AWM Investment Company, Inc. - Q3 2021 holdings

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$1.02 Billion is the total value of AWM Investment Company, Inc.'s 127 reported holdings in Q3 2021. The portfolio turnover from Q2 2021 to Q3 2021 was 26.4% .

All

			Value		Shares		↓ Weighting
DXLG	New	Destination XL Group, Inc.	$67,821,000	–	11,081,793	+100.0%	6.66%	–
		Zealand Pharma A/S (Denmark)warrants	$40,233,000	-15.5%	7,094,602	0.0%	3.95%	-16.0%
OPRX	Sell	OptimizeRx Corporation	$36,457,000	+20.2%	426,143	-13.0%	3.58%	+19.5%
TA		TravelCenters of America LLC	$33,598,000	+70.3%	674,800	0.0%	3.30%	+69.3%
RGEN		Repligen Corporation	$28,899,000	+44.8%	100,000	0.0%	2.84%	+44.0%
PI		Impinj, Inc.	$28,135,000	+10.7%	492,477	0.0%	2.76%	+10.1%
CDMO		Avid Bioservices, Inc.	$26,596,000	-15.9%	1,233,000	0.0%	2.61%	-16.4%
PFSW	Buy	Pfsweb, Inc.	$26,254,000	+83.8%	2,035,179	+5.2%	2.58%	+82.7%
INFU		Infusystem Holdings, Inc.	$26,060,000	-37.3%	2,000,000	0.0%	2.56%	-37.7%
ARGX		argenx SE - ADR (Netherlands)	$24,160,000	+0.3%	80,000	0.0%	2.37%	-0.3%
GNSS		Genasys, Inc.	$22,531,000	-5.5%	4,349,544	0.0%	2.21%	-6.0%
LOVE	Sell	Lovesac Company, The	$21,284,000	-21.6%	322,039	-5.3%	2.09%	-22.0%
LPSN		LivePerson, Inc.	$20,627,000	-6.8%	349,900	0.0%	2.02%	-7.3%
OOMA		Ooma, Inc.	$20,586,000	-1.3%	1,106,165	0.0%	2.02%	-1.9%
EMKR	Buy	EMCORE Corp.	$20,047,000	+10.8%	2,680,094	+36.6%	1.97%	+10.1%
CNTY	Buy	Century Casinos, Inc.	$19,976,000	+0.3%	1,482,988	+0.0%	1.96%	-0.3%
KIDS		OrthoPediatrics Corporation	$19,536,000	+3.7%	298,221	0.0%	1.92%	+3.1%
AEHR	Sell	Aehr Test Systems	$18,642,000	+255.8%	1,365,749	-28.1%	1.83%	+253.8%
NPTN		NeoPhotonics Corporation	$16,729,000	-14.7%	1,920,722	0.0%	1.64%	-15.1%
CEVA		CEVA, Inc.	$15,704,000	-9.8%	368,037	0.0%	1.54%	-10.3%
VERU	Buy	Veru, Inc.	$15,542,000	+70.8%	1,822,078	+61.6%	1.52%	+69.8%
HEAR		Turtle Beach Corporation	$15,177,000	-12.8%	545,543	0.0%	1.49%	-13.4%
SQNS	Sell	Sequans Communications S.A. AD	$14,059,000	-27.4%	3,202,480	-0.4%	1.38%	-27.7%
PLBY	Buy	PLBY Group,Inc.	$12,971,000	+39.0%	550,320	+129.3%	1.27%	+38.2%
WPRT		Westport Fuel Systems, Inc.	$12,607,000	-38.0%	3,832,047	0.0%	1.24%	-38.4%
AMSC		American Superconductor Corp	$12,459,000	-16.2%	854,534	0.0%	1.22%	-16.6%
LMAT		LeMaitre Vascular, Inc.	$12,211,000	-13.0%	230,000	0.0%	1.20%	-13.5%
MRAM		Everspin Technology, Inc.	$12,173,000	+0.8%	1,878,597	0.0%	1.20%	+0.3%
	New	Assure Holdings Corp(CND/AMR)	$12,109,000	–	1,562,499	+100.0%	1.19%	–
LIQT	Sell	LiqTech International, Inc.	$10,842,000	-27.0%	1,978,444	-2.5%	1.06%	-27.4%
