-----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, Ryw2BIsoJTZkrT0cwqb8rEA9jBYT/5XZBecoYiYtU5RXPBVNMDNE60/6a0vpRJan xutLBywVsnC1cKyyCIKCTA== /in/edgar/work/0000909450-00-000029/0000909450-00-000029.txt : 20001013 0000909450-00-000029.hdr.sgml : 20001013 ACCESSION NUMBER: 0000909450-00-000029 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000930 FILED AS OF DATE: 20001012 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: 738751 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: September 30, 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_ October 11, 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: _____267___ Form 13F Information Table Value Total: __1,460,414__ 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 Acterna Corp common 00503U105 1,823 60,000 SOLE 60,000 1,822,500 Activision Inc common 004930202 855 57,000 SOLE 57,000 855,000 Adaptive Broadband Corp common 00650M104 13,601 697,500 SOLE 697,500 13,601,250 Adept Technology common 006854103 8,236 156,700 SOLE 156,700 8,236,544 Adtran Inc. common 00738A106 2,357 55,400 SOLE 55,400 2,357,097 Advanced Fibre Communicationcommon 00754A105 11,631 307,100 SOLE 307,100 11,631,413 Advanced Micro Devices common 007903107 945 40,000 SOLE 40,000 945,000 Advanced Radio Telecommunicacommon 00754U101 382 45,000 SOLE 45,000 382,500 Allaire Corp common 016714107 428 50,400 SOLE 50,400 428,400 American Capital Strategies common 024937104 4,765 201,200 SOLE 201,200 4,765,925 American Towers common 029912201 3,015 80,000 SOLE 80,000 3,015,000 Ameripath common 03071D109 5,001 344,950 SOLE 344,950 5,001,775 Analog Devices common 032654105 2,890 35,000 SOLE 35,000 2,889,688 Analysts International common 032681108 664 92,000 SOLE 92,000 664,125 Applied Imaging common 03820G106 906 196,000 SOLE 196,000 906,500 Aremisoft Corp common 040026106 2,906 77,500 SOLE 77,500 2,906,250 Argosy Gaming common 040228108 2,084 115,000 SOLE 115,000 2,084,375 Ariel CP common 04033M104 294 148,000 SOLE 148,000 294,387 ArtiSoft common 04314L106 7,440 99,000 SOLE 99,000 744,047 Aspen Technology common 045327103 1,647 36,500 SOLE 36,500 1,647,063 AT and T Latin America common 04649A106 135 16,000 SOLE 16,000 135,000 At Comm common 00208K105 14,051 554,164 SOLE 554,164 14,051,414 Atmel Corp. common 049513104 486 32,000 SOLE 32,000 486,000 Autodesk common 052769106 6,965 274,500 SOLE 274,500 6,965,438 Avocent Corp common 053893103 8,213 148,995 SOLE 148,995 8,213,349 Banc Plus Corp cvt bnd 06446AA5 668 825,000 SOLE 825,000 668,250 Bitstream Inc common 091736108 3,422 944,000 SOLE 944,000 3,422,000 Boeing common 097023105 5,670 90,000 SOLE 90,000 5,670,000 Boston Communications Group common 100582105 1,651 85,800 SOLE 85,800 1,651,650 Bracknell Corp common 10382K102 1,168 171,200 SOLE 171,200 1,167,841 Bright Station PLC ADR common 10921M106 2,273 638,000 SOLE 638,000 2,272,875 Brooks Automation common 11434A100 3,518 106,200 SOLE 106,200 3,517,875 Buckle Inc common 118440106 1,259 108,300 SOLE 108,300 1,258,988 Cabletron common 126920107 3,672 125,000 SOLE 125,000 3,671,875 Cadence Design common 127387108 385 15,000 SOLE 15,000 385,313 Calico Commerce common 129897104 492 80,300 SOLE 80,300 491,838 California Micro