-----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, UEcogIk+ciyD08nnV6jLwL0KC0TjWZeDgf6MhaMpmve1xVMD1N1xgpHNViYz8Xcc s3qdklaKO/feXszwPtb18Q== 0000909450-99-000004.txt : 19991108 0000909450-99-000004.hdr.sgml : 19991108 ACCESSION NUMBER: 0000909450-99-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990930 FILED AS OF DATE: 19991105 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: 99741779 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: September 30, 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_ Nov 5, 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: _____328___ Form 13F Information Table Value Total: __1,306,204 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 3,298 233,500 SOLE 233,500 3,298,187.50 Abitibi Consolidated common 003924107 1,533 130,000 SOLE 130,000 1,533,454.00 Acsys Inc common 00087X103 624 237,700 SOLE 237,700 623,962.50 Active Voice Corp common 004938106 205 13,000 SOLE 13,000 204,750.00 Adaptive Broadband common 00650M104 14,877 444,100 SOLE 444,100 14,877,350.00 Adtran Inc. common 00738A106 2,743 71,600 SOLE 71,600 2,743,175.00 Advanced Fibre common 00754A105 334 15,000 SOLE 15,000 333,750.00 AHT Corp. common 00130R103 878 302,000 SOLE 302,000 877,687.50 Aim Global common 00900N100 832 132,500 SOLE 132,500 832,391.50 Airtran Holdings common 00949P108 503 100,000 SOLE 100,000 503,125.00 Allegiance Telecommunicatio common 01747T102 1,447 27,500 SOLE 27,500 1,447,187.50 Allied Products Corp common 019411107 212 51,400 SOLE 51,400 212,025.00 Alpnet Inc. common 021089107 2,751 1,222,800 SOLE 1,222,800 2,751,300.00 American Capital Strategies common 024937104 7,091 383,300 SOLE 383,300 7,091,050.00 Ameripath common 03071D109 4,221 504,000 SOLE 504,000 4,221,000.00 Amer-Online common 02364J104 4,711 45,300 SOLE 45,300 4,711,200.00 Analog Devices common 032654105 2,050 40,000 SOLE 40,000 2,050,000.00 Anaren Microwave common 032744104 4,506 159,500 SOLE 159,500 4,505,875.00 Applied Imaging common 03820G106 197 210,000 SOLE 210,000 196,875.00 Aremisoft Corp common 040026106 338 30,000 SOLE 30,000 337,500.00 ArtiSoft common 04314L106 1,141 175,500 SOLE 175,500 1,140,750.00 Atmel Corp. common 049513104 1,319 39,000 SOLE 39,000 1,318,687.50 Auror Biosciences common 051920106 886 65,000 SOLE 65,000 885,625.00 Azurix Corp common 05501M104 3,446 200,500 SOLE 200,500 3,446,093.75 Banc Plus Corp cvt bnd 06446AA5 710 825,000 SOLE 825,000 709,500.00 Be Incorporated common 073309106 318 45,000 SOLE 45,000 317,812.50 Big Entertainment common 089144109 10,804 610,800 SOLE 610,800 10,803,525.00 Bitstream Inc common 091736108 2,015 871,200 SOLE 871,200 2,014,650.00 BJ Services common 055482103 8,968 281,900 SOLE 281,900 8,967,943.75 Blockbuster Inc common 093679108 1,039 81,500 SOLE 81,500 1,039,125.00 Boston Communications common 100582105 579 100,700 SOLE 100,700 579,025.00 Broadbase Software common 11130R100 558 35,000 SOLE 35,000 557,812.50 Brookdale Living common 112462106 7,186 499,900 SOLE 499,900 