Executive Vice President

0001535264-16-000160.txt : 20160505 0001535264-16-000160.hdr.sgml : 20160505 20160505162111 ACCESSION NUMBER: 0001535264-16-000160 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160331 FILED AS OF DATE: 20160505 DATE AS OF CHANGE: 20160505 EFFECTIVENESS DATE: 20160505 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: 161624106 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 03-31-2016 03-31-2016 AWM Investment Company, Inc.

527 MADISON AVENUE SUITE 2600 NEW YORK NY 10022

13F HOLDINGS REPORT 028-16479 N David M. Greenhouse Executive Vice President 212-319-6670 /s/David M. Greenhouse New York NY 05-05-2016 0 93 476438 false INFORMATION TABLE 2 inftable.xml AWM 13F MARCH 31 2016 ARI Network Services, Inc. common 001930205 1317 300000 SH SOLE 300000 0 0 Aerovironment, Inc. common 008073108 13251 467909 SH SOLE 467909 0 0 American Superconductor, Corp. common 030111207 10472 1377838 SH SOLE 1377838 0 0 Aqua Metals, Inc. common 03837J101 8337 1253650 SH SOLE 1253650 0 0 Aratana Therapeutics, Inc. common 03874P101 6733 1219835 SH SOLE 1219835 0 0 Ardmore Shipping Corp. common Y0207T100 4702 556410 SH SOLE 556410 0 0 Avinger, Inc. common 053734109 5052 527400 SH SOLE 527400 0 0 Bazaarvoice Inc. common 073271108 3218 1021453 SH SOLE 1021453 0 0 BioAmber, Inc. common 09072Q106 220 52280 SH SOLE 52280 0 0 BioTelemetry, Inc. common 090672106 1694 145000 SH SOLE 145000 0 0 Boingo Wireless, Inc. common 09739C102 2696 349226 SH SOLE 349226 0 0 Brightcove, Inc. common 075097042 12128 1943630 SH SOLE 1943630 0 0 Broadwind Energy, Inc. common 11161T108 4448 1477722 SH SOLE 1477722 0 0 CEVA, Inc. common 157210105 25751 1144474 SH SOLE 1144474 0 0 CPI Aerostructures, Inc. common 125919308 6173 842149 SH SOLE 842149 0 0 CVD Equipment Corporation common 126601103 2428 288700 SH SOLE 288700 0 0 ChannelAdvisor, Corp. common 159179100 1009 89686 SH SOLE 89686 0 0 Cidara Therapeutics Inc. common 171757107 3365 265000 SH SOLE 265000 0 0 Cipher Pharmaceuticals, Inc. common 17253X105 1200 250000 SH SOLE 250000 0 0 Concert Pharmaceuticals, Inc. common 206022105 1366 100000 SH SOLE 100000 0 0 Corium International Inc. common 21887L107 1466 379682 SH SOLE 379682 0 0 DSP Group, Inc. common 23332B106 6782 743639 SH SOLE 743639 0 0 Determine, Inc. common 250660107 1520 821760 SH SOLE 821760 0 0 ESSA Pharma Inc. common 29668H104 5515 1696968 SH SOLE 1696968 0 0 EVINE Live, Inc. common 300487105 1309 1118487 SH SOLE 1118487 0 0 Energous Corporation common 29272C103 13772 1363588 SH SOLE 1363588 0 0 Extreme Networks, Inc. common 30226D106 3173 1020219 SH SOLE 1020219 0 0 Five Prime Therapeutics, Inc. common 33830X104 4802 118199 SH SOLE 118199 0 0 Gaiam, Inc. common 36268Q103 1248 195000 SH SOLE 195000 0 0 Genocea Biosciences, Inc. common 372427104 6695 865000 SH SOLE 865000 0 0 Gigamon, Inc. common 37518B102 8216 264877 SH SOLE 264877 0 0 Good Times Restaurants, Inc. common 382140879 398 100000 SH SOLE 100000 0 0 Great Lakes Dredge & Dock Co. common 390607109 892 200000 SH SOLE 200000 0 0 IZEA Inc. common 46603N202 7168 1018216 SH SOLE 1018216 0 0 Ideal Power, Inc. common 451622104 7602 1681935 SH SOLE 1681935 0 0 Immersion Corporation common 452521107 776 94000 SH SOLE 94000 0 0 Infusystem Holdings, Inc. common 45685K102 4949 1405854 SH SOLE 1405854 0 0 Intellicheck Mobilisa, Inc. common 45817G201 3176 1985022 SH SOLE 1985022 0 0 Invuity, Inc. common 46187J205 1155 160000 SH SOLE 160000 0 0 Iteris, Inc. common 46564T107 1306 535369 SH SOLE 535369 0 0 Kopin Corporation common 500600101 10989 6619921 SH SOLE 