AWM Investment Company, Inc. Q4 2022 Filing
Filed February 14, 2023
Portfolio Value
$693.5M
Holdings
121
Report Date
Q4 2022
Filing Type
13F-HR
All Holdings (121 positions)
| # | Stock | Shares | Value | % Portfolio | Type |
|---|---|---|---|---|---|
| 1 | —Sonendo, Inc. | 344,632 | $975K | 0.14% | |
| 2 | RUNSunrun, Inc. | 40,000 | $960K | 0.14% | |
| 3 | —eMagin Corporation | 1,119,887 | $951K | 0.14% | |
| 4 | —LiqTech International, Inc. (D | 2,430,141 | $923K | 0.13% | |
| 5 | BLFSBioLife Solutions, Inc. | 50,000 | $910K | 0.13% | |
| 6 | VMDViemed Healthcare, Inc. (US) | 113,230 | $856K | 0.12% | |
| 7 | RKLBRocket Lab USA, Inc. | 201,000 | $757K | 0.11% | |
| 8 | QTM1EURQuantum Corp. | 657,280 | $716K | 0.10% | |
| 9 | FTCIFTC Solar, Inc. | 259,700 | $695K | 0.10% | |
| 10 | VORVor BioPharma, Inc. | 100,000 | $665K | 0.10% | |
| 11 | —eMagin Corp @.78 10/9/19-10/9/ | 3,000,000 | $660K | 0.10% | |
| 12 | NMTCNeuroOne Medical Technologies | 550,000 | $660K | 0.10% | |
| 13 | PRQRProQR Therapeutics BV (Netherl | 166,667 | $616K | 0.09% | |
| 14 | 51AAmerican Public Education, Inc | 50,070 | $615K | 0.09% | |
| 15 | CDNACareDx, Inc. | 50,000 | $570K | 0.08% | |
| 16 | WAVEEco Wave Power Global AB (Swe | 170,821 | $508K | 0.07% | |
| 17 | —Applied DNA Sciences, Inc. @4 | 975,000 | $508K | 0.07% | |
| 18 | EGLXEnthusiast Gaming Holdings, In | 897,100 | $490K | 0.07% | |
| 19 | —VIQ Solutions, Inc. (Canada) | 1,784,067 | $468K | 0.07% | |
| 20 | —NeuroOne Medical @1.75 1/14/26 | 3,000,000 | $450K | 0.06% | |
| 21 | NEONNeonode, Inc. | 78,200 | $430K | 0.06% | |
| 22 | MOBMobilicom Limited (Australia) | 426,656 | $413K | 0.06% | |
| 23 | LVLULulu's Fashion Lounge Holdings | 150,232 | $377K | 0.05% | |
| 24 | —Minerva Surgical, Inc. | 1,668,572 | $372K | 0.05% | |
| 25 | —Accelerate Diagnostics, Inc. | 473,150 | $334K | 0.05% | |
| 26 | BLINBridgeline Digital, Inc. | 300,000 | $315K | 0.05% | |
| 27 | —Sigma Labs, Inc. | 697,785 | $279K | 0.04% | |
| 28 | —INVO Bioscience, Inc. | 623,860 | $271K | 0.04% | |
| 29 | DDIDoubleDown Interactive Co Ltd( | 31,051 | $262K | 0.04% | |
| 30 | —NanoVibronix, Inc. | 901,069 | $225K | 0.03% | |
| 31 | —Medicenna Therapeutics Corp. ( | 459,000 | $215K | 0.03% | |
| 32 | SERASera Prognostics, Inc. | 171,640 | $211K | 0.03% | |
| 33 | —Ideal Power @8.90 8/5/25 9.99 | 39,366 | $146K | 0.02% | |
| 34 | —Greenbrook TMS, Inc. (Canada) | 71,768 | $144K | 0.02% | |
| 35 | POLWQPolished.com, Inc. 5/26/22-6/2 | 1,689,700 | $135K | 0.02% | |
| 36 | BITFBitfarms, Ltd. of Canada | 263,089 | $115K | 0.02% | |
| 37 | —Medicenna Therapeutics, Corp. | 1,330,000 | $106K | 0.02% | |
| 38 | —LiveVox Holdings, Inc. | 25,612 | $76K | 0.01% | |
| 39 | MOBBWMobilicom Ltd. @11.5 8/31/27 A | 363,100 | $39K | 0.01% | |
| 40 | —Qualtek Services, Inc.-A Wt @1 | 50,000 | $2K | 0.00% | |
| 41 | SPROSpero Therapeutics, Inc. | 1,300,400 | $0 | 0.00% | |
| 42 | MOVEMovano, Inc. | 900,000 | $0 | 0.00% | |
| 43 | UGROurban-gro, Inc. | 837,248 | $0 | 0.00% | |
| 44 | —Synchronoss Technologies, Inc. | 3,160,270 | $0 | 0.00% | |
| 45 | KIDSOrthoPediatrics Corporation | 395,658 | $0 | 0.00% | |
