0000909450-14-000001.txt : 20140211 0000909450-14-000001.hdr.sgml : 20140211 20140210194446 ACCESSION NUMBER: 0000909450-14-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140211 DATE AS OF CHANGE: 20140210 EFFECTIVENESS DATE: 20140211 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GRUBER & MCBAINE CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0000909450 IRS NUMBER: 770210467 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04761 FILM NUMBER: 14590966 BUSINESS ADDRESS: STREET 1: 234 VAN NESS, STE 5 CITY: SAN FRANCISCO STATE: CA ZIP: 94133 BUSINESS PHONE: 4155525040 MAIL ADDRESS: STREET 1: 234 VAN NESS, STE 5 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 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0000909450 XXXXXXXX 12-31-2013 12-31-2013 GRUBER & MCBAINE CAPITAL MANAGEMENT LLC
234 VAN NESS, STE 5 SAN FRANCISCO CA 94133
13F HOLDINGS REPORT 028-04761 N
Ellie Giorgis Administrator 415-552-5040 /s/ Ellie Giorgis San Francisco CA 02-10-2014 0 166 383055 false
INFORMATION TABLE 2 Q4201313F.xml ADA ES Inc COM 5208103 2667 49181 SH SOLE 0 49181 0 0 Accuride COM 00439t206 187 50000 SH SOLE 0 50000 0 0 Adtran Inc. COM 00738a106 1342 49700 SH SOLE 0 49700 0 0 Advanced Micro Devices COM 7903107 1935 500000 SH SOLE 0 500000 0 0 Alcatel Lucent ADR COM 13904305 6600 1500000 SH SOLE 0 1500000 0 0 Allegheny Tech COM 01741R102 1782 50000 SH SOLE 0 50000 0 0 Altera Corp. COM 21441100 2602 80000 SH SOLE 0 80000 0 0 American Airlines Group COM 90341W108 2525 100000 SH SOLE 0 100000 0 0 American Vanguard Corp COM 30371108 1579 65002 SH SOLE 0 65002 0 0 Ann Taylor Stores COM 36115103 1097 30000 SH SOLE 0 30000 0 0 Apple Inc. B COM 37833100 5892 10500 SH SOLE 0 10500 0 0 Arctic Cat COM 39670104 832 14600 SH SOLE 0 14600 0 0 Aruba Networks COM 43176106 2417 135000 SH SOLE 0 135000 0 0 AstraZeneca Plc COM 46353108 1781 30000 SH SOLE 0 30000 0 0 Audience Inc COM 05070j102 931 80000 SH SOLE 0 80000 0 0 Avago Tech COM Y0486S104 2380 45000 SH SOLE 0 45000 0 0 Axcelis Tech COM 54540109 1403 575000 SH SOLE 0 575000 0 0 BFC Financial COM 55384200 1879 650000 SH SOLE 0 650000 0 0 BP Prudhoe Royalty Trust COM 55630107 1194 15000 SH SOLE 0 15000 0 0 Bancorp Bank COM 05969A105 1737 97000 SH SOLE 0 97000 0 0 Be Aerospace COM 73302101 4345 49925 SH SOLE 0 49925 0 0 BioScrip Inc COM 09069N108 370 50000 SH SOLE 0 50000 0 0 Box Ships COM y09675102 362 110000 SH SOLE 0 110000 0 0 Brent Oil COM 91167q100 1180 26500 SH SOLE 0 26500 0 0 Brookfield Residential Properties COM 11283W104 1935 79982 SH SOLE 0 79982 0 0 CUI Global COM 126576206 1801 285000 SH SOLE 0 285000 0 0 Calix Inc COM 13100M509 3421 354900 SH SOLE 0 354900 0 0 Callidus Software COM 13123E500 2197 160000 SH SOLE 0 160000 0 0 Cancer Genetics COM 13739u104 1156 83900 SH SOLE 0 83900 0 0 Ciena Corp COM 171779309 598 25000 SH SOLE 0 25000 0 0 