-----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, Dbtq8LYtuNAbMGBdxiwzQxuxYHk2BGbdX6u8qb358NgGUvpUzrmLIOcBaA95qaxG ZnHJbp8RQoaQ/ncYgxcbPA== 0001044321-08-000176.txt : 20080512 0001044321-08-000176.hdr.sgml : 20080512 20080512153051 ACCESSION NUMBER: 0001044321-08-000176 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080331 FILED AS OF DATE: 20080512 DATE AS OF CHANGE: 20080512 EFFECTIVENESS DATE: 20080512 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MARXE AUSTIN W & GREENHOUSE DAVID M CENTRAL INDEX KEY: 0001044321 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06452 FILM NUMBER: 08823071 BUSINESS ADDRESS: STREET 1: C/O SPECIAL SITUATIONS FUNDS STREET 2: 527 MADISON AVENUE, SUITE 2600 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2122076500 MAIL ADDRESS: STREET 1: C/O SPECIAL SITUATIONS FUNDS STREET 2: 527 MADISON AVENUE, SUITE 2600 CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 fmarch08t.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, 2008 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: Austin W. Marxe and David M. Greenhouse Address: 527 Madison Avenue, Suite 2600, New York, New York 10022 13F File Number: 028-06452 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, 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: Austin Marxe Title: President; AWM Investment Company, Inc. Phone: (212) 319-6670 Signature: /s/ Austin Marxe, New York, NY, May 12, 2008 Name: David Greenhouse Title: Vice President; AWM Investment Company, Inc. Phone: (212) 319-6670 Signature: /s/ David Greenhouse, New York, NY, May 12, 2008 Report Type (Check only one.): (x) 13F HOLDINGS REPORT ( ) 13F NOTICE ( ) 13F COMBINATION REPORT List of Other Managers Reporting for this Manager: None I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 252 Form 13F Information Table Value Total: $ 808,113 List of Other included Managers: No. 13F File Number Name None FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- ----- - --- -------- ASTA Funding, Inc. common 046220109 1858 133414 SH SOLE 133414 Acorn Factor Inc.(WATCH) common 004848107 4098 871885 SH SOLE 871885 Adept Technology, Inc. common 006854202 21349 2482484 SH SOLE 2482484 Allied Healthcare Int'l Inc. common 01923A109 3065 1915498 SH SOLE 1915498 Alpha Pro Tech Ltd. common 020772109 1643 1392608 SH SOLE 1392608 Alphatec Holdings Inc. common 02081G102 800 159411 SH SOLE 159411 AmCOMP, Inc. common 02342J101 8501 695647 SH SOLE 695647 American DG Energy Inc. common 025398108 106 105000 SH SOLE 105000 American Dental Partners, Inc. common 025353103 7744 800816 SH SOLE 800816 American Technology Corporatio common 030145205 7854 3586163 SH SOLE 3586163 Amtech Systems Inc. common 032332504 12943 1075035 SH SOLE 1075035 Arius Research Inc. common 040454100 1321 763850 SH SOLE 763850 BTU International Corp. common 056032105 5286 574599 SH SOLE 574599 Bakers Footwear Group, Inc. common 057465106 3532 1784060 SH SOLE 1784060 Barrier Therapeutics, Inc. common 06850R108 3410 1000000 SH SOLE 1000000 Bio Imaging Technologies common 09056N103 931 132766 SH SOLE 132766 