7,186,062.50 Building One common 120114103 1,117 91,611 SOLE 91,611 1,116,509.06 Business Resource common 12329K104 51 13,500 SOLE 13,500 51,468.75 Cabletron common 126920107 2,667 170,000 SOLE 170,000 2,666,875.00 Calgon Carbon Corp common 129603106 1,516 222,500 SOLE 222,500 1,515,781.25 California Micro Devices common 130439102 346 79,000 SOLE 79,000 345,625.00 Career Education common 141665109 10,359 357,200 SOLE 357,200 10,358,800.00 Caremark Rx Inc common 141705103 20,312 3,611,000 SOLE 3,611,000 20,311,875.00 Celeritek Inc common 150926103 1,366 223,000 SOLE 223,000 1,365,875.00 Charles Schwab common 808513105 337 10,000 SOLE 10,000 336,875.00 Chemdex Corp common 163595101 539 17,500 SOLE 17,500 539,218.75 Chevy Chase common 166784207 684 23,000 SOLE 23,000 684,250.00 Cholestech Corp. common 170393102 2,275 356,900 SOLE 356,900 2,275,237.50 Chronimed common 171164106 1,408 176,000 SOLE 176,000 1,408,000.00 Ciena Corp common 171779101 3,906 107,000 SOLE 107,000 3,905,500.00 Clickaction Inc common 18681E107 7,333 482,800 SOLE 482,800 7,332,525.00 ClipClop.Com common 188837108 71 507,800 SOLE 507,800 71,092.00 CMG Information common 125750109 122,682 1,196,900 SOLE 1,196,900 122,682,250.00 CoastCast common 19057T108 3,333 266,600 SOLE 266,600 3,332,500.00 Coherent Inc. common 192479103 446 20,000 SOLE 20,000 446,250.00 Com21 Inc common 205937105 1,469 113,000 SOLE 113,000 1,469,000.00 Commtouch Software common M25596103 528 35,500 SOLE 35,500 528,062.50 COMPS.Com Inc common 204679105 858 120,400 SOLE 120,400 857,850.00 Corporate Executive common 21988R102 10,420 255,700 SOLE 255,700 10,419,775.00 CoStar Group common 22160N109 9,175 384,300 SOLE 384,300 9,175,162.50 Coulter Pharmaceuticals common 222116105 3,509 251,800 SOLE 251,800 3,509,462.50 Credit Management common 224905109 2,385 433,600 SOLE 433,600 2,384,800.00 Cree Research common 225447101 3,068 90,400 SOLE 90,400 3,067,950.00 CTC Communications common 126419100 2,137 130,000 SOLE 130,000 2,136,875.00 Cuisine Solutions common 229904107 1,944 1,555,057 SOLE 1,555,057 1,943,821.25 Cylink CP common 232565101 363 50,000 SOLE 50,000 362,500.00 Cymer Inc. common 232572107 659 19,000 SOLE 19,000 659,062.50 Cypress Semiconductors common 232806109 3,763 175,000 SOLE 175,000 3,762,500.00 Cytyc common 232946103 14,459 373,750 SOLE 373,750 14,459,453.12 DAOU Systems common 237015102 5,462 1,016,200 SOLE 1,016,200 5,462,075.00 Data General Corp, common 237688106 4,213 200,000 SOLE 200,000 4,212,500.00 Datastream Systems common 238124101 5,005 381,300 SOLE 381,300 5,004,562.50 Dataware Technologies common 237920103 964 395,500 SOLE 395,500 964,031.25 Denbury Resource common 247916208 2,196 403,900 SOLE 403,900 2,196,206.25 Devon Energy common 251799102 5,387 130,000 SOLE 130,000 5,386,875.00 Dialog Corp common 252500103 1,583 402,000 SOLE 402,000 1,582,875.00 Digex common 253756100 355 15,000 SOLE 15,000 355,312.50 Digital Microwave common 253859102 22,463 1,431,900 SOLE 1,431,900 22,462,931.25 