-----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, F7NMJXIX9Vt+dLHvbLUDrrFXNBvFz1xe0oytZY3sGVbh9BswHpAGeSdK6PfFN4OP A6A8fT2ENmKZ41AYPI7QvA== 0000909450-04-000081.txt : 20041108 0000909450-04-000081.hdr.sgml : 20041108 20041108165715 ACCESSION NUMBER: 0000909450-04-000081 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040930 FILED AS OF DATE: 20041108 DATE AS OF CHANGE: 20041108 EFFECTIVENESS DATE: 20041108 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: 041126416 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 q30413f.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, 2004 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_ November 8, 2004 [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: _____316___ Form 13F Information Table Value Total: __1,174,775__ 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 COMMON 00080S101 5698 876600 SOLE 876600 ACT Teleconfereincing COMMON 000955104 154 122500 SOLE 122500 AES Corp COMMON 00130H105 1999 200100 SOLE 200100 Accenture Ltd COMMON G1150G111 5410 200000 SOLE 200000 Access Integrated Tech IncCOMMON 004329108 1228 325000 SOLE 325000 Actuant Corp COMMON 00508X203 2885 70000 SOLE 70000 Adept Technology Over COMMON 006854103 3876 2932721 SOLE 2932721 Advisory Board COMMON 00762W107 3370 100300 SOLE 100300 Aehr Test Systems COMMON 00760J108 552 200900 SOLE 200900 Airgas Inc COMMON 009363102 3129 130000 SOLE 130000 Airspan Networks COMMON 00950H102 2313 426000 SOLE 426000 Allied Healthcare Intl IncCOMMON 01923A109 9023 1674100 SOLE 1674100 Allscripts Healthcare SoluCOMMON 01988P108 11570 1285543 SOLE 1285543 Alteon Inc COMMON 02144G107 1203 1265900 SOLE 1265900 Altera Corp. COMMON 021441100 2544 130000 SOLE 130000 Alvarion Ltd COMMON M0861T100 2983 230500 SOLE 230500 Anglogold Ashanti LTD COMMON 035128206 7331 188450 SOLE 188450 Applied Films COMMON 038197109 4322 240000 SOLE 240000 ArtiSoft Inc B Preferred 04314L205 2156 855540 SOLE 855540 ArtiSoft Inc C Preferred 04314L205 840 333335 SOLE 333335 Asia Aluminum Holdings LimCOMMON 6110077 655 6000000 SOLE 6000000 Aspen Technology COMMON 045327103 1922 275000 SOLE 275000 August Technologies COMMON 05106U105 1130 164500 SOLE 164500 Authentidate Hldg Corp COMMON 052666104 1515 249999 SOLE 249999 Avaya Inc COMMON 053499109 1045 75000 SOLE 75000 Avery Dennison Corp COMMON 053611109 6249 95000 SOLE 95000 BJ Services COMMON 055482103 2620 50000 SOLE 50000 BP PLC COMMON 110889409 6041 105000 SOLE 105000 Bancorp Bank COMMON 05969F104 7175 352581 SOLE 352581 BearingPoint Inc COMMON 074002106 2548 285000 SOLE 285000 Benihana Inc COMMON 082047200 2586 193265 SOLE 193265 Bio-Rad Laboratories Inc COMMON 090572207 7292 142700 SOLE 142700 Bitstream Inc COMMON 091736108 2050 1281200 SOLE 1281200 Bookham Technology Plc COMMON 09856Q108 552 85000 SOLE 85000 Boyd Gaming COMMON 103304101 383 13600 SOLE 13600 Brandpartners Group COMMON 10531R107 1609 2420000 SOLE 2420000 Bruker Biosciences COMMON 116794108 2850 823650 SOLE 823650 Burlington Northern Santa COMMON 12189T104 3831 100000 SOLE 100000 CAE Inc COMMON 124765108 1491 342000 SOLE 342000 Calif Micro Devices COMMON 130439102 4024 520543 SOLE 520543 Calpine Corp COMMON 