-----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, Cv+jDa/umijzRBLinN24rNqWrl/VsyVGi5zThhQ/HN9AmuzEJLBfL6YMFB0EOu7V fHFthwbHLZes2EV24XQ5Ow== 0000909450-01-500005.txt : 20010501 0000909450-01-500005.hdr.sgml : 20010501 ACCESSION NUMBER: 0000909450-01-500005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010331 FILED AS OF DATE: 20010430 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: 1615612 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 q113f01.txt Q1 2001 13F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2001 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_ April 26, 2001 [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: _____258___ Form 13F Information Table Value Total: __770,468__ 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 348 58,000 SOLE 58,000 Adaptive Broadband Corp common 00650M104 583 490,700 SOLE 490,700 Adept Technology common 006854103 4,514 322,400 SOLE 322,400 Adobe Systems common 00724F101 3,007 85,980 SOLE 85,980 Advanced Fibre Communicationscommon 00754A105 4,689 327,600 SOLE 327,600 Aether Systems common 00808V105 2,600 200,000 SOLE 200,000 Affymetrix common 00826T108 834 30,000 SOLE 30,000 American Capital Strategies common 024937104 3,706 145,700 SOLE 145,700 American Physician Capital common 028884104 776 42,500 SOLE 42,500 Ameripath common 03071D109 2,113 102,750 SOLE 102,750 Anaren Microwave common 032744104 942 75,000 SOLE 75,000 Applera Corp common 038020103 17 600 SOLE 600 Applera Corp-Celera Genomics common 038020202 1,573 51,000 SOLE 51,000 Applied Films common 038197109 340 29,400 SOLE 29,400 Applied Imaging common 03820G106 406 196,900 SOLE 196,900 Aremisoft Corp common 040026106 260 20,000 SOLE 20,000 Ariba Inc common 04033V104 403 51,000 SOLE 51,000 Ariel CP common 04033M104 197 148,000 SOLE 148,000 ArtiSoft common 04314L106 244 97,500 SOLE 97,500 ASM International common N07045102 354 20,000 SOLE 20,000 Aspen Technology common 045327103 871 36,500 SOLE 36,500 At Comm common 00208K105 2,891 564,364 SOLE 564,364 Aurora Biosciences common 051920106 2,681 150,000 SOLE 150,000 Auspex Systems Inc. common 052116100 466 125,589 SOLE 125,589 Banc Plus Corp cvt bnd 06446AA5 743 825,000 SOLE 825,000 Bitstream Inc common 091736108 1,770 944,000 SOLE 944,000 Blue Wave Systems common 096081104 300 50,000 SOLE 50,000 Boeing common 097023105 14,930 268,000 SOLE 268,000 Borland Software common 097023105 3,091 443,500 SOLE 443,500 Boston Communications Group common 100582105 590 80,000 SOLE 80,000 Bracknell Corp common 10382K102 469 116,200 SOLE 116,200 Bright Station common 10921M106 718 638,000 SOLE 638,000 Broadwing Inc common 111620100 383 20,000 SOLE 20,000 Buckle Inc common 118440106 3,298 175,900 SOLE 175,900 California Micro Devices common 130439102 381 58,600 SOLE 58,600 Callaway Golf Co. common 131193104 777 35,000 SOLE 35,000 Career Education common 141665109 8,839 175,900 SOLE 175,900 Caremark Rx Inc common 141705103 51,121 3,920,300 SOLE 3,920,300 Cedar Fair common 150185106 1,916 86,300 SOLE 86,300 Celeritek Inc common 150926103 1,781 141,800 SOLE 141,800 Centillium Communications common 152319109 8,470 346,600 SOLE 346,600 Certicom Corp common 156915100 1,741 238,600 SOLE 