AWM Investment Company, Inc. Q4 2016 Filing
Filed February 2, 2017
Portfolio Value
$510.0M
Holdings
100
Report Date
Q4 2016
Filing Type
13F-HR
All Holdings (100 positions)
| # | Stock | Shares | Value | % Portfolio | Type |
|---|---|---|---|---|---|
| 1 | CEVACEVA, Inc. | 1,107,410 | $37.2M | 7.28% | |
| 2 | —NeoPhotonics Corporation | 1,833,538 | $19.8M | 3.89% | |
| 3 | LMATLeMaitre Vascular Inc. | 765,105 | $19.4M | 3.80% | |
| 4 | AQMSEURAqua Metals, Inc. | 1,457,524 | $19.1M | 3.75% | |
| 5 | KOPNKopin Corporation | 6,601,034 | $18.7M | 3.68% | |
| 6 | VCRAUSDVocera Communications, Inc. | 951,427 | $17.6M | 3.45% | |
| 7 | PIImpinj, Inc. | 470,623 | $16.6M | 3.26% | |
| 8 | LPSNUSDLivePerson, Inc. | 2,013,578 | $15.2M | 2.98% | |
| 9 | SQNSSequans Communications - ADR | 7,320,230 | $13.7M | 2.68% | |
| 10 | PFSWUSDPfsweb, Inc. | 1,545,738 | $13.1M | 2.58% | |
| 11 | UCTTUltra Clean Holdings, Inc. | 1,276,531 | $12.4M | 2.43% | |
| 12 | —Brightcove, Inc. | 1,473,280 | $11.9M | 2.33% | |
| 13 | —CoLucid Pharmaceuticals, Inc. | 288,919 | $10.5M | 2.06% | |
| 14 | —DSP Group, Inc. | 743,639 | $9.7M | 1.90% | |
| 15 | JPXAerovironment, Inc. | 357,434 | $9.6M | 1.88% | |
| 16 | AMSCAmerican Superconductor, Corp. | 1,246,576 | $9.2M | 1.80% | |
| 17 | TCMDTactile Systems Technology, In | 550,000 | $9.0M | 1.77% | |
| 18 | —Pfenex, Inc. | 923,107 | $8.4M | 1.64% | |
| 19 | —Microvision, Inc. | 6,124,766 | $7.7M | 1.51% | |
| 20 | KTOSKratos Defense & Security Solu | 1,000,000 | $7.4M | 1.45% | |
| 21 | —Aratana Therapeutics, Inc. | 1,005,000 | $7.2M | 1.41% | |
| 22 | CTRNCiti Trends, Inc. | 377,573 | $7.1M | 1.39% | |
| 23 | —LRAD Corporation | 3,989,757 | $6.8M | 1.34% | |
| 24 | —Neonode, Inc. | 3,666,195 | $6.7M | 1.32% | |
| 25 | —Everspin Technology, Inc. | 796,850 | $6.6M | 1.30% | |
| 26 | —MCBC Holdings, Inc. | 452,065 | $6.6M | 1.29% | |
| 27 | MXLMaxLinear, Inc. | 290,000 | $6.3M | 1.24% | |
| 28 | —Broadwind Energy, Inc. | 1,500,009 | $6.1M | 1.19% | |
| 29 | NLSTNetlist, Inc. | 5,680,928 | $5.8M | 1.14% | |
| 30 | —Loxo Oncology, Inc. | 180,000 | $5.8M | 1.13% | |
| 31 | ATOMAtomera Incorporated | 852,985 | $5.8M | 1.13% | |
| 32 | —Ideal Power, Inc. | 1,681,935 | $5.5M | 1.09% | |
| 33 | IDNIntellicheck Mobilisa, Inc. | 1,985,022 | $5.5M | 1.07% | |
| 34 | —ChannelAdvisor, Corp. | 370,914 | $5.3M | 1.04% | |
| 35 | INFUInfusystem Holdings, Inc. | 2,054,507 | $5.2M | 1.03% | |
| 36 | —Revolution Lighting Technologi | 950,000 | $5.2M | 1.02% | |
| 37 | ALDXAldeyra Therapeutics, Inc. | 912,610 | $4.9M | 0.96% | |
| 38 | TREELendingTree, Inc. | 48,000 | $4.9M | 0.95% | |
| 39 | —Earthstone Energy, Inc. | 349,000 | $4.8M | 0.94% | |
| 40 | —IZEA Inc. | 1,018,216 | $4.6M | 0.90% | |
| 41 | —Boingo Wireless, Inc. | 355,026 | $4.3M | 0.85% | |
| 42 | —Five Prime Therapeutics, Inc. | 80,000 | $4.0M | 0.79% | |
| 43 | WCPCPI Aerostructures, Inc. | 423,752 | $3.9M | 0.77% | |
| 44 | —ESSA Pharma Inc. | 1,696,968 | $3.7M | 0.73% | |
| 45 | —TearLab Corp. | 7,277,250 | $3.7M | 0.73% | |
| 46 | —Bazaarvoice Inc. | 763,991 | $3.7M | 0.73% | |
| 47 | RGENRepligen Corporation | 120,000 | $3.7M | 0.73% | |
