13F-HR 1 fdec09t.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, 2009 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 16, 2010 Name: David Greenhouse Title: Vice President; AWM Investment Company, Inc. Phone: (212) 319-6670 Signature: /s/ David Greenhouse, New York, NY, February 16, 2010 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: 212 Form 13F Information Table Value Total: $ 769235 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- --------- --- -------- -------- -------- 3Dfx Interactive, Inc. common 88553X103 1 1000685 SH SOLE 1000685 Acorn Energy, Inc. common 004848107 5017 679860 SH SOLE 679860 Addus Homecare Corp. common 006739106 2042 221948 SH SOLE 221948 Adept Technology, Inc. common 006854202 8134 2406376 SH SOLE 2406376 Allied Healthcare Int'l Inc. common 01923A109 8525 2929718 SH SOLE 2929718 Alphatec Holdings, Inc. common 02081G102 10924 2045691 SH SOLE 2045691 American Dental Partners, Inc. common 025353103 9543 739738 SH SOLE 739738 American Technology Corp common 030145205 4732 3197181 SH SOLE 3197181 Amtech Systems, Inc. common 032332504 11847 1075035 SH SOLE 1075035 Avantair, Inc. (Restricted) common 05350T101 11179 6315791 SH SOLE 6315791 Axion Power International Inc. common 05460X109 5439 8771930 SH SOLE 8771930 BTU International Corp. common 056032105 7787 1226367 SH SOLE 1226367 Bakers Footwear Group, Inc. common 057465106 1926 2603156 SH SOLE 2603156 Bioms Medical Corp. (Canadian) common 09062R106 676 2187000 SH SOLE 2187000 CEVA, Inc. common 157210105 29929 2327277 SH SOLE 2327277 CKX, Inc. common 12562M106 4029 764503 SH SOLE 764503 COMARCO, Inc. common 200080109 3392 1256306 SH SOLE 1256306 Cardiac Science Corp. common 14141A108 349 156386 SH SOLE 156386 Chase Packaging Corporation common 161635107 103 684954 SH SOLE 684954 China Education Alliance, Inc. common 16938Y207 9176 1487224 SH SOLE 1487224 ChinaCast Education Corp common 16946T109 13248 1752357 SH SOLE 1752357 Chindex International, Inc. common 169467107 8073 571334 SH SOLE 571334 ClickSoftware Technologies, Lt common M25082104 3263 466175 SH SOLE 466175 Collectors Universe, Inc. common 19421R200 4772 510387 SH SOLE 510387 Combinatorx, Inc. common 20010A103 388 467788 SH SOLE 467788 Comverge, Inc. common 205859101 13115 1166809 SH SOLE 1166809 Concurrent Computer Corp common 206710402 1534 383499 SH SOLE 383499 CryptoLogic, Inc.(Ireland) common G3159C109 5110 1396288 SH SOLE 1396288 Cutera, Inc. common 232109108 3105 364920 SH SOLE 364920 Cyclacel Pharmaceuticals, Inc. common 23254L108 2895 2783224 SH SOLE 2783224 DIVX, Inc. common 255413106 5660 1003527 SH SOLE 1003527 Dover Saddlery, Inc. common 260412101 2367 1024539 SH SOLE 1024539 Enova Systems, Inc. common 29355M200 982 530814 SH SOLE 530814 Enova Systems, Inc. (Rest) common 29355M200 6440 4000000 SH SOLE 4000000 Entropic Communications, Inc. common 29384R105 6122 1994021 SH SOLE 1994021 Excapsa Software, Inc. common Not Avail 455 4110150 SH SOLE 4110150 FSI International, Inc. common 302633102 10941 3721371 SH SOLE 3721371 Familymeds Group, Inc. common 30706T209 137 1143889 SH SOLE 1143889 Flow International Corporation common 343468104 4647 1508814 SH SOLE 1508814 Full House Resorts Inc. common 359678109 6271 1802140 SH SOLE 1802140 GeneNews, Ltd. (Canada) (CF) common 36870T107 1663 3971300 SH SOLE 3971300 Global Power Equipment Group common 37941P207 8291 5564638 SH SOLE 5564638 GolfSmith International Holdin common 38168Y103 4111 1826917 SH SOLE 1826917 Hamilton Thorne Biosciences(R) common Not Avail 394 1750103 SH SOLE 1750103 Harvard Bioscience, Inc. common 416906105 856 239746 SH SOLE 239746 HealthWarehouse.com, Inc. common 42227G103 873 9694938 SH SOLE 9694938 Heelys, Inc. common 42279M107 2059 944285 SH SOLE 944285 Here Media, Inc. common 427105101 391 1029462 SH SOLE 1029462 ICX Technology, Inc. common 44934T105 9147 960812 SH SOLE 960812 IGO, Inc. common 449593102 2100 1707167 SH SOLE 1707167 Ibex Technology Inc.