AWM Investment Company, Inc. Q4 2017 Filing
Filed February 13, 2018
Portfolio Value
$515.3M
Holdings
94
Report Date
Q4 2017
Filing Type
13F-HR
All Holdings (94 positions)
| # | Stock | Shares | Value | % Portfolio | Type |
|---|---|---|---|---|---|
| 1 | CEVACEVA, Inc. | 712,558 | $32.9M | 6.38% | |
| 2 | LPSNUSDLivePerson, Inc. | 1,913,578 | $22.0M | 4.27% | |
| 3 | —Corium International Inc. | 2,268,443 | $21.8M | 4.23% | |
| 4 | KOPNKopin Corporation | 6,652,845 | $21.3M | 4.13% | |
| 5 | UCTTUltra Clean Holdings, Inc. | 785,000 | $18.1M | 3.52% | |
| 6 | OOMAOoma,Inc. | 1,347,149 | $16.1M | 3.12% | |
| 7 | LMATLeMaitre Vascular Inc. | 503,794 | $16.0M | 3.11% | |
| 8 | —NeoPhotonics Corporation | 2,340,183 | $15.4M | 2.99% | |
| 9 | TCMDTactile Systems Technology | 486,035 | $14.1M | 2.73% | |
| 10 | SQNSSequans Communications - ADR | 7,356,057 | $14.1M | 2.73% | |
| 11 | VCRAUSDVocera Communications, Inc. | 398,834 | $12.1M | 2.34% | |
| 12 | MVISMicrovision, Inc. | 7,367,231 | $12.0M | 2.33% | |
| 13 | —Adesto Technologies Corp. | 1,800,200 | $11.6M | 2.25% | |
| 14 | PIImpinj, Inc. | 515,224 | $11.6M | 2.25% | |
| 15 | PFSWUSDPfsweb, Inc. | 1,560,394 | $11.6M | 2.25% | |
| 16 | CTRNCiti Trends, Inc. | 430,000 | $11.4M | 2.21% | |
| 17 | —LRAD Corporation | 3,989,757 | $9.9M | 1.93% | |
| 18 | —DSP Group, Inc. | 743,639 | $9.3M | 1.80% | |
| 19 | KIDSOrthoPediatrics, Corp. | 459,418 | $8.8M | 1.71% | |
| 20 | AXGNAxoGen, Inc. | 281,506 | $8.0M | 1.55% | |
| 21 | —Aratana Therapeutics, Inc. | 1,477,417 | $7.8M | 1.51% | |
| 22 | —Loxo Oncology, Inc. | 85,000 | $7.2M | 1.39% | |
| 23 | TREURTrillium Therapeutics Corp. | 969,138 | $7.1M | 1.37% | |
| 24 | MXLMaxLinear, Inc. | 260,000 | $6.9M | 1.33% | |
| 25 | —Everspin Technology, Inc. | 857,549 | $6.4M | 1.25% | |
| 26 | ARGXargenx SE - ADR (Netherlands) | 100,000 | $6.3M | 1.23% | |
| 27 | CNTCentury Casinos, Inc. | 675,000 | $6.2M | 1.20% | |
| 28 | —MCBC Holdings, Inc. | 267,500 | $5.9M | 1.15% | |
| 29 | —eMagin Corporation (F4) | 3,261,000 | $5.4M | 1.04% | |
| 30 | AQMSEURAqua Metals, Inc. | 2,405,046 | $5.1M | 0.99% | |
| 31 | —ASV Holdings Inc. | 483,230 | $4.9M | 0.95% | |
| 32 | AEHRAehr Test Systems | 1,801,926 | $4.9M | 0.95% | |
| 33 | ASPNAspen Aerogels, Inc. | 1,000,000 | $4.9M | 0.95% | |
| 34 | —Manitex Int'l Inc. | 487,682 | $4.7M | 0.91% | |
| 35 | VTE1Asure Software, Inc. | 311,413 | $4.4M | 0.85% | |
| 36 | RGENRepligen Corporation | 121,000 | $4.4M | 0.85% | |
| 37 | KRNTKornit Digital Ltd., Israel | 264,798 | $4.3M | 0.83% | |
| 38 | AMSCAmerican Superconductor, Corp. | 1,151,252 | $4.2M | 0.81% | |
| 39 | —Zealand Pharma A/S ADR (Denmar | 302,901 | $4.1M | 0.80% | |
| 40 | SPROSpero Therapeutics, Inc. | 350,000 | $4.1M | 0.80% | |
| 41 | —Park Electrochemical Corp. | 197,000 | $3.9M | 0.75% | |
| 42 | ATOMAtomera Incorporated | 886,062 | $3.8M | 0.74% | |
| 43 | CELCCelcuity Inc. | 200,596 | $3.8M | 0.74% | |
| 44 | PTGXProtagonist Therapeutics, Inc. | 177,212 | $3.7M | 0.72% | |
| 45 | —XpresSpa Group, Inc. | 2,643,745 | $3.6M | 0.70% | |
| 46 | —Bazaarvoice Inc. | 644,230 | $3.5M | 0.68% | |
| 47 | INFUInfusystem Holdings, Inc. | 1,513,817 | $3.5M | 0.68% | |
| 48 | CVVCVD Equipment Corporation | 288,700 | $3.4M | 0.65% | |
