-----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, G9MbIct/IMkFGSzthk1qRVarOeskBmyUGS4D8YJ0S+xKx6HQgQeIvntA4zqAo54K 9Y8O8J1GoaMPoXg8kAa49g== 0000909450-07-000095.txt : 20070809 0000909450-07-000095.hdr.sgml : 20070809 20070808185337 ACCESSION NUMBER: 0000909450-07-000095 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070630 FILED AS OF DATE: 20070809 DATE AS OF CHANGE: 20070808 EFFECTIVENESS DATE: 20070809 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: 071037299 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 q20713f.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: June 30, 2007 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_ August 8, 2007 [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: ____328___ Form 13F Information Table Value Total: _ 1,289,264_ _ _ 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 AAR Corp COMMON 000361105 4770 144500 SOLE 144500 AXT Inc COMMON 00246W103 260 60000 SOLE 60000 Access Intgrtd Tch COMMON 004329108 14802 1835632 SOLE 1835632 Adept Tech COMMON 006854202 5029 794431 SOLE 794431 Advanced Cell Technology COMMON 00752K105 85 197000 SOLE 197000 Advanced Micro Devices COMMON 007903107 9238 646000 SOLE 646000 Advent Software COMMON 007974108 1107 34000 SOLE 34000 Advisory Board COMMON 00762W107 5282 95063 SOLE 95063 African Copper COMMON G0127A108 1362 763572 SOLE 763572 Air China COMMON Y002A6104 1756 2300000 SOLE 2300000 Akamai Technologies COMMON 00971T101 2486 51100 SOLE 51100 Akorn Inc COMMON 009728106 5882 841500 SOLE 841500 Alcatel Lucent ADR COMMON 013904305 2198 157000 SOLE 157000 Alliance Data Systems COMMON 018581108 547 7075 SOLE 7075 Allion Healthcare Inc COMMON 019615103 6570 1113507 SOLE 1113507 Altra Holdings COMMON 02208R106 5186 300100 SOLE 300100 Ambassadors Group COMMON 023177108 1906 53650 SOLE 53650 American Vanguard Corp COMMON 030371108 1148 80150 SOLE 80150 Amerisafe Inc COMMON 03071H100 3705 188740 SOLE 188740 Ampex Corp Class A COMMON 032092306 5086 385559 SOLE 385559 Analog Devices COMMON 032654105 2070 55000 SOLE 55000 Apple Inc. COMMON 037833100 24835 203500 SOLE 203500 Atheros Communications COMMON 04743P108 2350 76200 SOLE 76200 Aventine Renewable Enrgy HCOMMON 05356X403 9013 531100 SOLE 531100 Aware Inc. COMMON 05453N100 1190 220314 SOLE 220314 BMC Software COMMON 055921100 1470 48500 SOLE 48500 Baldor Electric COMMON 057741100 5076 103000 SOLE 103000 Bally Technologies COMMON 05874B107 3831 145000 SOLE 145000 Bancorp Bank COMMON 05969A105 2178 97389 SOLE 97389 Basin Water Inc COMMON 07011T306 644 74000 SOLE 74000 Be Aerospace COMMON 073302101 4171 101000 SOLE 101000 Benihana Inc COMMON 082047101 5072 252712 SOLE 252712 Benihana Inc Class A COMMON 082047200 10108 505425 SOLE 505425 Bio Treat Technology LTD COMMON 6740407 261 457000 SOLE 457000 Birch