Vice President

0001535264-15-000058.txt : 20150508 0001535264-15-000058.hdr.sgml : 20150508 20150508142446 ACCESSION NUMBER: 0001535264-15-000058 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150331 FILED AS OF DATE: 20150508 DATE AS OF CHANGE: 20150508 EFFECTIVENESS DATE: 20150508 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: 15845922 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 03-31-2015 03-31-2015 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 03-31-2015 0 187 723204 false INFORMATION TABLE 2 inftable.xml AWM 13F MARCH 2015 ARI Network Services, Inc. common 001930205 676 200000 SH SOLE 200000 0 0 Acadia Pharmaceuticals, Inc. common 004225108 1629 50000 SH SOLE 50000 0 0 Adept Technology, Inc. common 006854202 11407 1854812 SH SOLE 1854812 0 0 Aerovironment, Inc. common 008073108 8912 336159 SH SOLE 336159 0 0 Amber Road, Inc. common 02318Y108 3618 391116 SH SOLE 391116 0 0 Ameresco, Inc. common 02361E108 2118 286240 SH SOLE 286240 0 0 Amtech Systems, Inc. common 032332504 5358 479226 SH SOLE 479226 0 0 Aratana Therapeutics, Inc. common 03874P101 9606 600000 SH SOLE 600000 0 0 Ardmore Shipping Corp. (Irelan common Y0207T100 5586 554710 SH SOLE 554710 0 0 Argos Therapeutics, Inc. common 040221103 6682 750000 SH SOLE 750000 0 0 Arrowhead Research Corporation common 042797209 7124 1053031 SH SOLE 1053031 0 0 Avinger, Inc. common 053734109 5545 500000 SH SOLE 500000 0 0 BIOLASE, Inc. common 090911108 129 64008 SH SOLE 64008 0 0 BioTelemetry, Inc. common 090672106 2214 250182 SH SOLE 250182 0 0 Brightcove, Inc. common 075097042 14063 1918557 SH SOLE 1918557 0 0 Broadwind Energy Inc. common 11161T108 8882 1776350 SH SOLE 1776350 0 0 CEVA, Inc. common 157210105 26886 1261046 SH SOLE 1261046 0 0 CPI Aerostructures, Inc. common 125919308 11359 931040 SH SOLE 931040 0 0 CTPartners Executive Search common 22945C105 5140 1025921 SH SOLE 1025921 0 0 CVD Equipment Corporation common 126601103 4667 338466 SH SOLE 338466 0 0 Carbon Natural Gas Co. common 14115T109 7078 10888889 SH SOLE 10888889 0 0 Cellectar Biosciences, Inc. common 15117F203 3553 1142368 SH SOLE 1142368 0 0 ChannelAdvisor, Corp. common 159179100 4848 500277 SH SOLE 500277 0 0 Chase Packaging Corporation common 161635107 48 684954 SH SOLE 684954 0 0 Constant Contact Inc. common 210313102 505 13206 SH SOLE 13206 0 0 Crailar Technologies Inc. common 224248104 1588 6410123 SH SOLE 6410123 0 0 DSP Group, Inc. common 23332B106 7877 657534 SH SOLE 657534 0 0 Dicerna Pharmaceuticals, Inc. common 253031108 1922 80000 SH SOLE 80000 0 0 Digital Guardian Inc. (Private common 999999999 292 860226 SH SOLE 860226 0 0 Dixie Group, Inc. common 255519100 3855 425945 SH SOLE 425945 0 0 Energous, Corp. common 29272C103 7734 819296 SH SOLE 819296 0 0 Entropic Communications, Inc. common 