| 49 | —Five Prime Therapeutics, Inc. | 150,000 | $3.3M | 0.64% | |
| 50 | BWENBroadwind Energy, Inc. | 1,146,834 | $3.1M | 0.61% | |
| 51 | —BioTelemetry, Inc. | 99,189 | $3.0M | 0.58% | |
| 52 | —Akari Therapeutics Plc. - ADR | 684,000 | $3.0M | 0.57% | |
| 53 | —Trillium Therapeutics @6.30Cd | 388,810 | $2.8M | 0.55% | |
| 54 | —Dermira, Inc. | 100,500 | $2.8M | 0.54% | |
| 55 | —Determine, Inc. | 1,455,220 | $2.6M | 0.51% | |
| 56 | —Neonode (Pre-fund $1) @.01 no | 3,600,000 | $2.6M | 0.51% | |
| 57 | SRTSSensus Healthcare, Inc | 491,938 | $2.6M | 0.50% | |
| 58 | —Enservco Corp | 3,938,797 | $2.5M | 0.49% | |
| 59 | —IZEA Inc. | 543,216 | $2.5M | 0.48% | |
| 60 | —SharpSpring, Inc. | 530,734 | $2.3M | 0.45% | |
| 61 | ITIEURIteris, Inc. | 334,969 | $2.3M | 0.45% | |
| 62 | —Neonode, Inc. | 3,080,979 | $2.3M | 0.44% | |
| 63 | —Ideal Power, Inc. Series A PS | 1,518,430 | $2.2M | 0.42% | |
| 64 | NLSTNetlist, Inc. | 6,909,089 | $2.1M | 0.41% | |
| 65 | —PC-Tel, Inc. | 274,399 | $2.0M | 0.39% | |
| 66 | SCPHScpharmaceuticals, Inc. | 165,100 | $2.0M | 0.39% | |
| 67 | ERIIEnergy Recovery Inc. | 212,242 | $1.9M | 0.36% | |
| 68 | DMRCDigimarc Corporation | 51,345 | $1.9M | 0.36% | |
| 69 | —Zafgen Inc. | 400,264 | $1.8M | 0.36% | |
| 70 | IDNIntellicheck, Inc. | 714,135 | $1.8M | 0.35% | |
| 71 | —Tuesday Morning Corporation | 650,100 | $1.8M | 0.35% | |
| 72 | AUPHAurinia Pharmaceuticals Inc. | 354,520 | $1.6M | 0.31% | |
| 73 | JPXAerovironment, Inc. | 28,249 | $1.6M | 0.31% | |
| 74 | —Reed's, Inc. | 980,739 | $1.5M | 0.29% | |
| 75 | XELBUSDXCel Brands Inc. | 430,002 | $1.4M | 0.28% | |
| 76 | VSTMVerastem, Inc. | 458,500 | $1.4M | 0.27% | |
| 77 | NVEEUSDNV5 Global Inc. | 25,156 | $1.4M | 0.26% | |
| 78 | RETAEURReata Pharmaceuticals, Inc. | 47,929 | $1.4M | 0.26% | |
| 79 | CDNACareDx, Inc. | 175,000 | $1.3M | 0.25% | |
| 80 | OPKOPKO Health Inc. | 255,000 | $1.2M | 0.24% | |
| 81 | —NTN Buzztime, Inc. | 288,241 | $1.2M | 0.24% | |
| 82 | —Ideal Power, Inc. | 811,635 | $1.2M | 0.22% | |
| 83 | —Trillium @.28Cd 12/13/18 R/R 5 | 595,238 | $1.1M | 0.21% | |
| 84 | —Christopher & Banks Corp. | 749,960 | $952K | 0.18% | |
| 85 | SAIASaia, Inc. | 12,010 | $850K | 0.16% | |
| 86 | —Xplore Technologies, Corp. | 273,732 | $775K | 0.15% | |
| 87 | CLSDUSDClearside Biomedical, Inc. | 110,000 | $770K | 0.15% | |
| 88 | VERUEURVeru,Inc. | 600,000 | $690K | 0.13% | |
| 89 | —Syros Pharmaceuticals, Inc. | 65,000 | $632K | 0.12% | |
| 90 | GLDDGreat Lakes Dredge & Dock Co. | 109,391 | $591K | 0.11% | |
| 91 | —eMagin Corporation @2.45 5/24/ | 1,625,000 | $504K | 0.10% | |
| 92 | —Magal Security Sys Ltd (Israel | 95,330 | $482K | 0.09% | |
| 93 | —Ideal Power @2.41 9/4/17-3/3/2 | 1,183,430 | $379K | 0.07% | |
| 94 | —Sensus Healthcare, Inc @6.75 6 | 494,939 | $346K | 0.07% | |
| 95 | —Neonode Inc @1.12 2/17/17-2/17 | 2,000,000 | $220K | 0.04% | |
| 96 | —OvaScience, Inc. | 150,000 | $210K | 0.04% | |
| 97 | KTOSKratos Defense & Security Solu | 17,407 | $184K | 0.04% | |
| 98 | —EyeGate Pharmaceuticals @10.62 | 137,092 | $21K | 0.00% | |
| 99 | —Cellectar Biosciences @4.68 8/ | 106,600 | $11K | 0.00% | |
| 100 | —Determine @6.00 8/6/15-8/6/20 | 26,595 | $3K | 0.00% |
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