Mountain Resorts COMMON 09066X109 722 202750 SOLE 202750 Blackrock Inc COMMON 09247X101 10178 65000 SOLE 65000 Blue Coat Systems COMMON 09534T508 10065 203250 SOLE 203250 Bombardier Inc class B COMMON 097751200 13168 2233000 SOLE 2233000 Bookham Technology COMMON 09856E105 1891 930781 SOLE 930781 Boston Scientific COMMON 101137107 2948 192150 SOLE 192150 Brandpartners Group COMMON 10531R107 286 2598500 SOLE 2598500 Bravo Brands Inc COMMON 105666101 26 1800000 SOLE 1800000 Brocade Communications SysCOMMON 111621108 759 97000 SOLE 97000 Brooke Corp COMMON 112502109 13855 936799 SOLE 936799 Brooke Credit Corp COMMON 11252N101 931 162000 SOLE 162000 Brooke Credit Corp Wt Warrants 11252N101 130 173000 SOLE 173000 Business Objects ADR COMMON 12328X107 1474 37950 SOLE 37950 CAE Inc COMMON 124765108 7332 550000 SOLE 550000 CBIZ Inc COMMON 124805102 356 48500 SOLE 48500 CDC Corp COMMON G2022L106 4054 482000 SOLE 482000 Calgon Carbon Corp COMMON 129603106 10134 873600 SOLE 873600 Callaway Golf Co. COMMON 131193104 4052 227500 SOLE 227500 Cash Systems Inc COMMON 14756B102 6199 911620 SOLE 911620 Cavium Networks Inc COMMON 14965A101 2262 100000 SOLE 100000 China 3C Group COMMON 169362100 183 29500 SOLE 29500 Chordiant Software COMMON 170404305 7908 505000 SOLE 505000 Citrix Systems COMMON 177376100 4865 144500 SOLE 144500 Cleveland Biolabs COMMON 185860103 861 78590 SOLE 78590 CoStar Group COMMON 22160n109 5118 96785 SOLE 96785 Cobra Electronics COMMON 191042100 2798 290250 SOLE 290250 Cogent Comm Grp Inc COMMON 19239V302 8095 271000 SOLE 271000 Comarco Inc. COMMON 200080109 3734 592652 SOLE 592652 Commerce Planet COMMON 20084U100 338 291000 SOLE 291000 Comverge Inc COMMON 205859101 2482 80050 SOLE 80050 Comverse Technology COMMON 205862402 1397 67000 SOLE 67000 Concur Technologies COMMON 206708109 1234 53988 SOLE 53988 Continental Airlines COMMON 210795308 2540 75000 SOLE 75000 Core Laboratories COMMON N22717107 1525 15000 SOLE 15000 Corgi Intl LTD ADR COMMON 21872Q202 5221 1016534 SOLE 1016534 Corning COMMON 219350105 6950 272000 SOLE 272000 Covanta Holdings COMMON 22282E102 9107 369455 SOLE 369455 Cuisine Solutions COMMON 229904107 8097 1338427 SOLE 1338427 Cybersource Corp COMMON 23251J106 7942 658566 SOLE 658566 Cybex Intl Inc COMMON 23252E106 2800 400002 SOLE 400002 DG FastChannel Inc COMMON 23326R109 556 27300 SOLE 27300 Daktronics Inc. COMMON 234264109 945 44000 SOLE 44000 Datalink Corp COMMON 237934104 674 100300 SOLE 100300 Dayton Superior Corp COMMON 240028308 5249 388850 SOLE 388850 Deli Solar COMMON 24688L102 340 163400 SOLE 163400 Dell Computer COMMON 24702R101 5710 200000 SOLE 200000 Diomed Holdings Inc COMMON 25454R207 110 96200 SOLE 96200 Diomed Holdings Inc COMMON 25454R207 817 164 SOLE 164 Double Take Software COMMON 258598101 2076 126526 SOLE 126526 Dover