-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, DZo9f2kqExqJtgWJfJw4b1n7DyY5DyKq59VYzV/sJrGVLkWWEc2DMmp5z8tFjh0D U+AFIIKkAzgOomIUPCBngg== 0000909012-08-001128.txt : 20081112 0000909012-08-001128.hdr.sgml : 20081111 20081112171607 ACCESSION NUMBER: 0000909012-08-001128 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080930 FILED AS OF DATE: 20081112 DATE AS OF CHANGE: 20081112 EFFECTIVENESS DATE: 20081112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GAGNON SECURITIES LLC CENTRAL INDEX KEY: 0001125725 IRS NUMBER: 134087058 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06377 FILM NUMBER: 081181796 BUSINESS ADDRESS: STREET 1: P.O. BOX 1370 AVENUE OF THE AMERICAS, STREET 2: SUITE 2002 CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2125545000 MAIL ADDRESS: STREET 1: P.O. BOX 1370 AVENUE OF THE AMERICAS STREET 2: SUITE 2002 CITY: NEW YORK STATE: NY ZIP: 10019 13F-HR 1 t304704.txt GAGNON UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F-HR FORM 13F COVER PAGE Report for the Calendar Year of Quarter Ended: SEPTEMBER 30, 2008 ------------------ 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: GAGNON SECURITIES LLC Address: 1370 AVENUE OF THE AMERICAS, SUITE 2400 NEW YORK, NY 10019 Form 13F File Number: 28-06377 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: Name: SUE ANN MURRAY Title: ADMINISTRATIVE PARTNER Phone: (212) 554-5000 Signature Place Date of Signing /S/ SUE ANN MURRAY NEW YORK, NY NOVEMBER 12, 2008 - ------------------ ------------ ----------------- 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-HR SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 - Form 13F Information Table Entry Total: 120 --- Form 13F Information Table Value Total: $401,478.85 ---------- (thousands) List of Other Included Managers: NONE
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 - ------------------------------------------------------------------------------------------------------------------------------------ VOTING Name of Issuer Title of Class Cusip Value SHARES/ SH PUT/ Investment OTHER AUTHORITY (x1000) PRN AMT PRN CALL Discretion MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------------ ACTEL CORP COM 004934105 16,614.01 1,331,251 SH SOLE SOLE NONE ACTUATE CORPORATION COM 00508B102 1,298.74 371,069 SH SOLE SOLE NONE ADTEC ENGINEERING CO COM J0016V103 165.88 61,988 SH SOLE SOLE NONE AKAMAI TECHNOLOGIES INC COM 00971T101 557.21 31,950 SH SOLE SOLE NONE AKELA PHARMA INC COM 00972X200 19.21 21,753 SH SOLE SOLE NONE ALLIANCE SEMICONDUCTOR CORP COM 01877H100 34.94 43,675 SH SOLE SOLE NONE AMERITYRE CORP COM 03073V107 103.85 101,809 SH SOLE SOLE NONE AMICAS INC COM 001712108 12,213.20 5,026,008 SH SOLE SOLE NONE ANADIGICS