Executive Vice President

0001044321-14-000078.txt : 20140514 0001044321-14-000078.hdr.sgml : 20140514 20140514153232 ACCESSION NUMBER: 0001044321-14-000078 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140331 FILED AS OF DATE: 20140514 DATE AS OF CHANGE: 20140514 EFFECTIVENESS DATE: 20140514 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: 14841218 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: 2123196670 MAIL ADDRESS: STREET 1: C/O SPECIAL SITUATIONS FUNDS STREET 2: 527 MADISON AVENUE, SUITE 2600 CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001044321 XXXXXXXX 03-31-2014 03-31-2014 MARXE AUSTIN W & GREENHOUSE DAVID M

C/O SPECIAL SITUATIONS FUNDS 527 MADISON AVENUE, SUITE 2600 NEW YORK NY 10022

13F HOLDINGS REPORT 028-06452 N David M. Greenhouse Executive Vice President 212-319-6670 /s/David M. Greenhouse New York NY 05-14-2014 0 189 903161 false INFORMATION TABLE 2 inftable033114.xml MARXE GREENHOUSE STETTNER 13F ANADIGICS, Inc. common 032515108 5806 3415318 SH SOLE 3415318 0 0 ARI Network Services, Inc. common 001930205 632 200000 SH SOLE 200000 0 0 Acadia Pharmaceuticals, Inc. common 004225108 1614 66357 SH SOLE 66357 0 0 Active Power, Inc. common 00504W308 2400 725000 SH SOLE 725000 0 0 Adamis Pharmaceuticals Corp. common 00547W208 3339 525000 SH SOLE 525000 0 0 Adept Technology, Inc. common 006854202 27889 1467850 SH SOLE 1467850 0 0 Aerovironment, Inc. common 008073108 4215 104710 SH SOLE 104710 0 0 Alcobra, Ltd. (Israel) common M2239P109 10890 600000 SH SOLE 600000 0 0 Amber Road, Inc. common 02318Y108 1501 97492 SH SOLE 97492 0 0 Antibe Therapeutics, Inc.(Rest common 037025103 905 1666667 SH SOLE 1666667 0 0 Aratana Therapeutics, Inc. common 03874P101 11136 600000 SH SOLE 600000 0 0 Ardmore Shipping Corp. common Y0207T100 6122 460300 SH SOLE 460300 0 0 Argos Therapeutics, Inc. common 040221103 7500 750000 SH SOLE 750000 0 0 Arrowhead Research Corporation common 042797209 21068 1283088 SH SOLE 1283088 0 0 Auspex Pharmaceuticals, Inc. common 05211J102 2452 79700 SH SOLE 79700 0 0 BTU International Corp. common 056032105 3515 1123045 SH SOLE 1123045 0 0 Bavarian Nordic A/S (Denmark) common 009225196 1835 100983 SH SOLE 100983 0 0 Benitec Biopharma Ltd.(Austra) common 6710507AU 1051 700000 SH SOLE 700000 0 0 BioTelemetry, Inc. common 090672106 1770 175417 SH SOLE 175417 0 0 Brightcove, Inc. common 075097042 15914 1618933 SH SOLE 1618933 0 0 Broadwind Energy Inc. common 11161T108 26773 2190943 SH SOLE 2190943 0 0 CEVA, Inc. common 157210105 23800 1355350 SH SOLE 1355350 0 0 CPI Aerostructures, Inc. common 125919308 12104 931040 SH SOLE 931040 0 0 CTPartners Executive Search common 22945C105 3858 354244 SH SOLE 354244 0 0 CVD Equipment Corporation common 126601103 4856 347616 SH SOLE 347616 0 0 Callidus Software common 13123E500 938 74900 SH SOLE 74900 0 0 Carbon Natural Gas Co. common 14115T109 9256 10888889 SH SOLE 10888889 0 0 Ceres, Inc. common 156773103 1581 1801477 SH SOLE 1801477 0 0 Chase Packaging Corporation common 161635107 34 684954 SH SOLE 684954 0 0 Cimatron Ltd. 