-----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, E1pkEPX5dzz6WaBZlg1MADP1OCvcE3SS4oYfpxAxWJFNXyv8bKur6W4Y45sIVe8M RHy0TRo0sHYhdKlR9MJNWQ== 0000909450-08-000077.txt : 20081024 0000909450-08-000077.hdr.sgml : 20081024 20081023191528 ACCESSION NUMBER: 0000909450-08-000077 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080930 FILED AS OF DATE: 20081024 DATE AS OF CHANGE: 20081023 EFFECTIVENESS DATE: 20081024 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: 081138191 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 q30813f.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, 2008 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 23, 2008 [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: ____245____ Form 13F Information Table Value Total: __572,597__ __ _ _ 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 Airtran Holdings COMMON 00949P108 2430 1000000 SOLE 1000000 Apple Inc. COMMON 037833100 6280 55250 SOLE 55250 Advanced Analogic TechnoloCOMMON 00752J108 349 75000 SOLE 75000 Barrick Gold COMMON 067901108 2204 60000 SOLE 60000 Adept Tech COMMON 006854202 4958 567274 SOLE 567274 Alliance Data Systems COMMON 018581108 5343 84305 SOLE 84305 Advent Software COMMON 007974108 3230 91673 SOLE 91673 Applied Energetics/IonatroCOMMON 462070103 306 360000 SOLE 360000 Altra Holdings COMMON 02208R106 3717 251800 SOLE 251800 Airspan Networks COMMON 00950H102 277 814500 SOLE 814500 Access Intgrtd Tch COMMON 004329108 1370 1034700 SOLE 1034700 Akeena Solar COMMON 009720103 2160 570020 SOLE 570020 Akorn Inc COMMON 009728106 4344 846750 SOLE 846750 Allion Healthcare Inc COMMON 019615103 8414 1414178 SOLE 1414178 Advanced Micro Devices COMMON 007903107 5005 1100000 SOLE 1100000 Amerisafe Inc COMMON 03071H100 2366 130000 SOLE 130000 Amazon.Com Inc COMMON 023135106 5718 78590 SOLE 78590 Ansys COMMON 03662Q105 379 10000 SOLE 10000 Approach Resources Inc COMMON 03834A103 868 60000 SOLE 60000 Aruba Networks COMMON 043176106 906 176561 SOLE 176561 Amtech Systems COMMON 032332504 1254 134700 SOLE 134700 American Vanguard Corp COMMON 030371108 1595 105750 SOLE 105750 American Water Works COMMON 030420103 4837 225000 SOLE 225000 BankAmerica Corp. COMMON 060505104 2432 69500 SOLE 69500 Bed Bath and Beyond COMMON 075896100 3716 118300 SOLE 118300 Barclays Bank COMMON 06738E204 1852 75000 SOLE 75000 Bookham Technology COMMON 09856E105 9659 8547704 SOLE 8547704 Benihana Inc COMMON 082047101 730 158937 SOLE 158938 Benihana Inc Class A COMMON 082047200 1318 286540 SOLE 286540 Broadcom Corp COMMON 111320107 3167 170000 SOLE 170000 Aleritas Capital Warrants 01449F111 1 173000 SOLE 173000 Berkshire Hathaway Class BCOMMON 084670207 7471 1700 SOLE 1700 Absolute Software COMMON 00386B109 2205 285330 SOLE 285330 Bombardier Inc class B COMMON 097751200 4885 900000 SOLE 900000 CAE Inc COMMON 124765108 4669 585000 SOLE 585000 Denison Mines COMMON 248356107 590 200000 SOLE 200000 Hemisphere GPS COMMON 423633106 1847 700000 SOLE 700000 Intrinsyc