-----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, TNUEWBXWRqJWALU37n66TFvlxVxc29JCPL9dMUz0pMPCI5kwFPdxElbJtsW5yDxH ZIywxL4iT6+6rfJdDis7HQ== 0000909450-00-000003.txt : 20000203 0000909450-00-000003.hdr.sgml : 20000203 ACCESSION NUMBER: 0000909450-00-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991231 FILED AS OF DATE: 20000126 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GRUBER & MCBAINE CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0000909450 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 770210467 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: SEC FILE NUMBER: 028-04761 FILM NUMBER: 513317 BUSINESS ADDRESS: STREET 1: 50 OSGOOD PLACE PENTHOUSE CITY: SAN FRANCISCO STATE: CA ZIP: 94133 BUSINESS PHONE: 4159811039 MAIL ADDRESS: STREET 1: 50 OSGOOD PLACE CITY: SAN FRANCISCO STATE: CA ZIP: 94133 FORMER COMPANY: FORMER CONFORMED NAME: GRUBER & MCBAINE CAPITAL MANAGEMENT/GRUBER JON D ET AL DATE OF NAME CHANGE: 19951108 FORMER COMPANY: FORMER CONFORMED NAME: GRUBER & MCBAINE CAPITAL MANAGEMENT/GRUBER JON D ET AL DATE OF NAME CHANGE: 19930720 13F-HR 1 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, 1999 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: Gruber & McBaine Capital Management, LLC Address: 50 Osgood Place, Penthouse__ San Francisco, CA 94133_____ Form 13F File Number: 28-3296________ The institutional investment manager filing this report and the person by whom it is signed hereby represent 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: Elizabeth Giorgis____________ Title: administrator_______________ Phone: 415 981 1039_________________ Signature, Place and Date of Signing: _________________________ San Francisco, CA_ Nov 5, 1999 [Signature] [City, State] [Date] Report Type (Check only one.): _X_ 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) ___ 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) ___ 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] Form 13F File Number Name 29-________________ ________________________________________ [Repeat as necessary.] Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: _____0_____ Form 13F Information Table Entry Total: _____352___ Form 13F Information Table Value Total: __2,142,260__ List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name NONE 28-___________ ___________________________ [Repeat as necessary.] NAME OF ISSUER TITLE OF CUSIP VALUE SHARES INV. OTHER AUTH CLASS X1000 DISC MGR Abitibi Consolidated common 003924107 1,934 165,000 SOLE 165,000 1,934,483.00 Acsys Inc common 00087X103 253 149,700 SOLE 149,700 252,618.75 Adaptive Broadband common 00650M104 30,743 416,500 SOLE 416,500 30,742,906.25 Adtran Inc. common 00738A106 1,065 20,700 SOLE 20,700 1,064,756.25 Advanced Fibre common 00754A105 8,401 188,000 SOLE 188,000 8,401,250.00 AHT Corp. common 00130R103 1,416 302,000 SOLE 302,000 1,415,625.00 AK Steel Holdings common 001547108 1,888 100,000 SOLE 100,000 1,887,500.00 Alpnet Inc. common 021089107 5,903 1,242,800 SOLE 1,242,800 5,903,300.00 American Capital Strategies common 024937104 10,313 453,300 SOLE 453,300 10,312,575.00 American Mobile common 02755R103 6,687 317,500 SOLE 317,500 6,687,343.75 Ameripath common 03071D109 4,233 517,000 SOLE 517,000 4,232,937.50 Amer-Online common 02364J104 543 7,200 SOLE 7,200 543,150.00 Analog Devices common 032654105 2,325 25,000 SOLE 25,000 2,325,000.00 Anaren Microwave common 032744104 6,722 