INC COM 032515108 343.47 122,230 SH SOLE SOLE NONE APPLIED ENERGETICS INC COM 03819M106 119.49 140,570 SH SOLE SOLE NONE APPLIED MICRO CIRCUITS CORPORATION NEW COM New 03822W406 298.90 49,984 SH SOLE SOLE NONE ARUBA NETWORKS INC COM 043176106 706.40 137,700 SH SOLE SOLE NONE AT&T INC COM 00206R102 518.98 18,588 SH SOLE SOLE NONE ATHENAHEALTH INC COM 04685W103 260.14 7,819 SH SOLE SOLE NONE AVELCO CO JPY50 COM J0356E109 188.49 66,912 SH SOLE SOLE NONE BGC PARTNERS INC CL A CL A 05541T101 5,627.56 1,311,785 CALL SOLE SOLE NONE BIODEL COM J0356E109 454.35 135,626 CALL SOLE SOLE NONE BIOMS MEDICAL CORP COM Y0698A107 192.79 65,150 CALL SOLE SOLE SOLE BLUE COAT SYSTEMS INC COM 09534T508 1,347.34 94,950 SH SOLE SOLE NONE CALIFORNIA MICRO DEVICES CORP COM 130439102 241.43 80,745 SH SOLE SOLE NONE CALL MERRIL LYNCH JAN 055 **** CALL 5901889AK 2.02 506 SH SOLE SOLE NONE CALL THORATEC COR JAN 17.50 AMEX CALL 8851759AW 1,851.84 1,929 SH SOLE SOLE NONE CALLIDUS SOFTWARE INC COM 13123E500 706.41 178,386 SH SOLE SOLE NONE CALLWAVE INC COM 13126N101 164.16 86,855 SH SOLE SOLE NONE CARMAX INC COM 143130102 9,377.09 669,792 SH SOLE SOLE NONE CELGENE CORP COM 151020104 1,750.33 27,660 SH SOLE SOLE NONE COM DEV INTERNATIONAL LTD COM 199907106 16,999.18 5,744,693 SH SOLE SOLE NONE COMMVAULT SYSTEMS INC COM 204166102 16,980.20 1,409,145 SH SOLE SOLE NONE CORE LABORATORIES NV COM N22717107 304.77 3,008 SH SOLE SOLE NONE CYTORI THERAPEUTICS INC COM 23283K105 18,094.36 3,426,963 SH SOLE SOLE NONE DELIA*S INC NEW COM 246911101 1,618.72 562,054 SH SOLE SOLE NONE DURECT CORP COM 266605104 23,011.33 4,109,166 SH SOLE SOLE NONE EAGLE TEST SYSTEMS INC COM M29925100 278.52 18,192 SH SOLE SOLE NONE EASTMAN KODAK CO COM 277461109 677.64 44,060 SH SOLE SOLE NONE ECTEL LTD COM M29925100 187.54 139,952 SH SOLE SOLE NONE EHEALTH INC COM 28238P109 20,263.39 1,266,462 SH SOLE SOLE NONE ELOYALTY CORP NEW COM New 290151307 112.40 22,480 SH SOLE SOLE NONE EOG RES INC COM 26875P101 310.70 3,473 SH SOLE SOLE NONE EPIX PHARMACEUTICALS INC COM M29925100 236.85 229,949 SH SOLE SOLE NONE EXAR CORPORATION COM 300645108 873.96 114,094 SH SOLE SOLE NONE F5 NETWORKS INC COM 315616102 702.73 30,057 SH SOLE SOLE NONE FANNIE MAE (FEDERAL NATL MTG ASSN) COM Y2711Y104 2,266.13 1,481,130 SH SOLE SOLE NONE GENERAL FINANCE CORPORATION COM 369822101 15,119.51 2,399,922 SH SOLE SOLE NONE GENTEX CORP COM J18817106 354.07 24,760 SH SOLE SOLE NONE GILAT SATELLITE NETWORKS LTD COM M51474118 367.54 63,259 SH SOLE SOLE NONE GOOGLE INC CL A CLA 38259P508 1,676.58 4,186 SH SOLE SOLE NONE GREEN HOSPITAL SUPPLY INC COM J2325R104 383.94 716 SH SOLE SOLE NONE HEALTHWAYS INC COM J16465106 1,879.37 116,514 SH SOLE SOLE NONE HOLOGIC INC COM 436440101 