Investment adviser · CRD 110346

AWM INVESTMENT COMPANY INC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Mar 31, 2026

Regulatory AUM: $1.32B
Client accounts: 8
Employees: 14
Advisory professionals: 8

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Pooled investment vehicles	8	$1,316,522,778	100.0%

Filing source

Form ADV 2082851 · Mar 31, 2026 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

8 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

SPECIAL SITUATIONS FUND III QP, L.P.Hedge Fund · Last reported Mar 31, 2026$608MGross asset value

Form D fundraising filings

SPECIAL SITUATIONS FUND III QP LP

Fund administrator SS&C TECHNOLOGIES, INC. JERSEY CITY, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ANCHIN, BLOCK AND ANCHIN NEW YORK, New York, United States

Custodian JPMORGAN CHASE & CO. NEW YORK, New York, United States Related to adviser: No

Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No

Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

ANCHIN, BLOCK AND ANCHIN
PCAOB 168

MORGAN STANLEY & CO. LLC
SEC 8-15869

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source

Fund ID: 805-5382852286
Reported beneficial owners: 90
Minimum commitment: $100K
Form D file number: 021-132938

Form ADV 2082851 · Mar 31, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

SPECIAL SITUATIONS TECHNOLOGY FUND II, L.P.Hedge Fund · Last reported Mar 31, 2026$271MGross asset value

Form D fundraising filings

SPECIAL SITUATIONS TECHNOLOGY FUND II L P

Fund administrator SS&C TECHNOLOGIES, INC. JERSEY CITY, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ANCHIN, BLOCK AND ANCHIN NEW YORK, New York, United States

Custodian JPMORGAN CHASE & CO. NEW YORK, New York, United States Related to adviser: No

Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No

Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

ANCHIN, BLOCK AND ANCHIN
PCAOB 168

MORGAN STANLEY & CO. LLC
SEC 8-15869

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source

Fund ID: 805-7679782789
Reported beneficial owners: 45
Minimum commitment: $100K
Form D file number: 021-57017

Form ADV 2082851 · Mar 31, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

SPECIAL SITUATIONS CAYMAN FUND, L.P.Hedge Fund · Last reported Mar 31, 2026$174MGross asset value

Feeder funds

SPECIAL SITUATIONS INTERNATIONAL LTD

Fund administrator SS&C TECHNOLOGIES, INC. JERSEY CITY, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ANCHIN, BLOCK AND ANCHIN NEW YORK, New York, United States

Custodian JPMORGAN CHASE & CO. NEW YORK, New York, United States Related to adviser: No

Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No

Marketer MOSHE KLEMNPER ZICHRON YAAKOV, Israel Related to adviser: No

Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

ANCHIN, BLOCK AND ANCHIN
PCAOB 168

MORGAN STANLEY & CO. LLC
SEC 8-15869

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source

Fund ID: 805-9888314998
Reported beneficial owners: 46
Minimum commitment: $100K
Form D file number: 021-88298

Form ADV 2082851 · Mar 31, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

SPECIAL SITUATIONS LIFE SCIENCES FUND, L.P.Hedge Fund · Last reported Mar 31, 2026$125MGross asset value

Form D fundraising filings

Special Situations Life Sciences Fund LP

Fund administrator SS&C TECHNOLOGIES, INC. JERSEY CITY, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ANCHIN, BLOCK AND ANCHIN NEW YORK, New York, United States

Custodian JPMORGAN CHASE & CO. NEW YORK, New York, United States Related to adviser: No

Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No

Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

ANCHIN, BLOCK AND ANCHIN
PCAOB 168

MORGAN STANLEY & CO. LLC
SEC 8-15869

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source

Fund ID: 805-4892589007
Reported beneficial owners: 45
Minimum commitment: $250K
Form D file number: 021-79282

Form ADV 2082851 · Mar 31, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

SPECIAL SITUATIONS PRIVATE EQUITY FUND, L.P.Hedge Fund · Last reported Mar 31, 2026$74.6MGross asset value

Form D fundraising filings

SPECIAL SITUATIONS PRIVATE EQUITY FUND L P

Fund administrator SS&C TECHNOLOGIES, INC. JERSEY CITY, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ANCHIN, BLOCK AND ANCHIN NEW YORK, New York, United States

Custodian JPMORGAN CHASE & CO. NEW YORK, New York, United States Related to adviser: No

Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No

Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

ANCHIN, BLOCK AND ANCHIN
PCAOB 168

MORGAN STANLEY & CO. LLC
SEC 8-15869

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source

Fund ID: 805-2727609099
Reported beneficial owners: 27
Minimum commitment: $100K
Form D file number: 021-47386

Form ADV 2082851 · Mar 31, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

SPECIAL SITUATIONS TECHNOLOGY FUND, L.P.Hedge Fund · Last reported Mar 31, 2026$55.7MGross asset value

Form D fundraising filings

SPECIAL SITUATIONS TECHNOLOGY FUND LP

Fund administrator SS&C TECHNOLOGIES, INC. JERSEY CITY, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ANCHIN, BLOCK AND ANCHIN NEW YORK, New York, United States

Custodian JPMORGAN CHASE & CO. NEW YORK, New York, United States Related to adviser: No

Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No

Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

ANCHIN, BLOCK AND ANCHIN
PCAOB 168

MORGAN STANLEY & CO. LLC
SEC 8-15869

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source

Fund ID: 805-5541187864
Reported beneficial owners: 33
Minimum commitment: $100K
Form D file number: 021-98065

Form ADV 2082851 · Mar 31, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

LIFE SCIENCES INNOVATION FUND II, L.P.Venture Capital Fund · Last reported Mar 31, 2026$4.58MGross asset value

Form D fundraising filings

Life Sciences Innovation Fund II, L.P.

Auditor ANCHIN, BLOCK AND ANCHIN NEW YORK, New York, United States

Custodian JPMORGAN CHASE & CO. NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

ANCHIN, BLOCK AND ANCHIN
PCAOB 168

Fund details & source

Fund ID: 805-7148827750
Reported beneficial owners: 36
Minimum commitment: $100K
Form D file number: 021-406537

Form ADV 2082851 · Mar 31, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Mar 31, 2026. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets

Principal office

SPECIAL SITUATIONS FUNDS, 527 MADISON AVENUE, SUITE 2600
NEW YORK, NY, 10022, United States

CRD 110346

Filing source

Form ADV 2082851 · Mar 31, 2026 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.