Executive Vice President

0001535264-21-000034.txt : 20210513 0001535264-21-000034.hdr.sgml : 20210513 20210513113253 ACCESSION NUMBER: 0001535264-21-000034 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210513 DATE AS OF CHANGE: 20210513 EFFECTIVENESS DATE: 20210513 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: 21917981 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 03-31-2021 03-31-2021 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 David Greenhouse NEW YORK NY 05-13-2021 0 119 895396 false INFORMATION TABLE 2 inftable.xml 13F Aehr Test Systems common 00760J108 4784 1898534 SH SOLE 1898534 0 0 Alto Ingredients, Inc. common 021513106 3363 619402 SH SOLE 619402 0 0 American Public Education, Inc common 02913V103 11580 325000 SH SOLE 325000 0 0 American Superconductor Corpor common 030111207 16202 854534 SH SOLE 854534 0 0 Andina Acquisition Corp. III common 604415108 1027 100000 SH SOLE 100000 0 0 Aqua Metals, Inc. common 03837J101 225 55474 SH SOLE 55474 0 0 Atomera Incorporated common 04965B100 4483 183000 SH SOLE 183000 0 0 Avid Bioservices, Inc. common 05368M106 22478 1233000 SH SOLE 1233000 0 0 Aziyo Biologics, Inc. common 05479K106 1480 107077 SH SOLE 107077 0 0 Ballantyne Strong, Inc. common 058516105 459 176024 SH SOLE 176024 0 0 Bellus Health, Inc. common 07987C204 1536 400000 SH SOLE 400000 0 0 Bridgeline Digital Inc. common 10807Q700 699 241935 SH SOLE 241935 0 0 CEVA, Inc. common 157210105 18877 336187 SH SOLE 336187 0 0 CareDx, Inc. common 14167L103 3881 57000 SH SOLE 57000 0 0 Century Casinos, Inc. common 156492100 15640 1522888 SH SOLE 1522888 0 0 Citi Trends, Inc. common 17306X102 8772 104700 SH SOLE 104700 0 0 CleanSpark, Inc. common 18452B209 3335 140000 SH SOLE 140000 0 0 Cryoport, Inc. common 229050307 1560 30000 SH SOLE 30000 0 0 CytoSorbents Corp. common 23283X206 1302 150000 SH SOLE 150000 0 0 DZS, Inc. common 268211109 6220 400000 SH SOLE 400000 0 0 DermTech, Inc. common 24984K105 1524 30000 SH SOLE 30000 0 0 EMCORE Corp. common 290846203 10715 1962446 SH SOLE 1962446 0 0 Enservco Corporation common 29358Y102 778 450000 SH SOLE 450000 0 0 Eton Pharmaceuticals, Inc. common 29772L108 6580 898878 SH SOLE 898878 0 0 Everspin Technology, Inc. common 30041T104 11272 1878597 SH SOLE 1878597 0 0 Exicure, Inc. common 30205M101 581 266309 SH SOLE 266309 0 0 Franchise Group, Inc. common 35180X105 4763 131912 SH SOLE 131912 0 0 GAN, Ltd. (London) common G3728V109 8588 471870 SH SOLE 471870 0 0 Gaia, Inc. common 36269P104 9182 772282 SH SOLE 772282 0 0 Genasys Incorporated common 36872P103 29098 4349544 SH SOLE 4349544 0 0 Generation Bio Co. common 37148k100 6421 225599 SH SOLE 225599 0 0 Greenbrook TMS, Inc. (Canada) common 393704101 7633 630447 SH SOLE 630447 0 0 INVO Bioscience, Inc. common 44984F302 4114 950125 SH SOLE 950125 0 0 Ideal Power, Inc. common 451622203 3115 235271 SH SOLE 235271 0 0 Immunoprecise Antibodies, Ltd. common 45257F200 4694 