(Canada) common 448937508 35 142500 SH SOLE 142500 Image Sensing Systems, Inc. common 45244C104 10746 926420 SH SOLE 926420 Immersion Corporation common 452521107 3882 849486 SH SOLE 849486 Integral Vision, Inc. common 45811H106 19 309841 SH SOLE 309841 Interlink Electronics, Inc. common 458751104 789 2192707 SH SOLE 2192707 Intermap Technologies Corp common 458977204 9812 5673243 SH SOLE 5673243 Internet Brands, Inc. common 460608102 9349 1194041 SH SOLE 1194041 Interplay Entertainment Corp. common 460615107 622 9570000 SH SOLE 9570000 Iteris, Inc. common 46564M102 6157 4104703 SH SOLE 4104703 KMG Chemicals, Inc. common 482564101 8196 548222 SH SOLE 548222 Kopin Corporation common 500600101 27070 6475966 SH SOLE 6475966 LSB Industries, Inc. common 502160104 9929 704171 SH SOLE 704171 Ligand Pharmaceuticals, Inc. common 53220K207 205 94501 SH SOLE 94501 LivePerson, Inc. common 538146101 4890 701582 SH SOLE 701582 LocatePlus Holding Corp common 539570408 131 901502 SH SOLE 901502 MIPS Technologies, Inc. common 604567107 17533 4012236 SH SOLE 4012236 MYR-Group Inc./Delaware common 55405W104 5995 331561 SH SOLE 331561 Medivation, Inc. common 58501N101 36610 972384 SH SOLE 972384 Methylgene, Inc. (Canada) common 591544101 492 1724045 SH SOLE 1724045 MicroFinancial Incorporated common 595072109 5589 1808814 SH SOLE 1808814 Multiband Corporation common 62544X209 1173 601486 SH SOLE 601486 Natus Medical Incorporated common 639050103 14665 991516 SH SOLE 991516 Nexxus Lighting Inc. common 65338E105 6800 2000000 SH SOLE 2000000 Noble Romans, Inc. common 655107100 1181 1341850 SH SOLE 1341850 Nova Measuring Instruments Ltd common M7516K103 12566 1939201 SH SOLE 1939201 OPNET Technologies, Inc. common 683757108 18107 1485394 SH SOLE 1485394 OSI Systems, Inc. common 671044105 1419 52000 SH SOLE 52000 Omega Protein Corporation common 68210P107 3146 721571 SH SOLE 721571 Openwave Systems, Inc. common 683718308 3840 1684103 SH SOLE 1684103 Opexa Therapeutics, Inc. common 68372T103 1425 750000 SH SOLE 750000 Orthovita, Inc. common 68750U102 7558 2153394 SH SOLE 2153394 PC-Tel, Inc. common 69325Q105 6697 1131293 SH SOLE 1131293 PSi Technologies Holdings, Inc common 74438Q109 4 812739 SH SOLE 812739 Pacific Premier Bancorp, Inc. common 69478X105 3169 937716 SH SOLE 937716 Peco II, Inc. common 705221208 1633 336082 SH SOLE 336082 Pfsweb, Inc. common 717098206 2557 1716297 SH SOLE 1716297 Pharmacyclics, Inc. common 716933106 6769 2155641 SH SOLE 2155641 Phoenix Technologies, Ltd. common 719153108 5548 2017399 SH SOLE 2017399 PowerSecure International, Inc common 73936N105 9024 1251622 SH SOLE 1251622 Precision Optics Corporation common 740294202 430 391097 SH SOLE 391097 Preformed Line Products Co. common 740444104 1667 38067 SH SOLE 38067 Pure Technologies, Ltd. common 745915108 2559 621800 SH SOLE 621800 Quantum Fuel Systems Tech Worl common 74765E109 331 298443 SH SOLE 298443 Questcor Pharmaceuticals, Inc. common 74835Y101 2285 481152 SH SOLE 481152 RF Monolithics, Inc. common 