Office Manager

0000909450-13-000030.txt : 20130815 0000909450-13-000030.hdr.sgml : 20130815 20130815170416 ACCESSION NUMBER: 0000909450-13-000030 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130630 FILED AS OF DATE: 20130815 DATE AS OF CHANGE: 20130815 EFFECTIVENESS DATE: 20130815 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GRUBER & MCBAINE CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0000909450 IRS NUMBER: 770210467 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-04761 FILM NUMBER: 131042942 BUSINESS ADDRESS: STREET 1: 234 VAN NESS, STE 5 CITY: SAN FRANCISCO STATE: CA ZIP: 94133 BUSINESS PHONE: 4155525040 MAIL ADDRESS: STREET 1: 234 VAN NESS, STE 5 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/A 1 primary_doc.xml 13F-HR/A LIVE false true false 0000909450 XXXXXXXX 06-30-2013 06-30-2013 true 1 RESTATEMENT GRUBER & MCBAINE CAPITAL MANAGEMENT LLC

234 VAN NESS, STE 5 SAN FRANCISCO CA 94133

13F HOLDINGS REPORT 028-04761 N Ellie Giorgis Office Manager 415-552-5040 /s/ Ellie Giorgis san francisco CA 08-15-2013 0 147 296313 false INFORMATION TABLE 2 Q2201313Finfotable.xml AXT Inc COM 00246W103 216 80000 SH SOLE 0 80000 0 0 Adept Tech COM 6854202 1126 289439 SH SOLE 0 289439 0 0 Adtran Inc. COM 00738a106 1231 50000 SH SOLE 0 50000 0 0 Alcatel Lucent ADR COM 13904305 3458 1900000 SH SOLE 0 1900000 0 0 Altera Corp. COM 21441100 1155 35000 SH SOLE 0 35000 0 0 American Airlines COM 1765106 1209 300000 SH SOLE 0 300000 0 0 American Vanguard Corp COM 30371108 1439 61402 SH SOLE 0 61402 0 0 Anadarko Petroleum COM 32511107 1719 20000 SH SOLE 0 20000 0 0 Ann Taylor Stores COM 36115103 498 15000 SH SOLE 0 15000 0 0 Apple Inc. B COM 37833100 2178 5500 SH SOLE 0 5500 0 0 Aruba Networks COM 43176106 1459 95000 SH SOLE 0 95000 0 0 Atmel Corp. COM 49513104 1654 225000 SH SOLE 0 225000 0 0 BP Prudhoe Royalty Trust COM 55630107 963 10000 SH SOLE 0 10000 0 0 Bancorp Bank COM 05969A105 1611 107452 SH SOLE 0 107452 0 0 Be Aerospace COM 73302101 3149 49925 SH SOLE 0 49925 0 0 BioScrip Inc COM 09069N108 825 50000 SH SOLE 0 50000 0 0 Brookfield Residential Propert COM 11283W104 1764 79982 SH SOLE 0 79982 0 0 Brooks Automation COM 114340102 973 100000 SH SOLE 0 100000 0 0 CUI Global COM 126576206 1110 200000 SH SOLE 0 200000 0 0 Calix Inc COM 13100M509 1054 104352 SH SOLE 0 104352 0 0 Callidus Software COM 13123E500 1231 186862 SH SOLE 0 186862 0 0 Community Bankers Trust COM 59021W407 905 250000 SH SOLE 0 250000 0 0 Conns Inc COM 208242107 5176 100000 SH SOLE 0 100000 0 0 Cowen Group COM 223622101 725 250000 SH SOLE 0 250000 0 0 Cypress Semiconductor COM 232806109 1288 120000 SH SOLE 0 120000 0 0 Dakota Plains Holdings COM 234255107 1722 615000 SH SOLE 0 615000 0 0 Demand Media COM 24802N109 165 27563 SH SOLE 0 27563 0 0 Dycom COM 267475101 2314 100000 SH SOLE 0 100000 0 0 E Trade Financial COM 269246401 1266 100000 SH SOLE 0 100000 0 0 EMAK Holdings inc COM 26861V104 8 830686 SH SOLE 0 830686 0 0 EOG Resources COM 26875P101 2677 20326 SH SOLE 0 20326 0 0 Ecotality Inc COM 27922Y202 361 233000 SH SOLE 0 233000 0 0 Emcore Corp COM 290846104 1011 280850 SH SOLE 0 280850 0 0 Emulex Corp COM 292475209 2167 332395 SH SOLE 0 332395 0 0 Ensco Intl Inc. COM 26874Q100 746 12827 SH SOLE 0 12827 0 0 Extreme Networks COM 30226d106 1758 509536 SH SOLE 0 509536 0 0 F5 Networks COM 315616102 344 5000 SH SOLE 0 5000 0 0 Falcon Software Inc COM 306137100 21 15000 SH SOLE 