President

0001535264-23-000041.txt : 20230214 0001535264-23-000041.hdr.sgml : 20230214 20230214172643 ACCESSION NUMBER: 0001535264-23-000041 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20221231 FILED AS OF DATE: 20230214 DATE AS OF CHANGE: 20230214 EFFECTIVENESS DATE: 20230214 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: 23631930 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 X0202 13F-HR LIVE false false false 0001535264 XXXXXXXX 12-31-2022 12-31-2022 AWM Investment Company, Inc.

527 MADISON AVENUE SUITE 2600 NEW YORK NY 10022

13F HOLDINGS REPORT 028-16479 N David M. Greenhouse President 2123196670 /s/ David Greenhouse New York NY 02-14-2023 0 132 693532439 false INFORMATION TABLE 2 inftable.xml Q4 2022 13F ADMA Biologics, Inc. common 000899104 23338200 6015000 SH SOLE 6015000 0 0 Accelerate Diagnostics, Inc. common 00430H102 334044 473150 SH SOLE 473150 0 0 Aehr Test Systems common 00760J108 33131212 1648319 SH SOLE 1648319 0 0 Aerovironment, Inc. common 008073108 3444217 40208 SH SOLE 40208 0 0 AirSculpt Technologies, Inc. common 009496100 2212937 598091 SH SOLE 598091 0 0 American Public Education, Inc common 02913V103 615360 50070 SH SOLE 50070 0 0 American Superconductor Corpor common 030111207 9333521 2536283 SH SOLE 2536283 0 0 Apollo Endosurgery, Inc. common 03767D108 7844486 786809 SH SOLE 786809 0 0 Applied DNA Sciences, Inc. common 03815U300 1196764 720942 SH SOLE 720942 0 0 Aspen Aerogels, Inc. common 04523Y105 15327000 1300000 SH SOLE 1300000 0 0 Atomera Incorporated common 04965B100 1101151 177034 SH SOLE 177034 0 0 Avid Bioservices, Inc. common 05368M106 16246204 1179826 SH SOLE 1179826 0 0 Backblaze, Inc. common 05637B105 6714281 1091753 SH SOLE 1091753 0 0 Bellus Health, Inc. (Canada) common 07987C204 3123600 380000 SH SOLE 380000 0 0 BioLife Solutions, Inc. common 09062W204 910000 50000 SH SOLE 50000 0 0 Bitfarms, Ltd. of Canada common 09173B107 115759 263089 SH SOLE 263089 0 0 Bridgeline Digital, Inc. common 10807Q700 315000 300000 SH SOLE 300000 0 0 CEVA, Inc. common 157210105 10978731 429192 SH SOLE 429192 0 0 CareDx, Inc. common 14167L103 570500 50000 SH SOLE 50000 0 0 Century Casinos, Inc. common 156492100 11557580 1644037 SH SOLE 1644037 0 0 Citi Trends, Inc. common 17306X102 4422901 167028 SH SOLE 167028 0 0 Concert Pharmaceuticals, Inc. common 206022105 3893300 666661 SH SOLE 666661 0 0 DHI Group, Inc. common 23331S100 3073490 581000 SH SOLE 581000 0 0 DZS, Inc. common 268211109 15772563 1243893 SH SOLE 1243893 0 0 Destination XL Group, Inc. common 25065K104 64709752 9586630 SH SOLE 9586630 0 0 DoubleDown Interactive Co Ltd( common 25862B109 262381 31051 SH SOLE 31051 0 0 EMCORE Corporation common 290846203 1924861 1999856 SH SOLE 1999856 0 0 Eco Wave Power Global AB (Swe common 27900N103 508449 170821 SH SOLE 170821 0 0 Edgio, Inc. common 53261M104 1051731 930735 SH SOLE 930735 0 0 ElectroCore, Inc. common 28531P103 1510965 5883822 SH SOLE 5883822 0 0 Enthusiast Gaming Holdings, In common 29385B109 490327 897100 SH SOLE 