AWM Investment Company, Inc. Q3 2023 Filing
Filed November 14, 2023
Portfolio Value
$677.5M
Holdings
108
Report Date
Q3 2023
Filing Type
13F-HR
All Holdings (108 positions)
| # | Stock | Shares | Value | % Portfolio | Type |
|---|---|---|---|---|---|
| 1 | APDNApplied DNA Sciences, Inc. | 808,805 | $994K | 0.15% | |
| 2 | —Shapeways Holdings, Inc. | 310,037 | $992K | 0.15% | |
| 3 | —LiqTech International, Inc. | 250,000 | $967K | 0.14% | |
| 4 | JOBGee Group, Inc. | 1,600,096 | $946K | 0.14% | |
| 5 | RKLBRocket Lab USA, Inc. | 202,000 | $884K | 0.13% | |
| 6 | 51AAmerican Public Education, Inc | 169,370 | $843K | 0.12% | |
| 7 | —BlackSky Tech R/R @2.2002 9/8/ | 2,785,671 | $752K | 0.11% | |
| 8 | —Clene Inc @1.50 6/16/30 (60day | 5,000,000 | $650K | 0.10% | |
| 9 | XTNTXtant Medical Holdings, Inc. | 468,680 | $515K | 0.08% | |
| 10 | GOSSGossamer Bio, Inc. | 613,028 | $510K | 0.08% | |
| 11 | CRNXCrinetics Pharmaceuticals, Inc | 15,000 | $446K | 0.07% | |
| 12 | MOBMobilicom Limited (Australia) | 326,656 | $424K | 0.06% | |
| 13 | SPROSpero Therapeutics, Inc. | 333,400 | $403K | 0.06% | |
| 14 | LVLULulu's Fashion Lounge Holdings | 200,000 | $402K | 0.06% | |
| 15 | PRPLPurple Innovation, Inc. | 230,000 | $393K | 0.06% | |
| 16 | —Clene Inc. @1.10 6/16/26 (60da | 5,000,000 | $350K | 0.05% | |
| 17 | EGLXEnthusiast Gaming Holdings,Inc | 897,100 | $307K | 0.05% | |
| 18 | AKTSQAkoustis Technologies, Inc. | 390,000 | $293K | 0.04% | |
| 19 | —Forza X1,Inc. | 334,410 | $267K | 0.04% | |
| 20 | BITFBitfarms, Ltd. (Canada) - U.S. | 192,989 | $206K | 0.03% | |
| 21 | —Applied DNA Sciences, Inc. @4 | 500,000 | $125K | 0.02% | |
| 22 | —Movano, Inc. wts @ 1.57 exp. 1 | 357,143 | $107K | 0.02% | |
| 23 | —Ideal Power @8.90 8/5/25 9.99 | 39,366 | $80K | 0.01% | |
| 24 | —VIQ Solutions @1.39 1/21/23-7/ | 1,700,000 | $68K | 0.01% | |
| 25 | —Sigma Additive Solutions, Inc. | 19,999 | $61K | 0.01% | |
| 26 | MOBBWMobilicom Ltd. @5.00 8/31/27 A | 363,100 | $58K | 0.01% | |
| 27 | —Medicenna Therapeutics, Corp.@ | 1,330,000 | $39K | 0.01% | |
| 28 | —INVO Bioscience, Inc. | 32,000 | $25K | 0.00% | |
| 29 | —ReShape Lifesc @8=1.5cs or $0 | 90,000 | $22K | 0.00% | |
| 30 | —OncoCyte Corp @1.53 4/19/27 4 | 3,752,345 | $7K | 0.00% | |
| 31 | —eMagin Corporation | 689,665 | $0 | 0.00% | |
| 32 | BLZEBackblaze, Inc. | 1,067,370 | $0 | 0.00% | |
| 33 | —Turtle Beach Corp. @0 pre-fund | 550,000 | $0 | 0.00% | |
| 34 | PPHMEURAvid Bioservices, Inc. | 999,926 | $0 | 0.00% | |
| 35 | ARGXargenx SE - ADR (Netherlands) | 30,000 | $0 | 0.00% | |
| 36 | SCTLSocietal CDMO, Inc. | 10,266,144 | $0 | 0.00% | |
| 37 | —Gambling.com Group Ltd. | 1,038,354 | $0 | 0.00% | |
| 38 | PGNYProgyny, Inc. | 50,000 | $0 | 0.00% | |
| 39 | GENKGen Restaurant Group, Inc. | 379,299 | $0 | 0.00% | |
| 40 | VEEETwin Vee PowerCats Co. | 939,176 | $0 | 0.00% | |
| 41 | GNSSGenasys, Inc. | 5,749,544 | $0 | 0.00% | |
| 42 | DXLGDestination XL Group, Inc. | 9,399,297 | $0 | 0.00% | |
| 43 | UCTTUltra Clean Holdings, Inc. | 132,248 | $0 | 0.00% | |
| 44 | MOVEMovano, Inc. | 1,364,286 | $0 | 0.00% | |
| 45 | UTIUniversal Technical Institute | 1,123,053 | $0 | 0.00% | |
| 46 | UGROurban-gro, Inc. | 1,138,861 | $0 | 0.00% | |
| 47 | —Synchronoss Technologies, Inc. | 4,403,591 | $0 | 0.00% | |
