AWM Investment Company, Inc. Q2 2023 Filing
Filed August 11, 2023
Portfolio Value
$736.9M
Holdings
112
Report Date
Q2 2023
Filing Type
13F-HR
All Holdings (112 positions)
| # | Stock | Shares | Value | % Portfolio | Type |
|---|---|---|---|---|---|
| 1 | —Clene Inc. @1.10 6/16/26 (60da | 5,000,000 | $950K | 0.13% | |
| 2 | —LiqTech International, Inc. | 250,000 | $810K | 0.11% | |
| 3 | UGROurban-gro, Inc. | 674,080 | $795K | 0.11% | |
| 4 | 51AAmerican Public Education, Inc | 149,370 | $708K | 0.10% | |
| 5 | GRWGGrowGeneration Corp. | 200,000 | $680K | 0.09% | |
| 6 | NMTCNeuroOne Medical Technologies | 550,000 | $660K | 0.09% | |
| 7 | MOBMobilicom Limited (Australia) | 426,656 | $652K | 0.09% | |
| 8 | QUOTUSDQuotient Technology, Inc. | 150,000 | $576K | 0.08% | |
| 9 | SPROSpero Therapeutics, Inc. | 383,400 | $555K | 0.08% | |
| 10 | ETONEton Pharmaceuticals, Inc. | 158,676 | $553K | 0.08% | |
| 11 | DZSIQDZS, Inc. | 130,158 | $516K | 0.07% | |
| 12 | LVLULulu's Fashion Lounge Holdings | 200,000 | $506K | 0.07% | |
| 13 | —Forza X1,Inc. | 334,410 | $491K | 0.07% | |
| 14 | ATOMAtomera Incorporated | 55,000 | $482K | 0.07% | |
| 15 | —Medicenna Therapeutics Corp. | 1,000,000 | $479K | 0.06% | |
| 16 | EGLXEnthusiast Gaming Holdings, In | 897,100 | $446K | 0.06% | |
| 17 | BITFBitfarms, Ltd. (Canada) - U.S. | 192,989 | $283K | 0.04% | |
| 18 | —OncoCyte Corp. @1.53 4/19/27 4 | 3,752,345 | $262K | 0.04% | |
| 19 | DDIDoubleDown Interactive Co Ltd | 26,427 | $253K | 0.03% | |
| 20 | —Sigma Labs, Inc. | 697,785 | $243K | 0.03% | |
| 21 | ASNSUSDX4 Pharmaceuticals, Inc. | 100,000 | $194K | 0.03% | |
| 22 | —VIQ Solutions @1.39 1/21/23-7/ | 1,700,000 | $187K | 0.03% | |
| 23 | —Ideal Power @8.90 8/5/25 9.99 | 39,366 | $157K | 0.02% | |
| 24 | —INVO Bioscience, Inc. | 623,860 | $127K | 0.02% | |
| 25 | —Medicenna Therapeutics, Corp.@ | 1,330,000 | $119K | 0.02% | |
| 26 | —Movano, Inc. wts @ 1.57 exp. 1 | 357,143 | $107K | 0.01% | |
| 27 | —ReShape Lifesc @8=1.5cs or $0 | 90,000 | $99K | 0.01% | |
| 28 | —Applied DNA Sciences, Inc. @4 | 500,000 | $95K | 0.01% | |
| 29 | POLWQPolished.com, Inc. 5/26/22-6/2 | 1,223,700 | $79K | 0.01% | |
| 30 | MOBBWMobilicom Ltd. @5.00 8/31/27 A | 363,100 | $72K | 0.01% | |
| 31 | INFUInfusystem Holdings, Inc. | 2,000,000 | $0 | 0.00% | |
| 32 | —eMagin Corporation | 689,665 | $0 | 0.00% | |
| 33 | BLZEBackblaze, Inc. | 1,100,095 | $0 | 0.00% | |
| 34 | —Turtle Beach Corp. @0 pre-fund | 550,000 | $0 | 0.00% | |
| 35 | PPHMEURAvid Bioservices, Inc. | 982,826 | $0 | 0.00% | |
| 36 | ARGXargenx SE - ADR (Netherlands) | 45,000 | $0 | 0.00% | |
| 37 | SCTLSocietal CDMO, Inc. | 10,126,144 | $0 | 0.00% | |
| 38 | —Gambling.com Group Ltd. | 1,038,354 | $0 | 0.00% | |
| 39 | PGNYProgyny, Inc. | 50,000 | $0 | 0.00% | |
| 40 | GENKGen Restaurant Group, Inc. | 300,000 | $0 | 0.00% | |
| 41 | VEEETwin Vee PowerCats Co. | 949,062 | $0 | 0.00% | |
| 42 | GNSSGenasys, Inc. | 4,349,544 | $0 | 0.00% | |
| 43 | DXLGDestination XL Group, Inc. | 9,399,297 | $0 | 0.00% | |
| 44 | UCTTUltra Clean Holdings, Inc. | 119,188 | $0 | 0.00% | |
| 45 | MOVEMovano, Inc. | 1,364,286 | $0 | 0.00% | |
| 46 | —Synchronoss Technologies, Inc. | 3,549,180 | $0 | 0.00% | |
| 47 | KIDSOrthoPediatrics Corporation | 413,730 | $0 | 0.00% | |
