# EDGAR Filing Document

**Accession Number:** 0001535264
**File Stem:** 0001535264-26-000032
**Filing Date:** 2026-5
**Character Count:** 13632
**Document Hash:** aa0102f0a0133bdcce303baa037b8d9e
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001535264-26-000032.hdr.sgml**: 20260515

**ACCESSION NUMBER**: 0001535264-26-000032

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20260331

**FILED AS OF DATE**: 20260515

**DATE AS OF CHANGE**: 20260515

**EFFECTIVENESS DATE**: 20260515

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** AWM Investment Company, Inc.
- **CENTRAL INDEX KEY:** 0001535264

**ORGANIZATION NAME:**
- **EIN:** 113086452
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-16479
- **FILM NUMBER:** 26986118

**BUSINESS ADDRESS:**
- **STREET 1:** 527 MADISON AVENUE
- **STREET 2:** SUITE 2600
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10022
- **BUSINESS PHONE:** 212-319-6670

**MAIL ADDRESS:**
- **STREET 1:** 527 MADISON AVENUE
- **STREET 2:** SUITE 2600
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10022

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 03-31-2026

**Check here if Amendment** [ ] **Amendment Number:** 

**This Amendment (Check only one.):** [ ] is a restatement.

[ ] adds new holdings entries.

**Institutional Investment Manager Filing this Report:**

**Name:** AWM Investment Company Inc.<br>**Address:** 527 MADISON AVENUE<br>SUITE 2600<br>NEW YORK, NY 10022

**Form 13F File Number:** 028-16479

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

**Person Signing this Report on Behalf of Reporting Manager:**

**Name:** David Greenhouse<br>**Title:** President<br>**Phone:** 212-319-6670

**Signature, Place, and Date of Signing:**

David Greenhouse  New York, NY  05-15-2026<br>[Signature]  [City, State]  [Date]

**Report Type (Check only one.):**

[x] **13F HOLDINGS REPORT.** (Check here if all holdings of this reporting manager are reported in this report.)

[ ] **13F NOTICE.** (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).)

[ ] **13F COMBINATION REPORT.** (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)

### Form 13F Summary Page

**Report Summary:**

**Number of Other Included Managers:** 0

**Form 13F Information Table Entry Total:** 98

**Form 13F Information Table Value Total:** $903396087

      (round to nearest dollar)

