Hedge Fund Database

AWM INVESTMENT COMPANY INC

Adviser information for AWM INVESTMENT COMPANY INC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Corporation
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 15
Investment Advisory/Research 8
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 0
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 8 $900.4M
Non-Discretionary 0 $0
Total 8 $900.4M

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 8 $900.4M
Pension and profit sharing plans 0 $0
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 13

Services

Advisory Services Portfolio management for pooled investment vehicles
Compensation % of AUM

Identifiers

SEC RIA File Number 801-40415
SEC ERA File Number 801-40415
SEC CIK Numbers 1535264
SEC CRD Numbers 110346
Legal Entity Identifier 254900DH7DV9J5DJ8B29

Principal Office

SPECIAL SITUATIONS FUNDS
527 MADISON AVENUE, SUITE 2600
NEW YORK
NY
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 212-319-6670, Fax: 212-319-6677

Chief Compliance Officer

DAVID REIF
CHIEF COMPLIANCE OFFICER
SPECIAL SITUATIONS FUNDS
527 MADISON AVENUE, SUITE 2600
NEW YORK
NY
United States
Tel: 212-319-6670
Fax: 212-319-6677
(Full email address available in API data)

Regulatory Contact

MARIANNE HICKS KELLY
CHIEF ADMINISTRATIVE OFFICER
527 MADISON AVENUE
SUITE 2600
NEW YORK
NY
United States
Tel: 212-319-6670
Fax: 212-319-6677
(Full email address available in API data)

Industry Affiliates

LIFE SCIENCES INNOVATION GP LLC Sponsor, GP, manager of pooled investment vehicles
LS ADVISERS LLC Sponsor, GP, manager of pooled investment vehicles
MG ADVISERS LLC Sponsor, GP, manager of pooled investment vehicles
MGP ADVISERS LIMITED PARTNERSHIP Sponsor, GP, manager of pooled investment vehicles
SSCAYMAN LLC Sponsor, GP, manager of pooled investment vehicles
SST ADVISERS LLC Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
LIFE SCIENCES INNOVATION FUND II, L.P. Venture Capital Fund $10.8M $0.1M 35
LIFE SCIENCES INNOVATION FUND, L.P. Venture Capital Fund $14.3M $0.1M 39
SPECIAL SITUATIONS CAYMAN FUND, L.P. Hedge Fund $110.5M $0.1M 48
SPECIAL SITUATIONS FUND III QP, L.P. Hedge Fund $380.9M $0.1M 99
SPECIAL SITUATIONS LIFE SCIENCES FUND, L.P. Hedge Fund $118.8M $0.3M 60
SPECIAL SITUATIONS PRIVATE EQUITY FUND, L.P. Hedge Fund $65.7M $0.1M 32
SPECIAL SITUATIONS TECHNOLOGY FUND II, L.P. Hedge Fund $167.8M $0.1M 55
SPECIAL SITUATIONS TECHNOLOGY FUND, L.P. Hedge Fund $31.6M $0.1M 36

Control Persons

Name Type Entity Title Since Ownership
MARXE, AUSTIN, WOLFE Individual – OWNER 06/2022 5-10%
GREENHOUSE, DAVID, MICHAEL Individual – PRESIDENT 06/2022 50-75%
STETTNER, ADAM, CHARLES Individual – EXECUTIVE VICE PRESIDENT 06/2022 25-50%
Hicks Kelly, Marianne Individual – CHIEF ADMINISTRATIVE OFFICER 03/2024 < 5%
REIF, DAVID, ALAN Individual – CHIEF COMPLIANCE OFFICER 03/2024 < 5%

No. Employees, Historic

2010020202021202220232024202514 on 3/30/202014 on 5/5/202012 on 3/31/202113 on 3/31/202213 on 8/3/202214 on 3/31/202315 on 3/28/2024

RAUM, Historic

2B1B0202020212022202320242025635869613 on 3/30/2020635869613 on 5/5/2020997719317 on 3/31/20211221644447 on 3/31/20221221644447 on 8/3/2022842959433 on 3/31/2023900361242 on 3/28/2024

No. Clients, Historic

10502020202120222023202420257 on 3/30/20207 on 5/5/20207 on 3/31/20218 on 3/31/20228 on 8/3/20228 on 3/31/20238 on 3/28/2024

