-----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, S32Kd17xu9XbZas6tJ5bIyWjY6SeBAuGGau3EeJa2kwoXBkibRF2ZwMZw1wdWpsa tOCEZxicDy2Qs3gGN2yfJQ== /in/edgar/work/20000710/0000909450-00-000019/0000909450-00-000019.txt : 20000712 0000909450-00-000019.hdr.sgml : 20000712 ACCESSION NUMBER: 0000909450-00-000019 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000630 FILED AS OF DATE: 20000710 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: 670214 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 0001.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 20, 2000 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_ July 10, 2000 [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: _____3252___ Form 13F Information Table Value Total: __1,591,467__ 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 Acsys Inc common 00087X103 386 103,000 SOLE 103,000 386,250.00 Adaptive Broadband Corp common 00650M104 38,798 725,200 SOLE 725,200 38,798,200.00 Adtran Inc. common 00738A106 1,664 28,000 SOLE 28,000 1,664,250.00 Advanced Fibre Communicationcommon 00754A105 15,547 248,000 SOLE 248,000 15,546,500.00 Advanced Micro Devices common 007903107 1,712 30,000 SOLE 30,000 1,711,875.00 Advanced Radio Telecommunicacommon 00754U101 1,491 45,000 SOLE 45,000 1,490,625.00 AHT Corp. common 00130R103 1,095 324,300 SOLE 324,300 1,094,512.50 Alcatel Alsthom common 013904305 6,929 158,162 SOLE 158,162 6,929,494.53 Allaire Corp common 016714107 227 3,000 SOLE 3,000 226,875.00 American Capital Strategies common 024937104 8,940 352,300 SOLE 352,300 8,939,612.50 American Mobile Satellite common 02755R103 13,500 562,500 SOLE 562,500 13,500,000.00 Ameripath common 03071D109 4,164 512,500 SOLE 512,500 4,164,062.50 Analog Devices common 032654105 4,995 62,000 SOLE 62,000 4,994,875.00 Analysts International common 032681108 997 100,950 SOLE 100,950 996,881.25 Anaren Microwave common 032744104 12,627 131,700 SOLE 131,700 12,626,737.50 Andover.net Inc common 034318105 10,086 470,500 SOLE 470,500 10,086,343.75 APEX INC. common 037548104 7,425 200,000 SOLE 200,000 7,425,000.00 Applied Imaging common 03820G106 585 208,000 SOLE 208,000 585,000.00 Aremisoft Corp common 040026106 2,635 77,500 SOLE 77,500 2,635,000.00 Argosy Gaming Co. common 040228108 2,423 170,000 SOLE 170,000 2,422,500.00 ArtiSoft common 04314L106 1,194 99,000 SOLE 99,000 1,194,187.50 Aspen Technology common 045327103 1,413 35,000 SOLE 35,000 1,413,125.00 Atmel Corp. common 049513104 3,975 77,000 SOLE 77,000 3,975,125.00 Autodesk common 052769106 12,240 269,000 SOLE 269,000 12,239,500.00 Banc Plus Corp cvt bnd 06446AA5 644 825,000 SOLE 825,000 643,500.00 Bitstream Inc common 091736108 12,175 974,000 SOLE 974,000 12,175,000.00 BJ Services common 055482103 8,377 113,400 SOLE 113,400 8,377,425.00 Boston Communications Group common 100582105 865 119,300 SOLE 119,300 864,925.00 Broadwing Inc common 111620100 930 25,000 SOLE 25,000 929,687.50 Brooks Automation common 11434A100 5,956 95,300 SOLE 95,300 5,956,250.00 