124,200 SOLE 124,200 6,722,325.00 Andover.net Inc common 034318105 4,186 117,500 SOLE 117,500 4,185,937.50 APEX INC. common 037548104 4,592 142,400 SOLE 142,400 4,592,400.00 Applied Imaging common 03820G106 260 208,000 SOLE 208,000 260,000.00 Applix Inc. common 038316105 551 30,500 SOLE 30,500 550,906.25 Aremisoft Corp common 040026106 2,519 77,500 SOLE 77,500 2,518,750.00 ArtiSoft common 04314L106 1,791 99,500 SOLE 99,500 1,791,000.00 Aspen Technology common 045327103 925 35,000 SOLE 35,000 925,312.50 Atmel Corp. common 049513104 2,572 87,000 SOLE 87,000 2,571,937.50 Aurora Biosciences common 051920106 2,120 80,000 SOLE 80,000 2,120,000.00 Banc Plus Corp cvt bnd 06446AA5 660 825,000 SOLE 825,000 660,000.00 Bitstream Inc common 091736108 5,324 1,014,000 SOLE 1,014,000 5,323,500.00 BJ Services common 055482103 11,578 276,900 SOLE 276,900 11,577,881.25 Blockbuster Inc common 093679108 1,090 81,500 SOLE 81,500 1,090,062.50 Blue Wave Systems common 096081104 370 40,000 SOLE 40,000 370,000.00 Boston Communications common 100582105 485 92,300 SOLE 92,300 484,575.00 Brooks Automation common 11434A100 3,103 95,300 SOLE 95,300 3,103,206.25 Bsquare Corp common 11776U102 3,271 78,000 SOLE 78,000 3,271,125.00 Cabletron common 126920107 4,420 170,000 SOLE 170,000 4,420,000.00 Calgon Carbon Corp common 129603106 1,677 282,500 SOLE 282,500 1,677,343.75 California Micro Devices common 130439102 2,086 177,500 SOLE 177,500 2,085,625.00 Caliper Technologies common 130876105 2,083 31,200 SOLE 31,200 2,082,600.00 Callaway Golf Co. common 131193104 6,314 357,000 SOLE 357,000 6,314,437.50 Callon Petroleum Co common 13123X102 1,926 130,000 SOLE 130,000 1,925,625.00 CapRock Communications common 140667106 292 9,000 SOLE 9,000 291,937.50 Career Education common 141665109 15,031 391,700 SOLE 391,700 15,031,487.50 Caremark Rx Inc common 141705103 25,618 5,060,300 SOLE 5,060,300 25,617,768.75 Cash America common 14754D100 683 70,000 SOLE 70,000 682,500.00 Celeritek Inc common 150926103 3,773 193,500 SOLE 193,500 3,773,250.00 Centura Software common 15640W103 244 44,800 SOLE 44,800 243,600.00 Certicom Corp common 156915100 12,810 215,200 SOLE 215,200 12,809,564.80 Chemdex Corp common 163595101 1,943 17,500 SOLE 17,500 1,942,500.00 Chevy Chase common 166784207 679 23,000 SOLE 23,000 678,500.00 Cholestech Corp. common 170393102 2,320 356,900 SOLE 356,900 2,319,850.00 Chronimed common 171164106 1,315 171,000 SOLE 171,000 1,314,562.50 Ciena Corp common 171779101 2,421 42,100 SOLE 42,100 2,420,750.00 Clickaction Inc common 18681E107 18,540 629,800 SOLE 629,800 18,539,737.50 ClipClop.Com common 188837108 96 507,800 SOLE 507,800 96,482.00 CMG Information common 125750109 287,182 1,037,225 SOLE 1,037,225 287,181,671.87 CMGI June 55 Calls calls 40499W9F2 774 45 SOLE 45 774,000.00 CoastCast common 19057T108 4,598 276,600 SOLE 276,600 4,598,475.00 Coherent Inc. common 192479103 14,536 543,400 SOLE 543,400 14,535,950.00 Collectors Universe common 19421R101 876 140,100 SOLE 140,100 875,625.00 Com21 Inc common 205937105 2,497 111,300 SOLE 111,300 2,497,293.75 Commtouch Software common M25596103 185 3,800 SOLE 3,800 184,537.50 COMPS.Com Inc common 204679105 791 100,500 SOLE 100,500 791,437.50 Corporate Executive common 21988R102 12,214 218,600 SOLE 218,600 12,214,275.00 CoStar Group common 22160N109 14,910 415,600 SOLE 415,600 14,909,650.00 Coulter Pharmaceuticals common 222116105 6,042 266,300 SOLE 266,300 