-----BEGIN PRIVACY-ENHANCED MESSAGE-----
Proc-Type: 2001,MIC-CLEAR
Originator-Name: webmaster@www.sec.gov
Originator-Key-Asymmetric:
MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen
TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB
MIC-Info: RSA-MD5,RSA,
WtnBkMErz1zT1OfXzonwvH/nnBIMohO65mbrTNhTsIbfhe1lmdT++x4A167Lk76n
FlT+Z/LUovM/uNe/Ww9G2A==
<SEC-DOCUMENT>0001044321-11-000075.txt : 20110211
<SEC-HEADER>0001044321-11-000075.hdr.sgml : 20110211
<ACCEPTANCE-DATETIME>20110211165917
ACCESSION NUMBER: 0001044321-11-000075
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20101231
FILED AS OF DATE: 20110211
DATE AS OF CHANGE: 20110211
EFFECTIVENESS DATE: 20110211
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: MARXE AUSTIN W & GREENHOUSE DAVID M
CENTRAL INDEX KEY: 0001044321
IRS NUMBER: 000000000
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-06452
FILM NUMBER: 11600172
BUSINESS ADDRESS:
STREET 1: C/O SPECIAL SITUATIONS FUNDS
STREET 2: 527 MADISON AVENUE, SUITE 2600
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 2122076500
MAIL ADDRESS:
STREET 1: C/O SPECIAL SITUATIONS FUNDS
STREET 2: 527 MADISON AVENUE, SUITE 2600
CITY: NEW YORK
STATE: NY
ZIP: 10022
</SEC-HEADER>
<DOCUMENT>
<TYPE>13F-HR
<SEQUENCE>1
<FILENAME>fdec10t.txt
<TEXT>
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: December 31, 2010
Check here if Amendment ( ); Amendment Number:
This Amendment (Check only one.): ( ) is a restatement
( ) adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Austin W. Marxe and David M. Greenhouse
Address: 527 Madison Avenue, Suite 2600, New York, New York 10022
13F File Number: 028-06452
The institutional investment manager filing this report and the person by
whom it is signed hereby represent that the person signing the report
is authorized to submit it, that all information contained herein is
true, correct and complete, and that it is understood that all
required items, statements, schedules, lists, and tables, are considered
integral parts of this form.
Person Signing this Report on Behalf of Reporting Manager:
Name: Austin Marxe
Title: President; AWM Investment Company, Inc.
Phone: (212) 319-6670
Signature: /s/ Austin Marxe, New York, NY, February 11, 2011
Name: David Greenhouse
Title: Vice President; AWM Investment Company, Inc.
Phone: (212) 319-6670
Signature: /s/ David Greenhouse, New York, NY, February 11, 2011
Report Type (Check only one.):
(x) 13F HOLDINGS REPORT
( ) 13F NOTICE
( ) 13F COMBINATION REPORT
List of Other Managers Reporting for this Manager: None
I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934.