Clean Harbors COM 184496107 4197 70000 SH SOLE 0 70000 0 0 Conns Inc COM 208242107 6303 80000 SH SOLE 0 80000 0 0 DHT Holdings COM y2065g121 342 50000 SH SOLE 0 50000 0 0 Dakota Plains Holdings COM 234255107 3795 1649800 SH SOLE 0 1649800 0 0 Darling Intl Inc COM 237266101 1733 83000 SH SOLE 0 83000 0 0 Del Friscos Restaurant COM 245077102 589 25000 SH SOLE 0 25000 0 0 Demand Media COM 24802N109 159 27563 SH SOLE 0 27563 0 0 DiaDexus Inc COM 922390208 185 205000 SH SOLE 0 205000 0 0 Dycom COM 267475101 2501 90000 SH SOLE 0 90000 0 0 E Trade Financial COM 269246401 903 45980 SH SOLE 0 45980 0 0 EMAK Holdings inc COM 26861V104 7 681036 SH SOLE 0 681036 0 0 EOG Resources COM 26875P101 3412 20326 SH SOLE 0 20326 0 0 Emcore Corp COM 290846104 1664 325000 SH SOLE 0 325000 0 0 Emmis Communications COM 291525103 942 350000 SH SOLE 0 350000 0 0 Emulex Corp COM 292475209 1718 240000 SH SOLE 0 240000 0 0 Extreme Networks COM 30226d106 3185 455000 SH SOLE 0 455000 0 0 F5 Networks COM 315616102 2726 30000 SH SOLE 0 30000 0 0 Fiesta Restaurant B COM 31660b101 522 10000 SH SOLE 0 10000 0 0 Five Star Quality Care COM 33832d106 2690 490000 SH SOLE 0 490000 0 0 Flowers Foods Inc COM 343498101 1288 60000 SH SOLE 0 60000 0 0 Fluor COM 343412102 3613 45000 SH SOLE 0 45000 0 0 Fortinet Inc COM 34959E109 1148 60000 SH SOLE 0 60000 0 0 GOL Linhas Aereas Inteligentes COM 38045R107 1143 250000 SH SOLE 0 250000 0 0 Genworth Financial COM 37247d106 3104 199900 SH SOLE 0 199900 0 0 Geospace Technologies Corp. COM 37364X109 569 6000 SH SOLE 0 6000 0 0 Green Plains Renewable Energy COM 393222104 2165 111660 SH SOLE 0 111660 0 0 Headwaters Inc COM 42210P102 2153 219900 SH SOLE 0 219900 0 0 Himax Technologies COM 43289P106 16917 1150000 SH SOLE 0 1150000 0 0 Hipcricket COM 433507100 1188 2635000 SH SOLE 0 2635000 0 0 Identive Group COM 45170X106 82 142288 SH SOLE 0 142288 0 0 Imageware Sys COM 45245S108 10187 5863548 SH SOLE 0 5863548 0 0 Infinera Corp COM 45667G103 1418 145000 SH SOLE 0 145000 0 0 Infoblox Inc COM 45672H104 1981 60000 SH SOLE 0 60000 0 0 Intl Business Machines COM 459200101 325 1733 SH SOLE 0 1733 0 0 Intl Rectifier COM 460254105 2607 100000 SH SOLE 0 100000 0 0 Intermolecular Inc COM 45882D109 516 104850 SH SOLE 0 104850 0 0 InvenSense Inc B COM 46123D205 2494 120000 SH SOLE 0 120000 0 0 Iridium Communications COM 46269C102 1856 296500 SH SOLE 0 296500 0 0 Jamba Inc. COM 47023a101 622 50000 SH SOLE 0 50000 0 0 Just Energy Income Fund COM 48213T108 2235 314000 SH SOLE 0 314000 0 0 LSB Industries Inc COM 502160104 3282 80000 SH SOLE 0 80000 0 0 LTX Credence Corp COM 502403207 1039 130000 SH SOLE 0 130000 0 0 Lattice Semiconductor COM 518415104 964 175000 SH SOLE 0 175000 0 0 Liberty Global COM 530555309 4030 47796 SH SOLE 0 47796 0 0 Lightbridge Corp COM 53224K104 492 339514 SH SOLE 0 339514 0 0 Lihua International