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, 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, November 14, 2000
Name: David Greenhouse
Title: Vice President; AWM Investment Company, Inc.
Phone: (212) 207-6500
Signature: /s/ David Greenhouse, New York, NY, November 14, 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: 188
Form 13F Information Table Value Total: $ 370,778
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 6624 138000 SH SOLE 138000
D ANSYS, Inc. common 03662Q105 5621 468400 SH SOLE 468400
D ATG, Inc. (Restricted) common 00206P106 3000 2000000 SH SOLE 2000000
D Accuhealth, Inc. common 004380101 21 171600 SH SOLE 171600
D Accuhealth, Inc. (Rest/144) common 004380929 17 133316 SH SOLE 133316
D Act Teleconferencing, Inc. common 000955104 3000 400000 SH SOLE 400000
D Aksys, Ltd. common 010196103 15191 1104797 SH SOLE 1104797
D Ansoft Corporation common 036384105 8257 623170 SH SOLE 623170
D Apache Medical Systems, Inc. common 03746E102 852 1089967 SH SOLE 1089967
D Applied Imaging Corp. common 03820G106 5767 1246966 SH SOLE 1246966
D ArQule, Inc. common 04269E107 5033 295000 SH SOLE 295000
D Aramex International Limited common G04450105 3571 310500 SH SOLE 310500
D Aronex Pharmaceuticals, Inc. common 042666206 1247 266000 SH SOLE 266000
D Avado Brands, Inc. common 05336P108 459 611600 SH SOLE 611600
D Axcan Pharma Inc. common 054923107 6030 551334 SH SOLE 551334
D Axys Pharmaceutical, Inc. common 054635107 2422 355500 SH SOLE 355500
D Barringer Technologies, Inc. common 068509603 10598 1153482 SH SOLE 1153482
D Boots & Coots Int'l Well Contr common 099469108 433 495000 SH SOLE 495000
D Brigham Exploration Company(R) common 109178103 2424 731707 SH SOLE 731707
D Burst.com, Inc. (Rest/Reg) common 12284P106 5773 1026333 SH SOLE 1026333
D CIMA Labs, Inc. common 171796105 12839 246600 SH SOLE 246600
D CUseeMe Networks, Inc. common 964347108 3541 858542 SH SOLE 858542
D Cardiac Pathways Corporation common 141408104 561 112300 SH SOLE 112300
D Cardima, Inc. common 14147M106 2231 1982778 SH SOLE 1982778
D Chase Packaging Corporation common 161635107 0 789165 SH SOLE 789165
D Cinar Corporation common 171905300 2287 762500 SH SOLE 762500
D CoActive Marketing Group, Inc. common 189875107 946 420250 SH SOLE 420250
D Collectors Universe,Inc. common 19421R101 2815 1126000 SH SOLE 1126000
D Corsair Communications, Inc. common 220406102 2664 341000 SH SOLE 341000
D Country Wide Transport Service common 222366304 79 1572100 SH SOLE 1572100
D CryptoLogic Inc. common 228906103 3199 244900 SH SOLE 244900
D Cyberian Outpost, Inc.(R/R) common 231914102 2128 557926 SH SOLE 557926
D Cycomm International, Inc. (R) common 23255B208 4125 4000000 SH SOLE 4000000
D Diacrin, Inc. common 25243N103 792 111200 SH SOLE 111200
D Digital Lava, Inc.(Restricted) common 253928105 2600 650000 SH SOLE 650000
D EP MedSystems, Inc. (Rest/Reg) common 26881P103 457 96300 SH SOLE 96300
D EPIX Medical, Inc. common 26881Q101 1809 129200 SH SOLE 129200
D EZCORP, Inc. common 302301106 710 568400 SH SOLE 568400
D Eden Bioscience Corporation common 279445100 1485 45000 SH SOLE 45000
D Edge Petroleum Corporation(R) common 279862106 3547 873161 SH SOLE 873161
D Elastic Networks Inc. common 284159100 1115 80000 SH SOLE 80000
D Electronic Transmission Corp. common 286002209 163 651751 SH SOLE 651751
D Eloquent, Inc. common 290140102 703 250000 SH SOLE 250000
D FEI Company common 30241L109 1681 77500 SH SOLE 77500
D Famous Dave's of America, Inc. common 307068106 3534 1009700 SH SOLE 1009700
D Film Roman, Inc. common 317234102 364 364500 SH SOLE 364500
D Fourth Shift Corporation common 351128103 1031 485040 SH SOLE 485040
D Frequency Electronics, Inc. common 358010106 6662 290400 SH SOLE 290400
D GAIAM,Inc. common 36268Q103 2826 154300 SH SOLE 154300
