-----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, H6Jw88XX4+mDBofgmiRKXV/9L4si+qkTmrkMsK0lTiUiaXN4xl+3ZAc9ISI2X454 FtyA7Iv+7V3mKB/UFKNaVQ== 0000909450-06-000011.txt : 20060125 0000909450-06-000011.hdr.sgml : 20060125 20060124211244 ACCESSION NUMBER: 0000909450-06-000011 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20051230 FILED AS OF DATE: 20060125 DATE AS OF CHANGE: 20060124 EFFECTIVENESS DATE: 20060125 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GRUBER & MCBAINE CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0000909450 IRS NUMBER: 770210467 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-04761 FILM NUMBER: 06547806 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/A 1 q40513fa.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: December 30, 2005 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_ January 24, 2006 [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: _____334___ Form 13F Information Table Value Total: _1,257,480_ 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 5,489 701,000 SOLE 701,000 ATI Technologies b COMMON 001941103 6,809 400,775 SOLE 400,775 AVI Biopharma COMMON 002346104 276 80,000 SOLE 80,000 Access Intgrtd Tch COMMON 004329108 7,566 775,804 SOLE 775,804 Adept Tech Over COMMON 006854202 7,212 615,042 SOLE 615,042 Advanced Digital Info COMMON 007525108 150 15,300 SOLE 15,300 Advanced Micro Devices COMMON 007903107 30,600 1,000,000 SOLE 1,000,000 Advisory Board COMMON 00762W107 4,715 98,900 SOLE 98,900 Air China COMMON B04knf1 1,596 5,000,000 SOLE 5,000,000 Airgas Inc COMMON 009363102 3,290 100,000 SOLE 100,000 Airspan Networks COMMON 00950H102 6,066 1,066,000 SOLE 1,066,000 Akorn Inc COMMON 009728106 2,078 455,600 SOLE 455,600 Allegheny Tech B COMMON 01741R102 3,418 94,725 SOLE 94,725 Alliance Data Systems COMMON 018581108 3,275 92,000 SOLE 92,000 Allied Healthcare Intl IncCOMMON 01923A109 11,677 1,901,829 SOLE 1,901,829 American Power Conversion COMMON 029066107 880 40,000 SOLE 40,000 Amerisafe Inc COMMON 03071H100 3,469 344,100 SOLE 344,100 Ampex Corp Class A COMMON 032092306 4,870 238,840 SOLE 238,840 Analex Corporation COMMON 032653107 511 175,500 SOLE 175,500 Applied Films COMMON 038197109 2,492 120,000 SOLE 120,000 Applied Materials COMMON 038222105 3,588 200,000 SOLE 200,000 Aptimus Inc COMMON 03833V108 556 70,318 SOLE 70,318 Argon St Inc COMMON 040149106 7,386 238,400 SOLE 238,400 Arlington Tankers LTD COMMON G04899103 1,259 57,900 SOLE 57,900 ArtiSoft/Vertl COMMON 04314l106 828 591,500 SOLE 591,500 Asia Aluminum Holdings LimCOMMON 6110077 778 9,000,000 SOLE 9,000,000 Aventine Renewable Enrgy HCOMMON 05356X304 715 55,000 SOLE 55,000 Aventine Renewable Enrgy HCOMMON 05356X205 2,860 220,000 SOLE 220,000 BP PLC COMMON 055622104 2,440 38,000 SOLE 38,000 Baldwin & Lyons Inc COMMON 057755209 2,485 102,275 SOLE 102,275 Bancorp Bank COMMON 05969A105 11,493 676,064 SOLE 676,064 Barrett Business Service COMMON 068463108 1,175 47,000 SOLE 47,000 Benihana Inc COMMON 082047200 13,043 566,100 SOLE 566,100 Best Buy Co. COMMON 