UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: June 30, 1999
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: 153 East 53rd Street, 51st 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 intergral parts of
thsi form.
Person Signing this Report on Behalf of Reporting Manager:
Name: Austin Marxe
Title: President; AWM Investment Company, Inc.
Phone: (212) 832-5300
Signature: /s/ Austin Marxe, New York, NY, August 5, 1999
Name: David Greenhouse
Title: Vice President; AWM Investment Company, Inc.
Phone: (212) 832-5300
Signature: /s/ David Greenhouse, New York, NY, August 5, 1999
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.
<PAGE>
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 168
Form 13F Information Table Value Total: $ 226,134
List of Other included Managers:
No. 13F File Number Name
None
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<TABLE>
VALUE SHARES/ SH/ PUT/ INVSTMT -----VOTING
AUTHORITY-----
NAME OF ISSUER -TITLE OF CLASS- --CUSIP-- (x$1000) PRN AMT PRN CALL DSCRETN -MANAGERS- SOLE SHARED
NONE
<C> <C>
D 1-800 CONTACTS, INC. common 681977104 6431 343000 SH SOLE 343000
D ANSYS, Inc. common 03662Q105 4492 452000 SH SOLE 452000
D Accom, Inc. common 004334108 424 484400 SH SOLE 484400
D Accuhealth, Inc. common 004380101 210 304916 SH SOLE 304916
D Aksys, Ltd. common 010196103 3510 603800 SH SOLE 603800
D Apache Medical Systems, Inc. common 03746E102 812 764600 SH SOLE 764600
D Applied Imaging Corp. common 03820G106 2425 1616666 SH SOLE 1616666
D ArQule, Inc. common 04269E107 1540 316000 SH SOLE 316000
D Aramex International Limited common G04450105 1697 193900 SH SOLE 193900
D Aviation General, Inc. common 05366T103 262 209300 SH SOLE 209300
D BOLDER Technologies Corp. common 097519102 2500 416667 SH SOLE 416667
D Barringer Technologies, Inc. common 068509603 1730 267422 SH SOLE 267422
D Barringer Technologies, Inc. common 068509108 2021 312499 SH SOLE 312499
D Blue Wave Systems, Inc. common 096081104 1913 527800 SH SOLE 527800
D Boots & Coots Int'l Well Contr common 099469108 1837 1400000 SH SOLE 1400000
D CIMA Labs, Inc. common 171796105 3108 672080 SH SOLE 672080
D Calypte Biomedical Corporation common 131722100 437 250000 SH SOLE 250000
D Cambridge Heart, Inc. common 131910101 1500 285714 SH SOLE 285714
D Cardiac Control Systems, Inc. common 14140H302 10 140000 SH SOLE 140000
D Cardiac Control Systems, Inc. common 14140H922 1 19697 SH SOLE 19697
D Cardiac Pathways Corporation common 141408104 252 268500 SH SOLE 268500
D Cell Therapeutics, Inc. common 150934107 1265 512580 SH SOLE 512580
D Chase Packaging Corporation common 161635107 43 789165 SH SOLE 789165
D Check Technology Corporation common 162780100 841 353900 SH SOLE 353900
D Connect, Inc. common 207528308 2861 906549 SH SOLE 906549
D Corsair Communications, Inc. common 220406102 539 126800 SH SOLE 126800
D Country Wide Transport Service common 222366304 1187 1652100 SH SOLE 1652100
D Cover-All Technologies, Inc. common 222892101 899 669000 SH SOLE 669000
D Cubist Pharmaceuticals, Inc. common 229678107 4009 1018190 SH SOLE 1018190
D Datakey, Inc. common 237909106 67 26000 SH SOLE 26000
D Digital Origin, Inc. common 25385X109 33 10000 SH SOLE 10000
D EP MedSystems, Inc. common 26881P103 1741 580400 SH SOLE 580400
D EPIX Medical, Inc. common 26881Q101 1646 299300 SH SOLE 299300
D EZCORP, Inc. common 302301106 1814 263800 SH SOLE 263800
D Edge Petroleum Corporation common 279862106 3506 550000 SH SOLE 550000