29384R105 1222 412925 SH SOLE 412925 0 0 Erickson Incorporated common 29482P100 1255 290451 SH SOLE 290451 0 0 Extreme Networks, Inc. common 30226D106 7656 2422864 SH SOLE 2422864 0 0 Five Prime Therapeutics, Inc. common 33830X104 6855 300000 SH SOLE 300000 0 0 Flex Pharma Inc. common 33938A105 490 25000 SH SOLE 25000 0 0 Foundation Healthcare, Inc. common 350405106 1208 357422 SH SOLE 357422 0 0 Fuelcell Energy Inc. common 35952H106 3981 3184885 SH SOLE 3184885 0 0 GeneNews, Ltd. (Canada) (CF) common 36870T107 5618 10028553 SH SOLE 10028553 0 0 Gigamon, Inc. common 37518B102 9961 468966 SH SOLE 468966 0 0 Global Power Equipment Group common 37941P306 858 65000 SH SOLE 65000 0 0 Great Lakes Dredge & Dock Co. common 390607109 601 100000 SH SOLE 100000 0 0 Hamilton Thorne, Ltd.(Canada) common 407891100 2772 9756544 SH SOLE 9756544 0 0 Health Insurance Innovations common 42225K106 1447 185295 SH SOLE 185295 0 0 Hutchinson Technology Inc. common 448407106 604 226200 SH SOLE 226200 0 0 I.D. Systems Inc. common 449489103 135 21173 SH SOLE 21173 0 0 IZEA Inc. common 46603N202 4343 10857144 SH SOLE 10857144 0 0 Ideal Power, Inc. common 451622104 10861 1146935 SH SOLE 1146935 0 0 Immersion Corporation common 452521107 1103 120136 SH SOLE 120136 0 0 Incontact Inc. common 45336E109 8749 802652 SH SOLE 802652 0 0 Infusystem Holdings, Inc. common 45685K102 3179 1173102 SH SOLE 1173102 0 0 Integral Vision, Inc. common 45811H106 5 1850000 SH SOLE 1850000 0 0 Intellicheck Mobilisa, Inc. common 45817G201 3077 1985022 SH SOLE 1985022 0 0 Intermap Technologies Corp(Can common 458977204 1181 14976204 SH SOLE 14976204 0 0 Interplay Entertainment Corp. common 460615107 91 9133000 SH SOLE 9133000 0 0 Iteris, Inc. common 46564T107 1065 585369 SH SOLE 585369 0 0 Kopin Corporation common 500600101 21566 6126598 SH SOLE 6126598 0 0 LRAD Corporation common 50213V109 10969 4667710 SH SOLE 4667710 0 0 Lakeland Industries, Inc. common 511795106 1379 154090 SH SOLE 154090 0 0 Lemaitre Vascular Inc. common 525558201 11144 1329858 SH SOLE 1329858 0 0 LendingTree, Inc. common 894675107 8540 152469 SH SOLE 152469 0 0 Lightbridge Corporation common 53224K104 4351 3508789 SH SOLE 3508789 0 0 LivePerson, Inc. common 538146101 16098 1572800 SH SOLE 1572800 0 0 Loxo Oncology, Inc. common 548862101 934 75000 SH SOLE 75000 0 0 MagneTek, Inc. common 559424403 8702 225904 SH SOLE 225904 0 0 Manitex Int'l Inc. common 563420108 7135 733297 SH SOLE 733297 0 0 Marin Software, Inc. common 56804T106 1284 204162 SH SOLE 204162 0 0 Marinus Pharmaceuticals, Inc. common 56854Q101 2403 267337 SH SOLE 267337 0 0 MaxLinear, Inc. common 57776J100 7873 968397 SH SOLE 968397 0 0 Meru Networks, Inc. common 59047Q103 417 289465 SH SOLE 289465 0 0 MoSys, Inc. common 619718109 12855 6121540 SH SOLE 6121540 0 0 