreme Networks, Inc. common 30226D106 8553 2422864 SH SOLE 2422864 0 0 Five Prime Therapeutics, Inc. common 33830X104 8100 300000 SH SOLE 300000 0 0 Foundation Healthcare, Inc. common 350405106 1126 3574220 SH SOLE 3574220 0 0 Fuelcell Energy Inc. common 35952H106 4905 3184885 SH SOLE 3184885 0 0 GeneNews, Ltd. (Canada) (CF) common 36870T107 14093 9303242 SH SOLE 9303242 0 0 Gigamon, Inc. common 37518B102 8315 468966 SH SOLE 468966 0 0 Global Power Equipment Group common 37941P306 898 65000 SH SOLE 65000 0 0 Hamilton Thorne, Ltd.(Canada) common 407891100 2949 8356544 SH SOLE 8356544 0 0 Hamilton Thorne, Ltd.(Rest Lt common 407891100 406 1400000 SH SOLE 1400000 0 0 Health Insurance Innovations common 42225K106 365 51000 SH SOLE 51000 0 0 IZEA Inc. common 46603N202 3040 10857144 SH SOLE 10857144 0 0 Ideal Power, Inc. common 451622104 8327 1146935 SH SOLE 1146935 0 0 Incontact Inc. common 45336E109 7591 863552 SH SOLE 863552 0 0 Infusystem Holdings, Inc. common 45685K102 3695 1173102 SH SOLE 1173102 0 0 Integral Vision, Inc. common 45811H106 5 1850000 SH SOLE 1850000 0 0 Intermap Technologies Corp common 458977204 837 14976204 SH SOLE 14976204 0 0 Interplay Entertainment Corp. common 460615107 58 9133000 SH SOLE 9133000 0 0 Iteris, Inc. common 46564T107 962 556169 SH SOLE 556169 0 0 Kindred Biosciences, Inc. common 494577109 977 131090 SH SOLE 131090 0 0 Kopin Corporation common 500600101 22178 6126598 SH SOLE 6126598 0 0 LRAD Corporation common 50213V109 12603 4667710 SH SOLE 4667710 0 0 Lakeland Industries, Inc. common 511795106 648 69198 SH SOLE 69198 0 0 Lemaitre Vascular Inc. common 525558201 10173 1329858 SH SOLE 1329858 0 0 Lightbridge Corporation common 53224K104 5439 3508789 SH SOLE 3508789 0 0 LivePerson, Inc. common 538146101 20124 1427200 SH SOLE 1427200 0 0 Loxo Oncology, Inc. common 548862101 881 75000 SH SOLE 75000 0 0 MagneTek, Inc. common 559424403 9761 240126 SH SOLE 240126 0 0 Manitex Int'l Inc. common 563420108 6704 527491 SH SOLE 527491 0 0 Marin Software, Inc. common 56804T106 1933 228456 SH SOLE 228456 0 0 Marinus Pharmaceuticals, Inc. common 56854Q101 2818 267337 SH SOLE 267337 0 0 Marrone Bio Innovations, Inc. common 57165B106 1135 314461 SH SOLE 314461 0 0 MaxLinear, Inc. common 57776J100 7176 968397 SH SOLE 968397 0 0 Meru Networks, Inc. common 59047Q103 971 258265 SH SOLE 258265 0 0 MicroFinancial Incorporated common 595072109 10132 992804 SH SOLE 992804 0 0 MoSys, Inc. common 619718109 2914 1558027 SH SOLE 1558027 0 0 NTN Buzztime, Inc. common 629410309 3442 7823652 SH SOLE 7823652 0 0 NV5 Holding Inc. common 62945V109 975 75000 SH SOLE 75000 0 0 NeoPhotonics Corporation common 64051T100 7541 2230997 SH SOLE 2230997 0 0 Neonode, Inc. common 64051M402 9358 2768640 SH SOLE 2768640 0 0 Netlist, Inc. common 64118P109 505 691263 SH SOLE 691263 0 0 Novavax, Inc. common 670002104 3380 570000 SH SOLE 570000 0 0 Opko Health