13F-HR 1 fdect12t.txt MARXE AND GREENHOUSE SCHED 13F HR 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, 2012 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 13, 2013 Name: David Greenhouse Title: Vice President; AWM Investment Company, Inc. Phone: (212) 319-6670 Signature: /s/ David Greenhouse, New York, NY, February 13, 2013 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: 172 Form 13F Information Table Value Total: $ 601,703 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ---- -------- -------- ------ ---- Aastrom Bioscience, Inc. common 00253U107 630 500000 SH Sole 500000 Active Power, Inc. common 00504W100 505 150772 SH Sole 150772 Adept Technology, Inc. common 006854202 5903 2261675 SH Sole 2261675 Aerovironment, Inc. common 008073108 5035 231580 SH Sole 231580 Alco Stores, Inc. common 001600105 5218 594311 SH Sole 594311 Allon Therapeutics, Inc. common 019774108 8 500500 SH Sole 500500 Alphatec Holdings, Inc. common 02081G102 4600 2787691 SH Sole 2787691 Avantair, Inc. common 05350T101 711 6315791 SH Sole 6315791 Axion Power International, Inc common 05460X109 365 1304000 SH Sole 1304000 BTU International Corp. common 056032105 2235 1123045 SH Sole 1123045 Brightcove, Inc. common 075097042 258 28583 SH Sole 28583 Broadwind Energy Inc. common 11161T108 6340 2921544 SH Sole 2921544 CEVA, Inc. common 157210105 16997 1079169 SH Sole 1079169 CPI Aerostructures, Inc. common 125919308 8319 831040 SH Sole 831040 CTPartners Executive Search common 22945C105 974 211633 SH Sole 211633 Callidus Software common 13123E500 876 192900 SH Sole 192900 Carbon Natural Gas Co. common 14115T109 4356 10888889 SH Sole 10888889 CardioNet, Inc. common 14159L103 727 318882 SH Sole 318882 Chase Packaging Corporation common 161635107 1 684954 SH Sole 684954 ChinaCast Education Corp common 16946T109 90 996207 SH Sole 996207 Citi Trends, Inc. common 17306X102 1479 107506 SH Sole 107506 Clean Diesel Technologies, Inc common 18449C401 1127 519196 SH Sole 519196 Constant Contact Inc. common 210313102 5157 362927 SH Sole 362927 Crumbs Bake Shop Inc. common 316816107 2264 732776 SH Sole 732776 Crumbs Bake Shop Inc. (Rest) common 316816107 4656 1583709 SH Sole 1583709 DSP Group, Inc. common 23332B106 2905 504334 SH Sole 504334 DTS, Inc. common 25389G102 8382 501942 SH Sole 501942 Daegis Inc common 904743200 2052 1935627 SH Sole 1935627 Destination Maternity Corp. common 25065D100 6465 299864 SH Sole 299864 Digimarc Corporation common 25381B101 1837 88761 SH Sole 88761 E-Ink Holdings Incorporated common Not Avail 8404 11030745 SH Sole 11030745 Ecotality, Inc. common 27922Y202 680 1615488 SH Sole 1615488 Ellie Mae, Inc. common 28849P100 11420 411549 SH Sole 411549 Endocyte, Inc. common 29269A102 8374 932559 SH Sole 932559 EnteroMedics, Inc. common 29365M208 2627 938266 SH Sole 938266 Entropic Communications, Inc. common 29384R105 21771 4115446 SH Sole 4115446 Enzo Biochem, Inc. common 294100102 4423 1638266 SH Sole 1638266 EpiCept Corporation common 294264304 49 839038 SH Sole 839038 Erickson Air-Crane, Inc. common 29482P100 