AWM Investment Company, Inc. Q1 2018 Filing
Filed May 10, 2018
Portfolio Value
$518.6M
Holdings
91
Report Date
Q1 2018
Filing Type
13F-HR
All Holdings (91 positions)
| # | Stock | Shares | Value | % Portfolio | Type |
|---|---|---|---|---|---|
| 1 | LPSNUSDLivePerson, Inc. | 1,913,578 | $31.3M | 6.03% | |
| 2 | —Corium International Inc. | 2,268,343 | $26.0M | 5.02% | |
| 3 | CEVACEVA, Inc. | 712,558 | $25.8M | 4.97% | |
| 4 | KOPNKopin Corporation | 6,614,094 | $20.6M | 3.98% | |
| 5 | UCTTUltra Clean Holdings, Inc. | 985,000 | $19.0M | 3.66% | |
| 6 | —NeoPhotonics Corporation | 2,340,183 | $16.0M | 3.09% | |
| 7 | TCMDTactile Systems Technology | 486,035 | $15.5M | 2.98% | |
| 8 | OOMAOoma,Inc. | 1,347,149 | $14.7M | 2.83% | |
| 9 | SQNSSequans Communications - ADR | 8,606,057 | $14.5M | 2.79% | |
| 10 | —Adesto Technologies Corp. | 1,938,500 | $14.3M | 2.77% | |
| 11 | CTRNCiti Trends, Inc. | 430,000 | $13.3M | 2.56% | |
| 12 | PFSWUSDPfsweb, Inc. | 1,488,492 | $13.0M | 2.51% | |
| 13 | LMATLeMaitre Vascular Inc. | 353,794 | $12.8M | 2.47% | |
| 14 | MRAMEverspin Technology, Inc. | 1,339,524 | $10.1M | 1.95% | |
| 15 | —Loxo Oncology, Inc. | 85,000 | $9.8M | 1.89% | |
| 16 | AXGNAxoGen, Inc. | 261,506 | $9.5M | 1.84% | |
| 17 | —LRAD Corporation | 3,989,757 | $9.2M | 1.77% | |
| 18 | —DSP Group, Inc. | 769,816 | $9.1M | 1.75% | |
| 19 | MVISMicrovision, Inc. | 7,367,231 | $8.3M | 1.61% | |
| 20 | AMSCAmerican Superconductor, Corp. | 1,396,324 | $8.1M | 1.57% | |
| 21 | ARGXargenx SE - ADR (Netherlands) | 100,000 | $8.0M | 1.55% | |
| 22 | VCRAUSDVocera Communications, Inc. | 342,757 | $8.0M | 1.55% | |
| 23 | —eMagin Corporation | 5,429,524 | $7.9M | 1.52% | |
| 24 | KIDSOrthoPediatrics, Corp. | 459,418 | $6.9M | 1.33% | |
| 25 | TREURTrillium Therapeutics Corp. Ca | 954,138 | $6.9M | 1.32% | |
| 26 | PIImpinj, Inc. | 525,225 | $6.8M | 1.32% | |
| 27 | —MCBC Holdings, Inc. | 267,500 | $6.7M | 1.30% | |
| 28 | CLSDUSDClearside Biomedical, Inc. | 560,155 | $6.0M | 1.16% | |
| 29 | MXLMaxLinear, Inc. | 260,000 | $5.9M | 1.14% | |
| 30 | —Manitex Int'l Inc. | 487,682 | $5.6M | 1.07% | |
| 31 | ATOMAtomera Incorporated | 886,062 | $5.5M | 1.07% | |
| 32 | INSEInspired Entertainment, Inc. | 984,937 | $5.4M | 1.04% | |
| 33 | CNTCentury Casinos, Inc. | 695,689 | $5.2M | 1.00% | |
| 34 | —Biofrontera AG (Germany) | 302,418 | $5.0M | 0.96% | |
| 35 | SPROSpero Therapeutics, Inc. | 350,000 | $5.0M | 0.96% | |
| 36 | INFUInfusystem Holdings, Inc. | 1,700,270 | $4.9M | 0.95% | |
| 37 | —Zealand Pharma A/S ADR (Denmar | 320,719 | $4.8M | 0.93% | |
| 38 | KRNTKornit Digital Ltd., Israel | 363,958 | $4.7M | 0.91% | |
| 39 | —ASV Holdings Inc. | 621,330 | $4.5M | 0.87% | |
| 40 | RGENRepligen Corporation | 121,000 | $4.4M | 0.84% | |
| 41 | VTE1Asure Software, Inc. | 339,327 | $4.2M | 0.80% | |
| 42 | AEHRAehr Test Systems | 1,802,226 | $4.1M | 0.78% | |
| 43 | —Zafgen Inc. | 503,977 | $3.8M | 0.72% | |
| 44 | —Enservco Corp | 4,123,442 | $3.8M | 0.72% | |
| 45 | —SharpSpring, Inc. | 549,637 | $3.5M | 0.68% | |
| 46 | —Maxwell Technologies, Inc. | 568,311 | $3.4M | 0.65% | |
| 47 | GAIAGaia, Inc. | 210,000 | $3.3M | 0.63% | |