6,041,681.25 Covad Communications common 222814204 1,566 28,000 SOLE 28,000 1,566,250.00 Creative Technology common Y1775U107 19 68,832 SOLE 68,832 18,584.64 Credit Management common 224905109 4,752 559,000 SOLE 559,000 4,751,500.00 Cree Research common 225447101 4,124 48,300 SOLE 48,300 4,123,612.50 Cuisine Solutions common 229904107 2,340 1,560,057 SOLE 1,560,057 2,340,085.50 Cylink CP common 232565101 3,362 249,000 SOLE 249,000 3,361,500.00 Cymer Inc. common 232572107 644 14,000 SOLE 14,000 644,000.00 Cypress Semiconductors common 232806109 5,666 175,000 SOLE 175,000 5,665,625.00 Cytyc common 232946103 18,346 300,450 SOLE 300,450 18,346,228.12 DAOU Systems common 237015102 3,112 1,016,200 SOLE 1,016,200 3,112,112.50 Datastream Systems common 238124101 7,278 296,300 SOLE 296,300 7,277,868.75 Dataware Technologies common 237920103 11,514 667,500 SOLE 667,500 11,514,375.00 Davox common 239208101 883 45,000 SOLE 45,000 883,125.00 Deltathree.com Inc common 24783N102 644 25,000 SOLE 25,000 643,750.00 Denbury Resource common 247916208 1,682 390,100 SOLE 390,100 1,682,306.25 Descartes Systems common 249906108 11,970 552,900 SOLE 552,900 11,969,546.66 Devon Energy common 251799102 4,931 150,000 SOLE 150,000 4,931,250.00 Dialog Corp common 252500103 3,576 560,900 SOLE 560,900 3,575,737.50 Digene common 253752109 1,814 104,000 SOLE 104,000 1,813,500.00 Digimarc Corp common 253807101 19,333 386,650 SOLE 386,650 19,332,500.00 Digital Insight Corp common 25385P106 3,725 102,400 SOLE 102,400 3,724,800.00 Digital Microwave common 253859102 33,952 1,448,600 SOLE 1,448,600 33,951,562.50 Digital Origin common 25385X109 649 53,500 SOLE 53,500 648,687.50 Digital River common 25388B104 3,390 101,750 SOLE 101,750 3,389,546.87 Diversinet Corp common 25536K204 5,265 239,300 SOLE 239,300 5,264,600.00 DR Horton common 23331A109 1,115 80,700 SOLE 80,700 1,114,668.75 Dreyers Ice Cream common 261878102 16,357 962,188 SOLE 962,188 16,357,196.00 Dril Quip Inc common 262037104 1,549 51,000 SOLE 51,000 1,549,125.00 DSET Corp common 262504103 16,572 443,400 SOLE 443,400 16,572,075.00 Dycom common 267475101 2,291 52,000 SOLE 52,000 2,291,250.00 E4L Inc. common 268452109 1,426 570,500 SOLE 570,500 1,426,250.00 EBenX Inc common 278668108 8,326 184,000 SOLE 184,000 8,326,000.00 Echelon Corp common 27874N105 1,272 65,000 SOLE 65,000 1,271,562.50 El Paso Energy common 28368B102 327 17,200 SOLE 17,200 326,800.00 EMC Corp. common 268648102 4,281 39,189 SOLE 39,189 4,281,398.25 Empyrean Diagnostics common 29245E103 151 280,500 SOLE 280,500 151,470.00 Encore Wire common 292562105 464 60,900 SOLE 60,900 464,362.50 Engage Technologies common 292827102 10,200 170,000 SOLE 170,000 10,200,000.00 Enron Corp common 293561106 6,656 150,000 SOLE 150,000 6,656,250.00 Ensco Intl Inc. common 26874Q100 9,299 406,500 SOLE 406,500 9,298,687.50 EPlus common 294268107 1,035 28,750 SOLE 28,750 1,035,000.00 Equity Marketing common 294724109 1,288 100,000 SOLE 100,000 1,287,500.00 E-Sim Lt common M40990109 2,650 193,600 SOLE 193,600 2,649,900.00 ESoft Inc common 296904105 291 10,000 SOLE 10,000 291,250.00 ESPS INC common 269129102 2,741 534,800 SOLE 534,800 2,740,850.00 Evergreen Resources common 299900308 1,126 57,000 SOLE 57,000 1,125,750.00 Exabyte common 300615101 1,331 177,400 SOLE 177,400 1,330,500.00 Exodus Communications common 302088109 622 7,000 SOLE 7,000 621,687.50 Extreme Networks common 30226D106 7,682 92,000 SOLE 92,000 