238,600 Chevy Chase common 166784207 610 23,000 SOLE 23,000 Ciena Corp common 171779101 835 20,000 SOLE 20,000 Cisco common 17275R102 32 2,000 SOLE 2,000 Clarus Corp common 182707109 1,874 294,000 SOLE 294,000 Clickaction Inc common 18681E107 5,254 1,474,900 SOLE 1,474,900 CMG Information Services common 125750109 2,661 1,047,735 SOLE 1,047,735 CNA Surety Corp common 12612L108 1,328 100,000 SOLE 100,000 Coherent Inc. common 192479103 20,198 568,950 SOLE 568,950 Com21 Inc common 205937105 1,019 509,700 SOLE 509,700 Computer Access Technology Cocommon 204853105 691 143,500 SOLE 143,500 Comverse Technology common 205862402 9,122 154,900 SOLE 154,900 Corporate Executive Board common 21988R102 7,947 263,250 SOLE 263,250 CoStar Group common 22160N109 10,487 548,334 SOLE 548,334 Credit Management Solutions common 224905109 4,615 769,100 SOLE 769,100 Crescent Real Estate common 225756105 454 20,000 SOLE 20,000 Cuisine Solutions common 229904107 1,391 1,112,957 SOLE 1,112,957 Daou Systems common 237015102 243 777,000 SOLE 777,000 Dell Computer common 247025109 2,183 85,000 SOLE 85,000 Descartes Systems common 249906108 7,912 591,400 SOLE 591,400 Digimarc Corp common 253807101 7,737 515,800 SOLE 515,800 Digital Lighthouse common 25386P105 713 1,520,000 SOLE 1,520,000 DMC Stratex Networks common 23322L106 2,743 330,500 SOLE 330,500 Dreyers Ice Cream common 261878102 24,560 946,888 SOLE 946,888 Earthlink Network Inc common 270321102 2,474 204,000 SOLE 204,000 Edison Schools common 281033100 11,216 553,900 SOLE 553,900 Electronic Arts common 285512109 2,713 50,000 SOLE 50,000 Electronic Data Systems common 285661104 2,910 52,100 SOLE 52,100 Emcore Corp common 290846104 4,679 186,700 SOLE 186,700 Emusic.com Inc common 292476108 255 1,018,700 SOLE 1,018,700 Epiphany common 26881V100 1,189 101,700 SOLE 101,700 Equity Marketing common 294724109 3,355 367,700 SOLE 367,700 Esps INC common 269129102 1,343 728,200 SOLE 728,200 Ethan Allen Interiors common 297602104 1,189 35,200 SOLE 35,200 Euronet Services common 298736109 806 124,000 SOLE 124,000 Exabyte common 300615101 113 78,300 SOLE 78,300 Excelon Corp common 300691102 2,806 1,336,200 SOLE 1,336,200 Extensity Inc common 302255104 590 99,400 SOLE 99,400 Extreme Networks common 30226D106 2,462 161,850 SOLE 161,850 Federal Agricultural Mortgagecommon 313148306 1,603 67,200 SOLE 67,200 Fila Holdings common 316850106 2,541 503,200 SOLE 503,200 Film Roman common 317234102 713 963,000 SOLE 963,000 Firepond Inc common 318224102 403 161,000 SOLE 161,000 First American Financial common 318522307 1,308 50,300 SOLE 50,300 Footstar Inc common 344912100 3,421 85,200 SOLE 85,200 Frequency Electronics common 358010106 1,290 96,300 SOLE 96,300 Fresh America common 358034106 1,091 727,400 SOLE 727,400 Friedman Billings Ramsey Groucommon 358433100 2,754 502,500 SOLE 502,500 Gadzooks Inc. common 362553109 2,101 95,500 SOLE 95,500 Garden Burger common 365476100 628 669,900 SOLE 669,900 Gemplus International common 36866Y102 1,616 153,900 SOLE 153,900 Genesis Microchip common 371933102 2,078 209,100 SOLE 209,100 Geoworks Corp common 373692102 509 407,150 SOLE 407,150 Gilead Sciences common 375558103 3,289 101,200 SOLE 101,200 Gillette common 