Devices common 130439102 1,407 100,500 SOLE 100,500 1,407,000 Callaway Golf Co. common 131193104 7,180 467,000 SOLE 467,000 7,180,125 CapRock Communications common 140667106 204 40,000 SOLE 40,000 203,750 Career Education common 141665109 10,716 240,800 SOLE 240,800 10,715,600 Caremark Rx Inc common 141705103 60,924 5,415,500 SOLE 5,415,500 60,924,375 Celeritek Inc common 150926103 7,922 212,700 SOLE 212,700 7,921,911 Centura Software common 15640W103 1,084 309,800 SOLE 309,800 1,084,300 Certicom Corp common 156915100 13,468 339,600 SOLE 339,600 13,468,454 Chevy Chase common 166784207 587 23,000 SOLE 23,000 586,500 Clickaction Inc common 18681E107 12,439 1,363,200 SOLE 1,363,200 12,439,200 ClipClop.Com Enterprises common 188837108 50 185,600 SOLE 185,600 50,112 CMG Information Services common 125750109 57,341 2,052,455 SOLE 2,052,455 57,340,462 CoastCast common 19057T108 1,993 128,600 SOLE 128,600 1,993,300 Cobalt Networks common 19074R101 4,572 79,000 SOLE 79,000 4,572,125 Coherent Inc. common 192479103 37,692 554,300 SOLE 554,300 37,692,400 Com21 Inc common 205937105 1,489 110,300 SOLE 110,300 1,489,050 Compaq Computer Corp common 204493100 1,379 50,000 SOLE 50,000 1,379,000 Comverse Technology common 205862402 15,811 146,400 SOLE 146,400 15,811,200 Consolidated Ecoprogress Teccommon 208866101 43 82,500 SOLE 82,500 43,379 Corporate Executive Board common 21988R102 11,185 277,900 SOLE 277,900 11,185,475 CoStar Group common 22160N109 16,576 448,003 SOLE 448,003 16,576,111 Covad Communications common 222814204 1,263 94,425 SOLE 94,425 1,262,934 CP Claire Corp common 12615K107 541 125,380 SOLE 125,380 540,701 Creative Technology common Y1775U107 1,245 60,000 SOLE 60,000 1,245,000 Credit Management Solutions common 224905109 2,822 752,400 SOLE 752,400 2,821,500 Cuisine Solutions common 229904107 1,781 1,583,057 SOLE 1,583,057 1,780,939 Cylink common 232565101 2,451 234,800 SOLE 234,800 2,450,725 Cypress Semiconductor common 232806109 7,253 174,500 SOLE 174,500 7,252,656 DAOU Systems common 237015102 1,000 1,000,000 SOLE 1,000,000 1,000,000 Data Critical Corp common 237622105 188 25,500 SOLE 25,500 188,063 Datastream Systems common 238124101 779 60,500 SOLE 60,500 778,938 Dataware Technologies common 237920103 1,370 685,100 SOLE 685,100 1,370,200 Dental Medical Diagnostic Sycommon 24873K208 425 377,700 SOLE 377,700 424,913 Descartes Systems common 249906108 46,376 934,700 SOLE 934,700 46,375,842 Digimarc Corp common 253807101 9,735 522,700 SOLE 522,700 9,735,288 Digital Insight Corp common 25385P106 1,987 55,381 SOLE 55,381 1,986,793 Digital Lighthouse common 25386P105 1,819 606,400 SOLE 606,400 1,819,200 DigitalThink common 25388M100 1,095 26,000 SOLE 26,000 1,095,250 DMC Stratex Networks common 23322L106 3,084 192,000 SOLE 192,000 3,084,000 Docent Inc common 25608L106 183 10,000 SOLE 10,000 183,125 Dreyers Ice Cream common 261878102 29,495 1,367,888 SOLE 1,367,888 29,495,085 DSET Corp common 262504103 8,939 433,400 SOLE 433,400 8,938,875 Dycom common 267475101 1,603 38,500 SOLE 38,500 1,602,563 E4L Inc. common 268452109 128 548,000 SOLE 548,000 128,438 EBenX Inc common 278668108 2,540 224,500 SOLE 224,500 2,539,656 Efficient Networks common 282056100 14,914 399,700 