0000950005-11-000078.txt : 20111115 0000950005-11-000078.hdr.sgml : 20111115 20111115134628 ACCESSION NUMBER: 0000950005-11-000078 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111115 DATE AS OF CHANGE: 20111115 EFFECTIVENESS DATE: 20111115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WESTCLIFF CAPITAL MANAGEMENT LLC/CA CENTRAL INDEX KEY: 0001057396 IRS NUMBER: 000000000 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-07054 FILM NUMBER: 111206641 BUSINESS ADDRESS: STREET 1: 200 7TH AVE SUITE 105 CITY: SANTA CRUZ STATE: CA ZIP: 95062 BUSINESS PHONE: 4084770422 MAIL ADDRESS: STREET 1: 200 SEVENTH AVE STREET 2: SUITE 105 CITY: SANTA CRUZ STATE: CA ZIP: 95602 13F-HR 1 e10057_form13f-sept11.txt FORM 13F-HR 09/30/2011 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 09/30/11 Check here if Amendment [ ]; Amendment Number: ___ This Amendment (Check only one.): [ ] is a restatement [ ] adds new holdings entries Institutional Investment Manager Filing this Report: WESTCLIFF CAPITAL MANAGEMENT, LLC 200 Seventh Avenue, Suite 105 Santa Cruz, CA 95062 Form 13F File Number: 028-07054 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 integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: RICHARD S. SPENCER III Managing Member of Westcliff Capital Management, LLC 831-477-4412 Signature, Place, and Date of Signing: /s/ Richard S. Spencer III ------------------------------ Richard S. Spencer Santa Cruz, CA 11/14/2011 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 79 Form 13F Information Table Value Total (x$1000): $81,069 List of Other Included Managers: NONE Westcliff Capital Management, LLC FORM 13F INFORMATION TABLE AS OF 09/30/11
TITLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------- ---------- ------ --------- -------- --- ---- ------- -------- -------- ------ ---- accuray inc COM 004397105 1,102 274,840 SH Sole 274,840 agnico-eagle mines ltd COM 008474108 1,233 20,721 SH Sole 20,721 applied micro circuits corp COM 03822w406 519 96,650 SH Sole 96,650 atmel corp COM 049513104 1,085 134,473 SH Sole 134,473 barrick gold corp COM 067901108 1,607 34,442 SH Sole 34,442 basic energy svcs inc new COM 06985P100 1,095 77,310 SH Sole 77,310 builders firstsource inc COM 12008R107 369 290,200 SH Sole 290,200 calfrac well services ltd COM CA1295841 2,058 88,290 SH Sole 88,290 ce franklin ltd COM 125151100 2,268 278,977 SH Sole 278,977 ceradyne inc COM 156710105 2,229 82,876 SH Sole 82,876 cirrus logic inc COM 172755100 1,745 118,358 SH Sole 118,358 complete production services COM 20453E109 1,645 87,292 SH Sole 87,292 comstock res inc COM 205768203 642 41,514 SH Sole 41,514 cryoport inc warrants 2/14/16 COM 229050208 624 1,642,857 SH Sole 1,642,857 cryoport, inc COM 229505208 1,889 1,642,857 SH Sole 1,642,857 cvr energy inc COM 12662P108 1,225 57,936 SH Sole 57,936 delek us hldgs inc COM 246647101 1,193 105,815 SH Sole 105,815 echelon corp COM 27874N105 494 70,440 SH Sole 70,440 energy xxi (bermuda) ltd COM G10082140 1,182 55,031 SH Sole 55,031 epsilon energy ltd COM 294375100 985 420,538 SH Sole 420,538 evergreen energy inc COM 30024B104 50 56,100 SH Sole 56,100 evergreen energy inc wts 4.630 COM 30024B104 - 180,561 SH Sole 180,561 exar corp COM 300645108 2,544 445,580 SH Sole 445,580 exfo inc COM 302046107 438 71,441 SH Sole 71,441 finisar corporation COM 31787A507 827 47,124 SH Sole 47,124 gastar expl ltd COM 367299104 167 55,510 SH Sole 