375766102 1,571 50,400 SOLE 50,400 Goldman Sachs common 38141G104 851 10,000 SOLE 10,000 Granite Construction common 387328107 7,329 215,700 SOLE 215,700 Ha Lo Industries common 404429102 478 482,700 SOLE 482,700 Harrah's Entertainment common 413619107 589 20,000 SOLE 20,000 Health Net Inc common 42222G108 4,180 202,800 SOLE 202,800 Healthcare.com Corp common 42221Y100 1,903 1,845,300 SOLE 1,845,300 Hibernia Foods PLC ADR common 428660104 14,811 2,575,869 SOLE 2,575,869 Hollywood Media common 436233100 2,937 661,540 SOLE 661,540 Home Depot common 437076102 1,724 40,000 SOLE 40,000 I K O S Sys common 451716203 1,558 152,000 SOLE 152,000 I2 Technologies common 465754109 435 30,000 SOLE 30,000 IDEC Pharma. common 449370105 1,100 27,500 SOLE 27,500 Immunex Corp. common 452528102 2,863 200,000 SOLE 200,000 IMP Inc. common 449693209 25 38,200 SOLE 38,200 Infinium Software common 45662Y109 844 562,900 SOLE 562,900 Inktomi Corp common 457277101 499 75,000 SOLE 75,000 Insignia Solutions common 45766J107 260 81,500 SOLE 81,500 Insituform Tech common 457667103 1,866 57,200 SOLE 57,200 Integramed America common 45810N302 753 261,900 SOLE 261,900 Intercept Group common 45845L107 7,718 301,200 SOLE 301,200 Intersil Holding Co common 46069S109 922 50,000 SOLE 50,000 Intertan Inc common 461120107 1,997 157,850 SOLE 157,850 Interwoven Inc common 46114T102 1,726 171,500 SOLE 171,500 Int'l Paper common 460146103 4,510 125,000 SOLE 125,000 Intraware common 46118M103 427 359,500 SOLE 359,500 Intuit Inc common 461202103 4,071 146,700 SOLE 146,700 Invivo Corp. common 461858105 2,966 329,500 SOLE 329,500 Iridex common 462684101 2,604 608,200 SOLE 608,200 Isolyser Inc. common 464888106 413 455,700 SOLE 455,700 J.P. Morgan common 46625H100 6,713 149,500 SOLE 149,500 Jacobs Engineering common 469814107 4,744 81,800 SOLE 81,800 Keynote Systems common 493308100 1,141 102,000 SOLE 102,000 Kushner-Locke common 501337406 382 3,053,900 SOLE 3,053,900 L3 Communications common 502424104 5,763 73,000 SOLE 73,000 Lands End common 515086106 854 31,100 SOLE 31,100 Leadingside Inc common 521711101 19 749,300 SOLE 749,300 Lexar Media common 52886P104 1,876 1,364,500 SOLE 1,364,500 Lifeminders Inc. common 53219H108 1,620 1,851,000 SOLE 1,851,000 Lockeed Martin common 539830109 3,494 98,000 SOLE 98,000 Louisiana Pacific Corp common 546347105 1,690 175,900 SOLE 175,900 LTX Corp. common 502392103 7,101 380,000 SOLE 380,000 Lucent Tech common 549463107 249 25,000 SOLE 25,000 Mainspring Inc common 56062U100 1,625 1,019,500 SOLE 1,019,500 Manufacturers Services common 565005105 451 151,000 SOLE 151,000 Marimba Inc common 56781Q109 17 5,000 SOLE 5,000 Marketing Services Group common 570907105 1,659 986,500 SOLE 986,500 Martek Biosciences common 572901106 3,116 201,000 SOLE 201,000 Matria Healthcare common 576817100 7,136 533,545 SOLE 533,545 MatrixOne Inc common 57685P304 50 2,904 SOLE 2,904 Maxxcom Inc common 57777W100 1,552 400,000 SOLE 400,000 MDC Corp common 55267W309 15,937 2,364,447 SOLE 2,364,447 MDU Comm Int'l Inc common 582828109 257 720,000 SOLE 720,000 Med-Design Co common 583926100 5,713 429,800 SOLE 429,800 Medicalogic Medscape Inc common 584642102 1,784 1,165,200 SOLE 1,165,200 Menire Corp common 