-----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, VYyba1IaXqNGYmn+eeQH6zkY1ZyFw5TZEWVtNCcjCs+oDKCCLlSQgva1W8Pep5UM dHdxgOPqImreV1vyZ1HNxg== 0000909450-06-000129.txt : 20061106 0000909450-06-000129.hdr.sgml : 20061106 20061103205649 ACCESSION NUMBER: 0000909450-06-000129 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060930 FILED AS OF DATE: 20061106 DATE AS OF CHANGE: 20061103 EFFECTIVENESS DATE: 20061106 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: 061188421 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 q30613f.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, 2006 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 3, 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: _____317___ Form 13F Information Table Value Total: _1,239,267_ 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 Access Intgrtd Tch COMMON 004329108 16063 1719638 SOLE 1719638 Actions Semiconductor COMMON 00507E107 1661 195400 SOLE 195400 Adept Tech COMMON 006854202 9617 815042 SOLE 815042 Advisory Board COMMON 00762W107 5609 111019 SOLE 111019 African Copper COMMON G0127A108 931 850000 SOLE 850000 Air China COMMON Y002A6104 4477 10382000 SOLE 10382000 Airgas Inc COMMON 009363102 4340 120000 SOLE 120000 Airspan Networks COMMON 00950H102 271 100750 SOLE 100750 Akamai Technologies COMMON 00971T101 4999 100000 SOLE 100000 Akorn Inc COMMON 009728106 2022 560000 SOLE 560000 Aleris Intl Inc COMMON 014477103 1162 23000 SOLE 23000 Alliance Data Systems COMMON 018581108 20972 380000 SOLE 380000 Allied Healthcare Intl IncCOMMON 01923A109 2531 1272100 SOLE 1272100 Allion Healthcare Inc COMMON 019615103 3051 730000 SOLE 730000 Ameriprise Financial COMMON 03076C106 14802 315600 SOLE 315600 Amerisafe Inc COMMON 03071H100 7013 715632 SOLE 715632 Ampex Corp Class A COMMON 032092306 4306 324979 SOLE 324979 Anadigics COMMON 032515108 6265 875000 SOLE 875000 Analex Corporation COMMON 032653107 395 187950 SOLE 187950 Apple Computer Inc. COMMON 037833100 19643 255000 SOLE 255000 Applied Materials COMMON 038222105 6240 351950 SOLE 351950 Atheros Communications COMMON 04743P108 2266 125000 SOLE 125000 Aventine Renewable Enrgy HCOMMON 05356X403 4462 208600 SOLE 208600 Aventine Renewable Enrgy HCOMMON 05356X304 3187 149000 SOLE 149000 Aventine Renewable Enrgy HCOMMON 05356X205 7508 351000 SOLE 351000 Aware Inc. COMMON 05453N100 623 110000 SOLE 110000 Baldwin & Lyons Inc COMMON 057755209 2221 91688 SOLE 91688 Bancorp Bank COMMON 05969A105 5768 226280 SOLE 226280 Basic Energy Services COMMON 06985P100 744 30500 SOLE 30500 Benihana Inc COMMON 082047200 17121 590375 SOLE 590375 Best Buy Co. COMMON 086516101 1074 20050 SOLE 20050 Birch Mountain Resorts COMMON 09066X109 1575 450000 SOLE 450000 Bombardier Inc COMMON 097751200 6248 2000000 SOLE 2000000 Bookham Technology Plc COMMON 09856E105 581 180500 SOLE 180500 Boston Scientific COMMON 101137107 3195 216000 SOLE 216000 Boyd Gaming COMMON 103304101 1960 51000 SOLE 51000 Brandpartners Group COMMON 10531R107 434 2894000 SOLE 2894000 Bravo Fd Intl/ChinaPremFd COMMON 105666101 969 2000000 SOLE 2000000 Brightpoint Inc COMMON 109473405 3076 216300 SOLE 216300 Brocade Communications SysCOMMON 111621108 1765 250000 SOLE 