478020 SH SOLE 478020 0 0 Impinj, Inc. common 453204109 24510 430977 SH SOLE 430977 0 0 Infusystem Holdings, Inc. common 45685K102 40720 2000000 SH SOLE 2000000 0 0 Intellicheck, Inc. common 45817G201 1048 125010 SH SOLE 125010 0 0 Iteris, Inc. common 46564T107 2193 355359 SH SOLE 355359 0 0 Kopin Corporation common 500600101 16075 1532446 SH SOLE 1532446 0 0 LeMaitre Vascular Inc. common 525558201 11219 230000 SH SOLE 230000 0 0 Leaf Group, Ltd. common 52177G102 4636 718784 SH SOLE 718784 0 0 Limelight Networks, Inc. common 53261M104 4918 1377536 SH SOLE 1377536 0 0 LiqTech International, Inc. (D common 53632A102 16410 2028444 SH SOLE 2028444 0 0 LivePerson, Inc. common 538146101 18454 349900 SH SOLE 349900 0 0 Lovesac Company, The common 54738L109 23064 407486 SH SOLE 407486 0 0 Magal Security System, Ltd (Is common M6786D104 1038 231618 SH SOLE 231618 0 0 Medicenna Therapeutics Corp. common 58490H107 4068 1000000 SH SOLE 1000000 0 0 Misonix, Inc. common 604871103 4883 249239 SH SOLE 249239 0 0 Motorsports Games, Inc. common 62011B102 3961 170291 SH SOLE 170291 0 0 Movano, Inc. common 62459M107 4986 900000 SH SOLE 900000 0 0 Nano Dimension, Ltd. ADR (Isra common 63008G203 3393 394961 SH SOLE 394961 0 0 Natural Gas Services Group Inc common 63886Q109 4524 479199 SH SOLE 479199 0 0 NeoGames S.A. (Luxembourg) common L6673X107 9837 275000 SH SOLE 275000 0 0 NeoPhotonics Corporation common 64051T100 22953 1920722 SH SOLE 1920722 0 0 Neonode, Inc. common 64051M709 4274 456120 SH SOLE 456120 0 0 Noodles & Co. common 65540B105 4972 480403 SH SOLE 480403 0 0 Nuvation Bio, Inc. common 67080N101 4554 435824 SH SOLE 435824 0 0 OPKO Health, Inc. common 68375N103 3432 800000 SH SOLE 800000 0 0 Oncocyte Corp. common 68235C107 3892 750000 SH SOLE 750000 0 0 OneWater Marine, Inc. - CL A common 68280L101 3482 87144 SH SOLE 87144 0 0 Ooma, Inc. common 683416101 17533 1106165 SH SOLE 1106165 0 0 OptimizeRx Corporation common 68401U204 24375 500000 SH SOLE 500000 0 0 OrthoPediatrics Corporation common 68752L100 14538 298221 SH SOLE 298221 0 0 Pfsweb, Inc. common 717098206 13062 1935179 SH SOLE 1935179 0 0 Powerfleet, Inc. common 73931J109 6905 840000 SH SOLE 840000 0 0 Primo Water Corp. common 74167P108 994 61142 SH SOLE 61142 0 0 Profound Medical Corp. (U.S.) common 74319B502 7028 348939 SH SOLE 348939 0 0 Progyny, Inc. common 74340E103 2225 50000 SH SOLE 50000 0 0 PureTech Health PLC-ADR (Brita common 746237106 1774 30000 SH SOLE 30000 0 0 Quantum Corp. common 747906501 3415 410000 SH SOLE 410000 0 0 QuickLogic Corporation common 74837P405 2700 390230 SH SOLE 390230 0 0 Qumu Corporation common 749063103 2366 350000 SH SOLE 350000 0 0 RADA Electronic Industries, Lt common M81863124 11770 980000 SH SOLE 980000 0 0 RADCOM, Ltd. (Israel) common M81865111 5714 578312 SH SOLE 578312 0 0 Reata Pharmaceuticals, Inc. common 75615P103 1994 20000 SH SOLE 20000 0 0 Recro Pharma, Inc. common 75629F109 1092 391304 SH SOLE 