|
⚲
|
| AWM Investment Company Inc
✚
|
|
|---|---|
| CRD # | 110346 |
| SEC # | 801-40415 |
| CIK # | 0001535264 |
| AUM | $900.4 MM (2024-03-28) |
| Employees | 15 (53% Investors, 0% Brokers) |
| Phone | 212-319-6670 |
| Address | Special Situations Funds New York, NY 10022 |
| Source | [IAPD] [EDGAR] |
| Total AUM ($MM) |
|---|
| Sector | Form 13F Holdings | Cap ($MM) | Value ($MM) |
|---|---|---|---|
| ADMA | 396.6 | 57.0 | |
| AMSC | 142.9 | 50.4 | |
| PI | 1,421.8 | 45.7 | |
| DXLG | 234.2 | 34.2 | |
| ASPN | 530.8 | 28.3 | |
| AVAV | 2,035.8 | 18.7 | |
| LMAT | 1,002.1 | 16.5 | |
| ARBE | 355.5 | 14.7 | |
| NGS | 148.4 | 14.3 | |
| AEHR | 210.5 | 14.0 | |
| View All | |||
| Holdings by Sector ($MM) |
|---|
| Type | Form D Funds | Date | Sold ($MM) | AUM ($MM) |
|---|---|---|---|---|
| VC | Life Sciences Innovation Fund II LP | [2022-03-31] | 10.8 | 10.8 |
| VC | Life Sciences Innovation Fund LP | [2019-03-29] | 8.2 | 14.3 |
| HF | Special Situations Cayman Fund LP | 2012-03-27 | 110.5 | |
| HF | Special Situations Fund III QP LP | [2012-03-27] | 784.4 | 380.9 |
| HF | Special Situations Life Sciences Fund LP | 2012-03-27 | 118.8 | |
| HF | Special Situations Private Equity Fund LP | 2012-03-27 | 65.7 | |
| HF | Special Situations Technology Fund II LP | 2012-03-27 | 167.8 | |
| HF | Special Situations Technology Fund LP | 2012-03-27 | 31.6 |
| AUM Breakdown | Accounts | AUM ($MM) |
|---|---|---|
| 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 | 900.4 |
| (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 | 900.4 |
| By Discretionary | ||
| Discretionary | 8 | 900.4 |
| Non-Discretionary | 0 | 0.0 |
| Total | 8 | 900.4 |
| By Non-United States Persons | ||
| Non-United States Persons | 110.5 | |
| United States Persons | 789.8 | |
| Total | 8 | 900.4 |
| Form D Directors | # Filings | # Firms | 2011 - 2024 |
|---|---|---|---|
| Adam Stettner | 10 | ||
| Austin Marxe | 10 | ||
| David Sable | 10 | ||
| David Greenhouse | 8 | ||
| AWM Investment Company Inc | 7 | ||
| MGP Advisers LP | 2 | ||
| Dianne Marxe | 2 | ||
| Life Sciences Innovation GP LLC | 1 | ||
| Life Sciences Innovation Fund GP LLC | 1 |
| EDGAR Form | CIK | 2011 - 2024 |
|---|---|---|
| 13F-HR | [0001535264] | |
| 3 | [0001535264] | |
| 4 | [0001535264] | |
| SC 13G | [0001535264] |
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