-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, KZ2QhT6Gl7fNwa3thOzt9neRc1VPkfdf14nMy4EaDpmAB2yhLu9Sochp2wgPEy/U CskBljPKzXPET22e4fyukw== 0000909450-99-000002.txt : 19990521 0000909450-99-000002.hdr.sgml : 19990521 ACCESSION NUMBER: 0000909450-99-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990331 FILED AS OF DATE: 19990520 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GRUBER & MCBAINE CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0000909450 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: 13F-HR SEC ACT: SEC FILE NUMBER: 028-04761 FILM NUMBER: 99631371 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 FORMER COMPANY: FORMER CONFORMED NAME: GRUBER & MCBAINE CAPITAL MANAGEMENT/GRUBER JON D ET AL DATE OF NAME CHANGE: 19930720 13F-HR 1 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, 1999 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: 415 981 1039_________________ Signature, Place and Date of Signing: _________________________ San Francisco, CA_ May 20, 1999 [Signature] [City, State] [Date] Report Type (Check only one.): _X_ 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) ___ 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) ___ 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] Form 13F File Number Name 29-________________ ________________________________________ [Repeat as necessary.] Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: _____0_____ Form 13F Information Table Entry Total: _____292___ Form 13F Information Table Value Total: __1,102,683 List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name NONE 28-___________ ___________________________ [Repeat as necessary.] NAME OF ISSUER TITLE OF CUSIP VALUE SHARES INV. OTHER AUTH CLASS X1000 DISC MGR ABC Naco Inc common 000752105 2,948 233,500 SOLE 233,500 2,947,937.50 Acsys Inc common 00087X103 804 201,000 SOLE 201,000 804,000.00 Acxiom Corp common 005125109 1,325 50,000 SOLE 50,000 1,325,000.00 Advanced Fibre common 00754A105 769 80,200 SOLE 80,200 769,418.75 AHT Corp. common 00756H108 734 250,000 SOLE 250,000 734,375.00 Aim Global common 00900N100 1,024 143,500 SOLE 143,500 1,024,188.20 Allegiance Telecommunicatio common 01747T102 2,625 105,000 SOLE 105,000 2,625,000.00 Alpnet Inc. common 021089107 2,330 1,202,800 SOLE 1,202,800 2,330,425.00 American Capital common 024937104 1,718 100,300 SOLE 100,300 1,717,637.50 American Oncology common 028910107 3,638 404,200 SOLE 404,200 3,637,800.00 Ameripath common 03071D109 3,042 338,000 SOLE 338,000 3,042,000.00 Amer-Online common 02364J104 2,336 16,000 SOLE 16,000 2,336,000.00 AMX Corp common 001801109 856 92,500 SOLE 92,500 855,625.00 Applied Imaging common 03820G106 197 210,000 SOLE 210,000 196,875.00 Applix Inc. common 038316105 876 206,000 SOLE 206,000 875,500.00 Argosy Gaming Co. common 040228108 1,859 350,000 SOLE 350,000 1,859,375.00 Ascend Telecommunications common 043491109 3,297 39,395 SOLE 39,395 3,296,869.06 Aspect Telecom common 045237104 629 95,000 SOLE 95,000 629,375.00 Atrix common 04962L101 3,695 328,400 SOLE 328,400 3,694,500.00 Auspex Systems Inc. common 052116100 214 20,000 SOLE 20,000 213,750.00 Autodesk common 052769106 11,383 281,500 SOLE 281,500 11,383,156.25 