COM 532352101 9047 1581570 SH SOLE 0 1581570 0 0 LogMein Inc COM 54142L109 3415 101800 SH SOLE 0 101800 0 0 Louisiana Pacific Corp COM 546347105 1851 100000 SH SOLE 0 100000 0 0 MAXLINEAR INC COM 57776J100 522 50000 SH SOLE 0 50000 0 0 MDC Partners Inc COM 552697104 38534 1510532 SH SOLE 0 1510532 0 0 MRC Global COM 55345k103 645 20000 SH SOLE 0 20000 0 0 Mandalay Digital Group COM 562562207 1184 452000 SH SOLE 0 452000 0 0 Mastec COM 576323109 1636 50000 SH SOLE 0 50000 0 0 Mattson Technology COM 577223100 1976 721300 SH SOLE 0 721300 0 0 McDonalds COM 580135101 2232 23000 SH SOLE 0 23000 0 0 Mellanox Technologies COM M51363113 400 10000 SH SOLE 0 10000 0 0 Methanex Corp COM 59151K108 2073 35000 SH SOLE 0 35000 0 0 Methode Electronics B COM 591520200 1433 41900 SH SOLE 0 41900 0 0 Montage Technology Group LTD COM g6209t105 816 50000 SH SOLE 0 50000 0 0 Move Inc COM 437852106 6620 414000 SH SOLE 0 414000 0 0 NCI Buiding Systems COM 628852204 5166 294500 SH SOLE 0 294500 0 0 NCR COM 62886E108 3065 90000 SH SOLE 0 90000 0 0 NeoPhotonics Corp COM 64051t100 476 67400 SH SOLE 0 67400 0 0 North Atlantic Drilling Ltd COM g6613p111 952 100000 SH SOLE 0 100000 0 0 Northern Tier Energy COM 665826103 1722 70000 SH SOLE 0 70000 0 0 Northstar Realty COM 66704r100 538 40000 SH SOLE 0 40000 0 0 Nova Measuring Instruments COM M7516K103 453 46042 SH SOLE 0 46042 0 0 OSI Systems COM 671044105 1325 24950 SH SOLE 0 24950 0 0 Oclaro Inc COM 67555N206 907 364260 SH SOLE 0 364260 0 0 Odyssey Marine Exploration COM 676118102 2708 1340526 SH SOLE 0 1340526 0 0 Omnitek Engineering COM 68215w107 331 125000 SH SOLE 0 125000 0 0 Orion Marine Group COM 68628V308 541 45000 SH SOLE 0 45000 0 0 Overland Storage COM 690310206 553 570000 SH SOLE 0 570000 0 0 Pegasystems COM 705573103 541 11000 SH SOLE 0 11000 0 0 Penske Automotive Group COM 70959W103 1179 25000 SH SOLE 0 25000 0 0 Perma Fix Envirn Serv COM 714157104 520 159860 SH SOLE 0 159860 0 0 Pharmathene Inc COM 71714G102 1116 600000 SH SOLE 0 600000 0 0 Photronics Inc. COM 719405102 1687 186777 SH SOLE 0 186777 0 0 Pioneer Natural Resources COM 723787107 6350 34500 SH SOLE 0 34500 0 0 Points Intl COM 693262107 1525 60000 SH SOLE 0 60000 0 0 PowerSecure COM 73936N105 4710 274300 SH SOLE 0 274300 0 0 Primoris Services Corp COM 74164F103 6226 200000 SH SOLE 0 200000 0 0 Procera Networks direct reg COM 74269U104 4356 290000 SH SOLE 0 290000 0 0 Professional Diversity Network COM 74312y103 622 135000 SH SOLE 0 135000 0 0 Pure Cycle Corp COM 746228303 69 10900 SH SOLE 0 10900 0 0 Quantum Corp DLT and Storage Sys COM 747906204 288 240000 SH SOLE 0 240000 0 0 Quicklogic Corp COM 74837P108 1580 400000 SH SOLE 0 400000 0 0 RF Micro Devices COM 749941100 1161 225000 SH SOLE 0 225000 0 0 RMG Networks COM 74966k102 655 134700 SH SOLE 0 134700 0 0 Ralph Lauren COM 731572103 1766 10000 SH SOLE 