131347106 719 248000 SOLE 248000 Cambior Inc COMMON 13201L103 3388 1100000 SOLE 1100000 Canico Resources COMMON 137580106 4939 448000 SOLE 448000 Capital Senior Corp COMMON 140475104 7378 1537100 SOLE 1537100 Capital Trust COMMON 14052H506 5829 200300 SOLE 200300 Captiva Software Co COMMON 14073T109 1456 130000 SOLE 130000 Carbo Ceramics Inc COMMON 140781105 1154 16000 SOLE 16000 Carreker Corp COMMON 144433109 1402 184200 SOLE 184200 Cash Systems Inc COMMON 14756B102 1579 241400 SOLE 241400 Cedar Fair COMMON 150185106 3464 113020 SOLE 113020 Champion Enterprises COMMON 158496109 3859 375000 SOLE 375000 Chaoda Modern Agriculture COMMON 6313490 1069 3202000 SOLE 3202000 CharterMac COMMON 160908109 1517 69000 SOLE 69000 Chicago Bridge and Iron CoCOMMON 167250109 2849 95000 SOLE 95000 ChoicePoint Inc COMMON 170388102 9596 225000 SOLE 225000 Chordiant Software COMMON 170404107 1062 365000 SOLE 365000 Citadel Security Software COMMON 17288Q109 1535 616500 SOLE 616500 CoStar Group COMMON 22160n109 13598 276439 SOLE 276439 Coeur D Alene Mines Corp COMMON 192108108 2863 604050 SOLE 604050 Collegiate Pacific COMMON 194589206 3960 430000 SOLE 430000 Collins and Aikman CorporaCOMMON 194830204 17041 4076700 SOLE 4076700 Comarco Inc. COMMON 200080109 4534 726670 SOLE 726670 Combmatrix Corp COMMON 003881208 1096 320000 SOLE 320000 Compex Technologies COMMON 204513105 1201 222500 SOLE 222500 Computer Access TechnologyCOMMON 204853105 1779 300000 SOLE 300000 Consol Energy Inc COMMON 20854P109 3838 110000 SOLE 110000 Copper Mt Ntwks COMMON 217510205 702 222223 SOLE 222223 Corio Inc COMMON 218875102 4242 2718940 SOLE 2718940 Corporate Executive Board COMMON 21988r102 13528 220900 SOLE 220900 Cray Inc COMMON 225223106 1412 400000 SOLE 400000 Cuisine Solutions COMMON 926604109 2342 1120457 SOLE 1120457 Cumulus Media Inc COMMON 231082108 9741 676900 SOLE 676900 Cybersource Corp COMMON 23251J106 771 159600 SOLE 159600 Cybex Int'l Inc COMMON 23252E106 1369 400000 SOLE 400000 Cypress Semiconductor COMMON 232806109 663 75000 SOLE 75000 Datang Intl Power COMMON 6080716 652 800000 SOLE 800000 Digital Theater Systems COMMON 25389G102 1916 105000 SOLE 105000 DirectV Group Inc COMMON 25459L106 2462 139938 SOLE 139938 Dot Hill System Corp COMMON 25848T109 2246 280000 SOLE 280000 Duraswitch Ind Inc COMMON 266905207 1340 507614 SOLE 507614 EFJ Inc COMMON 26843B101 670 100000 SOLE 100000 EMAK Worldwide Inc COMMON 26861V104 4840 496950 SOLE 496950 EOG Resources COMMON 26875P101 9877 150000 SOLE 150000 Eastman Kodak COMMON 277461109 6444 200000 SOLE 200000 Elan Corp. B COMMON 284131208 16526 706250 SOLE 706250 Electronic Clearing House COMMON 285562500 947 107629 SOLE 107629 EnCana Corp COMMON 292505104 6376 137700 SOLE 137700 Energy Savings COMMON 292717105 10485 870000 SOLE 870000 Ensign Resource Service GrCOMMON 29357T104 2937 160000 SOLE 160000 Exabyte COMMON 300615101 57 110000 SOLE 110000 Exabyte Corp COMMON 300615101 494 1000000 SOLE 1000000 Excelligence Learning CorpCOMMON 300684107 831 219147 SOLE 219147 Exponent Inc COMMON 30214U102 2755 100000 SOLE 100000 Falcon Software Inc COMMON 306137100 298 40000 SOLE 40000 Federal Home Loan Bank TREASU 31339YBK7 474 