Executive Vice President

0001044321-14-000086.txt : 20140811 0001044321-14-000086.hdr.sgml : 20140811 20140808151346 ACCESSION NUMBER: 0001044321-14-000086 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140630 FILED AS OF DATE: 20140808 DATE AS OF CHANGE: 20140808 EFFECTIVENESS DATE: 20140808 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: 141027205 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 06-30-2014 06-30-2014 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 08-08-2014 0 191 789519 false INFORMATION TABLE 2 inftable.xml MARXE GREENHOUSE STETTNER 13F 063014 ANADIGICS, Inc. common 032515108 442 546318 SH SOLE 546318 0 0 ARI Network Services, Inc. common 001930205 606 200000 SH SOLE 200000 0 0 Acadia Pharmaceuticals, Inc. common 004225108 1499 66357 SH SOLE 66357 0 0 Active Power, Inc. common 00504W308 2001 725000 SH SOLE 725000 0 0 Adept Technology, Inc. common 006854202 15398 1467850 SH SOLE 1467850 0 0 Aegerion Pharmaceuticals, Inc. common 00767E102 324 10100 SH SOLE 10100 0 0 Aerovironment, Inc. common 008073108 3475 109262 SH SOLE 109262 0 0 Alcobra, Ltd. (Israel) common M2239P109 10386 600000 SH SOLE 600000 0 0 Amber Road, Inc. common 02318Y108 8272 512811 SH SOLE 512811 0 0 Ameresco, Inc. common 02361E108 222 31510 SH SOLE 31510 0 0 Antibe Therapeutics, Inc.(Rest common 037025103 767 1666667 SH SOLE 1666667 0 0 Aratana Therapeutics, Inc. common 03874P101 9366 600000 SH SOLE 600000 0 0 Ardmore Shipping Corp. (Irelan common Y0207T100 6366 460300 SH SOLE 460300 0 0 Argos Therapeutics, Inc. common 040221103 6022 750000 SH SOLE 750000 0 0 Arrowhead Research Corporation common 042797209 14256 996215 SH SOLE 996215 0 0 BTU International Corp. common 056032105 3672 1123045 SH SOLE 1123045 0 0 Bavarian Nordic A/S (Denmark) common 009225196 2300 100983 SH SOLE 100983 0 0 Benitec Biopharma Ltd.(Austra) common 6710507AU 1850 1687068 SH SOLE 1687068 0 0 BioTelemetry, Inc. common 090672106 1471 205182 SH SOLE 205182 0 0 Brightcove, Inc. common 075097042 17064 1618933 SH SOLE 1618933 0 0 Broadwind Energy Inc. common 11161T108 18524 2112191 SH SOLE 2112191 0 0 CEVA, Inc. common 157210105 19577 1325449 SH SOLE 1325449 0 0 CPI Aerostructures, Inc. common 125919308 11796 931040 SH SOLE 931040 0 0 CTPartners Executive Search common 22945C105 3295 352410 SH SOLE 352410 0 0 CVD Equipment Corporation common 126601103 4228 349166 SH SOLE 349166 0 0 Cache, Inc. common 127150308 4229 2627000 SH SOLE 2627000 0 0 Callidus Software common 13123E500 894 74900 SH SOLE 74900 0 0 Carbon Natural Gas Co. common 14115T109 10236 10888889 SH SOLE 10888889 0 0 Chase Packaging Corporation common 161635107 34 684954 SH SOLE 684954 0 0 Cimatron Ltd. 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(Can common 847574100 608 1776500 SH SOLE 1776500 0 0 StarTek, inc. common 85569C107 410 53104 SH SOLE 53104 0 0 Summit Corporations plc (Unite common B02T3K5GB 2326 18761726 SH SOLE 18761726 0 0 Support.com, Inc. common 86858W101 5334 1968120 SH SOLE 1968120 0 0 Synergetics USA, Inc. common 87160G107 3211 1035727 SH SOLE 1035727 0 0 Tekmira Pharmaceutical Corp. common 87911B209 6146 470595 SH SOLE 470595 0 0 Tetraphase Pharmaceuticals common 88165N105 10927 810000 SH SOLE 810000 0 0 Tivo, Inc. common 888706108 2813 217908 SH SOLE 217908 0 0 Tree.com, Inc. common 894675107 709 24327 SH SOLE 24327 0 0 Trillium Therapeutics Corp. common 89620X100 3869 12145238 SH SOLE 12145238 0 0 Turtle Beach Corporation common 699172102 5244 567550 SH SOLE 567550 0 0 Ultra Clean Holdings, Inc. common 90385V107 18734 2070103 SH SOLE 2070103 0 0 Unwired Planet, Inc. common 91531F103 1082 485194 SH SOLE 485194 0 0 UrtheCast Corporation (Canada) common 91731X102 976 788700 SH SOLE 788700 0 0 Vapor Corporation common 922099106 7702 1555968 SH SOLE 1555968 0 0 Verastem, Inc. common 92337C104 1268 140000 SH SOLE 140000 0 0 Verdasys, Inc. 