Buca, Inc. common 117769109 1416 2179051 SH SOLE 2179051 CEVA, Inc. common 157210105 18981 2481121 SH SOLE 2481121 COMARCO, Inc. common 200080109 4892 1311526 SH SOLE 1311526 Caprius, Inc. common 14066K107 566 1379309 SH SOLE 1379309 Capstone Turbine Corp common 14067D102 10966 5172407 SH SOLE 5172407 Centillium Communications, Inc common 152319109 1366 2070030 SH SOLE 2070030 Chase Packaging Corporation common 161635107 158 789165 SH SOLE 789165 China Education Alliance Inc. common 16938Y207 2662 1250000 SH SOLE 1250000 ChinaCast Education Corporatio common 16946T109 11343 2471321 SH SOLE 2471321 ClickSoftware Technologies, Lt common M25082104 6393 2181763 SH SOLE 2181763 Collectors Universe,Inc. common 19421R101 8392 807662 SH SOLE 807662 Combinatorx, Inc. common 20010A103 7588 2205738 SH SOLE 2205738 Concurrent Computer Corp common 206710204 2760 4000000 SH SOLE 4000000 Constant Contact Inc. common 210313102 758 52347 SH SOLE 52347 Corgi International Ltd. common 21872Q202 1271 804701 SH SOLE 804701 CryptoLogic, Inc.(Canada) common G3159C109 7382 465446 SH SOLE 465446 Curagen Corp. common 23126R101 2117 2646504 SH SOLE 2646504 Dover Saddlery, Inc. common 260412101 3668 706825 SH SOLE 706825 Dynavax Technologies Corp common 268158102 401 204649 SH SOLE 204649 Ectel Ltd (Israel) common M29925100 501 199700 SH SOLE 199700 Emrise Corporation common 29246J101 2607 4010647 SH SOLE 4010647 Environmental Power Corp common 29406L201 703 169461 SH SOLE 169461 Excapsa Software, Inc. common Not Avail 1008 4412750 SH SOLE 4412750 FSI International Inc. common 302633102 4829 3630662 SH SOLE 3630662 Familymeds Group Inc. common 30706T209 366 1143889 SH SOLE 1143889 Frequency Electronics, Inc. common 358010106 2700 347054 SH SOLE 347054 Full House Resorts Inc.(WATCH) common 359678109 2974 1894400 SH SOLE 1894400 GeneNews, Ltd. (Canada) common 36870T107 4062 3971300 SH SOLE 3971300 Global Power Equipment Group I common 37941P207 879 627531 SH SOLE 627531 Global Traffic Network, Inc. common 37947B103 913 104219 SH SOLE 104219 Graham Corp. common 384556106 9759 274198 SH SOLE 274198 HI/FN Inc. common 428358105 12013 2355488 SH SOLE 2355488 Harvard Bioscience, Inc. common 416906105 941 188227 SH SOLE 188227 Heelys, Inc. common 42279M107 2899 675828 SH SOLE 675828 House of Taylor Jewelry, Inc. common 44176R106 59 421320 SH SOLE 421320 House of Taylor Jewelry, Inc. common 44176R106 147 1052632 SH SOLE 1052632 HydroGen Corp. common 44887Q108 994 522920 SH SOLE 522920 ICX Technology Inc. common 44934T105 5535 1230065 SH SOLE 1230065 ION Networks, Inc. common 46205P100 401 11468268 SH SOLE 11468268 Ibis Technology Corp common 450909106 878 3378377 SH SOLE 3378377 Image Sensing Systems, Inc. common 45244C104 12064 980848 SH SOLE 980848 ImmunoGen, Inc. common 45253H101 848 236858 SH SOLE 236858 IntegraMed America, Inc. common 45810N302 5457 557433 SH SOLE 557433 Integral Vision, Inc. common 45811H106 549 4222489 SH SOLE 4222489 Interlink Electronics, Inc. common 458751104 2802 2774532 SH SOLE 2774532 Intermap Technologies Corporat common 458977204 20986 3860656 