| 48 | POLAEURPolar Power, Inc. | 393,500 | $3.5M | 0.69% | |
| 49 | WATTEnergous Corporation | 203,962 | $3.4M | 0.67% | |
| 50 | —Manitex Int'l Inc. | 487,682 | $3.3M | 0.66% | |
| 51 | OPKOpko Health Inc. | 350,000 | $3.3M | 0.64% | |
| 52 | —Cherokee Inc. | 300,000 | $3.1M | 0.62% | |
| 53 | AXGNAxoGen, Inc. | 342,106 | $3.1M | 0.60% | |
| 54 | —SharpSpring, Inc. | 530,734 | $2.8M | 0.55% | |
| 55 | —NTN Buzztime, Inc. | 324,191 | $2.8M | 0.54% | |
| 56 | —Cidara Therapeutics Inc. | 262,655 | $2.7M | 0.54% | |
| 57 | NVEEUSDNV5 Global Inc. | 77,500 | $2.6M | 0.51% | |
| 58 | SRTSSensus Healthcare, Inc | 491,938 | $2.6M | 0.50% | |
| 59 | AEHRAehr Test Systems | 1,050,000 | $2.5M | 0.50% | |
| 60 | CVVCVD Equipment Corporation | 288,700 | $2.5M | 0.49% | |
| 61 | DMRCDigimarc Corporation | 82,039 | $2.5M | 0.48% | |
| 62 | —Castlight Health, Inc. | 496,932 | $2.5M | 0.48% | |
| 63 | —BioTelemetry, Inc. | 109,189 | $2.4M | 0.48% | |
| 64 | —Enservco Corp | 3,750,000 | $2.1M | 0.41% | |
| 65 | —Trillium Therapeutics Corp. Ca | 365,327 | $2.1M | 0.40% | |
| 66 | EXTRExtreme Networks, Inc. | 398,762 | $2.0M | 0.39% | |
| 67 | ITIEURIteris, Inc. | 535,369 | $1.9M | 0.38% | |
| 68 | XELBUSDXCel Brands Inc. | 372,540 | $1.6M | 0.32% | |
| 69 | —ARI Network Services, Inc. | 300,000 | $1.6M | 0.32% | |
| 70 | —Achaogen, Inc. | 121,100 | $1.6M | 0.31% | |
| 71 | —PC-Tel, Inc. | 286,999 | $1.5M | 0.30% | |
| 72 | ARDXArdelyx, Inc. | 100,000 | $1.4M | 0.28% | |
| 73 | —Streamline Health Solutions | 1,126,739 | $1.4M | 0.27% | |
| 74 | —Determine, Inc. | 716,220 | $1.3M | 0.26% | |
| 75 | —Trevena, Inc. | 200,000 | $1.2M | 0.23% | |
| 76 | —Presbia, PLC (Ireland) | 331,307 | $1.1M | 0.22% | |
| 77 | CNCEEURConcert Pharmaceuticals, Inc. | 110,000 | $1.1M | 0.22% | |
| 78 | CLSDUSDClearside Biomedical, Inc. | 125,000 | $1.1M | 0.22% | |
| 79 | —TRACON Pharmaceuticals, Inc. | 224,153 | $1.1M | 0.22% | |
| 80 | SAIASaia, Inc. | 22,500 | $993K | 0.19% | |
| 81 | —Corium International Inc. | 200,000 | $812K | 0.16% | |
| 82 | —Xplore Technologies, Corp. | 380,621 | $769K | 0.15% | |
| 83 | —Sierra Oncology, Inc. | 500,000 | $745K | 0.15% | |
| 84 | RDCMRADCOM Ltd. | 39,000 | $694K | 0.14% | |
| 85 | CPHCipher Pharmaceuticals, Inc. | 185,300 | $676K | 0.13% | |
| 86 | —ParkerVision, Inc. | 331,062 | $609K | 0.12% | |
| 87 | —Syros Pharmaceuticals, Inc. | 47,550 | $578K | 0.11% | |
| 88 | —Turtle Beach Corporation | 400,000 | $524K | 0.10% | |
| 89 | —Xactly Corporation | 46,928 | $516K | 0.10% | |
| 90 | —Invuity, Inc. | 84,222 | $484K | 0.09% | |
| 91 | —SeaChange International, Inc. | 196,673 | $452K | 0.09% | |
| 92 | VSTMVerastem, Inc. | 377,082 | $422K | 0.08% | |
| 93 | SCYXEURSCYNEXIS, Inc. | 125,000 | $399K | 0.08% | |
| 94 | —Female Health Co. | 400,000 | $364K | 0.07% | |
| 95 | —Rand logistics Inc. | 328,835 | $273K | 0.05% | |
| 96 | —Sensus Healthcare, Inc @6.75 6 | 494,939 | $247K | 0.05% | |
| 97 | —OvaScience, Inc. | 150,000 | $229K | 0.04% | |
| 98 | —Support.com, Inc. | 202,663 | $174K | 0.03% | |
| 99 | —EyeGate Pharmaceuticals @10.62 | 137,092 | $41K | 0.01% | |
| 100 | —Cellectar Biosciences @4.68 8/ | 106,600 | $19K | 0.00% |