8086 959144 SH Sole 959144 Extreme Networks, Inc. common 30226D106 3433 943198 SH Sole 943198 Familymeds Group, Inc. common 30706T209 24 1143889 SH Sole 1143889 Flow International Corporation common 343468104 6063 1732290 SH Sole 1732290 Fuelcell Energy Inc. common 35952H106 2454 2676287 SH Sole 2676287 Full House Resorts Inc. common 359678109 6217 1802140 SH Sole 1802140 GeneNews, Ltd. (Canada) (CF) common 36870T107 1546 2397841 SH Sole 2397841 GeneNews, Ltd. (Rest- Reg S) common 36870T107 379 689897 SH Sole 689897 Global Power Equipment Group common 37941P306 1115 65000 SH Sole 65000 GraphOn Corporation common 388707101 2226 6016900 SH Sole 6016900 Graymark Healthcare Inc. common 389465303 803 3571000 SH Sole 3571000 Hamilton Thorne, Ltd.(Canada) common Not Avail 588 8356544 SH Sole 8356544 Here Media, Inc. common 427105101 391 1029462 SH Sole 1029462 Heritage-Crystal Clean, Inc. common 42726M106 1030 68634 SH Sole 68634 Image Sensing Systems, Inc. common 45244C104 5515 1109646 SH Sole 1109646 Incontact Inc. common 45336E109 6839 1320324 SH Sole 1320324 Infusystem Holdings, Inc. common 45685K102 535 356813 SH Sole 356813 Inovio Pharmaceuticals, Inc. common 45773H102 392 784154 SH Sole 784154 Integral Vision, Inc. common 45811H106 6 1850000 SH Sole 1850000 Intermap Technologies Corp(Can common 458977204 5459 15051204 SH Sole 15051204 Interplay Entertainment Corp. common 460615107 137 9133000 SH Sole 9133000 Iteris, Inc. common 46564T107 6814 4008378 SH Sole 4008378 KMG Chemicals, Inc. common 482564101 12044 685500 SH Sole 685500 Kopin Corporation common 500600101 20055 6022647 SH Sole 6022647 LRAD Corporation common 50213V109 4384 3985271 SH Sole 3985271 LSB Industries, Inc. common 502160104 7670 216552 SH Sole 216552 Lemaitre Vascular Inc. common 525558201 1789 311617 SH Sole 311617 Lightbridge Corporation common 53224K104 1969 1396689 SH Sole 1396689 MIPS Technologies, Inc. common 604567107 19542 2498947 SH Sole 2498947 MYR-Group Inc. common 55405W104 9570 430125 SH Sole 430125 MagneTek, Inc. common 559424403 3562 345802 SH Sole 345802 Manitex Int'l Inc. common 563420108 615 86100 SH Sole 86100 Market Leader Inc. common 57056R103 2869 438000 SH Sole 438000 MaxLinear, Inc. common 57776J100 4167 830070 SH Sole 830070 Memsic, Inc. common 586264103 2459 736095 SH Sole 736095 MicroFinancial Incorporated common 595072109 11228 1542372 SH Sole 1542372 Multiband Corporation common 62544X209 2597 1574029 SH Sole 1574029 NeoPhotonics Corporation common 64051T100 2427 422890 SH Sole 422890 Neonode, Inc. common 64051M402 4508 927550 SH Sole 927550 OmniVision Technologies, Inc. common 682128103 13539 961607 SH Sole 961607 Ossen Innovation Co. Spon-ADR common 688410109 849 1048005 SH Sole 1048005 Overland Storage, Inc. (F4) common 690310206 3301 3143459 SH Sole 3143459 PC-Tel, Inc. common 69325Q105 8145 1131293 SH Sole 1131293 PRGX Global, Inc. common 69357C503 7514 1165000 SH Sole 1165000 Pacira Pharmaceuticals, Inc. common 695127100 12365 707806 SH Sole 707806 Parametric Sound Corporation common 966172102 4118 600231 SH Sole 