AWM Investment Company, Inc. Q2 2021 Filing

Filed August 13, 2021

Portfolio Value

$1.0M

Holdings

121

Report Date

Q2 2021

Filing Type

13F-HR

All Holdings (121 positions)

#	Stock	Shares	Value	% Portfolio
1	INFUInfusystem Holdings, Inc.	2,000,000	$42K	4.10%
2	PPHMEURAvid Bioservices, Inc.	1,233,000	$32K	3.12%
3	OPRXOptimizeRx Corporation	489,876	$30K	2.99%
4	LOVELovesac Company, The	340,091	$27K	2.68%
5	PIImpinj, Inc.	492,477	$25K	2.51%
6	ARGXargenx SE - ADR (Netherlands)	80,000	$24K	2.38%
7	GNSSGenasys, Inc.	4,349,544	$24K	2.35%
8	LPSNUSDLivePerson, Inc.	349,900	$22K	2.18%
9	OOMAOoma, Inc.	1,106,165	$21K	2.06%
10	WPRTWestport Fuel Systems, Inc.	3,832,047	$20K	2.01%
11	RGENRepligen Corporation	100,000	$20K	1.97%
12	CNTCentury Casinos, Inc.	1,482,888	$20K	1.97%
13	TAUSDTravelCenters of America LLC	674,800	$20K	1.95%
14	—NeoPhotonics Corporation	1,920,722	$20K	1.94%
15	QSequans Communications S.A. AD	3,214,540	$19K	1.91%
16	KIDSOrthoPediatrics Corporation	298,221	$19K	1.86%
17	EMKREUREMCORE Corp.	1,962,446	$18K	1.79%
18	—Turtle Beach Corp. @0 pre-fund	550,000	$18K	1.73%
19	TBCHTurtle Beach Corporation	545,543	$17K	1.72%
20	CEVACEVA, Inc.	368,037	$17K	1.72%
21	—SharpSpring, Inc.	968,353	$16K	1.61%
22	AMSCAmerican Superconductor Corp	854,534	$15K	1.47%
23	—LiqTech International, Inc.	2,028,444	$15K	1.47%
24	PFSWUSDPfsweb, Inc.	1,935,179	$14K	1.41%
25	LMATLeMaitre Vascular, Inc.	230,000	$14K	1.39%
26	—NeoGames S.A. (Luxembourg)	226,500	$14K	1.37%
27	MRAMEverspin Technology, Inc.	1,878,597	$12K	1.19%
28	KOPNKopin Corporation	1,446,746	$12K	1.17%
29	UCTTUltra Clean Holdings, Inc.	215,000	$12K	1.14%
30	—RADA Electronic Industries Ltd	930,000	$11K	1.12%
31	SPNEUSDSeaSpine Holdings Corp.	541,547	$11K	1.10%
32	BUEURBurcon NutraScience Corp. (Can	3,902,823	$11K	1.08%
33	SCTLRecro Pharma, Inc.	4,269,081	$10K	0.97%
34	TLSTelos Corp.	288,181	$10K	0.97%
35	AIOTPowerFleet, Inc.	1,359,825	$10K	0.97%
36	LASRnLight, Inc.	260,000	$9K	0.93%
37	PLBYPLBY Group,Inc.	240,000	$9K	0.92%
38	VERUEURVeru, Inc.	1,127,509	$9K	0.90%
39	DZSIQDZS, Inc.	425,110	$9K	0.87%
40	—Zealand Pharma A/S (Denmark)	297,226	$9K	0.87%
41	—eMagin Corp @.78 10/9/19-10/9/	3,000,000	$9K	0.86%
42	—Resonant, Inc.	2,686,785	$9K	0.85%
43	GAIAGaia, Inc.	772,282	$8K	0.84%
44	UTIUniversal Technical Institute	1,294,575	$8K	0.83%
45	—voxeljet AG, ADR (Germany)	654,978	$8K	0.83%
46	VICRVicor Corporation	79,000	$8K	0.82%
47	KRTKarat Packaging, Inc.	400,000	$8K	0.80%
48	VMDViemed Healthcare, Inc. (Canad	1,085,000	$8K	0.77%
