Executive Vice President

0001535264-18-000035.txt : 20180213 0001535264-18-000035.hdr.sgml : 20180213 20180213164123 ACCESSION NUMBER: 0001535264-18-000035 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20171231 FILED AS OF DATE: 20180213 DATE AS OF CHANGE: 20180213 EFFECTIVENESS DATE: 20180213 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: 18604091 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 12-31-2017 12-31-2017 AWM Investment Company, Inc.

527 MADISON AVENUE SUITE 2600 NEW YORK NY 10022

13F HOLDINGS REPORT 028-16479 N David Greenhouse Executive Vice President 212-319-6670 /s/David Greenhouse New York NY 02-13-2018 0 103 515304 false INFORMATION TABLE 2 inftable.xml AWM 13F DEC 31 2017 ASV Holdings Inc. common 00215L104 4905 483230 SH SOLE 483230 0 0 Adesto Technologies Corp. common 00687D101 11611 1800200 SH SOLE 1800200 0 0 Aehr Test Systems common 00760J108 4883 1801926 SH SOLE 1801926 0 0 Aerovironment, Inc. common 008073108 1586 28249 SH SOLE 28249 0 0 Akari Therapeutics Plc. - ADR common 00972G108 2962 684000 SH SOLE 684000 0 0 American Superconductor, Corp. common 030111207 4179 1151252 SH SOLE 1151252 0 0 Aqua Metals, Inc. common 03837J101 5123 2405046 SH SOLE 2405046 0 0 Aratana Therapeutics, Inc. common 03874P101 7771 1477417 SH SOLE 1477417 0 0 Aspen Aerogels, Inc. common 04523Y105 4880 1000000 SH SOLE 1000000 0 0 Asure Software, Inc. common 04649U102 4397 311413 SH SOLE 311413 0 0 Atomera Incorporated common 04965B100 3837 886062 SH SOLE 886062 0 0 Aurinia Pharmaceuticals Inc. common 05156V102 1606 354520 SH SOLE 354520 0 0 AxoGen, Inc. common 05463X106 7967 281506 SH SOLE 281506 0 0 Bazaarvoice Inc. common 073271108 3511 644230 SH SOLE 644230 0 0 BioTelemetry, Inc. common 090672106 2966 99189 SH SOLE 99189 0 0 Broadwind Energy, Inc. common 11161T207 3119 1146834 SH SOLE 1146834 0 0 CEVA, Inc. common 157210105 32885 712558 SH SOLE 712558 0 0 CVD Equipment Corporation common 126601103 3355 288700 SH SOLE 288700 0 0 CareDx, Inc. common 14167L103 1284 175000 SH SOLE 175000 0 0 Celcuity Inc. common 15102K100 3801 200596 SH SOLE 200596 0 0 Century Casinos, Inc. common 156492100 6163 675000 SH SOLE 675000 0 0 Christopher & Banks Corp. common 171046105 952 749960 SH SOLE 749960 0 0 Citi Trends, Inc. common 17306X102 11378 430000 SH SOLE 430000 0 0 Clearside Biomedical, Inc. common 185063104 770 110000 SH SOLE 110000 0 0 Corium International Inc. common 21887L107 21800 2268443 SH SOLE 2268443 0 0 DSP Group, Inc. common 23332B106 9295 743639 SH SOLE 743639 0 0 Dermira, Inc. common 24983L104 2795 100500 SH SOLE 100500 0 0 Determine, Inc. common 250660107 2634 1455220 SH SOLE 1455220 0 0 Digimarc Corporation common 25381B101 1856 51345 SH SOLE 51345 0 0 Energy Recovery Inc. common 29270J100 1857 212242 SH SOLE 212242 0 0 Enservco Corp common 29358Y102 2536 3938797 SH SOLE 3938797 0 0 Everspin Technology, Inc. common 3041T1014 6432 857549 SH SOLE 857549 0 0 Five Prime Therapeutics, Inc. common 33830X104 3288 150000 SH SOLE 150000 0 0 Great Lakes Dredge & Dock Co. common 390607109 591 109391 SH SOLE 109391 0 0 IZEA Inc. common 46603N301 2455 543216 SH SOLE 543216 0 0 Ideal Power, Inc. common 451622104 1153 811635 SH SOLE 811635 0 0 Impinj, Inc. common 453204109 11608 515224 SH SOLE 515224 0 0 Infusystem Holdings, Inc. common 45685K102 3482 1513817 SH SOLE 1513817 0 0 Intellicheck, Inc. common 45817G201 1828 714135 SH SOLE 714135 0 0 Iteris, Inc. common 46564T107 2335 334969 SH SOLE 334969 0 0 Kopin Corporation common 500600101 21289 6652845 SH SOLE 6652845 0 0 Kornit Digital Ltd., Israel common M6372Q113 4276 264798 SH SOLE 264798 0 0 Kratos Defense & Security Solu common 50077B207 184 17407 SH SOLE 17407 0 0 LRAD Corporation common 50213V109 9934 3989757 SH SOLE 3989757 0 0 LeMaitre Vascular Inc. common 525558201 16041 503794 SH SOLE 503794 0 0 LivePerson, Inc. common 538146101 22006 1913578 SH SOLE 1913578 0 0 Loxo Oncology, Inc. common 548862101 7155 85000 SH SOLE 85000 0 0 MCBC Holdings, Inc. common 