Inc. common 68375N103 3496 350000 SH SOLE 350000 0 0 Oramed Pharmaceuticals Inc. common 68403P203 1866 409316 SH SOLE 409316 0 0 Orion Marine Group, Inc. common 68628V308 3133 283518 SH SOLE 283518 0 0 Ossen Innovation Co. Spon-ADR common 688410109 920 1121537 SH SOLE 1121537 0 0 OvaScience, Inc. common 69014Q101 3272 74000 SH SOLE 74000 0 0 PC-Tel, Inc. common 69325Q105 4127 476576 SH SOLE 476576 0 0 Pacira Pharmaceuticals, Inc. common 695127100 15959 180000 SH SOLE 180000 0 0 ParkerVision, Inc. common 701354102 1990 2187196 SH SOLE 2187196 0 0 Parnell Pharmaceuticals Holdin common q73622104 1134 273901 SH SOLE 273901 0 0 Pfenex, Inc. common 717071104 7320 1000000 SH SOLE 1000000 0 0 Pfsweb, Inc. common 717098206 29105 2298955 SH SOLE 2298955 0 0 PowerSecure International, Inc common 73936N105 11912 1022531 SH SOLE 1022531 0 0 Precision Optics Corporation common 740294301 762 1269213 SH SOLE 1269213 0 0 Pure Technologies, Ltd. common 745915108 11889 1869300 SH SOLE 1869300 0 0 Quantum Fuel Systems Tech Worl common 74765E109 1120 535732 SH SOLE 535732 0 0 Qumu Corporation common 749063103 299 21871 SH SOLE 21871 0 0 Regulus Therapeutics, Inc. common 75915K101 2440 152100 SH SOLE 152100 0 0 Repligen Corporation common 759916109 7920 400000 SH SOLE 400000 0 0 Resonant, Inc. common 76118L102 1872 161086 SH SOLE 161086 0 0 Response Genetics, Inc. common 76123U105 1199 3786979 SH SOLE 3786979 0 0 Revolution Lighting Technologi common 76155G107 3069 2273100 SH SOLE 2273100 0 0 SFX Entertainment, Inc. common 784178303 2949 650956 SH SOLE 650956 0 0 SMART Technologies, Inc.(Canad common 83172R108 4110 3483053 SH SOLE 3483053 0 0 SMTP, Inc. common 784589202 1623 266971 SH SOLE 266971 0 0 Saia, Inc. common 78709Y105 1246 22500 SH SOLE 22500 0 0 Sangamo BioSciences, Inc. common 800677106 6997 460000 SH SOLE 460000 0 0 SeaChange International, Inc. common 811699107 5324 834485 SH SOLE 834485 0 0 Second Sight Medical Products common 81362J100 2411 234965 SH SOLE 234965 0 0 Selectica, Inc. common 816288104 3981 768569 SH SOLE 768569 0 0 Sequans Communications - ADR common 817323108 2730 2294290 SH SOLE 2294290 0 0 Silicon Motion Technology Corp common 82706C108 11601 490527 SH SOLE 490527 0 0 Silver Spring Networks, Inc. common 82817Q103 3473 412033 SH SOLE 412033 0 0 Spark Networks, Inc. common 84651P100 4717 1313918 SH SOLE 1313918 0 0 Spectral Diagnostics Inc. common 847574100 474 1572500 SH SOLE 1572500 0 0 StarTek, inc. common 85569C107 752 77147 SH SOLE 77147 0 0 Streamline Health Solutions common 86323X106 1060 244818 SH SOLE 244818 0 0 Summit Corporations plc common B02T3K5GB 1980 938086 SH SOLE 938086 0 0 Support.com, Inc. common 86858W101 4153 1968120 SH SOLE 1968120 0 0 Synergetics USA, Inc. common 87160G107 4510 1036727 SH SOLE 1036727 0 0 Tivo, Inc. common 888706108 2402 202908 SH SOLE 202908 0 0 Tokai Pharmaceuticals, Inc. common 88907J107 1474 