AWM INVESTMENT COMPANY, INC.

NEW YORK, NY Investment Advisor Hedge Fund Activist Investor How do I update this listing?

AWM Investment Company is based out of New York. AWM Investment Company is a large advisory firm with 7 clients and discretionary assets under management (AUM) of $552,789,089 (Form ADV from 2019-03-29). Their last reported 13F filing for Q3 2019 included $461,778,000 in managed 13F securities and a top 10 holdings concentration of 34.11%. AWM Investment Company's largest holding is LivePerson Inc. with shares held of 739,394. AWM Investment Company has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 80 13F filings, 158 13D filings, 910 13G filings, and 41 Form 4 filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $471.277 Million
  • Prior Market Value $522.976 Million
  • New Purchases11 stocks
  • Additional Purchases14 stocks
  • Sold out of16 stocks
  • Reduced holdings in29 stocks
  • Top 10 Holdings % 33.43 %
  • Turnover % [1]:30.34%
  • Turnover Alt % [2]: 15.31 %
  • Time Held Top20:7.63 quarters
  • Time Held Top10:3.10 quarters
  • Time Held All:13.86 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: -7.32%
Performance Last 4 Quarters: 6.14%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR/A (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR/A (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR (Subscription required)
  • 2006-06-30 - 13F-HR (Subscription required)
  • 2006-03-31 - 13F-HR (Subscription required)
  • 2005-12-31 - 13F-HR (Subscription required)
  • 2005-09-30 - 13F-HR (Subscription required)
  • 2005-06-30 - 13F-HR (Subscription required)
  • 2005-03-31 - 13F-HR (Subscription required)
  • 2004-12-31 - 13F-HR (Subscription required)
  • 2004-09-30 - 13F-HR (Subscription required)
  • 2004-06-30 - 13F-HR (Subscription required)
  • 2004-03-31 - 13F-HR (Subscription required)
  • 2003-12-31 - 13F-HR (Subscription required)
  • 2003-09-30 - 13F-HR/A (Subscription required)
  • 2003-09-30 - 13F-HR (Subscription required)
  • 2003-06-30 - 13F-HR (Subscription required)
  • 2003-03-31 - 13F-HR (Subscription required)
  • 2002-12-31 - 13F-HR (Subscription required)
  • 2002-09-30 - 13F-HR (Subscription required)
  • 2002-06-30 - 13F-HR (Subscription required)
  • 2002-03-31 - 13F-HR (Subscription required)
  • 2001-12-31 - 13F-HR/A (Subscription required)
  • 2001-12-31 - 13F-HR (Subscription required)
  • 2001-09-30 - 13F-HR (Subscription required)
  • 2001-06-30 - 13F-HR (Subscription required)
  • 2001-03-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

AWM INVESTMENT COMPANY INC
Classified as Hedge Fund
SPECIAL SITUATIONS FUNDS 527 MADISON AVENUE, SUITE 2600
NEW YORK NY    10022
Country: United States

Business Phone: 212-319-6670
Fax: 212-319-6677
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: DE
Number of employees: 15
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities: 552,789,000
Total Number of Clients: 7
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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AWM INVESTMENT COMPANY INC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
MARXE, AUSTIN, WOLFE PRESIDENT 03/01/1985 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
AWM INVESTMENT COMPANY INC PRESIDENT direct 1985-03-01
MGP ADVISERS LIMITED PARTNERSHIP LIMITED PARTNER direct 1985-03-01
MGP ADVISERS LIMITED PARTNERSHIP PRESIDENT indirect 1992-09-01
MG ADVISERS, L.L.C. MEMBER direct 1996-11-01
SST ADVISERS, L.L.C. MEMBER direct 1997-02-01
LS ADVISERS, LLC MEMBER direct 2005-04-01
MGP ADVISERS LIMITED PARTNERSHIP LIMITED PARTNR direct 1985-03-01 2005-09-19
GREENHOUSE, DAVID, MICHAEL VICE PRESIDENT 09/01/1992 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
MGP ADVISERS LIMITED PARTNERSHIP LIMITED PARTNER direct 1992-09-01
AWM INVESTMENT COMPANY INC VICE PRESIDENT direct 1992-09-01
MGP ADVISERS LIMITED PARTNERSHIP VICE PRESIDENT indirect 1992-09-01
MG ADVISERS, L.L.C. MEMBER direct 1996-11-01
SST ADVISERS, L.L.C. MEMBER direct 1997-02-01
LS ADVISERS, LLC MEMBER direct 2005-04-01
PRICE, PETER, ERIC CHIEF OPERATING OFFICER 07/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
AWM INVESTMENT COMPANY INC CHIEF OPERATIONS OFFICER direct 2005-07-01
AWM INVESTMENT COMPANY INC CHIEF OPERATING OFFICER direct 2005-07-01
CARLING, ROSE, NMI CHIEF COMPLIANCE OFFICER 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
MGP ADVISERS LIMITED PARTNERSHIP CHIEF COMPLIANCE OFFICER direct 2004-10-01
AWM INVESTMENT COMPANY INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MG ADVISERS, L.L.C. CHIEF COMPLIANCE OFFICER direct 2004-10-01
MG ADVISERS, L.L.C. COMPLIANCE OFFICER direct 2004-10-01
SST ADVISERS, L.L.C. CHIEF COMPLIANCE OFFICER direct 2004-10-01
LS ADVISERS, LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
LS ADVISERS, LLC CHIEF COMPLIANCE OFFICER direct 2005-04-01
STETTNER, ADAM, CHARLES OWNER 07/01/2010 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
MGP ADVISERS LIMITED PARTNERSHIP LIMITED PARTNER direct 2005-01-01
AWM INVESTMENT COMPANY INC OWNER direct 2010-07-01
MG ADVISERS, L.L.C. MEMBER direct 2005-01-01
SST ADVISERS, L.L.C. MEMBER direct 1997-02-01
LS ADVISERS, LLC MEMBER direct 2005-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
SPECIAL SITUATIONS CAYMAN FUND, L.P. Cayman Islands 805-9888314998 Hedge Fund 68,389,828 100,000 Master Fund
SPECIAL SITUATIONS PRIVATE EQUITY FUND, L.P. United States 805-2727609099 Hedge Fund 61,779,496 100,000
SPECIAL SITUATIONS FUND III QP, L.P. United States 805-5382852286 Hedge Fund 187,934,589 100,000
SPECIAL SITUATIONS TECHNOLOGY FUND, L.P. United States 805-5541187864 Hedge Fund 20,460,622 100,000
SPECIAL SITUATIONS TECHNOLOGY FUND II, L.P. United States 805-7679782789 Hedge Fund 116,415,880 100,000
SPECIAL SITUATIONS LIFE SCIENCES FUND, L.P. United States 805-4892589007 Hedge Fund 95,680,525 250,000
LIFE SCIENCES INNOVATIONS FUND, L.P. United States 805-2750043547 Venture Capital Fund 2,128,149 100,000