SH SOLE 3860656 Internet Brands Inc. common 460608102 4708 638800 SH SOLE 638800 Interplay Entertainment Corp. common 460615107 725 10000000 SH SOLE 10000000 Intraware, Inc. common 46118M103 4177 928275 SH SOLE 928275 Iteris, Inc. common 46564M102 9941 4303408 SH SOLE 4303408 KMG Chemicals, Inc. common 482564101 9901 641669 SH SOLE 641669 Kopin Corporation common 500600101 14627 5498749 SH SOLE 5498749 LSB Industries, Inc. common 502160104 4957 336272 SH SOLE 336272 LocatePlus Holding Corp common 539570408 52 938200 SH SOLE 928200 LogicVision, Inc. common 54140W107 1242 781332 SH SOLE 781332 MEDecision Inc. common 58406P102 2786 1752063 SH SOLE 1752063 MIND C.T.I. Ltd. (Israel) common M70240102 205 169657 SH SOLE 169657 Marlin Business Services common 571157106 1550 205618 SH SOLE 205618 Meade Instruments Corp. common 583062104 3610 2798540 SH SOLE 2798540 MediciNova Inc. common 58468P206 1570 450458 SH SOLE 450458 Medivation, Inc. common 58501N101 35797 2515591 SH SOLE 2515591 Mfri, Inc. common 552721102 6906 429461 SH SOLE 429461 MicroFinancial Incorporated common 595072109 4708 900097 SH SOLE 900097 Modtech Holdings Inc. common 60783c100 343 1226435 SH SOLE 1226435 Monterey Gourmet Foods, Inc. common 612570101 1320 431332 SH SOLE 431332 Motive, Inc. common 61980V107 7592 4994492 SH SOLE 4994492 Multiband Corporation common 62544X209 2418 1089035 SH SOLE 1089035 NMS Communications Corporation common 629248105 6867 4578128 SH SOLE 4578128 Napster, Inc. common 630797108 1513 1022531 SH SOLE 1022531 Natus Medical Incorporated common 639050103 19872 1094861 SH SOLE 1094861 NeoMagic Corporation common 640497202 2360 1815298 SH SOLE 1815298 Noble Romans, Inc. common 655107100 1785 1341850 SH SOLE 1341850 North Valley Bancorp common 66304M105 373 31421 SH SOLE 31421 Nova Measuring Instruments Ltd common M7516K103 4996 2367837 SH SOLE 2367837 OPNET Technologies, Inc. common 683757108 16335 2006818 SH SOLE 2006818 OSI Systems, Inc. common 671044105 1734 75322 SH SOLE 75322 Odimo Incorporated common 67606R107 27 537756 SH SOLE 537756 Omega Protein Corp. common 68210P107 32984 2416400 SH SOLE 2416400 Openwave Systems Inc. common 683718308 14326 5847311 SH SOLE 5847311 Opexa Therapeutics, Inc. common 68372T103 1187 796607 SH SOLE 796607 Orthovita, Inc. common 68750U102 4482 1737337 SH SOLE 1737337 PC-Tel, Inc. common 69325Q105 13416 1972907 SH SOLE 1972907 PDG Environmental Inc. common 693283103 482 1175600 SH SOLE 1175600 PSi Technologies Holdings, Inc common 74438Q109 726 1210667 SH SOLE 1210667 Peco II, Inc. common 705221109 1989 3489021 SH SOLE 3489021 Pfsweb, Inc. common 717098107 6286 6984278 SH SOLE 6984278 Pharmacopeia Drug Discovery common 7171EP101 8284 2251100 SH SOLE 2251100 Phoenix Technologies, Ltd. common 719153108 2744 175215 SH SOLE 175215 PlanetOut, Inc. common 727058208 1812 496538 SH SOLE 496538 PowerSecure International, Inc common 73936N105 11629 988004 SH SOLE 988004 Precision Optics Corporation, common 740294202 1606 9881883 SH SOLE 9881883 Primal Solutions, Inc. common 74154A106 449 14972343 SH SOLE 14972343 QuestAir