74955F106 827 818787 SH SOLE 818787 RIT Technologies Ltd. (Israel) common M8215N109 654 326771 SH SOLE 326771 RTI Biologics, Inc. common 74975N105 5187 1350842 SH SOLE 1350842 Reis, Inc. common 75936P105 1863 302971 SH SOLE 302971 Remedent, Inc. (Belgium) common 75954T104 1747 4480434 SH SOLE 4480434 Response Genetics, Inc. common 76123U105 4322 3350174 SH SOLE 3350174 Saba Software, Inc. common 784932600 5532 1336153 SH SOLE 1336153 Sangamo BioSciences, Inc. common 800677106 9667 1632924 SH SOLE 1632924 SatCon Technology Corporation common 803893106 6903 2447774 SH SOLE 2447774 SeaChange International, Inc. common 811699107 3589 546265 SH SOLE 546265 SoundBite Communications, Inc. common 836091108 1752 603970 SH SOLE 603970 Support.com, Inc. common 86858W101 2680 1015107 SH SOLE 1015107 Tegal Corporation common 879008100 1519 1142016 SH SOLE 1142016 Tekmira Pharmaceutical Corp. common 87911B100 2970 3360400 SH SOLE 3360400 The Knot, Inc. common 499184109 4794 476021 SH SOLE 476021 Titan Machinery, Inc. common 88830R101 4181 362314 SH SOLE 362314 Trans World Corporation common 89336R207 6243 2081008 SH SOLE 2081008 Trintech Group, PLC common 896682200 4390 1338563 SH SOLE 1338563 U.S. Home Systems, Inc. common 90335C100 2003 788560 SH SOLE 788560 US Auto Parts Network, Inc. common 90343C100 3709 713195 SH SOLE 713195 Ultra Clean Holdings, Inc. common 90385V107 22327 3194167 SH SOLE 3194167 Unify Corporation common 904743200 5832 1990348 SH SOLE 1990348 Verenium Corporation common 92340P100 6542 1453783 SH SOLE 1453783 Vical, Inc. common 925602104 7659 2327865 SH SOLE 2327865 Vitacost.com, Inc. common 92847A200 4049 388551 SH SOLE 388551 Vuance, Ltd. (Israel) common M9763P108 201 1007362 SH SOLE 1007362 WPCS International Incorporate common 92931L203 3718 1313721 SH SOLE 1313721 Waterfurnace Renewable Energy common 92923V102 5764 233600 SH SOLE 233600 World Heart Corporation (Canad common 980905400 12920 2719953 SH SOLE 2719953 XEBEC Adsorption, Inc. (Canada common 983891102 3935 5110500 SH SOLE 5110500 XEBEC Adsorption, Inc. (Rest) common 983891102 2413 3333400 SH SOLE 3333400 Yongye International, Inc. common 98607B106 36063 4435836 SH SOLE 4435836 Youbet.com, Inc. common 987413101 4201 1463891 SH SOLE 1463891 ZBB Energy Corporation common 98876R204 726 615317 SH SOLE 615317 Zhongpin Inc. (China) common 98952K107 9322 597166 SH SOLE 597166 Ziopharm Oncology, Inc. common 98973P101 5961 2013973 SH SOLE 2013973 iCo Therapeutics, Inc. (sl CND common 45107J105 2964 6000000 SH SOLE 6000000 iPass, Inc. common 46261V108 1957 1882087 SH SOLE 1882087 interCLICK Inc. common 458483203 1310 250000 SH SOLE 250000 Caprius, Inc (R/R) cvrt @.6385 preferred Not Avail 31 79031 SH SOLE 79031 Caprius, Inc (Rest/Reg) cvt @. preferred Not Avail 36 17966 SH SOLE 17966 Verdasys Inc ser B cvt pfd @2 preferred Not Avail 6320 2500000 SH SOLE 2500000 Altair Nanotechnologies Inc. @ warrants Not Avail 291 939973 SH SOLE 939973 American Tech Corp R/R @2.67 2 warrants Not Avail 39 788090 SH SOLE 788090 Caprius, Inc. (R/R) @.50 2/27/ warrants Not Avail 6 1531250 SH SOLE 1531250 Caprius, Inc. (R/R) @.80 12/5/ warrants Not Avail 7 718640 SH SOLE 718640 Caprius, Inc. A (R/R) @.90 2/1 warrants Not Avail 1 73134 SH SOLE 73134 Caprius, Inc. A (R/R) @1.25 2/ warrants Not Avail 1 1817254 SH SOLE 1817254 Caprius, Inc. Warrants B (RR) warrants Not Avail 1 146269 SH SOLE 146269 Capstone Turbine Corp @1.20 1/ warrants Not Avail 686 2017545 SH SOLE 2017545 CombiMatrix-Acacia