0 15000 0 0 Five Star Quality Care COM 33832d106 3029 540000 SH SOLE 0 540000 0 0 Flowers Foods Inc COM 343498101 1323 60000 SH SOLE 0 60000 0 0 GSE Holdings COM 36191X100 637 110000 SH SOLE 0 110000 0 0 Genworth Financial COM 37247d106 1426 125000 SH SOLE 0 125000 0 0 Gevo Inc COM 374396109 241 118952 SH SOLE 0 118952 0 0 Great Lakes Dredge and Dry Dock COM 390607109 352 45000 SH SOLE 0 45000 0 0 Green Plains Renewable Energy COM 393222104 1495 112200 SH SOLE 0 112200 0 0 Hawaiian Holdings COM 419879101 855 140000 SH SOLE 0 140000 0 0 Headwaters Inc COM 42210P102 1945 220000 SH SOLE 0 220000 0 0 Hertz Global Holdings COM 42805T105 4960 200000 SH SOLE 0 200000 0 0 Himax Technologies COM 43289P106 9527 1825000 SH SOLE 0 1825000 0 0 Identive Group COM 45170X106 317 438230 SH SOLE 0 438230 0 0 Imageware Sys COM 45245S108 19528 8343948 SH SOLE 0 8343948 0 0 Infinera Corp COM 45667G103 1065 99800 SH SOLE 0 99800 0 0 Infoblox Inc COM 45672H104 1756 60000 SH SOLE 0 60000 0 0 Ingredion Inc COM 457187102 984 15000 SH SOLE 0 15000 0 0 Int'l Business Machines COM 459200101 331 1733 SH SOLE 0 1733 0 0 Int'l Rectifier COM 460254105 1883 89900 SH SOLE 0 89900 0 0 Integrated Device Technology COM 458118106 282 35512 SH SOLE 0 35512 0 0 Intermolecular Inc COM 45882D109 800 110000 SH SOLE 0 110000 0 0 InvenSense Inc COM 46123D205 5152 335000 SH SOLE 0 335000 0 0 Iridium Communications COM 46269C102 3944 508188 SH SOLE 0 508188 0 0 Jamba Inc. COM 47023a101 747 50000 SH SOLE 0 50000 0 0 Just Energy Income Fund COM 48213T108 1898 319900 SH SOLE 0 319900 0 0 Kior Inc COM 497217109 194 34049 SH SOLE 0 34049 0 0 LSB Industries Inc COM 502160104 924 30400 SH SOLE 0 30400 0 0 LTX-Credence Corp COM 502403207 539 90000 SH SOLE 0 90000 0 0 Lattice Semiconductor COM 518415104 887 175000 SH SOLE 0 175000 0 0 Liberty Global COM 530555309 3245 47796 SH SOLE 0 47796 0 0 Lightbridge Corp COM 53224K104 141 82514 SH SOLE 0 82514 0 0 Lihua International COM 532352101 7631 1586580 SH SOLE 0 1586580 0 0 Linear Technology COM 535678106 3500 95000 SH SOLE 0 95000 0 0 LogMein Inc COM 54142L109 1468 60000 SH SOLE 0 60000 0 0 MDC Partners Inc COM 552697104 20782 1151986 SH SOLE 0 1151986 0 0 MYR Group Inc COM 55405W104 680 34975 SH SOLE 0 34975 0 0 Magnachip Semiconductor Corp COM 55933J203 3243 177500 SH SOLE 0 177500 0 0 Methode Electronics COM 591520200 1191 70000 SH SOLE 0 70000 0 0 Micron Technology Inc. COM 595112103 2150 150000 SH SOLE 0 150000 0 0 Microsemi Corp COM 595137100 1019 44800 SH SOLE 0 44800 0 0 Microstrategy COM 594972408 1435 16500 SH SOLE 0 16500 0 0 Move Inc COM 437852106 5310 414225 SH SOLE 0 414225 0 0 NCI Buiding Systems COM 628852204 1203 78700 SH SOLE 0 78700 0 0 NCR COM 62886E108 3791 114900 SH SOLE 0 114900 0 0 NetQin Mobile Inc COM 64118U108 3757 465000 SH SOLE 0 465000 0 0 Norfolk Southern Corp COM 655844108 1086 14950 SH SOLE 0 14950 0 0 Northern Tier Energy COM 665826103 1561 65000 SH SOLE 0 65000 0 0 Nova Measuring Instruments COM M7516K103 417 46042 SH SOLE 0 46042 0 0 OCZ Technology Group COM 67086E303 903 622922 SH SOLE 0 622922 0 0 OSI Systems COM 671044105 1607 24950 SH SOLE 0 24950 0 0 Oclaro Inc COM 09856E105 622 527155 SH SOLE 0 527155 0 0 Odyssey Marine Exploration COM 676118102 4560 1540526 SH SOLE 0 1540526 0 0 Omnitek Engineering COM 68215w107 172 71500 SH SOLE 0 71500 0 0 OnSite Energy Corp. COM 68284P108 14 960584 SH SOLE 0 960584 0 0 Open Text COM 683715106 