010558182 675 613,975 SOLE 613,975 Mentor Graphics common 587200106 1,238 60,000 SOLE 60,000 Merrill Lynch and Co common 590188108 2,011 36,300 SOLE 36,300 Micron Technology Inc. common 595112103 3,945 95,000 SOLE 95,000 Millennium Pharmaceuticals common 599902103 1,560 51,200 SOLE 51,200 Modtech Holdings common 60783C100 18,410 2,414,399 SOLE 2,414,399 Monterey Pasta common 612570101 17,491 2,526,900 SOLE 2,526,900 Morgan Stanley Dean Witter &common 617446448 2,145 40,100 SOLE 40,100 Movado Group common 624580106 1,401 100,500 SOLE 100,500 National Wireless Hldg common 638560102 1,687 131,000 SOLE 131,000 Natrol Inc common 638789107 876 583,850 SOLE 583,850 NCO Group common 628858102 3,602 140,900 SOLE 140,900 Net.Genesis Corp common 64107E107 1,051 551,100 SOLE 551,100 Netcentives common 64108P101 642 642,000 SOLE 642,000 NetIQ Corp common 64115P102 3,171 168,000 SOLE 168,000 Network Appliance common 64120L104 5,042 299,900 SOLE 299,900 New Focus Inc common 644383101 25 2,000 SOLE 2,000 Niku Corp common 654113109 737 274,320 SOLE 274,320 Nokia Cp common 654902204 4,440 185,000 SOLE 185,000 Norsat Int'l common 656512100 137 139,800 SOLE 139,800 Northrop common 666807102 5,220 60,000 SOLE 60,000 NVIDIA Corp common 67066G104 11,037 170,000 SOLE 170,000 OneSource Information Servicecommon 68272J106 4,678 910,100 SOLE 910,100 OnSite Energy common 68284P108 266 1,401,972 SOLE 1,401,972 Ontro Inc common 683380109 136 106,000 SOLE 106,000 Onyx Software common 683402101 2,851 355,000 SOLE 355,000 Openwave Systems common 683718100 1,190 60,000 SOLE 60,000 Opinion Research Corp common 683755102 5,560 751,400 SOLE 751,400 Oracle Systems common 68389X105 15 1,000 SOLE 1,000 Orthologic Corp common 68750J107 4,134 1,272,000 SOLE 1,272,000 Oxford Health Plans common 691471106 9,427 352,400 SOLE 352,400 P-Com Inc common 693262107 2,225 1,811,752 SOLE 1,811,752 Peoplesoft Inc. common 712713106 60 2,550 SOLE 2,550 Per-Se Technologies Inc common 713569200 10,197 1,726,468 SOLE 1,726,468 PhotoMedex common 517903308 835 163,000 SOLE 163,000 Pinnacle Systems common 723481107 15,115 1,791,425 SOLE 1,791,425 Pittsburgh Pa Pub Pkg cvt bnd 725259GR 10 10,000 SOLE 10,000 PMC Sierra common 69344F106 12 500 SOLE 500 PMR Corp common 693451106 1,359 776,550 SOLE 776,550 Polycom common 73172K104 4,669 377,300 SOLE 377,300 Polymedica common 731738100 3,713 163,200 SOLE 163,200 Portal Software common 736126103 439 52,000 SOLE 52,000 Powerwave Technologies common 739363109 4,571 335,500 SOLE 335,500 Pumatech common 745906107 5,852 1,560,500 SOLE 1,560,500 QualComm common 747525103 3,398 60,000 SOLE 60,000 Quiksilver Inc common 74838C106 6,671 251,250 SOLE 251,250 Rambus common 750917106 515 25,000 SOLE 25,000 Red Hat Inc common 756577102 3,435 564,000 SOLE 564,000 Redwood Trust common 758075402 12,886 654,100 SOLE 654,100 Remec Inc. common 759543101 6,489 648,850 SOLE 648,850 Remedy Corp common 759548100 943 49,000 SOLE 49,000 Renaissance Worldwide common 75968A109 1,748 2,151,100 SOLE 2,151,100 Research in Motion common 760975102 3,589 168,400 SOLE 168,400 Ribozyme Pharmaceuticals common 762567105 631 102,000 SOLE 102,000 Right Management Consultants common 766573109 3,189 132,200 SOLE 132,200 