0000909450-13-000001.txt : 20130201 0000909450-13-000001.hdr.sgml : 20130201 20130131192607 ACCESSION NUMBER: 0000909450-13-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130201 DATE AS OF CHANGE: 20130131 EFFECTIVENESS DATE: 20130201 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: 13564279 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 q41213f.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: December 31, 2012 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 January 31, 2013 Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 151 Form 13F Information Table Value Total: 270,825 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 -------------------------------- -------------- --------- ------- -------- ------ ---- -------- -------- --------- ------ ---- ADA-ES Inc COM 005208103 999 59181 SH SOLE 59181 Acquity Group Limited COM 00489C103 520 67435 SH SOLE 67435 Adept Tech COM 006854202 755 289439 SH SOLE 289439 Adtran Inc. COM 00738a106 977 50000 SH SOLE 50000 Alcatel Lucent ADR COM 013904305 2113 1520226 SH SOLE 1520226 Altera Corp. COM 021441100 1205 35000 SH SOLE 35000 American Vanguard Corp COM 030371108 1743 56102 SH SOLE 56102 Ann Taylor Stores COM 036115103 508 15000 SH SOLE 15000 Apple Inc. B COM 037833100 2665 5000 SH SOLE 5000 Approach Resources Inc COM 03834A103 846 33837 SH SOLE 33837 Aruba Networks COM 043176106 1830 88193 SH SOLE 88193 Bancorp Bank COM 05969A105 1180 107529 SH SOLE 107529 Be Aerospace COM 073302101 2466 49925 SH SOLE 49925 BioScrip Inc COM 09069N108 3109 288709 SH SOLE 288709 Body Central Corp COM 09689u102 598 60000 SH SOLE 60000 Brookfield Residential Propert COM 11283W104 1435 79982 SH SOLE 79982 Calavo Growers COM 128246105 378 15000 SH SOLE 15000 Calix Inc COM 13100M509 809 105232 SH SOLE 105232 Callidus Software COM 13123E500 848 186862 SH SOLE 186862 Calpine Corp COM 131347304 1267 69885 SH SOLE 69885 Celadon Group COM 150838100 1213 67106 SH SOLE 67106 Celanese Corp COM 150870103 3363 75523 SH SOLE 75523 Central Fund of Canada COM 153501101 419 19930 SH SOLE 19930 ChipMos Tech BU LTD COM G2110R106 611 52500 SH SOLE 52500 Cisco COM 17275R102 3348 170376 SH SOLE 170376 Cogo Group COM 192448108 1412 650829 SH SOLE 650829 Compuware COM 205638109 2831 260409 SH SOLE 260409 Conns Inc COM 208242107 3036 98951 SH SOLE 98951 Corning COM 219350105 505 40000 SH SOLE 40000 Covanta Holdings COM 22282E102 1278 69388 SH SOLE 69388 Demand Media COM 24802N109 340 36563 SH SOLE 36563 Diamond Offshore Drilling COM 25271C102 918 13510 SH SOLE 13510 Dycom COM 267475101 3006 151801 SH SOLE 151801 EMAK Holdings inc COM 26861V104 8 791281 SH SOLE 791281 EOG Resources COM 26875P101 2455 20326 SH SOLE 20326 Ecotality Inc COM 27922Y202 338 803173 SH SOLE 803173 Emcore Corp COM 290846104 1374 319533 SH SOLE 319533 Emulex Corp COM 292475209 2435 333495 SH SOLE 333495 Energen Corp COM 29265N108 494 10959 SH SOLE 10959 Ensco Intl Inc. COM 26874Q100 760 12827 SH SOLE 12827 Entropic Communications Inc COM 29384R105 265 50000 SH SOLE 50000 Extreme Networks COM 30226d106 1855 509536 SH SOLE 509536 F5 Networks COM 315616102 2355 