2054 30000 SH SOLE 0 30000 0 0 Orion Marine Group COM 68628V308 1814 150000 SH SOLE 0 150000 0 0 Overland Storage COM 690310206 882 773733 SH SOLE 0 773733 0 0 Pacific Sunwear COM 694873100 219 60000 SH SOLE 0 60000 0 0 Perma-Fix Envirn Serv COM 714157104 406 1127751 SH SOLE 0 1127751 0 0 Pharmathene Inc COM 71714G102 954 600000 SH SOLE 0 600000 0 0 Photronics Inc. COM 719405102 1505 186777 SH SOLE 0 186777 0 0 Pioneer Natural Resources COM 723787107 5950 41106 SH SOLE 0 41106 0 0 Planet Payment COM u72603118 345 125000 SH SOLE 0 125000 0 0 Points Intl COM 693262107 1395 64800 SH SOLE 0 64800 0 0 PowerSecure COM 73936N105 4889 325300 SH SOLE 0 325300 0 0 Primoris Services Corp COM 74164F103 4338 220000 SH SOLE 0 220000 0 0 Procera Networks direct reg COM 74269U104 3364 245000 SH SOLE 0 245000 0 0 Professional Diversity Network COM 74312y103 531 135000 SH SOLE 0 135000 0 0 QualComm COM 747525103 733 12000 SH SOLE 0 12000 0 0 Quantum Corp-DLT and Storage Sys COM 747906204 2202 1607585 SH SOLE 0 1607585 0 0 RDA Microelectronics COM 749394102 1893 170875 SH SOLE 0 170875 0 0 RF Micro Devices COM 749941100 1391 260000 SH SOLE 0 260000 0 0 Rentech Inc COM 760112102 210 100000 SH SOLE 0 100000 0 0 Rentech Nitrogen Partners LP COM 760113100 441 15000 SH SOLE 0 15000 0 0 Riverbed Tech COM 768573107 1011 65000 SH SOLE 0 65000 0 0 S and W Seed Company COM 785135104 670 80000 SH SOLE 0 80000 0 0 Saia Inc COM 78709Y105 1573 52500 SH SOLE 0 52500 0 0 Sanchez Energy COM 79970Y105 1148 50000 SH SOLE 0 50000 0 0 Sandisk Corp COM 80004C101 3205 52455 SH SOLE 0 52455 0 0 ServiceSource Intl Inc COM 81763U100 1814 194640 SH SOLE 0 194640 0 0 ShoreTel Inc COM 825211105 322 79790 SH SOLE 0 79790 0 0 Siga Tech COM 826917106 3337 1174954 SH SOLE 0 1174954 0 0 Silicon Image Inc COM 82705T102 1755 300000 SH SOLE 0 300000 0 0 Solar Power COM 83490A100 54 1543900 SH SOLE 0 1543900 0 0 Sonic COM 835451105 946 65000 SH SOLE 0 65000 0 0 Southwestern Energy Comp COM 845467109 731 20000 SH SOLE 0 20000 0 0 Spansion Inc COM 84649r200 588 47000 SH SOLE 0 47000 0 0 Spark Networks COM 84651p100 405 47900 SH SOLE 0 47900 0 0 Spreadtrum Communications COM 849415203 7872 299900 SH SOLE 0 299900 0 0 Steel Dynamics COM 858119100 596 40000 SH SOLE 0 40000 0 0 Sun Opta COM 8676EP108 18702 2463993 SH SOLE 0 2463993 0 0 Teekay Tankers Ltd COM Y8565N102 613 233071 SH SOLE 0 233071 0 0 Teradata Corp COM 88076W103 2132 42450 SH SOLE 0 42450 0 0 Towerstream Corp COM 892000100 765 300000 SH SOLE 0 300000 0 0 Travel Centers of America COM 894174101 1258 115000 SH SOLE 0 115000 0 0 Trunkbow Intl Holdings COM 89818A102 44 50000 SH SOLE 0 50000 0 0 USA Tech COM 90328S500 371 213100 SH SOLE 0 213100 0 0 USG Corp. COM 903293405 1839 79800 SH SOLE 0 79800 0 0 Ubiquiti Networks, Inc COM 90347A100 886 50500 SH SOLE 0 50500 0 0 United Continental Holdings COM 910047109 3129 100000 SH SOLE 0 100000 0 0 Wabash National COM 929566107 713 70000 SH SOLE 0 70000 0 0 Wave Systems r144 COM 943526301 190 633777 SH SOLE 0 633777 0 0 Web.com Group Inc COM 94733A104 1024 40000 SH SOLE 0 40000 0 0 Wells Fargo COM 949746101 3302 80000 SH SOLE 0 80000 0 0 Willbros Group COM 969199108 2272 370000 SH SOLE 0 370000 0 0 Windstream Corp COM 97381w104 964 125000 SH SOLE 0 125000 0 0 Yandex NV COM N97284108 770 27861 SH SOLE 0 27861 0 0 Zagg Inc COM 98884U108 1980 370000 SH SOLE 0 370000 0 0 Zynga Inc COM 98986T108 139 50000 SH SOLE 0 50000 0 0