Banc Plus Corp cvt bnd 06446AA5 685 825,000 SOLE 825,000 684,750.00 Bethlehem Steel common 087509105 1,346 163,200 SOLE 163,200 1,346,400.00 Big Entertainment common 089144109 7,074 583,400 SOLE 583,400 7,073,725.00 Biochem Pharma common 09058T108 3,058 143,500 SOLE 143,500 3,058,343.75 Bitstream Inc common 091736108 1,449 773,000 SOLE 773,000 1,449,375.00 BJ Services common 055482103 6,513 277,900 SOLE 277,900 6,513,281.25 Blue Rhino Corp common 095811105 662 50,400 SOLE 50,400 661,500.00 BMJ Medical Mgmt Inc common 055950109 22 276,000 SOLE 276,000 22,080.00 Borden Chemicals and Plasti common 099541203 1,634 210,900 SOLE 210,900 1,634,475.00 Bowater, Inc. common 102183100 4,359 110,000 SOLE 110,000 4,358,750.00 Broadcast Com common 111310108 946 8,000 SOLE 8,000 945,500.00 Brookdale Living common 112462106 8,623 499,900 SOLE 499,900 8,623,275.00 Building One common 120114103 3,884 226,000 SOLE 226,000 3,884,375.00 Business Resource common 12329K104 28 10,000 SOLE 10,000 28,125.00 California Microwave common 130442106 2,610 242,800 SOLE 242,800 2,610,100.00 Callaway Golf Co. common 131193104 713 70,000 SOLE 70,000 713,125.00 Career Education common 141665109 8,667 250,300 SOLE 250,300 8,666,637.50 Celeritek Inc common 150926103 448 112,000 SOLE 112,000 448,000.00 Centocor common 152342101 1,847 50,000 SOLE 50,000 1,846,875.00 Chevy Chase common 166784207 684 23,000 SOLE 23,000 684,250.00 Cholestech Corp. common 170393102 852 401,000 SOLE 401,000 852,125.00 Chronimed common 171164106 1,200 201,000 SOLE 201,000 1,199,718.75 CHS Electronics common 12542A206 590 185,000 SOLE 185,000 589,687.50 Cisco Systems common 17275R102 540 4,933 SOLE 4,933 540,471.81 CMG Information common 125750109 125,151 683,650 SOLE 683,650 125,150,678.12 CoastCast common 19057T108 2,614 268,100 SOLE 268,100 2,613,975.00 Com21 Inc common 205937105 1,024 39,000 SOLE 39,000 1,023,750.00 Conexant Systems common 207142100 2,769 100,000 SOLE 100,000 2,768,750.00 Core Laboratories common N22717107 351 20,000 SOLE 20,000 351,250.00 Corporate Executive common 21988R102 7,409 280,900 SOLE 280,900 7,408,737.50 Coulter Pharmaceuticals common 222116105 2,153 99,000 SOLE 99,000 2,153,250.00 Covad Communications common 222814204 986 15,000 SOLE 15,000 986,250.00 Creative Tech. Corp. common 225290303 11 68,832 SOLE 68,832 10,755.00 Creative Technology common Y17750107 1,458 127,500 SOLE 127,500 1,458,281.25 Credence Systems common 225302108 429 20,000 SOLE 20,000 428,750.00 CrediTrust Corp common 225429109 889 45,000 SOLE 45,000 888,750.00 Cree Research common 225447101 1,887 40,200 SOLE 40,200 1,886,887.50 Crown Northcorp common 228429106 217 165,000 SOLE 165,000 216,562.50 Cuisine Solutions common 229904107 2,235 1,555,057 SOLE 1,555,057 2,235,394.44 Cytyc common 232946103 9,780 704,850 SOLE 704,850 9,779,793.75 DAOU Systems common 237015102 5,207 886,300 SOLE 886,300 5,207,012.50 Datastream Systems common 238124101 3,871 448,800 SOLE 448,800 3,870,900.00 Denbury Resource common 247916208 1,616 403,900 SOLE 403,900 1,615,600.00 Descartes Systems common 249906108 7,876 957,300 SOLE 957,300 7,876,351.88 Devon Energy common 251799102 2,820 102,300 SOLE 102,300 2,819,643.75 Dialog Corp common 