55,510 gmx res inc COM 38011M108 942 414,851 SH Sole 414,851 goldcorp inc COM 380956409 1,258 27,557 SH Sole 27,557 goodrich pete corp COM 382410405 636 53,801 SH Sole 53,801 gse systems inc wts COM 36227K106 - 76,527 SH Sole 76,527 gt advanced technologies inc COM 36191U106 215 30,650 SH Sole 30,650 hercules offshore inc COM 427093109 1,028 353,168 SH Sole 353,168 hollyfrontier corp COM 436106108 1,957 74,630 SH Sole 74,630 hutchinson tech COM 448407106 1,650 841,620 SH Sole 841,620 immersion corp COM 452521107 1,343 224,541 SH Sole 224,541 infinera corporation COM 45667G103 1,040 134,768 SH Sole 134,768 integrated silicon solution COM 45812P107 1,527 195,566 SH Sole 195,566 kinross gold corp COM 496902404 790 53,482 SH Sole 53,482 lattice semiconductor corp COM 518415104 356 67,785 SH Sole 67,785 lindsay corporation COM 535555106 949 17,648 SH Sole 17,648 mcmoran exploration co COM 582411104 587 59,135 SH Sole 59,135 micron technology inc COM 595112103 464 92,112 SH Sole 92,112 minefinders ltd COM 602900102 1,347 96,766 SH Sole 96,766 newmont mining corp COM 651639106 1,537 24,423 SH Sole 24,423 oclaro inc COM 67555N206 183 50,289 SH Sole 50,289 ocz technology group inc COM 67086E303 1,526 314,670 SH Sole 314,670 omnivision technologies COM 682128103 978 69,656 SH Sole 69,656 parker drilling co COM 701081101 2,095 477,161 SH Sole 477,161 patterson uti energy inc COM 703481101 1,018 58,698 SH Sole 58,698 penn va corp COM 707882106 422 75,763 SH Sole 75,763 petroquest energy inc COM 716748108 735 133,616 SH Sole 133,616 pioneer drilling co COM 723655106 1,747 243,310 SH Sole 243,310 powerwave technologies inc COM 739363109 431 250,741 SH Sole 250,741 precision drilling corp COM 74022D308 990 119,423 SH Sole 119,423 range resources corp COM 75281A109 1,238 21,185 SH Sole 21,185 rbc bearings inc COM 75524B104 780 22,939 SH Sole 22,939 rsc holdings inc COM 74972L102 891 124,943 SH Sole 124,943 sandridge energy inc COM 80007P307 1,212 217,957 SH Sole 217,957 seagate technology COM G7945m107 1,206 117,366 SH Sole 117,366 silicon image inc COM 82705T102 1,453 247,473 SH Sole 247,473 silicon motion technol-adr COM 82706C108 1,244 107,580 SH Sole 107,580 southwestern energy co COM 845467109 1,725 51,742 SH Sole 51,742 support.com inc COM 86858W101 1,387 700,534 SH Sole 700,534 transatlantic petroleum ltd COM BBG000C4N 75 91,040 SH Sole 91,040 treasur island rty tr unit COM 894626209 1,424 949,356 SH Sole 949,356 trican well service ltd COM 895945202 970 68,596 SH Sole 68,596 trican well svc ltd COM 895945103 516 36,500 SH Sole 36,500 trident microsystems inc COM 895919108 761 1,462,509 SH Sole 1,462,509 triquint semiconductor inc COM 89674K103 399 79,409 SH Sole 79,409 triumph group inc new COM 896818101 1,841 37,776 SH Sole 37,776 twin disc inc COM 901476101 909 34,069 SH Sole 34,069 uecw2 wts 10/20/2011-$3.95 COM 916896103 - 167,500 SH Sole 167,500 ultra petroleum corp COM 903914109 911 32,847 SH Sole 32,847 ultratech inc COM 904034105 1,500 87,445 SH Sole 87,445 w & t offshore inc COM 92922P106 163 11,850 SH Sole 11,850 western digital corp COM 958102105 993 38,622 SH Sole 38,622 western refng inc COM 959319104 1,096 87,958 SH Sole 87,958 xtreme coil drilling corp COM 98417D102 1,024 359,714 SH Sole 359,714 xtreme coil drilling corp COM B1445V0 C 385 135,453 SH Sole 135,453 REPORT SUMMARY 79 DATA RECORDS 81,069 - OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED