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