Bsquare Corp common 11776U102 907 41,000 SOLE 41,000 907,125.00 Buckle Inc common 118440106 484 30,000 SOLE 30,000 483,750.00 Cabletron common 126920107 3,664 125,000 SOLE 125,000 3,664,062.50 Caldera Systems common 128780103 2,468 105,000 SOLE 105,000 2,467,500.00 Calgon Carbon Corp common 129603106 1,959 298,500 SOLE 298,500 1,958,906.25 Calico Commerce common 129897104 1,310 40,000 SOLE 40,000 1,310,000.00 California Micro Devices common 130439102 2,757 100,500 SOLE 100,500 2,757,468.75 Caliper Technologies common 130876105 2,022 25,000 SOLE 25,000 2,021,875.00 Callaway Golf Co. common 131193104 8,324 537,000 SOLE 537,000 8,323,500.00 Career Education common 141665109 14,266 407,600 SOLE 407,600 14,266,000.00 Caremark Rx Inc common 141705103 21,274 5,080,300 SOLE 5,080,300 21,273,756.25 Cash America common 14754D100 746 60,000 SOLE 60,000 746,250.00 Celeritek Inc common 150926103 10,525 166,400 SOLE 166,400 10,524,800.00 Cell-Loc Inc common 150936102 1,829 53,000 SOLE 53,000 1,828,844.50 Centura Software common 15640W103 3,200 310,300 SOLE 310,300 3,199,968.75 Certicom Corp common 156915100 25,229 250,300 SOLE 250,300 25,228,613.05 Chevy Chase common 166784207 633 23,000 SOLE 23,000 632,500.00 Cholestech Corp. common 170393102 2,986 352,600 SOLE 352,600 2,986,081.25 Chronimed common 171164106 1,260 168,000 SOLE 168,000 1,260,000.00 Ciena Corp common 171779101 6,571 52,100 SOLE 52,100 6,571,112.50 Circle.com common 832914204 1,246 151,000 SOLE 151,000 1,245,750.00 Clickaction Inc common 18681E107 32,956 664,100 SOLE 664,100 32,955,962.50 ClipClop.Com Enterprises common 188837108 232 390,600 SOLE 390,600 231,918.75 CMG Information Services common 125750109 228,062 2,012,680 SOLE 2,012,680 228,061,802.50 CMGI June 55 Calls calls 40499W9F2 357 60 SOLE 60 357,000.00 CoastCast common 19057T108 4,737 276,600 SOLE 276,600 4,736,775.00 Coherent Inc. common 192479103 26,431 508,280 SOLE 508,280 26,430,560.00 Com21 Inc common 205937105 5,184 110,300 SOLE 110,300 5,184,100.00 Compaq Computer Corp common 204493100 2,582 96,990 SOLE 96,990 2,582,358.75 Concurrent Computer common 206710204 254 20,000 SOLE 20,000 253,750.00 Conexant Systems common 207142100 1,669 23,500 SOLE 23,500 1,668,500.00 Consolidated Ecoprogress Teccommon 208966101 76 100,000 SOLE 100,000 75,910.00 Corporate Executive Board common 21988R102 20,584 405,600 SOLE 405,600 20,584,200.00 CoStar Group common 22160N109 18,301 496,303 SOLE 496,303 18,301,173.12 Coulter Pharmaceutical common 222116105 2,745 90,000 SOLE 90,000 2,745,000.00 Covad Communications common 222814204 3,987 54,995 SOLE 54,995 3,987,137.50 CP Claire Corp common 12615K107 2,804 329,880 SOLE 329,880 2,803,980.00 Creative Technology common Y1775U107 1,905 60,000 SOLE 60,000 1,905,000.00 Credit Management Solutions common 224905109 6,002 701,000 SOLE 701,000 6,002,312.50 Cree Research common 225447101 2,709 24,000 SOLE 24,000 2,709,000.00 Cuisine Solutions common 229904107 3,908 1,583,057 SOLE 1,583,057 3,908,171.97 Cylink CP common 