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Institutional Investment Manager
AWM Investment Company, Inc.
AWM Investment Company, Inc. (CIK: 0001535264) incorporated in Delaware, located at 527 Madison Avenue, New York, NY. Institutional holdings reported to the SEC.

Institutional Holdings (2016Q2)
Portfolio Summary: 96 holdings with a total value of $468,004,000.
#
Name
Shares
Value ($)
%
Options
Notes
1 CEVA Inc 1,107,410 30,088,000 6.43%
2 Vocera Communications Inc 1,550,263 19,921,000 4.26%
3 NEOPHOTONICS CORP 2,014,045 19,194,000 4.10%
4 INCONTACT INC 1,300,365 18,010,000 3.85%
5 Brightcove, Inc. 1,904,022 16,755,000 3.58%
6 KOPIN CORP 6,619,921 14,696,000 3.14%
7 ORBITAL ATK INC 1,545,738 14,685,000 3.14%
8 LEMAITRE VASCULAR INC COM 968,760 13,824,000 2.95%
9 LIVEPERSON INC 2,093,078 13,270,000 2.84%
10 AQUA METALS INC COM 1,117,650 13,149,000 2.81%
11 AEROVIRONMENT INC COM 467,909 13,008,000 2.78%
12 VITAE PHARMACEUTICALS INC 1,177,864 12,709,000 2.72%
13 LendingTree, Inc. 132,723 11,723,000 2.50%
14 AMERICAN SUPERCONDUCTOR CORPOR 1,246,576 10,521,000 2.25%
15 SEQUANS COMMUNICATIONS S A 4,120,230 8,446,000 1.80%
16 ULTRA CLEAN HLDGS INC 1,472,701 8,380,000 1.79%
17 ENERGOUS CORP 644,271 8,343,000 1.78%
18 IDEAL PWR INC 1,681,935 8,292,000 1.77%
19 PFENEX INC COM 952,216 7,970,000 1.70%
20 DSP GROUP INC 743,639 7,890,000 1.69%
21 IZEA Inc. 1,018,216 7,759,000 1.66%
22 LRAD CORP 4,192,710 7,505,000 1.60%
23 ARATANA THERAPEUTICS INC COM 1,116,255 7,055,000 1.51%
24 Broadwind Energy, Inc. 1,450,009 6,119,000 1.31%
25 AVINGER INC 500,295 5,969,000 1.28%
26 REVOLUTION LIGHTING TECHNOLO COM 950,000 5,871,000 1.25%
27 NEONODE INC 4,010,539 5,855,000 1.25%
28 NETLIST INC 4,969,543 5,814,000 1.24%
29 GIGAMON INC 149,277 5,581,000 1.19%
30 MANITEX INTL INC 781,362 5,415,000 1.16%
31 ALDEYRA THERAPEUTICS INC 917,810 5,222,000 1.12%
32 CPI AEROSTRUCTURES INC COM NEW 842,149 5,179,000 1.11%
33 ESSA Pharma 1,696,968 5,006,000 1.07%
34 LOXO ONCOLOGY INC COM 190,000 4,404,000 0.94%
35 ARDMORE SHIPPING CORP 604,110 4,090,000 0.87%
36 MAXLINEAR INC COM 221,452 3,982,000 0.85%
37 EARTHSTONE ENERGY INC 360,000 3,881,000 0.83%
38 REPLIGEN CORP COM 140,000 3,830,000 0.82%
39 INFUSYSTEM HLDGS INC 1,453,621 3,779,000 0.81%
40 BAZAARVOICE INC COM 938,991 3,765,000 0.80%
41 FIVE PRIME THERAPEUTICS INC 90,000 3,721,000 0.80%
42 SEACHANGE INTERNATIONAL INCORPORATED 1,153,677 3,680,000 0.79%
43 IRADIMED CORP 158,830 3,456,000 0.74%
44 EXTREME NETWORKS INC COM 1,015,219 3,442,000 0.74%
45 TEARLAB CORP 5,277,250 3,377,000 0.72%
46 OPKO HEALTH INC 350,000 3,269,000 0.70%
47 GENOCEA BIOSCIENCES INC 778,849 3,193,000 0.68%
48 BOINGO WIRELESS INC COM 355,026 3,167,000 0.68%
49 RADCOM LTD SHS NEW 262,664 3,060,000 0.65%
50 MCBC HLDGS INCORPORATED 275,390 3,043,000 0.65%
Page 1 of 2

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001535264-16-000166, filed 2016.08.09).

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.