**List of Other Included Managers:**

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

**NONE**

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| 5E Advanced Materials Inc. | COM | 33830Q208 |  | 4550000 | 3250000 | SH |  | SOLE |  | 3250000 | 0 | 0 |
| 908 Devices Inc. | COM | 65443P102 |  | 31823535 | 5199924 | SH |  | SOLE |  | 5199924 | 0 | 0 |
| ASP Isotopes Inc. | COM | 00218A105 |  | 9390272 | 2124496 | SH |  | SOLE |  | 2124496 | 0 | 0 |
| Abacus Life Inc. | COM | 00258Y104 |  | 1400843 | 177772 | SH |  | SOLE |  | 177772 | 0 | 0 |
| Abeona Therapeutics Inc. | COM | 00289Y206 |  | 3598022 | 803130 | SH |  | SOLE |  | 803130 | 0 | 0 |
| Aehr Test Systems | COM | 00760J108 |  | 59104445 | 1593971 | SH |  | SOLE |  | 1593971 | 0 | 0 |
| Aeluma Inc. | COM | 00776X109 |  | 2618000 | 200000 | SH |  | SOLE |  | 200000 | 0 | 0 |
| Aerovironment Inc. | COM | 008073108 |  | 23916947 | 130658 | SH |  | SOLE |  | 130658 | 0 | 0 |
| Allot Ltd. (Israel) | COM | M0854Q105 |  | 4160502 | 624700 | SH |  | SOLE |  | 624700 | 0 | 0 |
| Alpha Cognition Inc.(Canada) | COM | 02074J501 |  | 9180202 | 1672168 | SH |  | SOLE |  | 1672168 | 0 | 0 |
| Alto Neuroscience Inc. | COM | 02157Q109 |  | 3821600 | 170000 | SH |  | SOLE |  | 170000 | 0 | 0 |
| American Public Education Inc | COM | 02913V103 |  | 3043080 | 53500 | SH |  | SOLE |  | 53500 | 0 | 0 |
| American Superconductor Corp | COM | 030111207 |  | 27134295 | 801604 | SH |  | SOLE |  | 801604 | 0 | 0 |
| Anteris Technologies Global Co | COM | 03675P102 |  | 638250 | 115000 | SH |  | SOLE |  | 115000 | 0 | 0 |
| Aquestive Therapeutics Inc. | COM | 03843E104 |  | 1122160 | 270400 | SH |  | SOLE |  | 270400 | 0 | 0 |
| Arbe Robotics Ltd.(Israel) | COM | M1R95N100 |  | 3600157 | 5901897 | SH |  | SOLE |  | 5901897 | 0 | 0 |
| Arlo Technologies Inc. | COM | 04206A101 |  | 18002501 | 1265109 | SH |  | SOLE |  | 1265109 | 0 | 0 |
| Atrium Therapeutics Inc. | COM | 04965N104 |  | 668500 | 50000 | SH |  | SOLE |  | 50000 | 0 | 0 |
| Aviat Networks Inc. | COM | 05366Y201 |  | 3746997 | 165723 | SH |  | SOLE |  | 165723 | 0 | 0 |
| Aytu BioPharma Inc. | COM | 054754858 |  | 1691437 | 619574 | SH |  | SOLE |  | 619574 | 0 | 0 |
| Backblaze Inc. | COM | 05637B105 |  | 4830573 | 1400166 | SH |  | SOLE |  | 1400166 | 0 | 0 |
| Beeline Holdings Inc. | COM | 277802500 |  | 4344306 | 1848641 | SH |  | SOLE |  | 1848641 | 0 | 0 |
| Benitec Biopharma Inc. | COM | 08205P209 |  | 2001955 | 187977 | SH |  | SOLE |  | 187977 | 0 | 0 |
| Black Diamond Therapeutics In | COM | 09203E105 |  | 1118250 | 525000 | SH |  | SOLE |  | 525000 | 0 | 0 |
| BlackSky Technology Inc. | COM | 09263B207 |  | 43416348 | 1725610 | SH |  | SOLE |  | 1725610 | 0 | 0 |
| Brazil Potash Corp. | COM | 10586A108 |  | 7220664 | 2228600 | SH |  | SOLE |  | 2228600 | 0 | 0 |
| Butterfly Network Inc. | COM | 124155102 |  | 17899596 | 4430593 | SH |  | SOLE |  | 4430593 | 0 | 0 |
| CEVA Inc. | COM | 157210105 |  | 16154576 | 864806 | SH |  | SOLE |  | 864806 | 0 | 0 |
| Century Casinos Inc. | COM | 156492100 |  | 889369 | 639834 | SH |  | SOLE |  | 639834 | 0 | 0 |
| Citi Trends Inc. | COM | 17306X102 |  | 7196622 | 166127 | SH |  | SOLE |  | 166127 | 0 | 0 |
| Crinetics Pharmaceuticals Inc | COM | 22663K107 |  | 3632000 | 100000 | SH |  | SOLE |  | 100000 | 0 | 0 |
| Cryoport Inc. | COM | 229050307 |  | 505999 | 61111 | SH |  | SOLE |  | 61111 | 0 | 0 |