55276F107 5944 267500 SH SOLE 267500 0 0 Magal Security Sys Ltd (Israel common 2544056US 482 95330 SH SOLE 95330 0 0 Manitex Int'l Inc. common 563420108 4682 487682 SH SOLE 487682 0 0 MaxLinear, Inc. common 57776J100 6869 260000 SH SOLE 260000 0 0 Microvision, Inc. common 594960304 12009 7367231 SH SOLE 7367231 0 0 NTN Buzztime, Inc. common 629410606 1213 288241 SH SOLE 288241 0 0 NV5 Global Inc. common 62945V109 1362 25156 SH SOLE 25156 0 0 NeoPhotonics Corporation common 64051T100 15398 2340183 SH SOLE 2340183 0 0 Neonode, Inc. common 64051M402 2289 3080979 SH SOLE 3080979 0 0 Netlist, Inc. common 64118P109 2125 6909089 SH SOLE 6909089 0 0 OPKO Health Inc. common 68375N103 1249 255000 SH SOLE 255000 0 0 Ooma,Inc. common 683416101 16098 1347149 SH SOLE 1347149 0 0 OrthoPediatrics, Corp. common 68752L100 8816 459418 SH SOLE 459418 0 0 OvaScience, Inc. common 69014Q101 210 150000 SH SOLE 150000 0 0 PC-Tel, Inc. common 69325Q105 2022 274399 SH SOLE 274399 0 0 Park Electrochemical Corp. common 700416209 3871 197000 SH SOLE 197000 0 0 Pfsweb, Inc. common 717098206 11594 1560394 SH SOLE 1560394 0 0 Protagonist Therapeutics, Inc. common 74366E102 3686 177212 SH SOLE 177212 0 0 Reata Pharmaceuticals, Inc. common 75615P103 1357 47929 SH SOLE 47929 0 0 Reed's, Inc. common 758338107 1520 980739 SH SOLE 980739 0 0 Repligen Corporation common 759916109 4390 121000 SH SOLE 121000 0 0 Saia, Inc. common 78709Y105 850 12010 SH SOLE 12010 0 0 Scpharmaceuticals, Inc. common 810648105 1996 165100 SH SOLE 165100 0 0 Sensus Healthcare, Inc common 81728J109 2563 491938 SH SOLE 491938 0 0 Sequans Communications - ADR common 817323108 14050 7356057 SH SOLE 7356057 0 0 SharpSpring, Inc. common 820054104 2335 530734 SH SOLE 530734 0 0 Spero Therapeutics, Inc. common 84833T103 4112 350000 SH SOLE 350000 0 0 Syros Pharmaceuticals, Inc. common 87184Q107 632 65000 SH SOLE 65000 0 0 Tactile Systems Technology common 87357P100 14085 486035 SH SOLE 486035 0 0 Trillium Therapeutics Corp. common 89620X506 7075 969138 SH SOLE 969138 0 0 Tuesday Morning Corporation common 899035505 1788 650100 SH SOLE 650100 0 0 Ultra Clean Holdings, Inc. common 90385V107 18126 785000 SH SOLE 785000 0 0 Verastem, Inc. common 92337C104 1408 458500 SH SOLE 458500 0 0 Veru,Inc. common 92536C103 690 600000 SH SOLE 600000 0 0 Vocera Communications, Inc. common 92857F107 12053 398834 SH SOLE 398834 0 0 XCel Brands Inc. common 98400M101 1419 430002 SH SOLE 430002 0 0 Xplore Technologies, Corp. common 983950700 775 273732 SH SOLE 273732 0 0 XpresSpa Group, Inc. common 98420U109 3622 2643745 SH SOLE 2643745 0 0 Zafgen Inc. common 98885E102 1849 400264 SH SOLE 400264 0 0 Zealand Pharma A/S ADR (Denmar common 98920Y304 4119 302901 SH SOLE 302901 0 0 argenx SE - ADR (Netherlands) common 04016X101 6314 100000 SH SOLE 100000 0 0 eMagin Corporation (F4) common 29076N206 5381 3261000 SH SOLE 3261000 0 0 Ideal Power, Inc. Series A PS preferred 999999999 1150 810000 SH SOLE 810000 0 0 Ideal Power, Inc. Series A PS preferred 999999999 1006 708430 SH SOLE 708430 0 0 Trillium Therapeutics @6.30Cd preferred 89620X100 2813 388810 SH SOLE 388810 0 0 Cellectar Biosciences @4.68 8/ warrants 15117F203 11 106600 SH SOLE 106600 0 0 Determine @6.00 8/6/15-8/6/20 warrants 999999999 3 26595 SH SOLE 26595 0 0 Determine @7.00 7/24/14-1/24/1 warrants 999999999 1 67319 SH SOLE 67319 0 0 Determine @7.00 8/27/14-8/27/1 warrants 999999999 2 65625 SH SOLE 65625 0 0 EyeGate Pharmaceuticals @10.62 warrants 30233M115 21 137092 SH SOLE 137092 0 0 Ideal Power @2.41 9/4/17-3/3/2 warrants 999999999 379 1183430 SH SOLE 1183430 0 0 Neonode (Pre-fund $1) @.01 no warrants 999999999 2628 3600000 SH SOLE 3600000 0 0 Neonode Inc @1.12 2/17/17-2/17 warrants 999999999 220 2000000 SH SOLE 2000000 0 0 Sensus Healthcare, Inc @6.75 6 warrants 81728J117 346 494939 SH SOLE 494939 0 0 Trillium @.28Cd 12/13/18 R/R 5 warrants 999999999 1071 595238 SH SOLE 595238 0 0 eMagin Corporation @2.45 5/24/ warrants 999999999 504 1625000 SH SOLE 1625000 0 0