0 10000 0 0 Rentech Inc COM 760112102 175 100000 SH SOLE 0 100000 0 0 Rentech Nitrogen Partners LP COM 760113100 264 15000 SH SOLE 0 15000 0 0 Ruckus Wireless COM 781220108 852 60000 SH SOLE 0 60000 0 0 S and W Seed Company COM 785135104 555 79900 SH SOLE 0 79900 0 0 SAExploration Holdings COM 78636x105 536 60000 SH SOLE 0 60000 0 0 Saia Inc COM 78709Y105 1282 40000 SH SOLE 0 40000 0 0 Sanchez Energy COM 79970Y105 490 20000 SH SOLE 0 20000 0 0 Sandisk Corp COM 80004C101 777 11010 SH SOLE 0 11010 0 0 Scorpio Tankers COM y7542c106 2063 175000 SH SOLE 0 175000 0 0 Seachange Intl COM 811699107 973 80000 SH SOLE 0 80000 0 0 ShoreTel Inc COM 825211105 3248 350000 SH SOLE 0 350000 0 0 Siga Tech COM 826917106 3842 1174954 SH SOLE 0 1174954 0 0 Silicon Motion ADR COM 82706C108 799 56500 SH SOLE 0 56500 0 0 Solar Power COM 83490A100 147 849030 SH SOLE 0 849030 0 0 Sonic COM 835451105 1413 70000 SH SOLE 0 70000 0 0 Southwestern Energy Comp COM 845467109 2360 60000 SH SOLE 0 60000 0 0 Spansion Inc COM 84649r200 1111 80000 SH SOLE 0 80000 0 0 Spirit Aerosystems Holdings COM 848574109 2726 80000 SH SOLE 0 80000 0 0 Steel Dynamics COM 858119100 977 50000 SH SOLE 0 50000 0 0 Stock Building Supply Holdings COM 86101x104 456 25000 SH SOLE 0 25000 0 0 Stratasys COM 862685104 2021 15000 SH SOLE 0 15000 0 0 Streamline Health Solutions COM 862683109 1106 158500 SH SOLE 0 158500 0 0 Sun Opta COM 8676EP108 24195 2417093 SH SOLE 0 2417093 0 0 SunEdison Inc COM 86732y109 1175 90000 SH SOLE 0 90000 0 0 Swift Transportation COM 870756103 1777 80000 SH SOLE 0 80000 0 0 Synaptics COM 87157D109 1036 20000 SH SOLE 0 20000 0 0 Tearlab Corp COM 878193101 747 80000 SH SOLE 0 80000 0 0 Teekay Tankers Ltd COM Y8565N102 1179 300000 SH SOLE 0 300000 0 0 Teradata Corp COM 88076W103 1704 37450 SH SOLE 0 37450 0 0 Towerstream Corp COM 892000100 681 230000 SH SOLE 0 230000 0 0 Travel Centers of America COM 894174101 1860 191000 SH SOLE 0 191000 0 0 Tutor Perini Corp COM 901109108 1197 45500 SH SOLE 0 45500 0 0 Tyson Foods COM 902494103 1338 40000 SH SOLE 0 40000 0 0 USG Corp. COM 903293405 2265 79800 SH SOLE 0 79800 0 0 Ubiquiti Networks Inc COM 90347A100 5515 120000 SH SOLE 0 120000 0 0 United Continental Holdings COM 910047109 2614 69100 SH SOLE 0 69100 0 0 Universal Electronics COM 913483103 1143 30000 SH SOLE 0 30000 0 0 Valero Energy COM 91913Y100 2016 40000 SH SOLE 0 40000 0 0 Wabash National COM 929566107 569 46083 SH SOLE 0 46083 0 0 Wave Systems r144 COM 943526301 211 232411 SH SOLE 0 232411 0 0 Web.com Group Inc COM 94733A104 1907 60000 SH SOLE 0 60000 0 0 Wells Fargo COM 949746101 1135 25000 SH SOLE 0 25000 0 0 Willbros Group COM 969199108 3825 406000 SH SOLE 0 406000 0 0 Xilinx COM 983919101 4592 100000 SH SOLE 0 100000 0 0 Yandex NV COM N97284108 1202 27861 SH SOLE 0 27861 0 0 Zagg Inc COM 98884U108 412 94600 SH SOLE 0 94600 0 0