| CytomX Therapeutics Inc. | COM | 23284F105 |  | 705000 | 150000 | SH |  | SOLE |  | 150000 | 0 | 0 |
| DHI Group Inc. | COM | 23331S100 |  | 1398531 | 497698 | SH |  | SOLE |  | 497698 | 0 | 0 |
| Definium Therapeutics Inc. | COM | 24477V105 |  | 20353278 | 1076893 | SH |  | SOLE |  | 1076893 | 0 | 0 |
| Destination XL Group Inc. | COM | 25065K104 |  | 4793641 | 9399297 | SH |  | SOLE |  | 9399297 | 0 | 0 |
| DiaMedica Therapeutics Inc. | COM | 25253X207 |  | 243720 | 36000 | SH |  | SOLE |  | 36000 | 0 | 0 |
| Eledon Pharmaceuticals Inc. | COM | 28617K101 |  | 3388000 | 1100000 | SH |  | SOLE |  | 1100000 | 0 | 0 |
| Everspin Technology Inc. | COM | 30041T104 |  | 18258948 | 2077241 | SH |  | SOLE |  | 2077241 | 0 | 0 |
| Fennec Pharmaceuticals Inc. | COM | 31447P100 |  | 4428830 | 720135 | SH |  | SOLE |  | 720135 | 0 | 0 |
| Forte Biosciences Inc. | COM | 34962G208 |  | 5180000 | 200000 | SH |  | SOLE |  | 200000 | 0 | 0 |
| Gaia Inc. | COM | 36269P104 |  | 3468289 | 1252090 | SH |  | SOLE |  | 1252090 | 0 | 0 |
| Galaxy Digital Inc.-Class A | COM | 36317J209 |  | 8210250 | 445000 | SH |  | SOLE |  | 445000 | 0 | 0 |
| Gambling.com Group Ltd. | COM | G3R239101 |  | 9647531 | 2486477 | SH |  | SOLE |  | 2486477 | 0 | 0 |
| Genasys Inc. (F4) | COM | 36872P103 |  | 10282170 | 5649544 | SH |  | SOLE |  | 5649544 | 0 | 0 |
| Gilat Satellite Networks Ltd. | COM | M51474118 |  | 34587560 | 2302767 | SH |  | SOLE |  | 2302767 | 0 | 0 |
| GrowGeneration Corp. | COM | 39986L109 |  | 3718862 | 3380784 | SH |  | SOLE |  | 3380784 | 0 | 0 |
| Hippo Holdings Inc. | COM | 433539202 |  | 2606000 | 100000 | SH |  | SOLE |  | 100000 | 0 | 0 |
| Ideal Power Inc. | COM | 451622203 |  | 3387083 | 1196849 | SH |  | SOLE |  | 1196849 | 0 | 0 |
| Impinj Inc. | COM | 453204109 |  | 21260749 | 207018 | SH |  | SOLE |  | 207018 | 0 | 0 |
| InfuSystem Holdings Inc. | COM | 45685K102 |  | 1855941 | 201077 | SH |  | SOLE |  | 201077 | 0 | 0 |
| Insight Molecular Diagnostic | COM | 68235C206 |  | 9204520 | 2806256 | SH |  | SOLE |  | 2806256 | 0 | 0 |
| Kopin Corporation | COM | 500600101 |  | 26583327 | 11814812 | SH |  | SOLE |  | 11814812 | 0 | 0 |
| LSI Industries Inc. | COM | 50216C108 |  | 3275404 | 176097 | SH |  | SOLE |  | 176097 | 0 | 0 |
| LightPath Technologies Inc. | COM | 532257805 |  | 20437228 | 2037610 | SH |  | SOLE |  | 2037610 | 0 | 0 |
| MDxHealth SA    (Belgium) | COM | B5950S113 |  | 12008949 | 5221282 | SH |  | SOLE |  | 5221282 | 0 | 0 |
| MaxCyte Inc. | COM | 5777K1061 |  | 351250 | 500000 | SH |  | SOLE |  | 500000 | 0 | 0 |
| Modular Medical Inc. | COM | 60785L306 |  | 1935996 | 366666 | SH |  | SOLE |  | 366666 | 0 | 0 |
| Natural Gas Services GroupInc | COM | 63886Q109 |  | 8105646 | 214776 | SH |  | SOLE |  | 214776 | 0 | 0 |
| Nektar Therapeutics | COM | 640268306 |  | 1439000 | 20000 | SH |  | SOLE |  | 20000 | 0 | 0 |
| NextCure Inc. | COM | 65343E207 |  | 1234743 | 117371 | SH |  | SOLE |  | 117371 | 0 | 0 |
| Nextdoor Holdings Inc. | COM | 65345M108 |  | 3015373 | 2153838 | SH |  | SOLE |  | 2153838 | 0 | 0 |
| Nkarta Inc. | COM | 65487U108 |  | 1911660 | 906000 | SH |  | SOLE |  | 906000 | 0 | 0 |
| OPKO Health Inc. | COM | 68375N103 |  | 2394000 | 2100000 | SH |  | SOLE |  | 2100000 | 0 | 0 |
| Ooma Inc. | COM | 683416101 |  | 5981621 | 411108 | SH |  | SOLE |  | 411108 | 0 | 0 |