AWM INVESTMENT COMPANY INC

ownership team - last updated 2017-03-27
Name Title Start Date Direct/Indirect % Ownership
MARXE, AUSTIN, WOLFE PRESIDENT 03/01/1985 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
AWM INVESTMENT COMPANY INC PRESIDENT direct 1985-03-01
MGP ADVISERS LIMITED PARTNERSHIP LIMITED PARTNER direct 1985-03-01
MGP ADVISERS LIMITED PARTNERSHIP PRESIDENT indirect 1992-09-01
MG ADVISERS, L.L.C. MEMBER direct 1996-11-01
SST ADVISERS, L.L.C. MEMBER direct 1997-02-01
LS ADVISERS, LLC MEMBER direct 2005-04-01
MGP ADVISERS LIMITED PARTNERSHIP LIMITED PARTNR direct 1985-03-01 2005-09-19
GREENHOUSE, DAVID, MICHAEL VICE PRESIDENT 09/01/1992 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
MGP ADVISERS LIMITED PARTNERSHIP LIMITED PARTNER direct 1992-09-01
AWM INVESTMENT COMPANY INC VICE PRESIDENT direct 1992-09-01
MGP ADVISERS LIMITED PARTNERSHIP VICE PRESIDENT indirect 1992-09-01
MG ADVISERS, L.L.C. MEMBER direct 1996-11-01
SST ADVISERS, L.L.C. MEMBER direct 1997-02-01
LS ADVISERS, LLC MEMBER direct 2005-04-01
PRICE, PETER, ERIC CHIEF OPERATING OFFICER 07/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
AWM INVESTMENT COMPANY INC CHIEF OPERATIONS OFFICER direct 2005-07-01
AWM INVESTMENT COMPANY INC CHIEF OPERATING OFFICER direct 2005-07-01
CARLING, ROSE, NMI CHIEF COMPLIANCE OFFICER 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
MGP ADVISERS LIMITED PARTNERSHIP CHIEF COMPLIANCE OFFICER direct 2004-10-01
AWM INVESTMENT COMPANY INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MG ADVISERS, L.L.C. CHIEF COMPLIANCE OFFICER direct 2004-10-01
MG ADVISERS, L.L.C. COMPLIANCE OFFICER direct 2004-10-01
SST ADVISERS, L.L.C. CHIEF COMPLIANCE OFFICER direct 2004-10-01
LS ADVISERS, LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
LS ADVISERS, LLC CHIEF COMPLIANCE OFFICER direct 2005-04-01
STETTNER, ADAM, CHARLES OWNER 07/01/2010 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
MGP ADVISERS LIMITED PARTNERSHIP LIMITED PARTNER direct 2005-01-01
AWM INVESTMENT COMPANY INC OWNER direct 2010-07-01
MG ADVISERS, L.L.C. MEMBER direct 2005-01-01
SST ADVISERS, L.L.C. MEMBER direct 1997-02-01
LS ADVISERS, LLC MEMBER direct 2005-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
SPECIAL SITUATIONS FUND III QP, L.P. United States 805-5382852286 Hedge Fund 215,490,817 100,000
SPECIAL SITUATIONS CAYMAN FUND, L.P. Cayman Islands 805-9888314998 Hedge Fund 81,648,222 100,000 Master Fund
SPECIAL SITUATIONS PRIVATE EQUITY FUND, L.P. United States 805-2727609099 Hedge Fund 51,409,019 100,000
SPECIAL SITUATIONS TECHNOLOGY FUND, L.P. United States 805-5541187864 Hedge Fund 32,797,079 100,000
SPECIAL SITUATIONS TECHNOLOGY FUND II, L.P. United States 805-7679782789 Hedge Fund 176,885,882 100,000
SPECIAL SITUATIONS LIFE SCIENCES FUND, L.P. United States 805-4892589007 Hedge Fund 74,687,176 250,000

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