President

0001535264-23-000080.txt : 20231114 0001535264-23-000080.hdr.sgml : 20231114 20231114165906 ACCESSION NUMBER: 0001535264-23-000080 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230930 FILED AS OF DATE: 20231114 DATE AS OF CHANGE: 20231114 EFFECTIVENESS DATE: 20231114 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: 231407643 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 09-30-2023 09-30-2023 AWM Investment Company, Inc.

527 MADISON AVENUE SUITE 2600 NEW YORK NY 10022

13F HOLDINGS REPORT 028-16479 N David Greenhouse President 2123196670 David Greenhouse New York NY 11-14-2023 0 126 677527753 false INFORMATION TABLE 2 inftable.xml 3Q 2023 13F 908 Devices, Inc. common 65443P102 3739630 561506 SH SOLE 561506 0 0 ADMA Biologics, Inc. common 000899104 21479542 5999872 SH SOLE 5999872 0 0 Achieve Life Sciences, Inc. common 004468500 1171750 272500 SH SOLE 272500 0 0 Aehr Test Systems common 00760J108 54743253 1197883 SH SOLE 1197883 0 0 Aerovironment, Inc. common 008073108 7272648 65208 SH SOLE 65208 0 0 Akoustis Technologies, Inc. common 00973N102 293631 390000 SH SOLE 390000 0 0 Altisource Portfolio Solutions common L0175J104 1120392 280800 SH SOLE 280800 0 0 American Public Education, Inc common 02913V103 843463 169370 SH SOLE 169370 0 0 American Superconductor Corp common 030111207 13999520 1854241 SH SOLE 1854241 0 0 Applied DNA Sciences, Inc. common 03815U300 994830 808805 SH SOLE 808805 0 0 Aqua Metals, Inc. common 03837J101 1017000 900000 SH SOLE 900000 0 0 Arbe Robotics, Ltd.(Israel) common M1R95N100 17971698 7713175 SH SOLE 7713175 0 0 Aspen Aerogels, Inc. common 04523Y105 14289588 1661580 SH SOLE 1661580 0 0 Aviat Networks, Inc. common 05366Y201 3857537 123639 SH SOLE 123639 0 0 Avid Bioservices, Inc. common 05368M106 9439301 999926 SH SOLE 999926 0 0 Backblaze, Inc. common 05637B105 5870535 1067370 SH SOLE 1067370 0 0 Beam Global common 07373B109 4371639 592363 SH SOLE 592363 0 0 Bitcoin Depot,Inc. common 09174P105 2464315 937002 SH SOLE 937002 0 0 Bitfarms, Ltd. (Canada) - U.S. common 09173B107 206498 192989 SH SOLE 192989 0 0 BlackSky Technology, Inc. common 09263B108 3259235 2785671 SH SOLE 2785671 0 0 CEVA, Inc. common 157210105 8867861 457342 SH SOLE 457342 0 0 Century Casinos, Inc. common 156492100 8433910 1644037 SH SOLE 1644037 0 0 Citi Trends, Inc. common 17306X102 5905365 265768 SH SOLE 265768 0 0 Clene Inc. common 185634102 2479500 5000000 SH SOLE 5000000 0 0 Crinetics Pharmaceuticals, Inc common 22663K107 446100 15000 SH SOLE 15000 0 0 DHI Group, Inc. common 23331S100 1777860 581000 SH SOLE 581000 0 0 Destination XL Group, Inc. common 25065K104 42108851 9399297 SH SOLE 9399297 0 0 EMCORE Corporation common 290846203 2502222 5262296 SH SOLE 5262296 0 0 ElectroCore, Inc. common 28531P202 3340709 550364 SH SOLE 550364 0 0 Enthusiast Gaming Holdings,Inc common 29385B109 307339 897100 SH SOLE 897100 0 0 Everspin Technology, Inc. common 30041T104 19721349 2006241 SH SOLE 2006241 0 0 Forza X1,Inc. common 34988N104 267695 334410 SH SOLE 334410 0 0 Gaia, Inc. common 36269P104 2986193 1097865 SH SOLE 1097865 0 0 Gambling.com Group Ltd. common 63R239101 13581670 1038354 SH SOLE 1038354 0 0 Gee Group, Inc. common 36165A102 946777 1600096 SH SOLE 1600096 0 0 Gen Restaurant Group, Inc. common 36870C104 4415040 379299 SH SOLE 379299 0 0 Genasys, Inc. common 36872P103 11556583 5749544 SH SOLE 5749544 