252500103 3,216 402,000 SOLE 402,000 3,216,000.00 Didax common 253624100 154 14,000 SOLE 14,000 154,000.00 Digital Microwave common 253859102 11,244 1,342,600 SOLE 1,342,600 11,244,275.00 Digital River common 25388B104 3,610 90,250 SOLE 90,250 3,610,000.00 Dreyers Ice Cream common 261878102 11,860 916,688 SOLE 916,688 11,859,651.00 DSET Corp common 262504103 2,552 219,500 SOLE 219,500 2,551,687.50 E4L Inc. common 268452109 4,434 525,500 SOLE 525,500 4,433,906.25 Emcore Corp common 290846104 1,460 103,800 SOLE 103,800 1,459,687.50 Empyrean Diagnostics common 29245E103 224 265,500 SOLE 265,500 224,015.62 Emulex common 292475209 5,194 157,400 SOLE 157,400 5,194,200.00 Ensco Intl Inc. common 26874Q100 4,599 345,500 SOLE 345,500 4,599,468.75 Equity Marketing common 294724109 1,734 301,500 SOLE 301,500 1,733,625.00 Exodus Communications common 302088109 7,250 53,900 SOLE 53,900 7,249,550.00 Factory 2-U Stores common 306889403 4,654 400,353 SOLE 400,353 4,654,103.62 Featherlite common 313054108 1,265 230,000 SOLE 230,000 1,265,000.00 Film Roman common 317234102 3,587 797,000 SOLE 797,000 3,586,500.00 Flashnet Communications common 338527104 1,152 28,000 SOLE 28,000 1,151,500.00 Fore Systems Inc. common 345449102 8,062 426,400 SOLE 426,400 8,061,625.00 Four Media common 350872107 630 105,000 SOLE 105,000 630,000.00 Fresh America common 358034106 9,748 569,200 SOLE 569,200 9,747,550.00 Fulltime Software common 747586105 1,428 197,000 SOLE 197,000 1,428,250.00 Galileo Technologies common M47298100 2,925 100,000 SOLE 100,000 2,925,000.00 Garden Burger common 365476100 6,549 663,200 SOLE 663,200 6,549,100.00 Genesis Microchip common 371933102 6,911 291,000 SOLE 291,000 6,911,250.00 Genome Therapeutics common 372430108 2,824 903,730 SOLE 903,730 2,824,156.25 Geon Co. common 37246W105 3,014 132,500 SOLE 132,500 3,014,375.00 Gilead Sciences common 375558103 2,730 60,000 SOLE 60,000 2,730,000.00 Gilman and Ciocia common 375908100 125 10,000 SOLE 10,000 125,000.00 Global Industries common 379336100 1,438 142,000 SOLE 142,000 1,437,750.00 Globalstar Telecomm Pfd cvt pfd G005412 3,180 80,000 SOLE 80,000 3,180,000.00 Globalstar Telecomm common G3930H104 5,439 392,028 SOLE 392,028 5,439,388.50 Granite Construction common 387328107 1,169 50,000 SOLE 50,000 1,168,750.00 Grey Wolf common 397888108 891 620,000 SOLE 620,000 891,250.00 Harken Energy common 412552101 16 10,000 SOLE 10,000 16,250.00 Hibernia Foods Wts @3.3594 wts 428660138 212 117,000 SOLE 117,000 212,062.50 Hibernia Foods Wts @2.9563 wts 428660120 263 117,000 SOLE 117,000 263,250.00 Hibernia Foods PLC common 428660104 2,155 431,000 SOLE 431,000 2,155,000.00 HIE Inc. common 40419W100 3,227 806,800 SOLE 806,800 3,227,200.00 HMT Technology common 403917107 186 53,000 SOLE 53,000 185,500.00 Horizon Organic common 44043T103 3,482 236,100 SOLE 236,100 3,482,475.00 Hospitality Worldwide common 44106N100 183 73,200 SOLE 73,200 183,000.00 Hot Topic common 441339108 638 35,200 SOLE 35,200 638,000.00 I2 Technologies common 465754109 3,763 141,500 SOLE 141,500 3,763,015.62 Image Entertainment common 452439201 778 132,500 SOLE 132,500 778,437.50 Imatron Inc. common 452906100 80 75,000 SOLE 75,000 79,687.50 Infinium Software