13F-HR/A 1 fdec01t.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: December 31, 2001 Check here if Amendment ( X ); Amendment Number: This Amendment (Check only one.): (X ) is a restatement ( ) adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Austin W. Marxe and David M. Greenhouse Address: 153 East 53rd Street, 55th floor, New York, NY 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) 207-6500 Signature: /s/ Austin Marxe, New York, NY, January 31, 2002 Name: David Greenhouse Title: Vice President; AWM Investment Company, Inc. Phone: (212) 207-6500 Signature: /s/ David Greenhouse, New York, NY, January 31, 2002 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: 147 Form 13F Information Table Value Total: $ 248,326 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- ---- ---- -------- 1-800 CONTACTS, INC. common 681977104 1962 157700 SH SOLE 157700 3Dfx Interactive, Inc. common 88553X103 552 1138400 SH SOLE 1138400 ACT Teleconferencing, Inc. common 000955104 6020 786831 SH SOLE 786831 AMX Corporation common 001801109 3371 1446924 SH SOLE 1446924 ANSYS, Inc. common 03662Q105 5361 217500 SH SOLE 217500 Adolor Corporation common 00724X102 4962 276436 SH SOLE 476436 Aksys, Ltd. common 010196103 5760 1238797 SH SOLE 1238797 Alliance Pharmaceutical Corp. common 018773309 4024 1183476 SH SOLE 1183476 Ansoft Corporation common 036384105 7335 502400 SH SOLE 502400 Applied Imaging Corp. common 03820G106 6491 2413174 SH SOLE 2413174 ArQule, Inc. common 04269E107 8389 493500 SH SOLE 493500 Aradigm Corporation common 038505103 3415 481000 SH SOLE 481000 Aramex International Limited common G04450105 3217 318500 SH SOLE 318500 Attunity, Ltd. (Restricted) common Not Avail 5000 3846156 SH SOLE 3846156 Axcan Pharma Inc. (Foreign) common 054923107 2527 177934 SH SOLE 177934 BRIAZZ, Inc. common 10782M104 341 340600 SH SOLE 340600 Beni Hana Inc. - Class A common 082047200 3553 236100 SH SOLE 236100 BioSphere Medical Inc. common 09066V103 4418 392000 SH SOLE 392000 Brigham Exploration Company (R common 109178103 1333 444307 SH SOLE 444307 Brio Technology, Inc. common 109704106 2951 1024700 SH SOLE 1024700 Cardiac Science, Inc (R/R) common 141410209 1502 740000 SH SOLE 740000 Chase Packaging Corporation common 161635107 8 789165 SH SOLE 789165 Clarus Corporation common 182707109 892 143000 SH SOLE 143000 CoActive Marketing Group, Inc. common 189875107 745 409350 SH SOLE 409350 Collectors Universe,Inc. common 19421R101 931 721600 SH SOLE 721600 CryptoLogic Inc.(Foreign) common 228906103 3827 215600 SH SOLE 215600 Cycomm International, Inc. (Re common 23255B208 640 4000000 SH SOLE 4000000 Daleen Technologies, Inc. common 23437N104 9 26800 SH SOLE 26800 Datakey, Inc. common 237909106 7137 1908133 SH SOLE 1908133 Dave & Buster's, Inc. common 23833N104 231 36800 SH SOLE 36800 DepoMed, Inc. (Rest/Reg) common 249908104 1656 240000 SH SOLE 240000 EZCORP, Inc. common 302301106 4896 2781900 SH SOLE 2781900 Edge Petroleum Corporation common 279862106 2475 467061 SH SOLE 467061 Electric Fuel Corporation common 284871100 1540 927418 SH SOLE 927418 Electronic Transmission Corpor common 286002209 111 651751 SH SOLE 651751 Eloquent, Inc. common 290140102 576 913900 SH SOLE 913900 Endwave Corporation common 29264A107 310 272000 SH SOLE 272000 Extensity, Inc. common 302255104 9792 4491970 SH SOLE 4491970 Famous Dave's of America, Inc. common 307068106 5129 701600 SH SOLE 701600 First Virtual Communications, common 964347108 1884 1760364 SH SOLE 1760364 Frequency Electronics, Inc. common 358010106 4122 294400 SH SOLE 294400 Gaiam, Inc. common 36268Q103 8833 405200 SH SOLE 405200 Gensym Corporation common 37245R107 432 719400 SH SOLE 719400 Genus, Inc. (Rest/Reg) common 