0 0 Gossamer Bio, Inc. common 38341P102 510530 613028 SH SOLE 613028 0 0 GrowGeneration Corp. common 39986L109 2484021 850692 SH SOLE 850692 0 0 INVO Bioscience, Inc. common 44984F302 25286 32000 SH SOLE 32000 0 0 Ideal Power, Inc. common 451622203 1598521 163281 SH SOLE 163281 0 0 Immunovant, Inc. common 45258J102 1919500 50000 SH SOLE 50000 0 0 Impinj, Inc. common 453204109 20109503 365428 SH SOLE 365428 0 0 Infusystem Holdings, Inc. common 45685K102 19280000 2000000 SH SOLE 2000000 0 0 Kopin Corporation common 500600101 10427030 8546746 SH SOLE 8546746 0 0 Lantronix, Inc. common 516548203 3390602 761933 SH SOLE 761933 0 0 LeMaitre Vascular, Inc. common 525558201 12530400 230000 SH SOLE 230000 0 0 Leonardo DRS, Inc. common 52661A108 14296670 856088 SH SOLE 856088 0 0 LightPath Technologies, Inc. common 532257805 2646250 1825000 SH SOLE 1825000 0 0 Lilium N.V. (Germany) common N52586109 1609365 2256225 SH SOLE 2256225 0 0 LiqTech International, Inc. common 53632A102 967500 250000 SH SOLE 250000 0 0 LivePerson, Inc. common 538146101 8108612 2084476 SH SOLE 2084476 0 0 Lovesac Company, The common 54738L109 10292584 516696 SH SOLE 516696 0 0 Lulu's Fashion Lounge Holdings common 55003A108 402000 200000 SH SOLE 200000 0 0 Mobilicom Limited (Australia) common 60742B102 424653 326656 SH SOLE 326656 0 0 Movano, Inc. common 62459M107 1487072 1364286 SH SOLE 1364286 0 0 Nano Dimension, Ltd. ADR (Isra common 63008G203 1803703 663126 SH SOLE 663126 0 0 Natural Gas Services Group,Inc common 63886Q109 11200032 769233 SH SOLE 769233 0 0 NeoGames S.A. (Luxembourg) common L6673X107 6467391 239533 SH SOLE 239533 0 0 NeuroOne Medical Technologies common 64130M100 1380120 1550000 SH SOLE 1550000 0 0 Nuvation Bio, Inc. common 67080N101 1909500 1425000 SH SOLE 1425000 0 0 OPKO Health, Inc. common 68375N103 1600000 1000000 SH SOLE 1000000 0 0 OncoCyte Corporation common 68235C107 2359245 719282 SH SOLE 719282 0 0 Ooma, Inc. common 683416101 18343423 1409948 SH SOLE 1409948 0 0 OptimizeRx Corporation common 68401U204 6088402 782571 SH SOLE 782571 0 0 OrthoPediatrics Corporation common 68752L100 12072832 377276 SH SOLE 377276 0 0 Orthofix Medical Inc. common 68752M108 7696234 598463 SH SOLE 598463 0 0 Outbrain, Inc. common 69002R103 2451733 503436 SH SOLE 503436 0 0 Pfsweb, Inc. common 717098206 11496310 1545203 SH SOLE 1545203 0 0 PowerFleet, Inc. common 73931J109 6158138 2974946 SH SOLE 2974946 0 0 Profire Energy, Inc. common 74316X101 7217314 2596156 SH SOLE 2596156 0 0 Progyny, Inc. common 74340E103 1701000 50000 SH SOLE 50000 0 0 PureTech Health PLC-ADR (Brita common 746237106 1610000 70000 SH SOLE 70000 0 0 Purple Innovation, Inc. common 74640Y106 393300 230000 SH SOLE 230000 0 0 QuickLogic Corporation common 74837P405 3570978 415230 SH SOLE 415230 0 0 Quipt Home Medical Corp. common 74880P104 1499514 294600 SH SOLE 294600 0 0 RADCOM, Ltd. (Israel) common M81865111 6551643 753929 SH SOLE 753929 0 0 Repligen Corporation common 759916109 15901000 100000 SH SOLE 100000 0 0 Reservoir Media, Inc. common 76119X105 4280138 701662 SH SOLE 701662 0 0 Rocket Lab USA, Inc. common 773122106 884760 202000 SH SOLE 202000 0 0 Sequans Communications S.A. AD common 817323207 7332742 2591075 SH SOLE 2591075 0 0 Shapeways Holdings, Inc. common 81947T102 992118 310037 SH SOLE 310037 0 0 Sigma Additive Solutions, Inc. common 826598500 61197 19999 SH SOLE 19999 0 0 