7,682,000.00 Factory 2-U Stores common 306889403 5,299 186,750 SOLE 186,750 5,299,031.25 Featherlite Manufacturing common 313054108 1,319 234,500 SOLE 234,500 1,319,062.50 Film Roman common 317234102 1,573 1,007,000 SOLE 1,007,000 1,573,437.50 Flow Systems common 343468104 341 30,000 SOLE 30,000 341,250.00 Four Kids Entertainment common 350865101 423 15,100 SOLE 15,100 422,800.00 Four Media common 350872107 1,502 101,000 SOLE 101,000 1,502,375.00 Fresh America common 358034106 3,294 675,600 SOLE 675,600 3,293,550.00 Gadzooks Inc. common 362553109 1,295 132,000 SOLE 132,000 1,295,250.00 Galileo Technologies common M47298100 3,054 126,600 SOLE 126,600 3,054,225.00 Garden Burger common 365476100 4,394 663,200 SOLE 663,200 4,393,700.00 Genesis Microchip common 371933102 1,698 80,400 SOLE 80,400 1,698,450.00 Genesys Telecommunications common 371931106 6,691 123,900 SOLE 123,900 6,690,600.00 Genome Therapeutics common 372430108 13,142 815,030 SOLE 815,030 13,142,358.75 Geoworks Corp common 373692102 4,703 280,800 SOLE 280,800 4,703,400.00 Gilead Sciences common 375558103 5,433 100,378 SOLE 100,378 5,432,959.25 Global Industries common 379336100 3,364 390,000 SOLE 390,000 3,363,750.00 Granite Construction common 387328107 2,554 138,500 SOLE 138,500 2,553,593.75 Grey Wolf common 397888108 99 34,500 SOLE 34,500 99,187.50 Ha Lo Industries common 404429102 1,500 200,000 SOLE 200,000 1,500,000.00 Hanover Direct common 410783104 725 200,000 SOLE 200,000 725,000.00 Healtheon/WebMD common 422209106 2,063 55,000 SOLE 55,000 2,062,500.00 Hibernia Foods wts 428660138 351 117,000 SOLE 117,000 351,000.00 Hibernia Foods wts 428660120 402 117,000 SOLE 117,000 402,187.50 Hibernia Foods PLC common 428660104 2,855 431,000 SOLE 431,000 2,855,375.00 HIE Inc. common 40419W100 5,496 1,628,400 SOLE 1,628,400 5,495,850.00 Hilton Hotels common 432848109 343 35,611 SOLE 35,611 342,755.87 Hollywood.com Inc common 089144109 11,605 610,800 SOLE 610,800 11,605,200.00 Image Entertainment common 452439201 366 65,500 SOLE 65,500 366,390.62 Imatron Inc. common 452906100 163 65,000 SOLE 65,000 162,500.00 Infinium Software common 45662Y109 3,895 571,700 SOLE 571,700 3,894,706.25 Infonautics Inc common 456662105 3,543 506,100 SOLE 506,100 3,542,700.00 Infonet Services common 45666T106 919 35,000 SOLE 35,000 918,750.00 Innotrac Corp common 45767M109 481 35,000 SOLE 35,000 481,250.00 Insituform Tech common 457667103 9,477 335,465 SOLE 335,465 9,476,886.25 Instant Video common 45774V407 384 41,500 SOLE 41,500 383,875.00 Integramed America common 45810N302 841 249,100 SOLE 249,100 840,712.50 Intercept Group common 45845L107 2,716 91,500 SOLE 91,500 2,716,406.25 Interdigital Comm common 45866A105 1,200 16,000 SOLE 16,000 1,200,000.00 Internet Capital common 46059C106 3,740 22,000 SOLE 22,000 3,740,000.00 Interpool Inc common 46062R108 2,013 270,650 SOLE 270,650 2,012,959.37 Intertan Inc common 461120107 6,398 244,900 SOLE 244,900 6,398,012.50 Intervoice-Brite common 461142101 1,395 60,000 SOLE 60,000 1,395,000.00 Int'l Fibercom common 45950T101 1,914 243,100 SOLE 243,100 1,914,412.50 Intuit Inc common 461202103 10,957 182,800 SOLE 182,800 10,956,575.00 Invivo Corp. common 461858105 3,989 329,000 SOLE 329,000 3,989,125.00 Iridex common 462684101 5,250 608,700 SOLE 608,700 5,250,037.50 Ironstone common 463228205 10 13,506 SOLE 13,506 10,129.50 ISG Intl Software common M5733B104 8,902 565,200 SOLE 565,200 8,901,900.00 Isolyser