Technologies, Inc. common 74836V106 814 3700000 SH SOLE 3700000 Questcor Pharmaceuticals Inc. common 74835Y101 9238 2242304 SH SOLE 2242304 RF Monolithics, Inc. common 74955F106 2439 1016417 SH SOLE 1016417 RIT Technologies Ltd. (Israel) common M8215N109 2024 2662750 SH SOLE 2662750 RTI Biologics, Inc. common 75886N100 11541 1221297 SH SOLE 1221297 Ramtron Int'l Corp. common 751907304 522 127422 SH SOLE 127422 RealNetworks, Inc. common 75605L104 2391 417279 SH SOLE 417279 Remedent, Inc. (Belgium) common 75954T104 4391 4480434 SH SOLE 4480434 Renegy Holdings, Inc. common 75845J109 2413 561054 SH SOLE 561054 Repligen Corporation common 759916109 1983 411468 SH SOLE 411468 Response Genetics Inc. common 76123U105 3382 847674 SH SOLE 847674 Rush Enterprises, Inc. Class A common 781846209 2748 173506 SH SOLE 173506 Saba Software, Inc. common 784932600 3881 1034949 SH SOLE 1034949 Sangamo BioSciences, Inc. common 800677106 17672 1739385 SH SOLE 1739385 Scopus Video Network, Ltd. common M8260H106 11848 2841167 SH SOLE 2841167 SeaChange International, Inc. common 811699107 5763 819824 SH SOLE 819824 Sonic Innovations, Inc. common 83545M109 8037 1664037 SH SOLE 1664037 Specialty Underwriters Allianc common 84751T309 1263 296456 SH SOLE 296456 SumTotal Systems, Inc. common 866615107 10301 2470365 SH SOLE 2470365 SupportSoft, Inc. common 868587106 1972 597615 SH SOLE 597615 Tandy Leather Factory, Inc. common 87538X105 1442 542200 SH SOLE 542200 Tapestry Pharmaceuticals, Inc. common 876031204 61 1100660 SH SOLE 1100660 Targeted Genetics Corp. common 87612M306 2553 2578926 SH SOLE 2578926 Tegal Corporation common 879008100 6844 1374326 SH SOLE 1374326 The Knot, Inc. common 499184109 11539 982056 SH SOLE 982056 Trans World Corporation common 89336R207 6971 2081008 SH SOLE 2081008 Trident Microsystems Inc. common 895919108 5996 1165413 SH SOLE 1165413 Trintech Group PLC common 896682200 2170 911870 SH SOLE 911870 Tvia, Inc. common 87307P101 29 961069 SH SOLE 961069 U.S. Home Systems, Inc. common 90335C100 3070 845805 SH SOLE 845805 US Auto Parts Network, Inc. common 90343C100 2358 736931 SH SOLE 736931 Ultra Clean Holdings Inc. common 90385V107 8452 862435 SH SOLE 862435 Unify Corporation common 904743200 9149 1571912 SH SOLE 1571912 Utix Group, Inc. common 918032202 1 15600 SH SOLE 15600 Varsity Group, Inc./DC common 922281100 420 2108400 SH SOLE 2108400 Verenium Corporation common 92340P100 2501 710500 SH SOLE 710500 VeriChip Corporation common 92342V105 2403 1001099 SH SOLE 1001099 Vertical Communications Inc. common 924914104 1057 9193737 SH SOLE 9193737 Vical, Inc. common 925602104 8580 2437410 SH SOLE 2437410 Vuance, Ltd. (Israel) common M9763P108 3875 1076270 SH SOLE 1076270 WFI Industries Ltd. (Canada) common 92923V102 3123 145800 SH SOLE 145800 WPCS International Incorporate common 92931L203 8886 1508650 SH SOLE 1508650 World Heart Corporation common 980905202 3277 3213129 SH SOLE 3213129 Youbet.com, Inc. common 987413101 746 921175 SH SOLE 921175 Zhongpin Inc. (China) common 98952K107 636 65400 SH SOLE 65400 Ziopharm Oncology, Inc. common 98973P101 2379 