Software Intl InCOMMON 461199101 344 1750000 SOLE 1750000 Intermap Technologies COMMON 458977204 758 300000 SOLE 300000 Phoenix Coal/ Marimba COMMON 56782F128 73 200000 SOLE 200000 Reunion Gold COMMON 76131P106 86 400000 SOLE 400000 Energy Savings Income FundCOMMON 292717105 7095 570675 SOLE 570675 Sandvine Corp COMMON 800213100 46 46800 SOLE 46800 Uranium Participation CorpCOMMON 917017105 1086 187100 SOLE 187100 World Energy Solutions COMMON 98145W109 111 251000 SOLE 251000 Cavium Networks Inc COMMON 14965A101 4637 329300 SOLE 329300 Cogent Comm Grp Inc COMMON 19239V302 1448 187550 SOLE 187550 Brightpoint Inc COMMON 109473405 4483 622650 SOLE 622650 Check Point Software COMMON M22465104 1819 80000 SOLE 80000 Continental Resources COMMON 212015101 3311 84400 SOLE 84400 Clarient COMMON 180489106 1069 610895 SOLE 610895 Comarco Inc. COMMON 200080109 771 583812 SOLE 583812 Comtech Comm COMMON 205826209 2954 60000 SOLE 60000 Comverse Technology COMMON 205862402 909 95000 SOLE 95000 Concur Technologies COMMON 206708109 2832 74025 SOLE 74025 CNW Corp. COMMON 209656107 4411 100000 SOLE 100000 Cobra Electronics COMMON 191042100 127 47924 SOLE 47924 Comverge Inc COMMON 205859101 46 10000 SOLE 10000 Majesco Entrtnmnt COMMON 560690208 689 774200 SOLE 774200 Calpine Corp COMMON 131347304 7788 599070 SOLE 599070 Copart Inc. COMMON 217204106 3686 97000 SOLE 97000 Capstone Turbine b COMMON 14067D102 1347 1044250 SOLE 1044250 Composite Tech COMMON 20461S108 438 600000 SOLE 600000 Corgi Intl LTD ADR COMMON 21872Q202 345 1194442 SOLE 1194442 Ceragon Networks COMMON 1L00108516 1626 220000 SOLE 220000 CoStar Group COMMON 22160n109 645 14202 SOLE 14202 China Solar&Clean Energy COMMON 16943E105 67 50000 SOLE 50000 Covanta Holdings COMMON 22282E102 4288 179095 SOLE 179095 Corrections Corp Of AmericCOMMON 22025Y407 745 30000 SOLE 30000 Cybex Intl Inc COMMON 23252E106 1101 365651 SOLE 365651 Cybersource Corp COMMON 23251J106 3080 191190 SOLE 191190 Double Take Software COMMON 258598101 696 70000 SOLE 70000 DG FastChannel Inc COMMON 23326R109 3441 156975 SOLE 156975 Diamond Offshore Drilling COMMON 25271C102 1543 14975 SOLE 14975 Daystar Technologies COMMON 23962Q100 1540 550000 SOLE 550000 Dynegy Inc COMMON 26816Q101 1074 300000 SOLE 300000 Hear USA COMMON 422360305 678 600400 SOLE 600400 Equifax Inc COMMON 294429105 1550 45000 SOLE 45000 EMAK Worldwide Inc COMMON 26861V104 162 269499 SOLE 269499 Emcore Corp COMMON 290846104 543 110000 SOLE 110000 Endo Pharmaceuticals COMMON 29264F205 2920 146000 SOLE 146000 Enliven Mkt Tech COMMON 293361101 2253 3514227 SOLE 3514227 Entropic Communications InCOMMON 29384R105 256 181300 SOLE 181300 Entrust Technologies COMMON 293848107 336 156300 SOLE 156300 EOG Resources COMMON 26875P101 3444 38500 SOLE 38500 El Paso Energy Corp COMMON 28336L109 766 60000 SOLE 60000 Environmental Power COMMON 29406L201 1143 519400 SOLE 519400 Epiq Systems COMMON 26882D109 5658 416000 SOLE 416000 Equitable Resources COMMON 294549100 2425 66100 