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| AWM Investment Company Inc
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|---|---|
| CRD # | 110346 |
| SEC # | 801-40415 |
| CIK # | 0001535264 |
| AUM | 1,316.5 M (2026-03-31) |
| Employees | 14 (57% Investors, 0% Brokers) |
| Phone | 212-319-6670 |
| Address | Special Situations Funds New York, NY 10022 |
| Source | [IAPD] [EDGAR] |
| Total AUM ($M) |
|---|
| Sector | Form 13F Holdings | Value ($M) | |
|---|---|---|---|
| AEHR Test Systems | 59.1 | ||
| nLight Inc | 58.4 | ||
| Vicor Corp | 46.4 | ||
| Osprey Technology Acquisition Corp | 43.4 | ||
| Gilat Satellite Networks Ltd | 34.6 | ||
| 908 Devices Inc | 31.8 | ||
| American Superconductor Corp /DE/ | 27.1 | ||
| Kopin Corp | 26.6 | ||
| Aerovironment Inc | 23.9 | ||
| Impinj Inc | 21.3 | ||
| View All | |||
| Holdings by Sector ($M) |
|---|
| Type | Form D Funds | Date | Sold | AUM |
|---|---|---|---|---|
| VC | Life Sciences Innovation Fund II LP | [2022-03-31] | 10.8 M | 4.6 M |
| Filed 2023-07-20 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| VC | Life Sciences Innovation Fund LP | [2019-03-29] | 8.2 M | 3.7 M |
| Filed 2018-10-16 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration One year or less · Revenue Decline to Disclose | ||||
| HF | Special Situations Cayman Fund LP | 2012-03-27 | 173.6 M | |
| HF | Special Situations Fund III QP LP | [2012-03-27] | 784.8 M | 608.4 M |
| Filed 2025-07-22 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| HF | Special Situations Life Sciences Fund LP | 2012-03-27 | 124.8 M | |
| HF | Special Situations Private Equity Fund LP | 2012-03-27 | 74.6 M | |
| HF | Special Situations Technology Fund II LP | 2012-03-27 | 271.3 M | |
| HF | Special Situations Technology Fund LP | 2012-03-27 | 55.7 M | |
| AUM Breakdown | Accounts | AUM ($M) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 0 | 0.0 |
| (b) Individuals (high net worth individuals) | 0 | 0.0 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 8 | 1,316.5 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 0 | 0.0 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 8 | 1,316.5 |
| By Discretionary | ||
| Discretionary | 8 | 1,316.5 |
| Non-Discretionary | 0 | 0.0 |
| Total | 8 | 1,316.5 |
| By Non-United States Persons | ||
| Non-United States Persons | 173.6 | |
| United States Persons | 1,143.0 | |
| Total | 8 | 1,316.5 |
| Form D Directors | Role | # Filings | # Firms | 2011 - 2026 |
|---|---|---|---|---|
| Adam Stettner | Executive Officer | 11 | 2 | |
| David Sable | Executive Officer | 11 | 2 | |
| Austin Marxe | Executive Officer | 10 | 2 | |
| David Greenhouse | Executive Officer | 9 | 2 | |
| Awm Investment Company Inc | Executive Officer | 8 | 2 | |
| Mgp Advisers LP | Executive Officer | 2 | 2 | |
| Dianne Marxe | Director | 2 | 2 | |
| Life Sciences Innovation GP LLC | Executive Officer | 1 | 1 | |
| Life Sciences Innovation Fund GP LLC | Executive Officer | 1 | 1 |
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 13F-HR | [0001535264] | |
| 3 | [0001535264] | |
| 4 | [0001535264] | |
| SC 13G | [0001535264] |
| Firm Profile (Form ADV) | |
|---|---|
| Discretionary AUM | $0.5B |
| Serves | Institutional |
| Fund Types | Hedge Fund |
| LEI | 254900DH7DV9J5DJ8B29 |
| Insider Transaction (Form 3/4/5) | Date | Action | Shares | Price | Value ($) |
|---|---|---|---|---|---|
|
Gaia Inc gaia
Common Stock
|
2025-05-08 | Sell | 10,000 | $5.21 | 52,100 |
|
Gaia Inc gaia
Common Stock
|
2025-05-07 | Sell | 10,000 | $5.13 | 51,300 |
|
Flash Sports & Media Holdings Inc UGRO
Common Stock
|
2024-12-13 | Sell | 18,802 | $1.19 | 22,374 |
|
Flash Sports & Media Holdings Inc UGRO
Common Stock
|
2024-12-12 | Sell | 7,400 | $1.21 | 8,954 |
|
Flash Sports & Media Holdings Inc UGRO
Common Stock
|
2024-12-11 | Sell | 17,092 | $1.22 | 20,852 |
|
Flash Sports & Media Holdings Inc UGRO
Common Stock
|
2024-12-10 | Sell | 33,839 | $1.22 | 41,284 |
|
Flash Sports & Media Holdings Inc UGRO
Common Stock
|
2024-12-09 | Sell | 20,916 | $1.23 | 25,727 |
|
Flash Sports & Media Holdings Inc UGRO
Common Stock
|
2024-12-06 | Sell | 24,760 | $1.26 | 31,198 |
|
Flash Sports & Media Holdings Inc UGRO
Common Stock
|
2024-12-05 | Sell | 10,000 | $1.27 | 12,700 |
|
Flash Sports & Media Holdings Inc UGRO
Common Stock
|
2024-11-27 | Sell | 3 | $1.48 | 4 |
|
Flash Sports & Media Holdings Inc UGRO
Common Stock
|
2024-11-26 | Sell | 52,188 | $1.39 | 72,541 |
|
Flash Sports & Media Holdings Inc UGRO
Common Stock
|
2024-11-19 | Sell | 75 | $1.53 | 115 |
|
Flash Sports & Media Holdings Inc URGO
Common Stock
|
2024-11-14 | Sell | 22,920 | $1.56 | 35,755 |
|
Flash Sports & Media Holdings Inc UGRO
Common Stock
|
2024-11-13 | Sell | 8,194 | $1.44 | 11,799 |
|
Flash Sports & Media Holdings Inc UGRO
Common Stock
|
2024-11-12 | Sell | 4,159 | $1.46 | 6,072 |
|
Flash Sports & Media Holdings Inc UGRO
Common Stock
|
2024-11-11 | Sell | 7,653 | $1.50 | 11,480 |
|
Flash Sports & Media Holdings Inc URGO
Common Stock
|
2024-11-06 | Sell | 3,200 | $1.70 | 5,440 |
|
LRAD Corp GNSS
Common Stock
|
2024-11-05 | Sell | 28,732 | $3.69 | 106,021 |
|
LRAD Corp GNSS
Common Stock
|
2024-11-04 | Sell | 43 | $3.70 | 159 |
|
LRAD Corp GNSS
Common Stock
|
2024-11-01 | Sell | 71,225 | $3.67 | 261,396 |
| showing 20 of 200 most recent transactions | |||||
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