AWM Investment Company, Inc. Q3 2016 Filing
Filed November 14, 2016
Portfolio Value
$545.7M
Holdings
99
Report Date
Q3 2016
Filing Type
13F-HR
All Holdings (99 positions)
| # | Stock | Shares | Value | % Portfolio | Type |
|---|---|---|---|---|---|
| 1 | CEVACEVA, Inc. | 1,107,410 | $38.8M | 7.12% | |
| 2 | —NeoPhotonics Corporation | 1,753,538 | $28.7M | 5.25% | |
| 3 | —Vitae Pharmaceuticals, Inc. | 1,062,498 | $22.2M | 4.07% | |
| 4 | VCRAUSDVocera Communications, Inc. | 1,250,000 | $21.1M | 3.87% | |
| 5 | —Brightcove, Inc. | 1,518,442 | $19.8M | 3.63% | |
| 6 | LPSNUSDLivePerson, Inc. | 2,093,078 | $17.6M | 3.23% | |
| 7 | LMATLeMaitre Vascular Inc. | 836,614 | $16.6M | 3.04% | |
| 8 | —inContact Inc. | 1,140,507 | $15.9M | 2.92% | |
| 9 | KOPNKopin Corporation | 6,619,921 | $14.4M | 2.64% | |
| 10 | PFSWUSDPfsweb, Inc. | 1,545,738 | $13.8M | 2.53% | |
| 11 | SQNSSequans Communications - ADR | 7,320,230 | $13.0M | 2.37% | |
| 12 | JPXAerovironment, Inc. | 484,822 | $11.8M | 2.17% | |
| 13 | AQMSEURAqua Metals, Inc. | 1,272,250 | $11.3M | 2.07% | |
| 14 | —CoLucid Pharmaceuticals, Inc. | 288,919 | $11.0M | 2.02% | |
| 15 | UCTTUltra Clean Holdings, Inc. | 1,472,701 | $10.9M | 2.00% | |
| 16 | TCMDTactile Systems Technology | 550,000 | $10.3M | 1.88% | |
| 17 | —Aratana Therapeutics, Inc. | 1,005,000 | $9.4M | 1.72% | |
| 18 | —DSP Group, Inc. | 743,639 | $8.9M | 1.64% | |
| 19 | AMSCAmerican Superconductor, Corp. | 1,246,576 | $8.7M | 1.60% | |
| 20 | —Ideal Power, Inc. | 1,681,935 | $8.7M | 1.59% | |
| 21 | —Pfenex, Inc. | 938,042 | $8.4M | 1.54% | |
| 22 | PIImpinj, Inc. | 220,623 | $8.3M | 1.51% | |
| 23 | —LRAD Corporation | 4,192,710 | $7.8M | 1.44% | |
| 24 | ALDXAldeyra Therapeutics, Inc. | 917,810 | $7.2M | 1.32% | |
| 25 | NLSTNetlist, Inc. | 5,680,928 | $7.0M | 1.29% | |
| 26 | ATOMAtomera Incorporated | 852,985 | $6.7M | 1.22% | |
| 27 | TREELendingTree, Inc. | 68,000 | $6.6M | 1.21% | |
| 28 | —Broadwind Energy, Inc. | 1,450,009 | $6.4M | 1.17% | |
| 29 | MXLMaxLinear, Inc. | 300,000 | $6.1M | 1.11% | |
| 30 | —Revolution Lighting Technologi | 950,000 | $6.0M | 1.10% | |
| 31 | —IZEA Inc. | 1,018,216 | $6.0M | 1.10% | |
| 32 | —MCBC Holdings, Inc. | 484,441 | $5.5M | 1.01% | |
| 33 | —Neonode, Inc. | 4,410,539 | $5.0M | 0.92% | |
| 34 | —ESSA Pharma Inc. | 1,696,968 | $4.8M | 0.88% | |
| 35 | —TearLab Corp. (F4) | 7,277,250 | $4.7M | 0.87% | |
| 36 | —Loxo Oncology, Inc. | 180,000 | $4.7M | 0.86% | |
| 37 | —MoSys, Inc. | 5,822,957 | $4.4M | 0.80% | |
| 38 | —Bazaarvoice Inc. | 738,991 | $4.4M | 0.80% | |
| 39 | —Manitex Int'l Inc. | 781,362 | $4.3M | 0.79% | |
| 40 | ASCArdmore Shipping Corp. (Irelan | 604,110 | $4.3M | 0.78% | |
| 41 | —Five Prime Therapeutics, Inc. | 80,000 | $4.2M | 0.77% | |
| 42 | WCPCPI Aerostructures, Inc. | 603,068 | $4.2M | 0.77% | |
| 43 | —ChannelAdvisor, Corp. | 318,465 | $4.1M | 0.75% | |
| 44 | INFUInfusystem Holdings, Inc. | 1,413,494 | $3.9M | 0.72% | |
| 45 | OPKOpko Health Inc. | 350,000 | $3.7M | 0.68% | |
| 46 | —Boingo Wireless, Inc. | 355,026 | $3.6M | 0.67% | |
| 47 | CTRNCiti Trends, Inc. | 182,707 | $3.6M | 0.67% | |