SOLE 66100 Emrise Corp COMMON 29246J101 500 1388250 SOLE 1388250 Electronic Arts COMMON 285512109 10830 292775 SOLE 292775 Franklin Covey COMMON 353469109 2756 380115 SOLE 380115 FTI Consulting COMMON 302941109 4285 59310 SOLE 59310 FEI Co. COMMON 30241L109 1429 60000 SOLE 60000 Flow Intl Corp COMMON 343468104 1002 197260 SOLE 197260 Force Protection COMMON 345203202 10284 3837350 SOLE 3837350 Forest Labs Inc. COMMON 345838106 3518 124400 SOLE 124400 Flotek Industries COMMON 343389102 1581 143700 SOLE 143700 Five Star Quality Care COMMON 33832d106 1863 496695 SOLE 496695 Forward Air Corp COMMON 349853101 6200 227700 SOLE 227700 Cuisine Solutions COMMON 229904107 2503 1017427 SOLE 1017427 StealthGas Inc COMMON Y81669106 836 61825 SOLE 61825 Geo Group COMMON 36159R103 1010 50000 SOLE 50000 Goldcorp Inc COMMON 380956409 1581 50000 SOLE 50000 Gigabeam Cp COMMON 37517W107 47 274995 SOLE 274995 SPDR Gold Trust COMMON 863307104 2127 25000 SOLE 25000 Greenlight Capital COMMON G4095J109 2702 130227 SOLE 130227 GameTech Intl COMMON 36466D102 510 195400 SOLE 195400 Global Traffic Network IncCOMMON 37947B103 12232 1336833 SOLE 1336833 Gril Concepts Inc COMMON 398502203 348 210000 SOLE 210000 Goldman Sachs COMMON 38141g104 1920 15000 SOLE 15000 Guidance Software COMMON 401692108 586 125000 SOLE 125000 GSE Systems Inc COMMON 36227K106 1475 210750 SOLE 210750 Hollis Eden Pharm COMMON 435902101 1082 893817 SOLE 893817 Health Fitness Corp COMMON 42217V102 1480 1000000 SOLE 1000000 Petrohawk Energy COMMON 716495106 1081 50000 SOLE 50000 Hansen Medical Inc COMMON 411307101 1334 99250 SOLE 99250 Hollywood Media COMMON 436233100 4976 2211434 SOLE 2211434 Horizon Lines Inc COMMON 44044K101 1771 179400 SOLE 179400 Hythiam Inc COMMON 44919F104 2213 1715450 SOLE 1715450 Int'l Business Machines COMMON 459200101 203 1733 SOLE 1732 InterClick Inc COMMON 458483104 990 600000 SOLE 600000 Intelli-Check Inc COMMON 45817G102 226 137215 SOLE 137215 Infologix Inc COMMON 45668X105 276 186500 SOLE 186500 India Globalization CapitaCOMMON 45408X100 48 10000 SOLE 10000 India Globalization CapitaWarrants 45408X118 38 65000 SOLE 65000 Imergent Inc COMMON 45247Q100 9231 839144 SOLE 839144 Inverness Med Innovations COMMON 46126P106 7620 254000 SOLE 254000 Informatica Corp COMMON 45666Q102 649 50000 SOLE 50000 Integramed America COMMON 45810n302 4449 626650 SOLE 626650 IRobot Corp COMMON 462726100 1037 70000 SOLE 70000 Iteris Holdings Class A COMMON 46564T107 3393 2019531 SOLE 2019531 Intelligroup Inc COMMON 45816A106 1942 975640 SOLE 975640 ITT Corp COMMON 450911102 6896 124000 SOLE 124000 InfoGroup Inc COMMON 456818301 3976 601563 SOLE 601563 Imageware Sys COMMON 45245S108 886 2139901 SOLE 2139901 Imageware Sys C COMMON 452992100 407 4000000 SOLE 4000000 Imageware Sys D COMMON 452992290 174 1350000 SOLE 1350000 Johnson Controls COMMON 478366107 1717 56600 SOLE 56600 JMP Group COMMON 46629U107 973 187161 SOLE 187161 J.P. Morgan COMMON 46625h100 3012 64500 SOLE 64500 Key Energy Group