SOLE 399,700 14,913,806 Emcore Corp common 290846104 4,906 118,000 SOLE 118,000 4,906,219 Empyrean Biosciences common 29245E103 153 218,000 SOLE 218,000 152,600 Engage Inc. common 292827102 3,063 377,000 SOLE 377,000 3,063,125 Equity Marketing common 294724109 4,604 337,900 SOLE 337,900 4,603,888 E-Sim Lt common M40990109 942 133,400 SOLE 133,400 942,138 ESPS INC common 269129102 2,083 628,800 SOLE 628,800 2,082,900 Exabyte common 300615101 1,050 93,300 SOLE 93,300 1,049,625 EXcelon Corp common 300691102 19,660 1,588,700 SOLE 1,588,700 19,660,163 Extensity Inc common 302255104 1,796 85,500 SOLE 85,500 1,795,500 Extreme Networks common 30226D106 30,114 263,000 SOLE 263,000 30,113,500 Featherlite Manufacturing common 313054108 309 102,900 SOLE 102,900 308,700 Federal Agricultural Mortgagcommon 313148306 1,022 58,000 SOLE 58,000 1,022,250 Fila Holdings common 316850106 2,068 226,600 SOLE 226,600 2,067,725 Film Roman common 317234102 982 982,000 SOLE 982,000 982,000 First American Financial common 318522307 3,152 151,000 SOLE 151,000 3,152,125 Footstar Inc common 344912100 808 25,000 SOLE 25,000 807,813 Foundry Networks common 35063R100 1,339 20,000 SOLE 20,000 1,338,750 Freemarket common 356602102 857 15,000 SOLE 15,000 856,875 Frequency Electronics common 358010106 209 9,100 SOLE 9,100 208,754 Fresh America common 358034106 1,198 766,400 SOLE 766,400 1,197,500 Friedman Billings Ramsey Grocommon 358433100 3,469 372,500 SOLE 372,500 3,468,906 Gadzooks Inc. common 362553109 887 49,600 SOLE 49,600 886,600 Gap Stores common 364760108 503 25,000 SOLE 25,000 503,125 Garden Burger common 365476100 1,918 548,100 SOLE 548,100 1,918,350 Genesis Microchip common 371933102 2,924 160,200 SOLE 160,200 2,923,650 Genome Therapeutics common 371931106 4,111 199,950 SOLE 199,950 4,111,472 Geoworks Corp common 373692102 1,653 224,200 SOLE 224,200 1,653,475 Granite Construction common 387328107 3,291 135,700 SOLE 135,700 3,290,725 Guitar Center common 402040109 2,105 171,000 SOLE 171,000 2,105,438 Ha Lo Industries common 404429102 2,004 501,000 SOLE 501,000 2,004,000 Healthcare.com Corp common 42221Y100 4,630 1,722,900 SOLE 1,722,900 4,630,294 Healthgate Data common 42222H106 129 109,000 SOLE 109,000 129,438 Hercules common 427056106 1,441 102,000 SOLE 102,000 1,440,750 Hibernia Foods PLC ADR common 428660104 1,303 2,496,869 SOLE 2,496,869 13,030,660 Hollywood.com Inc common 089144109 3,787 627,900 SOLE 627,900 3,787,022 Hyperion Solutions Corp common 44914M104 906 35,000 SOLE 35,000 905,625 I K O S Sys common 451716203 208 20,000 SOLE 20,000 207,500 Image Entertainment common 452439201 156 42,000 SOLE 42,000 156,188 Infinium Software common 45662Y109 1,534 570,700 SOLE 570,700 1,533,756 Infonautics Inc common 456662105 644 303,100 SOLE 303,100 644,088 Information Res Engineer common 45675F303 1,921 63,500 SOLE 63,500 1,920,875 Innovative Solution & Supporcommon 45769N105 1,062 62,000 SOLE 62,000 1,061,750 Inprise Corp common 45766C102 1,363 255,000 SOLE 255,000 1,362,656 Integral Systems Inc common 45810H107 1,879 118,000 SOLE 118,000 1,878,630 Integramed America common 45810N302 404 190,100 SOLE 190,100 403,963 Intercept Group common 45845L107 3,767 161,600 SOLE 161,600 3,767,300 