-----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, BKEM2OCCJi/iPE6w4Y8TaUUvHrgBc2lvtiwXxEvXb1zrDQVyO4B1hzNMxI/CNxZm BDYj5PB/u2g9SYXo5jvTVQ== 0000909450-10-000036.txt : 20100504 0000909450-10-000036.hdr.sgml : 20100504 20100503214135 ACCESSION NUMBER: 0000909450-10-000036 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100504 DATE AS OF CHANGE: 20100503 EFFECTIVENESS DATE: 20100504 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: 10794784 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 q11013f.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: March 31, 2010 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_ May 3, 2010 [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: ____211____ Form 13F Information Table Value Total: __642,128__ __ _ _ 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 AK Steel Holdings COMMON 001547108 1600.2 70000 SOLE 70000 Acme Packet Inc COMMON 004764106 4338 225000 SOLE 225000 Adept Tech COMMON 006854202 2501.15 535578 SOLE 535578 Advanced Energy COMMON 007973100 7617.6 460000 SOLE 460000 Advanced Micro Devices COMMON 007903107 12051 1300000 SOLE 1300000 Akorn Inc COMMON 009728106 11520.48 7529727 SOLE 7529727 Alcatel Lucent ADR COMMON 013904305 1560 500000 SOLE 500000 Altera Corp. COMMON 021441100 2552.55 105000 SOLE 105000 American Water Works COMMON 030420103 5440 250000 SOLE 250000 Amerisafe Inc COMMON 03071H100 5074.7 310000 SOLE 310000 Apple Inc. COMMON 037833100 4698.6 20000 SOLE 20000 Approach Resources Inc COMMON 03834A103 363.2 40000 SOLE 40000 Arotech Corp COMMON 042682203 300.96 182400 SOLE 182400 Asia Info Holdings COMMON 04518A104 4634 175000 SOLE 175000 Atlas Air Worldwide HoldingsCOMMON 049164205 5039.75 95000 SOLE 95000 Atmel Corp. COMMON 049513104 1257.5 250000 SOLE 250000 AutoChina Intl LTD COMMON G06750106 870 30000 SOLE 30000 Aviat Networks Inc COMMON 05366Y102 331.5 50000 SOLE 50000 BMC Software COMMON 055921100 2660 70000 SOLE 70000 Bancorp Bank COMMON 05969A105 4005 450000 SOLE 450000 Bed Bath and Beyond COMMON 075896100 4376 100000 SOLE 100000 Benihana Inc COMMON 082047101 413.2 60499 SOLE 60499 Benihana Inc Class A COMMON 082047200 97.5 15000 SOLE 15000 Berkshire Hathaway Class B COMMON 084670207 3657.15 45000 SOLE 45000 BioScrip Inc COMMON 09069N108 478.8 60000 SOLE 60000 Boeing COMMON 097023105 2178.3 30000 SOLE 30000 CAE Inc COMMON 124765108 3691.05 380000 SOLE 380000 Calgon Carbon Corp COMMON 129603106 7019.2 410000 SOLE 410000 Calpine Corp COMMON 131347304 8620.25 725000 SOLE 725000 Camac Energy Inc COMMON 131745101 2910 750000 SOLE 750000 Cameron Intl Corp COMMON 132632100 1714.4 40000 SOLE 40000 Carbo Ceramics Inc COMMON 140781105 623.4 10000 SOLE 10000 Cardtronics Inc COMMON 14161H108 1696.95 135000 SOLE 135000 Cavium Networks Inc COMMON 14965A101 4474.8 180000 SOLE 180000 Central Fund of Canada COMMON 153501101 4550 325000 SOLE 325000 China Electric Motor COMMON 16890A205 1821.48 353000 SOLE 353000 China Life Insurance Co Ltd COMMON 16939P106 3602 50000 SOLE 50000 China Nepstar Chain DrugstorCOMMON 16943C109 5187.37 715500 SOLE 715500 China Valves Technology COMMON 169476207 650.5 50000 SOLE 50000 Clarient COMMON 180489106 1310 500000 SOLE 500000 Clearwire Corp Class A COMMON 185385309 1787.5 250000 SOLE 250000 Cogo Group COMMON 192448108 3669.75 525000 SOLE 525000 Coherent Inc. COMMON 