VICR		Vicor Corporation	$10,599,000	+26.9%	79,000	0.0%	1.04%	+26.2%
UCTT	Buy	Ultra Clean Holdings, Inc.	$10,506,000	-9.0%	246,627	+14.7%	1.03%	-9.6%
PWFL	Buy	PowerFleet, Inc.	$9,795,000	+0.0%	1,461,907	+7.5%	0.96%	-0.5%
RESN	Buy	Resonant, Inc.	$9,104,000	+5.6%	3,761,840	+40.0%	0.89%	+4.9%
	Buy	voxeljet AG, ADR (Germany)	$9,074,000	+8.3%	992,778	+51.6%	0.89%	+7.6%
REPH		Recro Pharma, Inc.	$8,794,000	-10.8%	4,269,081	0.0%	0.86%	-11.3%
UTI		Universal Technical Institute	$8,751,000	+4.2%	1,294,575	0.0%	0.86%	+3.6%
RADA	Sell	RADA Electronic Industries Ltd	$8,694,000	-23.2%	817,071	-12.1%	0.85%	-23.7%
SPNE		SeaSpine Holdings Corp.	$8,519,000	-23.3%	541,547	0.0%	0.84%	-23.7%
	New	Gambling.com Group Ltd.	$8,487,000	–	929,575	+100.0%	0.83%	–
KRT		Karat Packaging, Inc.	$8,412,000	+3.2%	400,000	0.0%	0.82%	+2.6%
NGMS		NeoGames S.A. (Luxembourg)	$8,317,000	-40.3%	226,500	0.0%	0.82%	-40.6%
TLS	Sell	Telos Corp.	$8,162,000	-16.7%	287,181	-0.3%	0.80%	-17.2%
GAIA	Buy	Gaia, Inc.	$7,596,000	-10.5%	801,236	+3.7%	0.74%	-11.1%
SIEN	Buy	Sientra, Inc.	$7,577,000	+80.4%	1,322,284	+150.6%	0.74%	+79.3%
KOPN		Kopin Corporation	$7,422,000	-37.3%	1,446,746	0.0%	0.73%	-37.7%
LASR		nLight, Inc.	$7,329,000	-22.3%	260,000	0.0%	0.72%	-22.8%
NGS	Buy	Natural Gas Services Group, In	$7,031,000	+15.7%	677,371	+14.5%	0.69%	+15.0%
GAN		GAN, Ltd. (London)	$7,017,000	-9.6%	471,870	0.0%	0.69%	-10.1%
SPRO		Spero Therapeutics, Inc.	$6,862,000	+31.9%	372,755	0.0%	0.67%	+30.9%
DZSI	Buy	DZS, Inc.	$6,732,000	-23.7%	549,143	+29.2%	0.66%	-24.1%
RDCM		RADCOM, Ltd. (Israel)	$6,593,000	+1.8%	578,312	0.0%	0.65%	+1.3%
MSON		Misonix, Inc.	$6,306,000	+14.1%	249,239	0.0%	0.62%	+13.4%
BRCN		Burcon NutraScience Corp. (Can	$6,131,000	-43.7%	3,902,823	0.0%	0.60%	-44.0%
NDLS		Noodles & Co.	$5,669,000	-5.4%	480,403	0.0%	0.56%	-6.1%
CTRN	Sell	Citi Trends, Inc.	$5,487,000	-27.7%	75,208	-13.8%	0.54%	-28.2%
PROF		Profound Medical Corp. (U.S.)	$5,108,000	-10.5%	348,939	0.0%	0.50%	-11.0%
	New	EzFill Holdings, Inc.	$4,786,000	–	1,170,232	+100.0%	0.47%	–
ECOR	Sell	ElectroCore, Inc.	$4,689,000	-21.2%	4,149,900	-17.0%	0.46%	-21.6%
FRG		Franchise Group, Inc.	$4,671,000	+0.4%	131,912	0.0%	0.46%	-0.2%
GBNH		Greenbrook TMS, Inc. (Canada)	$4,543,000	-38.7%	612,147	0.0%	0.45%	-39.1%
ATOM	Sell	Atomera Incorporated	$4,088,000	+4.2%	177,034	-3.3%	0.40%	+3.6%
VMD	Sell	Viemed Healthcare, Inc.(Canada	$4,051,000	-47.9%	728,833	-32.8%	0.40%	-48.1%
NUVB	Sell	Nuvation Bio, Inc.	$3,976,000	-4.2%	400,000	-10.3%	0.39%	-4.9%
