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, 2000
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, May 13, 2000
Name: David Greenhouse
Title: Vice President; AWM Investment Company, Inc.
Phone: (212) 207-6500
Signature: /s/ David Greenhouse, New York, NY, May 13, 2000
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: 163
Form 13F Information Table Value Total: $ 397,784
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
<S> <C> <C> <C> <C> <C> <C> <C>
D 1-800 CONTACTS, INC. common 681977104 11115 321000 SH SOLE 321000
D ANSYS, Inc. common 03662Q105 5035 468400 SH SOLE 468400
D Accuhealth, Inc. common 004380101 54 171600 SH SOLE 171600
D Accuhealth, Inc. (Restricted) common 004380929 42 133316 SH SOLE 133316
D Aksys, Ltd. common 010196103 7895 717700 SH SOLE 717700
D Alpha Microsystems(Restricted) common 020903100 1406 225000 SH SOLE 225000
D Ansoft Corporation common 036384105 3065 247400 SH SOLE 247400
D Apache Medical Systems, Inc. common 03746E102 3399 1109967 SH SOLE 1109967
D Applied Imaging Corp. common 03820G106 4513 1608979 SH SOLE 1608979
D ArQule, Inc. common 04269E107 1080 80000 SH SOLE 80000
D Aramex International Limited common G04450105 3870 296300 SH SOLE 296300
D Ariel Corporation (Restricted) common 04033M104 1800 450000 SH SOLE 450000
D Axys Pharmaceutials, Inc.(Res) common 056463510 1276 166667 SH SOLE 166667
D Barringer Technologies, Inc. common 068509603 3313 527483 SH SOLE 527483
D Barringer Technologies, Inc. common 068509108 1963 312499 SH SOLE 312499
D Boots & Coots Int'l Well Contr common 099469108 612 1400000 SH SOLE 1400000
D Brigham Exploration Company(R) common 109178103 1500 731707 SH SOLE 731707
D Burst.com, Inc. (Restricted) common 12284P106 4000 1000000 SH SOLE 1000000
D CIMA Labs, Inc. common 171796105 9515 553580 SH SOLE 553580
D Cambridge Heart, Inc. (R/R) common 131910101 923 189346 SH SOLE 189346
D Cardiac Pathways Corporation common 141408104 526 97900 SH SOLE 97900
D Cardima, Inc.(Restricted) common 14147M106 4000 1777778 SH SOLE 1777778
D Chase Packaging Corporation common 161635107 4 789165 SH SOLE 789165
D Cinar Corporation common 171905300 1323 216000 SH SOLE 216000
D CoActive Marketing Group, Inc. common 189875107 1234 420250 SH SOLE 420250
D Collectors Universe,Inc. common 19421R101 3809 586000 SH SOLE 586000
D Correctional Services Corp common 219921103 627 131900 SH SOLE 131900
D Corsair Communications, Inc. common 220406102 3366 176000 SH SOLE 176000
D Country Wide Transport Service common 222366304 4 72100 SH SOLE 72100
D Country Wide Transport Service common 222366304 75 1500000 SH SOLE 1500000
D Cyberian Outpost, Inc.(Rest) common 231914102 3500 444726 SH SOLE 444726
D Cycomm International, Inc. (R) common 23255B208 2000 4000000 SH SOLE 4000000
D Diacrin, Inc. common 25243N103 603 50000 SH SOLE 50000
D Digital Origin, Inc. common 25385X109 697 37700 SH SOLE 37700
D EP MedSystems, Inc. common 26881P103 3506 578400 SH SOLE 578400
D EPIX Medical, Inc. common 26881Q101 5537 251700 SH SOLE 251700
D EZCORP, Inc. common 302301106 1814 460700 SH SOLE 460700
D Edge Petroleum Corporation common 279862106 3062 1195000 SH SOLE 1195000
D Electronic Transmission Corp. common 286002209 0 651751 SH SOLE 651751
D Etinuum, Inc. common 297664104 380 40000 SH SOLE 40000
D FEI Company common 30241L109 2124 71400 SH SOLE 71400