232565101 4,156 286,600 SOLE 286,600 4,155,700.00 Cypress Semiconductor common 232806109 8,630 175,000 SOLE 175,000 8,629,687.50 Cytyc common 232946103 7,199 149,200 SOLE 149,200 7,198,900.00 Dallas Semiconductor Corp. common 235204104 878 25,000 SOLE 25,000 878,125.00 DAOU Systems common 237015102 3,500 1,000,000 SOLE 1,000,000 3,500,000.00 Datastream Systems common 238124101 4,649 160,300 SOLE 160,300 4,648,700.00 Dataware Technologies common 237920103 5,995 685,100 SOLE 685,100 5,994,625.00 Descartes Systems common 249906108 45,406 982,700 SOLE 982,700 45,405,652.40 Dialog Corp common 252500103 5,423 638,000 SOLE 638,000 5,423,000.00 Digene common 253752109 3,358 73,000 SOLE 73,000 3,358,000.00 Digimarc Corp common 253807101 29,618 673,130 SOLE 673,130 29,617,720.00 Digital Impact common 25385G106 2,347 66,000 SOLE 66,000 2,347,125.00 Digital Insight Corp common 25385P106 5,406 105,488 SOLE 105,488 5,406,260.00 Digital Microwave common 253859102 10,207 301,300 SOLE 301,300 10,206,537.50 Digital River common 25388B104 2,418 112,450 SOLE 112,450 2,417,675.00 Dreyers Ice Cream common 261878102 35,921 1,394,988 SOLE 1,394,988 35,920,941.00 DSET Corp common 262504103 7,392 400,900 SOLE 400,900 7,391,593.75 Dycom common 267475101 3,500 71,800 SOLE 71,800 3,500,250.00 E4L Inc. common 268452109 1,202 565,500 SOLE 565,500 1,201,687.50 EBenX Inc common 278668108 5,974 202,500 SOLE 202,500 5,973,750.00 El Paso Energy Partners common 28368B102 333 17,200 SOLE 17,200 333,250.00 EMC Corp. common 268648102 4,899 39,189 SOLE 39,189 4,898,625.00 Emcore Corp common 290846104 3,452 30,000 SOLE 30,000 3,451,875.00 EMerge Interactive Inc common 29088W103 610 20,265 SOLE 20,265 610,483.12 Empyrean Biosciences common 29245E103 430 245,500 SOLE 245,500 429,625.00 Engage Technologies common 292827102 14,751 193,300 SOLE 193,300 14,751,206.25 Enron Corp common 293561106 12,055 161,000 SOLE 161,000 12,054,875.00 Ensco Intl Inc. common 26874Q100 10,628 294,200 SOLE 294,200 10,627,975.00 EON Communications common 268763109 3,084 210,000 SOLE 210,000 3,084,375.00 Equity Marketing common 294724109 2,874 268,900 SOLE 268,900 2,873,868.75 E-Sim Lt common M40990109 4,327 192,300 SOLE 192,300 4,326,750.00 ESPS INC common 269129102 3,935 572,400 SOLE 572,400 3,935,250.00 Exabyte common 300615101 1,319 177,400 SOLE 177,400 1,319,412.50 EXcelon Corp common 300691102 6,746 599,600 SOLE 599,600 6,745,500.00 Exodus Communications common 302088109 984 7,000 SOLE 7,000 983,500.00 Extensity Inc common 302255104 1,200 25,000 SOLE 25,000 1,200,000.00 Extreme Networks common 30226D106 11,218 142,000 SOLE 142,000 11,218,000.00 Factory 2-U Stores common 306889403 6,849 273,950 SOLE 273,950 6,848,750.00 Fastnet Corp common 311877104 285 23,500 SOLE 23,500 284,937.50 Featherlite Manufacturing common 313054108 846 205,000 SOLE 205,000 845,625.00 Film Roman common 317234102 1,426 992,000 SOLE 992,000 1,426,000.00 Flow Systems common 343468104 353 30,000 SOLE 30,000 352,500.00 Fresh America common 358034106 