UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: March 31, 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: None Assigned
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, May 14, 1999
Name: David Greenhouse
Title: Vice President; AWM Investment Company, Inc.
Phone: (212) 832-5300
Signature: /s/ David Greenhouse, New York, NY, May 14, 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.
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FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 142
Form 13F Information Table Value Total: $ 187,643
List of Other included Managers:
No. 13F File Number Name
None
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<TABLE>
VALUE SHARES/ SH/ PUT/ INVSTMT VOTING AUTH.
NAME OF ISSUER -TITLE OF CLASS- --CUSIP-- (x$1000) PRN AMT PRN CALL DSCRETN -MANAGERS- SOLE SHRD NONE
<S> <S> <C> <C> <C> <C> <C> <C>
D 1-800 CONTACTS, INC. common 681977104 4202 343000 SH SOLE 343000
D AMX Corporation common 001801109 4795 518400 SH SOLE 518400
D ANSYS, Inc. common 03662Q105 3107 452000 SH SOLE 452000
D Accom, Inc. common 004334108 415 474400 SH SOLE 474400
D Accuhealth, Inc. common 004380101 129 171600 SH SOLE 171600
D Accuhealth, Inc. (Restricted) common 004380929 100 133316 SH SOLE 133316
D Aksys, Ltd. common 010196103 3393 554000 SH SOLE 554000
D American Country Holdings, Inc common 025278110 66 210000 SH SOLE 210000
D Anika Therapeutics, Inc. common 035255108 2625 500000 SH SOLE 500000
D Applied Imaging Corp. common 03820G106 1593 1698966 SH SOLE 1698966
D ArQule, Inc. common 04269E107 1501 316000 SH SOLE 316000
D Aramex International Limited common G04450105 1927 193900 SH SOLE 193900
D Artecon, Inc. common 043003102 43 43095 SH SOLE 43095
D Artisan Components, Inc. common 042923102 212 40900 SH SOLE 40900
D Aviation General, Inc. common 05366T103 392 216200 SH SOLE 216200
D Barringer Technologies, Inc. common 068509603 1768 266822 SH SOLE 266822
D Barringer Technologies (Rest) common 068509108 2070 312499 SH SOLE 312499
D Barringer Technologies Wts common 068508910 1458 312500 SH SOLE 312500
D Blue Wave Systems, Inc. common 096081104 1565 431800 SH SOLE 431800
D Boulevard Investment Group Uts common 9900LPCE1 192 384000 SH SOLE 384000
D CIMA Labs, Inc. common 171796105 388 126580 SH SOLE 126580
D Cardiac Control Systems, Inc. common 14140H302 28 140000 SH SOLE 140000
D Cardiac Control Systems (Rest) common 14140H922 4 19697 SH SOLE 19697
D Cell Therapeutics, Inc. common 150934107 1798 513580 SH SOLE 513580
D Chase Packaging Corporation common 161635107 47 789165 SH SOLE 789165
D Check Technology Corporation common 162780100 1167 491200 SH SOLE 491200
D Connect, Inc. common 207528308 2500 961539 SH SOLE 961539
D Country Wide Transport Service common 222366304 1239 1652100 SH SOLE 1652100
D Cubist Pharmaceuticals, Inc. common 229678107 3213 1028190 SH SOLE 1028190
D Cubist Pharmaceuticals, Wts common 229678925 444 444446 SH SOLE 444446
D Datakey, Inc. Wts common 237909940 70 139882 SH SOLE 139882
D Diacrin, Inc. Wts common 25243N111 43 343900 SH SOLE 343900
D Dusa Pharmaceuticals (Rest) common 266898105 900 180000 SH SOLE 180000
D EP MedSystems, Inc. common 26881P103 221 80400 SH SOLE 80400