NTN Buzztime, Inc. common 629410309 3420 8143115 SH SOLE 8143115 0 0 NV5 Holding Inc. common 62945V109 1459 89190 SH SOLE 89190 0 0 NeoPhotonics Corporation common 64051T100 8839 1309437 SH SOLE 1309437 0 0 Neonode, Inc. common 64051M402 8267 2607876 SH SOLE 2607876 0 0 Netlist, Inc. common 64118P109 2660 4587053 SH SOLE 4587053 0 0 Novavax, Inc. common 670002104 3308 400000 SH SOLE 400000 0 0 Opko Health Inc. common 68375N103 4959 350000 SH SOLE 350000 0 0 Oramed Pharmaceuticals Inc. common 68403P203 2607 409316 SH SOLE 409316 0 0 Orion Marine Group, Inc. common 68628V308 3615 408056 SH SOLE 408056 0 0 Ossen Innovation Co. Spon-ADR common 688410109 763 1121537 SH SOLE 1121537 0 0 OvaScience, Inc. common 69014Q101 347 10000 SH SOLE 10000 0 0 PC-Tel, Inc. common 69325Q105 1956 244545 SH SOLE 244545 0 0 Pacira Pharmaceuticals, Inc. common 695127100 6221 70018 SH SOLE 70018 0 0 ParkerVision, Inc. common 701354102 1815 2187196 SH SOLE 2187196 0 0 Parnell Pharmaceuticals Holdin common q73622104 1345 273901 SH SOLE 273901 0 0 Pfenex, Inc. common 717071104 13689 858775 SH SOLE 858775 0 0 Pfsweb, Inc. common 717098206 22968 2089868 SH SOLE 2089868 0 0 PowerSecure International, Inc common 73936N105 13457 1022531 SH SOLE 1022531 0 0 Precision Optics Corporation, common 740294301 698 1269213 SH SOLE 1269213 0 0 Presbia, PLC (Ireland) common G7234P100 5563 752781 SH SOLE 752781 0 0 Pure Technologies, Ltd. (Canad common 745915108 11959 1869300 SH SOLE 1869300 0 0 Quantum Fuel Systems Tech Worl common 74765E109 4938 1849604 SH SOLE 1849604 0 0 Qumu Corporation common 749063103 293 21871 SH SOLE 21871 0 0 Rand logistics Inc. common 752182105 710 218400 SH SOLE 218400 0 0 Regulus Therapeutics, Inc. common 75915K101 2117 125000 SH SOLE 125000 0 0 Repligen Corporation common 759916109 6983 230000 SH SOLE 230000 0 0 Response Genetics, Inc. common 76123U105 1707 3710482 SH SOLE 3710482 0 0 Revolution Lighting Technologi common 76155G107 291 262333 SH SOLE 262333 0 0 SMART Technologies, Inc.(Canad common 83172R108 4249 3483053 SH SOLE 3483053 0 0 SMTP, Inc. common 784589202 1259 239825 SH SOLE 239825 0 0 Saia, Inc. common 78709Y105 997 22500 SH SOLE 22500 0 0 Sangamo BioSciences, Inc. common 800677106 2700 172200 SH SOLE 172200 0 0 SeaChange International, Inc. common 811699107 6551 834485 SH SOLE 834485 0 0 Selectica, Inc. common 816288104 4996 768569 SH SOLE 768569 0 0 Sequans Communications - ADR common 817323108 3698 2201190 SH SOLE 2201190 0 0 Silicon Motion Technology Corp common 82706C108 13132 488527 SH SOLE 488527 0 0 Spark Networks, Inc. common 84651P100 3398 841088 SH SOLE 841088 0 0 StarTek, inc. common 85569C107 575 77147 SH SOLE 77147 0 0 Streamline Health Solutions common 86323X106 5745 1609318 SH SOLE 1609318 0 0 Sucampo Pharmaceuticals, Inc. common 