2,697 725,300 SOLE 725,300 2,697,209.37 Gadzooks Inc. common 362553109 2,689 124,000 SOLE 124,000 2,689,250.00 Galileo Technologies common M47298100 2,037 111,600 SOLE 111,600 2,036,700.00 Gap Stores common 364760108 498 10,000 SOLE 10,000 498,125.00 Garden Burger common 365476100 3,150 663,200 SOLE 663,200 3,150,200.00 Genesis Microchip common 371933102 1,272 58,500 SOLE 58,500 1,272,375.00 Genome Therapeutics common 371931106 5,207 221,000 SOLE 221,000 5,207,312.50 Geoworks Corp common 373692102 6,266 175,900 SOLE 175,900 6,266,437.50 Getty Images common 374276103 2,120 59,000 SOLE 59,000 2,120,312.50 Gilead Sciences common 375558103 8,389 132,378 SOLE 132,378 8,389,455.75 Granite Construction common 387328107 3,907 144,700 SOLE 144,700 3,906,900.00 Ha Lo Industries common 404429102 1,575 200,000 SOLE 200,000 1,575,000.00 Healthgate Data common 42222H106 563 100,000 SOLE 100,000 562,500.00 Hibernia Foods PLC ADR common 428660104 3,439 451,000 SOLE 451,000 3,438,875.00 Hibernia Foods Wt@2.9563 wts 428660120 497 117,000 SOLE 117,000 497,250.00 Hibernia Foods Wt@3.3594 wts 428660138 468 117,000 SOLE 117,000 468,000.00 HIE Inc. common 40419W100 9,855 1,642,500 SOLE 1,642,500 9,855,000.00 Hollywood.com Inc common 089144109 9,544 610,800 SOLE 610,800 9,543,750.00 Hyperion Solutions Corp common 44914M104 650 20,000 SOLE 20,000 650,000.00 IGate Capital common 45169U105 3,159 70,000 SOLE 70,000 3,158,750.00 Image Entertainment common 452439201 319 65,500 SOLE 65,500 319,312.50 Infinium Software common 45662Y109 2,943 570,700 SOLE 570,700 2,942,671.87 Infonautics Inc common 456662105 3,589 435,000 SOLE 435,000 3,588,750.00 Inprise Corp common 45766C102 477 70,000 SOLE 70,000 476,875.00 Insituform Tech common 457667103 8,647 282,365 SOLE 282,365 8,647,428.12 Instant Video Technologies common 45774V407 317 31,700 SOLE 31,700 317,000.00 Integral Systems Inc common 45810H107 1,125 25,000 SOLE 25,000 1,125,000.00 Integramed America common 45810N302 713 248,100 SOLE 248,100 713,287.50 Intercept Group common 45845L107 2,611 101,400 SOLE 101,400 2,611,050.00 Intertan Inc common 461120107 4,622 336,150 SOLE 336,150 4,622,062.50 Int'l Fibercom common 45950T101 190 8,000 SOLE 8,000 190,000.00 Intuit Inc common 461202103 10,660 196,050 SOLE 196,050 10,660,218.75 Invivo Corp. common 461858105 3,948 329,000 SOLE 329,000 3,948,000.00 Iridex common 462684101 7,209 613,500 SOLE 613,500 7,208,625.00 Ironstone common 463228205 13 13,506 SOLE 13,506 12,661.87 ISG Intl Software LTD common M5733B104 2,495 119,500 SOLE 119,500 2,494,562.50 Isolyser Inc. common 464888106 2,719 530,500 SOLE 530,500 2,718,812.50 ITXC Inc common 45069F109 5,177 110,000 SOLE 110,000 5,176,875.00 J Baker Cvt Bndcvt@16.125 8cvt bnd 057232AA8 701 850,000 SOLE 850,000 701,250.00 JD Edwards and Co. common 281667105 830 25,500 SOLE 25,500 830,343.75 JDS Uniphase common 46612J101 25,390 210,600 SOLE 210,600 25,390,462.50 Kenneth Cole Productions common 193294105 118 3,000 SOLE 3,000 117,750.00 Keynote Systems