Vice President

0001535264-19-000049.txt : 20190808 0001535264-19-000049.hdr.sgml : 20190808 20190808124640 ACCESSION NUMBER: 0001535264-19-000049 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20190808 DATE AS OF CHANGE: 20190808 EFFECTIVENESS DATE: 20190808 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: 191008569 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 06-30-2019 06-30-2019 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 08-08-2019 0 102 522976 false INFORMATION TABLE 2 inftable.xml AWM 13F JUNE 2019 Adesto Technologies Corporatio common 00687D101 22124 2714544 SH SOLE 2714544 0 0 Aehr Test Systems common 00760J108 3133 1898524 SH SOLE 1898524 0 0 American Superconductor Corp common 030111207 10206 1099828 SH SOLE 1099828 0 0 Anchiano Therapeutics, Ltd. common 03280X102 448 100000 SH SOLE 100000 0 0 Aqua Metals, Inc. common 03837J101 8554 5121986 SH SOLE 5121986 0 0 Atomera Incorporated common 04965B100 8347 1659450 SH SOLE 1659450 0 0 Avid Bioservices, Inc. common 05368M106 3952 705707 SH SOLE 705707 0 0 BioTelemetry, Inc. common 090672106 4093 85000 SH SOLE 85000 0 0 Biofrontera AG (Germany) common 999999999 7152 800000 SH SOLE 800000 0 0 Boingo Wireless, Inc. common 09739C102 6851 381246 SH SOLE 381246 0 0 Broadwind Energy, Inc. common 11161T207 2601 1171834 SH SOLE 1171834 0 0 CEVA, Inc. common 157210105 11688 480000 SH SOLE 480000 0 0 CPI Aerostructures, Inc. common 125919308 4111 488796 SH SOLE 488796 0 0 CVD Equipment Corporation common 126601103 947 259414 SH SOLE 259414 0 0 CareDx, Inc. common 14167L103 8997 250000 SH SOLE 250000 0 0 Cellular Biomedicine Group common 15117P102 1325 80165 SH SOLE 80165 0 0 Century Casinos, Inc. common 156492100 10965 1130402 SH SOLE 1130402 0 0 Citi Trends, Inc. common 17306X102 5202 355808 SH SOLE 355808 0 0 Cryoport, Inc. common 229050307 641 35000 SH SOLE 35000 0 0 DSP Group, Inc. common 23332B106 5395 375662 SH SOLE 375662 0 0 Del Frisco's Restaurant Group common 245077102 795 99900 SH SOLE 99900 0 0 Destination XL Group, Inc. common 25065K104 502 285176 SH SOLE 285176 0 0 Enservco Corporation common 29358Y102 1608 4275290 SH SOLE 4275290 0 0 Eton Pharmaceuticals, Inc. common 29772L108 3357 425000 SH SOLE 425000 0 0 Everspin Technology, Inc. common 30041T104 10319 1582742 SH SOLE 1582742 0 0 Gaia, Inc. common 36269P104 5429 716180 SH SOLE 716180 0 0 Graham Corp. common 384556106 3858 190886 SH SOLE 190886 0 0 I.D. Systems Inc. common 449489103 1176 200000 SH SOLE 200000 0 0 IZEA Worldwide, Inc. common 46604H105 1097 2140000 SH SOLE 2140000 0 0 Ideal Power, Inc. common 451622104 754 2431829 SH SOLE 2431829 0 0 Immersion Corporation common 452521107 147 19309 SH SOLE 19309 0 0 Impinj, Inc. common 453204109 14684 513077 SH SOLE 513077 0 0 Infusystem Holdings, Inc. common 45685K102 7978 1855362 SH SOLE 1855362 0 0 Inspired Entertainment, Inc. common 45782N108 8428 998543 SH SOLE 998543 0 0 Iteris, Inc. common 46564T107 1933 373859 SH SOLE 373859 0 0 Kopin Corporation common 500600101 7938 7282997 SH SOLE 7282997 0 0 Kornit Digital, Ltd. (Israel) common M6372Q113 3236 102200 SH SOLE 102200 0 0 LRAD Corporation common 50213V109 16288 4950706 SH SOLE 4950706 0 0 LeMaitre Vascular Inc. common 525558201 8814 315000 SH SOLE 315000 0 0 Limelight Networks, Inc. common 53261M104 4017 1487954 SH SOLE 1487954 0 0 LiqTech International, Inc.