MARXE AUSTIN W & GREENHOUSE DAVID M

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CIK 1044321

13F portfolio (2014-Q3)

$733M

Positions

148

Implied 1Y CAGR

modeled · as filed

Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2014-Q2. A lagged quarterly snapshot (filed ≤45 days after quarter-end); excludes shorts, options, cash, and shares listed only on non-US exchanges — foreign companies held via a US listing or ADR (e.g. Alibaba, TSMC) ARE included.

Implied return what this book implies · modeled, not advice methodology →

Open in PORT →

As filed = each book applied at its quarter-end (what the reported book did) · As copyable = applied at its statutory 45-day filing deadline (what a 13F follower could have earned).

Computing…

Hypothetical modeled performance constructed with hindsight — not actual results, and not indicative of future results. See the Disclaimer.

Exposures · what this manager owns, by sector & size (2014-Q3)

Holdings

148

Top 5

19.2%

Top 10

30.4%

Effective N

55.3

HHI

0.018

This quarter

17 new · 0 exit →

By sector

Unclassified70.9%

Information Technology16.7%

Health Care7.1%

Industrials4.3%

Consumer Discretionary0.4%

Financials0.3%

Materials0.3%

By market cap

Unknown73.1%

Small ($300M–2B)9.4%

Micro (<$300M)8.8%

Mid ($2–10B)8.5%

Large ($10–200B)0.2%

By region

Other70.9%

North America29.1%

By industry group GICS — finer than sector

Industry group	Weight	Names
Unclassified	70.95%	113
Semiconductors & Semiconductor Equipment	8.37%	7
Pharmaceuticals & Biotechnology	5.04%	6
Software	2.61%	2
Software & IT Services	2.61%	2
Aerospace & Defense	2.11%	2
Health Care Equipment & Supplies	2.06%	4
Technology Hardware & Equipment	1.58%	1
Communications Equipment	1.47%	2
Marine	0.71%	1
Construction & Engineering	0.70%	2
Machinery	0.64%	2
Textiles, Apparel & Luxury Goods	0.35%	1
Banks	0.35%	1
Chemicals	0.28%	1
Road & Rail	0.15%	1

Top holdings

#	Ticker	Name	Sector	Weight
1		SUNRISE COMMUNICAT-CL A	Unclassified	7.76%
2		PFSWEB INC	Unclassified	3.49%
3	KOPN	KOPIN CORP	Information Technology	2.84%
4		VOCERA COMMUNICATIONS INC	Unclassified	2.63%
5	UCTT	Ultra Clean Holdings, Inc.	Information Technology	2.53%
6	LPSN	LIVEPERSON INC	Information Technology	2.45%
7	PCRX	Pacira BioSciences, Inc.	Health Care	2.38%
8	CEVA	CEVA INC	Information Technology	2.34%
9		Broadwind Energy Incorporated	Unclassified	2.16%
10		OMNIVISION TECHNOLOGIES INC	Unclassified	1.86%

35/148 names classified · sector 29.1% of weight · industry 29.1% · mkt cap 26.9%; unclassified names shown, never dropped.

Sector allocation over time · how the GICS mix & top names shifted quarter by quarter

top 5/sector, rest → “Other” · 6 quarters

Information TechnologyKOPN, CEVA, UCTT, SIMO, LPSN · other

Health CarePCRX, RGEN, ORMP, LMAT, VSTM · other

IndustrialsCVU, AVAV, PSIX, MYRG, ASC · other

MaterialsLTBR, URG, ACNT

Consumer DiscretionaryTITN, FLL, DXYN, CTRN

FinancialsRVSB, TREE

UnclassifiedSUNRISE COMMUNICAT-CL A, PFSWEB INC, ParkerVision Inc. (PRKR), ADEPT TECHNOLOGY INC, Arrowhead Pharma Inc · other

Sector is classified on each name's CURRENT fundamentals, not point-in-time — apparent sector drift can reflect the market re-rating a holding, not a manager trade. 13F is a lagged quarterly snapshot of long positions in US-listed securities only — foreign companies held via a US listing or ADR ARE included, but shares listed only on non-US exchanges (plus shorts, options and cash) are not. Latest quarter: 29.1% of the book is sector-classified (unclassified names shown, never dropped).

Style box · size × value-growth placement of the reported book (2014-Q3), classified on current fundamentals (not point-in-time) — load it into PORT to overlay your own portfolio

Only 13% of book weight classified — the grid is NOT representative of the whole book.

holdings, colored by sector (17 classified)MARXE AUSTIN W & GREENHOUSE DAVID M centroid (Small Core)

Health CareInformation TechnologyIndustrialsFinancials

Style box summary for MARXE AUSTIN W & GREENHOUSE DAVID M: centroid Small Core. Heaviest cells: Small Core 5.4%, Small Value 4.8%, Small Growth 2.5%.