500000 SOLE 500000 Film Roman COMMON 317234102 47 283200 SOLE 283200 First American Financial COMMON 318522307 2701 87600 SOLE 87600 First Virtual Comm Corp COMMON 337484307 40 128000 SOLE 128000 Flow International Corp COMMON 343468104 1137 355400 SOLE 355400 Fuel Tech COMMON 359523107 826 168500 SOLE 168500 Garden Burger COMMON 365476100 38 1492400 SOLE 1492400 Garden Burger C Preferred 365476100 29 340000 SOLE 340000 Garden Burger D Preferred 365476100 14 159960 SOLE 159960 Gemplus International COMMON 36866y102 16232 4317064 SOLE 4317064 Genius Prod Inc COMMON 37229R206 3049 1773200 SOLE 1773200 Gladstone Capital COMMON 376535100 2246 98900 SOLE 98900 Gladstone Commercial Cp COMMON 376536108 4387 270648 SOLE 270648 Global Payments COMMON 37940x102 13034 243400 SOLE 243400 Golar LNG Ltd COMMON G9456A100 2190 140000 SOLE 140000 Goldcorp Inc COMMON 380956409 3419 246700 SOLE 246700 Goldman Sachs COMMON 38141g104 3191 34221 SOLE 34221 Greenfield Online COMMON 395150105 3046 150000 SOLE 150000 Halliburton & Co. COMMON 406216101 1348 40000 SOLE 40000 Harris & Harris Group COMMON 413833104 1344 130000 SOLE 130000 Harvard Biosciences COMMON 416906105 1961 445750 SOLE 445750 Health Fitness Corp COMMON 42217V102 266 177500 SOLE 177500 Healthsouth Corp COMMON 421924101 15685 3075500 SOLE 3075500 Hear USA COMMON 422360305 1820 1468000 SOLE 1468000 Hewitt Associates COMMON 42822Q100 1979 74800 SOLE 74800 Hewlett-Packard Co COMMON 428236103 3281 175000 SOLE 175000 Hi/Fn Inc COMMON 428358105 1697 193500 SOLE 193500 Hibernia Foods PLC ADR COMMON 428660104 20 2035480 SOLE 2035480 Hollis Eden PharmaceuticalCOMMON 435902101 969 90000 SOLE 90000 Hollywood Media COMMON 436233100 4012 1183442 SOLE 1183442 Hypercom Corp COMMON 44913M105 6276 850500 SOLE 850500 IBIS Technology COMMON 450909106 455 95100 SOLE 95100 IUnits S&P/TSX Cdn Gold InCOMMON 46577Y101 2357 55500 SOLE 55500 Iamgold Corp COMMON 450913108 5245 653150 SOLE 653150 Imageware Sys COMMON 45245S108 3250 1464153 SOLE 1464153 Infocrossing Inc COMMON 45664X109 7627 482270 SOLE 482270 Ingram Micro Inc. COMMON 457153104 1610 100000 SOLE 100000 Innovative Solution & SuppCOMMON 45769n105 1938 79000 SOLE 79000 Integramed America COMMON 45810n302 3593 588950 SOLE 588950 Intel Corp. COMMON 458140100 843 42009 SOLE 42009 Intelligroup Inc COMMON 45816A106 1661 1212100 SOLE 1212100 Intermix Media Inc COMMON 45881X106 3934 1501700 SOLE 1501700 Internap Networks COMMON 45885a102 6199 9252400 SOLE 9252400 Internet Capital Group COMMON 46059C205 12139 1879056 SOLE 1879056 Intersections Inc COMMON 460981301 2682 183100 SOLE 183100 Intervoice Inc COMMON 461142101 2927 271800 SOLE 271800 Interwoven Inc COMMON 46114t508 5813 802900 SOLE 802900 Intl DisplayWorks Inc COMMON 459412102 4168 842000 SOLE 842000 Intl Steel Group COMMON 460377104 1348 40000 SOLE 40000 Iomega Corp COMMON 462030305 697 150000 SOLE 150000 Ionatron Inc COMMON 462070103 4200 525000 SOLE 525000 Ionics COMMON 462218108 1633 60500 SOLE 60500 Ipayment Inc COMMON 46262E105 8033 200016 SOLE 200016 Isolagen COMMON 46488N103 3827 405000 SOLE 405000 Iteris Holdings Class A COMMON 46564M102 3135 964500 SOLE 964500 John B Sanfilippo and Son COMMON 