809091 SH SOLE 809091 iPass, Inc. common 46261V108 7231 2394276 SH SOLE 2394276 uWink, Inc. common 91818T107 1410 1000000 SH SOLE 1000000 Caprius, Inc (R/R) cvrt @.6385 preferred Not Avail 642 80643 SH SOLE 80643 Caprius, Inc (Restricted) cvt preferred Not Avail 1266 5000 SH SOLE 5000 Caprius, Inc (Restricted) cvt preferred Not Avail 752 18334 SH SOLE 18334 E Ink Corp Series B Prvt Co (R preferred Not Avail 825 6547323 SH SOLE 6547323 E Ink Corporation Series A Prv preferred Not Avail 6000 13636363 SH SOLE 13636363 E Ink Corporation Series B Prv preferred Not Avail 2108 15899087 SH SOLE 15899087 UTIX Group, Inc. (R/R) Cvrt @. preferred Not Avail 308 800 SH SOLE 800 UTIX Group, Inc.(Rest) Cvrt @. preferred Not Avail 38 769235 SH SOLE 769235 UTIX Group, Inc.(Rest) Cvrt @. preferred Not Avail 38 769235 SH SOLE 769235 UTIX Group, Inc.(Rest) Cvt @1. preferred Not Avail 23 384616 SH SOLE 384616 Verdasys Inc ser B cvt pfd @2 preferred Not Avail 6320 2500000 SH SOLE 2500000 Vertical Communication 144 cvt preferred Not Avail 542 2500 SH SOLE 2500 Zhongpin, Inc. (Rest/Reg) cvt preferred Not Avail 6661 684600 SH SOLE 684600 Adept Tech @1.25 5/18/04-11/18 warrants Not Avail 2400 4444450 SH SOLE 4444450 American Community Newspaper-C warrants 02520T111 1 701300 SH SOLE 701300 American Mold Guard, Inc. Clas warrants Not Avail 12 200000 SH SOLE 200000 American Mold Guard, Inc. Clas warrants Not Avail 12 200000 SH SOLE 200000 American Tech Corp R/R @2.67 2 warrants Not Avail 533 820512 SH SOLE 820512 American Tech Wt (R/R)@5.44 7/ warrants Not Avail 126 358605 SH SOLE 358605 Applied Neurosolutions(RR) Wt warrants Not Avail 15 6000000 SH SOLE 6000000 Avalon Pharmaceuticals Inc. R/ warrants Not Avail 22 50000 SH SOLE 50000 Caprius A RR @.0625 2/15/10 *. warrants Not Avail 331 8275861 SH SOLE 8275861 Caprius, B RR @.0463 2/15/10 * warrants Not Avail 83 2758620 SH SOLE 2758620 Caprius, Inc. A (R/R) @.90 2/1 warrants Not Avail 15 74626 SH SOLE 74626 Caprius, Inc. Warrants B (RR) warrants Not Avail 30 149254 SH SOLE 149254 Capstone Turbine Corp. @1.30 1 warrants Not Avail 2500 2192983 SH SOLE 2192983 Chinacast Education Corp. Wts warrants 16946T117 13 16250 SH SOLE 16250 CombiMatrix-Acacia Resrch @.87 warrants Not Avail 828 3600000 SH SOLE 3600000 Concurrent Computer Corp R/R @ warrants Not Avail 110 1000000 SH SOLE 1000000 Corgi Int'l wts @7.80 12/20/08 warrants 21872Q202 4 220408 SH SOLE 220408 Critical Therapeutics(R/R) @5. warrants Not Avail 4 319343 SH SOLE 319343 House of Taylor R/R @.95 8/12/ warrants Not Avail 14 470589 SH SOLE 470589 Ibis Technology Corp (R/R)@1.5 warrants 450909106 115 1050000 SH SOLE 1050000 Ibis Technology Corp R/R @1.50 warrants 450909106 163 1483781 SH SOLE 1483781 Integral Vision, @1.6 4/12/10 warrants Not Avail 92 1850000 SH SOLE 1850000 Interlink Electronics(R) @1.51 warrants Not Avail 165 1180555 SH SOLE 1180555 Iteris, Inc. (Rest/Reg) @3.25 warrants Not Avail 128 246250 SH SOLE 246250 La Jolla Pharmaceutical R/R@1 warrants Not Avail 120 2000000 SH SOLE 2000000 Memory Pharmaceutical @2.22 9/ warrants Not Avail 88 1105261 SH SOLE 