-----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, HDZniNglmDRAc+cBL7An54GygHGyAVpDXZHNecoa4ciYXC1luiOqxPnYrRD16v2t gv+kHiDAnTD9EuBJn5v6zg== 0000909450-10-000046.txt : 20101116 0000909450-10-000046.hdr.sgml : 20101116 20101116170622 ACCESSION NUMBER: 0000909450-10-000046 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101116 DATE AS OF CHANGE: 20101116 EFFECTIVENESS DATE: 20101116 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: 101197234 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 q31013f.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, 2010 Check here if Amendment: _x_; Amendment Number: __ This Amendment (Check only one.) _x_ 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 16, 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: ____178____ Form 13F Information Table Value Total: __567,820__ __ _ _ 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 Acme Packet Inc COMMON STOCK 004764106 6165 162500 SOLE 162500 Adept Tech COMMON STOCK 006854202 3448 590481 SOLE 590481 Advanced Energy COMMON STOCK 007973100 6204 475000 SOLE 475000 Akorn Inc COMMON STOCK 009728106 16160 4000000 SOLE 4000000 Alaska Air Group COMMON STOCK 011659109 3827 75000 SOLE 75000 Alcatel Lucent ADR COMMON STOCK 013904305 5829 1724500 SOLE 1724500 Alpha Natural Resources COMMON STOCK 02076X102 823 20000 SOLE 20000 Altera Corp. COMMON STOCK 021441100 1206 40000 SOLE 40000 American Water Works COMMON STOCK 030420103 3491 150000 SOLE 150000 Apple Inc. COMMON STOCK 037833100 1703 6000 SOLE 6000 Approach Resources Inc COMMON STOCK 03834A103 447 40000 SOLE 40000 Aspen Technology COMMON STOCK 045327103 933 90000 SOLE 90000 AutoChina Intl LTD COMMON STOCK G06750106 3713 152000 SOLE 152000 BMC Software COMMON STOCK 055921100 2631 65000 SOLE 65000 Bancorp Bank COMMON STOCK 05969A105 3241 484403 SOLE 484403 BioScrip Inc COMMON STOCK 09069N108 7817 1515000 SOLE 1515000 Boeing COMMON STOCK 097023105 1331 20000 SOLE 20000 Brightpoint Inc COMMON STOCK 109473405 2586 370000 SOLE 370000 CNO Financial Grp COMMON STOCK 208464883 1496 270000 SOLE 270000 CNOOC Ltd adr COMMON STOCK 126132109 437 2250 SOLE 2250 Cabela's Inc COMMON STOCK 126804301 3796 200000 SOLE 200000 Calgon Carbon Corp COMMON STOCK 129603106 4713 325000 SOLE 325000 Calpine Corp COMMON STOCK 131347304 8093 650000 SOLE 650000 Cameco Co COMMON STOCK 13321L108 1109 40000 SOLE 40000 Cameron Intl Corp COMMON STOCK 132632100 1095 25500 SOLE 25500 Carbo Ceramics Inc COMMON STOCK 140781105 324 4000 SOLE 4000 Cavium Networks Inc COMMON STOCK 14965A101 4314 150000 SOLE 150000 Center Financial COMMON STOCK 15146E102 204 40000 SOLE 40000 Central Fund of Canada COMMON STOCK 153501101 4568 275000 SOLE 275000 China Electric Motor COMMON STOCK 16890A205 1350 300000 SOLE 300000 Clarient COMMON STOCK 180489106 2283 675359 SOLE 675359 Clearwire Corp Class A COMMON STOCK 185385309 2427 300000 SOLE 300000 CoStar Group COMMON STOCK 22160n109 244 5000 SOLE 5000 Codexis Inc COMMON STOCK 192005106 1088 113300 SOLE 113300 Cogo Group COMMON STOCK 192448108 4475 724100 SOLE 724100 Coherent