AWM Investment Company Inc

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AWM Investment Company Inc ✚
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) Copy

In the News
Wed, 08 Jul 2026	AWM Investment Company reports 820,000 shares in SUNE (19.9%) — Stock Titan

CIK	Period
0001535264	2026-03-31 2025-12-31 2025-09-30 2025-06-30 2025-03-31 2024-12-31 2024-09-30 2024-06-30 2024-03-31 2023-12-31 2023-09-30 2023-06-30 2023-03-31 2022-12-31 2022-09-30 2022-06-30 2022-03-31 2021-12-31 2021-09-30 2021-06-30 2021-03-31 2020-12-31 2020-09-30 2020-06-30 2020-03-31 2019-12-31 2019-09-30 2019-06-30 2019-03-31 2018-12-31 2018-09-30 2018-06-30 2018-03-31 2017-12-31 2017-09-30 2017-06-30 2017-03-31 2016-12-31 2016-09-30 2016-06-30 2016-03-31 2015-12-31 2015-09-30 2015-06-30 2015-03-31 2014-12-31

CIK

Period

0001535264

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
	Lightpath Technologies Inc	20.4
	MIND Medicine Mindmed Inc	20.4
	Hudson Executive Investment Corp	19.8
	JAWS Spitfire Acquisition Corp	18.6
	Everspin Technologies Inc	18.3
	Arlo Technologies Inc	18.0
	Longview Acquisition Corp	17.9
	Universal Technical Institute Inc	17.7
	CEVA Inc	16.2
	Powerfleet Inc	14.5
	Therealreal Inc	13.5
	Radcom Ltd	12.1
	Mdxhealth Sa	12.0
	Experience Investment Corp	11.8
	LRAD Corp	10.3
	Sandbridge Acquisition Corp	10.2
	Gamblingcom Group Ltd	9.6
	ASP Isotopes Inc	9.4
	Oncocyte Corp	9.2
	Alpha Cognition Inc	9.2
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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
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]

Form 13D/13G Filer	Form 13D/13G Subject	Filed
AWM Investment Company Inc	Sunation Energy Inc	[2026-07-08]
AWM Investment Company Inc	Gamblingcom Group Ltd	[2026-05-04]
AWM Investment Company Inc	Modular Medical Inc	[2026-05-04]
AWM Investment Company Inc	5E Advanced Materials Inc	[2026-05-04]
AWM Investment Company Inc	Willow Lane Acquisition Corp	[2026-05-04]
AWM Investment Company Inc	Owlet Inc	[2026-02-13]
AWM Investment Company Inc	Beeline Holdings Inc	[2026-02-13]
AWM Investment Company Inc	Brazil Potash Corp	[2026-02-13]
AWM Investment Company Inc	RANI Therapeutics Holdings Inc	[2026-02-13]
AWM Investment Company Inc	VELO3D Inc	[2025-11-13]
View All

Firm Profile (Form ADV)
Discretionary AUM	$0.5B
Serves	Institutional
Fund Types	Hedge Fund
LEI	254900DH7DV9J5DJ8B29

Form 3/4/5 Subject	2011 - 2026
AWM Investment Company Inc
908 Devices Inc
Communications Systems Inc
Gaia Inc
Flash Sports & Media Holdings Inc
LRAD Corp
Real Good Food Company Inc
Societal CDMO Inc
Emcore Corp
G Medical Innovations Holdings Ltd
View All

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

Comparable Firms	State	AUM
12 West Capital Management LP ✚	NY	1,347.9 M
Standard Crypto Management LP ✚		1,347.2 M
Strategy Capital LLC ✚	CA	1,344.5 M
Versor Investments LP ✚	NY	1,336.2 M
Old Peak Limited ✚		1,327.5 M
TriplePoint Advisers LLC ✚	CA	1,306.2 M
Metacapital Management LP ✚	NY	1,305.6 M
Prescott Group Capital Management LLC ✚	OK	1,298.4 M
SIO Capital Management LLC ✚	NY	1,293.1 M
Zentific Investment Management Limited ✚		1,290.5 M

AWM Investment Company Inc

Assets, Funds, Holdings