192479103 958.8 30000 SOLE 30000 Collective Brands Inc COMMON 704379106 2274 100000 SOLE 100000 Columbia Sportswear COMMON 198516106 4727.7 90000 SOLE 90000 Comarco Inc. COMMON 200080109 1617.96 532223 SOLE 532223 Comtech Comm COMMON 205826209 1119.65 35000 SOLE 35000 Concho Resources COMMON 20605P101 2014.4 40000 SOLE 40000 Conseco COMMON 208464883 1244 200000 SOLE 200000 Contango Oil and Gas COMMON 21075N204 1534.5 30000 SOLE 30000 Covanta Holdings COMMON 22282E102 2998.8 180000 SOLE 180000 Cybersource Corp COMMON 23251J106 4145.4 235000 SOLE 235000 Cybex Intl Inc COMMON 23252E106 486 300000 SOLE 300000 DR Horton COMMON 23331A109 2835 225000 SOLE 225000 Devon Energy COMMON 25179M103 2577.2 40000 SOLE 40000 Diana Shipping COMMON Y2066G104 3402 225000 SOLE 225000 Drugstore.com COMMON 262241102 3570 1000000 SOLE 1000000 EMAK Worldwide Inc COMMON 26861V104 475.31 318999 SOLE 318999 EMC Corp. COMMON 268648102 2164.8 120000 SOLE 120000 EOG Resources COMMON 26875P101 3017.76 32470 SOLE 32470 EZ Chip Semiconductor COMMON M4146Y108 555.38 28206 SOLE 28206 EZ Corp. COMMON 302301106 3502 170000 SOLE 170000 Echelon Corp COMMON 27874N105 224.25 25000 SOLE 25000 Ener 1 Inc COMMON 29267A203 283.8 60000 SOLE 60000 EnergyConnect Group COMMON 292748100 760.76 4004000 SOLE 4004000 Enersys COMMON 29275Y102 2835.9 115000 SOLE 115000 Entegris Inc COMMON 29362U104 504 100000 SOLE 100000 Ethan Allen Interiors COMMON 297602104 3094.5 150000 SOLE 150000 Expeditors Intl Washington COMMON 302130109 6645.6 180000 SOLE 180000 Finisar b COMMON 31787A101 2739.27 174365 SOLE 174365 Five Star Quality Care COMMON 33832d106 4656.13 1526600 SOLE 1526600 Flow Intl Corp b COMMON 343468104 1459.85 485000 SOLE 485000 Force Protection COMMON 345203202 3932.56 653250 SOLE 653250 Forest Oil Corp COMMON 346091705 645.5 25000 SOLE 25000 Forward Air Corp COMMON 349853101 2630 100000 SOLE 100000 GSE Systems Inc COMMON 36227K106 1283.25 237200 SOLE 237200 Genomic Health Inc COMMON 37244C101 1055.4 60000 SOLE 60000 GeoEye Inc COMMON 37250W108 885 30000 SOLE 30000 Global Traffic Network Inc COMMON 37947B103 7841.35 1457500 SOLE 1457500 Goldcorp Inc COMMON 380956409 3163.7 85000 SOLE 85000 Graftech Intl COMMON 384313102 1367 100000 SOLE 100000 Halliburton & Co. COMMON 406216101 1295.59 43000 SOLE 43000 Harris Ineractive Inc COMMON 414549105 3690.02 3049600 SOLE 3049600 Heckmann Corp COMMON 422680108 870 150000 SOLE 150000 Hewlett-Packard Co COMMON 428236103 5261.85 99000 SOLE 99000 Hollywood Media COMMON 436233100 2221.11 1882300 SOLE 1882300 Hutchinson Technology COMMON 448407106 690.14 110600 SOLE 110600 Imageware Sys COMMON 45245S108 2337.35 2785196 SOLE 2785196 Imageware Sys Cprf COMMON 452992100 3204 1000 SOLE 1000 Imageware Sys Dprf COMMON 452992290 1081.35 338 SOLE 338 Imergent Inc COMMON 45247Q100 6960.81 1034296 SOLE 1034296 Infinera Corp COMMON 45667G103 255.6 30000 SOLE 30000 Infospace.com COMMON 45678T201 2486.25 225000 SOLE 225000 Int'l Business Machines COMMON 459200101 222.21 1733 SOLE 1733 Integramed America COMMON 45810n302 5233.59 594051 SOLE 594051 Integratd Securty Sys COMMON 45812J101 28.52 5705000 SOLE 5705000 Intel Corp. COMMON 458140100 3339 150000 SOLE 150000 Intelligroup Inc COMMON 45816A106 5785.5 1450000 SOLE 1450000 InterClick Inc COMMON 458483203 1714.56 446500 SOLE 446500 Iteris Holdings Class A COMMON 46564T107 1120 560000 SOLE 560000 JB Hunt Trans Svs COMMON 445658107 6637.8 185000 SOLE 185000 JDA Software Group COMMON 46612K108 1162.88 41800 SOLE 41800 Jack In The Box COMMON 466367109 1413 60000 SOLE 60000 Jazz Pharmaceuticals COMMON 472147107 1090 100000 SOLE 100000 Just Energy Income Fund COMMON 48213T108 6958.72 495011 SOLE 495011 KVH Industries Inc COMMON 482738101 2638 200000 SOLE 200000 Kulicke & Soffa COMMON 501242101 1232.5 170000 SOLE 170000 LSI Corp. COMMON 502161102 5508 900000 SOLE 900000 Landstar System Inc COMMON 515098101 6716.8 160000 SOLE 160000 Lennar Corp COMMON 526057104 3872.25 225000 SOLE 225000 Lihua International COMMON 532352101 2948.62 321200 SOLE 321200 LogMein Inc COMMON 54142L109 2840.53 137290 SOLE 137290 Lowes Companies COMMON 548661107 3030 125000 SOLE 125000 MDC Partners Inc COMMON 552697104 13455 1300000 SOLE 1300000 MEMC Electronic Materials COMMON 552715104 1226.4 80000 SOLE 80000 MGIC Investment Corp COMMON 552848103 1919.75 175000 SOLE 175000 MSC Industrial Direct b COMMON 553530106 4559.4 90000 SOLE 90000 MYR Group Inc COMMON 55405W104 1631 100000 SOLE 100000 Majesco Entrtnmnt COMMON 560690208 801 900000 SOLE 900000 Market Vectors GOld Miners COMMON 57060U100 350.84 7900 SOLE 7900 Marten Transport COMMON 573075108 197.1 10000 SOLE 10000 Masco Corp. COMMON 574599106 2328 150000 SOLE 150000 Maxim Integrated Products COMMON 57772K101 3199.35 165000 SOLE 165000 Maxwell Technologies COMMON 577767106 6566.7 530000 SOLE 530000 Metalico Inc COMMON 591176102 2066.55 345000 SOLE 345000 Micron Technology Inc. COMMON 595112103 9870.5 950000 SOLE 950000 Microvision Inc. COMMON 594960106 620.4 220000 SOLE 220000 Money 4 Gold Holdings COMMON 60936N102 400 2000000 SOLE 2000000 Myriad Genetics Inc COMMON 62855J104 2164.5 90000 SOLE 90000 Nektar Therapeutics COMMON 640268108 2129.4 140000 SOLE 140000 Net 1 Ueps Tech Inc COMMON 64107N206 5512.03 299730 SOLE 299730 Netezza Corp COMMON 64111N101 2558 200000 SOLE 200000 Neurometrix Inc COMMON 641255104 3167.09 1737069 SOLE 1737069 Newfield Exploration COMMON 651290108 780.75 15000 SOLE 15000 Nova Measuring Instruments COMMON IL001084557 445.52 81300 SOLE 81300 Novellus Systems COMMON 670008101 1750 70000 SOLE 70000 Novint Tech COMMON 670085109 26.79 152663 SOLE 152663 Nuance Comm COMMON 67020Y100 11186.07 672240 SOLE 672240 ON Semiconductor COMMON 682189105 5600 700000 SOLE 700000 Occidental Petroleum COMMON 674599105 3381.6 40000 SOLE 40000 Oclaro Inc COMMON 09856E105 25953.4 9437600 SOLE 9437600 Old Dominion Freight COMMON 679580100 6678 200000 SOLE 200000 Omnivision Technologies COMMON 682128103 1718 100000 SOLE 100000 OnSite Energy COMMON 68284P108 85.54 1425601 SOLE 1425601 Oshkosh Truck COMMON 688239201 2420.4 60000 SOLE 60000 PMI Group Inc COMMON 69344M101 4336 800000 SOLE 800000 Penwest Pharmaceutical COMMON 709754105 2288.83 663430 SOLE 663430 Perma-Fix Envirn Serv COMMON 714157104 4838.4 2160000 SOLE 2160000 Petroleo Brasiliero ADR COMMON 71654V408 978.78 22000 SOLE 22000 Petroleo Brasiliero ADR COMMON 71654V101 1699.4 42925 SOLE 42925 Pharmathene Inc COMMON 71714G102 2024.03 1405575 SOLE 1405575 Photronics Inc. COMMON 719405102 763.5 150000 SOLE 150000 Pioneer Natural Resources COMMON 723787107 3379.2 60000 SOLE 60000 Power-One Inc COMMON 739308104 633 150000 SOLE 150000 PowerSecure COMMON 73936N105 