UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: September 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, 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 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) 207-6500
Signature: /s/ Austin Marxe, New York, NY, November 12, 1999
Name: David Greenhouse
Title: Vice President; AWM Investment Company, Inc.
Phone: (212) 207-6500
Signature: /s/ David Greenhouse, New York, NY, November 12, 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: 174
Form 13F Information Table Value Total: $ 235,002
List of Other included Managers:
No. 13F File Number Name
None
<PAGE>
<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 9775 343000 SH SOLE 343000
D ANSYS, Inc. common 03662Q105 4463 452000 SH SOLE 452000
D Accom, Inc. common 004334108 242 484400 SH SOLE 484400
D Accuhealth, Inc. common 004380101 91 304916 SH SOLE 304916
D Aksys, Ltd. common 010196103 3387 615900 SH SOLE 615900
D Apache Medical Systems, Inc. common 03746E102 1302 992100 SH SOLE 992100
D Applied Imaging Corp. common 03820G106 1440 1616666 SH SOLE 1616666
D ArQule, Inc. common 04269E107 2064 333600 SH SOLE 333600
D Aramex International Limited common G04450105 1648 193900 SH SOLE 193900
D Aviation General, Inc. common 05366T103 302 189700 SH SOLE 189700
D BE Incorporated common 073309106 3037 430000 SH SOLE 430000
D BOLDER Technologies Corporatio common 097519102 3807 380667 SH SOLE 380667
D Barringer Technologies, Inc. common 068509603 1354 267422 SH SOLE 267422
D Barringer Technologies, Inc. common 068509108 1582 312499 SH SOLE 312499
D Blue Wave Systems, Inc. common 096081104 5115 1688600 SH SOLE 1688600
D Boots & Coots Int'l Well Contr common 099469108 612 1400000 SH SOLE 1400000
D CIMA Labs, Inc. common 171796105 4705 672080 SH SOLE 672080
D Calypte Biomedical Corporation common 131722100 192 175500 SH SOLE 175500
D Cambridge Heart, Inc. common 131910101 1017 275714 SH SOLE 275714
D Cambridge Heart, Inc.(Rest) common 131910101 536 158955 SH SOLE 158955
D Cardiac Pathways Corporation common 141408104 129 59700 SH SOLE 59700
D Cell Therapeutics, Inc. common 150934107 1153 512580 SH SOLE 512580
D Chase Packaging Corporation common 161635107 36 789165 SH SOLE 789165
D Check Technology Corporation common 162780100 223 77600 SH SOLE 77600
D Connect, Inc. common 207528308 1118 470549 SH SOLE 470549
D Corsair Communications, Inc. common 220406102 2285 329400 SH SOLE 329400
D Country Wide Transport Service common 222366304 312 1602100 SH SOLE 1602100
D Cover-All Technologies, Inc. common 222892101 962 669000 SH SOLE 669000
D Creditrust Corporation common 225429109 3366 150000 SH SOLE 150000
D Cubist Pharmaceuticals, Inc. common 229678917 1840 214890 SH SOLE 214890
D Datakey, Inc. common 237909106 39 26000 SH SOLE 26000
D Digital Origin, Inc. common 25385X109 207 37700 SH SOLE 37700
D DuraSwitch Industries, Inc. common 266905207 347 94200 SH SOLE 94200
D EP MedSystems, Inc. common 26881P103 1735 578400 SH SOLE 578400
D EPIX Medical, Inc. common 26881Q101 2133 299300 SH SOLE 299300
D EZCORP, Inc. common 302301106 1385 263800 SH SOLE 263800
D Edge Petroleum Corporation common 279862106 3506 550000 SH SOLE 550000
D Electronic Transmission Corp. common 286002209 553 1263681 SH SOLE 1263681
D Energy BioSystems Corporation common 29265L706 764 277778 SH SOLE 277778
D Enlighten Software Solutions common 29336A101 2002 534000 SH SOLE 534000
D Film Roman, Inc. common 317234102 1225 529600 SH SOLE 529600
D Fourth Shift Corporation common 351128103 1338 455640 SH SOLE 455640
D Frequency Electronics, Inc. common 358010106 2640 285400 SH SOLE 285400