864909106 4668 300000 SH SOLE 300000 0 0 Summit Corporations plc common B02T3K5GB 2204 938086 SH SOLE 938086 0 0 Support.com, Inc. common 86858W101 3881 2488120 SH SOLE 2488120 0 0 Synergetics USA, Inc. common 87160G107 5588 1036727 SH SOLE 1036727 0 0 Tivo, Inc. common 888706108 2153 202908 SH SOLE 202908 0 0 Trillium Therapeutics Corp. common 89620X100 7529 373873 SH SOLE 373873 0 0 Truett-Hurst, Inc. common 897871109 952 313000 SH SOLE 313000 0 0 Ultra Clean Holdings, Inc. common 90385V107 13333 1864691 SH SOLE 1864691 0 0 Unwired Planet, Inc. common 91531F103 981 1715578 SH SOLE 1715578 0 0 UrtheCast Corporation (Canada) common 91731X102 1596 996600 SH SOLE 996600 0 0 Verastem, Inc. common 92337C104 4068 400000 SH SOLE 400000 0 0 Visualant, Inc. common 928449107 1192 15900000 SH SOLE 15900000 0 0 Vitae Pharmaceuticals, Inc. common 92847N103 10211 872000 SH SOLE 872000 0 0 Vitesse Semiconductor Corp. common 928497304 7978 1502400 SH SOLE 1502400 0 0 Vocera Communications, Inc. common 92857F107 23573 2376325 SH SOLE 2376325 0 0 WaferGen Bio-systems Inc. common 93041P308 6342 1400000 SH SOLE 1400000 0 0 XEBEC Adsorption, Inc. (Canada common 983891102 442 9333761 SH SOLE 9333761 0 0 Xplore Technologies, Corp. common 983950700 1206 190000 SH SOLE 190000 0 0 Zafgen Inc. common 98885E102 6908 174398 SH SOLE 174398 0 0 diaDexus, Inc. common 25245P106 366 881238 SH SOLE 881238 0 0 hopTo Inc. common 440271104 1482 8524700 SH SOLE 8524700 0 0 iPass, Inc. common 46261V108 3158 2979509 SH SOLE 2979509 0 0 iRadimed,Corp. common 46266A109 3203 210285 SH SOLE 210285 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 Selectica Inc. Series F cvrt @ preferred 999999999 346 5319 SH SOLE 5319 0 0 Trillium Therapeutics @6.30Cd preferred 89620X100 7465 11664286 SH SOLE 11664286 0 0 ARI Network Service 2.00 3/12/ warrants 999999999 156 100000 SH SOLE 100000 0 0 Aeterna Zentaris @.14 1/14/19 warrants 999999999 140 333334 SH SOLE 333334 0 0 Altair Nanotech @.58 5/28/16 * warrants 03820G106 3 939973 SH SOLE 939973 0 0 Benitec Biopharma @1.59A 2/28/ warrants 999999999 95 1051402 SH SOLE 1051402 0 0 CYREN Ltd. @3.08 1/30/15-1/30/ warrants 999999999 303 496242 SH SOLE 496242 0 0 Cellectar Biosciences@1.00 2/6 warrants 15117F203 831 1066000 SH SOLE 1066000 0 0 Cerus Corporation @3.20 5/16/1 warrants 999999999 488 421052 SH SOLE 421052 0 0 ChinaCast Education Corp R144 warrants 999999999 1 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 29 293350 SH SOLE 293350 0 0 CytRx Corporation R/R 8/1/16 @ warrants 232828301 96 2400000 SH SOLE 2400000 0 0 Derma Sciences, Inc. (R/R) @9. warrants 999999999 35 60606 SH SOLE 60606 0 0 Dynavax Technologies Corp@1.50 warrants 268158102 266 360000 SH SOLE 360000 0 0 EnteroMedics, Inc (RR) @2.19 6 warrants 999999999 15 1500000 SH SOLE 1500000 