086516101 1,304 30,000 SOLE 30,000 Biotime Inc COMMON 09066L105 74 240,000 SOLE 240,000 Birch Mountain Resorts COMMON 09066X109 695 96,900 SOLE 96,900 Bitstream Inc COMMON 091736108 4,069 1,082,250 SOLE 1,082,250 Blue Coat Systems COMMON 09534T508 6,401 140,000 SOLE 140,000 Bombardier Inc COMMON 097751200 3,319 1,400,000 SOLE 1,400,000 Bookham Technology Plc COMMON 09856E105 2,574 450,000 SOLE 450,000 Bottomline Technologies COMMON 101388106 1,526 138,444 SOLE 138,444 Brandpartners Group COMMON 10531R107 1,257 2,794,000 SOLE 2,794,000 Bravo Fd Intl/China Prem FCOMMON 105666101 1,296 2,400,000 SOLE 2,400,000 Brooke Corp COMMON 112502109 9,020 644,288 SOLE 644,288 CAE Inc COMMON 124765108 4,029 550,000 SOLE 550,000 CMG Information Services COMMON 125750109 6,835 4,497,000 SOLE 4,497,000 Calif Micro Devices COMMON 130439102 3,082 473,442 SOLE 473,442 Cambridge Silicon Radio COMMON 3414738 3,810 236,750 SOLE 236,750 Cameco Co COMMON 13321L108 3,169 50,000 SOLE 50,000 Capital Senior Corp COMMON 140475104 9,051 875,300 SOLE 875,300 Cash Systems Inc COMMON 14756B102 13,213 1,506,650 SOLE 1,506,650 Cedar Fair COMMON 150185106 2,857 100,100 SOLE 100,100 Centillium Communications COMMON 152319109 525 150,000 SOLE 150,000 Cerus Corp COMMON 157085101 573 56,500 SOLE 56,500 Chartered Semiconductor COMMON 16133R106 610 80,000 SOLE 80,000 China TechFaith Wireless CCOMMON 169424108 270 20,000 SOLE 20,000 ChoicePoint Inc COMMON 170388102 8,141 182,900 SOLE 182,900 Chordiant Software COMMON 170404107 2,612 996,900 SOLE 996,900 Chyron Corp COMMON 171605207 12 20,000 SOLE 20,000 CoStar Group COMMON 22160n109 4,829 111,854 SOLE 111,854 Coeur D Alene Mines Corp COMMON 192108108 4,440 1,109,900 SOLE 1,109,900 Comarco Inc. COMMON 200080109 7,422 743,674 SOLE 743,674 Consol Energy Inc COMMON 20854P109 6,010 92,200 SOLE 92,200 Core Laboratories COMMON N22717107 747 20,000 SOLE 20,000 Corgi Intl LTD COMMON 21872Q103 5,095 2,024,020 SOLE 2,024,020 Corporate Executive Board COMMON 21988r102 8,975 100,055 SOLE 100,055 Covanta Holdings COMMON 22282E102 452 30,000 SOLE 30,000 Cuisine Solutions COMMON 926604109 9,976 1,108,457 SOLE 1,108,457 Cybersource Corp COMMON 23251J106 6,672 1,010,860 SOLE 1,010,860 Cybex Int'l Inc COMMON 23252E106 1,989 567,700 SOLE 567,700 Cypress Semiconductor COMMON 232806109 5,344 375,000 SOLE 375,000 DPL Inc COMMON 233293109 1,300 50,000 SOLE 50,000 Datalogic International COMMON 23804Q102 415 1,974,000 SOLE 1,974,000 Deli Solar COMMON 24688L102 875 250,000 SOLE 250,000 Denbury Resource Inc. COMMON 247916208 4,556 200,000 SOLE 200,000 Digirad Corp COMMON 253827109 1,258 313,000 SOLE 313,000 Diomed Holdings Inc COMMON 25454R207 465 229,100 SOLE 229,100 Diomed Holdings Inc pref Preferred 25454R207 1,368 800,000 SOLE 800,000 DirecTV Group Inc COMMON 25459L106 3,035 214,938 SOLE 214,938 Dot Hill System Corp COMMON 25848T109 1,386 200,000 SOLE 200,000 Dover Saddlery Inc COMMON 260412101 2,630 276,800 SOLE 276,800 Dryships Inc COMMON Y2109Q101 1,405 115,000 SOLE 115,000 Dynatec Corp COMMON 267934107 1,891 1,900,000 