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(Rest) @.50 2/21/19 warrants 999999999 869 5428572 SH SOLE 5428572 0 0 Idera Pharmaceuticals (R/R) @3 warrants 999999999 272 216000 SH SOLE 216000 0 0 Immune Pharmaceuticals @.75 2/ warrants 999999999 25 1250000 SH SOLE 1250000 0 0 Intermap Tech (R/R) @.48CN 4/2 warrants 999999999 18 10750000 SH SOLE 10750000 0 0 LRAD Corporation (R/R) @2.67 2 warrants 999999999 158 788090 SH SOLE 788090 0 0 Lightbridge Corp R/R @9.00 7/2 warrants 999999999 282 454546 SH SOLE 454546 0 0 Lightbridge RR @2.30 4/25/14-4 warrants 999999999 777 571428 SH SOLE 571428 0 0 Mast Therapeutics @1.10 11/16/ warrants 999999999 300 1875000 SH SOLE 1875000 0 0 NV5 Holding Inc. @7.80 3/27/18 warrants 62945V117 315 99970 SH SOLE 99970 0 0 Overland R/R @1.628 2/22/15 *1 warrants 999999999 182 4544701 SH SOLE 4544701 0 0 Palatin RR@1.00 3/2/12-3/2/17 warrants 999999999 1935 4500000 SH SOLE 4500000 0 0 Palatin(RR) @1.00 3/1/16 *.086 warrants 999999999 180 4500000 SH SOLE 4500000 0 0 Parkervision, Inc. (R/R) @.535 warrants 999999999 5248 1229104 SH SOLE 1229104 0 0 Power Solutions R/R @13.00 4/2 warrants 999999999 15656 251416 SH SOLE 251416 0 0 Precision Optic RR@.0472 5/11/ warrants 999999999 218 7260000 SH SOLE 7260000 0 0 Precision Optics (R/R) @1.50 2 warrants 999999999 175 350000 SH SOLE 350000 0 0 Precision Optics R/R @1.25 9/2 warrants 999999999 214 427779 SH SOLE 427779 0 0 Remark Media @5.11675 8/29/17 warrants 999999999 294 147222 SH SOLE 147222 0 0 Selectica @7.00 7/24/14-1/24/1 warrants 999999999 83 67319 SH SOLE 67319 0 0 Selectica @7.75 11/30/13-5/31/ warrants 999999999 189 185714 SH SOLE 185714 0 0 Stem Cell Therap @.28Cd 12/13/ warrants 999999999 4821 17857143 SH SOLE 17857143 0 0 Threshold Pharmaceutical R/R @ warrants 999999999 455 190476 SH SOLE 190476 0 0 Transgenomic @1.08 2/7/17 (R/R warrants 999999999 70 1750000 SH SOLE 1750000 0 0 Visualant, Inc. @.15 6/10/18 ( warrants 999999999 477 15900000 SH SOLE 15900000 0 0 Visualant, Inc. @.20 6/10/18 ( warrants 999999999 477 15900000 SH SOLE 15900000 0 0 XEBEC Adsorption @.45C 11/1/15 warrants 999999999 100 2500000 SH SOLE 2500000 0 0 Ziopharm Oncology Inc (R/R) @2 warrants 999999999 699 273973 SH SOLE 273973 0 0 Ziopharm Oncology Inc (R/R) @4 warrants 999999999 861 967500 SH SOLE 967500 0 0 hopTo Inc. @1.00 6/18/18 9.99% warrants 999999999 55 1375000 SH SOLE 1375000 0 0 iCo Therapeutics Inc @.539C 1/ warrants 999999999 446 4051621 SH SOLE 4051621 0 0 Overland Storage, Inc. 20% of Rights 999999999 2250 3000000 SH SOLE 3000000 0 0