-----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, AfjS2JwyOes75MOv+p1WW8aBtYxQoVcvnoFffDnEMmLnixHI/WEbaSuEGCv4f7T5 FCqKBEvHSjE0HEoInE2sVw== 0000909450-03-000152.txt : 20031030 0000909450-03-000152.hdr.sgml : 20031030 20031030152959 ACCESSION NUMBER: 0000909450-03-000152 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030930 FILED AS OF DATE: 20031030 EFFECTIVENESS DATE: 20031030 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GRUBER & MCBAINE CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0000909450 IRS NUMBER: 770210467 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04761 FILM NUMBER: 03966599 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 13F-HR 1 q30313f.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, 2003 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: 415 782 2610_________________ Signature, Place and Date of Signing: _________________________ San Francisco, CA_ October 30, 2003 [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: _____292___ Form 13F Information Table Value Total: __1,062,425__ 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 ABX Air (ABXA) COMMON 00080S101 521 210000 SOLE 210000 AES Corp (AES) COMMON 00130H105 11977 1614100 SOLE 1614100 AU Optronics (AUO) COMMON 002255107 4279 335350 SOLE 335350 Adept Technology (ADTK) COMMON 006854103 368 400000 SOLE 400000 Advanced Fibre Communicat COMMON 00754a105 6805 324500 SOLE 324500 Advanced Micro Devices (A COMMON 007903107 1666 150000 SOLE 150000 Advanced Micro Devices Cv Cvt Bnd 007903af4 856 500000 SOLE 500000 Advisory Board COMMON 00762W107 10014 220337 SOLE 220337 Alliance Gaming Corp COMMON 01859P609 7098 350000 SOLE 350000 Allied Healthcare Intl In COMMON 01923A109 795 202700 SOLE 202700 Allscripts Healthcare Sol COMMON 01988P108 13930 3414200 SOLE 3414200 Alteon Inc COMMON 02144G107 2120 1115900 SOLE 1115900 Anglogold LTD COMMON 035128206 1908 50600 SOLE 50600 Applied Films COMMON 038197109 5814 195550 SOLE 195550 Aquantive Inc COMMON 03839G105 2439 263361 SOLE 263361 ArtiSoft B Pfd Preferred 04314l106 1944 700000 SOLE 700000 ArtiSoft C Pfd Preferred 04314l106 627 333335 SOLE 333335 Ashanti Goldfields COMMON 043743202 800 76550 SOLE 76550 Asia Aluminum Holdings Li COMMON 6110077 1080 6000000 SOLE 6000000 Audible Inc COMMON 05069A104 231 210000 SOLE 210000 August Technologies COMMON 05106U105 2342 164500 SOLE 164500 Authentidate Hldg Corp COMMON 052666104 746 144300 SOLE 144300 Authentidate Hldg Corp 7% Cvt Deb 052666104 661 350000 SOLE 350000 Authentidate Hldg Corp 7% Cvt Deb 052666104 768 469300 SOLE 469300 Authentidate Hldg Corp 7. Cvt Deb 052666104 1375 700000 SOLE 700000 Avocent Corp COMMON 053893103 1514 50000 SOLE 50000 BP PLC COMMON 110889409 4210 100000 SOLE 100000 Benihana Inc COMMON 082047200 2291 211165 SOLE 211165 Bitstream Inc COMMON 091736108 4993 1251400 SOLE 1251400 Blue Rhino Corp COMMON 095811105 14731 1329500 SOLE 1329500 Bombardier Inc class B COMMON 097751200 4323 1029500 SOLE 1029500 Bookham Technology