24236 SH SOLE 24236 FLowers Foods Inc COM 343498101 465 20000 SH SOLE 20000 FX Energy Inc COM 302695101 267 65000 SH SOLE 65000 Fabrinet COM G3323L100 1572 119635 SH SOLE 119635 Falcon Software Inc COM 306137100 35 15000 SH SOLE 15000 Five Star Quality Care COM 33832d106 3831 764748 SH SOLE 764748 GSE Holdings COM 36191X100 623 100503 SH SOLE 100503 General Cable Corp COM 369300108 2056 67616 SH SOLE 67616 Gentex Corporation COM 371901109 753 40000 SH SOLE 40000 Gentherm COM 03070L300 2596 195159 SH SOLE 195159 Gevo Inc COM 374396109 184 119352 SH SOLE 119352 Great Lakes Dredge & Dry Dock COM 390607109 536 60000 SH SOLE 60000 Harmonic Inc COM 413160102 257 50603 SH SOLE 50603 Hawaiian Holdings COM 419879101 2780 423061 SH SOLE 423061 Headwaters Inc COM 42210P102 1975 230726 SH SOLE 230726 Hertz Global Holdings COM 42805T105 7183 441508 SH SOLE 441508 Himax Technologies COM 43289P106 3255 1356172 SH SOLE 1356172 Identive Group COM 45170X106 778 518700 SH SOLE 518700 Imageware Sys COM 45245S108 7909 10216860 SH SOLE 10216860 Int'l Business Machines COM 459200101 332 1733 SH SOLE 1733 Int'l Rectifier COM 460254105 709 40000 SH SOLE 40000 Integrated Device Technology COM 458118106 1555 212995 SH SOLE 212995 InvenSense Inc COM 46123D205 3876 348919 SH SOLE 348919 Iridium Communications COM 46269C102 3425 508188 SH SOLE 508188 Just Energy Income Fund COM 48213T108 2869 299900 SH SOLE 299900 Kior Inc COM 497217109 219 34149 SH SOLE 34149 LSB Industries Inc COM 502160104 605 17082 SH SOLE 17082 LTX-Credence Corp COM 502403207 410 62526 SH SOLE 62526 Lattice Semiconductor COM 518415104 171 42869 SH SOLE 42869 Liberty Global COM 530555309 2808 47796 SH SOLE 47796 Lightbridge Corp COM 53224K104 117 82789 SH SOLE 82789 Lihua International COM 532352101 9083 2069020 SH SOLE 2069020 LogMein Inc COM 54142L109 896 40000 SH SOLE 40000 MDC Partners Inc COM 552697104 13047 1154602 SH SOLE 1154602 MYR Group Inc COM 55405W104 779 35000 SH SOLE 35000 Magnachip Semiconductor Corp COM 55933J203 1997 125434 SH SOLE 125434 Mastec COM 576323109 1984 79600 SH SOLE 79600 Micron Technology Inc. COM 595112103 2071 326179 SH SOLE 326179 Microsemi Corp COM 595137100 1362 64730 SH SOLE 64730 Mindspeed Tech COM 602682106 957 204394 SH SOLE 204394 Move Inc COM 437852106 3145 414325 SH SOLE 414325 NAM TAI Electronics COM 629865205 1797 130000 SH SOLE 130000 NCI Buiding Systems COM 628852204 1895 136329 SH SOLE 136329 NCR COM 62886E108 2605 102239 SH SOLE 102239 NetQin Mobile Inc COM 64118U108 2824 467549 SH SOLE 467549 Norfolk Southern Corp COM 655844108 925 14950 SH SOLE 14950 Nova Measuring Instruments COM M7516K103 367 46042 SH SOLE 46042 Nuance Comm COM 67020Y100 4738 212258 SH SOLE 212258 OCZ Technology Group COM 67086E303 2142 1121338 SH SOLE 1121338 ON Semiconductor COM 682189105 881 125000 SH SOLE 125000 OSI Systems COM 671044105 901 14076 SH SOLE 14076 Occidental Petroleum COM 674599105 1174 15318 SH SOLE 15318 Oclaro Inc COM 09856E105 831 529049 SH SOLE 529049 Odyssey Marine Exploration COM 676118102 4519 1521476 SH SOLE 1521476 OnSite Energy Corp. COM 68284P108 19 1264137 SH SOLE 1264137 