AWM Investment Company, Inc. Q1 2021 Filing

Filed May 13, 2021

Portfolio Value

$895K

Holdings

110

Report Date

Q1 2021

Filing Type

13F-HR

All Holdings (110 positions)

#	Stock	Shares	Value	% Portfolio	Type
101	ELUTAziyo Biologics, Inc.	107,077	$1.5M	165.34%
102	CTSOCytoSorbents Corp.	150,000	$1.3M	145.46%
103	SCTLRecro Pharma, Inc.	391,304	$1.1M	122.00%
104	IDNIntellicheck, Inc.	125,010	$1.0M	117.08%
105	—Magal Security System, Ltd (Is	231,618	$1.0M	115.96%
106	—Andina Acquisition Corp. III	100,000	$1.0M	114.73%
107	BCBEURPrimo Water Corp.	61,142	$994K	111.05%
108	—Enservco Corporation	450,000	$778K	86.92%
109	BLINBridgeline Digital Inc.	241,935	$699K	78.09%
110	—Zealand Pharma A/S ADR (Denmar	19,981	$639K	71.39%
111	—Soleno Therapeutics, Inc.	501,837	$632K	70.61%
112	—Ocean Power Technologies @3.85	464,280	$585K	65.35%
113	—Exicure, Inc.	266,309	$581K	64.91%
114	—Ballantyne Strong, Inc.	176,024	$459K	51.28%
115	—Ideal Power @8.90 8/5/25 9.99	39,366	$322K	35.97%
116	AQMSEURAqua Metals, Inc.	55,474	$225K	25.14%
117	—Roth CH Acquisition III Co @11	50,000	$40K	4.47%

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