250000 Brooke Corp COMMON 112502109 11239 864513 SOLE 864513 Brooks Automation COMMON 114340102 1305 100000 SOLE 100000 Business Objects ADR COMMON 12328X107 4261 125000 SOLE 125000 CAE Inc COMMON 124765108 4692 550000 SOLE 550000 CDC Corp COMMON G2022L106 846 150000 SOLE 150000 Cameco Co COMMON 13321L108 439 12000 SOLE 12000 Capital Senior Corp COMMON 140475104 2967 320800 SOLE 320800 Cash Systems Inc COMMON 14756B102 11694 1673023 SOLE 1673023 Cerus Corp COMMON 157085101 1110 200000 SOLE 200000 Chartered Semiconductor ADCOMMON 16133R106 673 90000 SOLE 90000 China Merchant COMMON Y14896115 352 250000 SOLE 250000 China Natural Gas COMMON 168910107 883 310000 SOLE 310000 Chordiant Software COMMON 170404107 3899 1270000 SOLE 1270000 Chyron Corp COMMON 171605207 21 20000 SOLE 20000 Ciena Corp COMMON 171779309 2725 99987 SOLE 99987 CoStar Group COMMON 22160n109 10607 256704 SOLE 256704 Cobra Electronics COMMON 191042100 2478 291500 SOLE 291500 Coeur D Alene Mines Corp COMMON 192108108 3308 702250 SOLE 702250 Cogent Comm Grp Inc COMMON 19239V302 464 40000 SOLE 40000 Comarco Inc. COMMON 200080109 6619 743674 SOLE 743674 Combmatrix Corp COMMON 003881208 1661 1695400 SOLE 1695400 Concur Technologies COMMON 206708109 3520 241922 SOLE 241922 Core Laboratories COMMON N22717107 1531 24000 SOLE 24000 Corgi Intl LTD ADR Note 21872Q103 1417 1500000 SOLE 1500000 Corgi Intl LTD ADR COMMON 21872Q103 2125 2024020 SOLE 2024020 Corning COMMON 219350105 3051 125000 SOLE 125000 Corporate Executive Board COMMON 21988r102 9061 100775 SOLE 100775 Covanta Holdings COMMON 22282E102 11848 550300 SOLE 550300 Cuisine Solutions COMMON 229904107 7605 1324827 SOLE 1324827 Cybersource Corp COMMON 23251J106 1784 150785 SOLE 150785 Cybex Int'l Inc COMMON 23252E106 4734 726900 SOLE 726900 Cypress Semiconductor COMMON 232806109 5335 300200 SOLE 300200 Datalogic Int'l COMMON 23804Q102 78 2500000 SOLE 2500000 Deli Solar COMMON 24688L102 455 250000 SOLE 250000 Denbury Resource Inc. COMMON 247916208 5780 200000 SOLE 200000 Dover Saddlery Inc COMMON 260412101 2736 369682 SOLE 369682 Dreamworks Animation SKG ICOMMON 26153C103 2491 100000 SOLE 100000 Dryships Inc COMMON Y2109Q101 335 25000 SOLE 25000 Duke Energy COMMON 26441C105 3020 100000 SOLE 100000 Dynegy Inc COMMON 26816Q101 1029 185800 SOLE 185800 E-Bay Inc COMMON 278642103 2127 75000 SOLE 75000 EFJ Inc COMMON 26843B101 5140 692700 SOLE 692700 EMAK Worldwide Inc COMMON 26861V104 3479 552163 SOLE 552163 Eagle Test Systems COMMON 270006109 661 40000 SOLE 40000 Echelon Corp COMMON 27874N105 945 115000 SOLE 115000 El Paso Energy Corp COMMON 28336L109 1023 75000 SOLE 75000 Electro Scientific Ind. COMMON 285229100 2688 130500 SOLE 130500 Elk Corp COMMON 287456107 6120 225400 SOLE 225400 Emcore Corp COMMON 290846104 2676 452000 SOLE 452000 Emrise Corp COMMON 29246J101 1606 1741400 SOLE 1741400 Energen Corp COMMON 29265N108 5133 122600 SOLE 122600 Energy Savings Income FundCOMMON 292717105 13112 865668 SOLE 865668 Energy&Engne Tec Note 26267D108 1 120000 SOLE 120000 Energy&Engne Tec COMMON 26267D108 1 120000 SOLE 120000 Energy&Engne Tec COMMON 26267D108 1 132000 SOLE 132000 Energy&Engne Tec COMMON 26267D108 3 268000 SOLE 268000 Exabyte Corp COMMON 