<PAGE>
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 200
Form 13F Information Table Value Total: $ 835,712
List of Other included Managers:
No. 13F File Number Name
None
<Page>
<TABLE>
FORM 13F INFORMATION TABLE
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER
VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS
SOLE SHARED NONE
- ------------------------------ ---------------- --------- -------- -------- --- ---- ------- --------
- -------- ------ ----
<S> <C> <C> <C> <C> <C> <C> <C> <C>
<C> <C> <C>
Acorn Energy, Inc. common 004848107 4045 1045116 SH SOLE
1045116
Active Power, Inc. common 00504W100 3391 1378400 SH SOLE
1378400
Adept Technology, Inc. common 006854202 10174 2275976 SH SOLE
2275976
Allied Healthcare Int'l Inc. common 01923A109 7354 2929718 SH SOLE
2929718
Alphatec Holdings, Inc. common 02081G102 7235 2679691 SH SOLE
2679691
American Dental Partners, Inc. common 025353103 9994 739738 SH SOLE
739738
Amtech Systems, Inc. common 032332504 9727 386741 SH SOLE
386741
Ascent Solar Technologies common 043635101 5191 1544979 SH SOLE
1544979
Authentec, Inc. common 052660107 5239 2095485 SH SOLE
2095485
Avantair, Inc. common 05350T101 15158 6315791 SH SOLE
6315791
Aveo Pharmaceuticals, Inc. common 053588109 1465 100186 SH SOLE
100186
Axion Power International common 05460X109 5000 8771930 SH SOLE
8771930
BTU International Corp. common 056032105 10935 1216367 SH SOLE
1216367
Bakers Footwear Group, Inc. common 057465106 1748 1942344 SH SOLE
1942344
Body Central Corp. common 09689U102 4638 325000 SH SOLE
325000
CEVA, Inc. common 157210105 34846 1699800 SH SOLE
1699800
CKX, Inc. common 12562M106 3251 806664 SH SOLE
806664
COMARCO, Inc. common 200080109 115 274168 SH SOLE
274168
CPI Aerostructures, Inc. common 125919308 1324 94097 SH SOLE
94097
Chase Packaging Corporation common 161635107 55 684954 SH SOLE
684954
China Ceramics Co. Ltd.(China) common G2113X100 5246 670000 SH SOLE
670000
ChinaCast Education Corporatio common 16946T109 13598 1752357 SH SOLE
1752357
Chindex International, Inc. common 169467107 1891 114691 SH SOLE
114691
Complete Genomics, Inc. common 20454K104 4843 648372 SH SOLE
648372
Comverge, Inc. common 205859101 2237 323670 SH SOLE
323670
Cutera, Inc. common 232109108 5793 698747 SH SOLE
698747
Cyclacel Pharmaceuticals, Inc. common 23254L108 6037 4106900 SH SOLE
4106900
Demandtec, Inc. common 24802R506 5403 498439 SH SOLE
498439
Destination Maternity Corp. common 25065D100 5687 149932 SH SOLE
149932
Dover Saddlery, Inc. common 260412101 947 364376 SH SOLE
364376
Duckwall-Alco Stores, Inc. common 264142100 1129 89608 SH SOLE
89608
E-Ink Holdings Incorporated 6 common Not Avail 4481 2210663 SH SOLE
2210663
E-Ink Holdings Incorporated (T common Not Avail 22929 11311622 SH SOLE
11311622
E-Ink Holdings Incorporated 1y common Not Avail 4356 2303483 SH SOLE
2303483
Enova Systems, Inc. common 29355M200 5517 4413622 SH SOLE
4413622
EnteroMedics, Inc. common 29365M208 4620 1500000 SH SOLE
1500000
Entropic Communications, Inc. common 29384R105 25913 2145108 SH SOLE
2145108
Excapsa Software, Inc. common Not Avail 173 4110150 SH SOLE
4110150
Exide Technologies common 302051206 12863 1367000 SH SOLE
1367000
FSI International, Inc. common 302633102 19078 4316371 SH SOLE
4316371
Familymeds Group, Inc. common 30706T209 74 1143889 SH SOLE
1143889
Flow International Corporation common 343468104 6189 1513214 SH SOLE
1513214
Fuelcell Energy Inc. common 35952H106 9696 4197400 SH SOLE
4197400
Full House Resorts Inc. common 359678109 6127 1802140 SH SOLE
1802140
GeneNews, Ltd. (Canada) (CF) common 36870T107 936 3971300 SH SOLE
3971300
GeneNews, Ltd. (Rest sell in C common 36870T107 304 1380556 SH SOLE
1380556
Global Power Equipment Group common 37941P207 17314 746290 SH SOLE
746290
GolfSmith International Holdin common 38168Y103 4421 1826917 SH SOLE
1826917
Hamilton Thorne, Ltd.(Canada) common Not Avail 597 2533103 SH SOLE
2533103
Harvard Bioscience, Inc. common 416906105 1076 263141 SH SOLE
263141
HealthWarehouse.com, Inc. common 42227G202 1123 408201 SH SOLE
408201
Heelys, Inc. common 42279M107 2513 826783 SH SOLE
826783
Here Media, Inc. common 427105101 391 1029462 SH SOLE
1029462
Ibex Technology Inc.(Canada) common 448937508 22 142500 SH SOLE
142500
Idera Pharmaceuticals, Inc common 45168K306 2094 729771 SH SOLE
729771
Image Sensing Systems, Inc. common 45244C104 14097 1083520 SH SOLE
1083520
Immersion Corporation common 452521107 4492 669439 SH SOLE
669439
Innospec Inc. common 45768S105 5768 282750 SH SOLE
282750
Integral Vision, Inc. common 45811H106 48 1850000 SH SOLE
1850000
Intermap Technologies Corp common 458977204 2070 4301204 SH SOLE
4301204
Interplay Entertainment Corp. common 460615107 670 9570000 SH SOLE
9570000
Iteris, Inc. common 46564M102 7430 4104703 SH SOLE
4104703
KMG Chemicals, Inc. common 482564101 11392 687500 SH SOLE
687500
Kopin Corporation common 500600101 26937 6475255 SH SOLE
6475255
LRAD Corporation common 50213V109 8600 3197181 SH SOLE
3197181
LSB Industries, Inc. common 502160104 17403 717372 SH SOLE
717372
Lannett Co., Inc. common 516012101 3664 655500 SH SOLE
655500
Lemaitre Vascular Inc. common 525558201 1277 188568 SH SOLE
188568
Ligand Pharmaceuticals, Inc. common 53220K207 304 34133 SH SOLE
34133
Lightbridge Corporation common 53224K104 4864 909092 SH SOLE
909092
MIPS Technologies, Inc. common 604567107 5757 379754 SH SOLE
379754
MYR-Group Inc. common 55405W104 9717 462733 SH SOLE
462733
MagneTek, Inc. common 559424106 2448 1813177 SH SOLE
1813177
Medwell Capital Corp. common 58508Q107 2636 9219000 SH SOLE
9219000
Methylgene, Inc. (Canada) common 591544101 205 1516045 SH SOLE
1516045
MicroFinancial Incorporated common 595072109 7290 1808814 SH SOLE
1808814
Multiband Corporation common 62544X209 2852 1004145 SH SOLE
1004145
Natus Medical Incorporated common 639050103 16934 1194250 SH SOLE
1194250
Nexxus Lighting Inc. common 65338E105 4059 1989600 SH SOLE
1989600
Noble Romans, Inc. common 655107100 1106 1033250 SH SOLE
1033250
Nova Measuring Instruments Ltd common M7516K103 15046 1810642 SH SOLE
1810642
OPNET Technologies, Inc. common 683757108 12448 465003 SH SOLE
465003
Overland Storage, Inc. common 690310206 4772 3224329 SH SOLE
3224329
PC-Tel, Inc. common 69325Q105 6788 1131293 SH SOLE
1131293
Pacific Premier Bancorp, Inc. common 69478X105 5898 937716 SH SOLE
937716
Parametric Sound Corporation common 966172102 773 1981411 SH SOLE
1981411
ParkerVision, Inc. common 701354102 1082 2458210 SH SOLE
2458210