common 493308100 5,077 49,650 SOLE 49,650 5,076,712.50 Kulicke & Soffa common 501242101 5,638 88,000 SOLE 88,000 5,637,500.00 Kushner-Locke common 501337406 12,068 3,064,900 SOLE 3,064,900 12,068,043.75 L3 Communications common 502424104 6,396 123,000 SOLE 123,000 6,396,000.00 Lante Corp common 516540101 2,755 90,700 SOLE 90,700 2,755,012.50 Laser Photonics Inc common 5170903308 2,725 200,000 SOLE 200,000 2,725,000.00 Lattice Semiconductor common 518415104 5,821 86,000 SOLE 86,000 5,821,125.00 Lending Tree common 52602Q105 405 30,000 SOLE 30,000 405,000.00 Lifeminders.com Inc. common 53219H108 57,741 850,700 SOLE 850,700 57,741,262.50 Loislaw.com common 541431102 831 43,300 SOLE 43,300 830,818.75 Looksmart LTD common 543442107 1,760 40,000 SOLE 40,000 1,760,000.00 LSI Logic Corp. common 502161102 4,089 56,300 SOLE 56,300 4,088,787.50 LTX Corp. common 502392103 48,283 1,068,500 SOLE 1,068,500 48,282,843.75 Macromedia Inc. common 556100105 10,567 117,000 SOLE 117,000 10,566,562.50 Marchfirst Inc common 566244109 21,371 598,831 SOLE 598,831 21,370,781.31 Marketing Services Group common 570907105 10,559 594,900 SOLE 594,900 10,559,475.00 Martek Biosciences common 572901106 6,032 459,600 SOLE 459,600 6,032,250.00 Matria Healthcare common 576817100 10,697 2,013,479 SOLE 2,013,479 10,696,607.19 Maxxcom Inc common 57777W100 2,484 400,000 SOLE 400,000 2,484,480.00 MDC Corp common 55267W309 26,875 2,317,315 SOLE 2,317,315 26,874,555.07 MDSI Mobile Data Solution common 55268N100 10,370 219,300 SOLE 219,300 10,369,824.66 Med-Design Co common 583926100 5,077 312,400 SOLE 312,400 5,076,500.00 Medical Logic Inc common 584642102 4,590 264,200 SOLE 264,200 4,590,475.00 Medimmune common 584699102 1,758 10,097 SOLE 10,097 1,758,140.12 Medpartners Inc TAPS common 58503X206 106 16,000 SOLE 16,000 106,000.00 Menire Corp common 010558182 2,942 261,470 SOLE 261,470 2,941,537.50 Micron Technology Inc. common 595112103 3,150 25,000 SOLE 25,000 3,150,000.00 Millennium Pharmaceuticals common 599902103 1,948 15,000 SOLE 15,000 1,948,125.00 Mirage Resorts common 60462E104 969 50,000 SOLE 50,000 968,750.00 Mission Critical Software common 605047109 7,213 118,000 SOLE 118,000 7,212,750.00 Modtech Holdings common 60783C100 33,039 4,129,894 SOLE 4,129,894 33,039,152.00 Monterey Pasta common 612570101 10,738 2,526,500 SOLE 2,526,500 10,737,625.00 Motorola Inc. common 620076109 17,014 119,500 SOLE 119,500 17,013,812.50 MTI Technology Corp. common 553903105 53 2,000 SOLE 2,000 52,750.00 Myr Group common 628456105 3,424 116,061 SOLE 116,061 3,423,799.50 Nabors Industries common 629568106 6,598 170,000 SOLE 170,000 6,598,125.00 National Information Consortcommon 636491102 14,519 417,800 SOLE 417,800 14,518,550.00 National Wireless Hldg common 638560102 3,668 131,000 SOLE 131,000 3,668,000.00 Natrol Inc common 638789107 3,059 596,950 SOLE 596,950 3,059,368.75 Navisite Inc common 63935M109 28,867 237,100 SOLE 237,100 28,866,925.00 NCO Group common 628858102 8,649 270,800 SOLE 270,800 8,648,675.00 