common 45662Y109 1,767 392,700 SOLE 392,700 1,767,150.00 Infospace.com common 45678T102 886 10,000 SOLE 10,000 886,250.00 Infowave Wireless common 456925106 246 280,300 SOLE 280,300 246,355.67 Innerdyne Inc. common 45764D102 1,317 679,500 SOLE 679,500 1,316,531.25 Insituform Tech common 457667103 6,501 371,465 SOLE 371,465 6,500,637.50 Integramed America common 45810N302 620 206,625 SOLE 206,625 619,875.00 Intercept Group common 45845L107 1,930 227,000 SOLE 227,000 1,929,500.00 International Fibercom common 45950T101 2,800 426,600 SOLE 426,600 2,799,562.50 Interpool Inc common 46062R108 3,316 245,650 SOLE 245,650 3,316,275.00 Intertan Inc common 461120107 2,872 294,600 SOLE 294,600 2,872,350.00 Intuit Inc common 461202103 11,742 115,400 SOLE 115,400 11,741,950.00 Invivo Corp. common 461858105 4,388 325,000 SOLE 325,000 4,387,500.00 Iridex common 462684101 1,972 471,000 SOLE 471,000 1,972,312.50 Ironstone common 463228205 15 13,506 SOLE 13,506 15,194.25 ISG Intl Software common M5733B104 7,939 622,700 SOLE 622,700 7,939,425.00 Isolyser Inc. common 464888106 438 165,000 SOLE 165,000 438,281.25 ITC Learning common 45031S106 1,768 372,250 SOLE 372,250 1,768,187.50 IXC Communications common 450713102 2,064 45,000 SOLE 45,000 2,064,375.00 Kenneth Cole Productions common 193294105 1,583 60,000 SOLE 60,000 1,582,500.00 Kulicke & Soffa common 501242101 1,010 40,000 SOLE 40,000 1,010,000.00 Kushner-Locke common 501337406 15,640 1,009,000 SOLE 1,009,000 15,639,500.00 L3 Communications common 502424104 6,938 150,000 SOLE 150,000 6,937,500.00 Lamali Assoc common 501718100 95 15,000 SOLE 15,000 94,687.50 Laser Photonics Inc common 517903308 900 200,000 SOLE 200,000 900,000.00 Leasing Solutions common 522113109 1,364 589,700 SOLE 589,700 1,363,681.25 Leasing Solutions Bnd cvt bnd 522113AA7020 299 1,150,000 SOLE 1,150,000 299,000.00 Leviathon Gas common 527367205 390 17,200 SOLE 17,200 390,225.00 LSI Logic Corp. common 502161102 936 30,000 SOLE 30,000 935,625.00 LTV Corp common 501921100 2,849 530,000 SOLE 530,000 2,848,750.00 LTX Corp. common 502392103 6,964 1,447,000 SOLE 1,447,000 6,963,687.50 Macromedia Inc. common 556100105 6,570 145,000 SOLE 145,000 6,570,312.50 Marketing Services common 570907105 8,103 558,800 SOLE 558,800 8,102,600.00 Martek Biosciences common 572901106 2,547 452,800 SOLE 452,800 2,547,000.00 Matria Healthcare common 576817100 5,000 1,860,500 SOLE 1,860,500 5,000,093.75 McDermott Intl. common 580037109 1,392 55,000 SOLE 55,000 1,392,187.50 MDC Communications common 55267W309 2,409 270,000 SOLE 270,000 2,408,805.00 MDC Corp common 55267W309 13,623 1,513,715 SOLE 1,513,715 13,623,435.92 MDSI Mobile Data common 55268N100 8,907 602,500 SOLE 602,500 8,906,817.16 Medaphis common 584028104 6,463 2,651,600 SOLE 2,651,600 6,463,275.00 Med-Design Co common 583926100 1,100 314,400 SOLE 314,400 1,100,400.00 Media 100 common 58440W105 735 140,000 SOLE 140,000 735,000.00 Medimmune common 584699102 1,776 30,000 SOLE 30,000 1,775,625.00 Medpartners common 58503X107 15,457 3,254,000 SOLE 3,254,000 15,456,500.00 Merrill Corp. common 590175105 8,331 622,900 SOLE 622,900 8,331,287.50 Metro One common 59163F105 2,237 157,000 SOLE 157,000 2,237,250.00 MGM Grand