Digital Origin common 25385X109 396 72,000 SOLE 72,000 396,000.00 Digital River common 25388B104 3,714 170,750 SOLE 170,750 3,713,812.50 Dreyers Ice Cream common 261878102 16,579 954,188 SOLE 954,188 16,579,016.50 Dril Quip Inc common 262037104 1,304 51,000 SOLE 51,000 1,303,687.50 DSET Corp common 262504103 5,995 408,200 SOLE 408,200 5,995,437.50 Dycom common 267475101 2,194 52,000 SOLE 52,000 2,193,750.00 E4L Inc. common 268452109 2,175 570,500 SOLE 570,500 2,175,031.25 Emcore Corp common 290846104 155 11,200 SOLE 11,200 155,400.00 Empyrean Diagnostics common 29245E103 174 280,500 SOLE 280,500 173,910.00 Encore Wire common 292562105 552 60,900 SOLE 60,900 551,906.25 Engage Technologies common 292827102 2,035 54,000 SOLE 54,000 2,035,125.00 Enron Corp common 293561106 6,188 150,000 SOLE 150,000 6,187,500.00 Ensco Intl Inc. common 26874Q100 7,292 403,700 SOLE 403,700 7,291,831.25 Equity Marketing common 294724109 4,388 297,500 SOLE 297,500 4,388,125.00 E-Sim Lt common M40990109 1,524 192,000 SOLE 192,000 1,524,000.00 ESPS INC common 269129102 3,168 370,000 SOLE 370,000 3,168,125.00 Evergreen Resources common 299900308 1,444 60,000 SOLE 60,000 1,443,750.00 Exodus Communications common 302088109 1,477 20,500 SOLE 20,500 1,477,281.25 F5 Networks common 315616102 612 9,000 SOLE 9,000 612,000.00 Factory 2-U Stores common 306889403 7,013 234,754 SOLE 234,754 7,013,275.75 Featherlite Manufacturing common 313054108 1,164 230,000 SOLE 230,000 1,164,375.00 Film Roman common 317234102 2,266 1,007,000 SOLE 1,007,000 2,265,750.00 Four Media common 350872107 786 149,700 SOLE 149,700 785,925.00 Fresh America common 358034106 3,837 632,900 SOLE 632,900 3,836,956.25 Gadzooks Inc. common 362553109 742 112,000 SOLE 112,000 742,000.00 Galileo Technologies common M47298100 3,165 126,600 SOLE 126,600 3,165,000.00 Garden Burger common 365476100 5,140 663,200 SOLE 663,200 5,139,800.00 General Cable Corp common 369300108 240 20,000 SOLE 20,000 240,000.00 Genesis Microchip common 371933102 2,167 122,500 SOLE 122,500 2,166,718.75 Genesys Telecommunications common 371931106 6,917 151,400 SOLE 151,400 6,917,087.50 Genome Therapeutics common 372430108 3,615 903,730 SOLE 903,730 3,614,920.00 Georgia Pacific common 373298108 810 20,000 SOLE 20,000 810,000.00 Gilead Sciences common 375558103 5,818 90,645 SOLE 90,645 5,818,275.94 Global Industries common 379336100 1,991 245,000 SOLE 245,000 1,990,625.00 Granite Construction common 387328107 2,385 91,500 SOLE 91,500 2,384,718.75 Grey Wolf common 397888108 1,358 452,500 SOLE 452,500 1,357,500.00 Hanover Direct common 410783104 513 200,000 SOLE 200,000 512,500.00 Harken Energy common 412552101 11 10,000 SOLE 10,000 11,250.00 Healtheon common 422209106 2,960 80,000 SOLE 80,000 2,960,000.00 Hibernia Foods wts 428660120 249 117,000 SOLE 117,000 248,625.00 Hibernia Foods wts 428660138 307 117,000 SOLE 117,000 307,125.00 Hibernia Foods PLC common 428660104 2,182 431,000 SOLE 431,000 2,181,937.50 HIE Inc. common 40419W100 2,801 