AWM Investment Company, Inc. Q4 2023 Filing
Filed February 14, 2024
Portfolio Value
$760.2M
Holdings
110
Report Date
Q4 2023
Filing Type
13F-HR
All Holdings (110 positions)
| # | Stock | Shares | Value | % Portfolio | Type |
|---|---|---|---|---|---|
| 1 | ASPSAltisource Portfolio Solutions | 280,600 | $998K | 0.13% | |
| 2 | —ElectroCore Inc. @4.35 2/1/24- | 396,600 | $983K | 0.13% | |
| 3 | —LiqTech International, Inc. | 250,000 | $850K | 0.11% | |
| 4 | SLNOSoleno Therapeutics, Inc. | 20,000 | $805K | 0.11% | |
| 5 | REAXThe Real Brokerage, Inc.(Canad | 500,000 | $800K | 0.11% | |
| 6 | JOBGee Group, Inc. | 1,599,096 | $799K | 0.11% | |
| 7 | CLNNEURClene Inc. | 2,691,213 | $798K | 0.10% | |
| 8 | NVLSEURAlpine Immune Sciences, Inc. | 40,000 | $762K | 0.10% | |
| 9 | —Mama's Creations, Inc. | 154,438 | $758K | 0.10% | |
| 10 | —Shapeways Holdings, Inc. | 284,041 | $698K | 0.09% | |
| 11 | AQMSEURAqua Metals, Inc. | 900,000 | $684K | 0.09% | |
| 12 | BITFBitfarms, Ltd. (Canada) (U.S. | 192,989 | $561K | 0.07% | |
| 13 | —Clene Inc @1.50 6/16/30 (60day | 5,000,000 | $550K | 0.07% | |
| 14 | MOBMobilicom Limited (Australia) | 276,656 | $536K | 0.07% | |
| 15 | XTNTXtant Medical Holdings, Inc. | 468,680 | $529K | 0.07% | |
| 16 | —Markforged Holding Corp. | 602,310 | $493K | 0.06% | |
| 17 | SPROSpero Therapeutics, Inc. | 333,400 | $490K | 0.06% | |
| 18 | CLNEClean Energy Fuels Corp. | 101,000 | $386K | 0.05% | |
| 19 | LVLULulu's Fashion Lounge Holdings | 200,000 | $372K | 0.05% | |
| 20 | —Clene Inc. @1.10 6/16/26 (60da | 5,000,000 | $300K | 0.04% | |
| 21 | —NeuroOne Medical @1.75 1/14/26 | 3,000,000 | $180K | 0.02% | |
| 22 | MOBBWMobilicom Ltd. @5.00 8/31/27 A | 363,100 | $133K | 0.02% | |
| 23 | —Forza X1,Inc. | 239,537 | $129K | 0.02% | |
| 24 | —Ideal Power @8.90 8/5/25 9.99 | 39,366 | $46K | 0.01% | |
| 25 | —OncoCyte Corp @1.53 4/19/27 4. | 3,752,345 | $37K | 0.00% | |
| 26 | BEEMBeam Global | 907,234 | $0 | 0.00% | |
| 27 | MRAMEverspin Technology, Inc. | 2,006,241 | $0 | 0.00% | |
| 28 | NUVBNuvation Bio, Inc. | 1,350,000 | $0 | 0.00% | |
| 29 | AEHRAehr Test Systems | 1,227,883 | $0 | 0.00% | |
| 30 | QSequans Communications S.A. AD | 681,246 | $0 | 0.00% | |
| 31 | OPRXOptimizeRx Corporation | 820,042 | $0 | 0.00% | |
| 32 | ECORElectroCore, Inc. | 550,364 | $0 | 0.00% | |
| 33 | INFUInfusystem Holdings, Inc. | 2,000,000 | $0 | 0.00% | |
| 34 | BLZEBackblaze, Inc. | 1,067,370 | $0 | 0.00% | |
| 35 | —Turtle Beach Corp. @0 pre-fund | 550,000 | $0 | 0.00% | |
| 36 | PPHMEURAvid Bioservices, Inc. | 931,527 | $0 | 0.00% | |
| 37 | ARGXargenx SE - ADR (Netherlands) | 30,000 | $0 | 0.00% | |
| 38 | VMDViemed Healthcare, Inc.(Canada | 1,430,345 | $0 | 0.00% | |
| 39 | SCTLSocietal CDMO, Inc. | 7,226,414 | $0 | 0.00% | |
| 40 | —Fathom Holdings, Inc. | 1,699,964 | $0 | 0.00% | |
| 41 | —Gambling.com Group Ltd. | 1,138,354 | $0 | 0.00% | |
| 42 | PGNYProgyny, Inc. | 55,000 | $0 | 0.00% | |
| 43 | GENKGen Restaurant Group, Inc. | 214,535 | $0 | 0.00% | |
| 44 | VEEETwin Vee PowerCats Co. | 939,176 | $0 | 0.00% | |
| 45 | GNSSGenasys, Inc. | 5,749,544 | $0 | 0.00% | |
| 46 | VITLVital Farms, Inc. | 157,301 | $0 | 0.00% | |
| 47 | DXLGDestination XL Group, Inc. | 9,399,297 | $0 | 0.00% | |