Pfsweb, Inc. common 717098206 10097 2549714 SH SOLE
2549714
Pharmacyclics, Inc. common 716933106 1730 284475 SH SOLE
284475
PowerSecure International, Inc common 73936N105 7409 952365 SH SOLE
952365
Precision Optics Corporation, common 740294202 52 343699 SH SOLE
343699
Pure Technologies, Ltd. (Canad common 745915108 7517 1579200 SH SOLE
1579200
Quantum Fuel Systems Tech Worl common 74765E109 134 298443 SH SOLE
298443
Reis, Inc. common 75936P105 686 97971 SH SOLE
97971
Remedent, Inc. (Belgium) common 75954T104 2240 4480434 SH SOLE
4480434
Response Genetics, Inc. common 76123U105 8308 3350174 SH SOLE
3350174
Riverview Bancorp, Inc. common 769397100 4597 1696300 SH SOLE
1696300
Saba Software, Inc. common 784932600 7682 1255153 SH SOLE
1255153
Sangamo BioSciences, Inc. common 800677106 10843 1632924 SH SOLE
1632924
SatCon Technology Corporation common 803893106 5077 1128325 SH SOLE
1128325
SeaChange International, Inc. common 811699107 9475 1108159 SH SOLE
1108159
Sonic Solutions common 835460106 4102 273465 SH SOLE
273465
SoundBite Communications, Inc. common 836091108 1910 675970 SH SOLE
675970
Support.com, Inc. common 86858W101 6166 951618 SH SOLE
951618
Tekmira Pharmaceutical Corp. common 87911B209 3031 672080 SH SOLE
672080
Titan Machinery, Inc. common 88830R101 8290 429514 SH SOLE
429514
Trans World Corporation common 89336R207 5203 2081008 SH SOLE
2081008
Trintech Group, PLC common 896682200 8895 1358000 SH SOLE
1358000
U.S. Home Systems, Inc. common 90335C100 1600 327260 SH SOLE
327260
US Auto Parts Network, Inc. common 90343C100 5991 713195 SH SOLE
713195
Ultra Clean Holdings, Inc. common 90385V107 29738 3194167 SH SOLE
3194167
Uni-Pixel, Inc. common 904572203 4380 600000 SH SOLE
600000
Unify Corporation common 904743200 5772 1990348 SH SOLE
1990348
Uranium Resources, Inc. common 916901507 34000 10000000 SH SOLE
10000000
Verenium Corporation common 92340P100 3631 1134747 SH SOLE
1134747
Vical, Inc. common 925602104 9317 4612586 SH SOLE
4612586
Waterfurnace Renewable Energy common 92923V102 5798 233600 SH SOLE
233600
World Heart Corporation common 980905400 12345 5438397 SH SOLE
5438397
XEBEC Adsorption, Inc. common 983891102 2163 8148103 SH SOLE
8148103
XEBEC Adsorption, Inc. (Rest) common 983891102 625 2500000 SH SOLE
2500000
Yongye International, Inc. common 98607B106 8773 1044442 SH SOLE
1044442
Ziopharm Oncology, Inc. common 98973P101 9385 2013973 SH SOLE
2013973
iCo Therapeutics, Inc. common 45107J105 2287 6000000 SH SOLE
6000000
iPass, Inc. common 46261V108 4243 3394106 SH SOLE
3394106
interCLICK Inc. common 458483203 6119 1139420 SH SOLE
1139420
Verdasys Inc ser B cvt pfd @2 preferred Not Avail 4650 2500000 SH SOLE
2500000
Aastrom Bioscience, Inc. @3.22 warrants Not Avail 1100 1000000 SH SOLE
1000000
Altair Nanotechnologies @1.00 warrants Not Avail 244 939973 SH SOLE
939973
Capstone Turbine Corp @1.17 1/ warrants Not Avail 141 2017545 SH SOLE
2017545
Cerus Corporation @3.20 5/16/1 warrants Not Avail 248 421052 SH SOLE
421052
CombiMatrix-Acacia Resrch @.87 warrants Not Avail 2 3600000 SH SOLE
3600000
Concurrent Computer R/R @1.62 warrants 206710402 10 1000000 SH SOLE
1000000
Converted Organics @1.30 12/31 warrants 21245S131 157 1500000 SH SOLE
1500000
Cyclacel Pharm @1.92 RR 10/7/1 warrants Not Avail 554 2053450 SH SOLE