300615200 360 499996.8 SOLE 499996.8 Exabyte Corp ser AA Preferred 300615200 6 1800 SOLE 1800 Excelligence Learning CorpCOMMON 300684107 3402 275000 SOLE 275000 FTI Consulting COMMON 302941109 2506 100000 SOLE 100000 Federal Home Loan Bank TREASU 31339YBK7 470 500000 SOLE 500000 Fiberstars Inc COMMON 315662106 973 135899 SOLE 135899 First Data Corp COMMON 319963104 3150 75000 SOLE 75000 Five Star Quality Care COMMON 33832d106 12081 1122800 SOLE 1122800 Flow Intl Corp COMMON 343468104 864 66598 SOLE 66598 Force Protection COMMON 345203202 18519 2242500 SOLE 2242500 Foundry Networks COMMON 35063R100 657 50000 SOLE 50000 GATX Corp. COMMON 361448103 2068 50000 SOLE 50000 Garden Burger COMMON 365476100 0 456250 SOLE 456250 Gemalto ADR COMMON N3465M108 5382 250716 SOLE 250716 Gemplus International adr COMMON 36866y102 291 87250 SOLE 87250 Genius Prod Inc. COMMON 37229R206 879 500000 SOLE 500000 Geo Group COMMON 36159R103 2535 60000 SOLE 60000 Gigabeam Cp B COMMON 37517W107 980 6100 SOLE 6100 Golar LNG Ltd COMMON G9456A100 1300 100000 SOLE 100000 Goldcorp Inc COMMON 380956409 2367 100300 SOLE 100300 Golden Meditech COMMON G39580108 4165 16475000 SOLE 16475000 Goldleaf Fin Sol/Private BCOMMON 38144H208 1367 194180 SOLE 194180 Harbin Electric Inc COMMON 41145W109 1206 127000 SOLE 127000 Harmonic Inc COMMON 413160102 2572 350000 SOLE 350000 Health Fitness Corp COMMON 42217V102 1932 1282800 SOLE 1282800 Hear USA COMMON 422360305 1655 1034150 SOLE 1034150 Hercules Tch Grwth COMMON 427096508 5647 440163 SOLE 440163 Hercules Tch Grwth COMMON 427096102 2662 218369 SOLE 218369 Hercules Tch Grwth COMMON 427096409 624 51224 SOLE 51224 Hexcel Corp. COMMON 428291108 705 49800 SOLE 49800 High River Gold Mines Ltd COMMON 42979J107 1298 650000 SOLE 650000 Hollis Eden Pharm COMMON 435902101 6499 1228600 SOLE 1228600 Hollywood Media COMMON 436233100 11930 3051200 SOLE 3051200 Horizon Health Corp COMMON 44041Y104 506 33129 SOLE 33129 Horizon North Lgstcs COMMON 44044D107 54 18707 SOLE 18707 Hypercom Corp COMMON 44913M105 1864 275000 SOLE 275000 ICF Intl COMMON 44925C103 2530 200000 SOLE 200000 ITC Deltacom Inc COMMON 45031T872 45 25500 SOLE 25500 Imageware Sys COMMON 45245S108 3224 1664351 SOLE 1664351 Imergent Inc COMMON 45247Q100 17020 1204500 SOLE 1204500 Imperial Oil COMMON 453038408 2013 60000 SOLE 60000 Industrl Entrprss Amrca COMMON 456132208 1890 270000 SOLE 270000 Infnty Bio-Enrgy Ltd COMMON G4770S101 2916 550000 SOLE 550000 InfoUSA Inc COMMON 456818301 2297 276775 SOLE 276775 Innovative Solution & SuppCOMMON 45769n105 1004 69100 SOLE 69100 Inplay Tech Inc COMMON 45773L103 1305 1115800 SOLE 1115800 Int'l Rectifier COMMON 460254105 6620 190000 SOLE 190000 Integral Systems Inc COMMON 45810h107 3026 96800 SOLE 96800 Integramed America COMMON 45810n302 5646 594945 SOLE 594945 Integrated Security Sys Note 45812J101 205 1578944 SOLE 1578944 Intel Corp. COMMON 458140100 401 19509 SOLE 19509 Intelli-Check Inc COMMON 45817G102 1828 342800 SOLE 342800 Intelligroup Inc COMMON 45816A106 1680 1200100 SOLE 1200100 Intercontinental Exchange COMMON 45865V100 1501 20000 SOLE 20000 Intermap Technologies COMMON 458977204 495 110000 SOLE 110000 Internet Capital Group COMMON 46059C205 