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(Canada common 983891102 1585 12083103 SH SOLE 12083103 0 0 YuMe, Inc. common 98872B104 3850 652540 SH SOLE 652540 0 0 dELiA*s Corporation common 246911101 618 802774 SH SOLE 802774 0 0 diaDexus, Inc. common 25245P106 1460 1973461 SH SOLE 1973461 0 0 eGain Corporation common 28225C806 1133 167300 SH SOLE 167300 0 0 hopTo Inc. common 440271104 1023 8524700 SH SOLE 8524700 0 0 iPass, Inc. common 46261V108 3575 2979509 SH SOLE 2979509 0 0 Arrowhead Research Corp @1.83 preferred 999999999 17985 2300 SH SOLE 2300 0 0 Trillium Therapeutics @.21Cd preferred 89620X100 3733 11664286 SH SOLE 11664286 0 0 Verdasys Inc series A-1 cvt pf preferred 999999999 3644 1898146 SH SOLE 1898146 0 0 Verdasys Inc series B-1 cvt pf preferred 999999999 826 430113 SH SOLE 430113 0 0 ARI Network Services, @2.00 3/ warrants 999999999 116 100000 SH SOLE 100000 0 0 Aeterna Zentaris @1.25 1/14/19 warrants 999999999 123 333334 SH SOLE 333334 0 0 Altair Nanotech @.58 5/28/16 * warrants 03820G106 19 939973 SH SOLE 939973 0 0 Benitec Biopharma @1.59A 2/28/ warrants 999999999 463 1051402 SH SOLE 1051402 0 0 Cerus Corporation @3.20 5/16/1 warrants 999999999 526 421052 SH SOLE 421052 0 0 ChinaCast Education Corp R144 warrants 999999999 5 500000 SH SOLE 500000 0 0 CytRx Corporation R/R 8/1/16 @ warrants 232828301 312 2400000 SH SOLE 2400000 0 0 Derma Sciences, Inc. (R/R) @9. warrants 999999999 159 60606 SH SOLE 60606 0 0 Dynavax Technologies Corp @1.5 warrants 268158102 79 360000 SH SOLE 360000 0 0 Ecotality (Rest)@2.04 12/19/13 warrants 999999999 1 1250000 SH SOLE 1250000 0 0 EnteroMedics, Inc (RR) @2.19 6 warrants 999999999 270 1500000 SH SOLE 1500000 0 0 EnteroMedics, Inc. (R/R) @1.14 warrants 999999999 83 132140 SH SOLE 132140 0 0 EnteroMedics, Inc. (R/R) @1.90 warrants 999999999 41 180000 SH SOLE 180000 0 0 Foundation Health @1.24 6/20/1 warrants 999999999 821 3571000 SH SOLE 3571000 0 0 Galena Biopharma R/R @.65 4/21 warrants 999999999 762 307393 SH SOLE 307393 0 0 GeneNews @.24 2/1/15 Reg S (CF warrants 999999999 83 4144638 SH SOLE 4144638 0 0 GeneNews @.24 6/1/15 Reg S (CF warrants 999999999 21 690278 SH SOLE 690278 0 0 IZEA Inc. (R/R) @.35 2/21/19 1 warrants 999999999 1194 5428572 SH SOLE 5428572 0 0 IZEA Inc. (R/R) @.50 2/21/19 1 warrants 999999999 869 5428572 SH SOLE 5428572 0 0 Idera Pharmaceuticals (R/R) @3 warrants 999999999 104 216000 SH SOLE 216000 0 0 Immune Pharmaceuticals @.75 2/ warrants 999999999 1 1250000 SH SOLE 1250000 0 0 LRAD Corporation (R/R) @2.67 2 warrants 999999999 63 788090 SH SOLE 788090 0 0 Lightbridge Corp R/R @9.00 7/2 warrants 999999999 227 454546 SH SOLE 454546 0 0 Lightbridge RR @2.30 4/25/14-4 warrants 999999999 783 571428 SH SOLE 571428 0 0 Mast Therap (2w=1cs) @1.10 11/ warrants 999999999 150 3750000 SH SOLE 3750000 0 0 NV5 Holding Inc. @7.80 3/27/18 warrants 62945V117 290 99970 SH SOLE 99970 0 0 Overland Storage R/R @8.132 2/ warrants 999999999 318 1443373 SH SOLE 1443373 0 0 Palatin RR@1.00 3/2/12-3/2/17 warrants 999999999 855 4500000 SH SOLE 4500000 0 0 Palatin(RR) @1.00 3/1/16 *.086 warrants 999999999 45 4500000 SH SOLE 4500000 0 0 Parkervision, Inc. 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