Inc. common 464888106 1,502 506,000 SOLE 506,000 1,502,187.50 J Baker Cvt cvt bnd 057232AA8 750 1,000,000 SOLE 1,000,000 750,000.00 JDS Uniphase common 46612J101 15,292 94,800 SOLE 94,800 15,292,425.00 Kenneth Cole common 193294105 663 14,500 SOLE 14,500 663,375.00 Keynote Systems common 493308100 5,944 80,600 SOLE 80,600 5,944,250.00 Kopin Corp common 500600101 2,688 64,000 SOLE 64,000 2,688,000.00 Kulicke & Soffa common 501242101 3,852 90,500 SOLE 90,500 3,851,906.25 Kushner-Locke common 501337406 11,279 2,596,700 SOLE 2,596,700 11,279,415.62 L3 Communications common 502424104 5,952 143,000 SOLE 143,000 5,952,375.00 Laser Photonics Inc common 517903308 2,100 200,000 SOLE 200,000 2,100,000.00 Lattice Semiconductors common 518415104 4,053 86,000 SOLE 86,000 4,052,750.00 Lifeminders.com Inc. common 53219H108 36,631 634,300 SOLE 634,300 36,630,825.00 Loislaw.com common 541431102 4,315 110,300 SOLE 110,300 4,315,487.50 LSI Logic Corp. common 502161102 3,628 53,745 SOLE 53,745 3,627,787.50 LTX Corp. common 502392103 36,180 1,617,000 SOLE 1,617,000 36,180,375.00 Macromedia Inc. common 556100105 8,117 111,000 SOLE 111,000 8,116,875.00 Management Network common 561693102 489 15,000 SOLE 15,000 489,375.00 Mandalay Resort common 562567107 163 8,100 SOLE 8,100 163,012.50 Marketing Services common 570907105 9,174 547,700 SOLE 547,700 9,173,975.00 Martek Biosciences common 572901106 5,515 459,600 SOLE 459,600 5,515,200.00 Matria Healthcare common 576817100 8,306 2,013,479 SOLE 2,013,479 8,305,600.87 MDC Corporations Inc common 55267W309 18,067 2,148,315 SOLE 2,148,315 18,066,874.98 MDSI Mobile Data common 55268N100 14,942 581,200 SOLE 581,200 14,942,344.16 Med-Design Co common 583926100 4,554 311,400 SOLE 311,400 4,554,225.00 Medimmune common 584699102 7,464 44,996 SOLE 44,996 7,463,711.50 Medpartners Inc TAPS common 58503X206 127 16,000 SOLE 16,000 127,000.00 Menire Corp common 010558182 232 45,000 SOLE 45,000 231,750.00 Micron Technology common 595112103 7,627 98,100 SOLE 98,100 7,627,275.00 Mission Critical common 605047109 3,850 55,000 SOLE 55,000 3,850,000.00 Modtech Holdings common 60783C100 24,479 4,079,894 SOLE 4,079,894 24,479,364.00 Monterey Pasta common 612570101 7,136 1,812,300 SOLE 1,812,300 7,135,931.25 Motorola Inc. common 620076109 22,088 150,000 SOLE 150,000 22,087,500.00 MTI Technology common 553903105 2,168 58,800 SOLE 58,800 2,168,250.00 Myr Group common 628456105 3,409 116,061 SOLE 116,061 3,409,291.87 N2H2 Inc common 67019F104 2,369 100,800 SOLE 100,800 2,368,800.00 Nabors Industries common 629568106 6,683 216,000 SOLE 216,000 6,682,500.00 Nasdaq 100 Index Jan puts 76399W9A8 95 100 SOLE 100 95,000.00 National Information Consortcommon 636491102 13,130 410,300 SOLE 410,300 13,129,600.00 National Wireless common 638560102 3,861 132,000 SOLE 132,000 3,861,000.00 Natrol Inc common 638789107 3,227 460,950 SOLE 460,950 3,226,650.00 Navisite Inc common 63935M109 29,600 296,000 SOLE 296,000 29,600,000.00 NCO Group common 628858102 7,857 260,800 SOLE 260,800 7,856,600.00 Net2Phone INC. common 64108N106 46 1,000 SOLE 1,000 45,937.50 Netplex Group common 641147103 1,391 125,000 SOLE 125,000 1,390,625.00 Network Appliance common 64120L104 49,381 594,500 SOLE 594,500 49,380,656.25 Network Associates common 640938106 827 31,000 SOLE 31,000 827,312.50 Network Plus common 64122D506 315 15,000 SOLE 15,000 315,000.00 Netzee Inc common 64122W108 831 50,000 SOLE 50,000 831,250.00 