COMMON 492914106 464 40000 SOLE 40000 KKR Financial Holdings LLCCOMMON 48248A306 13 2000 SOLE 2000 Knology Inc COMMON 499183804 2368 293494 SOLE 293494 Thermogenesis Corp COMMON 883623209 6291 5032853 SOLE 5032853 LKQ Corp COMMON 501889208 3831 225725 SOLE 225725 LML Payment Systems COMMON 50208P109 1074 1022473 SOLE 1022473 Lattice Semiconductor COMMON 518415104 2147 1042000 SOLE 1042000 LSB Industries Inc COMMON 502160104 807 58300 SOLE 58300 Mad Catz Interactive Inc COMMON 556162105 1348 2807900 SOLE 2807900 MDC Holdings COMMON 552676108 2280 62300 SOLE 62300 MDC Partners Inc COMMON 552697104 6330 941988 SOLE 941988 Mentor Graphics COMMON 587200106 4916 433150 SOLE 433150 Monogram Biosciences COMMON 60975U108 3393 4465131 SOLE 4465131 Mobile Mini COMMON 60740F105 1648 85250 SOLE 85250 Mellanox Technologies COMMON M51363113 516 50000 SOLE 50000 Modtech Holdings COMMON 60783c100 99 3405654 SOLE 3405654 Marvell Technologies COMMON G5876H105 4185 450000 SOLE 450000 MSGI Security Solutions COMMON 553570102 476 1904248 SOLE 1904248 MicroVision Inc. COMMON 594960106 912 470000 SOLE 470000 Maxwell Labs COMMON 577767106 3574 267950 SOLE 267950 MYR Group Inc COMMON 55405W104 1013 80000 SOLE 80000 Navarre Corp COMMON 639208107 720 496475 SOLE 496475 Netlist Inc COMMON 64118P109 272 254375 SOLE 254375 Novell Inc. COMMON 670006105 1362 265000 SOLE 265000 China Nepstar Chain DrugstCOMMON 16943C109 1164 238000 SOLE 238000 Inplay Tech Inc COMMON 45773L103 330 1838205 SOLE 1838205 NetApp Inc / Network AppliCOMMON 64120L104 3646 200000 SOLE 200000 Nuance Comm COMMON 67020Y100 12511 1026300 SOLE 1026300 Nucor COMMON 670346105 1923 48675 SOLE 48675 Neurometrix Inc COMMON 641255104 1246 1311543 SOLE 1311543 Novint Tech COMMON 670085109 771 1117663 SOLE 1117663 OSI Systems COMMON 671044105 3174 135000 SOLE 135000 Open Text COMMON 683715106 3669 106100 SOLE 106100 OYO Geospace Corp COMMON 671074102 1359 34600 SOLE 34600 Petroleo Brasiliero ADR COMMON 71654V408 2197 50000 SOLE 50000 Petroleo Brasiliero ADR COMMON 71654V101 2604 69600 SOLE 69600 PC-Tel Inc b COMMON 69325Q105 1387 148792 SOLE 148792 Puredepth COMMON 74622H105 979 3261710 SOLE 3261710 Perma-Fix Envirn Serv COMMON 714157104 932 448200 SOLE 448200 Photon Dynamics COMMON 719364101 1112 72454 SOLE 72454 Pool Corp COMMON 73278L105 660 28300 SOLE 28300 PowerSecure COMMON 73936N105 6520 1075907 SOLE 1075907 Penwest Pharmaceutical COMMON 709754105 1880 912850 SOLE 912850 Price Smart COMMON 741511109 7258 433600 SOLE 433600 Monterey Gourmet Foods COMMON 612570101 4706 2413205 SOLE 2413205 Par Technology CorporationCOMMON 698884103 3103 433400 SOLE 433400 Penn Virginia Resource ParCOMMON 707884102 539 32700 SOLE 32700 QualComm COMMON 747525103 1719 40000 SOLE 40000 Quantum Corp-DLT & StorageCOMMON 747906204 843 802750 SOLE 802750 Richardson Electronics COMMON 763165107 778 125450 SOLE 125450 Remedent Inc COMMON 75954T104 1600 1280000 SOLE 1280000 RF Micro Devices COMMON 749941100 428 146697 SOLE 146697 Royal