2053450
Cyclacel Pharm @2.85 7/24/10-1 warrants Not Avail 28 176250 SH SOLE
176250
Cyclacel Pharmaceutical @1 1/1 warrants Not Avail 409 670623 SH SOLE
670623
Dynavax Technologies Corp @1.5 warrants 268158102 670 360000 SH SOLE
360000
EnteroMedics, Inc. @2.19 6/7/1 warrants Not Avail 2220 1500000 SH SOLE
1500000
GeneNews @.20 7/12/11(SL CAD) warrants Not Avail 55 690278 SH SOLE
690278
GeneNews @.25 11/12/12(SL CAD) warrants Not Avail 62 690278 SH SOLE
690278
GeneNews @.25 2/11/12(Sell onl warrants Not Avail 276 3454360 SH SOLE
3454360
Hamilton Thorne, Ltd @.60 4/28 warrants Not Avail 53 1750103 SH SOLE
1750103
Idera Pharmaceuticals (R/R) @3 warrants Not Avail 91 216000 SH SOLE
216000
Integral Vision, Inc. @.001 9/ warrants Not Avail 108 3600000 SH SOLE
3600000
Interlink Electronics RR @1.51 warrants Not Avail 34 1149603 SH SOLE
1149603
Iteris, Inc. (Rest/Reg) @3.25 warrants Not Avail 2 235004 SH SOLE
235004
LRAD Corporation R/R @2.67 2/7 warrants Not Avail 150 788090 SH SOLE
788090
Lightbridge Corp R/R @9.00 1/2 warrants Not Avail 341 454546 SH SOLE
454546
NeoMagic Corp @5.2 6m-1yr 12/6 warrants 640497202 3 575000 SH SOLE
575000
Opexa Therapeutics A @2.55 6/1 warrants Not Avail 118 262500 SH SOLE
262500
Opexa Therapeutics B @2.55 6/1 warrants Not Avail 8 112500 SH SOLE
112500
Overland Storage RR@2.253 2/22 warrants Not Avail 1591 4544701 SH SOLE
4544701
Parkervision, Inc. (R/R) @.535 warrants Not Avail 172 1229104 SH SOLE
1229104
Precision Optics (RR) @.22 2/1 warrants Not Avail 35 8000000 SH SOLE
8000000
Precision Optics c nt R/R@.07 warrants Not Avail 22 7260000 SH SOLE
7260000
Quantum Fuel A @2.09 R/R 12/22 warrants Not Avail 38 760000 SH SOLE
760000
Quantum Fuel B @2.09 R/R 12/22 warrants Not Avail 38 760000 SH SOLE
760000
Raser Technologies, Inc. @4.62 warrants Not Avail 5 500000 SH SOLE
500000
Remedent, Inc. (Rest/Reg) @1.5 warrants Not Avail 195 1500000 SH SOLE
1500000
Targeted Genetics (R/R) @3.25 warrants Not Avail 9 2624097 SH SOLE
2624097
Unify Corp Wts (R/R) @.27 10/3 warrants Not Avail 119 384000 SH SOLE
384000
Unify Corp Wts (R/R) @.32 10/3 warrants Not Avail 140 518400 SH SOLE
518400
Unify Corp Wts (R/R) @.38 10/3 warrants Not Avail 84 384000 SH SOLE
384000
Unify Corporation Wts (R/R) @2 warrants Not Avail 101 190182 SH SOLE
190182
Verenium @3.98 8/27/13 R(F4)*. warrants Not Avail 2 562508 SH SOLE
562508
Vuance, Ltd Wts @.85 11/19/11 warrants Not Avail 1 155891 SH SOLE
155891
World Heart Corp. Wt (R/R) @2. warrants Not Avail 993 1873441 SH SOLE
1873441
World Heart Corp. Wt (R/R) @4. warrants Not Avail 97 388350 SH SOLE
388350
XEBEC Adsorption @.45C 11/1/15 warrants Not Avail 250 2500000 SH SOLE
2500000
XEBEC Adsorption @1.10 12/31/0 warrants Not Avail 7 1666700 SH SOLE
1666700
Ziopharm Oncology Inc (R/R) @2 warrants Not Avail 753 273973 SH SOLE
273973
Ziopharm Oncology Inc (R/R) @4 warrants Not Avail 1190 967500 SH SOLE
967500
Ziopharm Oncology Inc (R/R) @5 warrants Not Avail 18 76555 SH SOLE
76555
uWink, Inc. Wts. @2.40 11/7/12 warrants 91818N100 1 1000000 SH SOLE
1000000
Cyclacel Pharm Unit @1.67 7/7/ rights Not Avail 176 2053450 SH SOLE
2053450
</TABLE>
</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>
-----END PRIVACY-ENHANCED MESSAGE-----