800422107 13345 509350 SOLE 509350 Kindred Healthcare Inc COMMON 494580103 2996 122800 SOLE 122800 Kintera Inc COMMON 49720P506 5992 634768 SOLE 634768 Komag COMMON 500453204 1042 75000 SOLE 75000 Korn Ferry Int'l COMMON 500643200 2096 115000 SOLE 115000 Kulicke & Soffa COMMON 501242101 282 50000 SOLE 50000 LTX Corp. COMMON 502392103 273 50500 SOLE 50500 Lam Research COMMON 512807108 2407 110000 SOLE 110000 Leadis Technology COMMON 52171N103 564 50000 SOLE 50000 Lecroy COMMON 52324W109 5105 305500 SOLE 305500 Lexar Media COMMON 52886p104 6292 750000 SOLE 750000 LifePoint Inc ser D Preferred 53215R100 337 1246542 SOLE 1246542 LifePoint Inc ser D Preferred 53215R100 1013 3752958 SOLE 3752958 Lionore Mining Intl COMMON 535913107 1518 300000 SOLE 300000 Live Person Inc COMMON 538146101 1210 370000 SOLE 370000 LoJack Corp COMMON 539451104 712 63600 SOLE 63600 Loudeye Corp COMMON 545754103 3472 3214645 SOLE 3214645 MDC Partners Inc COMMON 552697104 19355 1526881 SOLE 1526881 MEMC Electronic Materials COMMON 552715104 1696 200000 SOLE 200000 MTC Technologies Inc COMMON 55377A106 2321 84000 SOLE 84000 Magma Design Automation COMMON 559181102 435 28850 SOLE 28850 Magnetek COMMON 559424106 1307 175000 SOLE 175000 Majesco Holdings Preferred 560690109 5040 200 SOLE 200 Marchex Inc COMMON 56624R108 3863 310000 SOLE 310000 MatrixOne Inc COMMON 57685P304 7614 1504650 SOLE 1504650 Media Services Group Inc COMMON 584459101 1480 128099 SOLE 128099 Medicalogic Medscape Inc COMMON 584642102 519 2584053 SOLE 2584053 Merix Corp COMMON 590049102 259 25000 SOLE 25000 Metretek Tech Inc COMMON 59159Q107 1863 1176551 SOLE 1176551 MicroTune Inc COMMON 59514P109 2123 402000 SOLE 402000 Microislet Inc COMMON 59507Q106 1355 1115384 SOLE 1115384 Micron Technology Inc. COMMON 595112103 10408 865150 SOLE 865150 Microsemi Corp COMMON 595137100 7036 499000 SOLE 499000 Microtek Medical Holdings COMMON 59515B109 8410 2661400 SOLE 2661400 Modtech Holdings COMMON 60783c100 20816 2906099 SOLE 2906099 Monsanto Comp COMMON 61166W101 2914 80000 SOLE 80000 Monterey Pasta COMMON 612570101 8263 2458400 SOLE 2458400 Motorola Inc. COMMON 620076109 1804 100000 SOLE 100000 Mpower Holding Cp COMMON 62473L309 1354 1050000 SOLE 1050000 NBTY Inc COMMON 628782104 1725 80000 SOLE 80000 NCO Group COMMON 628858102 2695 100000 SOLE 100000 NVIDIA Corp COMMON 67066g104 2322 159900 SOLE 159900 NWH Inc COMMON 62946E106 3050 172500 SOLE 172500 National Financial PartnerCOMMON 63607P208 7872 220000 SOLE 220000 Natrol Inc COMMON 638789107 3459 1153013 SOLE 1153013 Nautilus Group Inc COMMON 63910B102 1807 80000 SOLE 80000 Navarre Corp b COMMON 639208107 16031 1106333 SOLE 1106333 Navigant Conslting COMMON 63935N107 4172 190000 SOLE 190000 NetIQ Corp COMMON 64115p102 1819 170000 SOLE 170000 New Sleepr Gld Cp COMMON 648732105 505 800000 SOLE 800000 Nextel Communications COMMON 65332V103 954 40000 SOLE 40000 Nike COMMON 654106103 3940 50000 SOLE 50000 Noble Corp COMMON G65422100 598 13300 SOLE 13300 Noble Int'l LDT COMMON 655053106 731 40000 SOLE 40000 Nokia Cp COMMON 654902204 7628 556000 SOLE 556000 Novatel Wirelssb COMMON 66987M604 5571 237057 SOLE 237057 Novellus Systems COMMON 670008101 2393 