0001044321-12-000013.txt : 20120210
0001044321-12-000013.hdr.sgml : 20120210
20120210112608
ACCESSION NUMBER: 0001044321-12-000013
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111231
FILED AS OF DATE: 20120210
DATE AS OF CHANGE: 20120210
EFFECTIVENESS DATE: 20120210
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: 12590395
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
fdect11t.txt
SCHEDULE 13F DEC 31, 2011
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: December 31, 2011
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, February 10, 2012
Name: David Greenhouse
Title: Vice President; AWM Investment Company, Inc.
Phone: (212) 319-6670
Signature: /s/ David Greenhouse, New York, NY, February 10, 2012
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: 203
Form 13F Information Table Value Total: $ 700,545
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
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ---------
--- -------- -------- --------
ADA-ES Inc. common 005208103 9991 441299 SH SOLE
441299
ADVENTRX Pharmaceuticals, Inc. common 00764X202 2175 3749900 SH SOLE
3749900
Acorn Energy, Inc. common 004848107 768 127222 SH SOLE
127222
Active Power, Inc. common 00504W100 755 1143500 SH SOLE
1143500
Adept Technology, Inc. common 006854202 5462 2275976 SH SOLE
2275976
Aehr Test Systems common 00760J108 253 486800 SH SOLE
486800
Alphatec Holdings, Inc. common 02081G102 4609 2679691 SH SOLE
2679691
American Dental Partners, Inc. common 025353103 5480 291016 SH SOLE
291016
Authentec, Inc. common 052660107 7530 2345772 SH SOLE
2345772
Avantair, Inc. common 05350T101 4737 6315791 SH SOLE
6315791
Aveo Pharmaceuticals, Inc. common 053588109 1379 80186 SH SOLE
80186
BCD Semi-Conductor Mfg. - ADR common 055347207 1183 297202 SH SOLE
297202
BTU International Corp. common 056032105 2920 1123045 SH SOLE
1123045
Bakers Footwear Group, Inc. common 057465106 1068 1942344 SH SOLE
1942344
Body Central Corp. common 09689U102 7241 290093 SH SOLE
290093
Broadwind Energy Inc. common 11161T108 20640 30353455 SH SOLE
30353455
CEVA, Inc. common 157210105 31925 1055027 SH SOLE
1055027
CPI Aerostructures, Inc. common 125919308 4171 354940 SH SOLE
354940
CTPartners Executive Search common 22945C105 858 161533 SH SOLE
161533
CVD Equipment Corp. common 126601103 788 65488 SH SOLE
65488
Carbon Natural Gas Co. common 14115T109 7622 10888889 SH SOLE
10888889
CardioNet, Inc. common 14159L103 1185 500000 SH SOLE
500000
Chase Packaging Corporation common 161635107 41 684954 SH SOLE
684954
China New Borun Corp ADR common 16890T105 460 146842 SH SOLE
146842
ChinaCast Education Corp common 16946T109 10724 1752357 SH SOLE
1752357
Clean Diesel Technologies, Inc common 18449C401 3544 1265694 SH SOLE
1265694
Columbia Laboratories, Inc. common 197779101 1000 400000 SH SOLE
400000
Comverge, Inc. common 205859101 750 595535 SH SOLE
595535
Crumbs Bake Shop Inc. common 316816107 3025 756256 SH SOLE
756256
CytRx Corporation common 232828301 651 2400000 SH SOLE
2400000
DSP GROUP INC. common 23332B106 1348 258824 SH SOLE