Plc COMMON 09856Q108 1575 736200 SOLE 736200 Brightpoint Inc COMMON 109473405 850 25900 SOLE 25900 Broadcom Corp COMMON 111320107 1291 48500 SOLE 48500 CNS Inc. COMMON 126136100 909 82000 SOLE 82000 California Micro Devices COMMON 130439102 7934 1116620 SOLE 1116620 Calpine Corp COMMON 131347106 1943 397300 SOLE 397300 Cambior Inc COMMON 13201L103 2100 758300 SOLE 758300 Canico Resources COMMON 137580106 2281 250000 SOLE 250000 Captiva Software Co COMMON 14073T109 775 103500 SOLE 103500 Carbo Ceramics Inc COMMON 140781105 1522 42100 SOLE 42100 Caremark Rx Inc COMMON 141705103 9085 402000 SOLE 402000 Cash America COMMON 14754D100 823 50200 SOLE 50200 Cedar Fair COMMON 150185106 2828 101000 SOLE 101000 Centillium Communications COMMON 152319109 8370 1183900 SOLE 1183900 Champion Enterprises COMMON 158496109 1746 275000 SOLE 275000 Charles River Assoc COMMON 159852102 1426 50000 SOLE 50000 Charter Municipal Mortgag COMMON 160908109 937 51000 SOLE 51000 Chicago Bridge and Iron C COMMON 167250109 2444 90000 SOLE 90000 Ciena Corp COMMON 171779101 177 30000 SOLE 30000 Cirrus Logic COMMON 172755100 2375 429400 SOLE 429400 Cisco COMMON 17275R102 67 3431 SOLE 3431 Cleveland Cliffs COMMON 185896107 640 25000 SOLE 25000 Click2learn COMMON 18681S106 3308 1888684 SOLE 1888684 CoStar Group COMMON 22160n109 12390 476550 SOLE 476550 Coach Inc COMMON 189754104 1914 35050 SOLE 35050 Coeur D Alene Mines Corp COMMON 192108108 4075 1310250 SOLE 1310250 Coinstar Inc COMMON 19259P300 672 50000 SOLE 50000 Collegiate Pacific COMMON 194589206 801 100700 SOLE 100700 Comarco Inc. COMMON 200080109 3724 503900 SOLE 503900 Combmatrix Corp COMMON 003881208 682 150000 SOLE 150000 Compuware COMMON 205638109 1072 200000 SOLE 200000 Corio Inc COMMON 218875102 2453 1022200 SOLE 1022200 Corporate Executive Board COMMON 21988r102 11780 250900 SOLE 250900 Covad Communications COMMON 222814204 6083 1100000 SOLE 1100000 Cray Inc COMMON 225223106 6039 550000 SOLE 550000 Credence Systems COMMON 225302108 57 5000 SOLE 5000 Cuisine Solutions COMMON 926604109 773 1120457 SOLE 1120457 Cumulus Media Inc COMMON 231082108 2557 150000 SOLE 150000 Cybersource Corp COMMON 23251J106 1291 322650 SOLE 322650 Cypress Semiconductor COMMON 232806109 2351 133000 SOLE 133000 DiamondCluster Intl COMMON 25278P106 3413 504100 SOLE 504100 DigitalThink COMMON 25388M100 2742 1067100 SOLE 1067100 Dominion Resources Inc COMMON 25746U109 3095 50000 SOLE 50000 Drexler Technology Corp COMMON 261876106 3505 250000 SOLE 250000 EGL Inc COMMON 268484102 1454 80000 SOLE 80000 EOG Resources COMMON 26875P101 6261 150000 SOLE 150000 EPlus COMMON 294268107 2889 185200 SOLE 185200 EUniverse Inc COMMON 298412107 1061 505200 SOLE 505200 Edison Schools COMMON 281033100 9462 5437707 SOLE 5437707 Elan Corp. COMMON 284131208 1650 312000 SOLE 312000 Electronic Clearing House COMMON 285562500 141 20000 SOLE 20000 Energy Savings COMMON 292717105 7512 435000 SOLE 435000 Ensco Intl Inc. COMMON 26874Q100 1609 60000 SOLE 60000 Ensign Resource Service G