Newfield Exploration common 651290108 2,212 82,700 SOLE 82,700 2,212,225.00 Newgen Results Corp common 651359101 1,637 155,000 SOLE 155,000 1,637,187.50 Newpark Resources common 651718504 567 92,500 SOLE 92,500 566,562.50 Newport Corp. common 651824104 824 18,000 SOLE 18,000 823,500.00 NFront Inc. common 65334N109 2,388 119,400 SOLE 119,400 2,388,000.00 Noble Drilling common 655042109 10,570 322,750 SOLE 322,750 10,570,062.50 Nucentrix common 670198100 3,312 135,200 SOLE 135,200 3,312,400.00 Oak Technology common 671802106 378 40,000 SOLE 40,000 377,500.00 Object Design Inc common 674416102 8,803 607,100 SOLE 607,100 8,802,950.00 OCI Communications common 67082H102 1,298 125,000 SOLE 125,000 1,297,762.50 Official Payments common 676235104 12,657 243,400 SOLE 243,400 12,656,800.00 OM Group common 670872100 5,679 164,900 SOLE 164,900 5,678,743.75 OneSource Information common 68272J106 5,503 409,500 SOLE 409,500 5,502,656.25 OnSite Energy Corp. common 68284P108 443 2,954,513 SOLE 2,954,513 443,176.92 Ontro Inc common 683380109 270 120,000 SOLE 120,000 270,000.00 Ontro Inc Wts @8.25 wts 683380117 28 100,000 SOLE 100,000 28,130.00 Onyx Pharmaceuticals common 683399109 2,010 201,000 SOLE 201,000 2,010,000.00 Onyx Software common 683402101 5,754 155,500 SOLE 155,500 5,753,500.00 Opinion Research common 683755102 5,989 665,400 SOLE 665,400 5,988,600.00 Orthologic Corp common 68750J107 1,568 612,000 SOLE 612,000 1,568,250.00 Pairgain Tech Inc common 695934109 7,789 549,000 SOLE 549,000 7,788,937.50 Panamsat Corp common 697933109 5,397 90,900 SOLE 90,900 5,397,187.50 Park Place common 700690100 625 50,000 SOLE 50,000 625,000.00 Parker Drilling common 701081101 2,918 915,500 SOLE 915,500 2,918,156.25 P-Com Inc common 693262107 9,350 1,057,200 SOLE 1,057,200 9,349,612.50 Peoplesoft Inc. common 712713106 85 4,000 SOLE 4,000 85,250.00 Per-Se Technologies common 713569200 8,967 1,066,744 SOLE 1,066,744 8,967,317.93 Photon Dynamics common 719364101 1,976 51,000 SOLE 51,000 1,976,250.00 Pinnacle Systems common 723481107 33,626 826,450 SOLE 826,450 33,626,184.37 Pittsburgh Pa Pub cvt bnd 725259GR 10 10,000 SOLE 10,000 10,430.00 Pixar common 725811103 616 17,400 SOLE 17,400 615,525.00 Plasma Therm Inc common 727900102 7,595 620,000 SOLE 620,000 7,595,000.00 PMR Corp common 693451106 4,308 1,325,421 SOLE 1,325,421 4,307,618.25 Polycom common 73172K104 25,188 395,500 SOLE 395,500 25,188,406.25 Polymedica common 731738100 1,619 70,000 SOLE 70,000 1,618,750.00 Portal Software common 736126103 2,058 20,000 SOLE 20,000 2,057,500.00 Powerwave Technologies common 739363109 8,324 142,600 SOLE 142,600 8,324,275.00 Preview Systems common 741379101 973 15,000 SOLE 15,000 973,125.00 Pride Intl common 741932107 3,808 260,350 SOLE 260,350 3,807,618.75 Primus Telecommunications common 741929103 6,292 164,500 SOLE 164,500 6,292,125.00 Primus Knowledge common 74163Q100 680 15,000 SOLE 15,000 679,687.50 Puma Technology common 745906107 117,706 901,100 SOLE 901,100 117,706,187.50 QRS Corp common 74726X105 1,043 10,000 SOLE 10,000 1,043,125.00 Quicklogic Corp common 74837P108 413 25,000 SOLE 25,000 412,500.00 Quiksilver Inc common 74838C106 775 50,000 SOLE 50,000 775,000.00 Qwest Communications common 749121109 2,150 50,000 SOLE 50,000 2,150,000.00 Radisys Corp. common 750459109 9,180 180,000 SOLE 180,000 9,180,000.00 Randolph Twp Mun cvt bnd 752744BQ 10 10,000 SOLE 10,000 10,373.80 Redwood Trust common 758075402 