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AWM INVESTMENT COMPANY, INC.

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NEW YORK NY Investment Advisor Hedge Fund Activist Investor
13F Summary
AWM Investment Company is based out of New York. AWM Investment Company is a hedge fund with 8 clients and discretionary assets under management (AUM) of $900,361,242 (Form ADV from 2024-03-28). Whalewisdom has at least 100 13F filings, 156 13D filings, 1117 13G filings, and 117 Form 4 filings
Business Description
AWM Investment Company, Inc. ("AWM") is a registered investment adviser with the SEC under the Investment Adviser Act of 1940. AWM has been in business since 1992 and is a Delaware corporation. AWM has 15 employees, and is headquartered in New York, NY. As of January 1, 2024, AWM’s assets under management totaled $867,554,097. They have complete discretionary authority over AWM Fund assets, and do not serve as investment advisor to any other accounts, discretionary or otherwise. AWM provides investment advice primarily in equity securities and securities with equity features of publicly traded companies that possess a technological, market, or product niche. These companies may be undervalued or with prospects of going private or being acquired. AWM considers such types of investments to be “special situation investments.” AWM tailors its investment advice to eight private investment funds (collectively, the “Funds”) for which they serve as investment adviser. These Funds are: Special Situations Fund III QP, L.P. (“SSFQP”), Special Situations Cayman Fund, L.P. and its feeder fund, Special Situations International, Ltd. (collectively, the “Cayman Fund”), Special Situations Private Equity Fund, L.P. (“Private Equity Fund”), Special Situations Technology Fund, L.P. (“Tech Fund”), Special Situations Technology Fund II, L.P. (“Tech Fund II”), (together referred to as the “Tech Funds”), Special Situations Life Sciences Fund, L.P. (“Life Sciences Fund”), Life Sciences Innovation Fund, L.P. (“Innovation Fund”), and Life Sciences Innovation Fund II, L.P. (“Innovation Fund II”) (together referred to as the “Innovation Funds”). Additionally, AWM serves as the general partner of MGP Advisers Limited Partnership (“MGP”), the general partner of SSFQP.
Investment Strategy
AWM employs a variety of investment strategies and techniques involving equity or debt securities. These include purchasing securities with borrowed money, selling securities short, and purchasing and writing listed put and call options. They may also enter into transactions designed to minimize the effect of currency fluctuations with respect to securities of foreign companies or securities that are not denominated in United States dollars. AWM's Special Situation Funds maintain a flexible investment process focused primarily on finding value in equity securities and securities with equity features, of North American micro-cap companies. They seek businesses with technological, market or product niches with underappreciated valuations providing a deep discount to intrinsic values. The Special Situation Funds typically have a significant exposure to the technology and life sciences sectors.
Owners
  • GREENHOUSE, DAVID, MICHAEL - PRESIDENT
  • MARXE, AUSTIN, WOLFE - OWNER
  • STETTNER, ADAM, CHARLES - EXECUTIVE VICE PRESIDENT
  • REIF, DAVID, ALAN - CHIEF COMPLIANCE OFFICER
  • Hicks Kelly, Marianne - CHIEF ADMINISTRATIVE OFFICER
  • Click on the Ownership/Private Fund Data tab for more details.
Other Contact Information
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2024-12-31

Top Buys (13F)

Name % Change

2024-12-31

Top Sells (13F)

Name % Change

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13F Holdings Summary

2024-12-31

13F Activity

Market Value $0, Prior: $0.83b
New Purchases 0 stocks
Added To 0 stocks
Sold out of 0 stocks
Reduced holdings in 0 stocks
Top 10 Holdings % %
Turnover %[1] %
Turnover Alt %[2] %
Time Held Top 20 quarters
Time Held Top 10 quarters
Time Held All 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.

2024-12-31

13F Sector Allocation Over Time

limited to past 4 quarters. Subscribe to see all available data

2024-12-31

Analysis

Top 20 equal-weighted holdings. Performance numbers calculated through 2024-12-31

Portfolio Performance