| 48 | UCTTUltra Clean Holdings, Inc. | 132,248 | $0 | 0.00% | |
| 49 | MOVEMovano, Inc. | 1,364,286 | $0 | 0.00% | |
| 50 | UTIUniversal Technical Institute | 1,123,053 | $0 | 0.00% | |
| 51 | —EMCORE Corp. pre-funded @.0000 | 4,000,000 | $0 | 0.00% | |
| 52 | UGROurban-gro, Inc. | 1,075,037 | $0 | 0.00% | |
| 53 | —Synchronoss Technologies, Inc. | 489,286 | $0 | 0.00% | |
| 54 | KIDSOrthoPediatrics Corporation | 425,619 | $0 | 0.00% | |
| 55 | TALKTalkspace, Inc. | 2,860,680 | $0 | 0.00% | |
| 56 | RGENRepligen Corporation | 100,000 | $0 | 0.00% | |
| 57 | IMVTImmunovant, Inc. | 70,000 | $0 | 0.00% | |
| 58 | NMTCNeuroOne Medical Technologies | 1,450,000 | $0 | 0.00% | |
| 59 | RDCMRADCOM, Ltd. (Israel) | 795,795 | $0 | 0.00% | |
| 60 | AVNWAviat Networks, Inc. | 130,808 | $0 | 0.00% | |
| 61 | RCATRed Cat Holdings, Inc. | 5,000,000 | $0 | 0.00% | |
| 62 | CTRNCiti Trends, Inc. | 265,768 | $0 | 0.00% | |
| 63 | —Ideal Power @2.32 11/13/24 9.9 | 439,180 | $0 | 0.00% | |
| 64 | —OncoCyte Corporation | 754,286 | $0 | 0.00% | |
| 65 | CNTCentury Casinos, Inc. | 1,644,037 | $0 | 0.00% | |
| 66 | OFIXOrthofix Medical, Inc. | 474,456 | $0 | 0.00% | |
| 67 | ARBEArbe Robotics, Ltd.(Israel) | 7,713,175 | $0 | 0.00% | |
| 68 | LTRXLantronix, Inc. | 761,933 | $0 | 0.00% | |
| 69 | BKSYBlackSky Technology, Inc. | 2,785,671 | $0 | 0.00% | |
| 70 | QUIKQuickLogic Corporation | 320,021 | $0 | 0.00% | |
| 71 | —Tela Bio, Inc. | 589,963 | $0 | 0.00% | |
| 72 | PFIEEURProfire Energy, Inc. | 2,619,956 | $0 | 0.00% | |
| 73 | OPKOPKO Health, Inc. | 1,100,000 | $0 | 0.00% | |
| 74 | AMSCAmerican Superconductor Corpor | 2,228,301 | $0 | 0.00% | |
| 75 | —NeoGames S.A. (Luxembourg) | 239,533 | $0 | 0.00% | |
| 76 | LMATLeMaitre Vascular, Inc. | 230,000 | $0 | 0.00% | |
| 77 | QIPTQuipt Home Medical Corp. | 294,600 | $0 | 0.00% | |
| 78 | SERASera Prognostics, Inc. | 374,902 | $0 | 0.00% | |
| 79 | EMKREUREMCORE Corporation | 4,642,632 | $0 | 0.00% | |
| 80 | —Ideal Power, Inc. | 163,281 | $0 | 0.00% | |
| 81 | TEADOutbrain, Inc. | 301,155 | $0 | 0.00% | |
| 82 | AIOTPowerFleet, Inc. | 3,417,223 | $0 | 0.00% | |
| 83 | RKLBRocket Lab USA, Inc. | 202,000 | $0 | 0.00% | |
| 84 | DHXDHI Group, Inc. | 581,000 | $0 | 0.00% | |
| 85 | OOMAOoma, Inc. | 1,409,948 | $0 | 0.00% | |
| 86 | JPXAerovironment, Inc. | 110,326 | $0 | 0.00% | |
| 87 | VERUEURVeru, Inc. | 2,750,000 | $0 | 0.00% | |
| 88 | —ElectroCore, Inc. Pre-funded @ | 500,000 | $0 | 0.00% | |
| 89 | NGSNatural Gas Services Group,Inc | 769,233 | $0 | 0.00% | |
| 90 | LASRnLight, Inc. | 741,405 | $0 | 0.00% | |
| 91 | VICRVicor Corporation | 219,436 | $0 | 0.00% | |
| 92 | —Kopin Corporation pre-funded @ | 6,000,000 | $0 | 0.00% | |
| 93 | —Lilium N.V. (Germany) | 1,938,845 | $0 | 0.00% | |
| 94 | GAIAGaia, Inc. | 1,738,257 | $0 | 0.00% | |
| 95 | ASPNAspen Aerogels, Inc. | 2,146,428 | $0 | 0.00% | |
| 96 | WPRTWestport Fuel Systems, Inc. | 369,090 | $0 | 0.00% | |
| 97 | MASS908 Devices, Inc. | 653,468 | $0 | 0.00% | |
| 98 | LPSNUSDLivePerson, Inc. | 2,554,285 | $0 | 0.00% | |
| 99 | SRTABlade Air Mobility, Inc. | 1,388,635 | $0 | 0.00% | |
| 100 | —voxeljet AG, ADR (Germany) | 1,351,883 | $0 | 0.00% |
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