Open Text COM 683715106 1117 20000 SH SOLE 20000 Opko Health Inc COM 68375N103 579 120370 SH SOLE 120370 Ormat Technologies COM 686688102 244 12652 SH SOLE 12652 Overland Storage COM 690310206 1043 993433 SH SOLE 993433 Perma-Fix Envirn Serv COM 714157104 984 1445000 SH SOLE 1445000 Pharmathene Inc COM 71714G102 933 832891 SH SOLE 832891 Photronics Inc. COM 719405102 1113 186777 SH SOLE 186777 Pilgrim's Pride COM 72147K108 508 70000 SH SOLE 70000 Pioneer Natural Resources COM 723787107 4381 41106 SH SOLE 41106 Points Intl COM 693262107 944 84750 SH SOLE 84750 PowerSecure COM 73936N105 9339 1195721 SH SOLE 1195721 Premier Global Service COM 740585104 1376 140656 SH SOLE 140656 Primoris Services Corp COM 74164F103 2707 180000 SH SOLE 180000 Procera Networks direct reg COM 74269U104 3884 209400 SH SOLE 209400 Quantum Corp-DLT & Storage Sys COM 747906204 1993 1607585 SH SOLE 1607585 Real Page Inc COM 75606N109 1096 50796 SH SOLE 50796 Regional Management COM 75902K106 786 47495 SH SOLE 47495 Remedent Inc COM 75954T104 56 559500 SH SOLE 559500 Rentech Nitrogen Partners LP COM 760113100 829 22008 SH SOLE 22008 Riverbed Tech COM 768573107 968 49090 SH SOLE 49090 Sanchez Energy COM 79970Y105 608 33782 SH SOLE 33782 Sandisk Corp COM 80004C101 1525 35000 SH SOLE 35000 ServiceSource Intl Inc COM 81763U100 1144 195590 SH SOLE 195590 ShoreTel Inc COM 825211105 607 143129 SH SOLE 143129 Siga Tech COM 826917106 3078 1174954 SH SOLE 1174954 Silicon Image Inc COM 82705T102 764 154080 SH SOLE 154080 Solar Power COM 83490A100 82 1545000 SH SOLE 1545000 Southwestern Energy Comp COM 845467109 334 10000 SH SOLE 10000 Spreadtrum Communications COM 849415203 1584 90000 SH SOLE 90000 Sun Opta COM 8676EP108 14925 2651045 SH SOLE 2651045 Synaptics COM 87157D109 1280 42704 SH SOLE 42704 Teekay Tankers Ltd COM Y8565N102 679 233971 SH SOLE 233971 Telecomm System COM 87929J103 1214 491666 SH SOLE 491666 Tesla Motors Inc COM 88160R101 406 12000 SH SOLE 12000 Three D Systems COM 88554D205 403 7550 SH SOLE 7550 Titan International COM 88830M102 1281 59000 SH SOLE 59000 Titan Machinery Inc COM 88830R101 370 14967 SH SOLE 14967 Towerstream Corp COM 892000100 1604 493679 SH SOLE 493679 Trunkbow Intl Holdings COM 89818A102 118 94068 SH SOLE 94068 Tyson Foods COM 902494103 1161 59850 SH SOLE 59850 US Airways Grp Inc COM 90341W108 2301 170472 SH SOLE 170472 USA Tech COM 90328S500 844 484848 SH SOLE 484848 USG Corp. COM 903293405 2240 79800 SH SOLE 79800 UTStarcom Inc COM 918076100 194 186720 SH SOLE 186720 Ubiquiti Networks, Inc COM 90347A100 307 25255 SH SOLE 25255 United Continental Holdings COM 910047109 7991 341773 SH SOLE 341773 Wabash National COM 929566107 534 59517 SH SOLE 59517 Wave Systems r144 COM 943526301 554 772907 SH SOLE 772907 Web.com Group Inc COM 94733A104 3893 263017 SH SOLE 263017 Wells Fargo COM 949746101 3247 95000 SH SOLE 95000 Willbros Group COM 969199108 925 172649 SH SOLE 172649 Yandex NV COM N97284108 601 27861 SH SOLE 27861 Zagg Inc COM 98884U108 2951 400936 SH SOLE 400936 Zynga Inc COM 98986T108 237 100000 SH SOLE 100000
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