D EP MedSystems, Inc. (Rest) common 26881P103 1375 500000 SH SOLE 500000
D EPIX Medical, Inc. common 26881Q101 2394 299300 SH SOLE 299300
D EZCORP, Inc. common 302301106 1814 263800 SH SOLE 263800
D Electronic Transmission Corp. common 286002209 592 1263681 SH SOLE 1263681
D Emultek Ltd. common M4052N104 1135 147700 SH SOLE 147700
D Energy Conversion Devices, Inc common 292659109 347 37500 SH SOLE 37500
D Energy Conversion Devices Wts common 292659224 534 300000 SH SOLE 300000
D Enlighten Software Solutions common 29336A101 1821 619900 SH SOLE 619900
D Enterprise Software, Inc. common 29379K107 1797 268700 SH SOLE 268700
D Expert Software, Inc. common 302131107 1277 619100 SH SOLE 619100
D Film Roman, Inc. common 317234102 2957 657200 SH SOLE 657200
D Fourth Shift Corporation common 351128103 2677 498040 SH SOLE 498040
D Frequency Electronics, Inc. common 358010106 2140 285400 SH SOLE 285400
D Galey & Lord, Inc. common 36352K103 1952 440000 SH SOLE 440000
D Gensym Corporation common 37245R107 1458 530200 SH SOLE 530200
D Hemagen Diagnostics, Inc. Wts common 423501113 99 395000 SH SOLE 395000
D ION Networks, Inc. common 46205P100 1479 622700 SH SOLE 622700
D ION Networks, Inc. Uts (Rest) common NotAvial0 661 182211 SH SOLE 182211
D IRIDEX Corporation common 462684101 4150 991000 SH SOLE 991000
D Image Guided Technologies, Inc common 451922108 276 552700 SH SOLE 552700
D Immersion Human Interface Corp common 452991961 250 178571 SH SOLE 178571
D IntraNet Solutions, Inc. common 460939309 247 30000 SH SOLE 30000
D Invivo Corporation common 461858102 1223 90566 SH SOLE 90566
D Javelin Systems, Inc. common 471896100 3043 251000 SH SOLE 251000
D Jos. A. Bank Clothiers, Inc. common 480838101 6303 1029000 SH SOLE 1029000
D LaserSight Incorporated (Rest) common 517924106 800 200000 SH SOLE 200000
D Laserscope, Inc. common 518081104 2815 2251800 SH SOLE 2251800
D Lincoln Logs Ltd. common 533788303 31 167000 SH SOLE 167000
D MFC Bancorp Ltd. common 55271X103 1970 291900 SH SOLE 291900
D MK Gold Company common 55305P100 1272 2907500 SH SOLE 2907500
D Magainin Pharmaceuticals, Inc. common 559036108 927 593300 SH SOLE 593300
D Mechanical Dynamics, Inc. common 583521109 2550 408000 SH SOLE 408000
D MedNet International Ltd. common G59587108 704 482200 SH SOLE 482200
D MedNet Int'l Ltd.- Mercer common G59587108 2062 825000 SH SOLE 825000
D Medallion Financial Corp. common 583928106 4022 267000 SH SOLE 267000
D Media 100, Inc. common 58440W105 2151 409800 SH SOLE 409800
D Medical Graphics Corporation common 584907109 727 727272 SH SOLE 727272
D Mercer International, Inc.-SBI common 588056101 218 35666 SH SOLE 35666
D Netrix Corporation common 641148101 4029 1499300 SH SOLE 1499300
D New Frontier Media, Inc (Rest) common 644398109 600 300000 SH SOLE 300000
D One Price Clothing Stores, Inc common 682411103 3354 688100 SH SOLE 688100
D Optical Sensors Incorporated common 68384P107 720 548200 SH SOLE 548200
D OrCAD, Inc. common 685568107 4729 564600 SH SOLE 564600
D PawnMart, Inc. Wts common 704157114 27 125000 SH SOLE 125000
D PawnMart, Inc. Wts B common 704157122 11 120000 SH SOLE 120000
D Peerless Systems Corporation common 705536100 2131 250700 SH SOLE 250700