Net.Genesis Corp common 64107E107 2,251 50,300 SOLE 50,300 2,250,925.00 Netamerica.com Corp common 64108J105 1,313 52,000 SOLE 52,000 1,313,000.00 Netcentives common 64108P101 6,090 203,000 SOLE 203,000 6,090,000.00 Netplex Group common 641147103 364 30,000 SOLE 30,000 363,750.00 Network Appliance common 64120L104 39,720 480,000 SOLE 480,000 39,720,000.00 Network Associates common 640938106 1,161 36,000 SOLE 36,000 1,161,000.00 Netzero common 64122R109 763 50,000 SOLE 50,000 762,500.00 Newbridge Networks Corp. common 650901101 1,946 60,000 SOLE 60,000 1,946,250.00 Newgen Results Corp common 651359101 3,230 211,800 SOLE 211,800 3,229,950.00 Niku Corp common 654113109 5,217 110,275 SOLE 110,275 5,217,385.94 Noble Drilling common 655042109 7,510 181,225 SOLE 181,225 7,509,510.94 Northern Telecom Ltd. common 656568102 1,890 15,000 SOLE 15,000 1,890,000.00 Nucentrix common 670198100 9,458 320,600 SOLE 320,600 9,457,700.00 OCI Communications common 67082H102 2,021 154,100 SOLE 154,100 2,020,636.25 Official Payments common 676235104 18,572 442,200 SOLE 442,200 18,572,400.00 OM Group common 670872100 5,366 132,500 SOLE 132,500 5,366,250.00 OneSource Information Serviccommon 68272J106 4,547 551,100 SOLE 551,100 4,546,575.00 OnSite Energy common 68284P108 798 2,954,513 SOLE 2,954,513 797,718.46 Ontro Inc common 683380109 268 110,000 SOLE 110,000 268,125.00 Ontro Inc Wts @8.25 wts 683380117 38 100,000 SOLE 100,000 37,500.00 Onyx Pharmaceuticals common 683399109 1,220 87,500 SOLE 87,500 1,219,531.25 Onyx Software common 683402101 9,881 310,000 SOLE 310,000 9,881,250.00 Opinion Research Corp common 683755102 5,834 691,400 SOLE 691,400 5,833,687.50 Orthologic Corp common 68750J107 6,566 1,072,000 SOLE 1,072,000 6,566,000.00 Pairgain Tech Inc common 695934109 8,353 447,000 SOLE 447,000 8,353,312.50 Panamsat Corp common 697933109 8,385 170,900 SOLE 170,900 8,384,781.25 Park Place Entertainment Corcommon 700690100 578 50,000 SOLE 50,000 578,125.00 P-Com Inc common 693262107 17,597 951,200 SOLE 951,200 17,597,200.00 Pe Corp-Celera Genomics common 69332S201 916 10,000 SOLE 10,000 915,625.00 Peoplesoft Inc. common 712713106 80 4,000 SOLE 4,000 80,000.00 Per-Se Technologies Inc common 713569200 8,312 1,414,746 SOLE 1,414,746 8,311,633.57 Photon Dynamics common 719364101 3,692 53,500 SOLE 53,500 3,691,500.00 Pier 1 Imports common 720279108 410 40,000 SOLE 40,000 410,000.00 Pinnacle Holdings common 72346N101 1,381 25,000 SOLE 25,000 1,381,250.00 Pinnacle Systems common 723481107 54,959 1,652,900 SOLE 1,652,900 54,958,925.00 Pittsburgh Pa Pub Pkg Auth cvt bnd 725259GR 10 10,000 SOLE 10,000 10,430.00 PMR Corp common 693451106 6,544 1,325,421 SOLE 1,325,421 6,544,266.19 Polycom common 73172K104 20,304 256,400 SOLE 256,400 20,303,675.00 Portal Software common 736126103 2,733 48,000 SOLE 48,000 2,733,000.00 Powerwave Technologies common 739363109 14,738 117,900 SOLE 117,900 14,737,500.00 Price Communications common 741437305 1,610 70,000 SOLE 70,000 1,610,000.00 Primus Knowledge