90000 SOLE 90000 Nutraceutical Inc COMMON 67060Y101 6766 480170 SOLE 480170 OnSite Energy COMMON 68284P108 18 1540973 SOLE 1540973 OnSite Energy Corp. ser E Preferred 68284P108 45 2250000 SOLE 2250000 Online Resoucres COMMON 68273G101 6388 899739 SOLE 899739 Opentv Corp COMMON G67543101 4071 1334902 SOLE 1334902 Openwave Systems COMMON 683718308 10337 1171969 SOLE 1171969 Opinion Research Corp COMMON 683755102 4859 763952 SOLE 763952 Optimal Group COMMON 68388R208 11082 1207190 SOLE 1207190 PC-Tel Inc COMMON 69325Q105 1281 155076 SOLE 155076 PLX Technology COMMON 693417107 1806 250500 SOLE 250500 PPL Corp COMMON 69351T106 3303 70000 SOLE 70000 Paramount Resources COMMON 699320107 2212 120000 SOLE 120000 Patina Oil and Gas COMMON 703224105 591 20000 SOLE 20000 Patron Systems COMMON 70337V108 1851 1990000 SOLE 1990000 Paxar Corp COMMON 704227107 8538 376475 SOLE 376475 Peabody Energy COMMON 704549104 7735 130000 SOLE 130000 Penn Virginia Resource ParCOMMON 707884102 684 17100 SOLE 17100 Peregrine Systems Inc COMMON 71366Q101 4192 220654 SOLE 220654 Perma-Fix Envirn Serv COMMON 714157104 773 533333 SOLE 533333 Perot Systems Co COMMON 714265105 1837 114400 SOLE 114400 Phoenix Technology COMMON 719153108 2557 512500 SOLE 512500 Pinnacle Systems COMMON 723481107 569 136400 SOLE 136400 Plato Learning COMMON 72764Y100 6291 711600 SOLE 711600 Playboy Enterprise Inc HoCOMMON 728117300 4642 462350 SOLE 462350 Polycom COMMON 73172K104 2037 102750 SOLE 102750 Polyone Corp COMMON 73179P106 940 125000 SOLE 125000 Poore Brothers Inc COMMON 732813100 1170 425463 SOLE 425463 Precision Castparts COMMON 740189105 5104 85000 SOLE 85000 Precision Drilling COMMON 74022D100 1150 20000 SOLE 20000 Printronix COMMON 742578107 5288 351800 SOLE 351800 Private Business COMMON 74267D203 1253 670000 SOLE 670000 Provide Commerce COMMON 74373W103 7977 381873 SOLE 381873 Q Comm International Inc COMMON 74727M207 646 125600 SOLE 125600 Quantum Fuel Systems Tech COMMON 74765E109 6160 1130200 SOLE 1130200 Questar Corp. COMMON 748356102 2291 50000 SOLE 50000 Quicksilver Resources COMMON 74837R104 2290 70100 SOLE 70100 R F Monolithics Inc COMMON 74955F106 1692 240690 SOLE 240690 RS Group of Comp COMMON 74973Q100 1579 2675000 SOLE 2675000 Rainmaker Systms Inc COMMON 750875106 2832 1950000 SOLE 1950000 Recom Managed Sys COMMON 75623Q200 1845 616900 SOLE 616900 Res-Care Bonds Bonds 760943af7 270 250000 SOLE 250000 Res-Care Inc COMMON 760943100 8116 684904 SOLE 684904 Rio Narcea Gld Mns Ltd COMMON 766909105 1737 700000 SOLE 700000 Rush Enterprises COMMON 781846209 4491 410100 SOLE 410100 Safeguard Scientific Cvt BBonds 786449AE8 126 130000 SOLE 130000 Safeguard Scientifics Inc.COMMON 786449108 11236 6008600 SOLE 6008600 Sanmina Corp COMMON 800907107 564 80000 SOLE 80000 ScanSoft COMMON 80603P107 4817 1180700 SOLE 1180700 Scientific Games COMMON 80874P109 6704 351000 SOLE 351000 Scottish Power PLC COMMON 81013T705 1234 40000 SOLE 40000 Seachange Intl COMMON 811699107 1199 75000 SOLE 75000 Select Comfort COMMON 81616X103 6934 381000 SOLE 381000 Select Medical Corp COMMON 816196109 24161 1799050 SOLE 1799050 Shanda Interactive EntertaCOMMON 81941Q203 2160 90000 SOLE 90000 Silicon