391304 0 0 Repligen Corporation common 759916109 19441 100000 SH SOLE 100000 0 0 Resonant, Inc. common 76118L102 11392 2686785 SH SOLE 2686785 0 0 Roth CH Acquisition III Co. common 77867Q102 1980 200000 SH SOLE 200000 0 0 SeaSpine Holdings Corp. common 81255T108 7683 441547 SH SOLE 441547 0 0 Sequans Communications S.A. AD common 817323207 19718 3264540 SH SOLE 3264540 0 0 SharpSpring, Inc. common 820054104 15494 968353 SH SOLE 968353 0 0 Sientra, Inc. common 82621J105 3342 458500 SH SOLE 458500 0 0 Sigma Labs, Inc. common 826598500 2224 597785 SH SOLE 597785 0 0 Soleno Therapeutics, Inc. common 834203200 632 501837 SH SOLE 501837 0 0 Spero Therapeutics, Inc. common 84833T103 5487 372755 SH SOLE 372755 0 0 Sunrun, Inc. common 86771W105 2419 40000 SH SOLE 40000 0 0 Telos Corp. common 87969B101 6984 184181 SH SOLE 184181 0 0 The Cooper Companies, Inc. common 216648402 1728 4500 SH SOLE 4500 0 0 The Joint Corp. common 47973J102 4837 100000 SH SOLE 100000 0 0 TravelCenters of America LLC common 89421B109 18307 674800 SH SOLE 674800 0 0 Turtle Beach Corporation common 900450206 14550 545543 SH SOLE 545543 0 0 Ultra Clean Holdings, Inc. common 90385V107 8532 147000 SH SOLE 147000 0 0 Universal Technical Institute, common 913915104 1506 257854 SH SOLE 257854 0 0 Verb Technology Company, Inc. common 923370U10 1841 1314950 SH SOLE 1314950 0 0 Veru,Inc. common 92536C103 7542 700000 SH SOLE 700000 0 0 Vicor Corporation common 925815102 6717 79000 SH SOLE 79000 0 0 Viemed Healthcare, Inc.(Canada common 92663R105 11038 1085000 SH SOLE 1085000 0 0 Westport Fuel Systems, Inc. (C common 960908309 22160 3082047 SH SOLE 3082047 0 0 Yatra Online, Inc. (India) common G98338109 1530 656624 SH SOLE 656624 0 0 Zealand Pharma A/S (Denmark) common 999999999 9403 297226 SH SOLE 297226 0 0 Zealand Pharma A/S ADR (Denmar common 98920Y304 639 19981 SH SOLE 19981 0 0 argenx SE - ADR (Netherlands) common 04016X101 22031 80000 SH SOLE 80000 0 0 eMagin Corporation common 29076N206 4192 1120887 SH SOLE 1120887 0 0 nLight, Inc. common 65487K100 8424 260000 SH SOLE 260000 0 0 urban-gro, Inc. common 91704K202 1991 236156 SH SOLE 236156 0 0 voxeljet AG, ADR (Germany) common 92912L106 10686 684978 SH SOLE 684978 0 0 Ideal Power @.001 (pre-funded) warrants 999999999 3360 253830 SH SOLE 253830 0 0 Ideal Power @2.32 11/13/24 9.9 warrants 999999999 5143 439180 SH SOLE 439180 0 0 Ideal Power @8.90 8/5/25 9.99 warrants 999999999 322 39366 SH SOLE 39366 0 0 Ocean Power Technologies @3.85 warrants 674870118 585 464280 SH SOLE 464280 0 0 Roth CH Acquisition III Co @11 warrants 77867Q110 40 50000 SH SOLE 50000 0 0 Turtle Beach Corp. @0 pre-fund warrants 999999999 14668 550000 SH SOLE 550000 0 0 eMagin Corp @.78 10/9/19-10/9/ warrants 999999999 9510 3000000 SH SOLE 3000000 0 0 eMagin Corporation @1.55 1/29/ warrants 999999999 2234 890000 SH SOLE 890000 0 0 eMagin Corporation @2.45 5/24/ warrants 999999999 2860 1625000 SH SOLE 1625000 0 0