COMMON 29357T104 3560 242000 SOLE 242000 Equinix Inc COMMON 29444U502 7493 402000 SOLE 402000 Equity Marketing COMMON 294724109 5649 374100 SOLE 374100 Excelligence Learning Cor COMMON 300684107 584 116847 SOLE 116847 Exponent Inc COMMON 30214U102 1146 65900 SOLE 65900 FMC Technology COMMON 30249U101 1178 55000 SOLE 55000 FNX Mining COMMON 30253R101 4575 915000 SOLE 915000 Federal Home Loan Bank TREASU 31339YBK7 947 1000000 SOLE 1000000 Film Roman COMMON 317234102 194 968500 SOLE 968500 First Advantage Corp COMMON 31845F100 2666 162081 SOLE 162081 First American Financial COMMON 318522307 1245 50000 SOLE 50000 Fresh America COMMON 35803R105 1 909700 SOLE 909700 Fuel Tech COMMON 359523107 749 140000 SOLE 140000 Gap Stores COMMON 364760108 3655 213500 SOLE 213500 Garden Burger COMMON 365476100 403 1492400 SOLE 1492400 Garden Burger C Pref Preferred 365476100 92 68000 SOLE 68000 Garden Burger D Pref Preferred 365476100 43 12000 SOLE 12000 Gemplus International COMMON 36866y102 8905 2545050 SOLE 2545050 Gladstone Capital COMMON 376535100 11539 593279 SOLE 593279 Gladstone Commercial Cp COMMON 376536108 4578 320400 SOLE 320400 Global Payments COMMON 37940x102 5609 155800 SOLE 155800 GoAmerica Inc COMMON 38020R106 20 60000 SOLE 60000 Golar LNG Ltd COMMON G9456A100 1095 95000 SOLE 95000 Good Guys Inc. COMMON 382091106 1093 549300 SOLE 549300 Gray Television COMMON 389375106 1172 100300 SOLE 100300 Greater Bay Bancorp COMMON 391648102 3120 150000 SOLE 150000 Group Sense COMMON 399900117 900 9000000 SOLE 9000000 Hall Kinion & Assoc COMMON 406069104 1672 434200 SOLE 434200 Harmony Gold Mining Compa COMMON 413216300 1972 136100 SOLE 136100 Harvard Biosciences COMMON 416906105 2968 400000 SOLE 400000 Healthsouth Corp COMMON 421924101 12555 4256000 SOLE 4256000 Hewitt Associates COMMON 42822Q100 2435 100000 SOLE 100000 Hewlett-Packard Co COMMON 428236103 4425 228578 SOLE 228578 Hibernia Foods PLC ADR COMMON 428660104 3014 2740380 SOLE 2740380 Hollywood Media COMMON 436233100 2163 1730736 SOLE 1730736 Hypercom Corp COMMON 44913M105 4165 772900 SOLE 772900 IAM Gold Corp COMMON 450913108 309 50000 SOLE 50000 IBIS Technology COMMON 450909106 2277 191000 SOLE 191000 IDT Corp COMMON 448947309 2055 113800 SOLE 113800 IUnits S&P/TSX Cdn Gold I COMMON 46577Y101 1829 50900 SOLE 50900 Iamgold Corp COMMON 450913108 4710 758400 SOLE 758400 Imageware Systems COMMON 45245S108 497 249800 SOLE 249800 Imperial Oil COMMON 453038408 2977 80000 SOLE 80000 Ingram Micro Inc. COMMON 457153104 2610 200000 SOLE 200000 Innovex Inc. COMMON 457647105 3701 372000 SOLE 372000 Integramed America COMMON 45810n302 4063 588750 SOLE 588750 Intel Corp. COMMON 458140100 550 20009 SOLE 20009 Inter Parfums Inc COMMON 458334109 1000 100000 SOLE 100000 Intergrated Circuit Sys COMMON 45811k208 3656 121700 SOLE 121700 Internap Networks COMMON 45885a102 9698 8074800 SOLE 8074800 International Microcomput COMMON 459862306 244 200000 SOLE 200000 Internet Capital Group COMMON 46059C106 1823 4005500 SOLE 4005500 Interwoven