Internap Networks common 45885A102 1,971 61,000 SOLE 61,000 1,971,063 Intertan Inc common 461120107 3,000 207,850 SOLE 207,850 3,000,834 Intraware common 46118M103 511 68,400 SOLE 68,400 510,863 Intuit Inc common 461202103 5,703 100,050 SOLE 100,050 5,702,850 Invivo Corp. common 461858105 3,496 329,000 SOLE 329,000 3,495,625 Iridex common 462684101 6,607 604,100 SOLE 604,100 6,607,344 Ironstone common 463228205 15 13,506 SOLE 13,506 15,194 Isolyser Inc. common 464888106 1,094 530,500 SOLE 530,500 1,094,156 JD Edwards and Co. common 281667105 1,824 70,500 SOLE 70,500 1,824,188 JDS Uniphase common 46612J101 12,783 135,000 SOLE 135,000 12,782,813 Keynote Systems common 493308100 1,388 51,900 SOLE 51,900 1,388,325 Kushner-Locke common 501337406 3,256 3,064,900 SOLE 3,064,900 3,256,456 Landamerica Financial common 514936103 3,581 125,400 SOLE 125,400 3,581,738 Lante Corp common 516540101 507 101,400 SOLE 101,400 507,000 Lattice Semiconductor common 518415104 4,547 84,600 SOLE 84,600 4,547,250 Lexar Media common 52886P104 3,488 300,000 SOLE 300,000 3,487,500 Lifeminders Inc. common 53219H108 23,920 1,042,850 SOLE 1,042,850 23,920,372 LSI Logic Corp. common 502161102 2,086 71,300 SOLE 71,300 2,085,525 LTX Corp. common 502392103 19,742 1,042,500 SOLE 1,042,500 19,742,344 Lynx Therapeutics common 551812308 1,578 50,405 SOLE 50,405 1,578,307 Macromedia Inc. common 556100105 2,602 32,200 SOLE 32,200 2,602,163 Manufacturers Services common 565005105 1,556 131,000 SOLE 131,000 1,555,625 Marchfirst Inc common 566244109 10,511 670,031 SOLE 670,031 10,511,111 Marketing Services Group common 570907105 2,408 812,600 SOLE 812,600 2,407,800 Martek Biosciences common 572901106 4,739 243,000 SOLE 243,000 4,738,500 Matria Healthcare common 576817100 7,139 2,039,779 SOLE 2,039,779 7,139,227 MatrixOne Inc common 57685P304 116 2,904 SOLE 2,904 116,160 Maxxcom Inc common 57777W100 2,742 400,000 SOLE 400,000 2,741,920 MDC Corp common 55267W309 20,459 2,244,315 SOLE 2,244,315 20,459,368 MDSI Mobile Data Solution common 55268N100 1,439 129,400 SOLE 129,400 1,439,155 MDU Comm Int'l Inc common 582828109 832 595,000 SOLE 595,000 831,673 Measurement Specialties common 583421102 724 15,000 SOLE 15,000 723,750 Med-Design Co common 583926100 6,135 421,700 SOLE 421,700 6,135,341 Medicalogic Medscape Inc common 584642102 1,511 424,200 SOLE 424,200 1,511,213 Menire Corp common 010558182 1,711 510,715 SOLE 510,715 1,710,895 Mentor Graphics common 587200106 3,004 127,500 SOLE 127,500 3,004,219 Modtech Holdings common 60783C100 41,514 4,203,994 SOLE 4,203,994 41,514,441 Monterey Pasta common 612570101 13,314 2,629,900 SOLE 2,629,900 13,313,869 Movado Group common 624580106 1,136 65,400 SOLE 65,400 1,136,325 National Information Consortcommon 636491102 1,042 262,600 SOLE 262,600 1,042,194 National Wireless Hldg common 638560102 2,489 131,000 SOLE 131,000 2,489,000 Natrol Inc common 638789107 1,445 592,950 SOLE 592,950 1,445,316 Navisite Inc common 63935M109 12,797 475,050 SOLE 475,050 12,796,659 Netcentives common 64108P101 4,127 539,000 SOLE 539,000 4,126,719 NetIQ Corp common 64115P102 9,622 146,479 SOLE 146,479 9,621,839 Network Appliance common 64120L104 45,473 357,000 SOLE 357,000 45,472,875 Nike common 