Inc. COMMON STOCK 192479103 1800 45000 SOLE 45000 Collective Brands Inc COMMON STOCK 704379106 2260 140000 SOLE 140000 Comarco Inc. COMMON STOCK 200080109 1219 541589 SOLE 541589 Comverse Technology COMMON STOCK 205862402 1077 160000 SOLE 160000 Concho Resources COMMON STOCK 20605P101 1926 29110 SOLE 29110 Corporate Executive Board COMMON STOCK 21988r102 6757 214100 SOLE 214100 Covanta Holdings COMMON STOCK 22282E102 2363 150000 SOLE 150000 Cybex Intl Inc COMMON STOCK 23252E106 446 282300 SOLE 282300 Darling Intl Inc COMMON STOCK 237266101 852 100000 SOLE 100000 Drugstore.com COMMON STOCK 262241102 4070 2120000 SOLE 2120000 EMAK Worldwide Inc COMMON STOCK 26861V104 79 528999 SOLE 528999 EZ Chip Semiconductor COMMON STOCK M4146Y108 1768 70000 SOLE 70000 EnergyConnect Group COMMON STOCK 292748100 765 4637000 SOLE 4637000 Entegris Inc COMMON STOCK 29362U104 810 173500 SOLE 173500 Entropic Communications Inc COMMON STOCK 29384R105 2352 245000 SOLE 245000 Expeditors Intl Washington COMMON STOCK 302130109 2767 59845 SOLE 59845 Exxon Mobile Corp COMMON STOCK 30231G102 680 11000 SOLE 11000 Fabrinet COMMON STOCK G3323L100 5211 329400 SOLE 329400 Finisar COMMON STOCK 31787A101 2819 150000 SOLE 150000 Five Star Quality Care COMMON STOCK 33832d106 6164 1220600 SOLE 1220600 Flow Intl Corp COMMON STOCK 343468104 1039 395000 SOLE 395000 Geo Group COMMON STOCK 36159R103 374 16000 SOLE 16000 GeoEye Inc COMMON STOCK 37250W108 1214 30000 SOLE 30000 Global Traffic Network Inc COMMON STOCK 37947B103 7751 1541000 SOLE 1541000 Graftech Intl COMMON STOCK 384313102 1485 95000 SOLE 95000 Halliburton & Co. COMMON STOCK 406216101 2315 70000 SOLE 70000 Harbin Electric Inc COMMON STOCK 41145W109 3220 180000 SOLE 180000 Harmonic Inc COMMON STOCK 413160102 1170 170000 SOLE 170000 Harris Ineractive Inc COMMON STOCK 414549105 3241 3447999 SOLE 3447999 Heckmann Corp COMMON STOCK 422680108 741 190000 SOLE 190000 Helmerich and Payne COMMON STOCK 423452101 202 5000 SOLE 5000 Hollywood Media COMMON STOCK 436233100 1300 1057300 SOLE 1057300 Huntsman Corp COMMON STOCK 447011107 3468 300000 SOLE 300000 Imageware Sys COMMON STOCK 45245S108 788 2785196 SOLE 2785196 Imageware Sys Cprf COMMON STOCK 452992100 1080 1000 SOLE 1000 Imageware Sys Dprf COMMON STOCK 452992290 365 337.5 SOLE 338 Infospace.com COMMON STOCK 45678T201 3066 354000 SOLE 354000 Int'l Business Machines COMMON STOCK 459200101 232 1733 SOLE 1733 Integramed America COMMON STOCK 45810n302 5428 578697 SOLE 578697 InterClick Inc COMMON STOCK 458483203 2168 534000 SOLE 534000 Iteris Holdings Class A COMMON STOCK 46564T107 642 434090 SOLE 434090 JDA Software Group COMMON STOCK 46612K108 1775 70000 SOLE 70000 Jazz Pharmaceuticals COMMON STOCK 472147107 2470 230200 SOLE 230200 Just Energy Income Fund COMMON STOCK 48213T108 6733 472900 SOLE 472900 KVH Industries Inc COMMON STOCK 482738101 2702 180000 SOLE 180000 Kaiser Aluminum COMMON STOCK 483007704 1712 40000 SOLE 40000 LSI Corp. COMMON STOCK 502161102 742 162690 SOLE 162690 LTX-Credence Corp COMMON STOCK 502403207 1568 750000 SOLE 750000 Lennar Corp COMMON STOCK 