10571.03 1341501 SOLE 1341501 Procera Networks COMMON 74269U104 820 2000000 SOLE 2000000 Proshares Ultra Short ConsumCOMMON 74347R636 609.4 20000 SOLE 20000 PureDepth COMMON 74622H105 93.24 2590000 SOLE 2590000 QKL STORES INC COMMON 74732Y105 1580.25 245000 SOLE 245000 QualComm COMMON 747525103 1679.6 40000 SOLE 40000 RF Micro Devices COMMON 749941100 747 150000 SOLE 150000 Radware LTD COMMON M81873107 2208 100000 SOLE 100000 Rambus COMMON 750917106 2949.75 135000 SOLE 135000 Redwood Trust COMMON 758075402 2323.79 150700 SOLE 150700 Remedent Inc COMMON 75954T104 444.5 1270000 SOLE 1270000 Resource Capital Corp COMMON 76120W302 1183 175000 SOLE 175000 Riverbed Tech COMMON 768573107 1488.16 52400 SOLE 52400 Rosetta Resources COMMON 777779307 942 40000 SOLE 40000 Royal Gold COMMON 780287108 6700.45 145000 SOLE 145000 SPDR Gold Trust ETF COMMON 863307104 3294.54 30239 SOLE 30239 Safeguard Scientifics Inc. COMMON 786449108 415.21 31939 SOLE 31939 Sapient Corp COMMON 803062108 8591.6 940000 SOLE 940000 Seracare Life Sciences COMMON 81747T104 3459.76 864939 SOLE 864939 Siga Tech COMMON 826917106 9925.11 1497000 SOLE 1497000 Sigma Designs COMMON 826565103 469.2 40000 SOLE 40000 Silicon Image Inc COMMON 82705T102 785.2 260000 SOLE 260000 Silver Wheaton Corp COMMON 828336107 6276 400000 SOLE 400000 Sinovac Biotech COMMON P8696W104 1773 300000 SOLE 300000 SmartHeat COMMON 83172F104 2341.32 218000 SOLE 218000 Solar Power COMMON 83490A100 2413.3 2487942 SOLE 2487942 Solarfun Power Holdings ADS COMMON 83415U108 585.75 75000 SOLE 75000 Sonic Wall Inc COMMON 835470105 695.2 80000 SOLE 80000 Standard Microsystem Corp COMMON 853626109 698.4 30000 SOLE 30000 Standard Pacific Corp COMMON 85375C101 6441 1425000 SOLE 1425000 Starr Surgical Co COMMON 852312305 382 100000 SOLE 100000 Starwood Property Tr COMMON 85571B105 405.3 21000 SOLE 21000 Sun Opta COMMON 8676EP108 23537.87 5671775 SOLE 5671775 Super Micro Computer b COMMON 86800U104 3196.8 185000 SOLE 185000 Supertex COMMON 868532102 10243.68 400300 SOLE 400300 Sybase Inc COMMON 871130100 4662 100000 SOLE 100000 TIBCO Software COMMON 88632Q103 2211.95 205000 SOLE 205000 Tekelec COMMON 879101103 726.4 40000 SOLE 40000 Telecomm System COMMON 87929J103 5277.6 720000 SOLE 720000 Telvent GIT SA COMMON E90215109 3451.2 120000 SOLE 120000 Terremark Worldwide Inc COMMON 881448203 1402 200000 SOLE 200000 Thermogenesis Corp COMMON 883623209 3835.46 5478449 SOLE 5478449 Toll Brothers COMMON 889478103 1560 75000 SOLE 75000 Towerstream Corp COMMON 892000100 561.71 374475 SOLE 374475 UQM Technologies COMMON 903213106 421 100000 SOLE 100000 USX US Steel Group COMMON 912909108 3176 50000 SOLE 50000 Vaxgen Inc COMMON 922390208 2003.45 5137050 SOLE 5137050 Viasat COMMON 92552v100 1038.3 30000 SOLE 30000 Virage Logic Corp COMMON 92763R104 3694.2 470000 SOLE 470000 Wave Systems Class A COMMON 943526301 1692.64 423159 SOLE 423159 Wendy's COMMON 950590109 1750 350000 SOLE 350000 Whirlpool COMMON 963320106 3053.75 35000 SOLE 35000 Winner Medical Group COMMON 97476p204 855.4 122200 SOLE 122200 Wireless Ronin Technologies COMMON 97652A203 299.25 119700 SOLE 119700 Wonder Auto Technology COMMON 978166106 2380.5 225000 SOLE 225000 Yahoo COMMON 984332106 2479.5 150000 SOLE 150000 Zoran COMMON 98975F101 1614 150000 SOLE 150000
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