common 552953101 1,080 32,125 SOLE 32,125 1,080,203.12 Mirage Resorts common 60462E104 1,148 54,000 SOLE 54,000 1,147,500.00 Modtech Holdings common 607914108 36,411 4,045,621 SOLE 4,045,621 36,410,589.00 Monterey Pasta common 612570101 3,276 1,436,200 SOLE 1,436,200 3,276,331.25 Motorola Inc. common 620076109 13,247 180,840 SOLE 180,840 13,246,530.00 Mylan Labs common 628530107 2,786 101,536 SOLE 101,536 2,785,894.00 Mylex common 628546103 700 107,700 SOLE 107,700 700,050.00 Myr Group common 628456105 1,382 118,261 SOLE 118,261 1,382,175.44 Mysoftware Co common 628633109 6,125 350,000 SOLE 350,000 6,125,000.00 Nabors Industries common 629568106 2,710 149,000 SOLE 149,000 2,709,937.50 National Wireless common 638560102 1,931 99,000 SOLE 99,000 1,930,500.00 Natrol Inc common 638789107 2,316 382,000 SOLE 382,000 2,315,875.00 Natural Microsystems common 638882100 932 188,700 SOLE 188,700 931,706.25 NCO Group common 628858102 11,910 321,900 SOLE 321,900 11,910,300.00 Network Appliance common 64120L104 22,432 443,100 SOLE 443,100 22,431,937.50 Network Computing common 64120N100 308 61,500 SOLE 61,500 307,500.00 Newport Corp. common 651824104 1,058 85,500 SOLE 85,500 1,058,062.50 Nexstar Pharmaceuticals common 65332V103 6,637 389,000 SOLE 389,000 6,637,312.50 Nike common 654106103 2,596 45,000 SOLE 45,000 2,595,937.50 Noble Drilling common 655042109 6,850 395,650 SOLE 395,650 6,849,690.62 Object Design Inc common 674416102 2,388 465,900 SOLE 465,900 2,387,737.50 Ocular Sciences common 675744106 717 25,000 SOLE 25,000 717,187.50 Omnipoint common 68212D102 361 25,000 SOLE 25,000 360,937.50 OnSite Energy common 68284P108 1,847 2,954,513 SOLE 2,954,513 1,846,570.50 Ontro Inc common 683380109 315 120,000 SOLE 120,000 315,000.00 Ontro Inc Wts @8.25 wts 683380117 50 100,000 SOLE 100,000 50,000.00 Onyx Pharmaceuticals common 683399109 1,596 266,000 SOLE 266,000 1,596,000.00 Open Text common 683715106 6,779 215,200 SOLE 215,200 6,778,800.00 Opinion Research common 683755102 1,500 413,900 SOLE 413,900 1,500,387.50 Orcad Inc. common 685568107 63 7,500 SOLE 7,500 62,812.50 Orthologic Corp common 68750J107 1,245 415,000 SOLE 415,000 1,245,000.00 Pacific Internet common Y66183107 1,287 22,125 SOLE 22,125 1,287,398.44 Pathogenesis Corp common 70321E104 533 40,000 SOLE 40,000 532,500.00 Pcom Inc common 693262107 6,771 888,000 SOLE 888,000 6,771,000.00 Pegasus Systems common 705906105 997 25,000 SOLE 25,000 996,875.00 Peoplesoft Inc. common 712713106 59 4,000 SOLE 4,000 58,500.00 Pet Smart Inc common 716768106 804 100,100 SOLE 100,100 803,928.12 Petsmart Covt Bond cvt bnd 716768AA4060 238 250,000 SOLE 250,000 237,500.00 Phycor common 71940F100 1,914 403,000 SOLE 403,000 1,914,250.00 Pinnacle Systems common 723481107 11,930 262,200 SOLE 262,200 11,930,100.00 Pittsburgh Pa Pub cvt bnd 725259GR 10 10,000 SOLE 10,000 10,430.00 Pixar common 725811103 2,681 68,100 SOLE 68,100 2,681,437.50 Plasma Therm Inc common 727900102 1,289 573,000 SOLE 573,000 1,289,250.00 PMR Corp common 693451106 6,045 1,306,921 SOLE 1,306,921 6,044,509.62 Polycom common 73172K104 10,481 559,000 SOLE 559,000 10,481,250.00 Polymedica common 731738100 1,889 251,800 SOLE 251,800 1,888,500.00 Powerwave Technologies