Solutions common 74163Q100 1,290 15,000 SOLE 15,000 1,290,000.00 Primus Telecommunications Grcommon 741929103 7,753 150,000 SOLE 150,000 7,753,125.00 Puma Technology common 745906107 63,570 1,255,700 SOLE 1,255,700 63,569,812.50 Quantum Corp common 747906303 1,125 100,000 SOLE 100,000 1,125,000.00 Quiksilver Inc common 74838C106 1,760 100,200 SOLE 100,200 1,759,762.50 Quotesmith.com Inc common 749117107 425 100,000 SOLE 100,000 425,000.00 Qwest Communications Intl common 749121109 2,425 50,000 SOLE 50,000 2,425,000.00 Radisys Corp. common 750459109 11,424 190,000 SOLE 190,000 11,423,750.00 Redwood Trust common 758075402 7,346 495,900 SOLE 495,900 7,345,518.75 Remec Inc. common 759543101 22,003 435,700 SOLE 435,700 22,002,850.00 Remedy Corp common 759548100 2,528 60,000 SOLE 60,000 2,527,500.00 Renaissance Worldwide common 75968A109 6,297 1,206,600 SOLE 1,206,600 6,296,943.75 Research in Motion common 760975102 39,537 376,600 SOLE 376,600 39,537,268.68 Robotic Visions Systems common 771074101 7,280 455,000 SOLE 455,000 7,280,000.00 RSA Security Inc. common 749719100 9,850 190,100 SOLE 190,100 9,849,556.25 S 1 Corporation common 78463B101 49,566 578,450 SOLE 578,450 49,565,934.37 Safeguard Scientifics Inc. common 786449108 35,462 504,350 SOLE 504,350 35,462,109.37 Santa Barbara Restaurant Grocommon 801378100 700 509,400 SOLE 509,400 700,425.00 Santa Cruz Operation common 801833104 9,272 989,000 SOLE 989,000 9,271,875.00 Savoir Tech common 80533W107 2,876 403,700 SOLE 403,700 2,876,362.50 Savvis Communications common 805423100 353 20,000 SOLE 20,000 352,500.00 Sawtek Inc. common 805468105 11,417 217,200 SOLE 217,200 11,416,575.00 Schuler HmsCvt@21.83 cvt bnd 808188AA4 1,025 1,250,000 SOLE 1,250,000 1,025,000.00 Schuler Homes common 808188106 392 64,000 SOLE 64,000 392,000.00 ShowCase Corp common 82539P102 405 45,000 SOLE 45,000 405,000.00 Silicon Graphics common 827056102 4,483 424,380 SOLE 424,380 4,482,513.75 Sino Forest common 82934H101 3,181 2,776,400 SOLE 2,776,400 3,180,643.84 Sirit Technology common 82966K105 113 192,000 SOLE 192,000 112,627.20 Softnet Systems common 833964109 8,820 301,550 SOLE 301,550 8,820,337.50 Somera Communications common 834458101 849 70,000 SOLE 70,000 848,750.00 Sonex common 835448101 46 123,000 SOLE 123,000 46,125.00 Spectralink common 847580107 621 34,500 SOLE 34,500 621,000.00 Spectrian Corp. common 847608106 8,840 392,900 SOLE 392,900 8,840,250.00 Stake Technology common 852559103 5,131 3,040,600 SOLE 3,040,600 5,131,012.50 Starbucks Corp common 855244109 453 10,100 SOLE 10,100 452,606.25 Startec Glbl Commun CP common 85569E103 2,497 118,900 SOLE 118,900 2,496,900.00 Starwood Lodging Trust common 85590A203 263 10,000 SOLE 10,000 262,500.00 Sterling Software common 859547101 1,083 35,501 SOLE 35,501 1,082,780.50 Student Advantage Inc common 86386Q105 3,658 365,800 SOLE 365,800 3,658,000.00 Synbiotics Corp. common 871566105 3,850 1,100,100 SOLE 1,100,100 3,850,350.00 Tankology common 87583E101 1,767 13,588,658 SOLE 13,588,658 