AWM Investment Company, Inc. Q3 2020 Filing
Filed November 13, 2020
Portfolio Value
$610.5M
Holdings
86
Report Date
Q3 2020
Filing Type
13F-HR
All Holdings (86 positions)
| # | Stock | Shares | Value | % Portfolio | Type |
|---|---|---|---|---|---|
| 1 | GNSSGenasys Incorporated | 4,699,959 | $28.9M | 4.73% | |
| 2 | INFUInfusystem Holdings, Inc. | 2,000,000 | $25.6M | 4.20% | |
| 3 | ARGXargenx SE - ADR (Netherlands) | 80,000 | $21.0M | 3.44% | |
| 4 | OPRXOptimizeRx Corporation | 908,382 | $18.9M | 3.10% | |
| 5 | LPSNUSDLivePerson, Inc. | 360,000 | $18.7M | 3.07% | |
| 6 | AMSCAmerican Superconductor Corpor | 1,220,814 | $17.7M | 2.90% | |
| 7 | —LiqTech International, Inc.(De | 2,043,290 | $17.3M | 2.83% | |
| 8 | QSequans Communications S.A. AD | 2,808,816 | $16.8M | 2.75% | |
| 9 | CEVACEVA, Inc. | 382,268 | $15.1M | 2.47% | |
| 10 | RGENRepligen Corporation | 100,000 | $14.8M | 2.42% | |
| 11 | OOMAOoma,Inc. | 1,106,165 | $14.4M | 2.36% | |
| 12 | KIDSOrthoPediatrics Corporation | 303,221 | $13.9M | 2.28% | |
| 13 | PFSWUSDPfsweb, Inc. | 2,014,916 | $13.5M | 2.21% | |
| 14 | TAUSDTravelCenters of America LLC | 674,800 | $13.2M | 2.16% | |
| 15 | PIImpinj, Inc. | 451,377 | $11.9M | 1.95% | |
| 16 | —NeoPhotonics Corporation | 1,920,722 | $11.7M | 1.92% | |
| 17 | —Limelight Networks, Inc. | 2,023,688 | $11.7M | 1.91% | |
| 18 | LOVELovesac Company, The | 420,219 | $11.6M | 1.91% | |
| 19 | CELHCelsius Holdings, Inc. | 500,000 | $11.4M | 1.86% | |
| 20 | —Zealand Pharma A/S (Denmark) | 297,226 | $11.3M | 1.85% | |
| 21 | —SharpSpring, Inc. | 954,408 | $10.6M | 1.74% | |
| 22 | —Turtle Beach Corp. @0 pre-fund | 550,000 | $10.0M | 1.64% | |
| 23 | TBCHTurtle Beach Corporation | 545,543 | $9.9M | 1.63% | |
| 24 | —Resonant, Inc. | 4,169,213 | $9.9M | 1.63% | |
| 25 | VMDViemed Healthcare, Inc. (Canad | 1,085,000 | $9.4M | 1.54% | |
| 26 | MRAMEverspin Technology, Inc. | 1,602,319 | $9.1M | 1.49% | |
| 27 | —Vivint Solar, Inc. | 210,000 | $8.9M | 1.46% | |
| 28 | CNTCentury Casinos, Inc. | 1,500,000 | $8.2M | 1.35% | |
| 29 | KOPNKopin Corporation | 5,551,344 | $7.7M | 1.25% | |
| 30 | GAIAGaia, Inc. | 772,282 | $7.6M | 1.24% | |
| 31 | LMATLeMaitre Vascular Inc. | 230,000 | $7.5M | 1.23% | |
| 32 | CTRNCiti Trends, Inc. | 285,342 | $7.1M | 1.17% | |
| 33 | —Exicure, Inc. | 4,042,200 | $7.1M | 1.16% | |
| 34 | ATOMAtomera Incorporated | 669,051 | $7.0M | 1.15% | |
| 35 | UCTTUltra Clean Holdings, Inc. | 306,000 | $6.6M | 1.08% | |
| 36 | —Pacific Ethanol, Inc. | 888,800 | $6.5M | 1.06% | |
| 37 | SPNEUSDSeaSpine Holdings Corp. | 440,729 | $6.3M | 1.03% | |
| 38 | VICRVicor Corporation | 79,500 | $6.2M | 1.01% | |
| 39 | PRNProfound Medical Corp. (U.S.) | 348,939 | $6.2M | 1.01% | |
| 40 | PPHMEURAvid Bioservices, Inc. | 793,000 | $6.0M | 0.99% | |
| 41 | —RADA Electronic Industries,Ltd | 1,000,000 | $5.9M | 0.97% | |
| 42 | GFFGriffon Corp. | 300,000 | $5.9M | 0.96% | |
| 43 | ONEWOneWater Marine, Inc. - CL A | 275,000 | $5.6M | 0.92% | |
| 44 | SPROSpero Therapeutics, Inc. | 498,755 | $5.6M | 0.91% | |