common 739363109 1,930 68,000 SOLE 68,000 1,929,500.00 ProMark Software common 743416106 30 507,800 SOLE 507,800 30,214.10 Puma Technology common 745906107 806 215,000 SOLE 215,000 806,250.00 QuadraMed Corp common 74730W101 305 40,000 SOLE 40,000 305,000.00 Qualmark common 747587103 238 50,000 SOLE 50,000 237,500.00 Quickturn Design common 74838E102 4,421 313,000 SOLE 313,000 4,421,125.00 Quiksilver Inc common 74838C106 2,113 50,000 SOLE 50,000 2,112,500.00 Qwest Communications common 749121109 2,483 34,446 SOLE 34,446 2,483,341.31 Randolph Twp Mun cvt bnd 752744BQ 10 10,000 SOLE 10,000 10,373.80 Realty Information common 75612B107 14,485 495,200 SOLE 495,200 14,484,600.00 Recoton Corp common 756268108 11,516 822,549 SOLE 822,549 11,515,685.80 Redwood Trust common 758075402 1,608 100,500 SOLE 100,500 1,608,000.00 Remec Inc. common 759543101 5,678 272,000 SOLE 272,000 5,678,000.00 Remedy common 759548100 210 15,000 SOLE 15,000 210,000.00 Remington Oil & Gas common 759594203 206 71,500 SOLE 71,500 205,562.50 Renaissance Worldwide common 75968A109 303 49,000 SOLE 49,000 303,187.50 Research in Motion common 760975102 1,821 175,000 SOLE 175,000 1,821,470.00 ResMed Inc common 761152107 410 14,500 SOLE 14,500 409,625.00 Respironics Inc. common 761230101 1,319 100,000 SOLE 100,000 1,318,750.00 Response Oncology common 761232305 90 30,000 SOLE 30,000 90,000.00 Rexhall Sundown common 761648104 388 20,200 SOLE 20,200 387,587.50 Roberts Pharmaceuticals common 770491108 1,660 80,000 SOLE 80,000 1,660,000.00 Safeguard Scientifics common 786449108 11,209 165,300 SOLE 165,300 11,209,406.25 Santa Barbara common 801378100 1,368 508,900 SOLE 508,900 1,367,668.75 Santa Cruz Operation common 801833104 1,088 200,000 SOLE 200,000 1,087,500.00 Santa Fe Intl common G7805C108 2,897 155,000 SOLE 155,000 2,896,562.50 Savoir Tech common 80533W107 3,676 426,200 SOLE 426,200 3,675,975.00 Sawtek Inc. common 805468105 11,981 355,000 SOLE 355,000 11,981,250.00 SCC Communications common 78388X105 295 96,200 SOLE 96,200 294,612.50 Schuler Homes Bnd cvt bnd 808188AA4 400 500,000 SOLE 500,000 400,000.00 Schuler Homes common 808188106 279 46,500 SOLE 46,500 279,000.00 Scottish Annuity and Life H common G78885T104 936 96,000 SOLE 96,000 936,000.00 Sea Containers common 811371707 1,868 64,700 SOLE 64,700 1,868,212.50 Seachange Intl common 811699107 585 68,300 SOLE 68,300 584,818.75 Seagate Technology common 811804103 1,183 40,000 SOLE 40,000 1,182,500.00 Secure Computing common 813705100 4,212 702,000 SOLE 702,000 4,212,000.00 Security First Tech common 814275103 29,474 401,000 SOLE 401,000 29,473,500.00 Seeq Technology common 815779103 691 248,500 SOLE 248,500 691,140.62 Sino Forest CL A common 82934H101 2,477 2,797,400 SOLE 2,797,400 2,477,097.70 Sipex Corp common 829909100 261 20,000 SOLE 20,000 261,250.00 Sirit Technology common 82966K105 22 198,000 SOLE 198,000 22,235.40 Smurfit Stone common 832727101 4,538 235,000 SOLE 235,000 4,538,437.50 Softnet Systems common 833964109 9,783 267,100 SOLE 267,100 9,782,537.50 Sonex common 835448101 262 323,000 SOLE 323,000 261,500.00 Southern Energy Homes common 842814105 2,026 376,875 SOLE 376,875 2,025,703.12 Spectrian Corp. common 847608106 2,977 