Saddlery Inc COMMON 260412101 2698 377882 SOLE 377882 EFJ Inc COMMON 26843B101 1150 213400 SOLE 213400 EMAK Worldwide Inc COMMON 26861V104 1243 470863 SOLE 470863 EOG Resources COMMON 26875P101 3397 46500 SOLE 46500 Echelon Corp COMMON 27874N105 4566 292100 SOLE 292100 Eddie Bauer Holdings COMMON 071625107 1246 97000 SOLE 97000 Elan Corp. ADR COMMON 284131208 855 39000 SOLE 39000 Electronic Arts COMMON 285512109 1952 41250 SOLE 41250 Emergent Biosolutions Inc COMMON 29089Q105 2760 268000 SOLE 268000 Emrise Corp COMMON 29246J101 2131 1761300 SOLE 1761300 Emulex COMMON 292475209 2664 122000 SOLE 122000 Energy Conversion Devices COMMON 292659109 3321 107750 SOLE 107750 Energy Focus COMMON 29268T102 606 91400 SOLE 91400 Energy Savings Income FundCOMMON 292717105 12305 856668 SOLE 856668 Environmental Power COMMON 29406L201 2218 247800 SOLE 247800 Equitable Resources COMMON 294549100 1437 29000 SOLE 29000 Expeditors Intl WashingtonCOMMON 302130109 4543 110000 SOLE 110000 Feel Good Cars Corp COMMON 314336108 367 90050 SOLE 90050 First Solar COMMON 336433107 1652 18500 SOLE 18500 Five Star Quality Care COMMON 33832d106 8889 1113850 SOLE 1113850 Flow Intl Corp COMMON 343468104 5282 419200 SOLE 419200 Force Protection COMMON 345203202 21472 1040367 SOLE 1040367 Forward Air Corp COMMON 349853101 9187 269500 SOLE 269500 Foundry Networks COMMON 35063R100 1699 102000 SOLE 102000 G Willi Food InternationalCOMMON M52523103 812 99100 SOLE 99100 GSI Tech COMMON 36241U106 1724 360000 SOLE 360000 GameTech Intl COMMON 36466D102 1239 130400 SOLE 130400 Gateway 2000 COMMON 367626108 1153 725000 SOLE 725000 Gemalto ADR COMMON N3465M108 1869 80235 SOLE 80235 Genentech COMMON 368710406 2932 38750 SOLE 38750 General Electric COMMON 369604103 6699 175000 SOLE 175000 Genius Prod Inc COMMON 37229R206 2198 810050 SOLE 810050 Gigabeam Cp B COMMON 37517W107 441 6100 SOLE 6100 Gilat Satellite Networks LCOMMON M51474118 660 68500 SOLE 68500 Global Traffic Network IncCOMMON 37947B103 1035 150160 SOLE 150160 Golar LNG Ltd COMMON G9456A100 2449 147000 SOLE 147000 Golden Meditech COMMON G39580108 5456 9500550 SOLE 9500550 Goldleaf Fin Sol/Private BCOMMON 38144H208 2552 472640 SOLE 472640 Greenlight Capital COMMON G4095J109 1606 71277 SOLE 71277 Guidance Software COMMON 401692108 1889 134000 SOLE 134000 Harmonic Inc COMMON 413160102 4202 473700 SOLE 473700 Health Fitness Corp COMMON 42217V102 4487 1480000 SOLE 1480000 Hear USA COMMON 422360305 2383 1444400 SOLE 1444400 Hemisphere GPS COMMON 423633106 728 250000 SOLE 250000 Hercules Tch Grwth COMMON 427096508 1175 86974 SOLE 86974 Hewlett-Packard Co COMMON 428236103 5957 133500 SOLE 133500 High River Gold Mines Ltd COMMON 42979J107 4223 1551225 SOLE 1551225 Hollis Eden Pharm COMMON 435902101 4167 2042542 SOLE 2042542 Hollywood Media COMMON 436233100 