Resrch @.87 warrants Not Avail 72 3600000 SH SOLE 3600000 Concurrent Computer R/R @1.62 warrants 206710402 5 1000000 SH SOLE 1000000 Converted Organics @1.30 12/31 warrants 21245S131 270 1500000 SH SOLE 1500000 Cyclacel Pharmaceutical @1 1/1 warrants Not Avail 228 2279411 SH SOLE 2279411 Cyclacel Pharmaceutical @1 1/1 warrants Not Avail 262 670623 SH SOLE 670623 GeneNews @.25 2/11/12(Sell onl warrants Not Avail 864 3454360 SH SOLE 3454360 Hamilton Thorne Bio (R) @.60 4 warrants Not Avail 175 1750103 SH SOLE 1750103 Integral Vision, Inc. @.001 4/ warrants Not Avail 111 1850000 SH SOLE 1850000 Integral Vision, Inc. @.001 9/ warrants Not Avail 180 3600000 SH SOLE 3600000 Interlink Electronics RR @1.51 warrants Not Avail 46 1149603 SH SOLE 1149603 Intermap Tech R/R @3.00CN 4/27 warrants Not Avail 15 500000 SH SOLE 500000 Iteris, Inc. (Rest/Reg) @3.25 warrants Not Avail 12 235004 SH SOLE 235004 La Jolla Pharmaceutical R/R @5 warrants Not Avail 11 380792 SH SOLE 380792 LocatePlus Holding Corp(R) @7. warrants Not Avail 1 383882 SH SOLE 383882 Metabasis Thera R/R @6.74 3/30 warrants Not Avail 2 115503 SH SOLE 115503 NeoMagic Corp @5.2 6m-1yr 12/6 warrants 640497202 23 575000 SH SOLE 575000 Opexa Therapeutics A @2.55 6/1 warrants Not Avail 249 262500 SH SOLE 262500 Opexa Therapeutics B @2.55 6/1 warrants Not Avail 92 112500 SH SOLE 112500 Opexa Therapeutics Wts(RR)@.65 warrants Not Avail 340 4858000 SH SOLE 4858000 Pharmacopeia @5.14 10/13/11*.5 warrants Not Avail 2 87500 SH SOLE 87500 Precision Optics (RR) @.22 2/1 warrants Not Avail 240 8000000 SH SOLE 8000000 Precision Optics c nt R/R@.07 warrants Not Avail 145 7260000 SH SOLE 7260000 Quantum Fuel A@2.09 R/R 12/22/ warrants Not Avail 281 760000 SH SOLE 760000 Quantum Fuel B@2.09 R/R 12/22/ warrants Not Avail 281 760000 SH SOLE 760000 Raser Technologies, Inc. @4.62 warrants Not Avail 75 500000 SH SOLE 500000 Remedent, Inc. (Rest/Reg) @1.5 warrants Not Avail 135 1500000 SH SOLE 1500000 Remedent, Inc. (Rest/Reg) @1.5 warrants Not Avail 15 1666667 SH SOLE 1666667 Targeted Genetics (R/R) @3.25 warrants Not Avail 105 2624097 SH SOLE 2624097 Targeted Genetics RR@5.41 7/11 warrants Not Avail 6 315000 SH SOLE 315000 Tegal Corporation Wt(RR)@.50 9 warrants Not Avail 2 1243239 SH SOLE 1243239 Unify Corp Wts (R/R) @.27 10/3 warrants Not Avail 134 384000 SH SOLE 384000 Unify Corp Wts (R/R) @.32 10/3 warrants Not Avail 166 518400 SH SOLE 518400 Unify Corp Wts (R/R) @.38 10/3 warrants Not Avail 104 384000 SH SOLE 384000 Unify Corporation Wts (R/R) @2 warrants Not Avail 179 190182 SH SOLE 190182 Verenium @3.98 8/27/13 R(F4)*. warrants Not Avail 23 562508 SH SOLE 562508 Vertical Comm Wt(R)@.01 6/27/1 warrants Not Avail 1 13995461 SH SOLE 13995461 Vical Inc. Wts @2.25 11/27/09- warrants Not Avail 1070 1000000 SH SOLE 1000000 Vuance, Ltd @3.53 12/9/10 (R/R warrants Not Avail 2 224451 SH SOLE 224451 Vuance, Ltd Wts @.85 11/19/11 warrants Not Avail 1 155891 SH SOLE 155891 XEBEC Absorption @.215 5/13/10 warrants Not Avail 312 31230000 SH SOLE 31230000 XEBEC Absorption @1.10 12/31/0 warrants Not Avail 483 1666700 SH SOLE 1666700 Zhongpin, Inc. Wts (R/R) @5.00 warrants Not Avail 3766 353625 SH SOLE 353625 Zhongpin, Inc. Wts (R/R) @5.50 warrants Not Avail 725 71256 SH SOLE 71256 Ziopharm Oncology Inc (R/R) @2 warrants Not Avail 436 273973 SH SOLE 273973 Ziopharm Oncology Inc (R/R) @4 warrants Not Avail 967 967500 SH SOLE 967500 Ziopharm Oncology Inc (R/R) @5 warrants Not Avail 40 76555 SH SOLE 76555