Inc COMMON 46114t102 11950 4509500 SOLE 4509500 Intuit Inc COMMON 461202103 1934 40100 SOLE 40100 Intuitive Surgical COMMON 46120E602 1334 80000 SOLE 80000 Ionics COMMON 462218108 3730 152500 SOLE 152500 Iridex COMMON 462684101 1725 387700 SOLE 387700 Island Pacific Inc COMMON 784872301 3192 1500000 SOLE 1500000 Juniper Networks COMMON 48203R104 895 60000 SOLE 60000 KFX Inc COMMON 48245L107 301 60000 SOLE 60000 King Pharmaceuticals COMMON 495582108 7605 502000 SOLE 502000 Kopin Corp COMMON 500600101 554 80000 SOLE 80000 Lexar Media COMMON 52886p104 22881 1342798 SOLE 1342798 LifePoint Inc COMMON 53215R100 2114 285500 SOLE 285500 Linear Technology COMMON 535678106 788 22000 SOLE 22000 Lionbridge Technologies COMMON 536252109 3183 423900 SOLE 423900 Loudeye Technologies COMMON 545754103 6004 2974645 SOLE 2974645 MDC Corp COMMON 55267w309 21321 2143440 SOLE 2143440 MKTG Services Inc COMMON 55308X100 90 61908 SOLE 61908 MSC Industrial Direct COMMON 553530106 2829 135700 SOLE 135700 MTC Technologies Inc COMMON 55377A106 1253 54000 SOLE 54000 Magma Design Automation COMMON 559181102 530 27000 SOLE 27000 Man Tech International COMMON 564563104 4556 183100 SOLE 183100 Manugistics Group COMMON 565011103 8614 1571900 SOLE 1571900 Marimba Inc COMMON 56781Q109 1832 465000 SOLE 465000 Matria Healthcare COMMON 576817209 2758 159800 SOLE 159800 MatrixOne Inc COMMON 57685P304 370 75000 SOLE 75000 Maxtor Corporation COMMON 577729205 3042 250000 SOLE 250000 McData Corp class B COMMON 580031102 2281 193500 SOLE 193500 McMoran Exploration Cvt Bnd 582411AA2 2550 2500 SOLE 2500 Medical Staffing Networks COMMON 58463F104 2143 283500 SOLE 283500 Medicalogic Medscape Inc COMMON 584642102 177 2584053 SOLE 2584053 Mentor Graphics COMMON 587200106 11400 650300 SOLE 650300 Merix Corp COMMON 590049102 252 15300 SOLE 15300 Micron Technology Inc. COMMON 595112103 13431 1000800 SOLE 1000800 Microsemi Corp COMMON 595137100 457 30000 SOLE 30000 Microsoft COMMON 594918104 1953 70294 SOLE 70294 Microtek Medical Holdings COMMON 59515B109 4842 1489900 SOLE 1489900 Modtech Holdings COMMON 60783c100 18493 2507599 SOLE 2507599 Modtech Holdings Series A Preferred 60783c100 498 67518 SOLE 67518 Monterey Pasta COMMON 612570101 9035 2441900 SOLE 2441900 Motorola Inc. COMMON 620076109 898 75000 SOLE 75000 Mpower Holding Cp COMMON 62473L309 1387 1000000 SOLE 1000000 Murphy Oil Corp COMMON 626717102 5376 91500 SOLE 91500 NCO Portfolio Mgmt Inc COMMON 62885j108 2684 440000 SOLE 440000 NII Holdings COMMON 62913F201 895 15000 SOLE 15000 NVIDIA Corp COMMON 67066g104 5569 350000 SOLE 350000 NWH Inc COMMON 62946E106 3341 172500 SOLE 172500 National Financial Partne COMMON 63607P208 2025 75000 SOLE 75000 Natrol Inc COMMON 638789107 3047 1092050 SOLE 1092050 Nautilus Group Inc COMMON 63910B102 1262 100000 SOLE 100000 Navigant Conslting COMMON 63935N107 5416 440000 SOLE 440000 Navistar Intl COMMON 63934E108 1118 30000 SOLE 30000 Netopia Inc COMMON 64114k104 10606 1552900 SOLE 1552900 Netscreen Technologies COMMON 