0000909450-11-000034.txt : 20111114
0000909450-11-000034.hdr.sgml : 20111111
20111114145638
ACCESSION NUMBER: 0000909450-11-000034
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110930
FILED AS OF DATE: 20111114
DATE AS OF CHANGE: 20111114
EFFECTIVENESS DATE: 20111114
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: 111201387
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
q31113f.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, 2011
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
/s/ Elizabeth Giorgis
_________________________
San Francisco, CA
November 14, 2011
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 165
Form 13F Information Table Value Total: 405,500
List of Other Included Managers: NONE
Gruber & McBaine Capital Management, LLC
50 Osgood Place, Penthouse
San Francisco, CA 94133
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
-------------------------------- -------------- --------- ------- --------------------- -------- -------- ---------------------
Title of Value Shares/ Sh/ Put/ Invstmnt Other Voting Authority
Name of Issuer Class Cusip (x$1000) Prn Amt Prn Call Dscretn Mngrs Sole Shared None
-------------------------------- -------------- --------- ------- -------- ------ ---- -------- -------- --------- ------ ----
AU Optronics COM 002255107 594 150000 SH SOLE 150000
Acme Packet Inc COM 004764106 2981 70000 SH SOLE 70000
Actuate Corp COM 00508B102 4828 874600 SH SOLE 874600
Adept Tech COM 006854202 1950 600000 SH SOLE 600000
Advanced Energy COM 007973100 3103 360000 SH SOLE 360000
Akorn Inc COM 009728106 781 100000 SH SOLE 100000
Alcatel Lucent ADR COM 013904305 13443 4750000 SH SOLE 4750000
Alcoa COM 013817101 1436 150000 SH SOLE 150000
Allegheny Tech COM 01741R102 4439 120000 SH SOLE 120000
Amerigon Inc COM 03070L300 1908 149920 SH SOLE 149920
Ann Taylor Stores COM 036115103 2855 125000 SH SOLE 125000
Approach Resources Inc COM 03834A103 221 13000 SH SOLE 13000
Aspen Technology COM 045327103 2291 150000 SH SOLE 150000
Atlas Air Worldwide Holdings COM 049164205 999 30000 SH SOLE 30000
Bancorp Bank COM 05969A105 1205 168300 SH SOLE 168300
Be Aerospace COM 073302101 1656 50000 SH SOLE 50000
BioScrip Inc COM 09069N108 12847 2020000 SH SOLE 2020000
Boeing COM 097023105 3631 60000 SH SOLE 60000
Brightpoint Inc COM 109473405 2339 254000 SH SOLE 254000
Cabela's Inc COM 126804301 3483 170000 SH SOLE 170000
Calgon Carbon Corp COM 129603106 3861 265000 SH SOLE 265000
Calpine Corp COM 131347304 2840 201700 SH SOLE 201700
Celanese Corp COM 150870103 3253 100000 SH SOLE 100000
Ceragon Networks COM 1L00108516 621 65000 SH SOLE 65000
Chicos Fas Inc COM 168615102 686 60000 SH SOLE 60000
China Electric Motor COM 16890A205 5 34000 SH SOLE 34000
Ciena Corp COM 171779309 1680 150000 SH SOLE 150000
Clearwire Corp Class A COM 185385309 1165 500000 SH SOLE 500000
Codexis Inc COM 192005106 2282 499400 SH SOLE 499400
Cogo Group COM 192448108 2130 1000000 SH SOLE 1000000
Compuware COM 205638109 1915 250000 SH SOLE 250000
Covanta Holdings COM 22282E102 2658 175000 SH SOLE 175000
Danaos Corp COM Y1968P105 121 36990 SH SOLE 36990
Darling Intl Inc COM 237266101 1259 100000 SH SOLE 100000
DiaDexus Inc COM 922390208 210 808952 SH SOLE 808952
Digitalglobe COM 25389M877 709 36500 SH SOLE 36500
Dycom COM 267475101 2831 185000 SH SOLE 185000
E Trade Financial COM 269246401 456 50000 SH SOLE 50000
EMAK Holdings inc COM 26861V104 9 854599 SH SOLE 854599
EOG Resources COM 26875P101 1065 15000 SH SOLE 15000
Echelon Corp COM 27874N105 351 50000 SH SOLE 50000