654106103 3,217 80,300 SOLE 80,300 3,217,019 Niku Corp common 654113109 8,348 342,490 SOLE 342,490 8,348,194 Norsat Int'l common 656512100 3,543 523,500 SOLE 523,500 3,543,467 Nucentrix common 670198100 8,774 342,400 SOLE 342,400 8,774,000 Objective Systems Integral common 674424106 298 34,300 SOLE 34,300 297,981 OneSource Information Serviccommon 68272J106 7,066 661,100 SOLE 661,100 7,065,506 OnSite Energy common 68284P108 547 2,954,513 SOLE 2,954,513 546,585 Ontro Inc common 683380109 202 106,000 SOLE 106,000 202,063 Ontro Inc Wts @8.25 wts 683380117 16 100,000 SOLE 100,000 15,630 Onyx Software common 683402101 6,497 315,000 SOLE 315,000 6,496,875 Opinion Research Corp common 683755102 5,230 721,400 SOLE 721,400 5,230,150 Orthologic Corp common 68750J107 3,336 1,111,900 SOLE 1,111,900 3,335,700 Panamsat Corp common 697933109 5,458 170,900 SOLE 170,900 5,458,119 P-Com Inc common 693262107 2,033 306,850 SOLE 306,850 2,032,881 PE Corporation-PE Biosystemscommon 69332S102 26 225 SOLE 225 26,213 Peoplesoft Inc. common 712713106 112 4,000 SOLE 4,000 111,750 Per-Se Technologies Inc common 713569200 19,697 1,552,464 SOLE 1,552,464 19,696,889 PhotoMedex common 517903308 2,575 200,000 SOLE 200,000 2,575,000 Pier 1 Imports common 720279108 1,356 100,000 SOLE 100,000 1,356,250 Pinnacle Systems common 723481107 18,645 1,657,325 SOLE 1,657,325 18,644,906 Pittsburgh Pa Pub Pkg cvt bnd 725259GR 10 10,000 SOLE 10,000 10,430 PMR Corp common 693451106 3,024 1,325,421 SOLE 1,325,421 3,023,616 Polaroid common 731095105 3,228 240,200 SOLE 240,200 3,227,688 Polycom common 73172K104 29,989 447,800 SOLE 447,800 29,988,606 Powerwave Technologies common 739363109 9,150 241,000 SOLE 241,000 9,150,469 Primus Knowledge Solutions common 74163Q100 296 20,000 SOLE 20,000 296,250 Primus Telecommunications Grcommon 741929103 1,425 150,000 SOLE 150,000 1,425,000 Puma Technology common 745906107 28,637 1,409,800 SOLE 1,409,800 28,636,563 QLogic common 747277101 6,160 70,000 SOLE 70,000 6,160,000 Quicklogic Corp common 74837P108 825 50,000 SOLE 50,000 825,000 Quiksilver Inc common 74838C106 1,736 90,200 SOLE 90,200 1,736,350 Radisys Corp. common 750459109 2,604 51,500 SOLE 51,500 2,603,969 RateExchange Corp common 754091106 941 308,667 SOLE 308,667 941,369 Red Hat Inc common 756577102 1,792 105,000 SOLE 105,000 1,791,563 Redwood Trust common 758075402 9,211 604,000 SOLE 604,000 9,211,000 Remec Inc. common 759543101 25,945 881,350 SOLE 881,350 25,944,741 Remedy Corp common 759548100 1,133 60,000 SOLE 60,000 1,132,500 Renaissance Worldwide common 75968A109 3,376 2,160,900 SOLE 2,160,900 3,376,406 Research in Motion common 760975102 33,855 341,600 SOLE 341,600 33,855,443 Robotic Visions Systems common 771074101 3,625 607,400 SOLE 607,400 3,625,419 RSA Security Inc. common 749719100 11,053 256,300 SOLE 256,300 11,052,938 Saba Software common 784932105 1,697 60,600 SOLE 60,600 1,696,800 Safeguard Scientifics Inc. common 786449108 10,210 512,100 SOLE 512,100 10,209,994 Samsung common 795992015 950 10,000 SOLE 10,000 950,000 Santa Barbara Restaurant Grocommon 801378100 478 509,400 SOLE 509,400 477,563 Santa Cruz Operation common 801833104 2,870 977,000 SOLE 977,000 2,869,938 Savvis Communications common 