13F-HR filed by AWM Investment Company, Inc.
AWM Investment Company, Inc. filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-14, with 99 holding rows worth $545,685,000.
- Accession
- 0001535264-16-000169
- Filer
- CIK 1535264
- Filed
- 2016-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 99 entries on the cover page, a total value of $545,685,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $545,685,000 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 |
|---|---|---|---|---|---|---|
| CEVA INC | 157210105 | COMMON STOCK | 1,107,410 | $38,837,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 1,753,538 | $28,653,000 | thousands by filing date | |
| VITAE PHARMACEUTICALS INC | 92847N103 | COM | 1,062,498 | $22,227,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 1,250,000 | $21,125,000 | thousands by filing date | |
| Brightcove, Inc. | 075097042 | common | 1,518,442 | $19,816,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 2,093,078 | $17,603,000 | thousands by filing date | |
| LEMAITRE VASCULAR INC | 525558201 | COM | 836,614 | $16,598,000 | thousands by filing date | |
| INCONTACT INC | 45336E109 | COM | 1,140,507 | $15,944,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 6,619,921 | $14,431,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 1,545,738 | $13,803,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 7,320,230 | $12,957,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 484,822 | $11,835,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 1,272,250 | $11,272,000 | thousands by filing date | |
| COLUCID PHARMACEUTICALS INC | 19716T101 | COM | 288,919 | $11,022,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 1,472,701 | $10,913,000 | thousands by filing date | |
| TACTILE SYSTEMS TECHNOLOGY I | 87357P100 | COMMON STOCK | 550,000 | $10,285,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 1,005,000 | $9,407,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 743,639 | $8,931,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 1,246,576 | $8,738,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 1,681,935 | $8,696,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 938,042 | $8,395,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 220,623 | $8,256,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 4,192,710 | $7,840,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 917,810 | $7,205,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 5,680,928 | $7,044,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 852,985 | $6,653,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 894675107 | COM | 68,000 | $6,590,000 | thousands by filing date | |
| Broadwind Energy Inc. | 11161T108 | common | 1,450,009 | $6,380,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 300,000 | $6,081,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 950,000 | $5,994,000 | thousands by filing date | |
| Izea Inc (IZEA) | 46603N202 | COM | 1,018,216 | $5,977,000 | thousands by filing date | |
| MCBC HLDGS INC | 55276F107 | COM | 484,441 | $5,523,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 4,410,539 | $5,028,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H104 | COM | 1,696,968 | $4,785,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 7,277,250 | $4,730,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 180,000 | $4,712,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 738,991 | $4,367,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 5,822,957 | $4,367,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 781,362 | $4,305,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 604,110 | $4,253,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 80,000 | $4,199,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 603,068 | $4,179,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 318,465 | $4,118,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 1,413,494 | $3,915,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 350,000 | $3,706,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 355,026 | $3,650,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 182,707 | $3,641,000 | thousands by filing date | |
| REPLIGEN CORP COM | 759916109 | Stock | 120,000 | $3,623,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 1,153,677 | $3,449,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 397,834 | $3,421,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 1,985,022 | $3,414,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 701,566 | $3,150,000 | thousands by filing date | |
| Trillium Therapeutics @6.30Cd | 89620X100 | preferred | 209,177 | $3,092,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 80,000 | $3,068,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 491,938 | $3,025,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 262,655 | $3,007,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 149,800 | $2,938,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 336,734 | $2,748,000 | thousands by filing date | |
| SMTP INC | 784589202 | COM NEW | 530,734 | $2,733,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 1,438,334 | $2,647,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 1,050,000 | $2,551,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 77,500 | $2,504,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 288,700 | $2,419,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 739,917 | $2,235,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 150,000 | $2,058,000 | thousands by filing date | |
| BIOTELEMETRY INC | 090672106 | COM | 109,189 | $2,028,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 535,369 | $1,949,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 390,790 | $1,864,000 | thousands by filing date | |
| XCEL BRANDS INC | 98400M101 | COM NEW | 360,000 | $1,775,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 1,275,323 | $1,696,000 | thousands by filing date | |
| PRESBIA PLC | G7234P100 | SHS | 358,249 | $1,684,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 82,000 | $1,674,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 316,403 | $1,674,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 400,000 | $1,664,000 | thousands by filing date | |
| ARI NETWORK SERVICES | 001930205 | COMM | 300,000 | $1,332,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 100,000 | $1,294,000 | thousands by filing date | |
| DETERMINE INC | 250660107 | COM | 716,220 | $1,289,000 | thousands by filing date | |
| NTN BUZZTIME INC | 629410309 | COM | 181,650 | $1,237,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 264,072 | $1,125,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 198,511 | $1,116,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 100,000 | $1,011,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 143,904 | $971,000 | thousands by filing date | |
| XPLORE TECHNOLOGIES CORP | 983950700 | COM PAR $0.001 | 368,902 | $885,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 50,000 | $867,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 47,119 | $801,000 | thousands by filing date | |
| CIPHER PHARMACEUTICALS INC | 17253X105 | COM | 185,300 | $708,000 | thousands by filing date | |
| XACTLY CORP | 98386L101 | COM | 46,928 | $691,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 22,500 | $674,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 47,550 | $660,000 | thousands by filing date | |
| NONE | 999999999 | NONE | 494,939 | $634,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 120,000 | $630,000 | thousands by filing date | |
| Aptevo Therapeutics, Inc. | 03835L103 | common | 207,000 | $530,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 400,000 | $524,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 647,235 | $485,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 125,000 | $484,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 50,000 | $358,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 271,753 | $228,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M115 | *W EXP 08/05/202 | 137,092 | $48,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F203 | COM NEW | 106,600 | $27,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001535264-16-000169 | this filing | 2016-11-14 | acceptance time not in the bulk data set |