| 48 | RGENRepligen Corporation | 120,000 | $3.6M | 0.66% | |
| 49 | —SeaChange International, Inc. | 1,153,677 | $3.4M | 0.63% | |
| 50 | —Earthstone Energy, Inc. | 397,834 | $3.4M | 0.63% | |
| 51 | IDNIntellicheck Mobilisa, Inc. | 1,985,022 | $3.4M | 0.63% | |
| 52 | EXTRExtreme Networks, Inc. | 701,566 | $3.1M | 0.58% | |
| 53 | —Trillium Therapeutics Corp. | 209,177 | $3.1M | 0.57% | |
| 54 | DMRCDigimarc Corporation | 80,000 | $3.1M | 0.56% | |
| 55 | SRTSSensus Healthcare, Inc | 491,938 | $3.0M | 0.55% | |
| 56 | —Cidara Therapeutics Inc. | 262,655 | $3.0M | 0.55% | |
| 57 | WATTEnergous Corporation | 149,800 | $2.9M | 0.54% | |
| 58 | IMMRImmersion Corporation | 336,734 | $2.7M | 0.50% | |
| 59 | —SharpSpring, Inc. | 530,734 | $2.7M | 0.50% | |
| 60 | —Streamline Health Solutions | 1,438,334 | $2.6M | 0.49% | |
| 61 | AEHRAehr Test Systems (Restricted) | 1,050,000 | $2.6M | 0.47% | |
| 62 | NVEEUSDNV5 Global Inc. | 77,500 | $2.5M | 0.46% | |
| 63 | CVVCVD Equipment Corporation | 288,700 | $2.4M | 0.44% | |
| 64 | QNSTQuinStreet, Inc. | 739,917 | $2.2M | 0.41% | |
| 65 | —Invuity, Inc. | 150,000 | $2.1M | 0.38% | |
| 66 | —BioTelemetry, Inc. | 109,189 | $2.0M | 0.37% | |
| 67 | ITIEURIteris, Inc. | 535,369 | $1.9M | 0.36% | |
| 68 | —Avinger, Inc. | 390,790 | $1.9M | 0.34% | |
| 69 | XELBUSDXCel Brands Inc. | 360,000 | $1.8M | 0.33% | |
| 70 | VSTMVerastem, Inc. | 1,275,323 | $1.7M | 0.31% | |
| 71 | —Presbia, PLC (Ireland) | 358,249 | $1.7M | 0.31% | |
| 72 | —PC-Tel, Inc. | 316,403 | $1.7M | 0.31% | |
| 73 | RDCMRADCOM Ltd. | 82,000 | $1.7M | 0.31% | |
| 74 | —Castlight Health, Inc. | 400,000 | $1.7M | 0.30% | |
| 75 | —ARI Network Services, Inc. | 300,000 | $1.3M | 0.24% | |
| 76 | ARDXArdelyx, Inc. | 100,000 | $1.3M | 0.24% | |
| 77 | —Determine, Inc. | 716,220 | $1.3M | 0.24% | |
| 78 | —NTN Buzztime, Inc. | 181,650 | $1.2M | 0.23% | |
| 79 | —ParkerVision, Inc. | 264,072 | $1.1M | 0.21% | |
| 80 | —Corium International Inc. | 198,511 | $1.1M | 0.20% | |
| 81 | CNCEEURConcert Pharmaceuticals, Inc. | 100,000 | $1.0M | 0.19% | |
| 82 | —Trevena, Inc. | 143,904 | $971K | 0.18% | |
| 83 | —Xplore Technologies, Corp. | 368,902 | $885K | 0.16% | |
| 84 | CLSDUSDClearside Biomedical, Inc. | 50,000 | $867K | 0.16% | |
| 85 | IRMDiRadimed Corporation | 47,119 | $801K | 0.15% | |
| 86 | CPHCipher Pharmaceuticals, Inc. | 185,300 | $708K | 0.13% | |
| 87 | —Xactly Corporation | 46,928 | $691K | 0.13% | |
| 88 | SAIASaia, Inc. | 22,500 | $674K | 0.12% | |
| 89 | —Syros Pharmaceuticals, Inc. | 47,550 | $660K | 0.12% | |
| 90 | —Sensus Healthcare, Inc @6.75 6 | 494,939 | $634K | 0.12% | |
| 91 | —Health Insurance Innovations | 120,000 | $630K | 0.12% | |
| 92 | —Aptevo Therapeutics, Inc. | 207,000 | $530K | 0.10% | |
| 93 | —Turtle Beach Corporation | 400,000 | $524K | 0.10% | |
| 94 | —Rand logistics Inc. | 647,235 | $485K | 0.09% | |
| 95 | SCYXEURSCYNEXIS, Inc. | 125,000 | $484K | 0.09% | |
| 96 | —OvaScience, Inc. | 50,000 | $358K | 0.07% | |
| 97 | —Support.com, Inc. | 271,753 | $228K | 0.04% | |
| 98 | —EyeGate Pharmaceuticals @10.62 | 137,092 | $48K | 0.01% | |
| 99 | —Cellectar Biosciences @4.68 8/ | 106,600 | $27K | 0.00% |