Classified: 12.7% of book weight (17/43 names) · unclassified 87.3%: , UCTT, LPSN, CEVA, EXTR, SIMO, CVU, MXL, WATT, ASC +16 more. Size: cap 70/20/10 bands; style: value/growth composite on our own metrics — not Morningstar's model.

Contribution holdings-based, any period

No contribution data for this period.

Holdings· 148 positions (2014-Q3) · largest first · Δ vs 2014-Q2

#	Security	Shares	Value	Weight	Δ QoQ
1	SUNRISE COMMUNICAT-CL A	134,268,164	$57M	7.8%	ADD 6%
2	PFSWEB INC	2,348,955	$26M	3.5%	HOLD
3	KOPNKOPIN CORP	6,126,598	$21M	2.8%	HOLD
4	VOCERA COMMUNICATIONS INC	2,388,325	$19M	2.6%	ADD 831%
5	UCTTULTRA CLEAN HLDGS INC	2,070,103	$19M	2.5%	HOLD
6	LPSNLIVEPERSON INC	1,427,200	$18M	2.5%	HOLD
7	PCRXPACIRA BIOSCIENCES INC	180,000	$17M	2.4%	TRIM −10%
8	CEVACEVA INC	1,275,449	$17M	2.3%	TRIM −4%
9	Broadwind Energy Incorporated	2,112,191	$16M	2.2%	HOLD
10	OMNIVISION TECHNOLOGIES INC	514,044	$14M	1.9%	TRIM −43%
11	PURE TECHNOLOGIES LTD	1,869,300	$13M	1.8%	HOLD
12	LRAD CORP	4,667,710	$13M	1.7%	HOLD
13	ADEPT TECHNOLOGY INC	1,467,850	$12M	1.7%	HOLD
14	Brightcove, Inc.	2,200,967	$12M	1.7%	ADD 36%
15	EXTREXTREME NETWORKS INC	2,422,864	$12M	1.6%	HOLD
16	GeneNews, Ltd. (Canada) (CF)	9,303,242	$11M	1.4%	ADD 48%
17	SIMOSILICON MOTION TECHNOLOGY CO	385,295	$10M	1.4%	TRIM −50%
18	POWERSECURE INTL INC	1,022,531	$10M	1.3%	HOLD
19	MICROFINANCIAL INC	1,208,665	$10M	1.3%	HOLD
20	Entropic Communications Inc	3,597,070	$10M	1.3%	ADD 10%
21	Carbon Natural Gas Co.	10,888,889	$9M	1.3%	HOLD
22	MAGNETEK INC	295,222	$9M	1.3%	TRIM −9%
23	CVUCPI AEROSTRUCTURES INC	931,040	$9M	1.3%	HOLD
24	LMATLEMAITRE VASCULAR INC	1,311,617	$9M	1.2%	HOLD
25	AMBER ROAD INC	512,811	$9M	1.2%	HOLD
26	IDEAL PWR INC	1,146,935	$9M	1.2%	HOLD
27	ERICKSON INC	638,976	$8M	1.1%	TRIM −29%
28	Constant Contact Inc	299,252	$8M	1.1%	HOLD
29	RGENREPLIGEN CORP	400,000	$8M	1.1%	TRIM −11%
30	ARGOS THERAPEUTICS INC	750,000	$8M	1.0%	HOLD
31	INCONTACT INC	863,552	$8M	1.0%	HOLD
32	NEOPHOTONICS CORP	2,208,656	$7M	1.0%	ADD 9%
33	PFENEX INC	1,000,000	$7M	1.0%	NEW
34	KMG CHEMICALS INC	430,698	$7M	1.0%	TRIM −15%
35	ALCOBRA LTD	443,496	$7M	0.9%	TRIM −26%
36	MXLMAXLINEAR INC	967,397	$7M	0.9%	ADD 4%
37	FUELCELL ENERGY INC	3,101,605	$6M	0.9%	ADD 20%
38	ORMPORAMED PHARMACEUTICALS INC	790,000	$6M	0.9%	HOLD
39	AVAVAEROVIRONMENT INC	210,000	$6M	0.9%	ADD 92%
40	VITAE PHARMACEUTICALS INC	825,000	$6M	0.9%	NEW
41	WAFERGEN BIO-SYSTEMS INC	1,400,000	$6M	0.8%	NEW
42	ARATANA THERAPEUTICS INC.	600,000	$6M	0.8%	HOLD
43	SMART TECHNOLOGIES INC	3,559,764	$6M	0.8%	HOLD
44	SPARK NETWORKS SE	1,233,681	$6M	0.8%	ADD 2%
45	WATTENERGOUS CORP	481,096	$5M	0.7%	HOLD
