AWM Investment Company, Inc. Q3 2021 Filing

Filed November 15, 2021

Portfolio Value

$1.0M

Holdings

119

Report Date

Q3 2021

Filing Type

13F-HR

All Holdings (119 positions)

#	Stock	Shares	Value	% Portfolio
1	DXLGDestination XL Group, Inc.	11,081,793	$68K	6.66%
2	OPRXOptimizeRx Corporation	426,143	$36K	3.58%
3	TAUSDTravelCenters of America LLC	674,800	$34K	3.30%
4	RGENRepligen Corporation	100,000	$29K	2.84%
5	PIImpinj, Inc.	492,477	$28K	2.76%
6	PPHMEURAvid Bioservices, Inc.	1,233,000	$27K	2.61%
7	PFSWUSDPfsweb, Inc.	2,035,179	$26K	2.58%
8	INFUInfusystem Holdings, Inc.	2,000,000	$26K	2.56%
9	ARGXargenx SE - ADR (Netherlands)	80,000	$24K	2.37%
10	GNSSGenasys, Inc.	4,349,544	$23K	2.21%
11	LOVELovesac Company, The	322,039	$21K	2.09%
12	LPSNUSDLivePerson, Inc.	349,900	$21K	2.02%
13	OOMAOoma, Inc.	1,106,165	$21K	2.02%
14	EMKREUREMCORE Corp.	2,680,094	$20K	1.97%
15	CNTCentury Casinos, Inc.	1,482,988	$20K	1.96%
16	KIDSOrthoPediatrics Corporation	298,221	$20K	1.92%
17	AEHRAehr Test Systems	1,365,749	$19K	1.83%
18	—NeoPhotonics Corporation	1,920,722	$17K	1.64%
19	CEVACEVA, Inc.	368,037	$16K	1.54%
20	VERUEURVeru, Inc.	1,822,078	$16K	1.53%
21	—Turtle Beach Corp. @0 pre-fund	550,000	$15K	1.50%
22	TBCHTurtle Beach Corporation	545,543	$15K	1.49%
23	QSequans Communications S.A. AD	3,202,480	$14K	1.38%
24	PLBYPLBY Group,Inc.	550,320	$13K	1.27%
25	WPRTWestport Fuel Systems, Inc.	3,832,047	$13K	1.24%
26	AMSCAmerican Superconductor Corp	854,534	$12K	1.22%
27	LMATLeMaitre Vascular, Inc.	230,000	$12K	1.20%
28	MRAMEverspin Technology, Inc.	1,878,597	$12K	1.19%
29	—Assure Holdings Corp(CND/AMR)	1,562,499	$12K	1.19%
30	—LiqTech International, Inc.	1,978,444	$11K	1.06%
31	VICRVicor Corporation	79,000	$11K	1.04%
32	UCTTUltra Clean Holdings, Inc.	246,627	$11K	1.03%
33	AIOTPowerFleet, Inc.	1,461,907	$10K	0.96%
34	—Resonant, Inc.	3,761,840	$9K	0.89%
35	—voxeljet AG, ADR (Germany)	992,778	$9K	0.89%
36	SCTLRecro Pharma, Inc.	4,269,081	$9K	0.86%
37	UTIUniversal Technical Institute	1,294,575	$9K	0.86%
38	—RADA Electronic Industries Ltd	817,071	$9K	0.85%
39	—Zealand Pharma A/S (Denmark)	297,226	$9K	0.84%
40	SPNEUSDSeaSpine Holdings Corp.	541,547	$9K	0.84%
41	—Gambling.com Group Ltd.	929,575	$8K	0.83%
42	KRTKarat Packaging, Inc.	400,000	$8K	0.83%
43	—NeoGames S.A. (Luxembourg)	226,500	$8K	0.82%
44	TLSTelos Corp.	287,181	$8K	0.80%
45	GAIAGaia, Inc.	801,236	$8K	0.75%
46	SIENUSDSientra, Inc.	1,322,284	$8K	0.74%
47	KOPNKopin Corporation	1,446,746	$7K	0.73%
48	LASRnLight, Inc.	260,000	$7K	0.72%
