Executive Vice President

0001535264-20-000043.txt : 20200813 0001535264-20-000043.hdr.sgml : 20200813 20200813163548 ACCESSION NUMBER: 0001535264-20-000043 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200630 FILED AS OF DATE: 20200813 DATE AS OF CHANGE: 20200813 EFFECTIVENESS DATE: 20200813 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: 201099825 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 06-30-2020 06-30-2020 AWM Investment Company, Inc.

527 MADISON AVENUE SUITE 2600 NEW YORK NY 10022

13F HOLDINGS REPORT 028-16479 N David Greenhouse Executive Vice President 2123196670 /s/David Greenhouse New York NY 08-13-2020 0 95 570580 false INFORMATION TABLE 2 inftable.xml 13F Aehr Test Systems common 00760J108 3702 1898534 SH SOLE 1898534 0 0 American Superconductor Corpor common 030111207 9925 1220814 SH SOLE 1220814 0 0 Anchiano Therapeutics, Ltd. - common 03280X102 217 158123 SH SOLE 158123 0 0 Aqua Metals, Inc. common 03837J101 2616 1868907 SH SOLE 1868907 0 0 Atomera Incorporated common 04965B100 9372 1041367 SH SOLE 1041367 0 0 Avid Bioservices, Inc. common 05368M106 4785 728832 SH SOLE 728832 0 0 Bellus Health Inc. common 07987C204 1420 138012 SH SOLE 138012 0 0 Bellus Health, Inc. (Canada) R common 07987C204 15129 1461988 SH SOLE 1461988 0 0 BioTelemetry, Inc. common 090672106 2192 48500 SH SOLE 48500 0 0 Boingo Wireless, Inc. common 09739C102 3334 250316 SH SOLE 250316 0 0 Broadwind Energy, Inc. common 11161T207 1031 275000 SH SOLE 275000 0 0 CEVA, Inc. common 157210105 16007 427768 SH SOLE 427768 0 0 CVD Equipment Corporation common 126601103 776 259414 SH SOLE 259414 0 0 CareDx, Inc. common 14167L103 2328 65700 SH SOLE 65700 0 0 Celsius Holdings, Inc. common 15118V207 7618 647200 SH SOLE 647200 0 0 Century Casinos, Inc. common 156492100 4554 1097404 SH SOLE 1097404 0 0 Citi Trends, Inc. common 17306X102 5770 285342 SH SOLE 285342 0 0 Dirtt Environmental Solutions common 25490H106 513 425000 SH SOLE 425000 0 0 Eton Pharmaceuticals, Inc. common 29772L108 4374 802617 SH SOLE 802617 0 0 Everspin Technology, Inc. common 30041T104 11822 1684102 SH SOLE 1684102 0 0 Exicure, Inc. common 30205M101 9863 4042200 SH SOLE 4042200 0 0 GAN Ltd. (London) common G3728V109 6468 254154 SH SOLE 254154 0 0 Gaia, Inc. common 36269P104 6480 773282 SH SOLE 773282 0 0 Genasys Incorporated (F4) common 36872P103 23419 4818706 SH SOLE 4818706 0 0 GrowGeneration Corp. common 39986L109 6156 900000 SH SOLE 900000 0 0 Ideal Power, Inc. common 451622203 1301 199186 SH SOLE 199186 0 0 Impinj, Inc. common 453204109 12402 451477 SH SOLE 451477 0 0 Infusystem Holdings, Inc. common 45685K102 23080 2000000 SH SOLE 2000000 0 0 Intellicheck, Inc. common 45817G201 755 100000 SH SOLE 100000 0 0 Iteris, Inc. common 46564T107 1690 355359 SH SOLE 355359 0 0 K12 Inc. common 48273U102 953 35000 SH SOLE 35000 0 0 Kopin Corporation common 500600101 7555 5680157 SH SOLE 5680157 0 0 Kratos Defense & Security Solu common 50077B207 2973 190218 SH SOLE 190218 0 0 LeMaitre Vascular Inc. common 525558201 6072 230000 SH SOLE 230000 0 0 Limelight Networks, Inc. common 53261M104 15262 2073688 SH SOLE 2073688 0 0 LiqTech International, Inc.