526057104 4999 325000 SOLE 325000 Lihua International COMMON STOCK 532352101 11336 1308955 SOLE 1308955 LyondellBasell Industries NVCOMMON STOCK N53745100 4422 185000 SOLE 185000 MDC Partners Inc COMMON STOCK 552697104 17153 1282955 SOLE 1282955 MEMC Electronic Materials COMMON STOCK 552715104 1192 100000 SOLE 100000 MGIC Investment Corp COMMON STOCK 552848103 4615 500010 SOLE 500010 MSC Industrial Direct COMMON STOCK 553530106 2427 44910 SOLE 44910 MYR Group Inc COMMON STOCK 55405W104 928 56600 SOLE 56600 Magma Design Automation COMMON STOCK 559181102 1665 450000 SOLE 450000 Majesco Entrtnmnt COMMON STOCK 560690208 528 800000 SOLE 800000 Market Vectors Gold Miners COMMON STOCK 57060U100 3070 54886 SOLE 54886 Maxim Integrated Products COMMON STOCK 57772K101 1666 90000 SOLE 90000 Maxwell Technologies COMMON STOCK 577767106 8345 571190 SOLE 571190 Metalico Inc COMMON STOCK 591176102 383 100000 SOLE 100000 Micron Technology Inc. COMMON STOCK 595112103 3966 550000 SOLE 550000 Microsoft COMMON STOCK 594918104 980 40000 SOLE 40000 Microvision Inc. COMMON STOCK 594960106 169 77100 SOLE 77100 Multi Fineline Electronics COMMON STOCK 62541B101 660 30000 SOLE 30000 Nektar Therapeutics COMMON STOCK 640268108 5170 350000 SOLE 350000 Net 1 Ueps Tech Inc COMMON STOCK 64107N206 1294 111900 SOLE 111900 Netezza Corp b COMMON STOCK 64111N101 3077 114170 SOLE 114170 Neurometrix Inc COMMON STOCK 641255104 803 1367169 SOLE 1367169 Newfield Exploration COMMON STOCK 651290108 862 15000 SOLE 15000 Nova Measuring Instruments COMMON STOCK M7516K103 417 70000 SOLE 70000 Novellus Systems COMMON STOCK 670008101 1595 60000 SOLE 60000 Novint Tech COMMON STOCK 670085109 12 152663 SOLE 152663 Nuance Comm COMMON STOCK 67020Y100 10514 672240 SOLE 672240 ON Semiconductor COMMON STOCK 682189105 2884 400000 SOLE 400000 OSI Systems COMMON STOCK 671044105 1090 30000 SOLE 30000 Occidental Petroleum COMMON STOCK 674599105 3132 40000 SOLE 40000 Oclaro Inc COMMON STOCK 09856E105 31207 1949200 SOLE 1949200 Old Dominion Freight COMMON STOCK 679580100 2542 100000 SOLE 100000 Omnivision Technologies COMMON STOCK 682128103 2304 100000 SOLE 100000 OnSite Energy Corp. COMMON STOCK 68284P108 71 1425601 SOLE 1425601 Oshkosh Truck COMMON STOCK 688239201 2124 77250 SOLE 77250 PMI Group Inc COMMON STOCK 69344M101 4771 1300100 SOLE 1300100 Perma-Fix Envirn Serv COMMON STOCK 714157104 4081 2443500 SOLE 2443500 Pharmathene Inc COMMON STOCK 71714G102 1671 1128773 SOLE 1128773 Photronics Inc. COMMON STOCK 719405102 529 100000 SOLE 100000 Pioneer Natural Resources COMMON STOCK 723787107 2016 31000 SOLE 31000 Plum Creek Timber Company COMMON STOCK 729251108 4932 139720 SOLE 139720 Polypore Intl COMMON STOCK 73179V103 3076 102000 SOLE 102000 PowerSecure COMMON STOCK 73936N105 16385 1769400 SOLE 1769400 Procera Networks direct reg COMMON STOCK 74269U104 1030 1943260 SOLE 1943260 Proshares Ultra Short ConsumCOMMON STOCK 74347R636 682 25000 SOLE 25000 PureDepth COMMON STOCK 74622H105 26 2590000 SOLE 2590000 QKL STORES INC COMMON STOCK 74732Y105 1060 220000 SOLE 220000 Quantum Corp-DLT & Storage