Vice President

0001535264-18-000055.txt : 20181109 0001535264-18-000055.hdr.sgml : 20181109 20181109161430 ACCESSION NUMBER: 0001535264-18-000055 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181109 DATE AS OF CHANGE: 20181109 EFFECTIVENESS DATE: 20181109 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: 181173240 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 09-30-2018 09-30-2018 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 11-09-2018 0 91 604904 false INFORMATION TABLE 2 inftable.xml AWM 13F SEPT 2018 Adesto Technologies Corp. common 00687D101 16652 2798612 SH SOLE 2798612 0 0 Aehr Test Systems common 00760J108 4001 1802226 SH SOLE 1802226 0 0 American Superconductor common 030111207 10398 1496068 SH SOLE 1496068 0 0 Amyris Inc. common 03236M200 5876 740000 SH SOLE 740000 0 0 Aqua Metals, Inc. common 03837J101 5102 1977430 SH SOLE 1977430 0 0 Aspen Group, Inc. common 04530L203 3252 478296 SH SOLE 478296 0 0 Asure Software, Inc. common 04649U102 6202 499327 SH SOLE 499327 0 0 Atomera Incorporated common 04965B100 5299 886062 SH SOLE 886062 0 0 AxoGen, Inc. common 05463X106 8709 236348 SH SOLE 236348 0 0 BioTelemetry, Inc. common 090672106 4834 75000 SH SOLE 75000 0 0 Biofrontera AG (Germany) common 09075G105 4111 302418 SH SOLE 302418 0 0 Broadwind Energy, Inc. common 11161T207 2555 1171834 SH SOLE 1171834 0 0 CEVA, Inc. common 157210105 20675 719123 SH SOLE 719123 0 0 CVD Equipment Corporation common 126601103 1595 259414 SH SOLE 259414 0 0 CareDx, Inc. common 14167L103 8972 311002 SH SOLE 311002 0 0 Century Casinos, Inc. common 156492100 5376 720689 SH SOLE 720689 0 0 Christopher & Banks Corp. common 171046105 417 547960 SH SOLE 547960 0 0 Citi Trends, Inc. common 17306X102 10065 349845 SH SOLE 349845 0 0 Clearside Biomedical, Inc. common 185063104 5382 875126 SH SOLE 875126 0 0 Corium International Inc. common 21887L107 21537 2264661 SH SOLE 2264661 0 0 DSP Group, Inc. common 23332B106 9224 775140 SH SOLE 775140 0 0 Del Frisco's Restaurant Group common 245077102 513 61818 SH SOLE 61818 0 0 Destination XL Group, Inc. common 25065K104 664 265461 SH SOLE 265461 0 0 Determine, Inc. common 250660107 1033 1455220 SH SOLE 1455220 0 0 Digimarc Corporation common 25381B101 1377 43772 SH SOLE 43772 0 0 Electrocore, LLC common 28531P103 4341 310062 SH SOLE 310062 0 0 Enservco Corp common 29358Y102 3202 4053300 SH SOLE 4053300 0 0 Everspin Technology, Inc. common 30041T104 12473 1624042 SH SOLE 1624042 0 0 Gaia, Inc. common 36269P104 3234 210000 SH SOLE 210000 0 0 Graham Corp. common 384556106 2747 97507 SH SOLE 97507 0 0 IZEA Worldwide, Inc. common 46604H105 817 514029 SH SOLE 514029 0 0 Ideal Power, Inc. common 451622104 557 874300 SH SOLE 874300 0 0 Impinj, Inc. common 453204109 9439 380283 SH SOLE 380283 0 0 Infusystem Holdings, Inc. common 45685K102 5526 1700270 SH SOLE 1700270 0 0 Inspired Entertainment, Inc. common 45782N108 6737 1104483 SH SOLE 1104483 0 0 Iteris, Inc. common 46564T107 1801 334769 SH SOLE 334769 0 0 Kopin Corporation common 500600101 16006 6614094 SH SOLE 6614094 0 0 Kornit Digital Ltd., Israel common M6372Q113 6563 299688 SH SOLE 299688 0 0 LRAD Corporation common 50213V109 15149 4950706 SH SOLE 4950706 0 0 LeMaitre Vascular Inc. common 525558201 12784 330000 SH SOLE 330000 0 0 LiqTech International Inc. common 53632A102 2856 1720568 SH SOLE 1720568 0 0 LivePerson, Inc. common 538146101 37930 1461659 SH SOLE 1461659 