0001535264-21-000024.txt : 20210212 0001535264-21-000024.hdr.sgml : 20210212 20210212151357 ACCESSION NUMBER: 0001535264-21-000024 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210212 DATE AS OF CHANGE: 20210212 EFFECTIVENESS DATE: 20210212 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: 21626267 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 12-31-2020 12-31-2020 AWM Investment Company, Inc.

527 MADISON AVENUE SUITE 2600 NEW YORK NY 10022

13F HOLDINGS REPORT 028-16479 N Adam Stettner 2123196670 Adam Stettner New York NY 02-12-2021 0 105 787003 false INFORMATION TABLE 2 inftable.xml 13F 5:01 Acquition Corp. common 33836P105 1017 100000 SH SOLE 100000 0 0 Aehr Test Systems common 00760J108 4803 1898534 SH SOLE 1898534 0 0 Alto Ingredients, Inc. common 021513106 5077 935000 SH SOLE 935000 0 0 American Superconductor Corp common 030111207 29712 1268670 SH SOLE 1268670 0 0 Aqua Metals, Inc. common 03837J101 2228 742570 SH SOLE 742570 0 0 Atomera Incorporated common 04965B100 9311 578658 SH SOLE 578658 0 0 Avid Bioservices, Inc. common 05368M106 14229 1233000 SH SOLE 1233000 0 0 Aziyo Biologics, Inc. common 05479K106 3508 257377 SH SOLE 257377 0 0 Bellus Health, Inc. common 07987C204 1224 400000 SH SOLE 400000 0 0 BioTelemetry, Inc. common 090672106 3496 48500 SH SOLE 48500 0 0 Boingo Wireless, Inc. common 09739C102 2831 222537 SH SOLE 222537 0 0 CEVA, Inc. common 157210105 17393 382268 SH SOLE 382268 0 0 CareDx, Inc. common 14167L103 4347 60000 SH SOLE 60000 0 0 Celsius Holdings, Inc. common 15118V207 11320 225000 SH SOLE 225000 0 0 Century Casinos, Inc. common 156492100 9731 1522888 SH SOLE 1522888 0 0 Citi Trends, Inc. common 17306X102 11426 230000 SH SOLE 230000 0 0 Cryoport, Inc. common 229050307 1316 30000 SH SOLE 30000 0 0 CytoSorbents Corp. common 23283X206 1594 200000 SH SOLE 200000 0 0 Delcath Systems, Inc. common 24661P807 1559 87000 SH SOLE 87000 0 0 EMCORE Corp. common 290846203 2141 392801 SH SOLE 392801 0 0 Eton Pharmaceuticals, Inc. common 29772L108 7900 971681 SH SOLE 971681 0 0 Everspin Technology, Inc. common 30041T104 8642 1878597 SH SOLE 1878597 0 0 Exicure, Inc. common 30205M101 3363 1900000 SH SOLE 1900000 0 0 Franchise Group, Inc. common 35180X105 4017 131912 SH SOLE 131912 0 0 GAN, Ltd. (London) common G3728V109 10610 523180 SH SOLE 523180 0 0 Gaia, Inc. common 36269P104 7630 772282 SH SOLE 772282 0 0 Genasys Incorporated common 36872P103 28359 4349544 SH SOLE 4349544 0 0 GrowGeneration Corp. common 39986L109 5027 125000 SH SOLE 125000 0 0 Health Science Acquisitions Co common G4411D109 2562 200000 SH SOLE 200000 0 0 INVO Bioscience, Inc. common 44984F302 1881 625000 SH SOLE 625000 0 0 Ideal Power, Inc. common 451622203 2327 284793 SH SOLE 284793 0 0 Impinj, Inc. common 453204109 18899 451377 SH SOLE 451377 0 0 Infusystem Holdings, Inc. common 45685K102 37560 2000000 SH SOLE 2000000 0 0 Intellicheck, Inc. common 45817G201 1426 125010 SH SOLE 125010 0 0 Iteris, Inc. common 46564T107 2008 355359 SH SOLE 355359 0 0 Kopin Corporation common 500600101 13436 5529147 SH SOLE 5529147 0 0 LeMaitre Vascular Inc. common 525558201 9315 230000 SH SOLE 230000 0 0 Leaf Group, Ltd. common 52177G102 4322 929500 SH SOLE 929500 0 0 Limelight Networks, Inc. common 53261M104 7871 1972688 SH SOLE 1972688 0 0 LiqTech International, Inc. common 53632A102 16346 2043290 SH SOLE 2043290 0 0 LivePerson, Inc. common 538146101 22403 360000 SH SOLE 360000 0 0 Lovesac Company, The common 54738L109 18107 420219 SH SOLE 420219 0 0 Magal Security System, Ltd (Is common M6786D104 899 231618 SH SOLE 231618 0 0 Medicenna Therapeutics Corp. common 58490H107 4675 1000000 SH SOLE 1000000 0 0 Misonix, Inc. common 604871103 3115 249239 SH SOLE 249239 0 0 Mohawk Group Holdings, Inc. common 608189106 5336 310038 SH SOLE 310038 0 0 Nano Dimension, Ltd. ADR (Isra common 63008G203 1098 120712 SH SOLE 120712 0 0 Natural Gas Services Group common 63886Q109 4539 478824 SH SOLE 478824 0 0 NeoGames S.A. (Luxembourg) common L6673X107 10447 275000 SH SOLE 275000 0 0 NeoPhotonics