D Famous Dave's of America, Inc. common 307068106 2650 1009700 SH SOLE 1009700
D Film Roman, Inc. common 317234102 548 381500 SH SOLE 381500
D Fourth Shift Corporation common 351128103 3141 474040 SH SOLE 474040
D Frequency Electronics, Inc. common 358010106 5209 285400 SH SOLE 285400
D GAIAM,Inc. common 36268Q103 2700 154300 SH SOLE 154300
D Garden.com, Inc. common 365199108 5709 702700 SH SOLE 702700
D Gensym Corporation common 37245R107 6214 661700 SH SOLE 661700
D ION Networks, Inc. (Rest/Reg) common 46205P100 16416 488222 SH SOLE 488222
D IRIDEX Corporation common 462684101 7363 626600 SH SOLE 626600
D Image Guided Technologies, Inc common 451922108 479 547700 SH SOLE 547700
D Immersion Corporation common 452991961 8646 144106 SH SOLE 144106
D Information Resource Engineeri common 45675F303 10422 287500 SH SOLE 287500
D Interplay Entertainment Corp. common 460615107 1540 440000 SH SOLE 440000
D Invivo Corporation common 461858102 2010 167466 SH SOLE 167466
D J. Jill Group Inc. common 466189107 3698 939100 SH SOLE 939100
D Jos. A. Bank Clothiers, Inc. common 480838101 3586 896400 SH SOLE 896400
D La Jolla Pharmaceutical Compan common 503459109 5016 764400 SH SOLE 764400
D Laser Photonics, Inc.(Rest) common 517903308 3000 272728 SH SOLE 272728
D Laserscope, Inc. common 518081104 1166 604150 SH SOLE 604150
D Lund International Holdings common 550368104 409 84900 SH SOLE 84900
D MFC Bancorp Ltd. common 55271X103 2100 289600 SH SOLE 289600
D MK Gold Company common 55305P100 2546 2910000 SH SOLE 2910000
D Mechanical Dynamics, Inc. common 583521109 2829 497400 SH SOLE 497400
D MedNet International Ltd. common G59587108 499 157532 SH SOLE 157532
D Medallion Financial Corp. common 583928106 4489 267000 SH SOLE 267000
D Metretek Technologies, Inc. common 59159Q107 2688 457900 SH SOLE 457900
D MicroFinancial Incorporated common 595072109 2549 245700 SH SOLE 245700
D Movado Group, Inc. common 624580106 4312 428500 SH SOLE 428500
D NetAmerica.com Corporation (R) common 64108J105 4000 333334 SH SOLE 333334
D Opta Food Ingredients, Inc. common 68381N105 487 192500 SH SOLE 192500
D Optical Sensors Incorporated common 68384P107 2012 946800 SH SOLE 946800
D Panja, Inc. common 001801109 10256 445900 SH SOLE 445900
D Peerless Systems Corporation common 705536100 3870 793800 SH SOLE 793800
D Pinnacle Systems, Inc. common 723481107 3325 100000 SH SOLE 100000
D Planet Polymer Technologies common 727044109 0 22973 SH SOLE 22973
D Planet Polymer Technologies common 727044919 226 69629 SH SOLE 69629
D Pomeroy Computer Resources Inc common 731822102 3910 212800 SH SOLE 212800
D Possis Medical, Inc.(Rest/Reg) common 737407106 1846 189525 SH SOLE 189525
D Precision Optics Corporation common 740294103 21385 940000 SH SOLE 940000
D Protocol Systems, Inc. common 74371R106 3309 339400 SH SOLE 339400
D Quixote Corporation common 749056107 2781 227000 SH SOLE 227000
D Ravenswood Winery, Inc. common 754438109 4062 386853 SH SOLE 386853
D Renfield Enterprises, Inc.(R) common 759927106 0 1300000 SH SOLE 1300000
D SPACEHAB, Incorporated common 846243103 6526 1356100 SH SOLE 1356100
D Salon.com, Inc. common 79549F108 1972 450800 SH SOLE 450800
D SeaChange International, Inc. common 811699107 10501 170400 SH SOLE 170400
D Sepragen Corporation (Rest) common 817316102 1000 1333334 SH SOLE 1333334