372461103 2192 902068 SH SOLE 902068 Given Imaging Ltd. common M52020100 3933 220200 SH SOLE 220200 Goodrich Petroleum Corporation common 382410405 780 185800 SH SOLE 185800 ION Networks, Inc. common 46205P100 340 166465 SH SOLE 466465 Immersion Corporation common 452991961 675 100106 SH SOLE 100106 Interleukin Genetics, Inc. (Re common 458738101 1564 1150000 SH SOLE 1150000 Interplay Entertainment Corp. common 460615107 1862 4046790 SH SOLE 4046790 Intuitive Surgical, Inc. common 46120E107 9248 922000 SH SOLE 922000 Invivo Corporation common 461858102 2217 165066 SH SOLE 165066 J. Jill Group Inc. common 466189107 13252 615500 SH SOLE 615500 KVH Industries, Inc. common 482738101 7679 1290370 SH SOLE 1290370 Landacorp, Inc. common 514756105 1959 1567400 SH SOLE 1567400 Laserscope, Inc. common 518081104 3531 1412650 SH SOLE 1412650 LifeCell Corporation common 531927101 5999 2643050 SH SOLE 2643050 LivePerson, Inc. common 538146101 2234 6770154 SH SOLE 6770154 MK Gold Company common 55305P100 1813 3420300 SH SOLE 3420300 Made2Manage Systems, Inc. common 556466100 1271 348200 SH SOLE 348200 Mechanical Dynamics, Inc. common 583521109 4929 500400 SH SOLE 500400 Meridian Medical Technologies common 589658103 2367 90000 SH SOLE 90000 Micro Therapeutics, Inc. common 59500W100 1891 300650 SH SOLE 300650 MicroFinancial Incorporated common 595072109 6223 607100 SH SOLE 607100 Miravant Medical Technologies common 604690107 1922 200000 SH SOLE 200000 Movado Group, Inc. common 624580106 7702 401125 SH SOLE 401125 NMS Communication Corporation common 629248105 2094 434400 SH SOLE 434400 Net Perceptions, Inc. common 64107U101 4502 2648000 SH SOLE 2648000 New World Restaurant Group, In common 649271103 51 189200 SH SOLE 189200 Nova Measuring Instruments Ltd common M7516K103 4797 1128600 SH SOLE 1128600 ON Technology Corporation common 68219P108 5625 6221196 SH SOLE 6221196 ORATEC Interventions, Inc. common 68554M108 3098 478850 SH SOLE 478850 OmniVision Technologies, Inc. common 682128103 7850 874132 SH SOLE 874132 Optical Sensors Incorporated common 68384P107 644 1400000 SH SOLE 1400000 OraPharma, Inc. common 68554E106 2335 520126 SH SOLE 520126 Paradigm Genetics, Inc. common 69900R106 5502 965300 SH SOLE 965300 Peerless Systems Corporation common 705536100 1211 969100 SH SOLE 969100 PharmaNetics, Inc. common 71713J107 2171 299400 SH SOLE 299400 Pinnacle Systems, Inc. common 723481107 11613 1462600 SH SOLE 1462600 Planet Polymer Technologies common 727044109 3 28615 SH SOLE 28615 PlanetCAD Inc. common 847246105 31 171400 SH SOLE 171400 Precision Optics Corporation common 740294103 613 851600 SH SOLE 851600 Private Business, Inc. common 892148107 296 185101 SH SOLE 185101 Procom Technology, Inc. common 742270W10 2915 910800 SH SOLE 910800 Quovadx, Inc. common 98388Y101 5334 583000 SH SOLE 583000 Rogue Wave Software, Inc. common 775369101 4473 1397924 SH SOLE 1397924 SPACEHAB, Incorporated common 846243103 847 1100000 SH SOLE 1100000 SafeNet, Inc. common 45675F303 13390 706967 SH SOLE 706967 Sagent Technology, Inc. common 786693101 2477 2607506 SH SOLE 2607506 SeaChange International, Inc. common 811699107 10441 306000 SH SOLE 306000 SpectRx, Inc. (Rest/Reg) common 847635109 2730 395633 SH SOLE 395633 Support.com, Inc. common 868587106 6121 976200 SH SOLE 976200 Suprema Specialties, Inc. common 86859F107 4670 399151 SH SOLE 399151 Symphonix Devices, Inc. common 871951109 798 3191792 SH SOLE 3191792 Talarian Corporation common 874090103 1886 628800 SH SOLE 628800 Telular Corporation common 87970T208 11235 1223847 SH SOLE 1223847 The Knot, Inc. common 499184109 1155 1925650 SH SOLE 1925650 The Spectranetics Corporation common 84760C107 3551 991700 SH SOLE 991700 