805423100 406 45,100 SOLE 45,100 405,900 Sawtek Inc. common 805468105 3,282 85,200 SOLE 85,200 3,281,531 Schuler HmsCvtBnd@21.83 cvt bnd 808188AA4 1,202 1,350,000 SOLE 1,350,000 1,201,500 Schuler Homes common 808188106 630 65,000 SOLE 65,000 629,688 Sharper Image common 820013100 1,161 65,885 SOLE 65,885 1,161,223 Sino Forest CL A common 82934H101 2,310 2,776,400 SOLE 2,776,400 2,309,687 Sirit Technology common 82966K105 151 192,000 SOLE 192,000 150,778 Softnet Systems common 833964109 1,418 237,600 SOLE 237,600 1,418,175 Speedfam common 847705100 246 21,500 SOLE 21,500 245,906 Stake Technology common 852559103 4,676 3,117,400 SOLE 3,117,400 4,676,100 Startec Glbl Commun common 85569E103 914 153,900 SOLE 153,900 913,781 Student Advantage Inc common 86386Q105 3,815 517,300 SOLE 517,300 3,815,088 Sunguard Data Systems common 867363103 1,507 35,200 SOLE 35,200 1,507,000 Synbiotics Corp. common 871566105 2,303 1,100,100 SOLE 1,100,100 2,303,334 Tankology common 87583E101 136 13,588,658 SOLE 13,588,658 135,887 Target common 87612E106 513 20,000 SOLE 20,000 512,500 Tekelec common 879101103 25,550 777,200 SOLE 777,200 25,550,450 TeleCorp PCS CL A common 879299105 2,069 108,900 SOLE 108,900 2,069,100 Telscape International common 87969E105 102 35,500 SOLE 35,500 102,063 Therma Wave common 88343A108 2,884 100,300 SOLE 100,300 2,883,625 Thermo Electron common 883556102 650 25,000 SOLE 25,000 650,000 Tidel Tech common 886368109 4,974 717,000 SOLE 717,000 4,974,188 Tricom common 89612A100 2,693 176,600 SOLE 176,600 2,693,150 Triton PCS Holdings common 89677M106 4,433 161,200 SOLE 161,200 4,433,000 U.S. Treasury Notes 7% 7/1/9us trea 912827Y55 36 35,000 SOLE 35,000 36,400 UAL Inc. common 902549500 1,260 30,000 SOLE 30,000 1,260,000 US Internetworking Inc common 917311805 883 132,362 SOLE 132,362 883,106 US Search.com Inc common 903381101 646 516,700 SOLE 516,700 645,875 VA Linux Systems common 91819B105 14,240 307,889 SOLE 307,889 14,239,866 VCampus Corp common 903196103 312 86,200 SOLE 86,200 312,475 VI Technologies common 917920100 2,700 400,000 SOLE 400,000 2,700,000 Vicor Corp. common 925815102 1,899 35,000 SOLE 35,000 1,898,750 Vidamed common 926530106 694 300,000 SOLE 300,000 693,750 Vista Information Solutions common 928365204 99 49,500 SOLE 49,500 99,000 Vitesse common 928497106 91,481 1,028,600 SOLE 1,028,600 91,481,113 Vizacom Inc common 92855E102 270 222,223 SOLE 222,223 270,490 Walgreen Co common 931422109 1,726 45,500 SOLE 45,500 1,726,156 Washington Group Intl common 938862109 1,664 145,500 SOLE 145,500 1,664,156 Waste Connections common 941053100 1,125 43,900 SOLE 43,900 1,124,938 Wave Systems common 943526103 921 55,000 SOLE 55,000 921,250 West Marine common 954235107 3,164 383,500 SOLE 383,500 3,163,875 Western Garnet Co. common 95825D105 409 784,000 SOLE 784,000 409,013 Wolverine Worldwide common 978097103 6,027 647,190 SOLE 647,190 6,026,957 Workflow Management common 98137N109 616 100,500 SOLE 100,500 615,563 Worldquest Networks common 98156W105 239 52,400 SOLE 52,400 239,075 Zindart LTD common 989597109 1,927 670,200 SOLE 670,200 1,926,825 Z-Tel Technologies common 988792107 845 116,500 SOLE 116,500 844,625
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