1,400,600 SOLE 1,400,600 2,801,200.00 Horizon Organic common 44043T103 2,235 200,900 SOLE 200,900 2,235,012.50 Image Entertainment common 452439201 508 110,500 SOLE 110,500 507,609.37 Imatron Inc. common 452906100 91 75,000 SOLE 75,000 91,406.25 Infinium Software common 45662Y109 2,819 563,700 SOLE 563,700 2,818,500.00 Infonautics Inc common 456662105 2,188 380,600 SOLE 380,600 2,188,450.00 Information Res common 45675F303 461 22,000 SOLE 22,000 460,625.00 Insight Communications common 45768V108 945 33,000 SOLE 33,000 944,625.00 Insituform Tech common 457667103 8,387 335,465 SOLE 335,465 8,386,625.00 Instant Video common 45774V407 272 31,500 SOLE 31,500 271,687.50 Integramed America common 45810N302 996 249,100 SOLE 249,100 996,400.00 Intercept Group common 45845L107 2,248 121,500 SOLE 121,500 2,247,750.00 Internap Networks common 45885A102 223 5,000 SOLE 5,000 223,125.00 Internet Capital common 46059C106 967 11,000 SOLE 11,000 966,625.00 Interpool Inc common 46062R108 1,873 245,650 SOLE 245,650 1,873,081.25 Intertan Inc common 461120107 6,023 306,900 SOLE 306,900 6,022,912.50 Int'l Fibercom common 45950T101 1,620 308,600 SOLE 308,600 1,620,150.00 Intuit Inc common 461202103 8,919 101,750 SOLE 101,750 8,919,023.44 Invivo Corp. common 461858105 4,174 329,000 SOLE 329,000 4,174,187.50 Iridex common 462684101 1,946 486,500 SOLE 486,500 1,946,000.00 Ironstone common 463228205 10 13,506 SOLE 13,506 10,129.50 ISG Intl Software common M5733B104 3,992 565,200 SOLE 565,200 3,991,725.00 Isolyser Inc. common 464888106 1,866 506,000 SOLE 506,000 1,865,875.00 ITC Learning common 45031S106 1,675 382,850 SOLE 382,850 1,674,968.75 IXC Communications common 450713102 1,656 42,000 SOLE 42,000 1,656,375.00 J Baker Cvt cvt bnd 057232AA8 815 1,000,000 SOLE 1,000,000 815,000.00 J. Baker Inc. common 057232100 1,181 150,000 SOLE 150,000 1,181,250.00 JDS Uniphase common 46612J101 3,357 29,500 SOLE 29,500 3,357,468.75 Kenneth Cole common 193294105 1,682 45,000 SOLE 45,000 1,681,875.00 Keynote Systems common 493308100 1,250 50,000 SOLE 50,000 1,250,000.00 Kulicke & Soffa common 501242101 2,200 90,500 SOLE 90,500 2,200,281.25 Kushner-Locke common 501337406 8,510 1,702,000 SOLE 1,702,000 8,510,000.00 L3 Communications common 502424104 5,398 143,000 SOLE 143,000 5,398,250.00 Laser Photonics Inc common 517903308 850 200,000 SOLE 200,000 850,000.00 Lattice Semiconductors common 518415104 2,553 86,000 SOLE 86,000 2,553,125.00 Leasing Solutions common 522113109 203 589,700 SOLE 589,700 202,709.37 Leasing Solutions Bnd cvt bnd 522113AA7020 106 1,150,000 SOLE 1,150,000 106,375.00 Level 3 Communications common 52729N100 653 12,500 SOLE 12,500 652,734.37 Leviathon Gas common 527367205 391 17,200 SOLE 17,200 391,300.00 Loislaw.com common 541431102 943 65,000 SOLE 65,000 942,500.00 Louisiana Pacific common 546347105 313 20,000 SOLE 20,000 312,500.00 LSI Logic Corp. common 502161102 2,768 53,745 SOLE 53,745 2,767,867.50 LTX Corp. common 502392103 24,209 1,768,700 SOLE 1,768,700 