Gold COMMON 780287108 4657 129500 SOLE 129500 Transocean Inc COMMON G90073100 1527 13900 SOLE 13900 RemoteMDx Inc COMMON 75961Q101 636 530000 SOLE 530000 Republic Services COMMON 760759100 1802 60100 SOLE 60100 Riverbed Tech COMMON 768573107 751 60000 SOLE 60000 Redwood Trust COMMON 758075402 1228 56505 SOLE 56505 Saic Inc COMMON 78390X101 2913 144000 SOLE 144000 Sapient Corp COMMON 803062108 1711 230300 SOLE 230300 Compania de Saneamento BasCOMMON 20441A102 3358 118445 SOLE 118445 Seachange Intl COMMON 811699107 2608 270000 SOLE 270000 SEI Corp. COMMON 784117103 5195 234000 SOLE 234000 Safeguard Scientifics Inc.COMMON 786449108 2501 2000500 SOLE 2000500 Siga Tech COMMON 826917106 4674 1246495 SOLE 1246495 Silicon Motion ADR COMMON 82706C108 468 100000 SOLE 100000 Silicon Laboratories COMMON 826919102 614 20000 SOLE 20000 Schlumberger Ltd COMMON 806857108 742 9500 SOLE 9500 Silver Wheaton Corp COMMON 828336107 1426 175000 SOLE 175000 Semitool Inc COMMON 816909105 416 50800 SOLE 50800 Shanda Interactive Ent ADRCOMMON 81941Q203 766 30000 SOLE 30000 GT Solar International COMMON 3623E0209 271 25000 SOLE 25000 Solar Power Inc COMMON 83490A100 1749 1249116 SOLE 1249116 Staples COMMON 855030102 3375 150000 SOLE 150000 Sempra Energy COMMON 816851109 3533 70000 SOLE 70000 Seracare Life Sciences COMMON 81747Q100 785 253139 SOLE 253139 STEC Inc COMMON 784774101 6246 811200 SOLE 811200 Sun Opta COMMON 8676EP108 6647 1079038 SOLE 1079038 Sinovac Biotech COMMON P8696W104 3508 1403295 SOLE 1403295 Synthesis Energy Systems COMMON 871628103 873 180000 SOLE 180000 Systemax Inc COMMON 871851101 2225 158250 SOLE 158250 ThermoEnergy COMMON 883906406 456 860695 SOLE 860695 TriQuint Semiconductor COMMON 89674K103 1197 250000 SOLE 250000 Tessera Technologies COMMON 88164L100 1373 84000 SOLE 84000 Tetra Tech COMMON 88162g103 1807 75100 SOLE 75100 MicroTune Inc COMMON 59514P109 375 140060 SOLE 140060 Towerstream Corp COMMON 892000100 523 581084 SOLE 581084 UCBH Holding Inc b COMMON 90262T308 2243 350000 SOLE 350000 Net 1 Ueps Tech Inc COMMON 64107N206 4638 207707 SOLE 207707 Uroplasty Inc COMMON 917277204 718 305700 SOLE 305700 Ultratech Inc COMMON 904034105 3749 309800 SOLE 309800 Veolia Environment ADR COMMON 92334N103 2064 50000 SOLE 50000 Viacom Inc Class B COMMON 92553P201 4302 173200 SOLE 173200 Virage Logic Corp COMMON 92763R104 5945 1007700 SOLE 1007700 Virtusa Corp COMMON 92827P102 340 52300 SOLE 52300 Vivus Inc. COMMON 928551100 2041 257000 SOLE 257000 Vaxgen Inc COMMON 922390208 3629 6048565 SOLE 6048565 Wave Systems Class A COMMON 943526301 220 500000 SOLE 500000 MEMC Electronic Materials COMMON 552715104 2699 95500 SOLE 95500 Whiting Petroleum COMMON 966387102 2993 42000 SOLE 42000 Weyerhaeuser Co COMMON 962166104 1212 20000 SOLE 20000 Exco Resources COMMON 269279402 734 45000 SOLE 45000 Xenoics Holdings COMMON 984117101 296 281481 SOLE 281481 Yucheng Tech COMMON G98777108 1015 100000 SOLE 100000
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