100000 SH SOLE 100000 0 0 Tree.com, Inc. common 894675107 5920 122469 SH SOLE 122469 0 0 Trillium Therapeutics Corp. common 89620X100 3647 404841 SH SOLE 404841 0 0 Ultra Clean Holdings, Inc. common 90385V107 17304 1864691 SH SOLE 1864691 0 0 Unwired Planet, Inc. common 91531F103 1861 1861278 SH SOLE 1861278 0 0 Upland Software, Inc. common 91544A109 1540 161060 SH SOLE 161060 0 0 UrtheCast Corporation (Canada) common 91731X102 1363 996600 SH SOLE 996600 0 0 Verastem, Inc. common 92337C104 1782 195000 SH SOLE 195000 0 0 Visualant, Inc. common 928449107 1669 15900000 SH SOLE 15900000 0 0 Vitae Pharmaceuticals, Inc. common 92847N103 13728 825000 SH SOLE 825000 0 0 Vitesse Semiconductor Corp. common 928497304 5679 1502400 SH SOLE 1502400 0 0 Vocera Communications, Inc. common 92857F107 24886 2388325 SH SOLE 2388325 0 0 WaferGen Bio-systems Inc. common 93041P308 4200 1400000 SH SOLE 1400000 0 0 World Energy Solutions, Inc. common 98145W208 4613 838652 SH SOLE 838652 0 0 XEBEC Adsorption, Inc. common 983891102 482 9333761 SH SOLE 9333761 0 0 Zafgen Inc. common 98885E102 1079 35000 SH SOLE 35000 0 0 diaDexus, Inc. common 25245P106 441 881238 SH SOLE 881238 0 0 hopTo Inc. common 440271104 1193 8524700 SH SOLE 8524700 0 0 iPass, Inc. common 46261V108 4082 2979509 SH SOLE 2979509 0 0 iRadimed,Corp. common 46266A109 2713 210285 SH SOLE 210285 0 0 Arrowhead Research Corp @1.83 preferred 999999999 9275 2300 SH SOLE 2300 0 0 Digital Guardian Ser A1 cvt pf preferred 999999999 1898 1898146 SH SOLE 1898146 0 0 Digital Guardian Ser B-1 cvt p preferred 999999999 1505 430113 SH SOLE 430113 0 0 Trillium Therapeutics @6.30Cd preferred 89620X100 3383 11664286 SH SOLE 11664286 0 0 ARI Network Service 2.00 3/12/ warrants 999999999 215 100000 SH SOLE 100000 0 0 Aeterna Zentaris @1.25 1/14/19 warrants 999999999 50 333334 SH SOLE 333334 0 0 Altair Nanotech @.58 5/28/16 * warrants 03820G106 5 939973 SH SOLE 939973 0 0 Benitec Biopharma @1.59A 2/28/ warrants 999999999 221 1051402 SH SOLE 1051402 0 0 CYREN Ltd. @3.08 1/30/15-1/30/ warrants 999999999 134 496242 SH SOLE 496242 0 0 Cellectar Biosciences@1.00 2/6 warrants 15117F203 853 1066000 SH SOLE 1066000 0 0 Cerus Corporation @3.20 5/16/1 warrants 999999999 1309 421052 SH SOLE 421052 0 0 ChinaCast Education Corp R144 warrants 999999999 2 500000 SH SOLE 500000 0 0 Crailar Tech Inc.@.535 8/6/19 warrants 999999999 480 6000000 SH SOLE 6000000 0 0 Cyclacel Phrm @13.44 RR 10/7/1 warrants 999999999 26 293350 SH SOLE 293350 0 0 CytRx Corporation R/R 8/1/16 @ warrants 232828301 72 2400000 SH SOLE 2400000 0 0 Derma Sciences, Inc. (R/R) @9. warrants 999999999 48 60606 SH SOLE 60606 0 0 Dynavax Technologies Corp@1.50 warrants 268158102 83 360000 SH SOLE 360000 0 0 EnteroMedics, Inc (RR) @2.19 6 warrants 999999999 135 1500000 SH SOLE 1500000 0 0 EnteroMedics, Inc. (R/R) @1.14 warrants 999999999 61 132140 SH SOLE 132140 0 0 