Holdings

From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
908 Devices, Inc. common 5M 1M –
ADMA Biologics, Inc. common 57M 5M –
AVITA Medical, Inc. common 580K 73K –
Abacus Life, Inc. common 2M 200K –
Aehr Test Systems common 14M 1M –
Aerovironment, Inc. common 19M 103K –
Alto Neuroscience, Inc. common 4M 329K –
American Public Education, Inc common 3M 150K –
American Superconductor Corp common 50M 2M –
Arbe Robotics, Ltd.(Israel) common 15M 8M –
Aspen Aerogels, Inc. common 28M 1M –
Aviat Networks, Inc. common 4M 131K –
Avid Bioservices, Inc. common 5M 694K –
Beam Global common 4M 950K –
Benitec Biopharma, Inc. common 4M 625K –
Bitcoin Depot, Inc. common 2M 937K –
Bitfarms, Ltd. (Canada)(U.S.) common 496K 193K –
BlackSky Technology, Inc. common 3M 3M –
Blade Air Mobility, Inc. common 9M 3M –
CEVA, Inc. common 10M 507K –
Century Casinos, Inc. common 5M 2M –
Cervomed, Inc. common 5M 314K –
Citi Trends, Inc. common 8M 359K –
Cognition Therapeutics, Inc. common 1M 650K –
Crinetics Pharmaceuticals, Inc common 2M 55K –
DHI Group, Inc. common 1M 581K –
Destination XL Group, Inc. common 34M 9M –
ElectroCore, Inc. common 3M 542K –
Everspin Technology, Inc. common 12M 2M –
Gaia, Inc. common 8M 2M –
Gambling.com Group Ltd. common 11M 1M –
Genasys, Inc. common 12M 6M –
Gilat Satellite Networks, Ltd. common 10M 2M –
GrowGeneration Corp. common 4M 2M –
Ideal Power, Inc. common 1M 162K –
Immunovant, Inc. common 1M 50K –
Impinj, Inc. common 46M 292K –
Infusystem Holdings, Inc. common 13M 2M –
J. Jill Group Inc. common 7M 190K –
Kopin Corporation common 4M 5M –
Lakeside Holding, LTD common 201K 50K –
Lantronix, Inc. common 1M 417K –
LeMaitre Vascular, Inc. common 16M 200K –
Leonardo DRS, Inc. common 6M 241K –
LightPath Technologies, Inc. common 2M 2M –
Lightbridge Corporation common 337K 100K –
Lilium N.V. (Germany) common 2M 2M –
LiqTech International, Inc. common 585K 250K –
LivePerson, Inc. common 1M 2M –
Markforged Holding Corp. common 251K 613K –
Mind Medicine (MindMed) Inc. common 6M 833K –
Modular Medical, Inc. common 1M 750K –
Movano, Inc. common 425K 2M –
Nano Dimension, Ltd. ADR (Isra common 1M 663K –
Natural Gas Services Group Inc common 14M 712K –
NeuroOne Medical Technologies common 760K 950K –
Nuvation Bio, Inc. common 4M 1M –
OPKO Health, Inc. common 2M 1M –
OncoCyte Corporation common 3M 1M –
Ooma, Inc. common 13M 1M –
OptimizeRx Corporation common 10M 1M –
OrthoPediatrics Corporation common 13M 452K –
Orthofix Medical, Inc. common 6M 449K –
Outbrain, Inc. common 1M 301K –
PowerFleet, Inc. common 16M 3M –
Proficient Auto Logistic,Inc. common 8M 522K –
Profire Energy, Inc. common 4M 3M –
Quipt Home Medical Corp. common 949K 295K –
RADCOM, Ltd. (Israel) common 8M 893K –
Red Cat Holdings, Inc. common 5M 4M –
Repligen Corporation common 9M 75K –
Reservoir Media, Inc. common 6M 717K –
Rocket Lab USA, Inc. common 970K 202K –
Savara, Inc. common 365K 91K –
Sera Prognostics, Inc. common 3M 521K –
Serve Robotics, Inc. common 4M 2M –
Silynxcom, Ltd. (Israel) common 2M 547K –
Spero Therapeutics, Inc. common 433K 333K –
Structure Therapeutics, Inc. common 1M 30K –
Synchronoss Technologies, Inc. common 5M 531K –
Talkspace, Inc. common 8M 3M –
The Lovesac Company common 12M 517K –
The Real Brokerage, Inc.(Canad common 9M 2M –
The RealReal, Inc. common 2M 729K –
Turtle Beach Corporation common 8M 547K –
Twin Vee PowerCats Co. common 433K 794K –
Ultra Clean Holdings, Inc. common 7M 142K –
Universal Technical Institute, common 9M 580K –
UroGen Pharma Ltd. common 168K 10K –
Usio,Inc. common 2M 1M –
Vicor Corporation common 12M 365K –
Viemed Healthcare, Inc. (Canad common 8M 1M –
Vital Farms, Inc. common 7M 157K –
XCel Brands, Inc. common 454K 769K –
argenx SE - ADR (Netherlands) common 11M 25K –
nLight, Inc. common 8M 741K –
urban-gro, Inc. common 2M 1M –
Clene Inc @1.50 6/16/30 (60day warrants 450K 5M –
Clene Inc. @1.10 6/16/26 (60da warrants 150K 5M –
ElectroCore Inc Pre-funded @.0 warrants 1M 225K –
ElectroCore Inc. @4.35 2/1/24- warrants 1M 397K –
ElectroCore Inc. @6.43 6/5/29 warrants 172K 113K –
ElectroCore, Inc. Pre-funded @ warrants 3M 500K –
Ideal Power @.001 (pre-funded) warrants 2M 267K –
Ideal Power @.001 (pre-funded) warrants 2M 254K –
Ideal Power @2.32 11/13/24 9.9 warrants 2M 439K –
Ideal Power @8.90 8/5/25 9.99 warrants 33K 39K –
Kopin Corporation pre-funded @ warrants 5M 6M –
Lilium N.V. (Germany) @1.50 5/ warrants 340K 2M –
Mobilicom Ltd. @5.00 8/31/27 A warrants 47K 363K –
NeuroOne Medical @1.75 1/14/26 warrants 9K 3M –
OncoCyte Corp (Pre-fund) @.000 warrants 1M 343K –
OncoCyte Corp @1.53 4/19/27 4. warrants 750 4M –
Turtle Beach Corp. @0 pre-fund warrants 8M 550K –