945 100000 SOLE 100000 Intl DisplayWorks Inc COMMON 459412102 11466 1800000 SOLE 1800000 Investools Inc COMMON 46145P103 1071 100758 SOLE 100758 Iomai Corp COMMON 46202P103 1890 399642 SOLE 399642 Ionatron Inc COMMON 462070103 962 200000 SOLE 200000 Isolagen COMMON 46488N103 294 85200 SOLE 85200 Iteris Holdings COMMON 46564T107 875 3610000 SOLE 3610000 Iteris Holdings Class A COMMON 46564T107 6117 2456640 SOLE 2456640 J2 Global Communications ICOMMON 46626E205 815 30000 SOLE 30000 Jarden Corp COMMON 471109108 3627 110000 SOLE 110000 JumpTV COMMON 48139P107 2336 400000 SOLE 400000 Kopin Corp COMMON 500600101 419 125000 SOLE 125000 LKQ Corp COMMON 501889208 4579 208425 SOLE 208425 LML Payment Systems COMMON 50208P109 1312 443220 SOLE 443220 Ladish Company COMMON 505754200 650 22500 SOLE 22500 Lecroy COMMON 52324W109 1866 135400 SOLE 135400 Lenova Group COMMON Y5257Y107 2356 6000000 SOLE 6000000 Lionore Mining Intl COMMON 535913107 641 105000 SOLE 105000 Lions Gate Entnmnt COMMON 535919203 4529 452390 SOLE 452390 Lufkin Industries COMMON 549764108 794 15000 SOLE 15000 MDC Partners Inc COMMON 552697104 16881 2328699 SOLE 2328699 MEMC Electronic Materials COMMON 552715104 9524 260000 SOLE 260000 MSGI Security Solutions COMMON 553570102 427 384821 SOLE 384821 MTI Technology Corp. COMMON 553903105 214 225000 SOLE 225000 Mad Catz Interactive Inc COMMON 556162105 1952 3682400 SOLE 3682400 Marchex Inc COMMON 56624R108 5369 350000 SOLE 350000 Market Vectors GOld MinersCOMMON 57060U100 2495 70000 SOLE 70000 MathStar Inc COMMON 576801203 1047 238011 SOLE 238011 Maxwell Labs COMMON 577767106 5339 262500 SOLE 262500 Mentor Graphics COMMON 587200106 11546 820000 SOLE 820000 Metretek Tech Inc COMMON 59159Q107 11988 1047839 SOLE 1047839 MicroTune Inc COMMON 59514P109 364 75000 SOLE 75000 Microislet Inc COMMON 59507Q106 710 420000 SOLE 420000 Micron Technology Inc. COMMON 595112103 15677 901000 SOLE 901000 Microsemi Corp COMMON 595137100 580 30750 SOLE 30750 Microtek Medical Holdings COMMON 59515B109 3402 972000 SOLE 972000 Modtech Holdings COMMON 60783c100 22127 4110214 SOLE 4110214 Monterey Gourmet Foods COMMON 612570101 12113 3204625 SOLE 3204625 Moody's Corp COMMON 615369105 7528 115147 SOLE 115147 Mullen Group Income Fund COMMON 625281100 1296 65000 SOLE 65000 NTL Inc COMMON 62941W101 1017 40000 SOLE 40000 Nasdaq Stock Market COMMON 631103108 10300 340600 SOLE 340600 Navarre Corp COMMON 639208107 12753 3172502 SOLE 3172502 Neomagic Cp COMMON 640497202 1120 400000 SOLE 400000 Net 1 Ueps Tech Inc COMMON 64107N206 8527 373009 SOLE 373009 NetLogic Microsystems Inc COMMON 64118B100 5353 211000 SOLE 211000 Neustar Inc COMMON 64126X201 23027 829810 SOLE 829810 Nice Systems Lmtd ADR COMMON 653656108 6572 237500 SOLE 237500 Nintendo COMMON J51699106 8743 42500 SOLE 42500 Novatel Wireless COMMON 66987M604 7252 753100 SOLE 753100 Novell Inc. COMMON 670006105 918 150000 SOLE 150000 Nuance Comm COMMON 67020Y100 16902 2068800 SOLE 2068800 O'Charleys Inc. COMMON 670823103 1897 100000 SOLE 100000 OMNI Energy Services COMMON 68210T208 758 100000 SOLE 100000 ON Semiconductor COMMON 682189105 5880 1000000 SOLE 1000000 Oakmont Aquisition Corp UtCOMMON 68831P106 872 162000 SOLE 