13512 3099097 SOLE 3099097 Home Diagnostics COMMON 437080104 550 46750 SOLE 46750 Horizon Lines Inc COMMON 44044K101 2814 85900 SOLE 85900 Hyflux LTD COMMON 1J4788978 3835 2002500 SOLE 2002500 Hypercom Corp COMMON 44913M105 1491 252200 SOLE 252200 Hythiam Inc COMMON 44919F104 4907 567305 SOLE 567305 IRobot Corp COMMON 462726100 2640 133000 SOLE 133000 Imageware Sys COMMON 45245S108 3409 1561901 SOLE 1561901 Imageware Sys C COMMON 45245S108 2094 1333333 SOLE 1333333 Imageware Sys D COMMON 45245S108 895 355263 SOLE 355263 Imergent Inc COMMON 45247Q100 26131 1068325 SOLE 1068325 Imperial Oil COMMON 453038408 2577 55500 SOLE 55500 Infnty Bio-Enrgy Ltd COMMON G4770S101 2819 550000 SOLE 550000 InfoUSA Inc COMMON 456818301 3362 329000 SOLE 329000 Infosys Technologies COMMON 456788108 3451 68500 SOLE 68500 Innovative Solution & SuppCOMMON 45769n105 2972 128000 SOLE 128000 Inplay Tech Inc COMMON 45773L103 4410 1927005 SOLE 1927005 Int'l Rectifier COMMON 460254105 4229 113500 SOLE 113500 Integral Systems Inc COMMON 45810h107 2305 94800 SOLE 94800 Integramed America COMMON 45810n302 4343 387797 SOLE 387797 Intel Corp. COMMON 458140100 10039 422509 SOLE 422509 Intelli-Check Inc COMMON 45817G102 1880 343150 SOLE 343150 Intelligroup Inc COMMON 45816A106 1931 1103200 SOLE 1103200 Interactive Brokers Group COMMON 45841N107 1970 72600 SOLE 72600 Interface Inc. Class A COMMON 458665106 3772 200000 SOLE 200000 Intermap Technologies COMMON 458977204 1923 338500 SOLE 338500 Intervoice Inc COMMON 461142101 646 77500 SOLE 77500 Intrinsyc Software Intl InCOMMON 461199101 2957 5000000 SOLE 5000000 Investools Inc COMMON 46145P103 1708 171470 SOLE 171470 Iomai Corp COMMON 46202P103 3168 1775550 SOLE 1775550 Ionatron Inc COMMON 462070103 1203 308487 SOLE 308487 Iteris Holdings COMMON 46564T107 870 242972 SOLE 242972 Iteris Holdings Class A COMMON 46564T107 5768 2433850 SOLE 2433850 JMP Group COMMON 46629U107 3091 317945 SOLE 317945 JumpTV COMMON 48139P107 710 150000 SOLE 150000 Juniper Networks COMMON 48203R104 1636 65000 SOLE 65000 Key Energy Services COMMON 492914106 899 48500 SOLE 48500 Komag COMMON 500453204 478 15000 SOLE 15000 Kulicke & Soffa COMMON 501242101 1827 174500 SOLE 174500 LKQ Corp COMMON 501889208 2421 98171 SOLE 98171 LML Payment Systems COMMON 50208P109 3339 745342 SOLE 745342 LSI Corp. COMMON 502161102 4067 541500 SOLE 541500 Lamar Advertising COMMON 512815101 3429 54643 SOLE 54643 Lattice Semiconductor COMMON 518415104 2420 423000 SOLE 423000 Legg Mason Inc COMMON 524901105 2337 23750 SOLE 23750 Lenova Group COMMON Y5257Y107 2863 4855500 SOLE 4855500 Lighting Scnce Grp COMMON 53224G103 1014 2885266 SOLE 2885266 Lowes Companies COMMON 548661107 3069 100000 SOLE 100000 MDC Partners Inc COMMON 552697104 15298 1747898 SOLE 1747898 MEMC Electronic Materials COMMON 552715104 