600231 ParkerVision, Inc. common 701354102 13318 6560810 SH Sole 6560810 Peregrine Semiconductor Corp. common 71366R703 548 35800 SH Sole 35800 Pfsweb, Inc. common 717098206 6933 2441165 SH Sole 2441165 Pharmacyclics, Inc. common 716933106 1621 28000 SH Sole 28000 Plug Power, Inc. common 72919P202 4256 8511620 SH Sole 8511620 Power Solutions International common 73933G202 9541 589698 SH Sole 589698 PowerSecure International, Inc common 73936N105 8047 1030355 SH Sole 1030355 Precision Optics Corporation common 740294301 781 919213 SH Sole 919213 Pure Technologies, Ltd. common 745915108 8644 1869300 SH Sole 1869300 RXi Pharmaceuticals Corp. common 74979C105 53 707000 SH Sole 707000 Regulus Therapeutics, LLC. common 75915K101 8947 1420216 SH Sole 1420216 Remedent, Inc. (Belgium) common 75954T104 395 3951933 SH Sole 3951933 Repligen Corporation common 759916109 8919 1417928 SH Sole 1417928 Response Genetics, Inc. common 76123U105 4473 3313513 SH Sole 3313513 Riverview Bancorp, Inc. common 769397100 2295 1358033 SH Sole 1358033 SMART Technologies, Inc. common 83172R108 5104 3230268 SH Sole 3230268 Saia, Inc. common 78709Y105 347 15000 SH Sole 15000 Sangamo BioSciences, Inc. common 800677106 11290 1878503 SH Sole 1878503 SeaChange International, Inc. common 811699107 10502 1086081 SH Sole 1086081 Silicon Image Inc. common 82705T102 3831 772300 SH Sole 772300 SoundBite Communications, Inc. common 836091108 1827 638870 SH Sole 638870 Spectral Diagnostics Inc. common 847574100 803 3188009 SH Sole 3188009 Summer Infant, Inc. common 865646103 264 151962 SH Sole 151962 Support.com, Inc. common 86858W101 10353 2476724 SH Sole 2476724 Synergetics USA, Inc. common 87160G107 4584 955027 SH Sole 955027 Tekmira Pharmaceutical Corp. common 87911B209 2094 422132 SH Sole 422132 Titan Machinery, Inc. common 88830R101 9898 400730 SH Sole 400730 Tivo, Inc. common 888706108 5490 445600 SH Sole 445600 Transgenomic, Inc. common 89365K206 475 779300 SH Sole 779300 US Auto Parts Network, Inc. common 90343C100 2421 1323032 SH Sole 1323032 Ultra Clean Holdings, Inc. common 90385V107 12964 2640275 SH Sole 2640275 Unwired Planet, Inc. common 91531F103 462 385194 SH Sole 385194 Ur-Energy, Inc. (Canada) common 91688R108 1605 1900000 SH Sole 1900000 Verastem, Inc. common 92337C104 5221 594026 SH Sole 594026 Verdasys, Inc. (Private Compan common Not Avail 1857 860226 SH Sole 860226 Verenium Corporation common 92340P209 3209 1478676 SH Sole 1478676 Waterfurnace Renewable Energy common 92923V102 3487 239700 SH Sole 239700 World Energy Solutions, Inc. common 98145W208 4038 928330 SH Sole 928330 XEBEC Adsorption, Inc. (Canada common 983891102 3591 12083103 SH Sole 12083103 YM Biosciences, Inc. (Canada) common 984238105 1551 540254 SH Sole 540254 Ziopharm Oncology, Inc. common 98973P101 3231 776741 SH Sole 776741 iCo Therapeutics, Inc. (sl CND common 45107J105 4123 4990500 SH Sole 4990500 iPass, Inc. common 46261V108 5565 3040809 SH Sole 3040809 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 169 1875000 SH Sole 1875000 Altair Nanotech @.58 5/28/16 * warrants