SOLE 1,900,000 Dynegy Inc COMMON 26816Q101 1,694 350,000 SOLE 350,000 EDGAR Online Inc COMMON 279765101 338 185,600 SOLE 185,600 EFJ Inc COMMON 26843B101 5,156 508,000 SOLE 508,000 EMAK Worldwide Inc COMMON 26861V104 3,608 518,455 SOLE 518,455 EOG Resources COMMON 26875P101 3,111 42,400 SOLE 42,400 Efunds Group COMMON 28224R101 7,672 327,300 SOLE 327,300 Emageon Inc COMMON 29076V109 795 50,000 SOLE 50,000 Emcore Corp COMMON 290846104 7,439 1,002,500 SOLE 1,002,500 Emdeon COMMON 290849108 7,358 869,700 SOLE 869,700 Emrise Corp COMMON 29246J101 2,264 1,824,600 SOLE 1,824,600 Encore Medical Corp COMMON 29256E109 495 100,000 SOLE 100,000 Energy Savings Income FundCOMMON 292717105 14,134 865,668 SOLE 865,668 Energy&Engne Tec Note 29267D108 120 120,000 SOLE 120,000 Energy&Engne Tec COMMON 29267D108 120 2,400,000 SOLE 2,400,000 Energy&Engne Tec COMMON 29267D108 132 2,640,000 SOLE 2,640,000 Energy&Engne Tec COMMON 29267D108 268 5,360,000 SOLE 5,360,000 Ensco Intl Inc. COMMON 26874Q100 1,330 30,000 SOLE 30,000 Ensign Resource Service GrCOMMON 29357T104 2,622 65,000 SOLE 65,000 Environmental Power COMMON 29406L201 882 126,000 SOLE 126,000 Exabyte COMMON 300615200 163 180,938 SOLE 180,938 Exabyte Corp COMMON 300615200 250 277,776 SOLE 277,776 Exabyte Corp ser AA Preferred 300615200 500 219,322 SOLE 219,322 Excelligence Learning CorpCOMMON 300684107 3,837 546,575 SOLE 546,575 ExpressJet Holding Inc COMMON 30218U108 2,178 269,200 SOLE 269,200 F5 Networks B COMMON 315616102 3,403 59,500 SOLE 59,500 Federal Home Loan Bank TREASU 31339YBK7 462 500,000 SOLE 500,000 Fiberstars Inc COMMON 315662106 520 60,800 SOLE 60,800 Five Star Quality Care COMMON 33832d106 4,179 531,000 SOLE 531,000 Flow International Corp COMMON 343468104 7,761 1,016,250 SOLE 1,016,250 Freightcar America B COMMON 357023100 1,736 36,100 SOLE 36,100 Full House Resort COMMON 359678109 496 160,000 SOLE 160,000 GSI Group COMMON 36229U102 1,249 115,000 SOLE 115,000 Garden Burger COMMON 365476100 0 456,250 SOLE 456,250 Gehl Co. COMMON 368483103 2,625 100,000 SOLE 100,000 Gemplus International COMMON 36866y102 17,025 3,212,346 SOLE 3,212,346 Genius Prod Inc. COMMON 37229R206 1,000 500,000 SOLE 500,000 Geo Group COMMON 36159R103 229 10,000 SOLE 10,000 Gigabeam Cp B COMMON 37517W107 1,00017,222,625 SOLE 17,222,625 Gladstone Capital COMMON 376535100 1,097 51,305 SOLE 51,305 Global E-Point Inc COMMON 37940u108 320 100,000 SOLE 100,000 Golar LNG Ltd COMMON G9456A100 2,385 180,000 SOLE 180,000 Goldcorp Inc COMMON 380956409 7,938 356,300 SOLE 356,300 Golden Meditech COMMON 6430559 5,15721,498,000 SOLE 21,498,000 Harris Corp. COMMON 413875105 430 10,000 SOLE 10,000 Harvard Biosciences COMMON 416906105 2,114 475,065 SOLE 475,065 Health Fitness Corp COMMON 42217V102 1,791 681,000 SOLE 681,000 Health Fitness Cp COMMON 42217V102 1,424 601,800 SOLE 601,800 Healthsouth Corp COMMON 421924101 4,949 1,010,000 SOLE 1,010,000 Hear USA COMMON 422360305 2,241 1,612,300 SOLE 1,612,300 Hercules Tch Grwth COMMON 427096508 3,989 332,700 SOLE 332,700 Hercules Tch Grwth COMMON 427096102 