4,204 336,300 SOLE 336,300 4,203,750.00 Remec Inc. common 759543101 9,925 389,200 SOLE 389,200 9,924,600.00 Remedy Corp common 759548100 2,843 60,000 SOLE 60,000 2,842,500.00 Renaissance Worldwide common 75968A109 4,803 651,200 SOLE 651,200 4,802,600.00 Research in Motion common 760975102 15,424 334,100 SOLE 334,100 15,423,960.37 Rhythms Netconnections common 762430205 248 8,000 SOLE 8,000 248,000.00 Robotic Visions common 771074101 2,576 278,500 SOLE 278,500 2,576,125.00 RSA Security Inc. common 749719100 12,206 157,500 SOLE 157,500 12,206,250.00 S 1 Corporation common 78463B101 46,402 593,950 SOLE 593,950 46,402,343.75 S&P 100 Jan 720 Puts puts 12489T9A1 126 420 SOLE 420 126,000.00 Safeguard Scientifics common 786449108 33,020 203,750 SOLE 203,750 33,020,234.37 Saleslogix Corp common 79466P105 1,942 47,300 SOLE 47,300 1,942,256.25 Sanchez Comp common 799702105 41 1,000 SOLE 1,000 41,187.50 Santa Barbara common 801378100 796 509,400 SOLE 509,400 795,937.50 Santa Cruz Operation common 801833104 20,464 673,700 SOLE 673,700 20,463,637.50 Savoir Tech common 80533W107 2,876 403,700 SOLE 403,700 2,876,362.50 Sawtek Inc. common 805468105 11,462 172,200 SOLE 172,200 11,462,062.50 Schuler Homes Bnd cvt bnd 808188AA4 1,019 1,250,000 SOLE 1,250,000 1,018,750.00 Schuler Homes common 808188106 416 64,000 SOLE 64,000 416,000.00 Scient Corp common 80864H109 3,544 41,000 SOLE 41,000 3,543,937.50 Seachange Intl common 811699107 425 12,000 SOLE 12,000 424,500.00 Siebel Systems common 826170102 1,932 23,000 SOLE 23,000 1,932,000.00 Silicon Graphics common 827056102 98 10,000 SOLE 10,000 98,125.00 Silknet Software.com common 827094103 5,171 31,200 SOLE 31,200 5,171,400.00 Sino Forest CL A common 82934H101 3,156 2,797,400 SOLE 2,797,400 3,156,026.68 Sirit Technology common 82966K105 43 192,000 SOLE 192,000 42,528.00 Smith International common 832110100 2,981 60,000 SOLE 60,000 2,981,250.00 Smurfit Stone common 832727101 4,520 184,500 SOLE 184,500 4,520,250.00 Softnet Systems common 833964109 8,559 340,650 SOLE 340,650 8,558,831.25 Somera Communications common 834458101 933 75,000 SOLE 75,000 932,812.50 Sonex Research common 835448101 254 323,000 SOLE 323,000 253,812.50 Southern Energy common 842814105 71 30,475 SOLE 30,475 71,425.78 Southwest Airlines common 844741108 648 40,000 SOLE 40,000 647,500.00 Spectrian Corp. common 847608106 10,944 387,400 SOLE 387,400 10,944,050.00 Splitrock Services common 848636304 497 25,000 SOLE 25,000 496,875.00 Spy Glass common 852192103 614 16,200 SOLE 16,200 614,334.37 Stake Technology common 852559103 2,254 2,774,500 SOLE 2,774,500 2,254,281.25 Starbucks Corp common 855244109 1,215 50,100 SOLE 50,100 1,214,925.00 Startec Glbl Commun common 85569E103 1,633 76,400 SOLE 76,400 1,633,050.00 Sterling Software common 859547101 2,778 88,200 SOLE 88,200 2,778,300.00 Stolt Comex Seaway common L8873E103 2,802 253,300 SOLE 253,300 2,802,131.25 Student Advantage common 86386Q105 4,460 201,000 SOLE 201,000 4,459,687.50 Swift Energy common 870738101 1,150 100,000 SOLE 100,000 1,150,000.00 Synbiotics Corp. common 871566105 2,647 1,100,100 SOLE 1,100,100 2,647,115.62 Tankology common 87583E101 1,767 13,590,658 SOLE 13,590,658 1,766,785.54 Teekay Shipping common V89564104 877 55,000 SOLE 55,000 876,562.50 Tekelec common 879101103 20,959 931,500 SOLE 931,500 20,958,750.00 TeleCorp PCS CL A common 879299105 2,683 70,600 SOLE 70,600 2,682,800.00 Telemate.Net common 87943L100 