0000909450-13-000018.txt : 20130513
0000909450-13-000018.hdr.sgml : 20130513
20130510195433
ACCESSION NUMBER: 0000909450-13-000018
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130331
FILED AS OF DATE: 20130513
DATE AS OF CHANGE: 20130510
EFFECTIVENESS DATE: 20130513
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: 13835118
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
q11313f.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, 2013
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: 234 Van Ness, Ste 5
San Francisco, CA 94102
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) 552-5040
/s/ Elizabeth Giorgis
_________________________
San Francisco, CA
May 10, 2013
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 160
Form 13F Information Table Value Total: 317,363
List of Other Included Managers: NONE
Gruber & McBaine Capital Management, LLC
234 Van Ness, Ste 5
San Francisco, CA 94102
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 1572 59181 SH SOLE 59181
AXT Inc COM 00246W103 235 80000 SH SOLE 80000
Adept Tech COM 006854202 847 289439 SH SOLE 289439
Adtran Inc. COM 00738a106 983 50000 SH SOLE 50000
Alcatel Lucent ADR COM 013904305 2022 1520226 SH SOLE 1520226
Altera Corp. COM 021441100 1241 35000 SH SOLE 35000
American Vanguard Corp COM 030371108 1875 61402 SH SOLE 61402
Ann Taylor Stores COM 036115103 435 15000 SH SOLE 15000
Apple Inc. B COM 037833100 2213 5000 SH SOLE 5000
Approach Resources Inc COM 03834A103 833 33837 SH SOLE 33837
Aruba Networks COM 043176106 1732 70000 SH SOLE 70000
Autodesk COM 052769106 1856 45000 SH SOLE 45000
Bancorp Bank COM 05969A105 1488 107452 SH SOLE 107452
Be Aerospace COM 073302101 3009 49925 SH SOLE 49925
BioScrip Inc COM 09069N108 3178 250000 SH SOLE 250000
Brookfield Residential Propert COM 11283W104 1947 79982 SH SOLE 79982
Brooks Automation COM 114340102 1018 100000 SH SOLE 100000
Calavo Growers COM 128246105 432 15000 SH SOLE 15000
Calix Inc COM 13100M509 850 104352 SH SOLE 104352
Callidus Software COM 13123E500 854 186862 SH SOLE 186862
Celanese Corp COM 150870103 3319 75353 SH SOLE 75353
Central Fund of Canada COM 153501101 386 19930 SH SOLE 19930
Cogo Group COM 192448108 862 435529 SH SOLE 435529
Community Bankers Trust COM 59021W407 658 200000 SH SOLE 200000
Compuware COM 205638109 625 50000 SH SOLE 50000
Conns Inc COM 208242107 3953 110000 SH SOLE 110000
Cowen Group COM 223622101 705 250000 SH SOLE 250000
Cypress Semiconductor COM 232806109 441 40000 SH SOLE 40000
Dakota Plains Holdings COM 234255107 1135 291082 SH SOLE 291082
Dean Foods Co COM 242370104 1360 75000 SH SOLE 75000
Demand Media COM 24802N109 238 27563 SH SOLE 27563
Diamond Offshore Drilling COM 25271C102 940 13510 SH SOLE 13510
Dycom COM 267475101 1969 100000 SH SOLE 100000
E Trade Financial COM 269246401 1071 100000 SH SOLE 100000
EMAK Holdings inc COM 26861V104 8 830686 SH SOLE 830686
EOG Resources COM 26875P101 2603 20326 SH SOLE 20326
Ecotality Inc COM 27922Y202 751 802773 SH SOLE 802773
Emcore Corp COM 290846104 1743 299533 SH SOLE 299533
Emulex Corp COM 292475209 2178 333495 SH SOLE 333495
Energen Corp COM 29265N108 570 10959 SH SOLE 10959
Ensco Intl Inc. COM 26874Q100 770 12827 SH SOLE 12827
Entropic Communications Inc COM 29384R105 184 45300 SH SOLE 45300
Extreme Networks COM 30226d106 1717 509536 SH SOLE 509536
Fabrinet COM G3323L100 1240 84860 SH SOLE 84860