D Electronic Transmission Corp. common 286002209 558 1263681 SH SOLE 1263681
D Energy BioSystems Corporation common 29265L706 500 277778 SH SOLE 277778
D Enlighten Software Solutions common 29336A101 2055 597900 SH SOLE 597900
D Enterprise Software, Inc. common 29379K107 2118 264700 SH SOLE 264700
D Film Roman, Inc. common 317234102 1556 529600 SH SOLE 529600
D Fourth Shift Corporation common 351128103 1706 462540 SH SOLE 462540
D Frequency Electronics, Inc. common 358010106 2390 285400 SH SOLE 285400
D Fusion Medical Technologies common 361128101 907 120000 SH SOLE 120000
D Gensym Corporation common 37245R107 2217 591200 SH SOLE 591200
D GlobalNet Financial.com, Inc. common 37937R100 505 252500 SH SOLE 252500
D I.D. Systems, Inc. common 449489103 2038 274000 SH SOLE 274000
D ION Networks, Inc. common 46205P100 5569 1444211 SH SOLE 1444211
D IRIDEX Corporation common 462684101 4831 991000 SH SOLE 991000
D Image Guided Technologies, Inc common 451922108 121 552700 SH SOLE 552700
D Immersion Human Interface Corp common 452991961 250 178571 SH SOLE 178571
D Integ Incorporated common 458100104 76 47000 SH SOLE 47000
D Intelligent Life Corporation common 45816V100 759 115700 SH SOLE 115700
D IntraNet Solutions, Inc. common 460939309 337 40000 SH SOLE 40000
D Invivo Corporation common 461858102 1246 94966 SH SOLE 94966
D Javelin Systems, Inc. common 471896100 245 20000 SH SOLE 20000
D Jos. A. Bank Clothiers, Inc. common 480838101 6496 1019000 SH SOLE 1019000
D Laserscope, Inc. common 518081104 3385 2256400 SH SOLE 2256400
D Lincoln Logs Ltd. common 533788303 71 167000 SH SOLE 167000
D MFC Bancorp Ltd. common 55271X103 2189 291900 SH SOLE 291900
D MK Gold Company common 55305P100 1425 2907500 SH SOLE 2907500
D Mechanical Dynamics, Inc. common 583521109 2535 422500 SH SOLE 422500
D MedNet International Ltd. common G59587108 743 482200 SH SOLE 482200
D Medallion Financial Corp. common 583928106 5090 267000 SH SOLE 267000
D Media 100, Inc. common 58440W105 2075 409800 SH SOLE 409800
D Medical Graphics Corporation common 584907109 903 722272 SH SOLE 722272
D Mercer International, Inc.-SBI common 588056101 361 60222 SH SOLE 60222
D MicroFinancial Incorporated common 595072109 2171 151700 SH SOLE 151700
D Netrix Corporation common 641148101 5024 1410300 SH SOLE 1410300
D New Frontier Media, Inc. common 644398109 600 300000 SH SOLE 300000
D One Price Clothing Stores, Inc common 682411103 1377 290000 SH SOLE 290000
D Optical Sensors Incorporated common 68384P107 552 609100 SH SOLE 609100
D OrCAD, Inc. common 685568107 7163 564600 SH SOLE 564600
D Panja common 001801109 7597 540200 SH SOLE 540200
D Peerless Systems Corporation common 705536100 4641 442000 SH SOLE 442000
D Physicians' Specialty Corp. common 718934102 4207 440000 SH SOLE 440000
D Pinnacle Systems, Inc. common 723481107 2017 60000 SH SOLE 60000
D Planet Polymer Technologies common 727044109 148 98737 SH SOLE 98737
D Planet Polymer Technologies common 727044919 76 50595 SH SOLE 50595
D Platinum Entertainment common 727909103 6308 855288 SH SOLE 855288
D Possis Medical, Inc.(Rest/Reg) common 737407106 1000 117793 SH SOLE 117793
D Precision Optics Corporation common 740294103 838 838300 SH SOLE 838300
D Quixote Corporation common 749056107 2742 225000 SH SOLE 225000
D Ravenswood Winery, Inc. common 754438109 1934 184153 SH SOLE 184153
D Renfield Enterprises, Inc. common 759927106 136 1300000 SH SOLE 1300000
D Rogue Wave Systems, Inc. common 775369101 2926 320700 SH SOLE 320700
