UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: December 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, 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, February 15, 2000
Name: David Greenhouse
Title: Vice President; AWM Investment Company, Inc.
Phone: (212) 207-6500
Signature: /s/ David Greenhouse, New York, NY, February 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: 146
Form 13F Information Table Value Total: $ 320,847
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
8687 321000 SH SOLE 321000
D ANSYS, Inc. common 03662Q105
4972 452000 SH SOLE 452000
D Accom, Inc. common 004334108
316 459400 SH SOLE 459400
D Accuhealth, Inc. common 004380101
21 171600 SH SOLE 171600
D Accuhealth, Inc. (Restricted) common 004380929
17 133316 SH SOLE 133316
D Aksys, Ltd. common 010196103
3499 717700 SH SOLE 717700
D Apache Medical Systems, Inc. common 03746E102
1607 1117567 SH SOLE 1117567
D Applied Imaging Corp. common 03820G106
2035 1628666 SH SOLE 1628666
D ArQule, Inc. common 04269E107
2605 254100 SH SOLE 254100
D Aramex International Limited common G04450105
1781 193900 SH SOLE 193900
D AstroPower, Inc. common 04644A101
3240 231400 SH SOLE 231400
D Barringer Technologies, Inc. common 068509603
1979 316622 SH SOLE 316622
D Barringer Technologies, Inc. common 068509108
1953 312499 SH SOLE 312499
D Blue Wave Systems, Inc. common 096081104
8417 910000 SH SOLE 910000
D Boots & Coots Int'l Well Contr common 099469108
612 1400000 SH SOLE 1400000
D CIMA Labs, Inc. common 171796105
8750 673080 SH SOLE 673080
D Cambridge Heart, Inc. (R/R) common 131910101
1494 434669 SH SOLE 434669
D Cardiac Pathways Corporation common 141408104
489 130500 SH SOLE 130500
D Chase Packaging Corporation common 161635107
4 789165 SH SOLE 789165
D Collectors Universe,Inc. common 19421R101
3787 606000 SH SOLE 606000
D Correctional Services Corp common 219921103
599 137000 SH SOLE 137000
D Corsair Communications, Inc. common 220406102
2676 329400 SH SOLE 329400
D Country Wide Transport Service common 222366304
26 102100 SH SOLE 102100
D Country Wide Transport Service common 222366304
375 1500000 SH SOLE 1500000
D Datakey, Inc. common 237909106
2429 762000 SH SOLE 762000
D Digital Origin, Inc. common 25385X109
457 37700 SH SOLE 37700
D EP MedSystems, Inc. common 26881P103
2747 578400 SH SOLE 578400
D EPIX Medical, Inc. common 26881Q101
2993 299300 SH SOLE 299300
D EZCORP, Inc. common 302301106
1572 393100 SH SOLE 393100
D Edge Petroleum Corporation common 279862106
3435 1195000 SH SOLE 1195000
D Electronic Transmission Corp. common 286002209
224 651751 SH SOLE 651751
D Energy BioSystems Corporation common 29265L706
1285 277778 SH SOLE 277778
D Ezenia, Inc. common 302311105
2046 260900 SH SOLE 260900
D FEI Company common 30241L109
1434 91400 SH SOLE 91400
D FVC.com, Inc. common 30266P100
1567 134100 SH SOLE 134100
D Famous Dave's of America, Inc. common 307068106
2020 994700 SH SOLE 994700
D Film Roman, Inc. common 317234102
690 441900 SH SOLE 441900
D Fourth Shift Corporation common 351128103
3296 475040 SH SOLE 475040
D Frequency Electronics, Inc. common 358010106
2961 285400 SH SOLE 285400
D GAIAM,Inc. common 36268Q103
2450 154300 SH SOLE 154300
D Garden.com, Inc. common 365199108
1950 224500 SH SOLE 224500
D Gensym Corporation common 37245R107
4197 729900 SH SOLE 729900
D I.D. Systems, Inc. common 449489103
1932 351300 SH SOLE 351300
D ION Networks, Inc. (Rest/Reg) common 46205P100
21927 980000 SH SOLE 980000
D IRIDEX Corporation common 462684101
6124 690000 SH SOLE 690000
D Image Guided Technologies, Inc common 451922108
380 552700 SH SOLE 552700
D Immersion Human Interface Corp common 452991961
5530 144107 SH SOLE 144107
D Information Resources, Inc.(R) common 45675F303
5250 350000 SH SOLE 350000
D Interplay Entertainment Corp. common 460615107
1393 474200 SH SOLE 474200
D Invivo Corporation common 461858102
2028 167266 SH SOLE 167266
D J. Jill Group Inc. common 466189107
3870 938100 SH SOLE 938100
D Jos. A. Bank Clothiers, Inc. common 480838101
2689 896400 SH SOLE 896400
D La Jolla Pharmaceutical Compan common 503459109
4093 1617000 SH SOLE 1617000
D Laserscope, Inc. common 518081104
617 636400 SH SOLE 636400
D Launch Media, Inc. common 518567102
208 11000 SH SOLE 11000
D Lund International Holdings common 550368104
487 82900 SH SOLE 82900
D MCM Capital Group, Inc. common 55269B105
773 199600 SH SOLE 199600
D MFC Bancorp Ltd. common 55271X103
2591 291900 SH SOLE 291900
D MK Gold Company common 55305P100
2716 2897500 SH SOLE 2897500
D Mechanical Dynamics, Inc. common 583521109
2539 495500 SH SOLE 495500