0 0 EnteroMedics, Inc. (R/R) @1.14 warrants 999999999 17 132140 SH SOLE 132140 0 0 EnteroMedics, Inc. (R/R) @1.90 warrants 999999999 5 180000 SH SOLE 180000 0 0 Essa Pharmaceutical @2.75 9/16 warrants 999999999 3745 727272 SH SOLE 727272 0 0 Foundation Health @12.42 6/20/ warrants 999999999 155 431307 SH SOLE 431307 0 0 Galena Biopharma R/R @.65 4/21 warrants 999999999 243 307393 SH SOLE 307393 0 0 Hamilton Thorne @.20c 10/10/15 warrants 999999999 210 1400000 SH SOLE 1400000 0 0 IZEA Inc. (R/R) @.35 2/21/19 1 warrants 999999999 869 5428572 SH SOLE 5428572 0 0 IZEA Inc. (R/R) @.50 2/21/19 1 warrants 999999999 651 5428572 SH SOLE 5428572 0 0 Idera Pharmaceuticals (R/R) @3 warrants 999999999 73 216000 SH SOLE 216000 0 0 LRAD Corporation (R/R) @2.67 2 warrants 999999999 102 788090 SH SOLE 788090 0 0 Lightbridge @2.31 5/17/15-5/17 warrants 999999999 820 2734590 SH SOLE 2734590 0 0 Lightbridge Corp R/R@9.00 7/28 warrants 999999999 4 454546 SH SOLE 454546 0 0 Lightbridge RR @2.30 4/25/14-4 warrants 999999999 154 571428 SH SOLE 571428 0 0 Mast Therap (2w=1cs) @1.10 11/ warrants 999999999 37 3750000 SH SOLE 3750000 0 0 Palatin RR@1.00 3/2/12-3/2/17 warrants 999999999 1035 4500000 SH SOLE 4500000 0 0 Palatin(RR) @1.00 3/1/16 *.086 warrants 999999999 90 4500000 SH SOLE 4500000 0 0 Parkervision, Inc. (R/R) @.535 warrants 999999999 381 1229104 SH SOLE 1229104 0 0 Power Solutions R/R @13.00 4/2 warrants 999999999 12913 251416 SH SOLE 251416 0 0 Precision Optics (R/R) @1.50 2 warrants 999999999 63 350000 SH SOLE 350000 0 0 Precision Optics R/R @1.03 5/1 warrants 999999999 123 493398 SH SOLE 493398 0 0 Precision Optics R/R @1.11 9/2 warrants 999999999 125 481733 SH SOLE 481733 0 0 Remark Media @5.22 8/29/17 R/R warrants 999999999 109 147222 SH SOLE 147222 0 0 Selectica @6.00 8/6/15-8/6/20 warrants 999999999 57 26595 SH SOLE 26595 0 0 Selectica @7.00 7/24/14-1/24/1 warrants 999999999 102 67319 SH SOLE 67319 0 0 Selectica @7.00 8/27/14-8/27/1 warrants 999999999 106 65625 SH SOLE 65625 0 0 Selectica @7.75 11/30/13-5/31/ warrants 999999999 238 185714 SH SOLE 185714 0 0 Threshold Pharmaceutical R/R @ warrants 999999999 320 190476 SH SOLE 190476 0 0 Transgenomic @1.08 2/7/17 (R/R warrants 999999999 35 1750000 SH SOLE 1750000 0 0 Trillium @.28Cd 12/13/18 R/R 1 warrants 999999999 8929 17857143 SH SOLE 17857143 0 0 Visualant, Inc. @.15 6/10/18 ( warrants 999999999 477 15900000 SH SOLE 15900000 0 0 Visualant, Inc. @.20 6/10/18 ( warrants 999999999 477 15900000 SH SOLE 15900000 0 0 WaferGen Bio-systems @5.00 8/2 warrants 999999999 1904 1400000 SH SOLE 1400000 0 0 XEBEC Adsorption @.45C 11/1/15 warrants 999999999 10 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 41 4051621 SH SOLE 4051621 0 0 Overland Storage, Inc. 20% of Rights 999999999 2250 3000000 SH SOLE 3000000 0 0