258824
Daegis Inc common 904743200 3802 1990348 SH SOLE
1990348
Demandtec, Inc. common 24802R506 13200 1002300 SH SOLE
1002300
Derma Sciences, Inc. common 249827502 1421 187437 SH SOLE
187437
Destination Maternity Corp. common 25065D100 5014 299864 SH SOLE
299864
Digimarc Corporation common 25381B101 3429 143545 SH SOLE
143545
Dover Saddlery, Inc. common 260412101 1489 374181 SH SOLE
374181
Dreams Inc. (rest - 144) common 261983209 955 500000 SH SOLE
500000
Duckwall-Alco Stores, Inc. common 264142100 4985 596961 SH SOLE
596961
E-Ink Holdings Incorporated common Not Avail 14397 11030737 SH SOLE
11030737
Ecotality, Inc. common 27922Y202 2512 2325504 SH SOLE
2325504
Ellie Mae, Inc. common 28849P100 3078 544845 SH SOLE
544845
Enova Systems, Inc. common 29355M200 750 4413622 SH SOLE
4413622
EnteroMedics, Inc. common 29365M208 1789 1052213 SH SOLE
1052213
Entropic Communications, Inc. common 29384R105 21127 4134446 SH SOLE
4134446
EpiCept Corporation common 294264304 587 1676424 SH SOLE
1676424
Epocrates, Inc. common 29429D103 390 50000 SH SOLE
50000
Exide Technologies common 302051206 4765 1811893 SH SOLE
1811893
FSI International, Inc. common 302633102 15798 4316371 SH SOLE
4316371
Familymeds Group, Inc. common 30706T209 46 1143889 SH SOLE
1143889
Flow International Corporation common 343468104 6192 1769015 SH SOLE
1769015
Fuelcell Energy Inc. common 35952H106 1735 1989172 SH SOLE
1989172
Full House Resorts Inc. common 359678109 4740 1802140 SH SOLE
1802140
Gaiam, Inc. common 36268Q103 307 94817 SH SOLE
94817
GeneNews, Ltd. (Canada) (CF) common 36870T107 1676 9496494 SH SOLE
9496494
Global Power Equipment Group common 37941P207 13962 587853 SH SOLE
587853
GolfSmith International Hldg common 38168Y103 5590 1763392 SH SOLE
1763392
GraphOn Corporation common 388707101 990 5500000 SH SOLE
5500000
Graymark Healthcare Inc. common 389465303 1689 3571000 SH SOLE
3571000
Hamilton Thorne, Ltd.(Canada) common Not Avail 482 7867655 SH SOLE
7867655
Heelys, Inc. common 42279M107 2108 1139483 SH SOLE
1139483
Here Media, Inc. common 427105101 391 1029462 SH SOLE
1029462
Hudson Resources Inc. common 44415F103 892 2000000 SH SOLE
2000000
Image Sensing Systems, Inc. common 45244C104 7221 1108379 SH SOLE
1108379
Immersion Corporation common 452521107 669 129222 SH SOLE
129222
Incontact Inc. common 45336E109 3840 866796 SH SOLE
866796
Infusystem Holdings, Inc. common 45685K102 1134 713313 SH SOLE
713313
Innospec Inc. common 45768S105 7937 282750 SH SOLE
282750
Inovio Pharmaceuticals, Inc. common 45773H102 4226 9828250 SH SOLE
9828250
Integral Vision, Inc. common 45811H106 30 1850000 SH SOLE
1850000
Intermap Technologies Corp common 458977204 7378 15051204 SH SOLE
15051204
Interplay Entertainment Corp. common 460615107 578 9470000 SH SOLE
9470000
Iteris, Inc. common 46564M102 5336 4104703 SH SOLE
4104703
KMG Chemicals, Inc. common 482564101 11839 685500 SH SOLE
685500
Kopin Corporation common 500600101 25124 6475255 SH SOLE
6475255
LRAD Corporation common 50213V109 5938 3985271 SH SOLE
3985271