24,209,081.25 Lyondell Petrochemical common 552078107 535 40,000 SOLE 40,000 535,000.00 Macromedia Inc. common 556100105 7,296 178,500 SOLE 178,500 7,296,187.50 Marketing Services common 570907105 6,480 545,700 SOLE 545,700 6,480,187.50 Martek Biosciences common 572901106 2,643 459,600 SOLE 459,600 2,642,700.00 Matria Healthcare common 576817100 11,183 1,903,479 SOLE 1,903,479 11,182,939.12 McDermott Intl. common 580037109 2,491 123,000 SOLE 123,000 2,490,750.00 McKesson Corp. common 58155Q103 870 30,000 SOLE 30,000 870,000.00 MDC Corp common 55267W309 21,832 2,098,015 SOLE 2,098,015 21,831,720.63 MDSI Mobile Data common 55268N100 7,618 602,500 SOLE 602,500 7,618,036.30 Med-Design Co common 583926100 1,199 314,400 SOLE 314,400 1,198,650.00 Medimmune common 584699102 1,943 19,500 SOLE 19,500 1,943,296.87 Medpartners Inc TAPS common 58503X206 135 16,000 SOLE 16,000 135,000.00 Mentor Graphics common 587200106 856 100,000 SOLE 100,000 856,250.00 Merrill Corp. common 590175105 12,541 629,000 SOLE 629,000 12,540,687.50 Micron Technology common 595112103 19,842 298,100 SOLE 298,100 19,842,281.25 MIPS Inc. common 604567107 795 25,000 SOLE 25,000 795,312.50 Mission Critical common 605047109 2,247 50,500 SOLE 50,500 2,247,250.00 MLC Holdings common 55305V107 375 40,000 SOLE 40,000 375,000.00 Modtech Holdings common 60783C100 28,524 4,074,894 SOLE 4,074,894 28,524,258.00 Monterey Pasta common 612570101 5,029 1,749,300 SOLE 1,749,300 5,029,237.50 Motorola Inc. common 620076109 13,200 150,000 SOLE 150,000 13,200,000.00 MTI Technology common 553903105 1,843 79,900 SOLE 79,900 1,842,693.75 Myr Group common 628456105 2,616 116,261 SOLE 116,261 2,615,872.50 N2H2 Inc common 67019F104 989 100,800 SOLE 100,800 989,100.00 Nabors Industries common 629568106 5,150 206,000 SOLE 206,000 5,150,000.00 National Information Consor common 636491102 5,002 202,600 SOLE 202,600 5,001,687.50 National Wireless common 638560102 1,594 109,000 SOLE 109,000 1,594,125.00 Natrol Inc common 638789107 3,315 408,050 SOLE 408,050 3,315,406.25 NCO Group common 628858102 9,184 195,400 SOLE 195,400 9,183,800.00 Netplex Group common 641147103 380 160,000 SOLE 160,000 380,000.00 Network Appliance common 64120L104 30,333 423,500 SOLE 423,500 30,333,187.50 Network Associates common 640938106 956 50,000 SOLE 50,000 956,250.00 Newbridge Networks common 650901101 4,048 155,300 SOLE 155,300 4,047,506.25 Newfield Exploration common 651290108 2,724 82,700 SOLE 82,700 2,723,931.25 Newgen Results Corp common 651359101 1,686 155,000 SOLE 155,000 1,685,625.00 Newmont Mng common 651639106 1,423 55,000 SOLE 55,000 1,423,125.00 Newport Corp. common 651824104 673 40,500 SOLE 40,500 673,312.50 NFront Inc. common 65334N109 2,233 200,700 SOLE 200,700 2,232,787.50 Nike common 654106103 3,128 55,000 SOLE 55,000 3,128,125.00 Noble Drilling common 655042109 8,843 404,250 SOLE 404,250 8,842,968.75 Northwest Pipe common 667746101 727 46,500 SOLE 46,500 726,562.50 Nucentrix common 670198100 3,279 135,200 SOLE 135,200 