Thoratec Laboratories Corp. common 885175307 7140 420000 SH SOLE 420000 Tut Systems, Inc. common 901103101 400 172600 SH SOLE 172600 Tvia, Inc. common 87307P101 6206 3546561 SH SOLE 3546561 V.I. Technologies, Inc. common 917920100 2519 362400 SH SOLE 362400 Visionics Corporation (R/R) common 92831E101 6419 444812 SH SOLE 444812 WatchGuard Technologies, Inc. common 941105108 533 81800 SH SOLE 81800 Zoran Corporation common 98975F101 7422 227400 SH SOLE 227400 dot com Entertainment Group common 25848Q105 699 554500 SH SOLE 554500 eCollege.com common 27887E100 3168 999446 SH SOLE 999446 iGo Corporation common 449592104 826 1757300 SH SOLE 1757300 inSilicon Corporation common 45769H108 457 188000 SH SOLE 188000 Artisoft, Inc. (R/R) Cvt Pfd. preferred Not Avail 923 540000 SH SOLE 540000 Artisoft, Inc.(R/R) Cvt Pfd. @ preferred Not Avail 2668 1560000 SH SOLE 1560000 Berkeley HeartLab Corp. Series preferred Not Avail 250 167785 SH SOLE 167785 Daleen Technologies, Inc.(RR)C preferred NotAvail9 579 13520 SH SOLE 13520 Metretek Technologies (R/R) Pf preferred NotAvail9 399 337076 SH SOLE 337076 New World Coffee-Manhattan Ser preferred Not Avail 438 438 SH SOLE 438 New World Coffee-Manhattan Ser preferred Not Avail 5000 5000 SH SOLE 5000 Novatel Wireless, Inc. Pfd. 6 preferred Not Avail 6500 6500 SH SOLE 6500 PharmaNetics, Inc. 6% Cvt Pfd preferred NotAvail9 1812 25000 SH SOLE 25000 RQ Interactive, Inc. Pfd.(Rest preferred NotAvail9 600 240000 SH SOLE 240000 TGC Industries, Inc. Pfd (Rest preferred 872417100 174 155300 SH SOLE 155300 Gateway Bank & Trust Co. Ut/Wt Not Avail 477 50000 SH SOLE 50000 Alliance Pharmaceutical Wt(R)@ warrants Not Avail 571 1142900 SH SOLE 1142900 American Country Holdings, Inc warrants 025278110 15 210000 SH SOLE 210000 Applied Imaging Corp Wts R/R @ warrants NotAvail9 90 360000 SH SOLE 360000 Ariel Corporation Wt (R/R) @.9 warrants NotAvail9 17 334200 SH SOLE 334200 Artisoft, Inc.(R/R) Wts @3.75 warrants Not Avail 156 1560000 SH SOLE 1560000 Artisoft, Inc.(Rest) Wts @3.75 warrants Not Avail 54 540000 SH SOLE 540000 Beni-Hana Inc. Wts (R/R) @8 6/ warrants Not Avail 1554 200000 SH SOLE 200000 Boots & Coots Int'l (R) Wts A warrants 099469942 42 420000 SH SOLE 420000 Boots & Coots Int'l (R) Wts B warrants 099469942 35 700000 SH SOLE 700000 Brigham Exploration Wt (R/R)@2 warrants NotAvail9 198 243902 SH SOLE 243902 Cardima, Inc. Wts (Rest/Reg) @ warrants Not Avail 373 355556 SH SOLE 355556 CoActive Marketing Wt (R/R) @2 warrants NotAvail9 53 210125 SH SOLE 210125 Cycomm International, Inc.(R/R warrants NotAvail9 40 4000000 SH SOLE 4000000 Datakey, Inc. Wts (R/R) @$3.02 warrants Not Avail 2720 1333333 SH SOLE 1333333 DepoMed, Inc. Wts (R/R) @4.275 warrants Not Avail 428 120000 SH SOLE 120000 Edge Petroleum Corp Wt (R/R) @ warrants 279862940 82 165000 SH SOLE 165000 Electric Fuel Corp Wt R/R @3.2 warrants Not Avail 197 787879 SH SOLE 787879 Genus, Inc. Wts (R/R) @3.50 5/ warrants Not Avail 187 749783 SH SOLE 749783 Hemagen Diagnostics, Inc. Wts warrants 423501113 20 279600 SH SOLE 279600 Interleukin Genetics, Inc.(R/R warrants NotAvail9 150 600000 SH SOLE 600000 LifeCell Corporation Wts (R/R) warrants Not Avail 407 437500 SH SOLE 437500 Metretek Tech, Inc. Wt(R/R) @3 warrants Not Avail 10 200000 SH SOLE 200000 PharmaNetics, Inc. Wt(Rest/Reg warrants Not Avail 25 50000 SH SOLE 50000 Planet Polymer Wts @ 2.23 9/19 warrants 727044927 4 375000 SH SOLE 375000 Possis Medical, Inc. Wts $11.4 warrants 737407916 122 17669 SH SOLE 17669 Possis Medical, Inc. Wts (R) @ warrants 737407916 93 14346 SH SOLE 14346 RateXchange Corp Wt (R/R) 14.4 warrants NotAvail9 2 166666 SH SOLE 166666 SpectRx, Inc. Wts (R/R) @9.887 warrants Not Avail 20 79127 SH SOLE 79127