64117V107 1000 45000 SOLE 45000 Network Equipment Technol COMMON 641208103 4686 512100 SOLE 512100 Nike COMMON 654106103 3345 55000 SOLE 55000 Nokia Cp COMMON 654902204 5175 331700 SOLE 331700 Novatel Wireless COMMON 66987M604 1015 175000 SOLE 175000 Omnivision Technologies COMMON 682128103 2401 56850 SOLE 56850 OnSite Energy COMMON 68284P108 33 1540973 SOLE 1540973 OnSite Energy Corp. ser E Preferred 68284P108 45 22500 SOLE 22500 Opentv Corp COMMON G67543101 5280 1599900 SOLE 1599900 Openwave Systems COMMON 683718100 19082 4521800 SOLE 4521800 Opinion Research Corp COMMON 683755102 4473 733300 SOLE 733300 Opsware Inc COMMON 68383A101 13140 1799950 SOLE 1799950 Optimal Robotics COMMON 68388R208 1917 226600 SOLE 226600 Orthologic Corp COMMON 68750J107 4465 830000 SOLE 830000 Overland Data COMMON 690310107 534 36200 SOLE 36200 PC-Tel Inc COMMON 69325Q105 2439 228576 SOLE 228576 PPL Corp COMMON 69351T106 4095 100000 SOLE 100000 Palm Inc COMMON 696642206 1960 100275 SOLE 100275 Pan American Silver COMMON 697900108 2422 251500 SOLE 251500 Patron Systems COMMON 70337V108 1171 2209000 SOLE 2209000 Paxar Corp COMMON 704227107 2560 200000 SOLE 200000 Paychex, Inc. COMMON 704326107 34 1000 SOLE 1000 Peregrine Systems Inc COMMON 71366Q101 2188 4420000 SOLE 4420000 Phoenix Technology COMMON 719153108 2508 400000 SOLE 400000 Pinnacle Systems COMMON 723481107 5854 694400 SOLE 694400 Playboy Enterprise Inc H COMMON 728117300 4384 301300 SOLE 301300 Polymedica COMMON 731738100 12878 485972 SOLE 485972 Poore Brothers Inc COMMON 732813100 1374 286200 SOLE 286200 Portal Software COMMON 736126301 16752 1148200 SOLE 1148200 Power Integrations COMMON 739276103 2460 74000 SOLE 74000 Precision Drilling COMMON 74022D100 2617 69500 SOLE 69500 Psychiatric Solutions COMMON 74439H108 4898 354671 SOLE 354671 Q Comm International Inc COMMON 74727M207 1071 141900 SOLE 141900 QRS Corp COMMON 74726x105 4879 574020 SOLE 574020 Quantum Fuel Systems Tech COMMON 74765E109 6456 945200 SOLE 945200 Quicksilver Resources COMMON 74837R104 4830 197700 SOLE 197700 R F Monolithics Inc COMMON 74955F106 3116 475000 SOLE 475000 RC2 Corp COMMON 749388104 7185 374000 SOLE 374000 Red Hat Inc COMMON 756577102 11362 1125000 SOLE 1125000 RedEnvelope COMMON 75733R601 700 50000 SOLE 50000 Res-Care Inc COMMON 760943100 1698 220500 SOLE 220500 Rio Narcea Gld Mns Ltd COMMON 766909105 2764 1305000 SOLE 1305000 Rio Narcea Gld Mns Ltd Wt warrants 766909105 30 52500 SOLE 52500 Riviera Tool Co COMMON 769648106 0 100 SOLE 100 Robotic Visions COMMON 771074101 1359 1984000 SOLE 1984000 Safeguard Scientific Cvt Cvt Bnd 786449AE8 1147 1530000 SOLE 1530000 Safeguard Scientifics Inc COMMON 786449108 13462 3959400 SOLE 3959400 Sciquest Inc COMMON 80908q107 707 158859 SOLE 158859 Seagate Technology Holdin COMMON G7945J104 816 30000 SOLE 30000 Sharper Image COMMON 820013100 10364 449418 SOLE 449418 Sigmatel COMMON 82661W107 618 30000 SOLE 30000 Silicon Image Inc COMMON 82705T102 2508 556100 SOLE 556100 Silicon Storage Tech COMMON 