D Silicon Valley Research, Inc. common 827068206 355 554713 SH SOLE 554713
D SkyMall, Inc. (Rest/Reg) common 830859104 2435 347886 SH SOLE 347886
D Somnus Medical Technologies common 835397100 3623 865100 SH SOLE 865100
D Spatial Technology, Inc. common 847246105 10813 1418100 SH SOLE 1418100
D Steel City Products, Inc. common 858064108 23 289000 SH SOLE 289000
D Synbiotics Corporation common 871566105 611 174700 SH SOLE 174700
D The Spectranetics Corporation common 84760C107 622 100500 SH SOLE 100500
D The Spectranetics Corporation common 84760C107 9096 1470000 SH SOLE 1470000
D Thoratec Laboratories Corp. common 885175307 6337 492200 SH SOLE 492200
D Towne Services, Inc. common 892148107 1176 672117 SH SOLE 672117
D Travis Boats & Motors, Inc. common 894363100 3103 234200 SH SOLE 234200
D Wave Systems Corp. (Rest) common 943526103 1700 50000 SH SOLE 50000
D West Marine, Inc. common 954235107 1845 185700 SH SOLE 185700
D White Pine Software, Inc. common 964347108 27028 937421 SH SOLE 937421
D Zindart Limited common 989597109 1693 386900 SH SOLE 386900
D e-SIM Limited common M4052N104 479 21300 SH SOLE 21300
D iParty Corp. common 46261R107 226 95000 SH SOLE 95000
D Accuhealth, Inc. Cvt. Pfd. preferred 004380911 352 646875 SH SOLE 646875
D Metretek Technologies, Inc Pfd preferred Not Avail 2000 2000 SH SOLE 2000
D PharmaNetics, Inc. 6% Pfd Rest preferred Not Avail 2500 25000 SH SOLE 25000
D Planet Polymer Tech Inc $2 6% preferred 727044919 1233 378235 SH SOLE 378235
D Quantech Ltd. Pfd. preferred Not Avail 1000 1000000 SH SOLE 1000000
D Reality Quest Corporation Pfd. preferred Not Avail 600 240000 SH SOLE 240000
D TGC Industries, Inc. Pfd(Rest) preferred 872417100 551 266667 SH SOLE 266667
D Telident, Inc. Pfd (Rest/Reg) preferred 879999951 736 200000 SH SOLE 200000
D iParty Corp. Pfd.(Restricted) preferred 46261R107 600 30000 SH SOLE 30000
D Boulevard Investment Group Units 9900LPCE1 192 384000 SH SOLE 384000
D American Country Holdings, Inc warrants 025278110 79 210000 SH SOLE 210000
D Barringer Technologies, Inc. warrants 068508910 1350 312500 SH SOLE 312500
D Cambridge Heart, Inc. Wts Rest warrants 131910945 36 28571 SH SOLE 28571
D CoActive Marketing Wts @2.50 warrants Not Avail 105 210125 SH SOLE 210125
D Diacrin, Inc. Wts 12/31/00 warrants 25243N111 780 396000 SH SOLE 396000
D Edge Petroleum Corp Wts @ $5.3 warrants 279862940 16 165000 SH SOLE 165000
D Energy Conversion Devices, Inc warrants 292659224 1859 218700 SH SOLE 218700
D Hemagen Diagnostics, Inc. Wts warrants 423501113 267 304600 SH SOLE 304600
D PawnMart, Inc. Wts 6 Dollar warrants 704157114 37 125000 SH SOLE 125000
D PawnMart, Inc. Wts B 8 Dollar warrants 704157122 17 120000 SH SOLE 120000
D Planet Polymer Wts @ 2.23 9/19 warrants 727044927 472 375000 SH SOLE 375000
D Possis Medical, Inc. Wts $11.4 warrants 737407916 2 17669 SH SOLE 17669
D Precision Optics Corporation warrants 740296918 11368 525700 SH SOLE 525700
D Silicon Valley Research (.53 1 warrants Not Avial 118 1074517 SH SOLE 1074517
D SkyLynx Communications Wts @8. warrants 830857926 1 91764 SH SOLE 91764
D SkyMall, Inc. Wt @ 8 11/02/04 warrants Not Avial 54 214300 SH SOLE 214300
S REPORT SUMMARY 163 DATA RECORDS 397784 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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