D Fusion Medical Technologies common 361128101 617 47500 SH SOLE 47500
D Garden.com, Inc. common 365199108 1793 95000 SH SOLE 95000
D Gensym Corporation common 37245R107 2312 637900 SH SOLE 637900
D GlobalNet Financial.com, Inc. common 37937R100 421 42083 SH SOLE 42083
D I.D. Systems, Inc. common 449489103 2082 354300 SH SOLE 354300
D ION Networks, Inc. common 46205P100 6437 1000000 SH SOLE 1000000
D IRIDEX Corporation common 462684101 4026 991000 SH SOLE 991000
D Image Guided Technologies, Inc common 451922108 337 552700 SH SOLE 552700
D Immersion Human Interface Corp common 452991961 250 178571 SH SOLE 178571
D Interplay Entertainment Corp. common 460615107 1116 525000 SH SOLE 525000
D IntraNet Solutions, Inc. common 460939309 1121 130000 SH SOLE 130000
D Invivo Corporation common 461858102 1956 154166 SH SOLE 154166
D J. Jill Group Inc. common 466189107 3656 780000 SH SOLE 780000
D Jos. A. Bank Clothiers, Inc. common 480838101 4044 1019000 SH SOLE 1019000
D Laserscope, Inc. common 518081104 2250 2181400 SH SOLE 2181400
D Lincoln Logs Ltd. common 533788303 76 167000 SH SOLE 167000
D Lund International Holdings common 550368104 204 31700 SH SOLE 31700
D MCM Capital Group, Inc. common 55269B105 273 57500 SH SOLE 57500
D MFC Bancorp Ltd. common 55271X103 2700 291900 SH SOLE 291900
D MK Gold Company common 55305P100 3169 2897500 SH SOLE 2897500
D Mechanical Dynamics, Inc. common 583521109 2204 483000 SH SOLE 483000
D MedNet International Ltd. common G59587108 591 482200 SH SOLE 482200
D Medallion Financial Corp. common 583928106 5407 267000 SH SOLE 267000
D Media 100, Inc. common 58440W105 2894 409800 SH SOLE 409800
D Medical Graphics Corporation common 584907109 1258 682272 SH SOLE 682272
D Mercer International, Inc.-SB common 588056101 167 44922 SH SOLE 44922
D MicroFinancial Incorporated common 595072109 1922 176700 SH SOLE 176700
D Netrix Corporation common 641148101 3593 1277400 SH SOLE 1277400
D New Frontier Media, Inc. common 644398109 927 140000 SH SOLE 140000
D Online Resources & Communicati common 68273G101 2707 195100 SH SOLE 195100
D Optical Sensors Incorporated common 68384P107 609 609100 SH SOLE 609100
D Panja, Inc. common 001801109 6748 516600 SH SOLE 516600
D Peerless Systems Corporation common 705536100 5856 442000 SH SOLE 442000
D Perfumania.com, Inc. common 71376P101 857 126900 SH SOLE 126900
D Physicians' Specialty Corp. common 718934102 4427 440000 SH SOLE 440000
D Pinnacle Systems, Inc. common 723481107 2119 50000 SH SOLE 50000
D Planet Polymer Technologies common 727044109 301 116320 SH SOLE 116320
D Planet Polymer Technologies common 727044919 139 50595 SH SOLE 50595
D Platinum Entertainment, Inc. common 727909103 2971 720288 SH SOLE 720288
D Pomeroy Computer Resources common 731822102 1425 128800 SH SOLE 128800
D Possis Medical, Inc. common 737407106 1340 117793 SH SOLE 117793
D Precision Optics Corporation common 740294103 1838 1837600 SH SOLE 1837600
D Quixote Corporation common 749056107 3405 227000 SH SOLE 227000
D Ravenswood Winery, Inc. common 754438109 1957 184153 SH SOLE 184153
D Renfield Enterprises, Inc. common 759927106 136 1300000 SH SOLE 1300000
D Rogue Wave Systems, Inc. common 775369101 3105 517500 SH SOLE 517500
D SPACEHAB, Incorporated common 846243103 2413 495000 SH SOLE 495000
D Salon.com, Inc. common 79549F108 2189 443300 SH SOLE 443300
D SeaChange International, Inc. common 811699107 1211 76300 SH SOLE 76300
D Silicon Valley Research, Inc. common 827068206 417 2973928 SH SOLE 2973928
D Spatial Technology, Inc. common 847246105 6791 1509200 SH SOLE 1509200
D Steel City Products, Inc. common 858064108 10 289000 SH SOLE 289000