162000 On Track Innovations COMMON M8791A109 1230 164000 SOLE 164000 OnSite Energy Corp. COMMON 68284P108 24 1540973 SOLE 1540973 OnSite Energy Corp. ser E Preferred 68284P108 1 2250000 SOLE 2250000 Oneok Inc COMMON 682680103 3212 85000 SOLE 85000 Onetravel Holdings COMMON 68275A201 0 299998 SOLE 299998 Onetravel Holdings Note 68275A201 100 499993.8 SOLE 499993.8 Onex Corp COMMON 68272K103 2240 100000 SOLE 100000 Opentv Corp COMMON G67543101 5971 2095044 SOLE 2095044 Openwave Systems COMMON 683718308 2808 300000 SOLE 300000 Opinion Research Corp COMMON 683755102 4162 360000 SOLE 360000 Option Care COMMON 683948103 1339 100000 SOLE 100000 Orpak System Ltd COMMON M75740106 2703 1000000 SOLE 1000000 PC-Tel Inc COMMON 69325Q105 8529 812286 SOLE 812286 PHI Inc COMMON 69336T205 4570 150000 SOLE 150000 PLX Technology COMMON 693417107 7444 717800 SOLE 717800 PW Eagle COMMON 69366Y108 1921 64000 SOLE 64000 Paincare Holdings COMMON 69562E104 3854 2676600 SOLE 2676600 Paladin Resources COMMON Q7264T104 893 250000 SOLE 250000 Pall Corp. COMMON 696429307 1365 44300 SOLE 44300 Par Technology CorporationCOMMON 698884103 3007 331500 SOLE 331500 Parametric Technology CorpCOMMON 699173209 1309 75000 SOLE 75000 Patron Systems COMMON 70337V108 131 65639 SOLE 65639 Penn Virginia COMMON 707882106 1902 30000 SOLE 30000 Penn Virginia Resource ParCOMMON 707884102 822 34200 SOLE 34200 Pericom Semiconductor COMMON 713831105 3468 355650 SOLE 355650 Perma-Fix Envirn Serv COMMON 714157104 2515 1215000 SOLE 1215000 Pope & Talbot COMMON 732827100 7528 1309300 SOLE 1309300 Powerwave Technologies COMMON 739363109 1824 240000 SOLE 240000 Precision Castparts COMMON 740189105 1895 30000 SOLE 30000 Presstek Inc COMMON 741113104 1617 300000 SOLE 300000 PureDepth Inc COMMON 74622H105 6870 3435315 SOLE 3435315 Q Comm Intl Inc COMMON 74727M306 255 149200 SOLE 149200 Qimonda AG ADR COMMON 746904101 1027 60400 SOLE 60400 Quantum Fuel Sys Tech COMMON 74765E109 1593 804269 SOLE 804269 Quilmes Ind ADR - Quinsa COMMON 74838Y207 4016 75000 SOLE 75000 RELM Wireless COMMON 759525108 473 60600 SOLE 60600 Rackable Systems COMMON 750077109 6717 245400 SOLE 245400 Range Resources Corp COMMON 75281A109 3786 150000 SOLE 150000 Redwood Trust COMMON 758075402 8835 175400 SOLE 175400 Regal Entertainment COMMON 758766109 1586 80000 SOLE 80000 RemoteMDx Inc COMMON 75961Q101 428 215000 SOLE 215000 Renewable Energy Corp COMMON R7199U100 6361 410000 SOLE 410000 Safeguard Scientifics Inc.COMMON 786449108 9826 5013400 SOLE 5013400 Safeway Inc. COMMON 786514208 13724 452200 SOLE 452200 Sandisk Corp COMMON 80004C101 1606 30000 SOLE 30000 Sands Regent COMMON 800091100 2808 191000 SOLE 191000 Sandvine Corp COMMON 800213100 1153 700000 SOLE 700000 Sapient Corp COMMON 803062108 436 80000 SOLE 80000 Schlumberger Ltd COMMON 806857108 2977 48000 SOLE 48000 Select Comfort COMMON 81616X103 656 30000 SOLE 30000 Seracare Life Sciences COMMON 81747Q100 2392 412400 SOLE 412400 ShawCor Ltd COMMON 820904209 1078 65000 SOLE 65000 Shells Seafood Rest COMMON 822809109 1560 2666680 SOLE 2666680 Sigma Designs COMMON 826565103 747 50000 SOLE 50000 Signalife Inc COMMON 82669P104 5703 2917000 SOLE 2917000 Silicon Image Inc COMMON 82705T102 