2,487 218,369 SOLE 218,369 Hercules Tch Grwth COMMON 427096409 583 51,224 SOLE 51,224 Hewlett-Packard Co COMMON 428236103 5,010 175,000 SOLE 175,000 Hexcel Corp. COMMON 428291108 902 50,000 SOLE 50,000 Hollis Eden PharmaceuticalCOMMON 435902101 4,211 870,000 SOLE 870,000 Hollywood Media COMMON 436233100 6,080 1,410,592 SOLE 1,410,592 Hutchinson Technology COMMON 448407106 1,422 50,000 SOLE 50,000 Hypercom Corp COMMON 44913M105 3,994 625,000 SOLE 625,000 Imageware Sys COMMON 45245S108 3,216 1,660,351 SOLE 1,660,351 Imergent Inc COMMON 45247Q100 6,591 998,600 SOLE 998,600 Industrial Distribution GrCOMMON 456061100 924 114,300 SOLE 114,300 Ingram Micro Inc. COMMON 457153104 1,228 61,600 SOLE 61,600 Innovative Solution & SuppCOMMON 45769n105 755 59,100 SOLE 59,100 Inplay Tech Inc COMMON 45773L103 3,496 1,087,500 SOLE 1,087,500 Integral Systems Inc COMMON 45810h107 2,697 143,000 SOLE 143,000 Integramed America COMMON 45810n302 5,614 424,008 SOLE 424,008 Integrated Device TechnoloCOMMON 458118106 659 50,000 SOLE 50,000 Integrated Security Sys Note 45812J101 300 1,578,944 SOLE 1,578,944 Intel Corp. b COMMON 458140100 487 19,509 SOLE 19,509 Intelli-Check Inc COMMON 45817G102 860 233,500 SOLE 233,500 Intelligroup Inc COMMON 45816A106 1,944 1,200,100 SOLE 1,200,100 Intellisync Corp COMMON 458176104 1,353 262,250 SOLE 262,250 Intermec Inc COMMON 91529B106 1,183 35,000 SOLE 35,000 Internap Networks COMMON 45885a102 1,536 3,571,850 SOLE 3,571,850 Internet Capital Group COMMON 46059C205 15,603 1,898,200 SOLE 1,898,200 Intertape Polymere Group COMMON 460919103 915 102,000 SOLE 102,000 Intl DisplayWorks Inc COMMON 459412102 5,660 952,900 SOLE 952,900 Ionatron Inc COMMON 462070103 4,625 457,500 SOLE 457,500 Ipayment Inc COMMON 46262E105 6,058 145,900 SOLE 145,900 Isolagen COMMON 46488N103 493 266,600 SOLE 266,600 Iteris Holdings COMMON 46564T107 875 277,008 SOLE 277,008 Iteris Holdings Class A COMMON 46564T107 5,009 2,087,240 SOLE 2,087,240 Ituran Location and ControCOMMON M6158M104 2,042 128,000 SOLE 128,000 Ixia COMMON 45071R109 1,847 125,000 SOLE 125,000 KVH Industries Inc COMMON 482738101 685 70,000 SOLE 70,000 Knoll Inc. COMMON 498904200 5,343 312,250 SOLE 312,250 Komag COMMON 500453204 2,539 73,250 SOLE 73,250 Kulicke & Soffa COMMON 501242101 1,149 130,000 SOLE 130,000 LSI Logic Corp. COMMON 502161102 2,885 360,600 SOLE 360,600 Lecroy COMMON 52324W109 2,988 195,400 SOLE 195,400 Linktone Ltd COMMON 535925101 2,917 280,500 SOLE 280,500 Lionore Mining Intl COMMON 535813107 1,276 300,000 SOLE 300,000 Lions Gate Entnmnt COMMON 535919203 2,860 372,389 SOLE 372,389 LoJack Corp B COMMON 539451104 1,492 61,850 SOLE 61,850 M System Inc B COMMON M7061C100 2,484 75,000 SOLE 75,000 MDC Partners Inc COMMON 552697104 14,739 2,302,799 SOLE 2,302,799 MEMC Electronic Materials COMMON 552715104 9,976 450,000 SOLE 450,000 MSGI Security Solutions COMMON 553570102 1,711 381,821 SOLE 381,821 Mad Catz Interactive Inc COMMON 556162105 2,725 3,682,400 SOLE 3,682,400 Marchex Inc COMMON 56624R108 10,451 464,700 SOLE 464,700 Marinemax Inc COMMON 