| 48 | NGSNatural Gas Services Group, In | 769,233 | $0 | 0.00% | |
| 49 | —Clene Inc @1.50 6/16/30 (60day | 5,000,000 | $0 | 0.00% | |
| 50 | TALKTalkspace, Inc. | 1,177,848 | $0 | 0.00% | |
| 51 | RGENRepligen Corporation | 100,000 | $0 | 0.00% | |
| 52 | NDLSUSDNoodles & Co. | 900,444 | $0 | 0.00% | |
| 53 | FRG1EURFranchise Group, Inc. | 117,595 | $0 | 0.00% | |
| 54 | LEGHLegacy Housing Corp. | 81,846 | $0 | 0.00% | |
| 55 | RDCMRADCOM, Ltd. (Israel) | 690,307 | $0 | 0.00% | |
| 56 | AVNWAviat Networks, Inc. | 50,186 | $0 | 0.00% | |
| 57 | CTRNCiti Trends, Inc. | 257,108 | $0 | 0.00% | |
| 58 | VMDViemed Healthcare, Inc. (Canad | 854,875 | $0 | 0.00% | |
| 59 | —Ideal Power @2.32 11/13/24 9.9 | 439,180 | $0 | 0.00% | |
| 60 | JOBGee Group, Inc. | 2,285,192 | $0 | 0.00% | |
| 61 | —OncoCyte Corporation | 14,185,664 | $0 | 0.00% | |
| 62 | CNTCentury Casinos, Inc. | 1,644,037 | $0 | 0.00% | |
| 63 | ARBEArbe Robotics, Ltd.(Israel) | 7,713,175 | $0 | 0.00% | |
| 64 | UTIUniversal Technical Institute, | 1,123,053 | $0 | 0.00% | |
| 65 | LTRXLantronix, Inc. | 761,933 | $0 | 0.00% | |
| 66 | BKSYBlackSky Technology, Inc. | 2,785,671 | $0 | 0.00% | |
| 67 | OFIXOrthofix Medical Inc. | 337,382 | $0 | 0.00% | |
| 68 | —eMagin Corp @.78 10/9/19-10/9/ | 1,947,491 | $0 | 0.00% | |
| 69 | QUIKQuickLogic Corporation | 415,230 | $0 | 0.00% | |
| 70 | —Tela Bio, Inc. | 375,000 | $0 | 0.00% | |
| 71 | PFIEEURProfire Energy, Inc. | 2,240,158 | $0 | 0.00% | |
| 72 | OPKOPKO Health, Inc. | 1,000,000 | $0 | 0.00% | |
| 73 | LOVELovesac Company, The | 516,696 | $0 | 0.00% | |
| 74 | —NeoGames S.A. (Luxembourg) | 239,533 | $0 | 0.00% | |
| 75 | LMATLeMaitre Vascular, Inc. | 230,000 | $0 | 0.00% | |
| 76 | QIPTQuipt Home Medical Corp. | 294,600 | $0 | 0.00% | |
| 77 | EMKREUREMCORE Corporation | 5,262,296 | $0 | 0.00% | |
| 78 | —Ideal Power, Inc. | 163,281 | $0 | 0.00% | |
| 79 | PRPLPurple Innovation, Inc. | 525,000 | $0 | 0.00% | |
| 80 | TEADOutbrain, Inc. | 301,155 | $0 | 0.00% | |
| 81 | AIOTPowerFleet, Inc. | 2,827,538 | $0 | 0.00% | |
| 82 | RKLBRocket Lab USA, Inc. | 202,000 | $0 | 0.00% | |
| 83 | DHXDHI Group, Inc. | 581,000 | $0 | 0.00% | |
| 84 | SP4PAchieve Life Sciences, Inc. | 272,500 | $0 | 0.00% | |
| 85 | BLFSBioLife Solutions, Inc. | 50,000 | $0 | 0.00% | |
| 86 | OOMAOoma, Inc. | 1,409,948 | $0 | 0.00% | |
| 87 | JPXAerovironment, Inc. | 65,208 | $0 | 0.00% | |
| 88 | AKTSQAkoustis Technologies, Inc. | 390,000 | $0 | 0.00% | |
| 89 | APDNApplied DNA Sciences, Inc. | 809,805 | $0 | 0.00% | |
| 90 | LASRnLight, Inc. | 490,882 | $0 | 0.00% | |
| 91 | PFSWUSDPfsweb, Inc. | 1,525,000 | $0 | 0.00% | |
| 92 | VICRVicor Corporation | 132,434 | $0 | 0.00% | |
| 93 | —Kopin Corporation pre-funded @ | 6,000,000 | $0 | 0.00% | |
| 94 | CLNNEURClene Inc. | 5,000,000 | $0 | 0.00% | |
| 95 | GAIAGaia, Inc. | 739,720 | $0 | 0.00% | |
| 96 | ASPNAspen Aerogels, Inc. | 1,661,580 | $0 | 0.00% | |
| 97 | PRTCPureTech Health PLC-ADR (Brita | 70,000 | $0 | 0.00% | |
| 98 | LPSNUSDLivePerson, Inc. | 2,084,476 | $0 | 0.00% | |
| 99 | —voxeljet AG, ADR (Germany) | 1,361,393 | $0 | 0.00% | |
| 100 | —The Real Good Food Company, In | 702,145 | $0 | 0.00% |
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