49	—GAN, Ltd. (London)	471,870	$8K	0.77%
50	CTRNCiti Trends, Inc.	87,208	$8K	0.75%
51	—Greenbrook TMS, Inc. (Canada)	612,147	$7K	0.73%
52	51AAmerican Public Education, Inc	253,840	$7K	0.71%
53	NMTCNeuroOne Medical Technologies	1,000,001	$7K	0.65%
54	RDCMRADCOM, Ltd. (Israel)	578,312	$6K	0.64%
55	NGSNatural Gas Services Group	591,340	$6K	0.60%
56	—Generation Bio Co.	225,599	$6K	0.60%
57	NDLSUSDNoodles & Co.	480,403	$6K	0.59%
58	ECORGBPElectroCore, Inc.	5,000,000	$6K	0.59%
59	PRNProfound Medical Corp. (U.S.)	348,939	$6K	0.56%
60	—Mudrick Capital Acquisition Co	450,301	$6K	0.55%
61	ONDSOndas Holding, Inc.	700,000	$6K	0.55%
62	—Misonix, Inc.	249,239	$6K	0.55%
63	—INVO Bioscience, Inc.	1,159,075	$5K	0.53%
64	EGLXEnthusiast Gaming Holdings	897,100	$5K	0.53%
65	AEHRAehr Test Systems	1,898,534	$5K	0.52%
66	CDNACareDx, Inc.	57,000	$5K	0.51%
67	SPROSpero Therapeutics, Inc.	372,755	$5K	0.51%
68	—Ideal Power @2.32 11/13/24 9.9	439,180	$5K	0.47%
69	FRG1EURFranchise Group, Inc.	131,912	$5K	0.46%
70	MOVEMovano, Inc.	900,000	$5K	0.45%
71	SIENUSDSientra, Inc.	527,674	$4K	0.41%
72	NUVBNuvation Bio, Inc.	446,024	$4K	0.41%
73	—Roth Ch Acquisition II Co. (Re	400,000	$4K	0.39%
74	ATOMAtomera Incorporated	183,000	$4K	0.39%
75	—eMagin Corporation	1,120,887	$4K	0.39%
76	—Oncocyte Corp.	667,000	$4K	0.38%
77	CMPSCompass Pathways PLC (Great B	100,000	$4K	0.38%
78	ONEWOneWater Marine, Inc. - CL A	77,970	$3K	0.32%
79	OPKOPKO Health, Inc.	800,000	$3K	0.32%
80	—Ideal Power @.001 (pre-funded)	253,830	$3K	0.32%
81	—Roth Ch Acquisition II Co.	313,322	$3K	0.31%
82	ETONEton Pharmaceuticals, Inc.	500,000	$3K	0.30%
83	—Motorsports Games, Inc.	219,341	$3K	0.30%
84	—Medicenna Therapeutics Corp.	1,000,000	$3K	0.30%
85	QUIKQuickLogic Corporation	415,230	$3K	0.30%
86	—Ideal Power, Inc.	235,271	$3K	0.30%
87	PGNYProgyny, Inc.	50,000	$3K	0.29%
88	POLWQ1847 Goedeker, Inc 5/26/22-12/	1,333,000	$3K	0.28%
89	RETAEURReata Pharmaceuticals, Inc.	20,000	$3K	0.28%
90	NEONNeonode, Inc.	456,120	$3K	0.28%
91	—Sigma Labs, Inc.	697,785	$3K	0.27%
92	—Blue Apron Holdings, Inc.	625,000	$3K	0.26%
93	BLINBridgeline Digital, Inc.	600,000	$3K	0.25%
94	IPA1GBPImmunoPrecise Antibodies, Ltd.	398,145	$2K	0.24%
95	TKNOAlpha Teknova, Inc.	100,000	$2K	0.23%
96	ITIEURIteris, Inc.	355,359	$2K	0.23%
97	—eMagin Corporation @2.45 5/24/	1,625,000	$2K	0.23%
98	UGROurban-gro, Inc.	251,889	$2K	0.23%
99	RUNSunrun, Inc.	40,000	$2K	0.22%
100	CLSKCleanSpark, Inc.	134,000	$2K	0.22%

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