567908108 8,527 270,100 SOLE 270,100 Material Sciences COMMON 576674105 2,397 170,000 SOLE 170,000 MathStar Inc COMMON 576801203 469 104,165 SOLE 104,165 Mathstar COMMON 576801203 1,261 271,208 SOLE 271,208 Maxwell Labs COMMON 577767106 425 30,000 SOLE 30,000 McGrath RentCorp COMMON 580589109 728 26,200 SOLE 26,200 Mentor Graphics COMMON 587200106 3,619 350,000 SOLE 350,000 Merge Technolgies COMMON 589981109 1,780 71,100 SOLE 71,100 Metretek Tech Inc COMMON 59159Q107 10,633 1,268,651 SOLE 1,268,651 MicroTune Inc COMMON 59514P109 107 25,750 SOLE 25,750 Microislet Inc COMMON 59507Q106 1,556 1,115,384 SOLE 1,115,384 Micros Systems COMMON 594901100 2,904 60,100 SOLE 60,100 Microsemi Corp COMMON 595137100 8,512 307,750 SOLE 307,750 Microsoft COMMON 594918104 6,537 250,000 SOLE 250,000 Microtek Medical Holdings COMMON 59515B109 7,481 2,149,616 SOLE 2,149,616 Mindspeed Tech COMMON 602682106 529 225,000 SOLE 225,000 Mirant Corp COMMON 60467R100 1,012 45,000 SOLE 45,000 Modtech Holdings COMMON 60783c100 37,170 4,110,214 SOLE 4,110,214 Monsanto Comp COMMON 61166W101 6,970 89,900 SOLE 89,900 Monterey Gourmet Foods COMMON 612570101 11,915 2,956,625 SOLE 2,956,625 Morgan Stanley Dean WitteCOMMON 617446448 6,525 115,000 SOLE 115,000 Motorola Inc. COMMON 620076109 13,300 588,750 SOLE 588,750 Mpower Holding Cp COMMON 62473L309 1,518 1,100,000 SOLE 1,100,000 Mullen Group Income Fund COMMON 625281100 1,827 65,000 SOLE 65,000 NWH Inc COMMON 62946E106 2,275 172,500 SOLE 172,500 Napster Inc COMMON 630797108 3,613 1,041,371 SOLE 1,041,371 National Financial PartnerCOMMON 63607P208 5,255 100,000 SOLE 100,000 National Fuel Gas COMMON 636180101 936 30,000 SOLE 30,000 Nautilus Inc COMMON 63910B102 7,518 402,900 SOLE 402,900 Navarre Corp COMMON 639208107 11,141 2,014,781 SOLE 2,014,781 Neomagic Cp COMMON 640497202 2,882 336,700 SOLE 336,700 Net 1 Ueps Tech Inc COMMON 64107N206 10,712 371,317 SOLE 371,317 NetLogic Microsystems Inc COMMON 64118B100 3,405 125,000 SOLE 125,000 Neustar Inc COMMON 64126X201 17,654 579,000 SOLE 579,000 New Sleepr Gld Cp COMMON 648732105 210 800,000 SOLE 800,000 Nice Systems Lmtd COMMON 653656108 8,789 182,500 SOLE 182,500 Nokia Cp COMMON 654902204 2,562 140,000 SOLE 140,000 Novatel Wirelss COMMON 66987M604 13,664 1,128,357 SOLE 1,128,357 Nuance Comm COMMON 67020Y100 19,492 2,554,600 SOLE 2,554,600 O2 Micro International COMMON G6797E106 1,018 100,000 SOLE 100,000 ON Semiconductor COMMON 682189105 553 100,000 SOLE 100,000 Oakmont Aquisition Corp COMMON 68831P205 976 160,000 SOLE 160,000 Occidental Petroleum COMMON 674599105 1,997 25,000 SOLE 25,000 On Track Innovations COMMON M8791A109 4,497 328,750 SOLE 328,750 OnSite Energy Corp. COMMON 68284P108 24 1,540,973 SOLE 1,540,973 OnSite Energy Corp. Preferred 68284P108 45 2,250,000 SOLE 2,250,000 Onetravel Hldings COMMON 68275A201 721 385,098 SOLE 385,098 Onetravel Holdings COMMON 68275A201 398 196,076 SOLE 196,076 Online Resources COMMON 68273G101 3,204 289,949 SOLE 289,949 Opentv Corp COMMON G67543101 5,043 2,251,469 SOLE 2,251,469 Opinion Research Corp