3,278,600.00 Object Design Inc common 674416102 2,722 596,500 SOLE 596,500 2,721,531.25 OM Group common 670872100 4,486 116,900 SOLE 116,900 4,486,037.50 OMI Corp. common Y6476W104 513 200,000 SOLE 200,000 512,500.00 One Price Clothing common 682411103 94 28,500 SOLE 28,500 94,406.25 OneSource Information Syste common 68272J106 1,073 130,000 SOLE 130,000 1,072,500.00 OnSite Energy common 68284P108 798 2,954,513 SOLE 2,954,513 797,718.46 Ontro Inc common 683380109 225 120,000 SOLE 120,000 225,000.00 Ontro Inc Wts @8.25 wts 683380117 38 100,000 SOLE 100,000 37,500.00 Onyx Pharmaceuticals common 683399109 1,658 201,000 SOLE 201,000 1,658,250.00 Open Text common 683715106 49 2,500 SOLE 2,500 49,375.00 Opinion Research common 683755102 2,346 552,100 SOLE 552,100 2,346,425.00 Orthologic Corp common 68750J107 1,686 562,000 SOLE 562,000 1,686,000.00 Owens Illinois common 690768403 991 50,000 SOLE 50,000 990,625.00 Pairgain Tech Inc common 695934109 4,373 343,000 SOLE 343,000 4,373,250.00 Panja Inc common 698493103 406 31,400 SOLE 31,400 406,237.50 Park Place common 700690100 500 40,000 SOLE 40,000 500,000.00 Parker Drilling common 701081101 4,506 1,015,500 SOLE 1,015,500 4,506,281.25 P-Com Inc common 693262107 7,400 1,057,200 SOLE 1,057,200 7,400,400.00 Peoplesoft Inc. common 712713106 68 4,000 SOLE 4,000 67,750.00 Per-Se Technologies common 713569200 11,028 3,208,000 SOLE 3,208,000 11,027,500.00 Photon Dynamics common 719364101 1,071 51,000 SOLE 51,000 1,071,000.00 Phycor common 71940F100 1,719 393,000 SOLE 393,000 1,719,375.00 Pinnacle Systems common 723481107 26,703 630,150 SOLE 630,150 26,702,606.25 Pittsburgh Pa Pub cvt bnd 725259GR 10 10,000 SOLE 10,000 10,430.00 Pixar common 725811103 2,260 60,060 SOLE 60,060 2,259,757.50 Plasma Therm Inc common 727900102 2,998 615,000 SOLE 615,000 2,998,125.00 PMR Corp common 693451106 3,811 1,325,421 SOLE 1,325,421 3,810,585.37 Polycom common 73172K104 25,191 528,600 SOLE 528,600 25,191,093.75 Polymedica common 731738100 698 30,000 SOLE 30,000 697,500.00 Portal Software common 736126103 1,744 45,000 SOLE 45,000 1,743,750.00 Powerwave Technologies common 739363109 6,432 133,400 SOLE 133,400 6,432,381.25 Pride Intl common 741932107 2,014 141,950 SOLE 141,950 2,013,915.62 Promus Hotel Corp common 74342P106 2,605 80,000 SOLE 80,000 2,605,000.00 Puma Technology common 745906107 14,276 936,100 SOLE 936,100 14,275,525.00 QuadraMed Corp common 74730W101 750 100,000 SOLE 100,000 750,000.00 Quiksilver Inc common 74838C106 1,389 76,100 SOLE 76,100 1,388,825.00 Radisys Corp. common 750459109 3,383 86,200 SOLE 86,200 3,383,350.00 Randolph Twp Mun cvt bnd 752744BQ 10 10,000 SOLE 10,000 10,373.80 Redwood Trust common 758075402 4,154 321,100 SOLE 321,100 4,154,231.25 Remec Inc. common 759543101 5,145 374,200 SOLE 374,200 5,145,250.00 Remedy Corp common 759548100 1,419 50,000 SOLE 50,000 1,418,750.00 Renaissance Worldwide common 75968A109 2,368 611,200 SOLE 611,200 2,368,400.00 Research in Motion common 760975102 6,319 