LSB Industries, Inc. common 502160104 9388 334929 SH SOLE
334929
Lemaitre Vascular Inc. common 525558201 1845 311617 SH SOLE
311617
Lightbridge Corporation common 53224K104 2849 1396689 SH SOLE
1396689
MIPS Technologies, Inc. common 604567107 10171 2280490 SH SOLE
2280490
MYR-Group Inc. common 55405W104 9378 489986 SH SOLE
489986
MagneTek, Inc. common 559424106 2246 260826 SH SOLE
260826
Medwell Capital Corp. common 58508Q107 823 6219000 SH SOLE
6219000
MicroFinancial Incorporated common 595072109 10455 1808814 SH SOLE
1808814
Multiband Corporation common 62544X209 5084 1574029 SH SOLE
1574029
Natus Medical Incorporated common 639050103 10575 1121471 SH SOLE
1121471
NeoPhotonics Corporation common 64051T100 891 194489 SH SOLE
194489
Nexxus Lighting Inc. common 65338E105 1893 1720858 SH SOLE
1720858
Noble Romans, Inc. common 655107100 806 1033250 SH SOLE
1033250
Nova Measuring Instruments Ltd common M7516K103 1467 199000 SH SOLE
199000
OCZ Technology Group Inc. common 67086E303 4041 611402 SH SOLE
611402
OmniVision Technologies, Inc. common 682128103 10684 873229 SH SOLE
873229
Ossen Innovation Co. Spon-ADR common 688410109 412 502201 SH SOLE
502201
Overland Storage, Inc. common 690310206 7976 3190399 SH SOLE
3190399
PC-Tel, Inc. common 69325Q105 7738 1131293 SH SOLE
1131293
PRGX Global, Inc. common 69357C503 4297 722159 SH SOLE
722159
Pacific Premier Bancorp, Inc. common 69478X105 5945 937716 SH SOLE
937716
Pacira Pharmaceuticals, Inc. common 695127100 7268 840257 SH SOLE
840257
Palatin Technologies, Inc. common 696077403 545 1350000 SH SOLE
1350000
Parametric Sound Corporation common 966172102 2437 3481411 SH SOLE
3481411
ParkerVision, Inc. common 701354102 2539 2986787 SH SOLE
2986787
Pfsweb, Inc. common 717098206 8031 2441165 SH SOLE
2441165
Pharmacyclics, Inc. common 716933106 3771 254475 SH SOLE
254475
Plug Power, Inc. common 72919P202 4202 2060000 SH SOLE
2060000
Power Solutions International common 73933G202 8458 583335 SH SOLE
583335
PowerSecure International, Inc common 73936N105 5332 1077128 SH SOLE
1077128
Precision Optics Corporation common 740294202 448 320001 SH SOLE
320001
Pure Technologies, Ltd. common 745915108 5184 1869300 SH SOLE
1869300
Ramtron International Incorp common 751907304 6630 3400000 SH SOLE
3400000
Raptor Pharmaceuticals Corp common 75382f106 7506 1199000 SH SOLE
1199000
Remedent, Inc. (Belgium) common 75954T104 825 4580933 SH SOLE
4580933
Repligen Corporation common 759916109 3005 866120 SH SOLE
866120
Response Genetics, Inc. common 76123U105 5091 3327724 SH SOLE
3327724
Riverview Bancorp, Inc. common 769397100 3888 1640500 SH SOLE
1640500
SMART Technologies, Inc. common 83172R108 3287 890781 SH SOLE
890781
SRS Labs, Inc. common 78464M106 5972 1038591 SH SOLE
1038591
Saba Software, Inc. common 784932600 6038 765333 SH SOLE
765333
Sangamo BioSciences, Inc. common 800677106 5484 1930910 SH SOLE
1930910
SeaChange International, Inc. common 811699107 6829 971377 SH SOLE
971377
SoundBite Communications, Inc. common 836091108 1521 675970 SH SOLE
675970
Spectral Diagnostics Inc. common 847574100 963 3709359 SH SOLE