Ecotality Inc COM 27922Y202 1870 1000000 SH SOLE 1000000
Elster Group SE ADS COM 290348101 1121 75000 SH SOLE 75000
Emulex COM 292475209 895 139800 SH SOLE 139800
F5 Networks COM 315616102 1421 20000 SH SOLE 20000
FSI International COM 302633102 661 349490 SH SOLE 349490
FX Energy Inc COM 302695101 1033 250000 SH SOLE 250000
Fabrinet COM G3323L100 4552 243400 SH SOLE 243400
First Commonwealth Financial COM 319829107 278 75000 SH SOLE 75000
Five Star Quality Care COM 33832d106 3030 1211855 SH SOLE 1211855
Forward Air Corp COM 349853101 382 15000 SH SOLE 15000
GATX Corp. COM 361448103 1550 50000 SH SOLE 50000
GeoEye Inc COM 37250W108 1418 50000 SH SOLE 50000
Globe Specialty Metals Inc COM 37954N206 1452 100000 SH SOLE 100000
Halliburton & Co. COM 406216101 1984 65000 SH SOLE 65000
Hanger Orthopedic COM 41043F208 378 20000 SH SOLE 20000
Harbin Electric Inc COM 41145W109 10335 500500 SH SOLE 500500
Harmonic Inc COM 413160102 763 179200 SH SOLE 179200
Harris Interactive Inc COM 414549105 1297 2647049 SH SOLE 2647049
Hawaiian Holdings COM 419879101 842 200000 SH SOLE 200000
Heckmann Corp COM 422680108 2830 535000 SH SOLE 535000
Hertz Global Holdings COM 42805T105 4891 549600 SH SOLE 549600
Hewlett-Packard Co COM 428236103 1123 50000 SH SOLE 50000
INPHI Corp COM 45772F107 439 50000 SH SOLE 50000
Identive Group COM 45170X106 1791 900000 SH SOLE 900000
Imageware Sys COM 45245S108 1790 2752476 SH SOLE 2752476
Imageware Sys Cprf COM 452992100 2484 1000 SH SOLE 1000
Imageware Sys Dprf COM 452992290 838 338 SH SOLE 338
Int'l Business Machines COM 459200101 303 1733 SH SOLE 1733
InterClick Inc COM 458483203 3053 550000 SH SOLE 550000
Iridium Communications COM 46269C102 1859 299900 SH SOLE 299900
Jack In The Box COM 466367109 2689 135000 SH SOLE 135000
Just Energy Income Fund COM 48213T108 4969 520000 SH SOLE 520000
K B R Inc COM 48242W106 945 40000 SH SOLE 40000
KVH Industries Inc COM 482738101 1361 172000 SH SOLE 172000
Kansas City Southern City COM 485170302 2998 60000 SH SOLE 60000
Liberty Global COM 530555309 2826 81640 SH SOLE 81640
Life Time Fitness Inc COM 53217R207 1658 45000 SH SOLE 45000
Lighting Scnce Grp COM 53224G301 195 73646 SH SOLE 73646
Lihua International COM 532352101 8761 2014135 SH SOLE 2014135
MAXLINEAR, INC COM 57776J100 194 30000 SH SOLE 30000
MDC Partners Inc COM 552697104 21980 1524252 SH SOLE 1524252
MI Developments Inc Class A COM 55304X104 4646 175000 SH SOLE 175000
MYR Group Inc COM 55405W104 1748 99100 SH SOLE 99100
Magma Design Automation COM 559181102 8418 1850000 SH SOLE 1850000
Magnachip Semiconductor Corp COM 55933J203 672 100000 SH SOLE 100000
Marten Transport COM 573075108 690 40000 SH SOLE 40000
Marvell Technologies COM G5876H105 2906 200000 SH SOLE 200000
Mastec COM 576323109 12063 685000 SH SOLE 685000
Maxwell Technologies COM 577767106 5413 294000 SH SOLE 294000
Molycorp Inc COM 608753109 2794 85000 SH SOLE 85000
NCI Buiding Systems COM 628852204 454 60000 SH SOLE 60000
NetApp Inc / Network Appliance COM 64120L104 2715 80000 SH SOLE 80000
Network Equipment Technologies COM 641208103 527 271400 SH SOLE 271400
Newfield Exploration COM 651290108 2183 55000 SH SOLE 55000
Nova Measuring Instruments COM M7516K103 510 95000 SH SOLE 95000
Novatel Wireless COM 66987M604 30 10000 SH SOLE 10000
Novint Tech COM 670085109 85 947077 SH SOLE 947077
Nuance Comm COM 67020Y100 12318 605000 SH SOLE 605000
OCZ Technology Group COM 67086E303 8970 1849543 SH SOLE 1849543
OSI Systems COM 671044105 1006 30000 SH SOLE 30000
Occidental Petroleum COM 674599105 2002 28000 SH SOLE 28000
Oclaro Inc COM 09856E105 3360 923201 SH SOLE 923201