D MedNet International Ltd. common G59587108
445 160732 SH SOLE 160732
D Medallion Financial Corp. common 583928106
4789 267000 SH SOLE 267000
D Metretek Technologies, Inc. common 59159Q107
441 92900 SH SOLE 92900
D MicroFinancial Incorporated common 595072109
2872 245700 SH SOLE 245700
D Molecular Biosystems, Inc. common 608513107
292 292100 SH SOLE 292100
D Mustang.com, Inc. (Rest/Reg) common 628188104
4133 264530 SH SOLE 264530
D Navidec, Inc. common 63934Q101
1487 123900 SH SOLE 123900
D Network Computing Devices, Inc common 64120N100
1069 137900 SH SOLE 137900
D Opta Food Ingredients, Inc. common 68381N105
557 178100 SH SOLE 178100
D Optical Sensors Incorporated common 68384P107
592 946800 SH SOLE 946800
D Panja, Inc. common 001801109
8565 519100 SH SOLE 519100
D Peerless Systems Corporation common 705536100
3391 437500 SH SOLE 437500
D Pinnacle Systems, Inc. common 723481107
2034 50000 SH SOLE 50000
D Planet Polymer Technologies common 727044109
60 20237 SH SOLE 20237
D Platinum Entertainment Anti-Di common 727909103
79 31543 SH SOLE 31543
D Pomeroy Computer Resources, In common 731822102
2806 212800 SH SOLE 212800
D Possis Medical, Inc. (R/R) common 737407106
920 117793 SH SOLE 117793
D Precision Optics Corporation common 740294103
16567 940000 SH SOLE 940000
D Protocol Systems, Inc. common 74371R106
270 30000 SH SOLE 30000
D Quixote Corporation common 749056107
3462 227000 SH SOLE 227000
D Ravenswood Winery, Inc. common 754438109
1934 184153 SH SOLE 184153
D Renfield Enterprises, Inc.(R) common 759927106
13 1300000 SH SOLE 1300000
D SPACEHAB, Incorporated common 846243103
2667 496100 SH SOLE 496100
D Salon.com, Inc. common 79549F108
2442 488400 SH SOLE 488400
D SeaChange International, Inc. common 811699107
6028 170400 SH SOLE 170400
D Silicon Valley Research, Inc. common 827068206
305 846713 SH SOLE 846713
D SkyMall, Inc. (Rest/Reg) common 830859104
985 133600 SH SOLE 133600
D Somnus Medical Technologies common 835397100
2254 858700 SH SOLE 858700
D Spatial Technology, Inc. common 847246105
6736 1418100 SH SOLE 1418100
D Steel City Products, Inc. common 858064108
12 289000 SH SOLE 289000
D Synbiotics Corporation common 871566105
420 174700 SH SOLE 174700
D The Spectranetics Corporation common 84760C107
396 100500 SH SOLE 100500
D The Spectranetics Corporation common 84760C107
5906 1500000 SH SOLE 1500000
D Thoratec Laboratories Corp common 885175307
4676 492200 SH SOLE 492200
D Travis Boats & Motors, Inc. common 894363100
2810 234200 SH SOLE 234200
D West Marine, Inc. common 954235107
1405 170300 SH SOLE 170300
D White Pine Software, Inc. common 964347108
19181 782900 SH SOLE 782900
D White Pine Software, Inc. (R) common 964347108
5000 325521 SH SOLE 325521
D Zindart Limited common 989597109
2216 322300 SH SOLE 322300
D e-SIM Limited common M4052N104
565 41300 SH SOLE 41300
D iParty Corporation common 46261R107
374 95000 SH SOLE 95000
D Possis Medical, Inc. common 737407106
905 -165600 SH SOLE -165600
D Accuhealth, Inc. Cvt. Pfd preferred 004380911
141 646875 SH SOLE 646875
D Planet Polymer Tech Inc $2 6% preferred 727044919
1568 528235 SH SOLE 528235
D Skymall, Inc. Cvt. Pfd. preferred unavailable
1500 15000 SH SOLE 15000
D TGC Industries, Inc. Pfd (R) preferred 872417100
413 266667 SH SOLE 266667
D Telident, Inc. Pfd (Rest/Reg) preferred 879999951
574 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 American Country Holdings, Inc warrants 025278110
79 210000 SH SOLE 210000
D Barringer Technologies, Inc. W warrants 068508910
1302 312500 SH SOLE 312500
D Cambridge Heart, Inc. Wts Rest warrants 131910945
3 28571 SH SOLE 28571
D Diacrin, Inc. Wts 12/31/00 warrants 25243N111
49 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
581 300000 SH SOLE 300000
D Hemagen Diagnostics, Inc. Wts warrants 423501113
49 390000 SH SOLE 390000
D ION Networks, Inc. Wts @ 1.50 warrants 46205P928
2342 112211 SH SOLE 112211
D ION Networks, Inc. Wts @ 2 4/2 warrants 46205P928
3713 182211 SH SOLE 182211
D Mustang.com, Inc. Wt @ 8.78 10 warrants unavailable
1615 235897 SH SOLE 235897
D PawnMart, Inc. Wts 6 Dollar warrants 704157114
29 125000 SH SOLE 125000
D PawnMart, Inc. Wts B 8 Dollar warrants 704157122
19 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
2 17669 SH SOLE 17669
D Precision Optics Corp Inc Wts warrants 740296918
20724 1310000 SH SOLE 1310000
D SkyLynx Communications Wts @8. warrants 830857926
1 91764 SH SOLE 91764
D SkyMall, Inc. Wt @ 8 11/02/04 warrants unavailable
54 214300 SH SOLE 214300
S REPORT SUMMARY 146 DATA RECORDS
320847 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS
FILED
</TABLE>