(De common 53632A102 11156 2043290 SH SOLE 2043290 0 0 LivePerson, Inc. common 538146101 19969 482000 SH SOLE 482000 0 0 Lovesac Company, The common 54738L109 17181 655000 SH SOLE 655000 0 0 Magal Security System, Ltd (Is common M6786D104 1187 395656 SH SOLE 395656 0 0 MasterCraft Boat Holdings, Inc common 57637H103 2381 125000 SH SOLE 125000 0 0 Millendo Therapeutics, Inc. common 60040X103 350 199000 SH SOLE 199000 0 0 Misonix,Inc. common 604871103 2289 168711 SH SOLE 168711 0 0 NV5 Global, Inc. common 62945V109 351 6900 SH SOLE 6900 0 0 Natural Gas Services Group Inc common 63886Q109 2767 441261 SH SOLE 441261 0 0 NeoPhotonics Corporation common 64051T100 15857 1785722 SH SOLE 1785722 0 0 Neonode, Inc. common 64051M709 619 72963 SH SOLE 72963 0 0 Noodles & Co. common 65540B105 2362 390448 SH SOLE 390448 0 0 OPKO Health, Inc. common 68375N103 2728 800000 SH SOLE 800000 0 0 Ooma,Inc. common 683416101 19051 1156021 SH SOLE 1156021 0 0 OptimizeRx Corporation common 68401U204 12820 983866 SH SOLE 983866 0 0 OrthoPediatrics Corporation common 68752L100 13269 303221 SH SOLE 303221 0 0 Pfsweb, Inc. common 717098206 12119 1814185 SH SOLE 1814185 0 0 Powerfleet, Inc. common 73931J109 878 190000 SH SOLE 190000 0 0 Primo Water Corp. common 74167P108 841 61142 SH SOLE 61142 0 0 Profound Medical Corp. (U.S.) common 74319B502 5911 348939 SH SOLE 348939 0 0 Purple Innovation, Inc. common 74640Y106 9602 533452 SH SOLE 533452 0 0 QuickLogic Corporation common 74837P405 2699 882119 SH SOLE 882119 0 0 RADA Electronic Industries,Ltd common M81863124 6540 1000000 SH SOLE 1000000 0 0 RADCOM, Ltd. (Israel) common M81865111 4707 578312 SH SOLE 578312 0 0 Reata Pharmaceuticals, Inc. common 75615P103 9361 60000 SH SOLE 60000 0 0 Repligen Corporation common 759916109 12361 100000 SH SOLE 100000 0 0 Repro-Med Systems, Inc. common 759910102 3323 370000 SH SOLE 370000 0 0 Resonant, Inc. common 76118L102 9714 4169213 SH SOLE 4169213 0 0 SeaSpine Holdings Corp. common 81255T108 3075 293677 SH SOLE 293677 0 0 Sequans Communications S.A. AD common 817323207 17249 2809216 SH SOLE 2809216 0 0 SharpSpring, Inc. common 820054104 7392 841908 SH SOLE 841908 0 0 Soleno Therapeutics, Inc. common 834203200 3441 1550000 SH SOLE 1550000 0 0 Sonim Technologies, Inc. common 83548F101 4875 6024808 SH SOLE 6024808 0 0 Spero Therapeutics, Inc. common 84833T103 3298 243755 SH SOLE 243755 0 0 Tactile Systems Technology, In common 87357P100 769 18560 SH SOLE 18560 0 0 The Joint Corp. common 47973J102 2309 151181 SH SOLE 151181 0 0 TravelCenters of America LLC common 89421B109 1232 80000 SH SOLE 80000 0 0 Turtle Beach Corporation common 900450206 7515 510543 SH SOLE 510543 0 0 U.S. Global Investors, Inc. common 902952100 350 185000 SH SOLE 185000 0 0 Ultra Clean Holdings, Inc. common 90385V107 7558 334000 SH SOLE 334000 0 0 Veru,Inc. common 92536C103 1336 400000 SH SOLE 400000 0 0 Vicor Corporation common 925815102 6475 90000 SH SOLE 90000 0 0 Viemed Healthcare, Inc. (Canad common 92663R105 12535 1308123 SH SOLE 1308123 0 0 Vivint Solar, Inc. common 92854q106 3554 359000 SH SOLE 359000 0 0 Vocera Communications, Inc. common 92857F107 2249 106079 SH SOLE 106079 0 0 Westport Fuel Systems Inc. common 960908309 1238 998412 SH SOLE 998412 0 0 Zealand Pharma A/S (Denmark) common 999999999 10191 297226 SH SOLE 297226 0 0 Zealand Pharma A/S ADR (Denmar common 98920Y304 699 19981 SH SOLE 19981 0 0 argenx SE - ADR (Netherlands) common 04016X101 18018 80000 SH SOLE 80000 0 0 eMagin Corporation common 29076N206 2330 2952241 SH SOLE 2952241 0 0 voxeljet AG, ADR (Germany) common 92912L107 4383 2809899 SH SOLE 2809899 0 0 EyeGate Pharmaceuticals @10.62 warrants 30233M115 6 137092 SH SOLE 137092 0 0 Ideal Power @.001 (pre-funded) warrants 999999999 1658 253830 SH SOLE 253830 0 0 Ideal Power @2.32 11/13/24 9.9 warrants 999999999 2585 504787 SH SOLE 504787 0 0 Ocean Power Technologies @3.85 warrants 674870118 143 714280 SH SOLE 714280 0 0 Turtle Beach Corp. @0 pre-fund warrants 999999999 8096 550000 SH SOLE 550000 0 0 eMagin Corp @.78 10/9/19-10/9/ warrants 999999999 1080 3000000 SH SOLE 3000000 0 0 eMagin Corporation @1.55 1/29/ warrants 999999999 258 890000 SH SOLE 890000 0 0 eMagin Corporation @2.45 5/24/ warrants 999999999 374 1625000 SH SOLE 1625000 0 0