	New	DoubleDown Interactive Co. Ltd	$3,962,000	–	224,976	+100.0%	0.39%	–
NMTC		NeuroOne Medical Technologies	$3,950,000	-40.4%	1,000,001	0.0%	0.39%	-40.7%
	New	Orbital Energy Group, Inc.	$3,898,000	–	1,265,669	+100.0%	0.38%	–
INVO		INVO Bioscience, Inc.	$3,744,000	-30.5%	1,159,075	0.0%	0.37%	-31.0%
NEON	Sell	Neonode, Inc.	$3,710,000	+31.8%	367,695	-19.4%	0.36%	+30.9%
	New	Reservior Media, Inc.	$3,683,000	–	404,319	+100.0%	0.36%	–
		Ideal Power, Inc.	$3,581,000	+19.8%	235,271	0.0%	0.35%	+19.0%
MUDS	Sell	Mudrick Capital Acquisition Co	$3,485,000	-37.9%	350,301	-22.2%	0.34%	-38.3%
PGNY	Buy	Progyny, Inc.	$3,360,000	+13.9%	60,000	+20.0%	0.33%	+13.4%
UGRO		urban-gro, Inc.	$3,348,000	+44.9%	251,889	0.0%	0.33%	+44.3%
EGLX		Enthusiast Gaming Holdings,Inc	$3,237,000	-39.2%	897,100	0.0%	0.32%	-39.5%
MOVE		Movano, Inc.	$3,240,000	-29.3%	900,000	0.0%	0.32%	-29.6%
CDNA	Sell	CareDx, Inc.	$3,168,000	-39.3%	50,000	-12.3%	0.31%	-39.6%
MSGM	Sell	Motorsports Games, Inc.	$3,116,000	+1.5%	218,494	-0.4%	0.31%	+1.0%
ONEW	Sell	OneWater Marine, Inc. - CL A	$3,079,000	-6.0%	76,571	-1.8%	0.30%	-6.5%
OPK		OPKO Health, Inc.	$2,920,000	-9.9%	800,000	0.0%	0.29%	-10.3%
	New	Sera Prognostics, Inc.	$2,886,000	–	259,737	+100.0%	0.28%	–
DHX		DHI Group, Inc.	$2,861,000	+40.9%	601,000	0.0%	0.28%	+40.5%
OCX	Buy	Oncocyte Corp.	$2,553,000	-33.3%	717,000	+7.5%	0.25%	-33.6%
EMAN		eMagin Corporation	$2,533,000	-35.1%	1,120,887	0.0%	0.25%	-35.3%
ETON		Eton Pharmaceuticals, Inc.	$2,520,000	-18.2%	500,000	0.0%	0.25%	-18.8%
BLU		Bellus Health, Inc.	$2,456,000	+97.4%	400,000	0.0%	0.24%	+95.9%
BITF	Buy	Bitfarms, Ltd. of Canada (Cana	$2,430,000	+34.4%	572,838	+24.5%	0.24%	+33.7%
CMPS	Sell	Compass Pathways PLC (Great B	$2,390,000	-37.4%	80,000	-20.0%	0.24%	-37.7%
GOEDWS		1847 Goedeker, Inc 5/26/22-12/warrants	$2,239,000	-21.5%	1,333,000	0.0%	0.22%	-22.0%
QUIK		QuickLogic Corporation	$2,226,000	-25.8%	415,230	0.0%	0.22%	-26.4%
SGLB		Sigma Labs, Inc.	$2,135,000	-21.5%	697,785	0.0%	0.21%	-21.9%
IDN		Intellicheck, Inc.	$2,048,000	-2.2%	250,010	0.0%	0.20%	-2.9%
CYRX		Cryoport, Inc.	$1,995,000	+5.4%	30,000	0.0%	0.20%	+4.8%
ITI		Iteris, Inc.	$1,876,000	-20.6%	355,359	0.0%	0.18%	-21.0%
COO		The Cooper Companies, Inc.	$1,860,000	+4.3%	4,500	0.0%	0.18%	+4.0%
QIPT	New	Quipt Home Medical Corp.	$1,859,000	–	294,600	+100.0%	0.18%	–
RUN		Sunrun, Inc.	$1,760,000	-21.1%	40,000	0.0%	0.17%	-21.4%
ROCR	Sell	Roth CH Acquisition III Co.	$1,676,000	-15.1%	168,600	-15.7%	0.16%	-15.9%
TKNO	Sell	Alpha Teknova, Inc.	$1,493,000	-37.1%	60,000	-40.0%	0.15%	-37.2%