Not Avail 9 939973 SH Sole 939973 Cerus Corporation @3.20 5/16/1 warrants Not Avail 139 421052 SH Sole 421052 ChinaCast Education Corp (R) @ warrants Not Avail 10 500000 SH Sole 500000 Cyclacel Pharm @1 1/19/10-7/29 warrants Not Avail 141 670623 SH Sole 670623 Cyclacel Phrm @1.92 RR 10/7/15 warrants Not Avail 431 2053450 SH Sole 2053450 Cyclacel Phrm@2.85 7/24/10-1/2 warrants Not Avail 25 176250 SH Sole 176250 CytRx Corporation R/R 8/1/16 @ warrants 232828301 72 2400000 SH Sole 2400000 Daegis Inc. Wts (R/R) @2.75 4/ warrants Not Avail 34 190182 SH Sole 190182 Derma Sciences, Inc. (R/R) @9. warrants Not Avail 128 60606 SH Sole 60606 Dynavax Technologies Corp @1.5 warrants 268158102 630 360000 SH Sole 360000 EnteroMedics, Inc. @1.90 9/28/ warrants Not Avail 230 180000 SH Sole 180000 EnteroMedics, Inc. @2.19 6/7/1 warrants Not Avail 1605 1500000 SH Sole 1500000 EpiCept Corporation Wts @.75 2 warrants Not Avail 12 1250000 SH Sole 1250000 Galena Biopharma R/R @.65 4/21 warrants Not Avail 802 750000 SH Sole 750000 GeneNews @.24 2/1/15 Reg S (CF warrants Not Avail 8 4144638 SH Sole 4144638 GeneNews @.24 6/1/15 Reg S (CF warrants Not Avail 14 690278 SH Sole 690278 GraphOn Corporation @.26 9/1/1 warrants Not Avail 522 2750000 SH Sole 2750000 Graymark Hlth @1.40 6/20/16 F4 warrants Not Avail 357 3571000 SH Sole 3571000 Hamilton Thorne @.16875c 5/15/ warrants Not Avail 7 244444 SH Sole 244444 Idera Pharmaceuticals (R/R) @3 warrants Not Avail 45 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 9 3600000 SH Sole 3600000 Intermap Tech (R/R) @.48CN 4/2 warrants Not Avail 1290 10750000 SH Sole 10750000 LRAD Corporation (R/R) @2.67 2 warrants Not Avail 110 788090 SH Sole 788090 Lightbridge Corp R/R @9.00 1/2 warrants Not Avail 64 454546 SH Sole 454546 Opexa Therapeutic@2.55 6/15/10 warrants Not Avail 8 262500 SH Sole 262500 Overland Storage RR@1.97 2/22/ warrants Not Avail 682 4544701 SH Sole 4544701 Palatin RR@1.00 3/2/12-3/2/17 warrants Not Avail 675 4500000 SH Sole 4500000 Palatin(RR) @1.00 3/1/16 *.086 warrants Not Avail 54 4500000 SH Sole 4500000 Parametric Sound R/R @.75 2/22 warrants Not Avail 1260 1500000 SH Sole 1500000 Parkervision, Inc. (R/R) @.535 warrants Not Avail 1905 1229104 SH Sole 1229104 Plug Power, Inc @2.27 5/31/16 warrants Not Avail 85 2120000 SH Sole 2120000 Power Solutions R/R@.40625 4/2 warrants Not Avail 1307 9333333 SH Sole 9333333 Precision Optic RR@.0472 6/26/ warrants Not Avail 218 7260000 SH Sole 7260000 Precision Optics R/R @1.25 9/2 warrants Not Avail 184 427779 SH Sole 427779 Remark Media @5.937 8/29/17 R/ warrants Not Avail 112 147222 SH Sole 147222 Threshold Pharmaceutical R/R @ warrants Not Avail 419 190476 SH Sole 190476 Transgenomic, Inc.@1.08 2/7/17 warrants Not Avail 122 1750000 SH Sole 1750000 XEBEC Adsorption @.45C 11/1/15 warrants Not Avail 225 2500000 SH Sole 2500000 Ziopharm Oncology Inc (R/R) @2 warrants Not Avail 600 273973 SH Sole 273973 Ziopharm Oncology Inc (R/R) @4 warrants Not Avail 658 967500 SH Sole 967500 Overland Storage, Inc. 20% of Not Avail 2250 3000000 SH Sole 3000000