| 48 | CELCCelcuity Inc. | 192,377 | $3.2M | 0.61% | |
| 49 | —BioTelemetry, Inc. | 99,189 | $3.1M | 0.59% | |
| 50 | SRTSSensus Healthcare, Inc | 491,938 | $2.9M | 0.55% | |
| 51 | AQMSEURAqua Metals, Inc. | 1,101,467 | $2.9M | 0.55% | |
| 52 | —Trillium Therapeutics @6.30Cd | 11,664,286 | $2.8M | 0.54% | |
| 53 | —Aratana Therapeutics, Inc. | 613,795 | $2.7M | 0.52% | |
| 54 | SCPHscPharmaceuticals, Inc. | 213,317 | $2.6M | 0.51% | |
| 55 | CVVCVD Equipment Corporation | 287,900 | $2.6M | 0.51% | |
| 56 | —Tuesday Morning Corporation | 650,100 | $2.6M | 0.50% | |
| 57 | BWENBroadwind Energy, Inc. | 1,146,834 | $2.5M | 0.49% | |
| 58 | JPXAerovironment, Inc. | 51,379 | $2.3M | 0.45% | |
| 59 | CDNACareDx, Inc. | 275,700 | $2.2M | 0.42% | |
| 60 | —Determine, Inc. | 1,455,220 | $2.1M | 0.40% | |
| 61 | —IZEA Inc. | 543,216 | $2.0M | 0.38% | |
| 62 | —PC-Tel, Inc. | 274,399 | $2.0M | 0.38% | |
| 63 | —XpresSpa Group, Inc. | 2,643,745 | $1.9M | 0.37% | |
| 64 | —Reed's, Inc. | 1,115,458 | $1.9M | 0.37% | |
| 65 | —Ideal Power, Inc. Series A PS | 1,518,430 | $1.7M | 0.33% | |
| 66 | —NTN Buzztime, Inc. | 251,562 | $1.7M | 0.33% | |
| 67 | ITIEURIteris, Inc. | 334,769 | $1.7M | 0.32% | |
| 68 | NLSTNetlist, Inc. | 6,909,089 | $1.6M | 0.31% | |
| 69 | —Dermira, Inc. | 196,000 | $1.6M | 0.30% | |
| 70 | —Juniper Pharmaceuticals, Inc | 150,000 | $1.5M | 0.29% | |
| 71 | —Vivint Solar Inc. | 412,556 | $1.5M | 0.29% | |
| 72 | —Neonode (Pre-fund $1) @.01 no | 3,600,000 | $1.5M | 0.28% | |
| 73 | NVEEUSDNV5 Global Inc. | 25,156 | $1.4M | 0.27% | |
| 74 | XELBUSDXCel Brands Inc. | 429,277 | $1.4M | 0.26% | |
| 75 | ASPNAspen Aerogels, Inc. | 320,264 | $1.4M | 0.26% | |
| 76 | RETAEURReata Pharmaceuticals, Inc. | 65,000 | $1.3M | 0.26% | |
| 77 | —Neonode, Inc. | 3,080,979 | $1.3M | 0.25% | |
| 78 | DMRCDigimarc Corporation | 50,945 | $1.2M | 0.24% | |
| 79 | —Ideal Power, Inc. | 943,000 | $1.1M | 0.21% | |
| 80 | VERUEURVeru,Inc. | 580,000 | $1.1M | 0.20% | |
| 81 | —Xplore Technologies, Corp. | 288,732 | $935K | 0.18% | |
| 82 | SAIASaia, Inc. | 12,010 | $903K | 0.17% | |
| 83 | —Trillium @.28Cd 12/13/18 R/R 5 | 17,857,143 | $893K | 0.17% | |
| 84 | OPKOPKO Health Inc. | 255,000 | $808K | 0.16% | |
| 85 | LPTXEURLeap Therapeutic, Inc. | 96,600 | $802K | 0.15% | |
| 86 | —Christopher & Banks Corp. | 749,960 | $802K | 0.15% | |
| 87 | —Magal Security Sys Ltd(Israel) | 132,464 | $764K | 0.15% | |
| 88 | —eMagin Corporation @2.45 5/24/ | 1,625,000 | $617K | 0.12% | |
| 89 | —SITO Mobile Ltd. | 125,000 | $502K | 0.10% | |
| 90 | —eMagin Corporation @1.55 1/29/ | 890,000 | $418K | 0.08% | |
| 91 | —Sensus Healthcare, Inc @6.75 6 | 494,939 | $297K | 0.06% | |
| 92 | —Ideal Power @2.41 9/4/17-3/3/2 | 1,183,430 | $237K | 0.05% | |
| 93 | KTOSKratos Defense & Security | 17,407 | $179K | 0.03% | |
| 94 | —Neonode Inc @1.12 2/17/17-2/17 | 2,000,000 | $160K | 0.03% | |
| 95 | —OvaScience, Inc. | 150,000 | $122K | 0.02% | |
| 96 | —Cellectar Biosciences @4.68 8/ | 106,600 | $13K | 0.00% | |
| 97 | —EyeGate Pharmaceuticals @10.62 | 137,092 | $12K | 0.00% | |
| 98 | —Determine @6.00 8/6/15-8/6/20 | 26,595 | $1K | 0.00% | |
| 99 | —Determine @7.00 8/27/14-8/27/1 | 65,625 | $1K | 0.00% |