D Stocker & Yale, Inc. common 86126T203 456 291800 SH SOLE 291800
D TGC Industries, Inc. common 872417308 10 12700 SH SOLE 12700
D The MIIX Group, Incorporated common 59862V104 1463 86400 SH SOLE 86400
D The Spectranetics Corporation common 84760C107 402 100500 SH SOLE 100500
D The Spectranetics Corporation common 84760C107 6000 1500000 SH SOLE 1500000
D Thoratec Laboratories Corp. common 885175307 3753 492200 SH SOLE 492200
D Towne Services, Inc. common 892148107 1219 382300 SH SOLE 382300
D Travis Boats & Motors, Inc. common 894363100 1970 204700 SH SOLE 204700
D Tridex Corporation common 895906105 145 72300 SH SOLE 72300
D Tripos, Inc. common 896928108 571 89500 SH SOLE 89500
D Value Amercia, Inc. common 92038N102 1613 126500 SH SOLE 126500
D Versant Corporation common 925284101 928 330000 SH SOLE 330000
D White Pine Software, Inc. common 964347108 6669 970000 SH SOLE 970000
D Zindart Limited common 989597109 2527 357800 SH SOLE 357800
D Zoll Medical Corporation common 989922109 3630 120000 SH SOLE 120000
D e-SIM Limited common M4052N104 328 41300 SH SOLE 41300
D Possis Medical, Inc. common 737407106 315 -165600 SH SOLE -165600
D Shared Medical Systems Corp. common 819486101 266 -35000 SH SOLE -35000
D Accuhealth, Inc. Cvt Pfd. preferred 004380911 281 646875 SH SOLE 646875
D Datakey, Inc. 8% Cvt Pfd. preferred 237909916 765 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 1620 588235 SH SOLE 588235
D SkyLynx Communications, Inc. preferred 830857918 2787 2787 SH SOLE 2787
D TGC Industries, Inc. Pfd. preferred 872417100 250 266667 SH SOLE 266667
D Telident, Inc. Pfd preferred 879999951 638 200000 SH SOLE 200000
D iParty Corp. Pfd.(Restricted) preferred 46261R107 600 30000 SH SOLE 30000
D Boulevard Investment Group Uts Units 9900LPCE1 192 384000 SH SOLE 384000
D Silicon Valley Res Uts Units NotAvail9 212 3029512 SH SOLE 3029512
D American Country Holdings, Inc warrants 025278110 46 210000 SH SOLE 210000
D Barringer Technologies, Inc. W warrants 068508910 970 312500 SH SOLE 312500
D Cambridge Heart, Inc. Wts Rest warrants 131910945 3 28571 SH SOLE 28571
D Cubist Pharmaceuticals, Wts @2 warrants 229678925 2806 444446 SH SOLE 444446
D Datakey, Inc. Wts @ $5.24 5/14 warrants 237909940 14 139882 SH SOLE 139882
D Diacrin, Inc. Wts 12/31/00 warrants 25243N111 62 396000 SH SOLE 396000
D Edge Petroleum Corp Wts @ $5.3 warrants 279862940 247 165000 SH SOLE 165000
D Energy Conversion Devices, Inc warrants 292659224 825 300000 SH SOLE 300000
D Hemagen Diagnostics, Inc. Wts warrants 423501113 85 390000 SH SOLE 390000
D ION Networks, Inc. Wts @ $4.50 warrants 46205P928 477 212000 SH SOLE 212000
D ION Networks, Inc. Wts @ $6 6/ warrants 46205P928 250 250000 SH SOLE 250000
D ION Networks, Inc. Wts @ 1.50 warrants 46205P928 554 112211 SH SOLE 112211
D ION Networks, Inc. Wts @ 2 4/2 warrants 46205P928 809 182211 SH SOLE 182211
D LaserSight Incorp Wts (R/R) @ warrants 518993910 170 20000 SH SOLE 20000
D PawnMart, Inc. Wts 6 Dollar warrants 704157114 61 125000 SH SOLE 125000
D PawnMart, Inc. Wts B 8 Dollar warrants 704157122 32 120000 SH SOLE 120000
D Planet Polymer Wts @ 2.23 9/19 warrants 727044927 375 375000 SH SOLE 375000
D Possis Medical, Inc. Wts $11.4 warrants 737407916 31 17669 SH SOLE 17669
D Precision Optics Corp Inc Wts warrants 740296918 5 500000 SH SOLE 500000
D Precision Optics Corporation @ warrants 740296918 125 1000000 SH SOLE 1000000
D Versant Corporation Wts @ 2.25 warrants 925284911 262 350000 SH SOLE 350000
S REPORT SUMMARY 174 DATA RECORDS 235002 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
</TABLE>
