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AWM Investment

Filed: 15 Nov 21, 2:48pm

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE

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COLUMN 1COLUMN 2COLUMN 3COLUMN 4COLUMN 5COLUMN 6COLUMN 7COLUMN 8
VALUESHRS ORSH/PUT/INVESTMENTOTHERVOTING AUTHORITY
NAME OF ISSUERTITLE OF CLASSCUSIP(x$1000)PRN AMTPRNCALLDISCRETIONMANAGERSOLESHAREDNONE
1847 Goedeker, Inc.common28252C1091,491474,850SH SOLE 474,85000
Aehr Test Systemscommon00760J10818,6421,365,749SH SOLE 1,365,74900
Alpha Teknova, Inc.common02080L1021,49360,000SH SOLE 60,00000
American Public Education, Inccommon02913V1031,28250,070SH SOLE 50,07000
American Superconductor Corpcommon03011120712,459854,534SH SOLE 854,53400
Aqua Metals, Inc.common03837J10111555,474SH SOLE 55,47400
Assure Holdings Corp(CND/AMR)common04265J20412,1091,562,499SH SOLE 1,562,49900
Atomera Incorporatedcommon04965B1004,088177,034SH SOLE 177,03400
Avid Bioservices, Inc.common05368M10626,5961,233,000SH SOLE 1,233,00000
Aziyo Biologics, Inc.common05479K106896126,720SH SOLE 126,72000
Bellus Health, Inc.common07987C2042,456400,000SH SOLE 400,00000
Bitfarms, Ltd. of Canadacommon09173B107692162,838SH SOLE 162,83800
Bitfarms, Ltd. of Canada (Canacommon09173B1071,738410,000SH SOLE 410,00000
Bridgeline Digital, Inc.common10807Q7001,233300,000SH SOLE 300,00000
Burcon NutraScience Corp. (Cancommon1208311026,1313,902,823SH SOLE 3,902,82300
CEVA, Inc.common15721010515,704368,037SH SOLE 368,03700
CareDx, Inc.common14167L1033,16850,000SH SOLE 50,00000
Century Casinos, Inc.common15649210019,9761,482,988SH SOLE 1,482,98800
Citi Trends, Inc.common17306X1025,48775,208SH SOLE 75,20800
Compass Pathways PLC (Great Bcommon20451W1012,39080,000SH SOLE 80,00000
Cryoport, Inc.common2290503071,99530,000SH SOLE 30,00000
DHI Group, Inc.common23331S1002,861601,000SH SOLE 601,00000
DZS, Inc.common2682111096,732549,143SH SOLE 549,14300
Destination XL Group, Inc.common25065K10467,82111,081,793SH SOLE 11,081,79300
DoubleDown Interactive Co. Ltdcommon25862B1093,962224,976SH SOLE 224,97600
EMCORE Corp.common29084620320,0472,680,094SH SOLE 2,680,09400
Eco Wave Power Global AB (Swecommon27900N1031,021150,000SH SOLE 150,00000
ElectroCore, Inc.common28531P1034,6894,149,900SH SOLE 4,149,90000
Enthusiast Gaming Holdings,Inccommon29385B1093,237897,100SH SOLE 897,10000
Eton Pharmaceuticals, Inc.common29772L1082,520500,000SH SOLE 500,00000
Everspin Technology, Inc.common30041T10412,1731,878,597SH SOLE 1,878,59700
EzFill Holdings, Inc.common3023142084,7861,170,232SH SOLE 1,170,23200
Franchise Group, Inc.common35180X1054,671131,912SH SOLE 131,91200
GAN, Ltd. (London)commonG3728V1097,017471,870SH SOLE 471,87000
Gaia, Inc.common36269P1047,596801,236SH SOLE 801,23600
Gambling.com Group Ltd.common63R2391018,487929,575SH SOLE 929,57500
Gee Group, Inc.common36165A1021,0612,285,192SH SOLE 2,285,19200
Genasys, Inc.common36872P10322,5314,349,544SH SOLE 4,349,54400
Greenbrook TMS, Inc. (Canada)common3937043094,543612,147SH SOLE 612,14700