GOED	Buy	1847 Goedeker, Inc.	$1,491,000	-16.3%	474,850	+2.7%	0.15%	-17.0%
PRTC		PureTech Health PLC-ADR (Brita	$1,440,000	-2.0%	30,000	0.0%	0.14%	-2.8%
LLNW		Limelight Networks, Inc.	$1,320,000	-24.4%	554,604	0.0%	0.13%	-24.4%
APEI	Sell	American Public Education, Inc	$1,282,000	-82.2%	50,070	-80.3%	0.13%	-82.3%
SNCR	Sell	Synchronoss Technologies, Inc.	$1,265,000	-41.3%	526,980	-12.2%	0.12%	-41.8%
BLIN	Sell	Bridgeline Digital, Inc.	$1,233,000	-52.2%	300,000	-50.0%	0.12%	-52.5%
JOB	Sell	Gee Group, Inc.	$1,061,000	-28.4%	2,285,192	-11.6%	0.10%	-28.8%
VQSLF	New	VIQ Solutions, Inc.	$1,052,000	–	355,400	+100.0%	0.10%	–
WAVE	New	Eco Wave Power Global AB (Swe	$1,021,000	–	150,000	+100.0%	0.10%	–
AZYO	Sell	Aziyo Biologics, Inc.	$896,000	-46.9%	126,720	-27.9%	0.09%	-47.3%
MIRO	Buy	Miromatrix Medical, Inc.	$812,000	-39.4%	116,688	+1.5%	0.08%	-39.4%
	New	Zevia PBC - A	$807,000	–	70,122	+100.0%	0.08%	–
JRSH	New	Jerash Holdings US, Inc.	$739,000	–	110,000	+100.0%	0.07%	–
	New	MaxCyte, Inc.	$610,000	–	50,000	+100.0%	0.06%	–
QMCO		Quantum Corp.	$605,000	-24.8%	116,850	0.0%	0.06%	-25.3%
ZEAL		Zealand Pharma A/S ADR (Denmar	$560,000	-5.1%	19,981	0.0%	0.06%	-5.2%
	New	Senstar Technologies Ltd.	$313,000	–	79,070	+100.0%	0.03%	–
		Ocean Power Technologies @3.85warrants	$190,000	-29.4%	464,280	0.0%	0.02%	-29.6%
AQMS		Aqua Metals, Inc.	$115,000	-30.7%	55,474	0.0%	0.01%	-31.2%
ROCRW		Roth CH Acquisition III Co @11warrants	$64,000	-22.0%	50,000	0.0%	0.01%	-25.0%
TLMD	Exit	Soc Telemed, Inc.	$0	–	-25,000	-100.0%	-0.01%	–
	Exit	Verb Technology Company, Inc.	$0	–	-285,050	-100.0%	-0.06%	–
	Exit	Stryve Foods, Inc.	$0	–	-100,000	-100.0%	-0.10%	–
MAGS	Exit	Magal Security System, Ltd (Is	$0	–	-231,618	-100.0%	-0.11%	–
JYNT	Exit	The Joint Corp.	$0	–	-14,788	-100.0%	-0.12%	–
	Exit	Sema4 Holdings Corp.	$0	–	-100,000	-100.0%	-0.14%	–
	Exit	DermTech, Inc.	$0	–	-40,000	-100.0%	-0.16%	–
CELH	Exit	Celsius Holdings, Inc.	$0	–	-25,000	-100.0%	-0.19%	–
CLSK	Exit	CleanSpark, Inc.	$0	–	-134,000	-100.0%	-0.22%	–
IPA	Exit	ImmunoPrecise Antibodies, Ltd.	$0	–	-398,145	-100.0%	-0.24%	–
APRN	Exit	Blue Apron Holdings, Inc.	$0	–	-625,000	-100.0%	-0.26%	–
RETA	Exit	Reata Pharmaceuticals, Inc.	$0	–	-20,000	-100.0%	-0.28%	–
MDNA	Exit	Medicenna Therapeutics Corp.	$0	–	-1,000,000	-100.0%	-0.30%	–
ONDS	Exit	Ondas Holding, Inc.	$0	–	-700,000	-100.0%	-0.55%	–
GBIO	Exit	Generation Bio Co.	$0	–	-225,599	-100.0%	-0.60%	–
ROCC	Exit	Roth Ch Acquisition II Co. (Re	$0	–	-713,322	-100.0%	-0.70%	–
SHSP	Exit	SharpSpring, Inc.	$0	–	-968,353	-100.0%	-1.61%	–