1,766,525.54 Tekelec common 879101103 29,106 784,000 SOLE 784,000 29,106,000.00 TeleCorp PCS CL A common 879299105 3,654 70,600 SOLE 70,600 3,653,550.00 Telemate.Net Software common 87943L100 240 20,000 SOLE 20,000 240,000.00 Telscape International common 87969E105 746 35,500 SOLE 35,500 745,500.00 Therma Wave common 88343A108 850 25,000 SOLE 25,000 850,000.00 Thermo Electron common 883556102 509 25,000 SOLE 25,000 509,375.00 Tidel Tech common 886368109 7,018 802,000 SOLE 802,000 7,017,500.00 Tricom common 89612A100 3,626 151,100 SOLE 151,100 3,626,400.00 TriQuint Semiconductor common 89674K103 6,534 88,900 SOLE 88,900 6,534,150.00 Triton PCS Holdings common 89677M106 8,992 150,500 SOLE 150,500 8,992,375.00 Turnstone Systems common 900423104 2,185 19,000 SOLE 19,000 2,185,000.00 U.S. Concrete common 90333L102 440 73,300 SOLE 73,300 439,800.00 U.S. Treasury Notes 7% 7/1/9us treas 912827Y55 36 35,000 SOLE 35,000 35,525.00 Urban Outfitters common 917047102 1,552 105,200 SOLE 105,200 1,551,700.00 US Internetworking Inc common 917311805 6,981 180,162 SOLE 180,162 6,981,296.87 US Oncology Inc common 90338W103 2,770 615,500 SOLE 615,500 2,769,750.00 US Search.com Inc common 903381101 1,498 301,500 SOLE 301,500 1,498,078.12 US West Inc common 91273H101 2,179 30,000 SOLE 30,000 2,178,750.00 UTStarcom Inc common 918076100 3,005 38,500 SOLE 38,500 3,005,406.25 VCampus Corp common 903196103 785 73,000 SOLE 73,000 784,750.00 Veeco Instruments common 922417100 2,553 34,500 SOLE 34,500 2,553,000.00 Verdant Brands Inc common 923366108 200 80,195 SOLE 80,195 200,488.50 Verisign Inc common 9234E102 449 3,000 SOLE 3,000 448,500.00 Vet Ctr of Amer common 925514107 5,767 419,400 SOLE 419,400 5,766,750.00 VI Technologies common 917920100 3,375 400,000 SOLE 400,000 3,375,000.00 Vidamed common 926530106 1,069 300,000 SOLE 300,000 1,068,750.00 Vista Information Solutions common 928365204 396 101,300 SOLE 101,300 395,703.12 Vitesse common 928497106 93,651 973,000 SOLE 973,000 93,651,250.00 Voicestream Wireless common 928615103 7,342 57,000 SOLE 57,000 7,342,312.50 Western Garnet Co. common 95825D105 568 784,000 SOLE 784,000 568,086.40 Western Water Co. common 959881103 328 265,500 SOLE 265,500 327,726.56 Western Wireless common 95988E204 4,398 96,000 SOLE 96,000 4,398,000.00 Whole Foods Mkt common 966837106 2,113 51,000 SOLE 51,000 2,113,312.50 Winstar Communications common 975515107 1,830 30,500 SOLE 30,500 1,830,000.00 Wolverine Worldwide common 978097103 8,324 756,690 SOLE 756,690 8,323,590.00 Workflow Management common 98137N109 2,694 100,000 SOLE 100,000 2,693,750.00 Worldquest Networks common 98156W105 1,312 53,000 SOLE 53,000 1,311,750.00 Xilinx common 983919101 5,880 71,000 SOLE 71,000 5,879,687.50 Zindart LTD common 989597109 2,954 675,200 SOLE 675,200 2,954,000.00 Ziplink common 98741103 3,098 206,550 SOLE 206,550 3,098,250.00 Z-Tel Technologies common 988792107 1,260 30,000 SOLE 30,000 1,260,000.00
SM\M-CORP\IA-13/16\1028307.01 -----END PRIVACY-ENHANCED MESSAGE-----