| 48 | KIDSOrthoPediatrics Corporation | 377,276 | $0 | 0.00% | |
| 49 | TALKTalkspace, Inc. | 2,287,724 | $0 | 0.00% | |
| 50 | RGENRepligen Corporation | 100,000 | $0 | 0.00% | |
| 51 | IMVTImmunovant, Inc. | 50,000 | $0 | 0.00% | |
| 52 | NMTCNeuroOne Medical Technologies | 1,550,000 | $0 | 0.00% | |
| 53 | RDCMRADCOM, Ltd. (Israel) | 753,929 | $0 | 0.00% | |
| 54 | AVNWAviat Networks, Inc. | 123,639 | $0 | 0.00% | |
| 55 | CTRNCiti Trends, Inc. | 265,768 | $0 | 0.00% | |
| 56 | VMDViemed Healthcare, Inc. (Canad | 854,875 | $0 | 0.00% | |
| 57 | —Ideal Power @2.32 11/13/24 9.9 | 439,180 | $0 | 0.00% | |
| 58 | —OncoCyte Corporation | 719,282 | $0 | 0.00% | |
| 59 | CNTCentury Casinos, Inc. | 1,644,037 | $0 | 0.00% | |
| 60 | —ElectroCore Inc. @4.35 2/1/24 | 396,600 | $0 | 0.00% | |
| 61 | ARBEArbe Robotics, Ltd.(Israel) | 7,713,175 | $0 | 0.00% | |
| 62 | LTRXLantronix, Inc. | 761,933 | $0 | 0.00% | |
| 63 | BKSYBlackSky Technology, Inc. | 2,785,671 | $0 | 0.00% | |
| 64 | OFIXOrthofix Medical Inc. | 598,463 | $0 | 0.00% | |
| 65 | —eMagin Corp @.78 10/9/19-10/9/ | 1,947,491 | $0 | 0.00% | |
| 66 | QUIKQuickLogic Corporation | 415,230 | $0 | 0.00% | |
| 67 | —Tela Bio, Inc. | 408,346 | $0 | 0.00% | |
| 68 | PFIEEURProfire Energy, Inc. | 2,596,156 | $0 | 0.00% | |
| 69 | OPKOPKO Health, Inc. | 1,000,000 | $0 | 0.00% | |
| 70 | LOVELovesac Company, The | 516,696 | $0 | 0.00% | |
| 71 | —NeoGames S.A. (Luxembourg) | 239,533 | $0 | 0.00% | |
| 72 | LMATLeMaitre Vascular, Inc. | 230,000 | $0 | 0.00% | |
| 73 | QIPTQuipt Home Medical Corp. | 294,600 | $0 | 0.00% | |
| 74 | EMKREUREMCORE Corporation | 5,262,296 | $0 | 0.00% | |
| 75 | —Ideal Power, Inc. | 163,281 | $0 | 0.00% | |
| 76 | TCMDTactile Systems Technology,Inc | 145,000 | $0 | 0.00% | |
| 77 | TEADOutbrain, Inc. | 503,436 | $0 | 0.00% | |
| 78 | AIOTPowerFleet, Inc. | 2,974,946 | $0 | 0.00% | |
| 79 | AQMSEURAqua Metals, Inc. | 900,000 | $0 | 0.00% | |
| 80 | DHXDHI Group, Inc. | 581,000 | $0 | 0.00% | |
| 81 | SP4PAchieve Life Sciences, Inc. | 272,500 | $0 | 0.00% | |
| 82 | OOMAOoma, Inc. | 1,409,948 | $0 | 0.00% | |
| 83 | JPXAerovironment, Inc. | 65,208 | $0 | 0.00% | |
| 84 | —ElectroCore, Inc. Pre-funded @ | 500,000 | $0 | 0.00% | |
| 85 | NGSNatural Gas Services Group,Inc | 769,233 | $0 | 0.00% | |
| 86 | LASRnLight, Inc. | 490,882 | $0 | 0.00% | |
| 87 | PFSWUSDPfsweb, Inc. | 1,545,203 | $0 | 0.00% | |
| 88 | LPZBLightPath Technologies, Inc. | 1,825,000 | $0 | 0.00% | |
| 89 | VICRVicor Corporation | 204,960 | $0 | 0.00% | |
| 90 | —Kopin Corporation pre-funded @ | 6,000,000 | $0 | 0.00% | |
| 91 | —Lilium N.V. (Germany) | 2,256,225 | $0 | 0.00% | |
| 92 | CLNNEURClene Inc. | 5,000,000 | $0 | 0.00% | |
| 93 | GAIAGaia, Inc. | 1,097,865 | $0 | 0.00% | |
| 94 | ASPNAspen Aerogels, Inc. | 1,661,580 | $0 | 0.00% | |
| 95 | WPRTWestport Fuel Systems, Inc. | 383,202 | $0 | 0.00% | |
| 96 | PRTCPureTech Health PLC-ADR (Brita | 70,000 | $0 | 0.00% | |
| 97 | LPSNUSDLivePerson, Inc. | 2,084,476 | $0 | 0.00% | |
| 98 | MASS908 Devices, Inc. | 561,506 | $0 | 0.00% | |
| 99 | —The Real Good Food Company,Inc | 877,353 | $0 | 0.00% | |
| 100 | —voxeljet AG, ADR (Germany) | 1,361,393 | $0 | 0.00% |
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