Falcon Software Inc COM 306137100 40 15000 SH SOLE 15000
Five Star Quality Care COM 33832d106 3517 525720 SH SOLE 525720
Flowers Foods Inc COM 343498101 659 20000 SH SOLE 20000
GSE Holdings COM 36191X100 830 100503 SH SOLE 100503
General Cable Corp COM 369300108 1832 50000 SH SOLE 50000
Gentherm COM 03070L300 1147 70000 SH SOLE 70000
Gevo Inc COM 374396109 267 119352 SH SOLE 119352
Grand Canyon Education COM 38526m106 1396 55000 SH SOLE 55000
Great Lakes Dredge & Dry Dock COM 390607109 303 45000 SH SOLE 45000
Green Plains Renewable Energy COM 393222104 572 50000 SH SOLE 50000
Hawaiian Holdings COM 419879101 1540 266900 SH SOLE 266900
Headwaters Inc COM 42210P102 2515 230726 SH SOLE 230726
Hertz Global Holdings COM 42805T105 9811 440758 SH SOLE 440758
Himax Technologies COM 43289P106 8417 1550000 SH SOLE 1550000
Hormel Foods Corp COM 440452100 1033 25000 SH SOLE 25000
Identive Group COM 45170X106 766 517640 SH SOLE 517640
Imageware Sys Over 10% COM 45245S108 9287 9129860 SH SOLE 9129860
Infinera Corp COM 45667G103 280 40000 SH SOLE 40000
Infoblox Inc COM 45672H104 1302 60000 SH SOLE 60000
Int'l Business Machines COM 459200101 370 1733 SH SOLE 1733
Int'l Rectifier COM 460254105 1586 75000 SH SOLE 75000
Integrated Device Technology COM 458118106 1591 212995 SH SOLE 212995
InvenSense Inc COM 46123D205 3204 300000 SH SOLE 300000
Iridium Communications COM 46269C102 3064 508188 SH SOLE 508188
Jamba Inc. COM 47023a101 713 250000 SH SOLE 250000
Just Energy Income Fund COM 48213T108 2098 319900 SH SOLE 319900
Kior Inc COM 497217109 159 34149 SH SOLE 34149
LSB Industries Inc COM 502160104 594 17082 SH SOLE 17082
LTX-Credence Corp COM 502403207 544 90000 SH SOLE 90000
Lattice Semiconductor COM 518415104 955 175000 SH SOLE 175000
Liberty Global COM 530555309 3280 47796 SH SOLE 47796
Lightbridge Corp COM 53224K104 144 82789 SH SOLE 82789
Lihua International COM 532352101 9865 1926720 SH SOLE 1926720
Linear Technology COM 535678106 3645 95000 SH SOLE 95000
LogMein Inc COM 54142L109 1153 60000 SH SOLE 60000
MBIA Inc COM 55262C100 514 50000 SH SOLE 50000
MDC Partners Inc COM 552697104 18628 1151986 SH SOLE 1151986
MYR Group Inc COM 55405W104 859 34975 SH SOLE 34975
Magnachip Semiconductor Corp COM 55933J203 3073 177500 SH SOLE 177500
Marvell Technologies COM G5876H105 1586 150000 SH SOLE 150000
Methode Electronics COM 591520200 644 50000 SH SOLE 50000
Micron Technology Inc. COM 595112103 3990 400000 SH SOLE 400000
Microsemi Corp COM 595137100 1038 44800 SH SOLE 44800
Microstrategy COM 594972408 1668 16500 SH SOLE 16500
Mindspeed Tech COM 602682106 364 109610 SH SOLE 109610
Move Inc COM 437852106 4951 414325 SH SOLE 414325
NAM TAI Electronics COM 629865205 1375 101070 SH SOLE 101070
NCI Buiding Systems COM 628852204 1911 110000 SH SOLE 110000
NCR COM 62886E108 2818 102239 SH SOLE 102239
NetQin Mobile Inc COM 64118U108 4055 450000 SH SOLE 450000
Norfolk Southern Corp COM 655844108 1152 14950 SH SOLE 14950
Nova Measuring Instruments COM M7516K103 414 46042 SH SOLE 46042
Nuance Comm COM 67020Y100 3263 161713 SH SOLE 161713
OCZ Technology Group COM 67086E303 1125 625000 SH SOLE 625000
ON Semiconductor COM 682189105 1034 125000 SH SOLE 125000
OSI Systems COM 671044105 1557 25000 SH SOLE 25000
Occidental Petroleum COM 674599105 1197 15278 SH SOLE 15278
Oclaro Inc COM 09856E105 666 528799 SH SOLE 528799