46	VITESSE SEMICONDUCTOR CORP	1,502,400	$5M	0.7%	ADD 10%
47	TBCHTurtle Beach Corporation	695,050	$5M	0.7%	ADD 22%
48	Trillium Therapeutics @6.30Cd	23,809,524	$5M	0.7%	HOLD
49	MANITEX INTL INC	459,230	$5M	0.7%	ADD 76%
50	ASCARDMORE SHIPPING CORP	474,300	$5M	0.7%	ADD 3%
51	GIGAMON INC	467,966	$5M	0.7%	ADD 63%
52	SGMOQSANGAMO THERAPEUTICS INC	450,000	$5M	0.7%	HOLD
53	SEQUANS COMMUNICATIONS FSPONSORED ADR 1 ADR REPS 100 ORD SHS	2,294,290	$5M	0.6%	ADD 6%
54	CVVCVD EQUIP CORP	349,166	$5M	0.6%	HOLD
55	IPASS INC	2,979,509	$4M	0.6%	HOLD
56	DSP GROUP INC	504,334	$4M	0.6%	HOLD
57	Support.Com Inc	1,968,120	$4M	0.6%	HOLD
58	WORLD ENERGY SOLUTIONS INC D	838,652	$4M	0.6%	HOLD
59	Izea Inc (IZEA)	10,857,144	$4M	0.5%	HOLD
60	Mosys Inc (MOSY)	1,630,256	$4M	0.5%	HOLD
61	SILICON IMAGE INC	775,227	$4M	0.5%	ADD 2%
62	TEKMIRA PHARMACEUTICALS CORP	175,000	$4M	0.5%	TRIM −63%
63	INFUINFUSYSTEM HLDGS INC	1,170,602	$4M	0.5%	HOLD
64	BTU INTERNATIONAL INC	1,123,045	$4M	0.5%	HOLD
65	PC TEL INC	476,576	$4M	0.5%	HOLD
66	INVENTURE FOODS INC	275,000	$4M	0.5%	NEW
67	SYNERGETICS USA INC	1,036,727	$4M	0.5%	HOLD
68	FIVE PRIME THERAPEUTICS INC.	300,000	$4M	0.5%	HOLD
69	SEACHANGE INTL INC	502,085	$3M	0.5%	ADD 20%
70	ORNORION GROUP HLDGS INC	350,000	$3M	0.5%	NEW
71	NEONNEONODE INC	1,600,120	$3M	0.5%	ADD 9%
72	Cellectar Biosciences @4.68 8/	2,208,368	$3M	0.4%	NEW
73	CACHCACHE INC	3,781,946	$3M	0.4%	ADD 44%
74	Selectica, Inc.	506,069	$3M	0.4%	HOLD
75	BROOKLYN IMMUNOTHERAPEUTICS	8,041,694	$3M	0.4%	HOLD
76	DATAWATCH CORP	257,422	$3M	0.4%	ADD 2%
77	DXYNDIXIE GROUP INC	300,000	$3M	0.4%	NEW
78	TiVo Solutions Inc.	202,908	$3M	0.4%	TRIM −7%
79	Quantum Fuel Systems Tech Worl	690,500	$3M	0.4%	HOLD
80	TREELENDINGTREE INC NEW	71,342	$3M	0.3%	ADD 193%
81	NVAXNOVAVAX INC	570,000	$2M	0.3%	HOLD
82	Summit Corporations plc	938,086	$2M	0.3%	TRIM −95%
83	CRAILAR TECHNOLOGIES INC COM	5,738,660	$2M	0.3%	NEW
84	CTPRCTPartners Executive Search Inc	143,719	$2M	0.3%	TRIM −59%
85	RESONANT INC	281,000	$2M	0.3%	HOLD
86	LTBRLIGHTBRIDGE CORP	879,130	$2M	0.3%	TRIM −30%
87	ITMSFINTERMAP TECHNOLOGIES CORP CL	14,976,204	$2M	0.3%	HOLD
88	MARIN SOFTWARE INC COM	228,456	$2M	0.3%	HOLD
89	Bavarian Nordic A/S (Denmark)	100,983	$2M	0.3%	HOLD
90	ParkerVision Inc. (PRKR)	1,590,000	$2M	0.2%	ADD 14%
91	PARNELL PHARMACEUT HLDGS LIMITED SHS	310,616	$2M	0.2%	HOLD
92	Arrowhead Pharma Inc	118,733	$2M	0.2%	TRIM −88%
93	MARINUS PHARMACEUTICALS INC	267,337	$2M	0.2%	NEW
94	SharpSpring, Inc.	266,971	$2M	0.2%	TRIM −17%
95	BIOTELEMETRY INC	250,182	$2M	0.2%	ADD 22%
96	AMRCAMERESCO INC	244,062	$2M	0.2%	ADD 675%
97	ACADACADIA PHARM	66,357	$2M	0.2%	HOLD