COMMON 683755102 4,372 776,552 SOLE 776,552 Optibase Ltd COMMON M7524R108 963 200,600 SOLE 200,600 Option Care COMMON 683948103 2,254 168,750 SOLE 168,750 Orpak System Ltd COMMON IL00109487 2,407 1,000,000 SOLE 1,000,000 PC-Tel Inc COMMON 69325Q105 12,671 1,446,486 SOLE 1,446,486 PLX Technology COMMON 693417107 1,775 206,350 SOLE 206,350 PPL Corp COMMON 69351T106 588 20,000 SOLE 20,000 PW Eagle COMMON 69366Y108 1,517 80,000 SOLE 80,000 Paincare Holdings COMMON 69562E104 12,003 3,740,800 SOLE 3,740,800 Pall Corp. COMMON 696429307 1,757 65,400 SOLE 65,400 Patron Systems COMMON 70337V108 102 2,040,000 SOLE 2,040,000 Paychex, Inc. COMMON 704326107 3,812 100,000 SOLE 100,000 Penn Virginia COMMON 707882106 1,722 30,000 SOLE 30,000 Penn Virginia Resource ParCOMMON 707884102 950 17,100 SOLE 17,100 Per-Se Technologies Inc COMMON 713569309 688 29,450 SOLE 29,450 Perficient Inc COMMON 71375U101 891 100,000 SOLE 100,000 Perma-Fix Envirn Serv COMMON 714157104 982 603,333 SOLE 603,333 Phoenix Technology COMMON 719153108 2,723 435,000 SOLE 435,000 Photon Dynamics COMMON 719364101 1,919 105,000 SOLE 105,000 Photronics Inc. COMMON 719405102 753 50,000 SOLE 50,000 Pixar COMMON 725811103 2,636 50,000 SOLE 50,000 Poore Brothers Inc COMMON 732813100 4,019 1,425,098 SOLE 1,425,098 Pope & Talbot COMMON 732827100 6,582 790,200 SOLE 790,200 Portal Player Inc COMMON 736187204 3,398 120,000 SOLE 120,000 Pre-Paid Legal Services InCOMMON 740065107 3,798 99,400 SOLE 99,400 Presstek Inc COMMON 741113104 1,185 131,100 SOLE 131,100 Private Business COMMON 74267D203 1,146 970,900 SOLE 970,900 Provide Commerce COMMON 74373W103 6,471 195,438 SOLE 195,438 Q Comm International Inc COMMON 74727M306 436 150,200 SOLE 150,200 Quantum Fuel Systems Tech COMMON 74765E109 1,172 437,200 SOLE 437,200 RSA Security Inc. COMMON 749719100 1,684 150,000 SOLE 150,000 RTI International Metals ICOMMON 74973W107 6,338 167,000 SOLE 167,000 Rackable Systems COMMON 750077109 6,408 225,000 SOLE 225,000 Radisys Corp. COMMON 750459109 4,335 250,000 SOLE 250,000 Range Resources Corp COMMON 75281A109 5,136 195,000 SOLE 195,000 Red Hat Inc COMMON 756577102 1,090 40,000 SOLE 40,000 Redback Networks COMMON 757209507 1,054 75,000 SOLE 75,000 Res-Care Inc COMMON 760943100 4,028 231,919 SOLE 231,919 Rush Enterprises COMMON 781846209 7,203 484,100 SOLE 484,100 STMicroelectronics NV COMMON 861012102 1,800 100,000 SOLE 100,000 Safeguard Scientifics Inc.COMMON 786449108 6,317 3,273,000 SOLE 3,273,000 Sands Regent COMMON 800091100 2,087 205,000 SOLE 205,000 Seracare Life Sciences COMMON 81747Q100 2,066 228,300 SOLE 228,300 ShawCor Ltd COMMON 820904209 870 65,000 SOLE 65,000 Shells Seafood Rest COMMON 822809109 2,256 2,666,680 SOLE 2,666,680 Signalife Inc COMMON 82669P104 6,830 2,670,900 SOLE 2,670,900 Silicon Image Inc COMMON 82705T102 5,907 652,700 SOLE 652,700 Silicon Storage Tech COMMON 827057100 2,676 530,000 SOLE 530,000 Sirenza Microdevices COMMON 82966T106 2,582 560,000 SOLE 560,000 Socket Communications COMMON 833672108 129 114,500 SOLE 114,500 Sonex Com Rest. COMMON 835448101 