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, 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, August 15, 2000
Name: David Greenhouse
Title: Vice President; AWM Investment Company, Inc.
Phone: (212) 207-6500
Signature: /s/ David Greenhouse, New York, NY, August 15, 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.
<PAGE>
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 180
Form 13F Information Table Value Total: $ 356,684
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 13898 295700 SH SOLE 295700
D 3TEC Energy Corporation common 88575R308 2750 275000 SH SOLE 275000
D ANSYS, Inc. common 03662Q105 5328 468400 SH SOLE 468400
D ATG, Inc. (Restricted) common 00206P106 4000 2000000 SH SOLE 2000000
D Accuhealth, Inc. common 004380101 21 171600 SH SOLE 171600
D Accuhealth, Inc. (Restricted/1 common 004380929 17 133316 SH SOLE 133316
D Act Teleconferencing, Inc. common 000955104 2325 400000 SH SOLE 400000
D Aksys, Ltd. common 010196103 9460 1104797 SH SOLE 1104797
D Alpha Microsystems common 020903100 199 40000 SH SOLE 40000
D Ansoft Corporation common 036384105 4635 463500 SH SOLE 463500
D Apache Medical Systems, Inc. common 03746E102 1431 1089967 SH SOLE 1089967
D Applied Imaging Corp. common 03820G106 2130 946500 SH SOLE 946500
D Applied Imaging Corp. common 03820G106 1480 657966 SH SOLE 657966
D ArQule, Inc. common 04269E107 5716 295000 SH SOLE 295000
D Aramex International Limited common G04450105 2963 296300 SH SOLE 296300
D Avado Brands, Inc. common 05336P108 967 644700 SH SOLE 644700
D Axcan Pharma Inc. common 054923107 5833 833334 SH SOLE 833334
D Axys Pharmaceutical, Inc. common 054635107 1606 270500 SH SOLE 270500
D Barringer Technologies, Inc. common 068509603 7930 1153482 SH SOLE 1153482
D Boots & Coots Int'l Well Contr common 099469108 0 1400000 SH SOLE 1400000
D Brigham Exploration Company(R) common 109178103 1829 731707 SH SOLE 731707
D Burst.com, Inc. (Restricted) common 12284P106 4000 1000000 SH SOLE 1000000
D CIMA Labs, Inc. common 171796105 11210 553580 SH SOLE 553580
D CUseeMe Networks, Inc. common 964347108 7835 858542 SH SOLE 858542
D Calypte Biomedical Corporation common 131722100 548 230600 SH SOLE 230600
D Cardiac Pathways Corporation common 141408104 547 112300 SH SOLE 112300
D Cardima, Inc. common 14147M106 243 205000 SH SOLE 205000
D Cardima, Inc. common 14147M106 2111 1777778 SH SOLE 1777778
D Chase Packaging Corporation common 161635107 0 789165 SH SOLE 789165
D Cinar Corporation common 171905300 1323 216000 SH SOLE 216000
D CoActive Marketing Group, Inc. common 189875107 1051 420250 SH SOLE 420250
D Collectors Universe,Inc. common 19421R101 3308 1126000 SH SOLE 1126000
D Corsair Communications, Inc. common 220406102 5060 176000 SH SOLE 176000
D Country Wide Transport Service common 222366304 31 1572100 SH SOLE 1572100
D CryptoLogic Inc. common 228906103 3532 167200 SH SOLE 167200
D Cyberian Outpost, Inc. common 231914102 2549 529726 SH SOLE 529726
D Cycomm International, Inc.(R) common 23255B208 2000 4000000 SH SOLE 4000000
D Diacrin, Inc. common 25243N103 876 111200 SH SOLE 111200
D EP MedSystems, Inc. common 26881P103 370 75900 SH SOLE 75900
D EP MedSystems, Inc. (Rest) common 26881P103 2437 500000 SH SOLE 500000
D EPIX Medical, Inc. common 26881Q101 3484 234200 SH SOLE 234200
D EZCORP, Inc. common 302301106 799 456700 SH SOLE 456700
D Edge Petroleum Corporation common 279862106 1895 645000 SH SOLE 645000
D Edge Petroleum Corporation (R) common 279862106 670 228161 SH SOLE 228161
D Electronic Transmission Corp. common 286002209 244 651751 SH SOLE 651751
D FEI Company common 30241L109 2605 85400 SH SOLE 85400
D Famous Dave's of America, Inc. common 307068106 4481 1009700 SH SOLE 1009700
D Film Roman, Inc. common 317234102 374 374500 SH SOLE 374500