D Garden.com, Inc. common 365199108 497 548200 SH SOLE 548200
D Gensym Corporation common 37245R107 1985 661700 SH SOLE 661700
D HealthStream, Inc. common 42222N103 32 15000 SH SOLE 15000
D ION Networks, Inc. common 46205P100 3999 1885987 SH SOLE 1885987
D IRIDEX Corporation common 462684101 6338 579470 SH SOLE 579470
D Immersion Corporation common 452991961 1552 100106 SH SOLE 100106
D Information Resource Engineeri common 45675F303 7590 250900 SH SOLE 250900
D Interact Commerce Corporation common 45839Y107 383 35000 SH SOLE 35000
D Interplay Entertainment Corp. common 460615107 2643 693190 SH SOLE 693190
D Intuitive Surgical, Inc. common 46120E107 7637 650000 SH SOLE 650000
D Invivo Corporation common 461858102 1779 167466 SH SOLE 167466
D J. Jill Group Inc. common 466189107 12091 939100 SH SOLE 939100
D JAKKS Pacific, Inc. common 47012E106 1928 205000 SH SOLE 205000
D La Jolla Pharmaceutical Compan common 503459109 4563 490000 SH SOLE 490000
D Landacorp, Inc. common 514756105 1813 906500 SH SOLE 906500
D Laserscope, Inc. (Restricted) common 518081104 1111 604150 SH SOLE 604150
D Launch Media, Inc. common 518567102 3168 465000 SH SOLE 465000
D LifeCell Corporation common 531927101 354 76500 SH SOLE 76500
D LivePerson, Inc. common 538146101 890 203400 SH SOLE 203400
D Lund International Holdings common 550368104 982 218300 SH SOLE 218300
D MFC Bancorp Ltd. common 55271X103 2453 289600 SH SOLE 289600
D MK Gold Company common 55305P100 3435 3141000 SH SOLE 3141000
D Mechanical Dynamics, Inc. common 583521109 2984 497400 SH SOLE 497400
D MedNet International Ltd. common G59587108 262 154332 SH SOLE 154332
D Medallion Financial Corp. common 583928106 4489 267000 SH SOLE 267000
D Media 100, Inc. common 58440W105 350 31800 SH SOLE 31800
D Metretek Technologies, Inc (R) common 59159Q107 1259 457900 SH SOLE 457900
D MicroFinancial Incorporated common 595072109 5892 654700 SH SOLE 654700
D Movado Group, Inc. common 624580106 9687 557500 SH SOLE 557500
D Nova Measuring Instruments Ltd common M7516K103 1430 143000 SH SOLE 143000
D ORATEC Interventions, Inc. common 68554M108 1225 100000 SH SOLE 100000
D Opta Food Ingredients, Inc. common 68381N105 189 89000 SH SOLE 89000
D Optical Sensors Incorporated common 68384P107 670 931800 SH SOLE 931800
D Panja, Inc. common 001801109 3460 350400 SH SOLE 350400
D PartsBase.com, Inc. common 70214P109 280 80000 SH SOLE 80000
D Peerless Systems Corporation common 705536100 1773 1134900 SH SOLE 1134900
D PhotoMedex, Inc.(Rest/Reg) common 517903308 1392 108128 SH SOLE 108128
D Pinnacle Systems, Inc. common 723481107 5479 487000 SH SOLE 487000
D Planet Polymer Technologies common 727044109 0 31359 SH SOLE 31359
D Planet Polymer Technologies common 727044919 20 10729 SH SOLE 10729
D Pomeroy Computer Resources common 731822102 4589 242300 SH SOLE 242300
D Possis Medical, Inc. (R/R) common 737407106 1279 189525 SH SOLE 189525
D Precision Optics Corporation common 740294103 6196 786800 SH SOLE 786800
D Quantech, Ltd. (Rest/Reg) common 74762K306 2917 982500 SH SOLE 982500
D Quixote Corporation common 749056107 3802 227000 SH SOLE 227000
D RateXchange Corporation common 64108J105 1119 350834 SH SOLE 350834
D Ravenswood Winery, Inc. common 754438109 5570 394353 SH SOLE 394353
D Renfield Enterprises, Inc.(R) common 759927106 0 1300000 SH SOLE 1300000
D Rogue Wave Systems, Inc. common 775369101 347 64500 SH SOLE 64500
D SPACEHAB, Incorporated common 846243103 8071 1381100 SH SOLE 1381100
D Scientific Learning Corp. common 808760102 2895 532500 SH SOLE 532500
D SeaChange International, Inc. common 811699107 7630 228600 SH SOLE 228600
D Sepragen Corporation (R/R) common 817316102 750 1333334 SH SOLE 1333334
D SkyMall, Inc. common 830859104 90 35000 SH SOLE 35000
