13F-HR filed by AWM Investment Company, Inc.
AWM Investment Company, Inc. filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-11-12, with 118 holding rows worth $516,157,000.
- Accession
- 0001535264-15-000099
- Filer
- CIK 1535264
- Filed
- 2015-11-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, 118 entries on the cover page, a total value of $516,157,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $516,330,000 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 |
|---|---|---|---|---|---|---|
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 2,265,556 | $25,850,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 1,780,000 | $25,312,000 | thousands by filing date | |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 1,854,812 | $24,038,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 1,264,946 | $23,490,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 6,405,598 | $20,114,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 2,092,578 | $15,820,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 2,269,508 | $15,455,000 | thousands by filing date | |
| LEMAITRE VASCULAR INC | 525558201 | COM | 1,191,517 | $14,525,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 894675107 | COM | 141,500 | $13,164,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 858,775 | $12,890,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 1,681,935 | $11,118,000 | thousands by filing date | |
| POWERSECURE INTERNATIONAL IN | 73936N105 | COM | 844,630 | $9,730,000 | thousands by filing date | |
| INCONTACT INC | 45336E109 | COM | 1,280,865 | $9,619,000 | thousands by filing date | |
| Brightcove, Inc. | 075097042 | common | 1,933,630 | $9,513,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 467,909 | $9,377,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 725,000 | $9,019,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 5,992,697 | $8,929,000 | thousands by filing date | |
| VITAE PHARMACEUTICALS INC | 92847N103 | COM | 795,624 | $8,760,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 1,472,701 | $8,453,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 931,040 | $8,202,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 4,667,710 | $7,795,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 500,000 | $7,355,000 | thousands by filing date | |
| SYNERGETICS USA INC | 87160G107 | COM | 1,036,727 | $6,811,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 735,935 | $6,704,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 554,710 | $6,701,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 1,260,000 | $6,388,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 750,000 | $6,345,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 1,387,864 | $6,009,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 949,913 | $5,984,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 2,420,499 | $5,906,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 853,477 | $5,889,000 | thousands by filing date | |
| Zafgen, Inc. | 98885E102 | common | 177,598 | $5,674,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 264,877 | $5,300,000 | thousands by filing date | |
| REPLIGEN CORP COM | 759916109 | Stock | 190,000 | $5,291,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 115,018 | $4,727,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H104 | COM | 727,272 | $4,552,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 781,362 | $4,391,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 155,330 | $3,784,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 719,305 | $3,489,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 269,606 | $3,481,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 1,020,219 | $3,428,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 492,100 | $3,371,000 | thousands by filing date | |
| DETERMINE INC | 250660107 | COM | 821,760 | $3,230,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 1,173,102 | $3,203,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 288,700 | $3,193,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 380,244 | $3,179,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 2,787,120 | $3,122,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F203 | COM NEW | 2,177,227 | $3,095,000 | thousands by filing date | |
| XCEL BRANDS INC | 98400M101 | COM NEW | 360,000 | $3,092,000 | thousands by filing date | |
| Broadwind Energy Inc. | 11161T108 | common | 1,467,550 | $3,038,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 350,000 | $2,943,000 | thousands by filing date | |
| NTN BUZZTIME INC | 629410309 | COM | 9,082,575 | $2,916,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 400,000 | $2,828,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 2,549,700 | $2,805,000 | thousands by filing date | |
| Trillium Therapeutics @6.30Cd | 89620X100 | preferred | 206,937 | $2,696,000 | thousands by filing date | |
| SMTP INC | 784589202 | COM NEW | 530,734 | $2,489,000 | thousands by filing date | |
| PRESBIA PLC | G7234P100 | SHS | 437,803 | $2,399,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 87,537 | $2,391,000 | thousands by filing date | |
| NONE | 999999999 | NONE | 3,000,000 | $2,250,000 | thousands by filing date | |
| SMART TECHNOLOGIES INC | 83172R108 | CL A SUB VTG S | 3,483,053 | $2,233,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 305,200 | $2,222,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 177,394 | $2,178,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 341,240 | $2,006,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 4,753,843 | $1,997,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 100,000 | $1,987,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 4,408,831 | $1,940,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 118,199 | $1,819,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 1,985,022 | $1,806,000 | thousands by filing date | |
| Foundation Healthcare, Inc. | 350405106 | common | 357,422 | $1,776,000 | thousands by filing date | |
| BIOTELEMETRY INC | 090672106 | COM | 145,000 | $1,775,000 | thousands by filing date | |
| TIVO INC | 888706108 | COM | 202,908 | $1,757,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 132,400 | $1,684,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 1,707,362 | $1,656,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 50,000 | $1,653,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 175,000 | $1,636,000 | thousands by filing date | |
| ARROWHEAD RESEARCH CORP | 042797209 | COM | 269,493 | $1,552,000 | thousands by filing date | |
| NEURODERM LTD | M74231107 | ORD SHS | 75,000 | $1,550,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 167,082 | $1,484,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 237,545 | $1,428,000 | thousands by filing date | |
| LDR HLDG CORP | 50185U105 | COM | 41,100 | $1,419,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 324,504 | $1,395,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 78,540 | $1,390,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 535,369 | $1,317,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 75,000 | $1,311,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 1,752,903 | $1,288,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 1,715,578 | $1,244,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 547,235 | $1,171,000 | thousands by filing date | |
| ARI NETWORK SERVICES | 001930205 | COMM | 300,000 | $1,134,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 259,864 | $1,097,000 | thousands by filing date | |
| XPLORE TECHNOLOGIES CORP | 983950700 | COM PAR $0.001 | 200,000 | $1,066,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 122,500 | $1,022,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 115,000 | $976,000 | thousands by filing date | |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 150,000 | $922,000 | thousands by filing date | |
| Quantum Fuel Systems Tech Worl | 74765E109 | common | 823,939 | $906,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 61,000 | $823,000 | thousands by filing date | |
| CIPHER PHARMACEUTICALS INC | 17253X105 | COM | 220,000 | $816,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 40,000 | $742,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 400,000 | $716,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 22,500 | $696,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 80,000 | $657,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 100,000 | $625,000 | thousands by filing date | |
| CONSTANT CONTACT INC | 210313102 | COM | 23,967 | $581,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 350,000 | $574,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 244,818 | $561,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 92,200 | $520,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 100,000 | $504,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 130,000 | $439,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 49,395 | $403,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 2,070,867 | $388,000 | thousands by filing date | |
| GENERAL EMPLOYMENT ENTERPRIS | 369730304 | Cmn | 925,000 | $370,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 106,561 | $304,000 | thousands by filing date | |
| TRUETT-HURST INC THST | 897871109 | COMMON | 263,453 | $266,000 | thousands by filing date | |
| Speed Commerce, Inc. | 847764T10 | common | 1,179,950 | $229,000 | thousands by filing date | |
| Interplay Entertainment Corp. | 460615107 | common | 9,133,000 | $173,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M115 | *W EXP 08/05/202 | 137,092 | $140,000 | thousands by filing date | |
| Digital Turbine, Inc. | 254400W10 | common | 75,356 | $136,000 | thousands by filing date | |
| CYREN Ltd. (Isreal) | 010802725 | common | 72,425 | $129,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 11,958 | $119,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001535264-15-000099 | this filing | 2015-11-12 | acceptance time not in the bulk data set |