| 46 | NGSNatural Gas Services Group, In | 769,233 | $0 | 0.00% | |
| 47 | RGENRepligen Corporation | 100,000 | $0 | 0.00% | |
| 48 | NDLSUSDNoodles & Co. | 661,444 | $0 | 0.00% | |
| 49 | FRG1EURFranchise Group, Inc. | 131,912 | $0 | 0.00% | |
| 50 | LEGHLegacy Housing Corp. | 81,846 | $0 | 0.00% | |
| 51 | RDCMRADCOM, Ltd. (Israel) | 623,535 | $0 | 0.00% | |
| 52 | TAUSDTravelCenters of America LLC | 655,307 | $0 | 0.00% | |
| 53 | RSVRReservior Media, Inc. | 609,894 | $0 | 0.00% | |
| 54 | CTRNCiti Trends, Inc. | 167,028 | $0 | 0.00% | |
| 55 | SPNEUSDSeaSpine Holdings Corp. | 1,102,150 | $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 | SSTIShotspotter, Inc. | 107,438 | $0 | 0.00% | |
| 59 | JOBGee Group, Inc. | 2,285,192 | $0 | 0.00% | |
| 60 | —OncoCyte Corporation | 7,254,222 | $0 | 0.00% | |
| 61 | CNTCentury Casinos, Inc. | 1,644,037 | $0 | 0.00% | |
| 62 | CNCEEURConcert Pharmaceuticals, Inc. | 666,661 | $0 | 0.00% | |
| 63 | BLUBellus Health, Inc. (Canada) | 380,000 | $0 | 0.00% | |
| 64 | UTIUniversal Technical Institute, | 1,115,688 | $0 | 0.00% | |
| 65 | LTRXLantronix, Inc. | 761,933 | $0 | 0.00% | |
| 66 | QUIKQuickLogic Corporation | 415,230 | $0 | 0.00% | |
| 67 | PFIEEURProfire Energy, Inc. | 2,078,575 | $0 | 0.00% | |
| 68 | OPKOPKO Health, Inc. | 1,000,000 | $0 | 0.00% | |
| 69 | LOVELovesac Company, The | 392,096 | $0 | 0.00% | |
| 70 | AMSCAmerican Superconductor Corpor | 2,536,283 | $0 | 0.00% | |
| 71 | —NeoGames S.A. (Luxembourg) | 226,500 | $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 | 1,999,856 | $0 | 0.00% | |
| 75 | —Ideal Power, Inc. | 168,520 | $0 | 0.00% | |
| 76 | AIOTPowerFleet, Inc. | 1,579,956 | $0 | 0.00% | |
| 77 | DHXDHI Group, Inc. | 581,000 | $0 | 0.00% | |
| 78 | —Ocean Power Technologies @3.85 | 464,280 | $0 | 0.00% | |
| 79 | —eMagin Corporation @1.55 1/29/ | 890,000 | $0 | 0.00% | |
| 80 | OOMAOoma, Inc. | 1,409,948 | $0 | 0.00% | |
| 81 | JPXAerovironment, Inc. | 40,208 | $0 | 0.00% | |
| 82 | VERUEURVeru, Inc. | 290,000 | $0 | 0.00% | |
| 83 | APDNApplied DNA Sciences, Inc. | 720,942 | $0 | 0.00% | |
| 84 | LASRnLight, Inc. | 549,635 | $0 | 0.00% | |
| 85 | PFSWUSDPfsweb, Inc. | 2,054,155 | $0 | 0.00% | |
| 86 | VICRVicor Corporation | 92,731 | $0 | 0.00% | |
| 87 | —Edgio, Inc. | 930,735 | $0 | 0.00% | |
| 88 | SMMTSummit Therapeutics, Inc. | 300,000 | $0 | 0.00% | |
| 89 | GAIAGaia, Inc. | 879,375 | $0 | 0.00% | |
| 90 | ASPNAspen Aerogels, Inc. | 1,300,000 | $0 | 0.00% | |
| 91 | PRTCPureTech Health PLC-ADR (Brita | 70,000 | $0 | 0.00% | |
| 92 | LPSNUSDLivePerson, Inc. | 885,577 | $0 | 0.00% | |
| 93 | KRTKarat Packaging, Inc. | 136,789 | $0 | 0.00% | |
| 94 | —voxeljet AG, ADR (Germany) | 1,716,903 | $0 | 0.00% | |
| 95 | —The Real Good Food Company, In | 360,267 | $0 | 0.00% | |
| 96 | NNDMNano Dimension, Ltd. ADR (Isra | 563,126 | $0 | 0.00% | |
| 97 | USIOUsio,Inc. | 1,153,761 | $0 | 0.00% | |
| 98 | PIImpinj, Inc. | 373,354 | $0 | 0.00% | |
| 99 | —Ideal Power @.001 (pre-funded) | 253,830 | $0 | 0.00% | |
| 100 | TBCHTurtle Beach Corporation | 633,455 | $0 | 0.00% |
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