Image Inc b COMMON 82705T102 22181 1754800 SOLE 1754800 Silicon Valley Banchares COMMON 827064106 19167 515650 SOLE 515650 Sino Trans COMMON 6579010 173 500000 SOLE 500000 Sirenza Microdevices COMMON 82966T106 2184 515000 SOLE 515000 Skyworks Solutions COMMON 83088M102 2850 300000 SOLE 300000 Socket Communications COMMON 833672108 500 210000 SOLE 210000 Sonex COMMON 835448101 85 619946 SOLE 619946 Sonex Pfd Preferred 835448101 54 253750 SOLE 253750 Sonic Wall Inc COMMON 835470105 406 60000 SOLE 60000 Sonus Networks COMMON 835916107 1407 250000 SOLE 250000 Southwestern Energy Comp COMMON 845467109 5830 138850 SOLE 138850 Staktek Holdings COMMON 85256P106 390 100000 SOLE 100000 Standard Parking COMMON 853790103 3750 290500 SOLE 290500 Stonepath Group COMMON 861837102 1670 1834900 SOLE 1834900 Stratasys COMMON 862685104 6485 205500 SOLE 205500 Sum Total Systems COMMON 866615107 3459 698759 SOLE 698759 Symbol Technologies COMMON 871508107 5056 400000 SOLE 400000 TNS Inc COMMON 872960109 12596 649300 SOLE 649300 Tag It Pacific COMMON 873774103 2257 699900 SOLE 699900 Talisman Energy COMMON 87425E103 4144 160000 SOLE 160000 Tarantella Inc COMMON 876090309 900 714286 SOLE 714286 Technology Investment CapiCOMMON 878717305 5797 414102 SOLE 414102 Technology Research COMMON 878727304 4120 601400 SOLE 601400 Tekelec COMMON 879101103 5921 355000 SOLE 355000 Telkonet Inc COMMON 879604106 767 250000 SOLE 250000 Terra Nitrogen COMMON 881005201 345 15000 SOLE 15000 Theglobe.com COMMON 88335R101 591 1094100 SOLE 1094100 Therma Wave COMMON 88343A108 748 220000 SOLE 220000 Thermogenesis Corp COMMON 883623209 16162 3367031 SOLE 3367031 Tidel Tech COMMON 886368109 572 1058600 SOLE 1058600 Titanium Corp COMMON 88833T104 881 625000 SOLE 625000 Tivo COMMON 888706108 662 100000 SOLE 100000 Toyota Motors COMMON 892331307 5740 75150 SOLE 75150 Tumbleweed Communications COMMON 899690101 506 200000 SOLE 200000 UCN Inc. COMMON 902636109 1801 870000 SOLE 870000 Ultratech Inc COMMON 904034105 13406 855500 SOLE 855500 Univision Communications COMMON 914906102 5614 177600 SOLE 177600 Unova Inc COMMON 91529B106 773 55000 SOLE 55000 Validian Corp COMMON 91915P107 1063 2488922 SOLE 2488922 Veeco Instruments COMMON 922417100 839 40000 SOLE 40000 VendingData Corp COMMON 92261Q202 1224 337100 SOLE 337100 Versant Corp COMMON 925284101 434 550000 SOLE 550000 Viewpoint Corp COMMON 92672P108 791 344000 SOLE 344000 Virage Logic Corp COMMON 92763R104 11097 900000 SOLE 900000 Vitesse COMMON 928497106 1989 728500 SOLE 728500 WGI Heavy Minerals COMMON 929267102 4910 957000 SOLE 957000 Warderly Intl Holdings COMMON 6572224 958 8572500 SOLE 8572500 WebEx Inc COMMON 94767L109 5501 252100 SOLE 252100 Webside Story Inc COMMON 947685103 925 100000 SOLE 100000 West Marine COMMON 954235107 5146 240700 SOLE 240700 Western Gas Res COMMON 958259103 2001 70000 SOLE 70000 Williams Cos. COMMON 969457100 1210 100000 SOLE 100000 Xinao Gas COMMON KYG9826J104 118 232000 SOLE 232000 ZI Corp COMMON 988918108 1520 450000 SOLE 450000 Zindart LTD ADR's COMMON 989597109 7819 1793121 SOLE 1793121 Zygo Corp COMMON 989855101 4832 476950 SOLE 476950
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