1192 19500 SOLE 19500 MIPS Technologies Class A COMMON 604567107 426 48500 SOLE 48500 MSC Software COMMON 553531104 1340 99000 SOLE 99000 MSGI Security Solutions COMMON 553570102 925 616700 SOLE 616700 Mad Catz Interactive Inc COMMON 556162105 4018 3020900 SOLE 3020900 Majesco Entrtnmnt COMMON 560690208 73 49000 SOLE 49000 Marvell Technologies COMMON G5876H105 4552 250000 SOLE 250000 Mathstar COMMON 576801203 872 578011 SOLE 578011 Maxim Integrated Products COMMON 57772K101 2105 63000 SOLE 63000 Maxwell Labs COMMON 577767106 5233 368000 SOLE 368000 Mentor Graphics COMMON 587200106 8985 682250 SOLE 682250 Metretek Tech Inc COMMON 59159Q107 20691 1340089 SOLE 1340089 Micron Technology Inc. COMMON 595112103 8326 664500 SOLE 664500 Mirabela Nickel LTD COMMON Q6188C106 303 75000 SOLE 75000 Modtech Holdings COMMON 60783c100 9678 3708404 SOLE 3708404 Monogram Biosciences COMMON 60975U108 4290 2538500 SOLE 2538500 Monterey Gourmet Foods COMMON 612570101 12327 2886855 SOLE 2886855 Nalco Holding Co COMMON 62985Q101 5155 187800 SOLE 187800 Navarre Corp COMMON 639208107 12451 3192451 SOLE 3192451 Neomagic Cp COMMON 640497202 1690 500000 SOLE 500000 Net 1 Ueps Tech Inc COMMON 64107N206 13098 542374 SOLE 542374 Netlist Inc COMMON 64118P109 939 268400 SOLE 268400 Network Appliance COMMON 64120L104 1168 40000 SOLE 40000 Neurometrix Inc COMMON 641255104 4068 418902 SOLE 418902 Neustar Inc COMMON 64126X201 4921 169865 SOLE 169865 Nine Dragon Paper COMMON B0WC2B8 1631 700000 SOLE 700000 Nintendo COMMON J51699106 15369 42250 SOLE 42250 Novatel Wireless B COMMON 66987M604 10096 388000 SOLE 388000 Novint Tech COMMON 670085109 891 1000000 SOLE 1000000 Nuance Comm COMMON 67020Y100 26764 1599750 SOLE 1599750 Nymex Holdings COMMON 62948N104 1008 8025 SOLE 8025 OMNI Energy Services COMMON 68210T208 5603 500300 SOLE 500300 ON Semiconductor COMMON 682189105 1583 147700 SOLE 147700 OSI Systems COMMON 671044105 2366 86500 SOLE 86500 Online Resources COMMON 68273G101 1246 113500 SOLE 113500 Opnext Inc COMMON 68375V105 953 72000 SOLE 72000 Oracle Systems COMMON 68389X105 3828 194215 SOLE 194215 Origo Sino-India PLC COMMON B1G3MS1 418 507614 SOLE 507614 Ormat Technologies COMMON 686688102 1613 42800 SOLE 42800 Orpak System Ltd COMMON M75740106 3394 975000 SOLE 975000 PC-Tel Inc COMMON 69325Q105 4596 525301 SOLE 525301 PHI Inc COMMON 69336T205 1981 66500 SOLE 66500 PLX Technology COMMON 693417107 7949 712250 SOLE 712250 PRG Schultz Intl COMMON 69357C503 2162 135989 SOLE 135989 Paladin Resources COMMON Q7264T104 5367 772500 SOLE 772500 Par Technology CorporationCOMMON 698884103 5125 602200 SOLE 602200 Parametric Technology CorpCOMMON 699173209 4322 200000 SOLE 200000 Penn Virginia COMMON 707882106 3558 88500 SOLE 88500 Penn Virginia Resource ParCOMMON 707884102 1064 34200 SOLE 34200 Pericom Semiconductor