INVO Bioscience, Inc.common44984F3023,7441,159,075SH SOLE 1,159,07500
Ideal Power, Inc.common4516222033,581235,271SH SOLE 235,27100
Impinj, Inc.common45320410928,135492,477SH SOLE 492,47700
Infusystem Holdings, Inc.common45685K10226,0602,000,000SH SOLE 2,000,00000
Intellicheck, Inc.common45817G2012,048250,010SH SOLE 250,01000
Iteris, Inc.common46564T1071,876355,359SH SOLE 355,35900
Jerash Holdings US, Inc.common47632P101739110,000SH SOLE 110,00000
Karat Packaging, Inc.common48563L1018,412400,000SH SOLE 400,00000
Kopin Corporationcommon5006001017,4221,446,746SH SOLE 1,446,74600
LeMaitre Vascular, Inc.common52555820112,211230,000SH SOLE 230,00000
Limelight Networks, Inc.common53261M1041,320554,604SH SOLE 554,60400
LiqTech International, Inc.common53632A10210,8421,978,444SH SOLE 1,978,44400
LivePerson, Inc.common53814610120,627349,900SH SOLE 349,90000
Lovesac Company, Thecommon54738L10921,284322,039SH SOLE 322,03900
MaxCyte, Inc.common5777K106161050,000SH SOLE 50,00000
Miromatrix Medical, Inc.common60471P108812116,688SH SOLE 116,68800
Misonix, Inc.common6048711036,306249,239SH SOLE 249,23900
Motorsports Games, Inc.common62011B1023,116218,494SH SOLE 218,49400
Movano, Inc.common62459M1073,240900,000SH SOLE 900,00000
Mudrick Capital Acquisition Cocommon62477L1073,485350,301SH SOLE 350,30100
Natural Gas Services Group, Incommon63886Q1097,031677,371SH SOLE 677,37100
NeoGames S.A. (Luxembourg)commonL6673X1078,317226,500SH SOLE 226,50000
NeoPhotonics Corporationcommon64051T10016,7291,920,722SH SOLE 1,920,72200
Neonode, Inc.common64051M7093,710367,695SH SOLE 367,69500
NeuroOne Medical Technologiescommon64130M1003,9501,000,001SH SOLE 1,000,00100
Noodles & Co.common65540B1055,669480,403SH SOLE 480,40300
Nuvation Bio, Inc.common67080N1013,976400,000SH SOLE 400,00000
OPKO Health, Inc.common68375N1032,920800,000SH SOLE 800,00000
Oncocyte Corp.common68235C1072,553717,000SH SOLE 717,00000
OneWater Marine, Inc. - CL Acommon68280L1013,07976,571SH SOLE 76,57100
Ooma, Inc.common68341610120,5861,106,165SH SOLE 1,106,16500
OptimizeRx Corporationcommon68401U20436,457426,143SH SOLE 426,14300
Orbital Energy Group, Inc.common68559A1103,8981,265,669SH SOLE 1,265,66900
OrthoPediatrics Corporationcommon68752L10019,536298,221SH SOLE 298,22100
PLBY Group,Inc.common72814P10912,971550,320SH SOLE 550,32000
Pfsweb, Inc.common71709820626,2542,035,179SH SOLE 2,035,17900
PowerFleet, Inc.common73931J1099,7951,461,907SH SOLE 1,461,90700
Profound Medical Corp. (U.S.)common74319B5025,108348,939SH SOLE 348,93900
Progyny, Inc.common74340E1033,36060,000SH SOLE 60,00000
PureTech Health PLC-ADR (Britacommon7462371061,44030,000SH SOLE 30,00000
Quantum Corp.common747906501605116,850SH SOLE 116,85000
QuickLogic Corporationcommon74837P4052,226415,230SH SOLE 415,23000
Quipt Home Medical Corp.common74880P1041,859294,600SH SOLE 294,60000
RADA Electronic Industries LtdcommonM818631248,694817,071SH SOLE 817,07100
RADCOM, Ltd. (Israel)commonM818651116,593578,312SH SOLE 578,31200