| OptimizeRx Corporation | COM | 68401U204 |  | 1447044 | 230421 | SH |  | SOLE |  | 230421 | 0 | 0 |
| OrthoPediatrics Corporation | COM | 68752L100 |  | 3763872 | 237169 | SH |  | SOLE |  | 237169 | 0 | 0 |
| Ouster Inc. | COM | 68989M202 |  | 3416820 | 186000 | SH |  | SOLE |  | 186000 | 0 | 0 |
| Owlet Inc. | COM | 69120X206 |  | 10169336 | 1978470 | SH |  | SOLE |  | 1978470 | 0 | 0 |
| Palvella Therapeutics Inc. | COM | 697947109 |  | 8652704 | 69416 | SH |  | SOLE |  | 69416 | 0 | 0 |
| Paysign Inc. | COM | 70451A104 |  | 2277193 | 385965 | SH |  | SOLE |  | 385965 | 0 | 0 |
| PepGen Inc. | COM | 713317105 |  | 3240737 | 1830925 | SH |  | SOLE |  | 1830925 | 0 | 0 |
| PowerFleet Inc. | COM | 73931J109 |  | 14480638 | 4701506 | SH |  | SOLE |  | 4701506 | 0 | 0 |
| Progyny Inc. | COM | 74340E103 |  | 3735600 | 220000 | SH |  | SOLE |  | 220000 | 0 | 0 |
| RADCOM Ltd. (Israel) | COM | M81865111 |  | 12053734 | 991261 | SH |  | SOLE |  | 991261 | 0 | 0 |
| Rani Therapeutics HoldingsInc | COM | 753018100 |  | 4776200 | 6500000 | SH |  | SOLE |  | 6500000 | 0 | 0 |
| Red Cat Holdings Inc. | COM | 75644T100 |  | 4901681 | 374460 | SH |  | SOLE |  | 374460 | 0 | 0 |
| Reservoir Media Inc. | COM | 76119X105 |  | 5400105 | 551594 | SH |  | SOLE |  | 551594 | 0 | 0 |
| SAB Biotherapeutics Inc. | COM | 78397T202 |  | 1532000 | 400000 | SH |  | SOLE |  | 400000 | 0 | 0 |
| SANUWAVE Health Inc. | COM | 80303D305 |  | 7859170 | 454550 | SH |  | SOLE |  | 454550 | 0 | 0 |
| Satellos Bioscience Inc. (Can | COM | 80401L308 |  | 1211027 | 215000 | SH |  | SOLE |  | 215000 | 0 | 0 |
| Sera Prognostics Inc. | COM | 81749D107 |  | 420985 | 207382 | SH |  | SOLE |  | 207382 | 0 | 0 |
| Spire Global Inc. | COM | 848560306 |  | 5394468 | 428813 | SH |  | SOLE |  | 428813 | 0 | 0 |
| Strata Critical Medical Inc. | COM | 092667104 |  | 11793736 | 2821468 | SH |  | SOLE |  | 2821468 | 0 | 0 |
| Talkspace Inc. | COM | 87427V103 |  | 19804166 | 3826892 | SH |  | SOLE |  | 3826892 | 0 | 0 |
| The Lovesac Company | COM | 54738L109 |  | 7385030 | 500002 | SH |  | SOLE |  | 500002 | 0 | 0 |
| The Real Brokerage Inc.(Canad | COM | 75585H206 |  | 5639850 | 2255940 | SH |  | SOLE |  | 2255940 | 0 | 0 |
| The RealReal Inc. | COM | 88339P101 |  | 13473331 | 1483847 | SH |  | SOLE |  | 1483847 | 0 | 0 |
| Tigo Energy Inc. | COM | 88675P103 |  | 8087497 | 2150930 | SH |  | SOLE |  | 2150930 | 0 | 0 |
| TriSalus Life Sciences Inc. | COM | 89680M101 |  | 8316420 | 2079105 | SH |  | SOLE |  | 2079105 | 0 | 0 |
| Ultra Clean Holdings Inc. | COM | 90385V107 |  | 711464 | 11442 | SH |  | SOLE |  | 11442 | 0 | 0 |
| Universal Technical Institute | COM | 913915104 |  | 17656438 | 489098 | SH |  | SOLE |  | 489098 | 0 | 0 |
| Velo3D Inc. | COM | 92259N302 |  | 18576068 | 1978282 | SH |  | SOLE |  | 1978282 | 0 | 0 |
| Vicor Corporation | COM | 925815102 |  | 46396980 | 288180 | SH |  | SOLE |  | 288180 | 0 | 0 |
| Willow Lane Acquisition Corp. | COM | G9675P102 |  | 8299534 | 779299 | SH |  | SOLE |  | 779299 | 0 | 0 |
| Xtant Medical Holdings Inc. | COM | 98420P308 |  | 3335116 | 5976910 | SH |  | SOLE |  | 5976910 | 0 | 0 |
| argenx SE - ADR  (Netherlands) | COM | 04016X101 |  | 2738437 | 3750 | SH |  | SOLE |  | 3750 | 0 | 0 |
| nLight Inc. | COM | 65487K100 |  | 58373598 | 1023739 | SH |  | SOLE |  | 1023739 | 0 | 0 |

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