13F-HR filed by AWM Investment Company, Inc.
AWM Investment Company, Inc. filed this 13F-HR for the quarter ended 2014-12-31, filed 2015-02-11, with 139 holding rows worth $733,430,000.
- Accession
- 0001535264-15-000024
- Filer
- CIK 1535264
- Filed
- 2015-02-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2014
A holdings report, 191 entries on the cover page, a total value of $733,430,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $733,432,000 with VALUE read as thousands by filing date, 13F file number 028-16479. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| NONE | 999999999 | NONE | 119,939,789 | $38,421,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 2,298,955 | $29,105,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 2,388,325 | $24,886,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 1,275,449 | $23,137,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 6,126,598 | $22,178,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 1,427,200 | $20,124,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 1,864,691 | $17,304,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 180,000 | $15,959,000 | thousands by filing date | |
| Brightcove, Inc. | 075097042 | common | 1,918,557 | $14,926,000 | thousands by filing date | |
| GeneNews, Ltd. (Canada) (CF) | 36870T107 | common | 9,303,242 | $14,093,000 | thousands by filing date | |
| VITAE PHARMACEUTICALS INC | 92847N103 | COM | 825,000 | $13,728,000 | thousands by filing date | |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 1,467,850 | $12,741,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 4,667,710 | $12,603,000 | thousands by filing date | |
| POWERSECURE INTERNATIONAL IN | 73936N105 | COM | 1,022,531 | $11,912,000 | thousands by filing date | |
| Pure Technologies Ltd | 745915108 | COM | 1,869,300 | $11,889,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 490,527 | $11,601,000 | thousands by filing date | |
| Broadwind Energy Inc. | 11161T108 | common | 2,112,191 | $11,385,000 | thousands by filing date | |
| CONSTANT CONTACT INC | 210313102 | COM | 299,252 | $10,983,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 600,000 | $10,692,000 | thousands by filing date | |
| LEMAITRE VASCULAR INC | 525558201 | COM | 1,329,858 | $10,173,000 | thousands by filing date | |
| MICROFINANCIAL INC | 595072109 | COMMON STOCK | 992,804 | $10,132,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 906,096 | $9,931,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 931,040 | $9,767,000 | thousands by filing date | |
| MAGNETEK INC | 559424403 | COMMON STOCK | 240,126 | $9,761,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 2,768,640 | $9,358,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 336,159 | $9,160,000 | thousands by filing date | |
| ENTROPIC COMMUNICATIONS INC | 29384R105 | COM | 3,574,310 | $9,043,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 2,422,864 | $8,553,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 1,146,935 | $8,327,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 468,966 | $8,315,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 300,000 | $8,100,000 | thousands by filing date | |
| REPLIGEN CORP COM | 759916109 | Stock | 400,000 | $7,920,000 | thousands by filing date | |
| INCONTACT INC | 45336E109 | COM | 863,552 | $7,591,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 2,230,997 | $7,541,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 750,000 | $7,500,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 1,000,000 | $7,320,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 968,397 | $7,176,000 | thousands by filing date | |
| Trillium Therapeutics @6.30Cd | 89620X100 | preferred | 12,069,127 | $7,030,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 460,000 | $6,997,000 | thousands by filing date | |
| Carbon Natural Gas Ord | 14115t109 | COM | 10,888,889 | $6,969,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 527,491 | $6,704,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 554,710 | $6,640,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 894675107 | COM | 122,469 | $5,920,000 | thousands by filing date | |
| VITESSE SEMICONDUCTOR CORP | 928497304 | COM NEW | 1,502,400 | $5,679,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 504,334 | $5,482,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 3,508,789 | $5,439,000 | thousands by filing date | |
| ERICKSON AIR-CRANE INC | 29482P100 | COM | 638,976 | $5,329,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 834,485 | $5,324,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 349,166 | $5,024,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 3,184,885 | $4,905,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 1,313,918 | $4,717,000 | thousands by filing date | |
| World Energy Solutions Inc. | 98145W208 | COM | 838,652 | $4,613,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 495,094 | $4,540,000 | thousands by filing date | |
| SYNERGETICS USA INC | 87160G107 | COM | 1,036,727 | $4,510,000 | thousands by filing date | |
| BTU INTERNATIONAL INC | 056032105 | COM | 1,341,837 | $4,415,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F203 | COM NEW | 2,208,368 | $4,383,000 | thousands by filing date | |
| WAFERGEN BIO-SYSTEMS INC | 93041P308 | Cmn | 1,400,000 | $4,200,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 1,968,120 | $4,153,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 476,576 | $4,127,000 | thousands by filing date | |
| SMART TECHNOLOGIES INC | 83172R108 | CL A SUB VTG S | 3,483,053 | $4,110,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 2,979,509 | $4,082,000 | thousands by filing date | |
| Selectica, Inc. | 816288104 | common | 768,569 | $3,981,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 1,173,102 | $3,695,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 350,000 | $3,496,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 412,033 | $3,473,000 | thousands by filing date | |
| NTN BUZZTIME INC | 629410309 | COM | 7,823,652 | $3,442,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 570,000 | $3,380,000 | thousands by filing date | |