3709359
Strategic Diagnostics Inc. common 862700101 72 39178 SH SOLE
39178
Summer Infant, Inc. common 865646103 3084 438017 SH SOLE
438017
Support.com, Inc. common 86858W101 1756 780527 SH SOLE
780527
Tekmira Pharmaceutical Corp. common 87911B209 1004 647442 SH SOLE
647442
Threshold Pharmaceuticals, Inc common 885807206 624 511090 SH SOLE
511090
Titan Machinery, Inc. common 88830R101 11033 507730 SH SOLE
507730
Tivo, Inc. common 888706108 3997 445600 SH SOLE
445600
Trans World Corporation common 89336R207 6242 2080808 SH SOLE
2080808
US Auto Parts Network, Inc. common 90343C100 3648 834721 SH SOLE
834721
Ultra Clean Holdings, Inc. common 90385V107 18629 3049000 SH SOLE
3049000
Uni-Pixel, Inc. common 904572203 2477 495439 SH SOLE
495439
Uranium Resources, Inc. common 916901507 2740 3774100 SH SOLE
3774100
Verdasys, Inc. (Private Compan common Not Avail 1857 860226 SH SOLE
860226
Verenium Corporation common 92340P100 2692 1234747 SH SOLE
1234747
Vical, Inc. common 925602104 594 134647 SH SOLE
134647
Waterfurnace Renewable Energy common 92923V102 3561 233600 SH SOLE
233600
World Energy Solutions, Inc. common 98145W208 2657 879794 SH SOLE
879794
World Heart Corporation common 980905400 1196 5438397 SH SOLE
5438397
XEBEC Adsorption, Inc.(Canada) common 983891102 991 10648103 SH SOLE
10648103
YM Biosciences, Inc. (Canada) common 984238105 1050 640254 SH SOLE
640254
Yuhe International Inc. (China common 988432100 82 117790 SH SOLE
117790
Ziopharm Oncology, Inc. common 98973P101 7479 1696000 SH SOLE
1696000
iCo Therapeutics, Inc. (sl CND common 45107J105 1500 6000000 SH SOLE
6000000
iPass, Inc. common 46261V108 4718 3394106 SH SOLE
3394106
interCLICK Inc. common 458483203 9407 1045267 SH SOLE
1045267
Verdasys Inc series A-1 cvt pf preferred Not Avail 4097 1898146 SH SOLE
1898146
Verdasys Inc series B-1 cvt pf preferred Not Avail 928 430113 SH SOLE
430113
ADVENTRX Pharma @1.10 11/16/16 warrants not avail 337 1875000 SH SOLE
1875000
Aastrom Bioscience, Inc. @3.22 warrants Not Avail 210 1000000 SH SOLE
1000000
Altair Nanotech @.92 5/28/16 * warrants Not Avail 38 939973 SH SOLE
939973
Ampliphi Bioscien (R/R) @3.25 warrants Not Avail 7 2624097 SH SOLE
2624097
Capstone Turbine Corp @1.17 1/ warrants Not Avail 26 641715 SH SOLE
641715
Cerus Corporation @3.20 5/16/1 warrants Not Avail 219 421052 SH SOLE
421052
Converted Organics @1.30 12/31 warrants 21245S131 2 1500000 SH SOLE
1500000
Crumbs Bake Shop Inc. @11.50 8 warrants 316816123 76 635000 SH SOLE
635000
Cyclacel Pharm @1.92 RR 10/7/1 warrants Not Avail 308 2053450 SH SOLE
2053450
Cyclacel Pharm @2.85 7/24/10-1 warrants Not Avail 19 176250 SH SOLE
176250
Cyclacel Pharmaceutical @1 1/1 warrants Not Avail 101 670623 SH SOLE
670623
CytRx Corporation (R/R) 8/1/16 warrants 232828301 96 2400000 SH SOLE
2400000
Daegis Inc Wts (R/R) @.27 10/3 warrants Not Avail 50 384000 SH SOLE
384000
Daegis Inc Wts (R/R) @.32 10/3 warrants Not Avail 52 518400 SH SOLE
518400
Daegis Inc Wts (R/R) @.38 10/3 warrants Not Avail 19 384000 SH SOLE
384000
