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
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