Original filings

The following EDGAR filing(s) were analyzed to create this report:

View 13F-HR filed 2021-11-15

Signatures

The EDGAR filing(s) were signed by:

David Greenhouse — Executive Vice President

Top long-term holdings

Name	Quarters owned	Latest quarter owned	Max weighting
CEVA, Inc.	36	Q3 2023	7.5%
LivePerson, Inc.	36	Q3 2023	6.3%
Pfsweb, Inc.	36	Q3 2023	4.9%
Kopin Corporation	36	Q3 2023	5.1%
LeMaitre Vascular, Inc.	36	Q3 2023	4.0%
Infusystem Holdings, Inc.	36	Q3 2023	4.8%
Ultra Clean Holdings, Inc.	36	Q3 2023	4.0%
Repligen Corporation	36	Q3 2023	2.8%
OPKO Health, Inc.	35	Q3 2023	0.8%
American Superconductor Corpor	34	Q3 2023	3.8%

View AWM Investment Company, Inc.'s complete holdings history.

Latest significant ownerships (13-D/G)

AWM Investment Company, Inc. Q3 2021 significant holdings filed using form 13D/G when ownership exceeds 5% of a company's total stock issue.
	Filed	Shares	Percentage
INVO Bioscience, Inc.	September 08, 2023	63,193	2.6%
SEQUANS COMMUNICATIONS	September 08, 2023	2,591,075	4.4%
LIQTECH INTERNATIONAL INC	July 10, 2023	250,000	4.4%
VIQ Solutions Inc.	July 10, 2023	1,700,000	4.7%
G Medical Innovations Holdings Ltd.^{Sold out}	May 10, 2023	0	0.0%
MINERVA SURGICAL INC	May 10, 2023	2,109,444	1.2%
AEHR TEST SYSTEMS	April 11, 2023	1,328,713	4.8%
EMAGIN CORP	April 11, 2023	3,135,967	3.7%
CENTURY CASINOS INC /CO/	February 14, 2023	1,644,037	5.5%
EVERSPIN TECHNOLOGIES INC	February 14, 2023	2,006,241	9.9%

View AWM Investment Company, Inc.'s complete significant-ownership history.

Latest filings

Type	Filed
4	2024-04-17
3	2024-04-12
SC 13G/A	2024-03-06
4	2024-03-01
13F-HR	2024-02-14
SC 13G/A	2024-02-14
SC 13G/A	2024-02-14
SC 13G/A	2024-02-14
SC 13G/A	2024-02-14
SC 13G/A	2024-02-14

View AWM Investment Company, Inc.'s complete filings history.

All filings

View complete filings history.

Compare quarters

Issues

The following issues were detected while analyzing the report:

The reported total value is incorrect (1019058000.0 != 1019056000.0)

Export AWM Investment Company, Inc.'s holdings