D SPACEHAB, Incorporated common 846243103 2537 495000 SH SOLE 495000
D SeaChange International, Inc. common 811699107 1307 72100 SH SOLE 72100
D Silicon Valley Research, Inc. common 827068206 372 2973928 SH SOLE 2973928
D Spatial Technology, Inc. common 847246105 7153 1546600 SH SOLE 1546600
D Steel City Products, Inc. common 858064108 11 289000 SH SOLE 289000
D Stocker & Yale, Inc. common 86126T203 509 301800 SH SOLE 301800
D TGC Industries, Inc. common 872417308 82 60590 SH SOLE 60590
D Template Software, Inc. common 879788107 1275 291500 SH SOLE 291500
D The Spectranetics Corporation common 84760C107 4922 1750000 SH SOLE 1750000
D Thoratec Laboratories Corp. common 885175307 5230 492200 SH SOLE 492200
D Travis Boats & Motors, Inc. common 894363100 2974 205100 SH SOLE 205100
D Tridex Corporation common 895906105 328 128000 SH SOLE 128000
D Tripos, Inc. common 896928108 738 89500 SH SOLE 89500
D ULTRADATA Corporation common 90388N102 5465 780700 SH SOLE 780700
D Value Amercia, Inc. common 92038N102 1966 103500 SH SOLE 103500
D Versant Corporation common 925284101 1587 635000 SH SOLE 635000
D White Pine Software, Inc. common 964347108 4244 970000 SH SOLE 970000
D World Heart Corporation common 980905103 1294 126200 SH SOLE 126200
D Youbet.com, Inc. common 987413101 336 29400 SH SOLE 29400
D Zindart Limited common 989597109 2952 357800 SH SOLE 357800
D Zoll Medical Corporation common 989922109 2400 200000 SH SOLE 200000
D e-SIM Limited common M4052N104 428 56100 SH SOLE 56100
D nFront, Inc. common 65334N109 1063 70000 SH SOLE 70000
D Accuhealth, Inc. Cvr Pfd. preferred 004380911 703 646875 SH SOLE 646875
D Datakey, Inc. 8% Cvt Pfd. preferred 237909916 1379 74367 SH SOLE 74367
D Netrix Corporation 8% Cvt Pfd. preferred 641148911 440 32000 SH SOLE 32000
D Planet Polymer Tech Inc 6% Cvt preferred 727044919 885 588235 SH SOLE 588235
D SkyLynx Communications, Inc. preferred 830857918 3000 3000 SH SOLE 3000
D TGC Industries, Inc. Pfd preferred 872417100 513 266667 SH SOLE 266667
D Telident, Inc. Pfd preferred 879999951 1154 200000 SH SOLE 200000
D Boulevard Investment Group Uts units 9900LPCE1 192 384000 SH SOLE 384000
D Silicon Valley Res Uts units NotAvail9 189 3029512 SH SOLE 3029512
D American Country Holdings, Inc warrants 025278110 52 210000 SH SOLE 210000
D Barringer Technologies, Inc. W warrants 068508910 1409 312500 SH SOLE 312500
D Cubist Pharmaceuticals, Wts warrants 229678925 750 444446 SH SOLE 444446
D Datakey, Inc. Wts warrants 237909940 70 139882 SH SOLE 139882
D Diacrin, Inc. Wts warrants 25243N111 62 396000 SH SOLE 396000
D Edge Petroleum Corp Wts warrants 279862940 247 165000 SH SOLE 165000
D Energy Conversion Devices, Inc warrants 292659224 487 300000 SH SOLE 300000
D Hemagen Diagnostics, Inc. Wts warrants 423501113 80 395000 SH SOLE 395000
D ION Networks, Inc. Wts warrants 46205P928 65 182211 SH SOLE 182211
D ION Networks, Inc. Wts warrants 46205P928 65 182211 SH SOLE 182211
D LaserSight Incorp Wts warrants 518993910 222 20000 SH SOLE 20000
D PawnMart, Inc. Wts 6 Dollar warrants 704157114 43 125000 SH SOLE 125000
D PawnMart, Inc. Wts B 8 Dollar warrants 704157122 22 120000 SH SOLE 120000
D Planet Polymer Wts warrants 727044927 187 375000 SH SOLE 375000
D Precision Optics Corp Inc Wts warrants 740296918 5 500000 SH SOLE 500000
D Versant Corporation Wts warrants 925284911 219 350000 SH SOLE 350000
S REPORT SUMMARY 168 DATA RECORDS 226134 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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