Recro Pharma, Inc.common75629F1098,7944,269,081SH SOLE 4,269,08100
Repligen Corporationcommon75991610928,899100,000SH SOLE 100,00000
Reservior Media, Inc.common76119X1053,683404,319SH SOLE 404,31900
Resonant, Inc.common76118L1029,1043,761,840SH SOLE 3,761,84000
Roth CH Acquisition III Co.common77867Q1021,676168,600SH SOLE 168,60000
SeaSpine Holdings Corp.common81255T1088,519541,547SH SOLE 541,54700
Senstar Technologies Ltd.common01102785731379,070SH SOLE 79,07000
Sequans Communications S.A. ADcommon81732320714,0593,202,480SH SOLE 3,202,48000
Sera Prognostics, Inc.common81749D1072,886259,737SH SOLE 259,73700
Sientra, Inc.common82621J1057,5771,322,284SH SOLE 1,322,28400
Sigma Labs, Inc.common8265985002,135697,785SH SOLE 697,78500
Spero Therapeutics, Inc.common84833T1036,862372,755SH SOLE 372,75500
Sunrun, Inc.common86771W1051,76040,000SH SOLE 40,00000
Synchronoss Technologies, Inc.common87157B1031,265526,980SH SOLE 526,98000
Telos Corp.common87969B1018,162287,181SH SOLE 287,18100
The Cooper Companies, Inc.common2166484021,8604,500SH SOLE 4,50000
TravelCenters of America LLCcommon89421B10933,598674,800SH SOLE 674,80000
Turtle Beach Corporationcommon90045020615,177545,543SH SOLE 545,54300
Ultra Clean Holdings, Inc.common90385V10710,506246,627SH SOLE 246,62700
Universal Technical Institutecommon9139151048,7511,294,575SH SOLE 1,294,57500
VIQ Solutions, Inc.common91825V4001,052355,400SH SOLE 355,40000
Veru, Inc.common92536C10315,5421,822,078SH SOLE 1,822,07800
Vicor Corporationcommon92581510210,59979,000SH SOLE 79,00000
Viemed Healthcare, Inc.(Canadacommon92663R1054,051728,833SH SOLE 728,83300
Westport Fuel Systems, Inc.common96090830912,6073,832,047SH SOLE 3,832,04700
Zealand Pharma A/S (Denmark)common9999999998,564297,226SH SOLE 297,22600
Zealand Pharma A/S ADR (Denmarcommon98920Y30456019,981SH SOLE 19,98100
Zevia PBC - Acommon98955K10480770,122SH SOLE 70,12200
argenx SE - ADR (Netherlands)common04016X10124,16080,000SH SOLE 80,00000
eMagin Corporationcommon29076N2062,5331,120,887SH SOLE 1,120,88700
nLight, Inc.common65487K1007,329260,000SH SOLE 260,00000
urban-gro, Inc.common91704K2023,348251,889SH SOLE 251,88900
voxeljet AG, ADR (Germany)common92912L1069,074992,778SH SOLE 992,77800
1847 Goedeker, Inc 5/26/22-12/warrants28252C1172,2391,333,000SH SOLE 1,333,00000
Ideal Power @.001 (pre-funded)warrants9999999993,863253,830SH SOLE 253,83000
Ideal Power @2.32 11/13/24 9.9warrants9999999995,797439,180SH SOLE 439,18000
Ideal Power @8.90 8/5/25 9.99warrants99999999935039,366SH SOLE 39,36600
Ocean Power Technologies @3.85warrants674870118190464,280SH SOLE 464,28000
Roth CH Acquisition III Co @11warrants77867Q1106450,000SH SOLE 50,00000
Turtle Beach Corp. @0 pre-fundwarrants99999999915,301550,000SH SOLE 550,00000
eMagin Corp @.78 10/9/19-10/9/warrants9999999994,9503,000,000SH SOLE 3,000,00000
eMagin Corporation @1.55 1/29/warrants999999999872890,000SH SOLE 890,00000
eMagin Corporation @2.45 5/24/warrants9999999995361,625,000SH SOLE 1,625,00000