0 0 Lovesac Company, The common 54738L109 10492 420000 SH SOLE 420000 0 0 Loxo Oncology, Inc. common 548862101 11958 70000 SH SOLE 70000 0 0 MCBC Holdings, Inc. common 55276F107 7983 222500 SH SOLE 222500 0 0 Magal Security Sys Ltd(Israel) common 2544056US 2123 377784 SH SOLE 377784 0 0 Manitex Int'l Inc. common 563420108 3620 343825 SH SOLE 343825 0 0 MaxLinear, Inc. common 57776J100 2386 120000 SH SOLE 120000 0 0 Maxwell Technologies, Inc. common 577767106 8488 2431963 SH SOLE 2431963 0 0 Microvision, Inc. common 594960304 9063 7489678 SH SOLE 7489678 0 0 NTN Buzztime, Inc. common 629410606 1269 285112 SH SOLE 285112 0 0 NV5 Global Inc. common 62945V109 1300 15000 SH SOLE 15000 0 0 NeoPhotonics Corporation common 64051T100 19681 2371183 SH SOLE 2371183 0 0 Neuronetics, Inc. common 64131A105 4007 125000 SH SOLE 125000 0 0 Nuvectra Corporation common 67075N108 5495 250000 SH SOLE 250000 0 0 OPKO Health Inc. common 68375N103 2076 600000 SH SOLE 600000 0 0 Ooma,Inc. common 683416101 21933 1321281 SH SOLE 1321281 0 0 OptimizeRx Corporation common 68401U105 24623 1367925 SH SOLE 1367925 0 0 OrthoPediatrics, Corp. common 68752L100 16833 459418 SH SOLE 459418 0 0 OvaScience, Inc. common 69014Q101 219 300000 SH SOLE 300000 0 0 PC-Tel, Inc. common 69325Q105 1276 274399 SH SOLE 274399 0 0 Pfsweb, Inc. common 717098206 7748 1047058 SH SOLE 1047058 0 0 QuickLogic Corp. common 74837P108 2700 2700000 SH SOLE 2700000 0 0 RADCOM Ltd. common M81865111 4372 388662 SH SOLE 388662 0 0 Reata Pharmaceuticals, Inc. common 75615P103 5723 70000 SH SOLE 70000 0 0 Reed's, Inc. common 758338107 2857 879112 SH SOLE 879112 0 0 Repligen Corporation common 759916109 6711 121000 SH SOLE 121000 0 0 SITO Mobile Ltd. common 82988R203 538 302495 SH SOLE 302495 0 0 Saia, Inc. common 78709Y105 918 12010 SH SOLE 12010 0 0 Sensus Healthcare, Inc common 81728J109 5547 661938 SH SOLE 661938 0 0 Sequans Communications - ADR common 817323108 13155 9264157 SH SOLE 9264157 0 0 SharpSpring, Inc. common 820054104 7164 511006 SH SOLE 511006 0 0 Spero Therapeutics, Inc. common 84833T103 5680 540474 SH SOLE 540474 0 0 Sutro Biopharma, Inc. common 869367102 1672 111483 SH SOLE 111483 0 0 Tactile Systems Technology common 87357P100 15824 222714 SH SOLE 222714 0 0 Trillium Therapeutics Inc. common 89620X506 4067 701138 SH SOLE 701138 0 0 Tuesday Morning Corporation common 899035505 4211 1315839 SH SOLE 1315839 0 0 Turtle Beach Corporation common 900450206 10360 519543 SH SOLE 519543 0 0 Ultra Clean Holdings, Inc. common 90385V107 9538 760000 SH SOLE 760000 0 0 Veru,Inc. common 92536C103 1420 1000000 SH SOLE 1000000 0 0 Vivint Solar Inc. common 92854q106 2145 412556 SH SOLE 412556 0 0 Yatra Online, Inc. (India) common 999999999 3348 600000 SH SOLE 600000 0 0 Zafgen Inc. common 98885E102 8229 703977 SH SOLE 703977 0 0 argenx SE - ADR (Netherlands) common 04016X101 7205 95000 SH SOLE 95000 0 0 eMagin Corporation common 29076N206 8144 5429524 SH SOLE 5429524 0 0 scPharmaceuticals, Inc. common 810648105 2758 469799 SH SOLE 469799 0 0 Ideal Power, Inc. Series A PS preferred 999999999 516 810000 SH SOLE 810000 0 0 Ideal Power, Inc. Series A PS preferred 999999999 451 708430 SH SOLE 708430 0 0 Cellectar Biosciences @4.68 8/ warrants 15117F203 9 106600 SH SOLE 106600 0 0 EyeGate Pharmaceuticals @10.62 warrants 30233M115 7 137092 SH SOLE 137092 0 0 Sensus Healthcare, Inc @6.75 7 warrants 81728J117 1079 494939 SH SOLE 494939 0 0