COMMON 713831105 2947 264050 SOLE 264050 Perma-Fix Envirn Serv COMMON 714157104 767 250000 SOLE 250000 Pfizer, Inc. COMMON 717081103 2979 116500 SOLE 116500 Pope & Talbot COMMON 732827100 2819 710090 SOLE 710090 Ports Design Ltd COMMON B03XK94 2110 750000 SOLE 750000 Precision Castparts B COMMON 740189105 5492 45250 SOLE 45250 Premier Exhibitions COMMON 74051E102 1150 73000 SOLE 73000 Presstek Inc COMMON 741113104 1608 201300 SOLE 201300 Price Smart COMMON 741511109 4334 175238 SOLE 175238 Puredepth b COMMON 74622H105 4783 3469565 SOLE 3469565 QualComm COMMON 747525103 11325 261000 SOLE 261000 Quantum Corp-DLT & StorageCOMMON 747906204 1884 594200 SOLE 594200 Questar Corp. COMMON 748356102 2299 43500 SOLE 43500 Rackable Systems COMMON 750077109 3617 292650 SOLE 292650 Range Resources Corp COMMON 75281A109 7314 195500 SOLE 195500 Raven Industries COMMON 754212108 3204 89728 SOLE 89728 Redwood Trust COMMON 758075402 12937 267400 SOLE 267400 Regal Entertainment COMMON 758766109 1919 87500 SOLE 87500 Remedent Inc COMMON 75954T104 1600 1280000 SOLE 1280000 RemoteMDx Inc COMMON 75961Q101 1569 934000 SOLE 934000 Renewable Energy Corp COMMON R7199U100 2905 74480 SOLE 74480 Richardson Electronics COMMON 763165107 1552 167750 SOLE 167750 Riverbed Tech COMMON 768573107 3243 74000 SOLE 74000 Roo Group COMMON 776349201 422 194500 SOLE 194500 SM&A COMMON 78465D105 2075 296000 SOLE 296000 Safeguard Scientifics Inc.COMMON 786449108 15140 5387775 SOLE 5387775 Safety Insurance Group COMMON 78648T100 6809 164462 SOLE 164462 Safeway Inc. COMMON 786514208 6808 200050 SOLE 200050 Saic Inc COMMON 78390X101 7682 425100 SOLE 425100 Sandvine Corp COMMON 800213100 4151 770000 SOLE 770000 Sapient Corp COMMON 803062108 2126 275000 SOLE 275000 Schlumberger Ltd COMMON 806857108 4289 50500 SOLE 50500 Seracare Life Sciences COMMON 81747Q100 2530 377650 SOLE 377650 Shanda Interactive EntertaCOMMON 81941Q203 11321 365180 SOLE 365180 Shells Seafood Rest COMMON 822809109 576 2666680 SOLE 2666680 Siga Tech COMMON 826917106 1751 532150 SOLE 532150 Signalife Inc COMMON 82669P104 1798 2683700 SOLE 2683700 Silicon Image Inc COMMON 82705T102 8836 1029800 SOLE 1029800 Silicon Laboratories COMMON 826919102 2994 86500 SOLE 86500 Silicon Motion ADR -don COMMON 82706C108 3464 139500 SOLE 139500 Silver Wheaton Corp COMMON 828336107 11693 1000250 SOLE 1000250 Sino Environment COMMON B11R0R3 3614 1700000 SOLE 1700000 Sinofert Holdings LTD COMMON B0CJMD1 3006 4250000 SOLE 4250000 Sinomem Technology Ltd COMMON 6648880 1490 1500000 SOLE 1500000 Sinovac Biotech COMMON P8696W104 2770 1065220 SOLE 1065220 Skyworks Solutions COMMON 83088M102 658 89500 SOLE 89500 Socket Communications COMMON 833672108 115 131200 SOLE 131200 Sonex Com Rest. COMMON 835448101 12 302693 SOLE 302693 Sonex Pfd Stk Preferred 835448101 54 