5 302,693 SOLE 302,693 Sonex Pfd Stk Preferred 835448101 54 2,071,428 SOLE 2,071,428 Sonus Networks COMMON 835916107 744 200,000 SOLE 200,000 Standard Microsystem Corp COMMON 853626109 5,864 204,400 SOLE 204,400 Star Scientific COMMON 85517P101 219 93,000 SOLE 93,000 Stats Chippac COMMON 85771T104 2,890 425,000 SOLE 425,000 Stonepath Group COMMON 861837102 2,807 3,844,800 SOLE 3,844,800 Stratasys COMMON 862685104 3,601 144,000 SOLE 144,000 Sun Healthcare Group COMMON 866933401 991 150,000 SOLE 150,000 Sunair Services Corp COMMON 867017105 693 133,334 SOLE 133,334 Suntech Power Holdings Co COMMON 86800c104 545 20,000 SOLE 20,000 Symbol Technologies COMMON 871508107 9,102 710,000 SOLE 710,000 Syniverse Holdings COMMON 87163F106 10,571 505,800 SOLE 505,800 TNS Inc COMMON 872960109 20,438 1,065,600 SOLE 1,065,600 TVIA Inc COMMON 87307P101 550 250,000 SOLE 250,000 Taiwan Semiconductors COMMON 874039100 917 92,496 SOLE 92,496 Talisman Energy COMMON 87425E103 2,380 45,000 SOLE 45,000 Tasker Capital Corp COMMON 87652D109 803 1,100,000 SOLE 1,100,000 Technology Investment CapiCOMMON 878717305 13,984 926,125 SOLE 926,125 Tekelec COMMON 879101103 4,302 309,498 SOLE 309,498 Tellabs Inc. COMMON 879664100 1,090 100,000 SOLE 100,000 Teradyne COMMON 880770102 728 50,000 SOLE 50,000 Texas Instruments Inc COMMON 882508104 6,093 190,000 SOLE 190,000 Thermogenesis Corp COMMON 883623209 21,112 4,371,110 SOLE 4,371,110 Tidel Tech COMMON 886368109 417 1,543,566 SOLE 1,543,566 Tiffany COMMON 886547108 5,743 150,000 SOLE 150,000 Titanium Corp COMMON 88833T104 4,250 1,951,300 SOLE 1,951,300 Trident Microsystems COMMON 895919108 7,489 416,050 SOLE 416,050 Tut Systems COMMON 901103101 434 145,000 SOLE 145,000 UCN Inc. COMMON 902636109 453 284,182 SOLE 284,182 US Concrete COMMON 90333L102 291 30,700 SOLE 30,700 Ultratech Inc COMMON 904034105 13,972 850,900 SOLE 850,900 United Online Inc COMMON 911268100 4,799 337,500 SOLE 337,500 Validian Corp COMMON 91915P107 484 2,372,256 SOLE 2,372,256 Vasco Data Security COMMON 92230Y104 690 70,000 SOLE 70,000 Vaxgen Inc COMMON 922390208 3,933 449,500 SOLE 449,500 Veeco Instruments COMMON 922417100 693 40,000 SOLE 40,000 VendingData Corp COMMON 92261Q202 657 184,500 SOLE 184,500 Ventiv Health Inc COMMON 922793104 1,274 53,950 SOLE 53,950 Vestas Wind Systems COMMON 5964651 1,394 85,000 SOLE 85,000 Viewpoint Corp COMMON 92672P108 1,385 1,350,000 SOLE 1,350,000 Virage Logic Corp COMMON 92763R104 10,143 1,026,640 SOLE 1,026,640 Vitesse COMMON 928497106 907 472,500 SOLE 472,500 WGI Heavy Minerals COMMON 929267102 987 957,000 SOLE 957,000 Williams Cos. COMMON 969457100 2,780 120,000 SOLE 120,000 Xenoics Holdings COMMON 984117101 546 341,000 SOLE 341,000 Xilinx COMMON 983919101 4,160 165,000 SOLE 165,000 Xinao Gas COMMON KYG9826J10 103 130,000 SOLE 130,000 Yamana Gold COMMON 98462Y100 2,691 407,150 SOLE 407,150 Zoltek Cos COMMON 98975W104 2,807 319,700 SOLE 319,700 Zygo Corp COMMON 989855101 13,972 951,100 SOLE 951,100
SM\M-CORP\IA-13/16\1028307.01
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