6619921 0 0 LRAD Corporation common 50213V109 6960 4192710 SH SOLE 4192710 0 0 LeMaitre Vascular Inc. common 525558201 16432 1058760 SH SOLE 1058760 0 0 LendingTree, Inc. common 894675107 15958 163208 SH SOLE 163208 0 0 LivePerson, Inc. common 538146101 12245 2093078 SH SOLE 2093078 0 0 Loxo Oncology, Inc. common 548862101 5468 200000 SH SOLE 200000 0 0 MCBC Holdings, Inc. common 55276F107 2816 200000 SH SOLE 200000 0 0 Manitex Int'l Inc. common 563420108 4087 781362 SH SOLE 781362 0 0 MaxLinear, Inc. common 57776J100 6379 344823 SH SOLE 344823 0 0 MoSys, Inc. common 619718109 3785 5822957 SH SOLE 5822957 0 0 NTN Buzztime, Inc. common 629410309 1362 9082575 SH SOLE 9082575 0 0 NV5 Global Inc. common 62945V109 1073 40000 SH SOLE 40000 0 0 NeoPhotonics Corporation common 64051T100 25528 1818236 SH SOLE 1818236 0 0 Neonode, Inc. common 64051M402 8210 4024446 SH SOLE 4024446 0 0 Netlist, Inc. common 64118P109 6808 4969543 SH SOLE 4969543 0 0 Opko Health Inc. common 68375N103 3636 350000 SH SOLE 350000 0 0 OvaScience, Inc. common 69014Q101 474 50000 SH SOLE 50000 0 0 PC-Tel, Inc. common 69325Q105 1511 316053 SH SOLE 316053 0 0 Pacira Pharmaceuticals, Inc. common 695127100 2951 55699 SH SOLE 55699 0 0 ParkerVision, Inc. common 701354102 827 264072 SH SOLE 264072 0 0 Pfenex, Inc. common 717071104 9376 953775 SH SOLE 953775 0 0 Pfsweb, Inc. common 717098206 21486 1637638 SH SOLE 1637638 0 0 PowerSecure International, Inc common 73936N105 11214 600000 SH SOLE 600000 0 0 Presbia, PLC (Ireland) common G7234P100 1824 416394 SH SOLE 416394 0 0 QuinStreet, Inc. common 74874Q100 1085 317130 SH SOLE 317130 0 0 Rand logistics Inc. common 752182105 615 647235 SH SOLE 647235 0 0 Repligen Corporation common 759916109 5364 200000 SH SOLE 200000 0 0 SCYNEXIS, Inc. common 811292101 752 186608 SH SOLE 186608 0 0 Saia, Inc. common 78709Y105 633 22500 SH SOLE 22500 0 0 Sangamo BioSciences, Inc. common 800677106 558 92200 SH SOLE 92200 0 0 SeaChange International, Inc. common 811699107 5289 958066 SH SOLE 958066 0 0 Sequans Communications - ADR common 817323108 11241 4132540 SH SOLE 4132540 0 0 SharpSpring, Inc. common 784589202 1858 530734 SH SOLE 530734 0 0 StarTek, inc. common 85569C107 138 32853 SH SOLE 32853 0 0 Streamline Health Solutions common 86323X106 2205 1563734 SH SOLE 1563734 0 0 Support.com, Inc. common 86858W101 1114 1295320 SH SOLE 1295320 0 0 Tivo, Inc. common 888706108 1930 202908 SH SOLE 202908 0 0 Trillium Therapeutics Corp. common 89620X100 2215 239477 SH SOLE 239477 0 0 Turtle Beach Corporation common 900450107 530 465016 SH SOLE 465016 0 0 Ultra Clean Holdings, Inc. common 90385V107 7894 1472701 SH SOLE 1472701 0 0 Unwired Planet, Inc. common 91531F103 1408 142963 SH SOLE 142963 0 0 Verastem, Inc. common 92337C104 1580 1000000 SH SOLE 1000000 0 0 Vitae Pharmaceuticals, Inc. common 92847N103 7981 1203821 SH SOLE 1203821 0 0 Vocera Communications, Inc. common 92857F107 19919 1562292 SH SOLE 1562292 0 0 XCel Brands Inc. common 98400M101 2077 360000 SH SOLE 360000 0 0 Xactly Corporation common 98386L101 1728 252321 SH SOLE 252321 0 0 Xplore Technologies, Corp. common 983950700 575 164775 SH SOLE 164775 0 0 hopTo Inc. common 440271104 1403 981166 SH SOLE 981166 0 0 iRadimed Corporation common 46266A109 3477 181487 SH SOLE 181487 0 0 inContact Inc. common 45336E109 11560 1300365 SH SOLE 1300365 0 0 Cellectar Biosciences @4.68 2/ warrants 15117F203 77 106600 SH SOLE 106600 0 0 EyeGate Pharmaceuticals @10.62 warrants 30233M115 103 137092 SH SOLE 137092 0 0 Overland Storage, Inc. 20% of Rights 999999999 2250 3000000 SH SOLE 3000000 0 0