253750 SOLE 253750 Spartan Motors COMMON 846819100 536 31500 SOLE 31500 Spectra Energy COMMON 847560109 4439 171000 SOLE 171000 Spirit Aerosystems HoldingCOMMON 848574109 2163 60000 SOLE 60000 Standard Microsystem Corp COMMON 853626109 11954 348100 SOLE 348100 Star Scientific COMMON 85517P101 82 93000 SOLE 93000 StealthGas Inc COMMON Y81669106 2517 140850 SOLE 140850 Stonepath Group COMMON 861837102 32 3189835 SOLE 3189835 Sun Healthcare Group COMMON 866933401 320 22075 SOLE 22075 Sun Opta COMMON 8676EP108 4446 398745 SOLE 398745 Sunair Services Corp COMMON 867017105 163 51576 SOLE 51576 Sunrise Telecom Inc COMMON 86769Y105 108 34000 SOLE 34000 Supertex COMMON 868532102 8214 262097 SOLE 262097 Syntax-Brillian Corp COMMON 87163L103 1635 332354 SOLE 332354 Syntax-Brillian Cp Preferred 87163L103 251 255030 SOLE 255030 T Rowe Price COMMON 74144T108 2283 44000 SOLE 44000 TVIA Inc COMMON 87307P101 94 400000 SOLE 400000 TVIA Inc NOTE 87307P101 92 460000 SOLE 460000 Tack Fat Group Ltd COMMON 6522917 425 2500000 SOLE 2500000 Taiwan Semiconductors COMMON 874039100 1080 97000 SOLE 97000 Talisman Energy COMMON 87425E103 8681 449100 SOLE 449100 Tektronix COMMON 879131100 860 25500 SOLE 25500 Tessera Technologies COMMON 88164L100 1038 25600 SOLE 25600 Texas Instruments Inc COMMON 882508104 1411 37500 SOLE 37500 Thermogenesis Corp COMMON 883623209 14004 5073853 SOLE 5073853 Tim Hortons ADR COMMON 88706M103 4003 130180 SOLE 130180 Titanium Corp COMMON 88833T104 907 473425 SOLE 473425 Towerstream Corp COMMON 892000100 1276 503584 SOLE 503584 Transocean Inc COMMON G90078109 5617 53000 SOLE 53000 Trident Microsystems COMMON 895919108 5872 320000 SOLE 320000 Tumbleweed Communications COMMON 899690101 235 92000 SOLE 92000 UAL Corp COMMON 902549807 5865 144497 SOLE 144497 UCBH Holding Inc COMMON 90262T308 22655 1240027 SOLE 1240027 US Gold Corp COMMON 912023207 4834 878904 SOLE 878904 Ultratech Inc COMMON 904034105 6495 487263 SOLE 487263 United Healthcare Corp. COMMON 91324P102 7635 149300 SOLE 149300 Ur-Energy Inc COMMON 91688R108 423 100000 SOLE 100000 Uroplasty Inc COMMON 917277204 1606 376000 SOLE 376000 Vasco Data Security COMMON 92230Y104 3812 167500 SOLE 167500 Vaxgen Inc COMMON 922390208 7780 4862215 SOLE 4862215 VendingData Corp COMMON 92261Q202 93 24800 SOLE 24800 Viewpoint Corp COMMON 92672P108 4084 3646800 SOLE 3646800 Virage Logic Corp COMMON 92763R104 6635 903990 SOLE 903990 WGI Heavy Minerals COMMON 929267102 735 883300 SOLE 883300 Wave Systems Class A COMMON 943526301 982 472300 SOLE 472300 Williams Cos. COMMON 969457100 3494 110500 SOLE 110500 Wireless Ronin TechnologieCOMMON 97652A203 7664 958000 SOLE 958000 Xenoics Holdings COMMON 984117101 958 378750 SOLE 378750 Zygo Corp COMMON 989855101 4731 331050 SOLE 331050
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