207,000 SOLE 207,000 6,318,574.00 Respironics Inc. common 761230101 825 100,000 SOLE 100,000 825,000.00 RSA Security Inc. common 749719100 2,855 107,500 SOLE 107,500 2,855,468.75 Safeguard Scientifics common 786449108 16,908 248,650 SOLE 248,650 16,908,200.00 Saleslogix Corp common 79466P105 1,066 53,300 SOLE 53,300 1,066,000.00 Santa Barbara common 801378100 1,003 509,400 SOLE 509,400 1,002,881.25 Santa Cruz Operation common 801833104 12,690 1,063,000 SOLE 1,063,000 12,689,562.50 Santa Fe Intl common G7805C108 2,156 100,000 SOLE 100,000 2,156,250.00 Savoir Tech common 80533W107 3,617 428,700 SOLE 428,700 3,617,156.25 Sawtek Inc. common 805468105 18,813 537,500 SOLE 537,500 18,812,500.00 Schuler Homes Bnd cvt bnd 808188AA4 1,000 1,250,000 SOLE 1,250,000 1,000,000.00 Schuler Homes common 808188106 432 64,000 SOLE 64,000 432,000.00 Scient Corp common 80864H109 1,312 20,500 SOLE 20,500 1,312,000.00 Scottish Annuity and Life H common G78885T104 1,131 116,000 SOLE 116,000 1,131,000.00 Sea Containers common 811371707 3,091 110,400 SOLE 110,400 3,091,200.00 Seachange Intl common 811699107 556 35,000 SOLE 35,000 555,625.00 Secure Computing common 813705100 194 62,000 SOLE 62,000 193,750.00 Security First Tech common 814275103 19,655 505,600 SOLE 505,600 19,655,200.00 Siebel Systems common 826170102 766 11,500 SOLE 11,500 766,187.50 Silknet Software.com common 827094103 2,136 46,300 SOLE 46,300 2,135,587.50 Sino Forest CL A common 82934H101 3,272 2,797,400 SOLE 2,797,400 3,271,839.04 Sirit Technology common 82966K105 46 192,000 SOLE 192,000 46,195.20 Smurfit Stone common 832727101 4,855 224,500 SOLE 224,500 4,854,812.50 Softnet Systems common 833964109 7,962 326,650 SOLE 326,650 7,962,093.75 Sonex common 835448101 242 323,000 SOLE 323,000 242,281.25 Southern Energy common 842814105 80 30,475 SOLE 30,475 79,996.87 Spectrian Corp. common 847608106 6,858 315,300 SOLE 315,300 6,857,775.00 Stake Technology common 852559103 3,110 2,764,500 SOLE 2,764,500 3,110,062.50 Starbucks Corp common 855244109 1,861 75,100 SOLE 75,100 1,861,071.87 Startec Glbl Commun common 85569E103 777 56,500 SOLE 56,500 776,875.00 Sterling Software common 859547101 2,700 135,000 SOLE 135,000 2,700,000.00 Stolt Comex Seaway common L8873E103 2,865 253,300 SOLE 253,300 2,865,456.25 Student Advantage common 86386Q105 1,745 151,700 SOLE 151,700 1,744,550.00 Styling Technology common 863905105 4,406 409,900 SOLE 409,900 4,406,425.00 Swift Energy common 870738101 1,073 85,000 SOLE 85,000 1,073,125.00 Synbiotics Corp. common 871566105 2,819 1,100,100 SOLE 1,100,100 2,819,006.25 Systems Software Bnd cvt bnd 871839AA4 370 1,000,000 SOLE 1,000,000 370,000.00 Tankology common 87583E101 3,40413,615,658 SOLE 13,615,658 3,403,914.50 Teekay Shipping common V89564104 859 55,000 SOLE 55,000 859,375.00 Tekelec common 879101103 12,797 926,500 SOLE 926,500 12,797,281.25 Telcom Semiconductor common 87921P107 510 40,000 SOLE 40,000 510,000.00 Telespectrum common 87951U109 300 50,500 SOLE 50,500 299,843.75 