897100 0 0 Eton Pharmaceuticals, Inc. common 29772L108 1297296 463320 SH SOLE 463320 0 0 Everspin Technology, Inc. common 30041T104 11154700 2006241 SH SOLE 2006241 0 0 FTC Solar, Inc. common 30320C103 695996 259700 SH SOLE 259700 0 0 Franchise Group, Inc. common 35180X105 3142144 131912 SH SOLE 131912 0 0 Gaia, Inc. common 36269P104 2092912 879375 SH SOLE 879375 0 0 Gambling.com Group Ltd. common 63R239101 9489136 1037064 SH SOLE 1037064 0 0 Gee Group, Inc. common 36165A102 1119744 2285192 SH SOLE 2285192 0 0 Genasys, Inc. common 36872P103 16093313 4349544 SH SOLE 4349544 0 0 Greenbrook TMS, Inc. (Canada) common 393704309 144713 71768 SH SOLE 71768 0 0 INVO Bioscience, Inc. common 44984F302 271379 623860 SH SOLE 623860 0 0 Ideal Power, Inc. common 451622203 1789682 168520 SH SOLE 168520 0 0 Impinj, Inc. common 453204109 40762790 373354 SH SOLE 373354 0 0 Infusystem Holdings, Inc. common 45685K102 17360000 2000000 SH SOLE 2000000 0 0 Karat Packaging, Inc. common 48563L101 1965658 136789 SH SOLE 136789 0 0 Kopin Corporation common 500600101 1793965 1446746 SH SOLE 1446746 0 0 Lantronix, Inc. common 516548203 3291551 761933 SH SOLE 761933 0 0 LeMaitre Vascular, Inc. common 525558201 10584600 230000 SH SOLE 230000 0 0 Legacy Housing Corp. common 52472M101 1551800 81846 SH SOLE 81846 0 0 Leonardo DRS, Inc. common 52661A108 10942083 856188 SH SOLE 856188 0 0 LiqTech International, Inc. (D common 53632A102 923454 2430141 SH SOLE 2430141 0 0 LivePerson, Inc. common 538146101 8979751 885577 SH SOLE 885577 0 0 LiveVox Holdings, Inc. common 538384009 76068 25612 SH SOLE 25612 0 0 Lovesac Company, The common 54738L109 8630033 392096 SH SOLE 392096 0 0 Lulu's Fashion Lounge Holdings common 55003A108 377082 150232 SH SOLE 150232 0 0 MaxCyte, Inc. common 5777K1061 2184000 400000 SH SOLE 400000 0 0 Medicenna Therapeutics Corp. ( common 192775965 215730 459000 SH SOLE 459000 0 0 Minerva Surgical, Inc. common 60343F106 372759 1668572 SH SOLE 1668572 0 0 Mobilicom Limited (Australia) common 60742B102 413899 426656 SH SOLE 426656 0 0 Movano, Inc. common 62459M107 1170000 900000 SH SOLE 900000 0 0 Nano Dimension, Ltd. ADR (Isra common 63008G203 1295190 563126 SH SOLE 563126 0 0 NanoVibronix, Inc. common 63008J108 225267 901069 SH SOLE 901069 0 0 Natural Gas Services Group, In common 63886Q109 8815410 769233 SH SOLE 769233 0 0 NeoGames S.A. (Luxembourg) common L6673X107 2761035 226500 SH SOLE 226500 0 0 Neonode, Inc. common 64051M709 430100 78200 SH SOLE 78200 0 0 NeuroOne Medical Technologies common 64130M100 660000 550000 SH SOLE 550000 0 0 Noodles & Co. common 65540B105 3631328 661444 SH SOLE 661444 0 0 Nuvation Bio, Inc. common 67080N101 1200000 625000 SH SOLE 625000 0 0 OPKO Health, Inc. common 68375N103 1250000 1000000 SH SOLE 1000000 0 0 OncoCyte Corporation common 68235C107 2327880 7254222 SH SOLE 7254222 0 0 OneWater Marine, Inc. - CL A common 68280L101 2847616 99567 SH SOLE 99567 0 0 Ooma, Inc. common 683416101 19203492 1409948 SH SOLE 1409948 0 0 OptimizeRx Corporation common 68401U204 