D Fourth Shift Corporation common 351128103 1455 485040 SH SOLE 485040
D Frequency Electronics, Inc. common 358010106 8170 285400 SH SOLE 285400
D GAIAM,Inc. common 36268Q103 2855 154300 SH SOLE 154300
D Garden.com, Inc. common 365199108 1679 706800 SH SOLE 706800
D Gensym Corporation common 37245R107 2399 661700 SH SOLE 661700
D ION Networks, Inc. common 46205P100 3432 1120722 SH SOLE 1120722
D IRIDEX Corporation common 462684101 7989 626600 SH SOLE 626600
D Image Guided Technologies, Inc common 451922108 1018 542700 SH SOLE 542700
D Immersion Corporation common 452991961 3003 100106 SH SOLE 100106
D Information Resource Engineer common 45675F303 7259 287500 SH SOLE 287500
D Interplay Entertainment Corp. common 460615107 1406 535800 SH SOLE 535800
D Intuitive Surgical, Inc. common 46120E107 6370 675000 SH SOLE 675000
D Invivo Corporation common 461858102 1842 167466 SH SOLE 167466
D J. Jill Group Inc. common 466189107 6104 939100 SH SOLE 939100
D La Jolla Pharmaceutical Comp common 503459109 2627 636900 SH SOLE 636900
D Landacorp, Inc. common 514756105 1739 386500 SH SOLE 386500
D Laser Photonics, Inc. common 517903308 3956 249228 SH SOLE 249228
D Laserscope, Inc. common 518081104 907 592400 SH SOLE 592400
D Laserscope, Inc. (Restricted) common 518081104 18 11750 SH SOLE 11750
D Launch Media, Inc. common 518567102 2456 265500 SH SOLE 265500
D LivePerson, Inc. common 538146101 2771 314400 SH SOLE 314400
D Lund International Holdings common 550368104 448 94300 SH SOLE 94300
D MFC Bancorp Ltd. common 55271X103 2172 289600 SH SOLE 289600
D MK Gold Company common 55305P100 2938 2985000 SH SOLE 2985000
D Mechanical Dynamics, Inc. common 583521109 2534 497400 SH SOLE 497400
D MedNet International Ltd. common G59587108 394 154332 SH SOLE 154332
D Medallion Financial Corp. common 583928106 4122 267000 SH SOLE 267000
D Metretek Technologies, Inc (R) common 59159Q107 2700 400000 SH SOLE 400000
D Metretek Technologies, Inc. common 59159Q107 391 57900 SH SOLE 57900
D MicroFinancial Incorporated common 595072109 2457 245700 SH SOLE 245700
D Movado Group, Inc. common 624580106 6690 557500 SH SOLE 557500
D Nova Measuring Instruments Ltd common M7516K103 2136 133000 SH SOLE 133000
D Opta Food Ingredients, Inc. common 68381N105 442 172500 SH SOLE 172500
D Optical Sensors Incorporated common 68384P107 670 931800 SH SOLE 931800
D Panja, Inc. common 001801109 4272 348700 SH SOLE 348700
D Peerless Systems Corporation common 705536100 2199 1134900 SH SOLE 1134900
D Pinnacle Systems, Inc. common 723481107 2248 100000 SH SOLE 100000
D Planet Polymer Technologies common 727044109 61 27211 SH SOLE 27211
D Planet Polymer Technologies common 727044919 24 10729 SH SOLE 10729
D Pomeroy Computer Resources Inc common 731822102 3139 212800 SH SOLE 212800
D Possis Medical, Inc. common 737407106 1187 189525 SH SOLE 189525
D Precision Optics Corporation common 740294103 14168 849000 SH SOLE 849000
D Prime Response, Inc. common 74158B100 837 121700 SH SOLE 121700
D Protocol Systems, Inc. common 74371R106 5329 334400 SH SOLE 334400
D Quixote Corporation common 749056107 3405 227000 SH SOLE 227000
D RateXchange Corporation (Rest) common 64108J105 2021 333334 SH SOLE 333334
D Ravenswood Winery, Inc. common 754438109 5324 394353 SH SOLE 394353
D Renfield Enterprises, Inc.(R) common 759927106 0 1300000 SH SOLE 1300000
D SPACEHAB, Incorporated common 846243103 6215 1381100 SH SOLE 1381100
D Salon.com, Inc. common 79549F108 630 491800 SH SOLE 491800
D SeaChange International, Inc. common 811699107 6872 238000 SH SOLE 238000
D Sepragen Corporation (Rest) common 817316102 1000 1333334 SH SOLE 1333334
D Silicon Valley Research, Inc. common 827068206 128 534713 SH SOLE 534713
D SkyMall, Inc. common 830859104 909 382886 SH SOLE 382886