Temple Inland common 879868107 4,235 70,000 SOLE 70,000 4,235,000.00 Three Five Systems common 88554L108 1,659 75,000 SOLE 75,000 1,659,375.00 Tidel Tech common 886368109 1,072 544,500 SOLE 544,500 1,071,984.37 Tidewater common 886423102 1,135 44,500 SOLE 44,500 1,134,750.00 TMP Worldwide common 872941109 3,074 50,500 SOLE 50,500 3,074,187.50 Tom Brown common 115660201 3,074 208,400 SOLE 208,400 3,073,900.00 Topps Company common 890786106 1,440 192,000 SOLE 192,000 1,440,000.00 Towne Services common 892148107 943 295,800 SOLE 295,800 942,862.50 Transaction Systems common 893416107 404 15,000 SOLE 15,000 404,062.50 Tricom common 89612A100 1,777 222,100 SOLE 222,100 1,776,800.00 TriQuint Semiconductor common 89674K103 12,896 225,500 SOLE 225,500 12,895,781.25 U.S. Concrete common 90333L102 1,292 159,000 SOLE 159,000 1,291,875.00 U.S. Treasury Notes treas. Nt 912827Y55 37 35,000 SOLE 35,000 36,659.00 UAL Inc. common 902549500 1,959 30,000 SOLE 30,000 1,959,375.00 Urban Outfitters common 917047102 2,662 120,300 SOLE 120,300 2,661,637.50 Uroquest Medical common 917285108 325 245,000 SOLE 245,000 325,390.62 US Aggregates common 90334D109 1,394 100,000 SOLE 100,000 1,393,750.00 US Bioscience common 911646107 2,850 200,000 SOLE 200,000 2,850,000.00 US Internetworking common 917311805 2,447 78,300 SOLE 78,300 2,446,875.00 US Oncology Inc common 90338W103 3,652 403,000 SOLE 403,000 3,652,187.50 US Search.com Inc common 903381101 1,472 150,000 SOLE 150,000 1,471,875.00 USWEB common 917327108 3,088 90,000 SOLE 90,000 3,088,125.00 Verdant Brands Inc common 923366108 251 80,195 SOLE 80,195 250,610.62 Verisign Inc common 92343E102 5,155 48,400 SOLE 48,400 5,154,600.00 Veritas Software common 923436109 2,278 30,000 SOLE 30,000 2,278,125.00 Vet Ctr of America common 925514107 1,498 131,000 SOLE 131,000 1,498,312.50 VI Technologies common 917920100 1,559 328,200 SOLE 328,200 1,558,950.00 Vidamed common 926530106 788 300,000 SOLE 300,000 787,500.00 Vista Information common 928365204 402 132,600 SOLE 132,600 401,943.75 Vitesse common 928497106 51,609 604,500 SOLE 604,500 51,609,187.50 Wells Fargo common 949746101 1,997 50,400 SOLE 50,400 1,997,100.00 Western Garnet Co. common 95825D105 1,179 784,000 SOLE 784,000 1,178,900.80 Western Water Co. common 959881103 436 268,500 SOLE 268,500 436,312.50 Weyerhaeuser Co. common 962166104 864 15,000 SOLE 15,000 864,375.00 Whole Foods Mkt common 966837106 1,963 60,000 SOLE 60,000 1,963,125.00 Williams Cos. common 969457100 5,241 140,000 SOLE 140,000 5,241,250.00 Winstar Communications common 975515107 3,242 83,000 SOLE 83,000 3,242,187.50 Worldgate Communications common 98156l307 1,059 46,300 SOLE 46,300 1,059,112.50 Xceed Inc common 98388N105 322 15,000 SOLE 15,000 321,562.50 Xilinx common 983919101 4,915 75,000 SOLE 75,000 4,914,843.75 Zindart LTD common 989597109 4,320 611,700 SOLE 611,700 4,320,131.25 Ziplink common 989741103 3,239 308,500 SOLE 308,500 3,239,250.00
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