| 45 | —GAN, Ltd. (London) | 323,180 | $5.5M | 0.89% | |
| 46 | RDCMRADCOM, Ltd. (Israel) | 578,312 | $5.4M | 0.89% | |
| 47 | WPRTWestport Fuel Systems, Inc. | 3,082,047 | $5.0M | 0.82% | |
| 48 | ETONEton Pharmaceuticals, Inc. | 621,681 | $4.9M | 0.80% | |
| 49 | —voxeljet AG, ADR (Germany) | 561,978 | $4.8M | 0.78% | |
| 50 | —Medicenna Therapeutics Corp. C | 1,000,000 | $4.1M | 0.67% | |
| 51 | NGSNatural Gas Services Group, In | 478,824 | $4.0M | 0.66% | |
| 52 | —Soleno Therapeutics, Inc. | 1,550,000 | $3.9M | 0.64% | |
| 53 | NEONNeonode, Inc. | 478,120 | $3.8M | 0.62% | |
| 54 | —Mohawk Group Holdings, Inc. | 436,937 | $3.6M | 0.59% | |
| 55 | —eMagin Corporation | 2,805,512 | $3.6M | 0.58% | |
| 56 | —Sonim Technologies, Inc. | 4,504,376 | $3.5M | 0.57% | |
| 57 | FRG1EURFranchise Group, Inc. | 131,912 | $3.3M | 0.55% | |
| 58 | NDLSUSDNoodles & Co. | 440,548 | $3.0M | 0.50% | |
| 59 | OPKOPKO Health, Inc. | 800,000 | $3.0M | 0.48% | |
| 60 | QUIKQuickLogic Corporation | 882,119 | $2.7M | 0.45% | |
| 61 | JYNTThe Joint Corp. | 152,181 | $2.6M | 0.43% | |
| 62 | AEHRAehr Test Systems | 1,898,534 | $2.6M | 0.43% | |
| 63 | —Boingo Wireless, Inc. | 250,316 | $2.6M | 0.42% | |
| 64 | CDNACareDx, Inc. | 65,700 | $2.5M | 0.41% | |
| 65 | KRMDRepro-Med Systems, Inc. | 342,368 | $2.5M | 0.40% | |
| 66 | —eMagin Corp @.78 10/9/19-10/9/ | 3,000,000 | $2.5M | 0.40% | |
| 67 | —Misonix,Inc. | 208,336 | $2.4M | 0.40% | |
| 68 | —BioTelemetry, Inc. | 48,500 | $2.2M | 0.36% | |
| 69 | —Health Science Acquisitions Co | 200,000 | $2.2M | 0.36% | |
| 70 | —Ideal Power @2.32 11/13/24 9.9 | 439,180 | $2.1M | 0.34% | |
| 71 | RETAEURReata Pharmaceuticals, Inc. | 20,000 | $1.9M | 0.32% | |
| 72 | —Ideal Power, Inc. | 284,793 | $1.8M | 0.29% | |
| 73 | AQMSEURAqua Metals, Inc. | 1,868,907 | $1.7M | 0.28% | |
| 74 | TCMDTactile Systems Technology, In | 43,560 | $1.6M | 0.26% | |
| 75 | —Ideal Power @.001 (pre-funded) | 253,830 | $1.6M | 0.26% | |
| 76 | ITIEURIteris, Inc. | 355,359 | $1.5M | 0.24% | |
| 77 | —Genocea Biosciences, Inc. | 532,516 | $1.2M | 0.20% | |
| 78 | —Verb Technology Company, Inc. | 1,024,896 | $1.1M | 0.18% | |
| 79 | AIOTPowerfleet, Inc. | 190,000 | $1.1M | 0.18% | |
| 80 | VERUEURVeru,Inc. | 400,000 | $1.0M | 0.17% | |
| 81 | QUMUEURQumu Corporation | 200,300 | $923K | 0.15% | |
| 82 | BCBEURPrimo Water Corp. | 61,142 | $868K | 0.14% | |
| 83 | —Magal Security System, Ltd (Is | 231,618 | $859K | 0.14% | |
| 84 | IDNIntellicheck, Inc. | 125,010 | $834K | 0.14% | |
| 85 | CVVCVD Equipment Corporation | 259,414 | $794K | 0.13% | |
| 86 | —Zealand Pharma A/S ADR (Denmar | 19,981 | $759K | 0.12% | |
| 87 | —K12 Inc. | 25,000 | $658K | 0.11% | |
| 88 | —eMagin Corporation @2.45 5/24/ | 1,625,000 | $569K | 0.09% | |
| 89 | —eMagin Corporation @1.55 1/29/ | 890,000 | $409K | 0.07% | |
| 90 | —Millendo Therapeutics, Inc. | 199,000 | $324K | 0.05% | |
| 91 | EMKREUREMCORE Corp. | 79,708 | $259K | 0.04% | |
| 92 | —Ocean Power Technologies @3.85 | 714,280 | $243K | 0.04% | |
| 93 | —Ideal Power @8.90 8/5/25 9.99 | 39,366 | $100K | 0.02% |