D SkyMall, Inc. (Rest/Reg) common 830859104 1788 697886 SH SOLE 697886
D Somnus Medical Technologies common 835397100 949 460300 SH SOLE 460300
D Spatial Technology, Inc. common 847246105 3102 1418100 SH SOLE 1418100
D Steel City Products, Inc. common 858064108 11 289000 SH SOLE 289000
D Suprema Specialties, Inc. common 86859F107 2571 319500 SH SOLE 319500
D Synbiotics Corporation common 871566105 371 177200 SH SOLE 177200
D Telident, Inc. (Rest/Reg) common 879931400 18 192000 SH SOLE 192000
D Teltronics, Inc. common 879698306 128 52509 SH SOLE 52509
D The Knot, Inc. common 499184109 1999 615000 SH SOLE 615000
D The Spectranetics Corporation common 84760C107 5487 1463100 SH SOLE 1463100
D Thoratec Laboratories Corp. common 885175307 13072 594200 SH SOLE 594200
D Towne Services, Inc. common 892148107 1247 1287117 SH SOLE 1287117
D Travis Boats & Motors, Inc. common 894363100 931 252400 SH SOLE 252400
D Trega Biosciences, Inc. (R/R) common 894699107 1330 401500 SH SOLE 401500
D Uno Restaurant Corporation common 914900105 828 121600 SH SOLE 121600
D Value Lines, Inc. common 920437100 2140 61000 SH SOLE 61000
D Webhire, Inc. common 94768W104 1534 438400 SH SOLE 438400
D West Marine, Inc. common 954235107 1656 200700 SH SOLE 200700
D XCare.Net, Inc common 98388Y101 2857 635000 SH SOLE 635000
D Zindart Limited common 989597109 643 223600 SH SOLE 223600
D e-SIM Limited common M4052N104 150 21300 SH SOLE 21300
D eCollege.com common 27887E100 4548 568546 SH SOLE 568546
D iGo Corporation common 449592104 1709 621500 SH SOLE 621500
D iParty Corporation (Anti-Rest) common 46261R107 0 108163 SH SOLE 108163
D Accuhealth, Inc. Cvet Pfd. preferred 004380911 141 646875 SH SOLE 646875
D Adolor Corporation Pfd. Series preferred Not Avail 2000 1307190 SH SOLE 1307190
D Metretek Technologies(R/R) Pfd preferred Not Avail 2000 337076 SH SOLE 337076
D PharmaNetics, Inc. 6% Cvt Pfd preferred Not Avail 4750 25000 SH SOLE 25000
D Planet Polymer Tech(R/R)6% $2 preferred 727044919 711 378235 SH SOLE 378235
D RQ Interactive, Inc. Pfd.(R) preferred Not Avail 600 240000 SH SOLE 240000
D TGC Industries, Inc. Pfd (R) preferred 872417100 458 198300 SH SOLE 198300
D Boulevard Investment Group Uts Units 9900LPCE1 192 384000 SH SOLE 384000
D Act Teleconferencing, Inc.Wts warrants 000955120 290 200000 SH SOLE 200000
D American Country Holdings, Inc warrants 025278110 69 210000 SH SOLE 210000
D Brigham Exploration Wt (R/R)@2 warrants Not Avail 183 243902 SH SOLE 243902
D Burst.com, Inc. Wts Rest/Reg @ warrants Not Avail 625 1000000 SH SOLE 1000000
D Cambridge Heart, Inc. Wt (R/R) warrants 131910945 19 28571 SH SOLE 28571
D CoActive Marketing Wt (R/R) @2 warrants Not Avail 11 210125 SH SOLE 210125
D Cycomm International, Inc(R/R) warrants Not Avail 1120 4000000 SH SOLE 4000000
D Diacrin, Inc. Wts 12/31/00 warrants 25243N111 297 396000 SH SOLE 396000
D Edge Petroleum Corp Wt (R/R) warrants 279862940 8 165000 SH SOLE 165000
D Hemagen Diagnostics, Inc. Wts warrants 423501113 35 279600 SH SOLE 279600
D Metretek Tech, Inc. Wt(R/R) @6 warrants Not Avail 10 200000 SH SOLE 200000
D PawnMart, Inc. Wts 6 Dollar warrants 704157114 8 125000 SH SOLE 125000
D PawnMart, Inc. Wts B 8 Dollar warrants 704157122 4 120000 SH SOLE 120000
D PharmaNetics, Inc. Wt(R/R) warrants Not Avail 450 50000 SH SOLE 50000
D Planet Polymer Wts @ 2.23 9/19 warrants 727044927 19 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 RateXchange Corp Wt (R/R) 14.4 warrants Not Avail 2 166666 SH SOLE 166666
D SkyMall, Inc. Wt (Rest/Reg) warrants Not Avail 11 214300 SH SOLE 214300
D SkyMall, Inc. Wt B (Rest/Reg) warrants Not Avail 5 107144 SH SOLE 107144
S REPORT SUMMARY 188 DATA RECORDS 370778 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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