Daegis Inc. Wts (R/R) @2.75 4/ warrants Not Avail 61 190182 SH SOLE
190182
Derma Sciences, Inc. (R/R) @9. warrants Not Avail 38 60606 SH SOLE
60606
Dynavax Technologies Corp @1.5 warrants 268158102 731 360000 SH SOLE
360000
EnteroMedics, Inc. @1.90 9/23/ warrants Not Avail 68 180000 SH SOLE
180000
EnteroMedics, Inc. @2.19 6/7/1 warrants Not Avail 495 1500000 SH SOLE
1500000
EpiCept Corporation Wts @.75 2 warrants Not Avail 175 1250000 SH SOLE
1250000
Galena Biopharma (R) @.65 4/20 warrants Not Avail 75 750000 SH SOLE
750000
GeneNews @.25 11/12/12(SL CAD) warrants Not Avail 48 690278 SH SOLE
690278
GeneNews @.25 7/31/12 Reg S (S warrants Not Avail 249 4144638 SH SOLE
4144638
GraphOn Corporation @.26 9/1/1 warrants 388707101 192 2750000 SH SOLE
2750000
Graymark Healthcare @1.50 6/20 warrants Not Avail 643 3571000 SH SOLE
3571000
Hamilton Thorne Ltd @.60 10/28 warrants Not Avail 35 1750103 SH SOLE
1750103
Idera Pharmaceuticals (R/R) @3 warrants Not Avail 58 216000 SH SOLE
216000
Inovio Pharm @1.40 7/26/11-1/2 warrants Not Avail 528 10565200 SH SOLE
10565200
Integral Vision, Inc. @.001 9/ warrants Not Avail 54 3600000 SH SOLE
3600000
Interlink Electronics RR @1.51 warrants Not Avail 5 1149603 SH SOLE
1149603
Intermap Tech (R/R) @.48CN 4/2 warrants Not Avail 1612 10750000 SH SOLE
10750000
LRAD Corporation (R/R) @2.67 2 warrants Not Avail 173 788090 SH SOLE
788090
Lightbridge Corp R/R @9.00 1/2 warrants Not Avail 314 454546 SH SOLE
454546
Opexa Therapeutics A @2.55 6/1 warrants Not Avail 34 262500 SH SOLE
262500
Overland Storage RR@1.97 2/22/ warrants Not Avail 5045 4544701 SH SOLE
4544701
Palatin(R)@1.00 3/2/12-3/2/17 warrants Not Avail 225 4500000 SH SOLE
4500000
Palatin(RR) @1.00 3/1/16 *.086 warrants Not Avail 38 4500000 SH SOLE
4500000
Parametric Sound Corp R/R @.75 warrants Not Avail 465 1500000 SH SOLE
1500000
Parkervision, Inc. (R/R) @.535 warrants Not Avail 504 1229104 SH SOLE
1229104
Plug Power, Inc. Wt @3.00 5/31 warrants Not Avail 975 2120000 SH SOLE
2120000
Power Solutions R/R@.40625 4/2 warrants Not Avail 2333 9333333 SH SOLE
9333333
Precision Optics (RR) @.22 2/1 warrants Not Avail 240 8000000 SH SOLE
8000000
Precision Optics c nt R/R@.07 warrants Not Avail 218 7260000 SH SOLE
7260000
Quantum Fuel A @2.09 R/R 12/22 warrants Not Avail 1 760000 SH SOLE
760000
Quantum Fuel B @2.09 R/R 12/22 warrants Not Avail 1 760000 SH SOLE
760000
Remedent, Inc. (Rest/Reg) @1.5 warrants Not Avail 45 1500000 SH SOLE
1500000
Threshold Pharmaceutical R/R @ warrants Not Avail 36 190476 SH SOLE
190476
World Heart Corp. Wt (R/R) @2. warrants Not Avail 94 1873441 SH SOLE
1873441
World Heart Corp. Wt (R/R) @4. warrants Not Avail 12 388350 SH SOLE
388350
XEBEC Adsorption @.45C 11/1/15 warrants Not Avail 100 2500000 SH SOLE
2500000
Ziopharm Oncology Inc (R/R) @2 warrants Not Avail 712 273973 SH SOLE
273973
Ziopharm Oncology Inc (R/R) @4 warrants Not Avail 1190 967500 SH SOLE
967500
Ziopharm Oncology Inc (R/R) @5 warrants Not Avail 4 76555 SH SOLE
76555
Overland Storage, Inc. 20% of Not Avail 3000 3000000 SH SOLE
3000000