D SkyMall, Inc.(Restricted) common 830859104 700 350000 SH SOLE 350000
D Somnus Medical Technologies common 835397100 3244 865100 SH SOLE 865100
D Spatial Technology, Inc. common 847246105 5584 1418100 SH SOLE 1418100
D Steel City Products, Inc. common 858064108 12 289000 SH SOLE 289000
D Steven Madden, Ltd. common 556269108 1562 238000 SH SOLE 238000
D Synbiotics Corporation common 871566105 421 177200 SH SOLE 177200
D Teltronics, Inc. common 879698306 380 110622 SH SOLE 110622
D Teltronics, Inc. (Restricted) common 879698306 72 20887 SH SOLE 20887
D The Knot, Inc. common 499184109 1129 296200 SH SOLE 296200
D The Spectranetics Corporation common 84760C107 7754 1570500 SH SOLE 1570500
D Thoratec Laboratories Corp. common 885175307 9619 594200 SH SOLE 594200
D Towne Services, Inc. common 892148107 771 822117 SH SOLE 822117
D Travis Boats & Motors, Inc. common 894363100 1167 212200 SH SOLE 212200
D Trega Biosciences, Inc. common 894699107 143 45000 SH SOLE 45000
D Trega Biosciences, Inc. (Rest) common 894699107 900 300000 SH SOLE 300000
D Uno Restaurant Corporation common 914900105 1332 124600 SH SOLE 124600
D Wave Systems Corp. (Rest) common 943526103 791 50000 SH SOLE 50000
D West Marine, Inc. common 954235107 1348 200700 SH SOLE 200700
D XCare.Net, Inc common 98388Y101 1432 266500 SH SOLE 266500
D Zindart Limited common 989597109 1161 386900 SH SOLE 386900
D e-SIM Limited common M4052N104 208 21300 SH SOLE 21300
D eCollege.com common 27887E100 2471 564746 SH SOLE 564746
D iGo Corporation common 449592104 1114 287500 SH SOLE 287500
D iParty Corp. common 46261R107 23 37000 SH SOLE 37000
D Accuhealth, Inc. Convertable preferred 004380911 141 646875 SH SOLE 646875
D Metretek Technologies preferred Not Avail 2275 2000 SH SOLE 2000
D PharmaNetics, Inc. 6% Cvt Pfd preferred Not Avail 4969 25000 SH SOLE 25000
D Planet Polymer Tech 6% $2 preferred 727044919 855 378235 SH SOLE 378235
D Quantech Ltd. Cvt Pfd.@ $1 preferred Not Avail 1000 1000000 SH SOLE 1000000
D RQ Interactive, Inc. Pfd.(R) preferred Not Avail 600 240000 SH SOLE 240000
D TGC Industries, Inc. Pfd (R) preferred 872417100 471 198300 SH SOLE 198300
D iParty Corp. Cvt Pfd.(Rest) preferred 46261R107 187 30000 SH SOLE 30000
D Boulevard Investment Group units 9900LPCE1 192 384000 SH SOLE 384000
D Act Teleconferencing, Inc.Wts warrants 000955120 100 200000 SH SOLE 200000
D American Country Holdings, Inc warrants 025278110 29 210000 SH SOLE 210000
D Cambridge Heart, Inc. Wt warrants 131910945 14 28571 SH SOLE 28571
D Cardima, Inc. Wts warrants Not Avail 36 355556 SH SOLE 355556
D CoActive Marketing Wt @2 warrants Not Avail 105 210125 SH SOLE 210125
D Diacrin, Inc. Wts 12/31/00 warrants 25243N111 247 396000 SH SOLE 396000
D Edge Petroleum Corp Wt warrants 279862940 16 165000 SH SOLE 165000
D Energy Conversion Devices, Inc warrants 292659224 1569 156900 SH SOLE 156900
D Hemagen Diagnostics, Inc. Wts warrants 423501113 105 279600 SH SOLE 279600
D Metretek Tech, Inc. Wt @6 warrants Not Avail 100 200000 SH SOLE 200000
D PawnMart, Inc. Wts 6 Dollar warrants 704157114 23 125000 SH SOLE 125000
D PawnMart, Inc. Wts B 8 Dollar warrants 704157122 7 120000 SH SOLE 120000
D PharmaNetics, Inc. Wt warrants Not Avail 500 50000 SH SOLE 50000
D Planet Polymer Wts @ 2.23 9/19 warrants 727044927 187 375000 SH SOLE 375000
D Possis Medical, Inc. Wts $11.4 warrants 737407916 2 17669 SH SOLE 17669
D Possis Medical, Inc. Wts (R) warrants 737407916 1 14346 SH SOLE 14346
D Precision Optics Corporation warrants 740296918 1128 72500 SH SOLE 72500
D SkyMall, Inc. Wt warrants Not Avail 27 214300 SH SOLE 214300
D SkyMall, Inc. Wt B warrants Not Avail 13 107144 SH SOLE 107144
S REPORT SUMMARY 180 DATA RECORDS 356684 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
</TABLE>