1105261 Metabasis Thera R/R @6.74 3/30 warrants Not Avail 44 119350 SH SOLE 119350 NeoMagic Corp @5.2 6m-1yr 12/6 warrants 640497202 98 575000 SH SOLE 575000 Opexa Therapeutics Wts(RR)@.65 warrants Not Avail 300 5000000 SH SOLE 5000000 Orthovita, Inc. (Rest/Reg) @3. warrants Not Avail 4 142858 SH SOLE 142858 Pharmacopeia Drug Disc Wt @5.1 warrants Not Avail 68 87500 SH SOLE 87500 Precision Optics Corp. (R/R) @ warrants Not Avail 480 8000000 SH SOLE 8000000 Primal Solution RR @.2241 6/15 warrants Not Avail 23 6521739 SH SOLE 6521739 Primal Solutions, Inc Wts @.15 warrants Not Avail 69 7500000 SH SOLE 7500000 Q Comm International, Inc. Wts warrants Not Avail 1 120100 SH SOLE 120100 Quantum Fuel A@2.09 R/R 12/22/ warrants Not Avail 288 800000 SH SOLE 800000 Quantum Fuel B@2.09 R/R 12/22/ warrants Not Avail 288 800000 SH SOLE 800000 Quantum Fuel Syst @1.50 RR 4/2 warrants Not Avail 437 682926 SH SOLE 682926 Rainmaker Systems Wt RR@1.875 warrants Not Avail 27 666680 SH SOLE 666680 Remedent, Inc. (Rest/Reg) @1.5 warrants Not Avail 495 1500000 SH SOLE 1500000 Remedent, Inc. (Rest/Reg) @1.5 warrants Not Avail 433 1666667 SH SOLE 1666667 RiT Technologies Ltd Wt F R/R warrants Not Avail 66 553575 SH SOLE 553575 Rockford Corp (R/R) @3.73 6/11 warrants Not Avail 50 118148 SH SOLE 118148 SMTC Manufact Canada (RR)@1.85 warrants Not Avail 8 838250 SH SOLE 838250 SumTotal (R/R) @5.96 12/20/03- warrants Not Avail 4 100341 SH SOLE 100341 Tapestry Pharmaceutical WtRR 2 warrants Not Avail 97 3250000 SH SOLE 3250000 Targeted Genetics (R/R) @3.25 warrants Not Avail 315 2624097 SH SOLE 2624097 Targeted Genetics RR@5.41 7/11 warrants Not Avail 19 315000 SH SOLE 315000 Tegal Corporation (RR)@.50 6/3 warrants Not Avail 2 14566 SH SOLE 14566 Tegal Corporation Wt(R/R)@1 7/ warrants Not Avail 70 1400000 SH SOLE 1400000 Tegal Corporation Wt(R/R)@1 9/ warrants Not Avail 378 6292308 SH SOLE 6292308 Tegal Corporation Wt(RR)@.50 9 warrants Not Avail 137 1243239 SH SOLE 1243239 UTIX Group Inc RR@.0065 1/13/1 warrants Not Avail 75 50000000 SH SOLE 50000000 Unify Corp (R/R)@.8924 4/26/09 warrants Not Avail 721 2253560 SH SOLE 2253560 Unify Corp Wts (R/R) @.27 10/3 warrants Not Avail 368 400000 SH SOLE 400000 Unify Corp Wts (R/R) @.32 10/3 warrants Not Avail 470 540000 SH SOLE 540000 Unify Corp Wts (R/R) @.38 10/3 warrants Not Avail 328 400000 SH SOLE 400000 Vertical Comm (144) @.01 9/28/ warrants Not Avail 23 212520 SH SOLE 212520 Vuance, Ltd @.60 12/9/10 (R/R) warrants Not Avail 254 1411290 SH SOLE 1411290 Vuance, Ltd Wts @.85 11/19/11 warrants Not Avail 28 164141 SH SOLE 164141 WPCS Interntl RR@.58 11/16/09* warrants Not Avail 750 15000000 SH SOLE 15000000 Wherify Wireless, Inc. @2.70 1 warrants Not Avail 3 500000 SH SOLE 500000 Zhongpin, Inc. Wts (R/R) @5.00 warrants Not Avail 2047 375000 SH SOLE 375000 Zhongpin, Inc. Wts (R/R) @5.50 warrants Not Avail 385 75564 SH SOLE 75564 Ziopharm Oncology Inc (R/R) @5 warrants 98973P101 70 76555 SH SOLE 76555 uWink, Inc. Wts. @2.40 11/7/12 warrants Not Avail 360 1000000 SH SOLE 1000000
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