(De common 53632A102 21537 2173290 SH SOLE 2173290 0 0 LivePerson, Inc. common 538146101 23214 827900 SH SOLE 827900 0 0 Lovesac Company, The common 54738L109 18164 584600 SH SOLE 584600 0 0 Magal Security System, Ltd (Is common 2544056US 1994 395656 SH SOLE 395656 0 0 Manitex International, Inc. common 563420108 2036 333265 SH SOLE 333265 0 0 MasterCraft Boat Holdings, Inc common 57637H103 6331 323174 SH SOLE 323174 0 0 MaxLinear, Inc. common 57776J100 580 24731 SH SOLE 24731 0 0 Microvision, Inc. common 594960304 5783 7182317 SH SOLE 7182317 0 0 Millendo Therapeutics, Inc. common 60040X103 897 77629 SH SOLE 77629 0 0 Mohawk Group Holdings, Inc. common 608189106 4557 564675 SH SOLE 564675 0 0 Myomo, Inc. common 62857J102 422 603409 SH SOLE 603409 0 0 NV5 Global, Inc. common 62945V109 1221 15000 SH SOLE 15000 0 0 Nano Dimension, Ltd. ADR (Isra common 63008G104 640 1333000 SH SOLE 1333000 0 0 NeoPhotonics Corporation common 64051T100 9018 2157523 SH SOLE 2157523 0 0 Neonode, Inc. common 64051M402 513 238413 SH SOLE 238413 0 0 Neuronetics, Inc. common 64131A105 289 23074 SH SOLE 23074 0 0 OPKO Health, Inc. common 68375N103 1464 600000 SH SOLE 600000 0 0 Ocean Power Technologies, Inc. common 674870506 668 349900 SH SOLE 349900 0 0 Ooma,Inc. common 683416101 13132 1253006 SH SOLE 1253006 0 0 OptimizeRx Corporation common 68401U105 21986 1357186 SH SOLE 1357186 0 0 OrthoPediatrics, Corp. common 68752L100 13379 343041 SH SOLE 343041 0 0 PC-Tel, Inc. common 69325Q105 846 190987 SH SOLE 190987 0 0 Pfsweb, Inc. common 717098206 7420 1832185 SH SOLE 1832185 0 0 Primo Water Corp. common 74165N105 1255 102000 SH SOLE 102000 0 0 QuickLogic Corporation common 74837P108 3119 5419435 SH SOLE 5419435 0 0 RADCOM, Ltd. common M81865111 4114 499298 SH SOLE 499298 0 0 Reata Pharmaceuticals, Inc. common 75615P103 7076 75000 SH SOLE 75000 0 0 Reed's, Inc. common 758338107 9015 2385035 SH SOLE 2385035 0 0 Repligen Corporation common 759916109 10400 121000 SH SOLE 121000 0 0 Sequans Communications S.A. AD common 817323108 8466 9370202 SH SOLE 9370202 0 0 SharpSpring, Inc. common 820054104 4118 317020 SH SOLE 317020 0 0 Sientra, Inc. common 82621J105 2156 350000 SH SOLE 350000 0 0 Spero Therapeutics, Inc. common 84833T103 6887 598315 SH SOLE 598315 0 0 Tactile Systems Technology, In common 87357P100 7668 134714 SH SOLE 134714 0 0 TravelCenters of America LLC common 894174101 524 144672 SH SOLE 144672 0 0 Trevena, Inc. common 89532E109 3352 3254779 SH SOLE 3254779 0 0 Tuesday Morning Corporation common 899035505 1767 1045635 SH SOLE 1045635 0 0 Turtle Beach Corporation common 900450206 6480 560543 SH SOLE 560543 0 0 Ultra Clean Holdings, Inc. common 90385V107 8352 600000 SH SOLE 600000 0 0 Verb Technology Co. common 923370U10 1280 640000 SH SOLE 640000 0 0 Veru,Inc. common 92536C103 2130 1000000 SH SOLE 1000000 0 0 Vivint Solar, Inc. common 92854q106 4616 632354 SH SOLE 632354 0 0 Yatra Online, Inc. (India) common 999999999 2244 600000 SH SOLE 600000 0 0 Zafgen, Inc. common 98885E102 2210 1857171 SH SOLE 1857171 0 0 Zagg, Inc. common 98884U108 411 59000 SH SOLE 59000 0 0 Zealand Pharma A/S (Denmark) common 999999999 8913 410185 SH SOLE 410185 0 0 Zealand Pharma A/S ADR (Denmar common 98920Y304 431 19981 SH SOLE 19981 0 0 argenx SE - ADR (Netherlands) common 04016X101 13450 95000 SH SOLE 95000 0 0 eMagin Corporation common 29076N206 2044 4492624 SH SOLE 4492624 0 0 voxeljet AG, ADR (Germany) common 92912L107 5126 2785927 SH SOLE 2785927 0 0 Ideal Power, Inc. Series A PS preferred 999999999 251 810000 SH SOLE 810000 0 0 Cellectar Biosciences @4.68 8/ warrants 15117F203 5 106600 SH SOLE 106600 0 0 EyeGate Pharmaceuticals @10.62 warrants 30233M115 2 137092 SH SOLE 137092 0 0 Ideal Power @2.41 9/4/17-3/3/2 warrants 999999999 12 1183430 SH SOLE 1183430 0 0 Neonode (Pre-fund $1) @.10 no warrants 999999999 738 360000 SH SOLE 360000 0 0 Neonode Inc @11.20 2/17/17-2/1 warrants 999999999 22 200000 SH SOLE 200000 0 0 Sensus Healthcare, Inc @6.75 6 warrants 81728J117 43 130261 SH SOLE 130261 0 0 Turtle Beach Corp. @0 pre-fund warrants 999999999 6358 550000 SH SOLE 550000 0 0 Verb Technology Co. @3.443 4/9 warrants 92337U112 614 640000 SH SOLE 640000 0 0 eMagin Corp @.78 10/9/19-10/9/ warrants 999999999 270 3000000 SH SOLE 3000000 0 0 eMagin Corporation @.01 pre fu warrants 999999999 1800 4000000 SH SOLE 4000000 0 0 eMagin Corporation @1.55 1/29/ warrants 999999999 44 890000 SH SOLE 890000 0 0 eMagin Corporation @2.45 5/24/ warrants 999999999 32 1625000 SH SOLE 1625000 0 0