49	NGSNatural Gas Services Group, In	677,371	$7K	0.69%
50	—GAN, Ltd. (London)	471,870	$7K	0.69%
51	SPROSpero Therapeutics, Inc.	372,755	$7K	0.67%
52	DZSIQDZS, Inc.	549,143	$7K	0.66%
53	RDCMRADCOM, Ltd. (Israel)	578,312	$7K	0.65%
54	—Misonix, Inc.	249,239	$6K	0.62%
55	BUEURBurcon NutraScience Corp. (Can	3,902,823	$6K	0.60%
56	—Ideal Power @2.32 11/13/24 9.9	439,180	$6K	0.57%
57	NDLSUSDNoodles & Co.	480,403	$6K	0.56%
58	CTRNCiti Trends, Inc.	75,208	$5K	0.54%
59	PRNProfound Medical Corp. (U.S.)	348,939	$5K	0.50%
60	—eMagin Corp @.78 10/9/19-10/9/	3,000,000	$5K	0.49%
61	—EzFill Holdings, Inc.	1,170,232	$5K	0.47%
62	ECORGBPElectroCore, Inc.	4,149,900	$5K	0.46%
63	FRG1EURFranchise Group, Inc.	131,912	$5K	0.46%
64	—Greenbrook TMS, Inc. (Canada)	612,147	$5K	0.45%
65	ATOMAtomera Incorporated	177,034	$4K	0.40%
66	VMDViemed Healthcare, Inc.(Canada	728,833	$4K	0.40%
67	NUVBNuvation Bio, Inc.	400,000	$4K	0.39%
68	DDIDoubleDown Interactive Co. Ltd	224,976	$4K	0.39%
69	NMTCNeuroOne Medical Technologies	1,000,001	$4K	0.39%
70	—Orbital Energy Group, Inc.	1,265,669	$4K	0.38%
71	—Ideal Power @.001 (pre-funded)	253,830	$4K	0.38%
72	—INVO Bioscience, Inc.	1,159,075	$4K	0.37%
73	NEONNeonode, Inc.	367,695	$4K	0.36%
74	RSVRReservior Media, Inc.	404,319	$4K	0.36%
75	—Ideal Power, Inc.	235,271	$4K	0.35%
76	—Mudrick Capital Acquisition Co	350,301	$3K	0.34%
77	PGNYProgyny, Inc.	60,000	$3K	0.33%
78	UGROurban-gro, Inc.	251,889	$3K	0.33%
79	MOVEMovano, Inc.	900,000	$3K	0.32%
80	EGLXEnthusiast Gaming Holdings,Inc	897,100	$3K	0.32%
81	CDNACareDx, Inc.	50,000	$3K	0.31%
82	—Motorsports Games, Inc.	218,494	$3K	0.31%
83	ONEWOneWater Marine, Inc. - CL A	76,571	$3K	0.30%
84	OPKOPKO Health, Inc.	800,000	$3K	0.29%
85	SERASera Prognostics, Inc.	259,737	$3K	0.28%
86	DHXDHI Group, Inc.	601,000	$3K	0.28%
87	—Oncocyte Corp.	717,000	$3K	0.25%
88	—eMagin Corporation	1,120,887	$3K	0.25%
89	ETONEton Pharmaceuticals, Inc.	500,000	$3K	0.25%
90	BLUBellus Health, Inc.	400,000	$2K	0.24%
91	CMPSCompass Pathways PLC (Great B	80,000	$2K	0.23%
92	POLWQ1847 Goedeker, Inc 5/26/22-12/	1,333,000	$2K	0.22%
93	QUIKQuickLogic Corporation	415,230	$2K	0.22%
94	—Sigma Labs, Inc.	697,785	$2K	0.21%
95	IDNIntellicheck, Inc.	250,010	$2K	0.20%
96	CYRXCryoport, Inc.	30,000	$2K	0.20%
97	ITIEURIteris, Inc.	355,359	$2K	0.18%
98	COOThe Cooper Companies, Inc.	4,500	$2K	0.18%
99	QIPTQuipt Home Medical Corp.	294,600	$2K	0.18%
100	RUNSunrun, Inc.	40,000	$2K	0.17%

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