D Physicians' Specialty Corp. common 718934102 2970 440000 SH SOLE 440000
D Pinnacle Systems, Inc. common 723481107 1592 35000 SH SOLE 35000
D Planet Polymer Technologies common 727044109 322 149332 SH SOLE 149332
D Planet Polymer Wts common 727044927 187 375000 SH SOLE 375000
D Platinum Entertainment, Inc. common 727909103 2682 416665 SH SOLE 416665
D Precision Optics Corp Inc Wts common 740296918 5 500000 SH SOLE 500000
D Precision Optics Corporation common 740294103 1257 838300 SH SOLE 838300
D Quixote Corporation common 749056107 2559 225000 SH SOLE 225000
D Renfield Enterprises, Inc. common 759927106 136 1300000 SH SOLE 1300000
D Rogue Wave Systems, Inc. common 775369101 3516 439500 SH SOLE 439500
D SPACEHAB, Incorporated common 846243103 3217 495000 SH SOLE 495000
D Schick Technologies, Inc. common 806683108 724 175500 SH SOLE 175500
D SeaChange International, Inc. common 811699107 1543 180200 SH SOLE 180200
D Silicon Valley Res Uts (Rest) common NotAvail9 197 3029512 SH SOLE 3029512
D Silicon Valley Research, Inc. common 827068206 216 1661713 SH SOLE 1661713
D Silicon Valley Research (Rest) common 827068206 170 1312215 SH SOLE 1312215
D Spatial Technology, Inc. common 847246105 3084 1096600 SH SOLE 1096600
D Steel City Products, Inc. common 858064108 10 289000 SH SOLE 289000
D Stocker & Yale, Inc. common 86126T203 629 372800 SH SOLE 372800
D TGC Industries, Inc. common 872417308 91 72999 SH SOLE 72999
D TSR, Inc. common 872885108 2458 351200 SH SOLE 351200
D Telescan, Inc. common 879516102 678 39600 SH SOLE 39600
D Template Software, Inc. common 879788107 1781 407000 SH SOLE 407000
D The Spectranetics Corporation common 84760C107 4219 1500000 SH SOLE 1500000
D Thoratec Laboratories Corp common 885175307 3630 492200 SH SOLE 492200
D Travis Boats & Motors, Inc. common 894363100 3692 205100 SH SOLE 205100
D Tridex Corporaiton common 895906105 612 272000 SH SOLE 272000
D Tripos, Inc. common 896928108 783 89500 SH SOLE 89500
D ULTRADATA Corporation common 90388N102 3629 829400 SH SOLE 829400
D Versant Corporation common 925284101 348 317803 SH SOLE 317803
D Versant Corporation (Rest) common 925284101 766 700000 SH SOLE 700000
D Versant Corporation Wts (Rest) common 925284911 44 350000 SH SOLE 350000
D VideoServer, Inc. common 926918103 354 45000 SH SOLE 45000
D Wave Systems Corp. (Rest) common 943526103 550 50000 SH SOLE 50000
D White Pine Software, Inc. common 964347108 4099 1237500 SH SOLE 1237500
D Zindart Limited common 989597109 2013 357800 SH SOLE 357800
D Zoll Medical Corporation common 989922109 2200 200000 SH SOLE 200000
D Accuhealth, Inc. Cvt Pfd preferred 004380911 1125 646875 SH SOLE 646875
D Datakey, Inc. 8% Cvt Pfd. preferred 237909916 2073 74367 SH SOLE 74367
D KeraVision, Inc. 7% Cvt Pfd preferred 492061916 4002 65602 SH SOLE 65602
D Planet Polymer Tech Inc 6% Cvt preferred 727044919 1270 250000 SH SOLE 250000
D TGC Industries, Inc. Pfd Rest) preferred 872417100 237 266667 SH SOLE 266667
D Telident, Inc. Pfd preferred 879999951 500 200000 SH SOLE 200000
S REPORT SUMMARY 142 DATA RECORDS 187643 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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