Odyssey Marine Exploration COM 676118102 4730 1922600 SH SOLE 1922600
Omnivision Technologies COM 682128103 842 60000 SH SOLE 60000
OnSite Energy COM 68284P108 53 1323729 SH SOLE 1323729
Opko Health Inc COM 68375N103 1296 299200 SH SOLE 299200
Overland Storage COM 690310107 3400 1405000 SH SOLE 1405000
PC-Tel Inc COM 69325Q105 431 70000 SH SOLE 70000
Panhandle Oil and Gas Inc COM 718910102 284 10000 SH SOLE 10000
Peabody Energy COM 704549104 847 25000 SH SOLE 25000
Perma-Fix Envirn Serv COM 714157104 2952 2460000 SH SOLE 2460000
Pharmathene Inc COM 71714G102 1983 1126473 SH SOLE 1126473
Pilgrim's Pride COM 72147K108 641 150000 SH SOLE 150000
Pioneer Natural Resources COM 723787107 2039 31000 SH SOLE 31000
Points Intl COM 693262107 784 80000 SH SOLE 80000
Polypore Intl COM 73179V103 1696 30000 SH SOLE 30000
PowerSecure COM 73936N105 8723 1844145 SH SOLE 1844145
Primo Water Corp COM 74165N105 282 50000 SH SOLE 50000
Procera Networks direct reg COM 74269U104 4086 425600 SH SOLE 425600
Proshares Ultra Short Consumer COM 74347R636 527 25000 SH SOLE 25000
QualComm COM 747525103 5349 110000 SH SOLE 110000
Quality Distribution Inc COM 74756M102 1305 145450 SH SOLE 145450
Quanta Services COM 74762E102 1221 65000 SH SOLE 65000
Range Resources Corp COM 75281A109 877 15000 SH SOLE 15000
Remedent Inc COM 75954T104 232 810000 SH SOLE 810000
Riverbed Tech COM 768573107 3892 195000 SH SOLE 195000
Rosetta Resources COM 777779307 513 15000 SH SOLE 15000
Rush Enterprises COM 781846209 991 70000 SH SOLE 70000
Sapient Corp COM 803062108 7043 694600 SH SOLE 694600
ShoreTel Inc COM 825211105 1892 380000 SH SOLE 380000
Siga Tech COM 826917106 5352 1636695 SH SOLE 1636695
Silicon Graphics COM 827056102 2980 250000 SH SOLE 250000
SmartHeat COM 83172F104 389 580000 SH SOLE 580000
Solar Power COM 83490A100 796 2486982 SH SOLE 2486982
Southwestern Energy Comp COM 845467109 833 25000 SH SOLE 25000
Spreadtrum Communications COM 849415203 1077 60000 SH SOLE 60000
Sun Opta COM 8676EP108 16151 3276000 SH SOLE 3276000
Supertex COM 868532102 727 42000 SH SOLE 42000
TMS Intl COM 87261Q103 1820 250000 SH SOLE 250000
Telecomm System COM 87929J103 2588 750000 SH SOLE 750000
Tesla Motors Inc COM 88160R101 976 40000 SH SOLE 40000
Thermogenesis Corp COM 883623209 798 643236 SH SOLE 643236
Three D Systems COM 88554D205 560 40000 SH SOLE 40000
Titan International COM 88830M102 2400 160000 SH SOLE 160000
Titan Machinery Inc COM 88830R101 985 55000 SH SOLE 55000
Toreador Royalty COM 891041105 153 49950 SH SOLE 49950
Towerstream Corp COM 892000100 1536 600000 SH SOLE 600000
Trinity Industry COM 896522109 1713 80000 SH SOLE 80000
Triumph Group COM 896818101 975 20000 SH SOLE 20000
Tronox Inc COM 897051306 546 7000 SH SOLE 7000
Trunkbow Intl Holdings COM 89818A102 685 308650 SH SOLE 308650
USA Tech COM 90328S500 611 505300 SH SOLE 505300
UTStarcom Inc COM 918076100 449 440400 SH SOLE 440400
Ultratech Inc COM 904034105 1972 115000 SH SOLE 115000
Uni-Pixel Inc COM 904572203 99 20075 SH SOLE 20075
Unit Corp. COM 909218109 3692 100000 SH SOLE 100000
United Continental Holdings COM 910047109 7752 400000 SH SOLE 400000
Viasat COM 92552v100 1332 40000 SH SOLE 40000
Vitesse COM 928497106 221 75000 SH SOLE 75000
Wave Systems Class A COM 943526301 686 293083 SH SOLE 293083
Web.com Group Inc COM 94733A104 2096 300250 SH SOLE 300250
Western Digital Corp. COM 958102105 1286 50000 SH SOLE 50000
Westport Innovations COM 960908309 3184 110050 SH SOLE 110050
Zagg Inc COM 98884U108 3333 336000 SH SOLE 336000
SM\M-CORP\IA-13/16\1028307.01