SCOMMON STOCK 747906204 1272 600000 SOLE 600000 RF Micro Devices COMMON STOCK 749941100 2456 400000 SOLE 400000 Radware LTD COMMON STOCK M81873107 3333 97000 SOLE 97000 Redwood Trust COMMON STOCK 758075402 5435 375890 SOLE 375890 Remedent Inc COMMON STOCK 75954T104 445 1270000 SOLE 1270000 Resource Capital Corp COMMON STOCK 76120W302 4314 679355 SOLE 679355 Roadrunner Transportation SyCOMMON STOCK 76973Q105 2168 200000 SOLE 200000 Rosetta Resources COMMON STOCK 777779307 2607 111000 SOLE 111000 Royal Gold COMMON STOCK 780287108 5482 110000 SOLE 110000 SPDR Gold Trust ETF COMMON STOCK 863307104 3211 25100 SOLE 25100 Safeguard Scientifics Inc. COMMON STOCK 786449108 501 40000 SOLE 40000 Sapient Corp COMMON STOCK 803062108 10294 860000 SOLE 860000 Savvis Communications COMMON STOCK 805423100 422 20000 SOLE 20000 Semtech COMMON STOCK 816850101 404 20000 SOLE 20000 Seracare Life Sciences COMMON STOCK 81747T104 2445 667900 SOLE 667900 ShoreTel Inc COMMON STOCK 825211105 213 43000 SOLE 43000 Siga Tech COMMON STOCK 826917106 13434 1588000 SOLE 1588000 Sigma Designs COMMON STOCK 826565103 1034 90000 SOLE 90000 Silver Wheaton Corp COMMON STOCK 828336107 7995 300000 SOLE 300000 SmartHeat COMMON STOCK 83172F104 4493 720000 SOLE 720000 Smith Micro Software COMMON STOCK 832154108 1590 160000 SOLE 160000 Solar Power COMMON STOCK 83490A100 572 2487942 SOLE 2487942 Standard Pacific Corp COMMON STOCK 85375C101 3176 800000 SOLE 800000 Sun Opta COMMON STOCK 8676EP108 30177 4955200 SOLE 4955200 Super Micro Computer COMMON STOCK 86800U104 873 84000 SOLE 84000 Superconductor Technologies COMMON STOCK 867931107 85 50000 SOLE 50000 Supertex COMMON STOCK 868532102 7255 328000 SOLE 328000 TIBCO Software COMMON STOCK 88632Q103 3282 185000 SOLE 185000 Telecomm System COMMON STOCK 87929J103 2685 686750 SOLE 686750 Terremark Worldwide Inc COMMON STOCK 881448203 3102 300000 SOLE 300000 Thermogenesis Corp COMMON STOCK 883623209 4068 1397950 SOLE 1397950 Titan International COMMON STOCK 88830M102 1018 75000 SOLE 75000 Titan Machinery Inc COMMON STOCK 88830R101 1467 90000 SOLE 90000 Toreador Royalty COMMON STOCK 891041105 2460 220000 SOLE 220000 TriQuint Semiconductor COMMON STOCK 89674K103 5280 550000 SOLE 550000 Trina Solar ADR COMMON STOCK 89628E104 3773 125000 SOLE 125000 UAL Corp COMMON STOCK 910047109 5908 250000 SOLE 250000 Unit Corp. COMMON STOCK 909218109 2983 80000 SOLE 80000 Utilities Select Sector SPDRCOMMON STOCK 81369Y886 470 15000 SOLE 15000 Vaxgen Inc COMMON STOCK 922390208 1444 5137050 SOLE 5137050 Verisk Analytics Inc Class ACOMMON STOCK 92345Y106 6778 242000 SOLE 242000 Viasat COMMON STOCK 92552v100 1644 40000 SOLE 40000 Vitesse COMMON STOCK 928497106 713 197500 SOLE 197500 Wabash National COMMON STOCK 929566107 2832 350000 SOLE 350000 Wave Systems Class A COMMON STOCK 943526301 148 66000 SOLE 66000 Winner Medical Group COMMON STOCK 97476p204 1175 250000 SOLE 250000 Wonder Auto Technology COMMON STOCK 978166106 2340 275000 SOLE 275000 Yahoo COMMON STOCK 984332106 1965 138700 SOLE 138700
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