Corporation common 64051T100 17459 1920722 SH SOLE 1920722 0 0 Neonode, Inc. common 64051M709 3082 456620 SH SOLE 456620 0 0 Noodles & Co. common 65540B105 3795 480403 SH SOLE 480403 0 0 OPKO Health, Inc. common 68375N103 3160 800000 SH SOLE 800000 0 0 OneWater Marine, Inc. - CL A common 68280L101 4989 171487 SH SOLE 171487 0 0 Ooma, Inc. common 683416101 15929 1106165 SH SOLE 1106165 0 0 OptimizeRx Corporation common 68401U204 21812 700000 SH SOLE 700000 0 0 OrthoPediatrics Corporation common 68752L100 12508 303221 SH SOLE 303221 0 0 Pfsweb, Inc. common 717098206 13420 1994021 SH SOLE 1994021 0 0 Powerfleet, Inc. common 73931J109 1412 190000 SH SOLE 190000 0 0 Primo Water Corp. common 74167P108 959 61142 SH SOLE 61142 0 0 Profound Medical Corp. (U.S.) common 74319B502 7174 348939 SH SOLE 348939 0 0 Progyny, Inc. common 74340E103 1696 40000 SH SOLE 40000 0 0 PureTech Health PLC. - ADR common 746237106 1673 30000 SH SOLE 30000 0 0 QuickLogic Corporation common 74837P405 2938 775222 SH SOLE 775222 0 0 RADA Electronic Industries,Ltd common M81863124 9750 1000000 SH SOLE 1000000 0 0 RADCOM, Ltd. (Israel) common M81865111 6333 578312 SH SOLE 578312 0 0 Reata Pharmaceuticals, Inc. common 75615P103 2472 20000 SH SOLE 20000 0 0 Repligen Corporation common 759916109 19163 100000 SH SOLE 100000 0 0 Resonant, Inc. common 76118L102 11048 4169213 SH SOLE 4169213 0 0 SeaSpine Holdings Corp. common 81255T108 7705 441547 SH SOLE 441547 0 0 Sequans Communications S.A. AD common 817323207 19416 3214540 SH SOLE 3214540 0 0 SharpSpring, Inc. common 820054104 16583 1018604 SH SOLE 1018604 0 0 Soleno Therapeutics, Inc. common 834203200 2991 1550000 SH SOLE 1550000 0 0 Spero Therapeutics, Inc. common 84833T103 7228 372755 SH SOLE 372755 0 0 Spruce Biosciences, Inc. common 85209E109 972 40000 SH SOLE 40000 0 0 Sunrun, Inc. common 86771W105 5706 82244 SH SOLE 82244 0 0 Tactile Systems Technology common 87357P100 1958 43560 SH SOLE 43560 0 0 Telos Corp. common 87969B101 9894 300000 SH SOLE 300000 0 0 The Cooper Companies, Inc. common 216648402 1635 4500 SH SOLE 4500 0 0 The Joint Corp. common 47973J102 3996 152181 SH SOLE 152181 0 0 TravelCenters of America LLC common 89421B109 21998 674800 SH SOLE 674800 0 0 Tufin Software Technologies common M8893U102 449 36003 SH SOLE 36003 0 0 Turtle Beach Corporation common 900450206 11756 545543 SH SOLE 545543 0 0 Ultra Clean Holdings, Inc. common 90385V107 5775 185391 SH SOLE 185391 0 0 Universal Technical Institute, common 913915104 1026 158781 SH SOLE 158781 0 0 Verb Technology Company, Inc. common 923370U10 495 300000 SH SOLE 300000 0 0 Veru,Inc. common 92536C103 3460 400000 SH SOLE 400000 0 0 Vicor Corporation common 925815102 7285 79000 SH SOLE 79000 0 0 Viemed Healthcare, Inc. (Canad common 92663R105 8482 1085000 SH SOLE 1085000 0 0 Vital Farms, Inc. common 92847W103 633 25000 SH SOLE 25000 0 0 Westport Fuel Systems, Inc. common 960908309 16427 3082047 SH SOLE 3082047 0 0 Yatra Online, Inc. (India) common G98338109 1267 656624 SH SOLE 656624 0 0 Zealand Pharma A/S (Denmark) common 999999999 10771 297226 SH SOLE 297226 0 0 Zealand Pharma A/S ADR (Denmar common 98920Y304 718 19981 SH SOLE 19981 0 0 argenx SE - ADR (Netherlands) common 04016X101 23527 80000 SH SOLE 80000 0 0 eMagin Corporation common 29076N206 4629 2805512 SH SOLE 2805512 0 0 voxeljet AG, ADR (Germany) common 92912L107 5485 561978 SH SOLE 561978 0 0 Ideal Power @.001 (pre-funded) warrants 999999999 2074 253830 SH SOLE 253830 0 0 Ideal Power @2.32 11/13/24 9.9 warrants 999999999 2815 439180 SH SOLE 439180 0 0 Ideal Power @8.90 8/5/25 9.99 warrants 999999999 117 39366 SH SOLE 39366 0 0 Ocean Power Technologies @3.85 warrants 674870118 829 714280 SH SOLE 714280 0 0 Turtle Beach Corp. @0 pre-fund warrants 999999999 11852 550000 SH SOLE 550000 0 0 eMagin Corp @.78 10/9/19-10/9/ warrants 999999999 3120 3000000 SH SOLE 3000000 0 0 eMagin Corporation @1.55 1/29/ warrants 999999999 400 890000 SH SOLE 890000 0 0 eMagin Corporation @2.45 5/24/ warrants 999999999 374 1625000 SH SOLE 1625000 0 0