EnteroMedics, Inc. (R/R) @1.90 warrants 999999999 23 180000 SH SOLE 180000 0 0 Foundation Health@1.24 6/20/16 warrants 999999999 179 3571000 SH SOLE 3571000 0 0 Galena Biopharma R/R @.65 4/21 warrants 999999999 280 307393 SH SOLE 307393 0 0 GeneNews @.24 2/1/15 Reg S (CF warrants 999999999 207 4144638 SH SOLE 4144638 0 0 GeneNews @.24 6/1/15 Reg S (CF warrants 999999999 41 690278 SH SOLE 690278 0 0 Hamilton Thorne @.20c 10/10/15 warrants 999999999 294 1400000 SH SOLE 1400000 0 0 IZEA Inc. (R/R) @.35 2/21/19 1 warrants 999999999 489 5428572 SH SOLE 5428572 0 0 IZEA Inc. (R/R) @.50 2/21/19 1 warrants 999999999 489 5428572 SH SOLE 5428572 0 0 Idera Pharmaceuticals (R/R) @3 warrants 999999999 216 216000 SH SOLE 216000 0 0 LRAD Corporation (R/R) @2.67 2 warrants 999999999 268 788090 SH SOLE 788090 0 0 Lightbridge @2.31 5/17/15-5/17 warrants 999999999 1367 2734590 SH SOLE 2734590 0 0 Lightbridge Corp R/R@9.00 7/28 warrants 999999999 27 454546 SH SOLE 454546 0 0 Lightbridge RR @2.30 4/25/14-4 warrants 999999999 263 571428 SH SOLE 571428 0 0 Mast Therap (2w=1cs) @1.10 11/ warrants 999999999 37 3750000 SH SOLE 3750000 0 0 NV5 Holding Inc. @7.80 3/27/18 warrants 62945V117 650 99970 SH SOLE 99970 0 0 Palatin RR@1.00 3/2/12-3/2/17 warrants 999999999 495 4500000 SH SOLE 4500000 0 0 Palatin(RR) @1.00 3/1/16 *.086 warrants 999999999 31 4500000 SH SOLE 4500000 0 0 Parkervision, Inc. (R/R) @.535 warrants 999999999 492 1229104 SH SOLE 1229104 0 0 Power Solutions R/R @13.00 4/2 warrants 999999999 9760 251416 SH SOLE 251416 0 0 Precision Optics (R/R) @1.50 2 warrants 999999999 70 350000 SH SOLE 350000 0 0 Precision Optics R/R @1.03 5/1 warrants 999999999 133 493398 SH SOLE 493398 0 0 Precision Optics R/R @1.11 9/2 warrants 999999999 135 481733 SH SOLE 481733 0 0 Remark Media @5.22 8/29/17 R/R warrants 999999999 100 147222 SH SOLE 147222 0 0 Selectica @7.00 7/24/14-1/24/1 warrants 999999999 57 67319 SH SOLE 67319 0 0 Selectica @7.00 8/27/14-8/27/1 warrants 999999999 60 65625 SH SOLE 65625 0 0 Selectica @7.75 11/30/13-5/31/ warrants 999999999 123 185714 SH SOLE 185714 0 0 Threshold Pharmaceutical R/R @ warrants 999999999 181 190476 SH SOLE 190476 0 0 Transgenomic @1.08 2/7/17 (R/R warrants 999999999 17 1750000 SH SOLE 1750000 0 0 Trillium @.28Cd 12/13/18 R/R 1 warrants 999999999 2500 17857143 SH SOLE 17857143 0 0 Visualant, Inc. @.15 6/10/18 ( warrants 999999999 636 15900000 SH SOLE 15900000 0 0 Visualant, Inc. @.20 6/10/18 ( warrants 999999999 636 15900000 SH SOLE 15900000 0 0 WaferGen Bio-systems @5.00 8/2 warrants 999999999 826 1400000 SH SOLE 1400000 0 0 XEBEC Adsorption @.45C 11/1/15 warrants 999999999 18 2500000 SH SOLE 2500000 0 0 hopTo Inc. @1.00 6/18/18 9.99% warrants 999999999 41 1375000 SH SOLE 1375000 0 0 iCo Therapeutics Inc @.539C 1/ warrants 999999999 29 4051621 SH SOLE 4051621 0 0 Sphere 3D Corporation 20% Rights 999999999 2250 3000000 SH SOLE 3000000 0 0