Rightchoice Managed Care Inc common 76657T102 1,494 44,000 SOLE 44,000 Robotic Visions Systems common 771074101 1,463 600,300 SOLE 600,300 RSA Security Inc. common 749719100 4,794 194,200 SOLE 194,200 Saba Software common 784932105 1,353 251,700 SOLE 251,700 Safeguard Scientifics Inc. common 786449108 2,834 506,950 SOLE 506,950 Safenet Inc common 78645R107 823 66,500 SOLE 66,500 Santa Cruz Operation common 801833104 1,627 1,020,600 SOLE 1,020,600 Sawtek Inc. common 805468105 623 35,000 SOLE 35,000 Schuler Hms CVt Bnd cvt bnd 808188AA4 1,306 1,350,000 SOLE 1,350,000 Schuler Homes common 808188106 754 60,000 SOLE 60,000 Sciquest.com common 80908Q107 579 661,400 SOLE 661,400 SeeBeyond Tech common 815704101 191 15,000 SOLE 15,000 Sherwin Williams common 824348106 5,119 200,900 SOLE 200,900 Sino Forest CL A common 82934H101 2,202 2,776,400 SOLE 2,776,400 Sirit Technology common 82966K105 71 186,000 SOLE 186,000 Smurfit Stone Container Corp common 832727101 6,063 455,500 SOLE 455,500 Softnet Systems common 833964109 328 218,500 SOLE 218,500 Sonus Networks common 835916107 299 15,000 SOLE 15,000 Stake Technology common 852559103 5,686 3,498,900 SOLE 3,498,900 Stamps.com Inc common 852857101 4,875 1,625,000 SOLE 1,625,000 Startec Glbl Commun CP common 85569E103 87 153,900 SOLE 153,900 Stockeryale Inc common 86126T203 386 30,300 SOLE 30,300 Student Advantage Inc common 86386Q105 1,186 519,800 SOLE 519,800 Sun Microsystems common 866810104 15 1,000 SOLE 1,000 Swift Transportation common 870756103 463 25,000 SOLE 25,000 Synbiotics Corp. common 871566105 478 900,200 SOLE 900,200 Tankology common 87583E101 39 3,858,335 SOLE 3,858,335 Tekelec common 879101103 14,260 792,200 SOLE 792,200 Telscape International common 87969E105 27 35,500 SOLE 35,500 Therma Wave common 88343A108 982 77,800 SOLE 77,800 Tidel Tech common 886368109 1,612 697,000 SOLE 697,000 Tricom common 89612A100 1,531 201,400 SOLE 201,400 Triumph Group common 896818101 2,280 60,000 SOLE 60,000 United Technologies common 913017109 3,225 44,000 SOLE 44,000 US Internetworking Inc common 917311805 434 374,962 SOLE 374,962 US Search.com Inc common 903381101 628 1,255,300 SOLE 1,255,300 US Treasury Notes 7% 7/1/99 us treas912827Y55 39 35,000 SOLE 35,000 Verisign Inc common 92343E102 2,303 65,000 SOLE 65,000 VI Technologies common 917920100 2,761 398,000 SOLE 398,000 Viasat common 92552V100 469 31,000 SOLE 31,000 Vitesse common 928497106 17,538 736,500 SOLE 736,500 Wave Systems common 943526103 251 55,000 SOLE 55,000 Web Trends common 94844D104 810 90,000 SOLE 90,000 Webmethods common 94768C108 1,461 70,000 SOLE 70,000 Werner Enterprise Inc common 950755108 428 25,000 SOLE 25,000 West Marine common 954235107 1,673 388,000 SOLE 388,000 Western Digital Corp. common 958102105 2,218 465,900 SOLE 465,900 Western Garnet Co. common 95825D105 308 880,000 SOLE 880,000 Winstar Communications common 975515107 108 50,000 SOLE 50,000 Wolverine Worldwide common 978097103 6,440 441,700 SOLE 441,700 Workflow Management common 98137N109 3,256 554,200 SOLE 554,200 Zindart LTD common 989597109 1,236 681,800 SOLE 681,800 Z-Tel Technologies common 988792107 491 135,500 SOLE 135,500
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