827057100 1750 200000 SOLE 200000 Silicon Valley Banchares COMMON 827064106 7891 285600 SOLE 285600 Silver Standard Resources COMMON 82823L106 1519 225000 SOLE 225000 Sino Forest CL A COMMON 82934H101 2733 1101300 SOLE 1101300 Sirenza Microdevices COMMON 82966T106 806 200000 SOLE 200000 Sirius Satellite Radio COMMON 82966U103 1 500 SOLE 500 Skillsoft Corp COMMON 830928107 15734 2111934 SOLE 2111934 Socket Communications COMMON 833672108 172 75000 SOLE 75000 Sonex COMMON 835448101 143 1159946 SOLE 1159946 Sonex Pfd Stk Preferred 835448101 621 725000 SOLE 725000 Spectranetics COMMON 84760C107 1 100 SOLE 100 Sprint Corp PCS Group COMMON 852061506 2865 500000 SOLE 500000 Stamps.com Inc COMMON 852857101 11393 1957500 SOLE 1957500 Stratex Networks COMMON 86279T109 6650 1727200 SOLE 1727200 Sun Opta COMMON 852559103 16307 1761000 SOLE 1761000 Sunoco Inc COMMON 86764P109 1609 40000 SOLE 40000 Superconductor Technologi COMMON 867931107 1670 425000 SOLE 425000 Superior Energy Services COMMON 868157108 2744 280000 SOLE 280000 Symbol Technologies COMMON 871508107 5530 462750 SOLE 462750 Tag It Pacific COMMON 873774103 4580 946100 SOLE 946100 Taiwan Semiconductors COMMON 874039100 2166 200000 SOLE 200000 Talisman Energy COMMON 87425E103 2372 50000 SOLE 50000 Tekelec COMMON 879101103 6553 419800 SOLE 419800 Texas Instruments Inc COMMON 882508104 114 5000 SOLE 5000 Thermogenesis Corp COMMON 883623209 9355 2951200 SOLE 2951200 Three-Com COMMON 885535104 2360 400000 SOLE 400000 Tidel Tech COMMON 886368109 223 655100 SOLE 655100 Tommy Hilfiger Corp COMMON G8915Z102 1191 100000 SOLE 100000 TriZetto Group COMMON 896882107 1757 262300 SOLE 262300 Trident Microsystems COMMON 895919108 2080 160000 SOLE 160000 UTStarcom Inc COMMON 918076100 12692 399000 SOLE 399000 Ultratech Inc COMMON 904034105 18775 665300 SOLE 665300 United Online Inc COMMON 911268100 1407 40520 SOLE 40520 Versant Corp COMMON 925284101 492 332600 SOLE 332600 Verso Tech Inc COMMON 925317109 1054 281100 SOLE 281100 Virage Logic Corp COMMON 92763R104 1759 231500 SOLE 231500 Vitalworks Inc COMMON 928483106 10467 1993700 SOLE 1993700 Vitesse COMMON 928497106 9148 1429400 SOLE 1429400 WGI Heavy Minerals COMMON 929267102 6131 985500 SOLE 985500 WJ Communications COMMON 929284107 207 50000 SOLE 50000 Wackenhut Corrections COMMON 929798106 511 30000 SOLE 30000 WebEx Inc COMMON 94767L109 3228 170000 SOLE 170000 West Marine COMMON 954235107 3877 203500 SOLE 203500 Western Digital Corp. COMMON 958102105 1933 150000 SOLE 150000 Westport Resources Corp COMMON 961418100 3296 140000 SOLE 140000 Wheaton Rvr Mnrls COMMON 962902102 904 452000 SOLE 452000 Wheaton Rvr Mnrls WTs warrants 962902102 43 43750 SOLE 43750 Wheaton Rvr Mnrks Wts warrants 962902102 74 100000 SOLE 100000 Xilinx COMMON 983919101 855 30000 SOLE 30000 Youbet.com Inc COMMON 987413101 855 330000 SOLE 330000 Zindart LTD ADR's COMMON 989597109 10587 1566100 SOLE 1566100 Zoran COMMON 98975F101 743 38115 SOLE 38115
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