27038 2125600 SOLE 2125600 Silicon Motion ADR COMMON 82706C108 1663 100000 SOLE 100000 Silver Wheaton Corp COMMON 828336107 7552 800000 SOLE 800000 Sinovac Biotech COMMON P8696W104 2320 800000 SOLE 800000 Sirenza Microdevices COMMON 82966T106 2607 330000 SOLE 330000 Smurfit Stone Container CoCOMMON 832727101 4480 400000 SOLE 400000 Sonex Com Rest. COMMON 835448101 22 302693 SOLE 302693 Sonex Pfd Stk Preferred 835448101 54 253750 SOLE 253750 Standard Microsystem Corp COMMON 853626109 5241 184400 SOLE 184400 Star Scientific COMMON 85517P101 287 93000 SOLE 93000 Stats Chippac ADR COMMON 85771T104 1202 200000 SOLE 200000 StealthGas Inc COMMON Y81669106 1852 148300 SOLE 148300 Stellent Inc COMMON 85856W105 972 89700 SOLE 89700 Stonepath Group COMMON 861837102 729 3835400 SOLE 3835400 Stratasys COMMON 862685104 581 22000 SOLE 22000 Sun Healthcare Group COMMON 866933401 1235 115000 SOLE 115000 Sunair Services Corp COMMON 867017105 737 190476 SOLE 190476 Supertex COMMON 868532102 13021 335000 SOLE 335000 Symbol Technologies COMMON 871508107 2972 200000 SOLE 200000 Synaptics COMMON 87157D109 4630 190000 SOLE 190000 Syntax-Brillian Corp COMMON 87163L103 283 60000 SOLE 60000 Syntax-Brillian Cp Preferred 87163L103 1413 1500000 SOLE 1500000 TVIA Inc COMMON 87307P101 1463 1100000 SOLE 1100000 Talisman Energy COMMON 87425E103 6716 410000 SOLE 410000 Tasker Products Corp COMMON 87652D109 176 1100000 SOLE 1100000 Technology Investment CapiCOMMON 878717305 9885 675668 SOLE 675668 Tenet Healthcare Corp COMMON 88033G100 3256 400000 SOLE 400000 Terra Nitrogen COMMON 881005201 1177 45000 SOLE 45000 Tessera Technologies COMMON 88164L100 1913 55000 SOLE 55000 The Inventure Grp / Poore COMMON 461214108 1584 665500 SOLE 665500 Thermogenesis Corp COMMON 883623209 20114 5197432 SOLE 5197432 Three M Company COMMON 88579Y101 2605 35000 SOLE 35000 Tim Hortons COMMON 88706M103 2616 100000 SOLE 100000 Titanium Corp COMMON 88833T104 4548 2396500 SOLE 2396500 Transocean Inc COMMON G90078109 4760 65000 SOLE 65000 Trident Microsystems COMMON 895919108 7443 320000 SOLE 320000 UAL Corp COMMON 902549807 2518 94763 SOLE 94763 UCBH Holding Inc COMMON 90262T308 13574 777427 SOLE 777427 US Gold Corp COMMON 912023207 856 175800 SOLE 175800 Ultratech Inc COMMON 904034105 11993 900400 SOLE 900400 United Healthcare Corp. COMMON 91324P102 9840 200000 SOLE 200000 United Parcel Services COMMON 911312106 6115 85000 SOLE 85000 Validian Corp COMMON 91915P107 152 1347256 SOLE 1347256 Vasco Data Security COMMON 92230Y104 1554 150000 SOLE 150000 Vaxgen Inc COMMON 922390208 10411 2290715 SOLE 2290715 VendingData Corp COMMON 92261Q202 410 162000 SOLE 162000 Vestas Wind Systems COMMON K9773J128 2271 85000 SOLE 85000 Viewpoint Corp COMMON 92672P108 1315 1114800 SOLE 1114800 Virage Logic Corp COMMON 92763R104 9353 1026640 SOLE 1026640 WGI Heavy Minerals COMMON 929267102 681 957000 SOLE 957000 Wave Systems COMMON 943526103 346 208312 SOLE 208312 Williams Cos. COMMON 969457100 4177 175000 SOLE 175000 Xenoics Holdings COMMON 984117101 580 341000 SOLE 341000 Zoltek Cos COMMON 98975W104 5376 210430 SOLE 210430 Zygo Corp COMMON 989855101 8424 660700 SOLE 660700
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