Odyssey Marine Exploration COM 676118102 4957 1520526 SH SOLE 1520526
OnSite Energy Corp. COM 68284P108 16 1063623 SH SOLE 1063623
Open Text COM 683715106 1180 20000 SH SOLE 20000
Orion Marine Group COM 68628V308 1491 150000 SH SOLE 150000
Overland Storage COM 690310206 921 773733 SH SOLE 773733
Perma-Fix Envirn Serv COM 714157104 925 1127751 SH SOLE 1127751
Pharmathene Inc COM 71714G102 1416 832891 SH SOLE 832891
Photronics Inc. COM 719405102 1248 186777 SH SOLE 186777
Pioneer Natural Resources COM 723787107 5107 41106 SH SOLE 41106
Points Intl COM 693262107 1348 84650 SH SOLE 84650
PowerSecure COM 73936N105 13067 1028121 SH SOLE 1028121
Primoris Services Corp COM 74164F103 4422 200000 SH SOLE 200000
Procera Networks direct reg COM 74269U104 2794 235000 SH SOLE 235000
Professional Diversity Network COM 74312y103 910 135000 SH SOLE 135000
QualComm COM 747525103 803 12000 SH SOLE 12000
Quantum Corp-DLT & Storage Sys COM 747906204 2058 1607585 SH SOLE 1607585
RF Micro Devices COM 749941100 266 50000 SH SOLE 50000
Real Page Inc COM 75606N109 1052 50796 SH SOLE 50796
Regional Management COM 75902K106 202 10000 SH SOLE 10000
Rentech Nitrogen Partners LP COM 760113100 538 15000 SH SOLE 15000
Riverbed Tech COM 768573107 970 65000 SH SOLE 65000
S&W Seed Company COM 785135104 631 60000 SH SOLE 60000
Saba Software COM 784932105 1193 150000 SH SOLE 150000
Saia Inc COM 78709Y105 1266 35000 SH SOLE 35000
Sanchez Energy COM 79970Y105 673 33782 SH SOLE 33782
Sandisk Corp COM 80004C101 1924 35000 SH SOLE 35000
ServiceSource Intl Inc COM 81763U100 1383 195590 SH SOLE 195590
ShoreTel Inc COM 825211105 290 79790 SH SOLE 79790
Siga Tech COM 826917106 4206 1174954 SH SOLE 1174954
Silicon Image Inc COM 82705T102 1337 275000 SH SOLE 275000
Solar Power COM 83490A100 80 1545000 SH SOLE 1545000
Southwestern Energy Comp COM 845467109 373 10000 SH SOLE 10000
Spreadtrum Communications COM 849415203 3487 170000 SH SOLE 170000
Sun Opta COM 8676EP108 18050 2506993 SH SOLE 2506993
Teekay Tankers Ltd COM Y8565N102 667 233971 SH SOLE 233971
Telecomm System COM 87929J103 446 200000 SH SOLE 200000
Teradata Corp COM 88076W103 2487 42500 SH SOLE 42500
The Exone Company COM 302104104 1005 30000 SH SOLE 30000
Titan International COM 88830M102 1244 59000 SH SOLE 59000
Titan Machinery Inc COM 88830R101 1111 40000 SH SOLE 40000
Towerstream Corp COM 892000100 1086 487179 SH SOLE 487179
Travel Centers of America COM 894174101 943 98300 SH SOLE 98300
Tronox Inc COM 897051306 1288 65000 SH SOLE 65000
Trunkbow Intl Holdings COM 89818A102 114 90068 SH SOLE 90068
US Airways Grp Inc COM 90341W108 2546 150000 SH SOLE 150000
USA Tech COM 90328S500 760 290000 SH SOLE 290000
USG Corp. COM 903293405 2110 79800 SH SOLE 79800
Ubiquiti Networks, Inc COM 90347A100 624 45500 SH SOLE 45500
United Continental Holdings COM 910047109 8003 250000 SH SOLE 250000
Wabash National COM 929566107 711 70000 SH SOLE 70000
Wave Systems r144 COM 943526301 454 664721 SH SOLE 664721
Web.com Group Inc COM 94733A104 4437 259760 SH SOLE 259760
Wells Fargo COM 949746101 3507 94800 SH SOLE 94800
Willbros Group COM 969199108 3142 320000 SH SOLE 320000
Windstream Corp COM 97381w104 991 125000 SH SOLE 125000
Yandex NV COM N97284108 645 27861 SH SOLE 27861
Zagg Inc COM 98884U108 3719 510836 SH SOLE 510836
Zynga Inc COM 98986T108 336 100000 SH SOLE 100000
SM\M-CORP\IA-13/16\1028307.01