325 20,000 SOLE 20,000 325,000.00 Temple Inland common 879868107 4,616 70,000 SOLE 70,000 4,615,625.00 Tera Computer common 88076P108 167 37,000 SOLE 37,000 166,500.00 Three D Labs common G8846W103 68 11,500 SOLE 11,500 67,562.50 Three Five Systems common 88554L108 267 6,500 SOLE 6,500 266,500.00 Tidel Tech common 886368109 2,001 711,300 SOLE 711,300 2,000,531.25 Tidewater common 886423102 2,142 59,500 SOLE 59,500 2,142,000.00 TMP Worldwide common 872941109 4,240 29,860 SOLE 29,860 4,240,120.00 Toll Brothers common 889478103 373 20,000 SOLE 20,000 372,500.00 Tom Brown common 115660201 2,787 208,400 SOLE 208,400 2,787,350.00 Topps Company common 890786106 342 33,000 SOLE 33,000 342,375.00 Tricom common 89612A100 4,255 189,100 SOLE 189,100 4,254,750.00 TriQuint Semiconductors common 89674K103 11,592 104,200 SOLE 104,200 11,592,250.00 Triton PCS Holdings common 89677M106 4,778 105,000 SOLE 105,000 4,777,500.00 U.S. Concrete common 90333L102 1,104 184,000 SOLE 184,000 1,104,000.00 U.S. Treasury Notes treas nt 912827Y55 36 35,000 SOLE 35,000 35,525.00 Urban Outfitters common 917047102 2,627 90,200 SOLE 90,200 2,627,075.00 US Internetworking common 917311805 3,932 56,275 SOLE 56,275 3,932,215.62 US Oncology Inc common 90338W103 2,977 603,000 SOLE 603,000 2,977,312.50 US Search.com Inc common 903381101 1,500 200,000 SOLE 200,000 1,500,000.00 USWEB common 917327108 2,226 50,100 SOLE 50,100 2,226,318.75 VA Linux Systems common 91819B105 207 1,000 SOLE 1,000 206,625.00 Verdant Brands Inc common 923366108 251 80,195 SOLE 80,195 250,610.62 Verisign Inc common 92343E102 1,222 6,400 SOLE 6,400 1,222,000.00 Veritas Software common 923436109 859 6,000 SOLE 6,000 858,750.00 Versant Corp common 925284101 114 13,000 SOLE 13,000 113,750.00 Vet Ctr of America common 925514107 1,687 131,000 SOLE 131,000 1,686,625.00 VI Technologies common 917920100 2,256 328,200 SOLE 328,200 2,256,375.00 Vidamed common 926530106 544 300,000 SOLE 300,000 543,750.00 Vista Information common 928365204 367 101,300 SOLE 101,300 367,212.50 Vitesse Semiconductors common 928497106 64,241 1,225,100 SOLE 1,225,100 64,241,181.25 Voicestream Wireless common 928615103 2,135 15,000 SOLE 15,000 2,134,687.50 Weathorford Intl. common 947074100 2,596 65,000 SOLE 65,000 2,595,937.50 Western Garnet Co. common 95825D105 678 784,000 SOLE 784,000 678,316.80 Western Water Co. common 959881103 315 265,500 SOLE 265,500 315,281.25 Western Wireless common 95988E204 1,001 15,000 SOLE 15,000 1,001,250.00 Wet Seal common 961840105 368 30,000 SOLE 30,000 367,500.00 White Electronic common 963801105 494 104,000 SOLE 104,000 494,000.00 Whittman Hart Inc common 966834103 1,609 30,000 SOLE 30,000 1,608,750.00 Whole Foods Mkt common 966837106 3,061 66,000 SOLE 66,000 3,060,750.00 Williams Cos. common 969457100 3,408 111,500 SOLE 111,500 3,407,718.75 Winstar Communications common 975515107 5,719 76,000 SOLE 76,000 5,719,000.00 Wolverine Worldwide common 978097103 438 40,000 SOLE 40,000 437,500.00 Workflow Management common 98137N109 744 26,000 SOLE 26,000 744,250.00 World Wrestling common 98156Q108 863 50,000 SOLE 50,000 862,500.00 Xilinx common 983919101 3,228 71,000 SOLE 71,000 3,228,281.25 Zindart LTD common 989597109 4,642 675,200 SOLE 675,200 4,642,000.00 Ziplink common 98741103 3,781 302,500 SOLE 302,500 3,781,250.00 Z-Tel Technologies common 988792107 606 15,000 SOLE 15,000 605,625.00
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