| HAMILTON THORNE ORD | 407891100 | COM | 9,756,544 | $3,355,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 74,000 | $3,272,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 283,518 | $3,133,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 2,273,100 | $3,069,000 | thousands by filing date | |
| Izea Inc (IZEA) | 46603N202 | COM | 10,857,144 | $3,040,000 | thousands by filing date | |
| SFX ENTMT INC | 784178303 | COM | 650,956 | $2,949,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 1,558,027 | $2,914,000 | thousands by filing date | |
| Bavarian Nordic A/S (Denmark) | 009225196 | common | 90,000 | $2,888,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 267,337 | $2,818,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 2,294,290 | $2,730,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 210,285 | $2,713,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 248,844 | $2,543,000 | thousands by filing date | |
| BIOTELEMETRY INC | 090672106 | COM | 250,182 | $2,509,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 152,100 | $2,440,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 234,965 | $2,411,000 | thousands by filing date | |
| TIVO INC | 888706108 | COM | 202,908 | $2,402,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 66,357 | $2,107,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 286,240 | $2,004,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 2,187,196 | $1,990,000 | thousands by filing date | |
| CIMATRON LTD | M23798107 | ORD | 224,467 | $1,982,000 | thousands by filing date | |
| Summit Corporations plc | B02T3K5GB | common | 938,086 | $1,980,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 228,456 | $1,933,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 161,086 | $1,872,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 409,316 | $1,866,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 1,861,278 | $1,861,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 195,000 | $1,782,000 | thousands by filing date | |
| CTPARTNERS EXECUTIVE SEARCH IN | 22945C105 | COMM STK | 110,000 | $1,671,000 | thousands by filing date | |
| Visualant, Inc. (Restricted) | 928449107 | common | 15,900,000 | $1,669,000 | thousands by filing date | |
| SMTP INC | 784589202 | COM NEW | 266,971 | $1,623,000 | thousands by filing date | |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 161,060 | $1,540,000 | thousands by filing date | |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 100,000 | $1,474,000 | thousands by filing date | |
| URTHECAST CORP COM | 91731X102 | Common Stock | 996,600 | $1,363,000 | thousands by filing date | |
| Crailer Technologies Inc. | 224248104 | COM | 6,410,123 | $1,333,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 80,000 | $1,318,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 22,500 | $1,246,000 | thousands by filing date | |
| RESPONSE GENETICS INC | 76123U105 | COM | 3,786,979 | $1,199,000 | thousands by filing date | |
| Hopto (HPTO) | 440271104 | COM | 8,524,700 | $1,193,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 629,800 | $1,159,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 314,461 | $1,135,000 | thousands by filing date | |
| PARNELL PHARMACEUT HLDGS LIMITED SHS | Q73622104 | Foreign Ordinary Shares | 273,901 | $1,134,000 | thousands by filing date | |
| Foundation Healthcare, Inc. | 350405106 | common | 3,574,220 | $1,126,000 | thousands by filing date | |
| Quantum Fuel Systems Tech Worl | 74765E109 | common | 535,732 | $1,120,000 | thousands by filing date | |
| Zafgen, Inc. | 98885E102 | common | 35,000 | $1,079,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 244,818 | $1,060,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 131,090 | $977,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 75,000 | $975,000 | thousands by filing date | |
| Meru Networks, Inc. | 59047Q103 | COM | 258,265 | $971,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 556,169 | $962,000 | thousands by filing date | |
| OSSEN INNOVATION CO LTD | 688410109 | SPONSORED ADR | 1,121,537 | $920,000 | thousands by filing date | |
| GLOBAL POWER EQUIPMENT GRP I | 37941P306 | COM PAR $0.01 | 65,000 | $898,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 75,000 | $881,000 | thousands by filing date | |
| Intermap Technologies Corp(Can | 458977204 | common | 14,976,204 | $837,000 | thousands by filing date | |
| Precision Optics Corporation, | 740294301 | common | 1,269,213 | $762,000 | thousands by filing date | |
| ARI NETWORK SERVICES | 001930205 | COMM | 200,000 | $758,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 77,147 | $752,000 | thousands by filing date | |
| ANTIBE THERAPEUTICS INC | 037025103 | COM | 1,666,667 | $717,000 | thousands by filing date | |
| NV5 HLDGS INC | 62945V117 | *W EXP 03/27/201 | 99,970 | $650,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 69,198 | $648,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 691,263 | $505,000 | thousands by filing date | |
| XEBEC Adsorption, Inc. (Canada | 983891102 | common | 9,333,761 | $482,000 | thousands by filing date | |
| Spectral Diagnostics | 847574100 | COM | 1,572,500 | $474,000 | thousands by filing date | |
| DIADEXUS INC | 25245P106 | COM | 881,238 | $441,000 | thousands by filing date | |
| ARROWHEAD RESEARCH CORP | 042797209 | COM | 56,408 | $416,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 37,629 | $382,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 51,000 | $365,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 21,871 | $299,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 360,000 | $83,000 | thousands by filing date | |
| CytRx Corporation R/R 8/1/16 @ | 232828301 | warrants | 2,400,000 | $72,000 | thousands by filing date | |
| Interplay Entertainment Corp. | 460615107 | common | 9,133,000 | $58,000 | thousands by filing date | |
| CHASE PACKAGING CORP | 161635107 | COMMON | 684,954 | $38,000 | thousands by filing date | |
| Integral Vision, Inc. | 45811H106 | common | 1,850,000 | $5,000 | thousands by filing date | |
| Altair Nanotech @.58 5/28/16 * | 03820G106 | warrants | 939,973 | $5,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001535264-15-000024 | this filing | 2015-02-11 | acceptance time not in the bulk data set |