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
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