253,400 SOLE 253,400 2,977,450.00 Speedfan Intl common 847705100 600 50,000 SOLE 50,000 600,000.00 Stake Technology common 852559103 2,994 2,521,500 SOLE 2,521,500 2,994,281.25 Startec Glbl Commun common 85569E103 214 27,600 SOLE 27,600 213,900.00 Sterling Software common 859547101 3,919 165,000 SOLE 165,000 3,918,750.00 Stolt Comex Seaway common L8873E103 2,438 253,300 SOLE 253,300 2,438,012.50 Styling Technology common 863905105 4,791 377,600 SOLE 377,600 4,790,800.00 Synbiotics Corp. common 871566105 3,850 1,100,100 SOLE 1,100,100 3,850,350.00 Synopsys Inc. common 871607107 1,344 25,000 SOLE 25,000 1,343,750.00 Syntroleum common 871630109 23 3,700 SOLE 3,700 22,662.50 Systems Software Bnd cvt bnd 871839AA4 505 1,000,000 SOLE 1,000,000 505,000.00 Tankology common 87583E101 7,63513,573,328 SOLE 13,573,328 7,634,997.00 Tekelec common 879101103 6,775 926,500 SOLE 926,500 6,775,031.25 Telespectrum Worldwide common 87951U109 1,120 130,800 SOLE 130,800 1,119,975.00 Temple Inland common 879868107 2,824 45,000 SOLE 45,000 2,823,750.00 Terayon Communications common 880775101 1,284 32,100 SOLE 32,100 1,284,000.00 Tidel Tech common 886368109 379 186,500 SOLE 186,500 378,828.12 TMP Worldwide common 872941109 1,329 20,500 SOLE 20,500 1,328,656.25 Tom Brown common 115660201 2,448 201,900 SOLE 201,900 2,448,037.50 Towne Services common 892148107 1,774 180,800 SOLE 180,800 1,774,100.00 Tricom common 89612A100 1,461 177,100 SOLE 177,100 1,461,075.00 TriQuint Semiconductors common 89674K103 3,328 179,900 SOLE 179,900 3,328,150.00 Urban Outfitters common 917047102 1,688 120,000 SOLE 120,000 1,687,500.00 Uroquest Medical common 917285108 490 245,000 SOLE 245,000 490,000.00 US Bioscience common 911646107 2,295 211,000 SOLE 211,000 2,294,625.00 UST Inc common 902911106 3,004 115,000 SOLE 115,000 3,004,375.00 USWEB common 917327108 5,775 140,000 SOLE 140,000 5,775,000.00 USX Corp. common 90337T101 1,175 50,000 SOLE 50,000 1,175,000.00 Verdant Brands Inc common 923366108 451 400,978 SOLE 400,978 451,100.25 Verisign Inc common 92343E102 14,399 93,500 SOLE 93,500 14,399,000.00 Veritas Software common 923436109 7,066 87,500 SOLE 87,500 7,065,625.00 VerticalNet common 92532L107 1,041 10,020 SOLE 10,020 1,040,827.50 Vet Ctr of America common 925514101 1,639 116,000 SOLE 116,000 1,638,500.00 VI Technologies common 917920100 3,106 314,500 SOLE 314,500 3,105,687.50 Vidamed common 926530106 750 250,000 SOLE 250,000 750,000.00 Videoserver Inc common 926918103 194 25,000 SOLE 25,000 193,750.00 Vista Information common 928365204 2,364 236,400 SOLE 236,400 2,364,000.00 Vitesse common 928497106 47,066 929,700 SOLE 929,700 47,066,062.50 Waste Connections common 941053100 1,948 81,600 SOLE 81,600 1,948,200.00 Western Garnet Co. common 95825D105 1,036 784,000 SOLE 784,000 1,036,212.80 Western Water Co. common 959881103 1,343 268,500 SOLE 268,500 1,342,500.00 Williams Cos. common 969457100 4,148 105,000 SOLE 105,000 4,147,500.00 Winstar Communications common 975515107 7,709 212,100 SOLE 212,100 7,708,509.37 Xilinx common 983919101 1,825 45,000 SOLE 45,000 1,825,312.50 Zindart LTD common 989597109 3,074 546,500 SOLE 546,500 3,074,062.50
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