6722402 400143 SH SOLE 400143 0 0 OrthoPediatrics Corporation common 68752L100 15719492 395658 SH SOLE 395658 0 0 Pfsweb, Inc. common 717098206 12633053 2054155 SH SOLE 2054155 0 0 PowerFleet, Inc. common 73931J109 4250082 1579956 SH SOLE 1579956 0 0 ProQR Therapeutics BV (Netherl common N71542109 616668 166667 SH SOLE 166667 0 0 Profire Energy, Inc. common 74316X101 2182504 2078575 SH SOLE 2078575 0 0 PureTech Health PLC (Britain) common 746237106 4186848 1300000 SH SOLE 1300000 0 0 PureTech Health PLC-ADR (Brita common 746237106 2233000 70000 SH SOLE 70000 0 0 Quantum Corp. common 747906501 716435 657280 SH SOLE 657280 0 0 QuickLogic Corporation common 74837P405 2134282 415230 SH SOLE 415230 0 0 Quipt Home Medical Corp. common 74880P104 1387566 294600 SH SOLE 294600 0 0 RADCOM, Ltd. (Israel) common M81865111 6821473 623535 SH SOLE 623535 0 0 Repligen Corporation common 759916109 16931000 100000 SH SOLE 100000 0 0 Reservior Media, Inc. common 76119X105 3641067 609894 SH SOLE 609894 0 0 Rocket Lab USA, Inc. common 773122106 757770 201000 SH SOLE 201000 0 0 SeaSpine Holdings Corp. common 81255T108 9202952 1102150 SH SOLE 1102150 0 0 Sequans Communications S.A. AD common 817323207 12781801 3849940 SH SOLE 3849940 0 0 Sera Prognostics, Inc. common 81749D107 211117 171640 SH SOLE 171640 0 0 Shapeways Holdings, Inc. common 81947T102 1141671 2099431 SH SOLE 2099431 0 0 Shotspotter, Inc. common 82536T107 3634628 107438 SH SOLE 107438 0 0 Sigma Labs, Inc. common 826598500 279184 697785 SH SOLE 697785 0 0 Societal CDMO, Inc. (F4) common 75629F109 13180617 8846052 SH SOLE 8846052 0 0 Sonendo, Inc. common 835431107 975309 344632 SH SOLE 344632 0 0 Spero Therapeutics, Inc. common 84833T103 2249692 1300400 SH SOLE 1300400 0 0 Summit Therapeutics, Inc. common 86627T108 1275000 300000 SH SOLE 300000 0 0 Sunrun, Inc. common 86771W105 960800 40000 SH SOLE 40000 0 0 Synchronoss Technologies, Inc. common 87157B103 1953363 3160270 SH SOLE 3160270 0 0 The Real Good Food Company, In common 75601G109 2388570 360267 SH SOLE 360267 0 0 TravelCenters of America LLC common 89421B109 29344647 655307 SH SOLE 655307 0 0 Turtle Beach Corporation common 900450206 4541872 633455 SH SOLE 633455 0 0 Twin Vee PowerCats Co. common 90177C101 1736783 949062 SH SOLE 949062 0 0 Ultra Clean Holdings, Inc. common 90385V107 5201865 156919 SH SOLE 156919 0 0 Universal Technical Institute, common 913915104 7497423 1115688 SH SOLE 1115688 0 0 Usio,Inc. common 917313108 1846018 1153761 SH SOLE 1153761 0 0 VIQ Solutions, Inc. (Canada) common 91825V400 468496 1784067 SH SOLE 1784067 0 0 Veru, Inc. common 92536C103 1531200 290000 SH SOLE 290000 0 0 Vicor Corporation common 925815102 4984291 92731 SH SOLE 92731 0 0 Viemed Healthcare, Inc. (Canad common 92663R105 6484649 854875 SH SOLE 854875 0 0 Viemed Healthcare, Inc. (US) common 92663R105 856019 113230 SH SOLE 113230 0 0 Vor BioPharma, Inc. common 929033108 665000 100000 SH SOLE 100000 0 0 Westport Fuel Systems, Inc. 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