Societal CDMO, Inc. common 75629F109 4814822 10266144 SH SOLE 10266144 0 0 Spero Therapeutics, Inc. common 84833T103 403414 333400 SH SOLE 333400 0 0 Synchronoss Technologies, Inc. common 87157B103 4227447 4403591 SH SOLE 4403591 0 0 Tactile Systems Technology,Inc common 87357P100 2037250 145000 SH SOLE 145000 0 0 Talkspace, Inc. common 87427V103 4461062 2287724 SH SOLE 2287724 0 0 Tela Bio, Inc. common 208077520 3266768 408346 SH SOLE 408346 0 0 The Real Good Food Company,Inc common 75601G109 2939133 877353 SH SOLE 877353 0 0 Turtle Beach Corporation common 900450206 5239778 577386 SH SOLE 577386 0 0 Twin Vee PowerCats Co. common 90177C101 1333630 939176 SH SOLE 939176 0 0 Ultra Clean Holdings, Inc. common 90385V107 3923798 132248 SH SOLE 132248 0 0 Universal Technical Institute common 913915104 9411184 1123053 SH SOLE 1123053 0 0 Usio,Inc. common 917313108 2223599 1270628 SH SOLE 1270628 0 0 Vicor Corporation common 925815102 12070094 204960 SH SOLE 204960 0 0 Viemed Healthcare, Inc. (Canad common 92663R105 5737797 854875 SH SOLE 854875 0 0 Viemed Healthcare, Inc. (US) common 92663R105 2317475 344350 SH SOLE 344350 0 0 Westport Fuel Systems, Inc. common 960908309 2314540 383202 SH SOLE 383202 0 0 Xtant Medical Holdings, Inc. common 98420P308 515548 468680 SH SOLE 468680 0 0 Zynex, Inc. common 98986M103 1367056 170882 SH SOLE 170882 0 0 argenx SE - ADR (Netherlands) common 04016X101 14748900 30000 SH SOLE 30000 0 0 eMagin Corporation common 29076N206 1372433 689665 SH SOLE 689665 0 0 nLight, Inc. common 65487K100 5105173 490882 SH SOLE 490882 0 0 urban-gro, Inc. common 91704K202 1548851 1138861 SH SOLE 1138861 0 0 voxeljet AG, ADR (Germany) common 92912L106 1429463 1361393 SH SOLE 1361393 0 0 Applied DNA Sciences, Inc. @4 warrants 999999999 125000 500000 SH SOLE 500000 0 0 BlackSky Tech R/R @2.2002 9/8/ warrants 999999999 752131 2785671 SH SOLE 2785671 0 0 Clene Inc @1.50 6/16/30 (60day warrants 999999999 650000 5000000 SH SOLE 5000000 0 0 Clene Inc. @1.10 6/16/26 (60da warrants 999999999 350000 5000000 SH SOLE 5000000 0 0 ElectroCore Inc. @4.35 2/1/24 warrants 999999999 1253256 396600 SH SOLE 396600 0 0 ElectroCore, Inc. Pre-funded @ warrants 999999999 3034500 500000 SH SOLE 500000 0 0 Emcore Corp. pre-funded @.0000 warrants 999999999 1902000 4000000 SH SOLE 4000000 0 0 Ideal Power @.001 (pre-funded) warrants 999999999 2484742 253830 SH SOLE 253830 0 0 Ideal Power @2.32 11/13/24 9.9 warrants 999999999 3311417 439180 SH SOLE 439180 0 0 Ideal Power @8.90 8/5/25 9.99 warrants 999999999 80700 39366 SH SOLE 39366 0 0 Kopin Corporation pre-funded @ warrants 999999999 7260000 6000000 SH SOLE 6000000 0 0 Medicenna Therapeutics, Corp.@ warrants 192775965 39900 1330000 SH SOLE 1330000 0 0 Mobilicom Ltd. @5.00 8/31/27 A warrants 60742B110 58060 363100 SH SOLE 363100 0 0 Movano, Inc. wts @ 1.57 exp. 1 warrants 999999999 107143 357143 SH SOLE 357143 0 0 OncoCyte Corp @1.53 4/19/27 4 warrants 999999999 7880 3752345 SH SOLE 3752345 0 0 ReShape Lifesc @8=1.5cs or $0 warrants 999999999 22860 90000 SH SOLE 90000 0 0 Societal CDMO pre-funded @.000 warrants 999999999 2279340 4860000 SH SOLE 4860000 0 0 Turtle Beach Corp. @0 pre-fund warrants 999999999 4991250 550000 SH SOLE 550000 0 0 VIQ Solutions @1.39 1/21/23-7/ warrants 999999999 68000 1700000 SH SOLE 1700000 0 0 eMagin Corp @.78 10/9/19-10/9/ warrants 999999999 2356464 1947491 SH SOLE 1947491 0 0