98	RGDXQResponse Genetics, Inc.	2,319,879	$2M	0.2%	HOLD
99	YUME INC	310,200	$2M	0.2%	TRIM −52%
100	REGULUS THERAPEUTICS INC	225,000	$2M	0.2%	HOLD
101	MARRONE BIO INNOVATIONS INC	568,685	$2M	0.2%	ADD 42%
102	Foundation Healthcare, Inc.	3,574,220	$2M	0.2%	HOLD
103	IRMDIRADIMED CORP	210,285	$1M	0.2%	NEW
104	Benitec Biopharma Ltd.(Austra)	1,687,068	$1M	0.2%	HOLD
105	ACTIVE POWER INC COM NEW	725,000	$1M	0.2%	HOLD
106	XEBEQXebec Adsorption Inc (NV)	12,083,103	$1M	0.2%	HOLD
107	SILVER SPRING NETWORKS INC COM	143,739	$1M	0.2%	NEW
108	CYREN Ltd. (Isreal)	622,400	$1M	0.2%	NEW
109	CIMATRON LTD	224,467	$1M	0.2%	HOLD
110	OSSEN INNOVATION CO LTD	1,121,537	$1M	0.2%	TRIM −3%
111	OVASCIENCE INC	79,669	$1M	0.2%	HOLD
112	diaDexus, Inc.	2,329,623	$1M	0.2%	ADD 18%
113	Visualant, Inc.	15,900,000	$1M	0.2%	HOLD
114	XCERRA CORP	126,900	$1M	0.2%	NEW
115	KINDRED BIOSCIENCES INC COM	131,090	$1M	0.2%	HOLD
116	SFX ENTMT INC	239,722	$1M	0.2%	HOLD
117	VSTMVERASTEM INC	140,000	$1M	0.2%	HOLD
118	EGANEGAIN CORP	197,300	$1M	0.2%	ADD 18%
119	GTT COMMUNICATIONS INC	97,182	$1M	0.2%	TRIM −51%
120	SAIASAIA INC	22,500	$1M	0.2%	HOLD
121	Hopto (HPTO)	8,524,700	$1M	0.1%	HOLD
122	LOXO ONCOLOGY INC.	75,000	$985,000	0.1%	NEW
123	ITERIS INC NEW	556,169	$973,000	0.1%	TRIM −35%
124	GLOBAL POWER EQUIPMENT GROUP INC	65,000	$968,000	0.1%	HOLD
125	POCIPrecision Optics Corporation,	1,269,213	$953,000	0.1%	HOLD
126	UNWIRED PLANET INC NEW	511,194	$951,000	0.1%	ADD 5%
127	URTHECAST CORP COM	896,600	$881,000	0.1%	ADD 14%
128	NLSTNETLIST INC COM	686,263	$817,000	0.1%	ADD 4%
129	NV5 GLOBAL INC COM	84,183	$796,000	0.1%	TRIM −16%
130	MERU NETWORKS INC	208,265	$793,000	0.1%	TRIM −61%
131	ENPHENPHASE ENERGY INC	50,000	$749,000	0.1%	NEW
132	CERES, INC.	1,614,032	$662,000	0.1%	NEW
133	ARI NETWORK SVCS INC	200,000	$640,000	0.1%	HOLD
134	STARTEK INC	77,147	$597,000	0.1%	ADD 45%
135	ANTIBE THERAPEUTICS INC	1,666,667	$581,000	0.1%	HOLD
136	PLANET PAYMENT INC SHS	249,042	$488,000	0.1%	HOLD
137	Spectral Medical Inc.	1,572,500	$449,000	0.1%	TRIM −11%
138	NV5 HLDGS INC	99,970	$299,000	0.0%	HOLD
139	QUMU CORP	21,871	$284,000	0.0%	HOLD
140	GIGOPTIX INC	204,337	$247,000	0.0%	HOLD
141	PROFIRE ENERGY INC	59,250	$246,000	0.0%	TRIM −59%
142	ASYSAMTECH SYS INC	13,213	$141,000	0.0%	NEW
143	IPLYInterplay Entertainment Corp.	9,133,000	$102,000	0.0%	HOLD
144	CYTRX CORP	2,400,000	$72,000	0.0%	HOLD
145	WHLTCHASE PACKAGING CORP TEX	684,954	$55,000	0.0%	HOLD
146	DYNAVAX TECHNOLOGIES CORP	360,000	$25,000	0.0%	HOLD
147	Altair Nanotech @.58 5/28/16 *	939,973	$12,000	0.0%	HOLD
148	INTEGRAL VISION INC COM STK	1,850,000	$4,000	0.0%	HOLD

☆MARXE AUSTIN W & GREENHOUSE DAVID M