1,230.55 63,660 SH SOLE SOLE NONE ICHIYOSHI SECURITIES CO LTD COM J2325R104 6,639.82 654,105 SH SOLE SOLE NONE I-MANY INC COM 44973Q103 3,333.29 4,761,158 SH SOLE SOLE NONE INFINITY ENERGY RESOURCES INC COM M51474118 11.61 17,595 SH SOLE SOLE NONE INTERNET CAPITAL GROUP INC COM NEW COM 46059C205 1,549.28 191,033 SH SOLE SOLE NONE IROBOT CORP COM 462726100 428.97 28,945 SH SOLE SOLE NONE JAPAN ASIA INVESTMENT CO JPY50 COM J18817106 451.40 235,718 SH SOLE SOLE NONE KINETIC CONCEPTS COM New 49460W208 6,948.63 243,044 SH SOLE SOLE NONE KYOKUTO SECURITIES CO LTD TOKYO COM 43365Y104 158.92 22,870 SH SOLE SOLE NONE LIVEPERSON INC COM 538146101 709.53 243,825 SH SOLE SOLE NONE LOJACK CORP COM J2325R104 424.68 63,480 SH SOLE SOLE NONE LOOKSMART LTD NEW COM New J23414105 509.29 199,721 SH SOLE SOLE NONE MARTEK BIOSCIENCES CORP COM 572901106 527.48 16,788 SH SOLE SOLE NONE MCAFEE INC COM 579064106 2,211.82 65,130 SH SOLE SOLE NONE MEDIS TECNOLOGIES COM 58500P107 930.93 517,182 SH SOLE SOLE NONE MERIT MEDICAL SYSTEMS INC COM 589889104 1,341.02 71,445 SH SOLE SOLE NONE MERUELO MADDUX PROPERTIES INC COM J26263103 1,618.68 1,326,785 SH SOLE SOLE NONE MICRONICS JAPAN CO JPY50 COM J4238M107 161.85 11,887 SH SOLE SOLE NONE MICROTUNE INC DEL COM J4276P103 343.28 128,090 SH SOLE SOLE NONE MITSUBISHI UFJ FINL GROUP INC SPONSORED AD Sponsored ADR J37953106 419.70 48,020 SH SOLE SOLE NONE MONEX GROUP INC COM 538146101 4,292.04 12,253 SH SOLE SOLE NONE NEOVASC INC COM 64065J106 338.37 1,025,357 SH SOLE SOLE NONE NETFLIX COM INC COM 64110L106 3,534.19 114,449 SH SOLE SOLE NONE NETGEAR INC COM 64111Q104 11,696.27 779,751 SH SOLE SOLE NONE NOVADAQ TECHNOLOGIES INC COMMON COM 66987G102 8,764.76 3,952,717 SH SOLE SOLE NONE ON SEMICONDUCTOR CORP COM 682189105 1,193.44 176,545 SH SOLE SOLE NONE OPNEXT INC COM 68375V105 289.47 63,065 SH SOLE SOLE NONE PEGASYSTEMS INC COM 705573103 374.62 29,018 SH SOLE SOLE NONE PFSWEB INC NEW COM New 717098206 290.01 120,335 SH SOLE SOLE NONE PLC SYSTEMS INC COM 69341D104 51.10 567,787 SH SOLE SOLE NONE PLX TECHNOLOGY INC COM COM J4238M107 12,851.22 2,510,003 SH SOLE SOLE NONE POINTS INTERNATIONAL LTD COM 730843109 1,909.99 3,304,487 SH SOLE SOLE NONE POWER INTEGRATIONS INC COM 739276103 380.56 15,791 SH SOLE SOLE NONE PROMETIC LIFE SCIENCES INCORPORATED COM J44497105 40.11 218,980 SH SOLE SOLE NONE QUSTREAM CORPORATION COM 749131108 71.15 290,005 SH SOLE SOLE NONE RED HAT INC COM J4656U102 15,518.29 1,029,747 SH SOLE SOLE NONE RENTRAK CORP COM COM 760174102 6,717.80 485,741 SH SOLE SOLE NONE RESEARCH IN MOTION LTD NEW COM 760975102 736.96 10,790 SH SOLE SOLE NONE RTI BIOLOGICS INC COM 74975N105 35,208.06 3,765,568 SH SOLE SOLE NONE RUDOLPH TECHNOLOGIES INC COM 781270103 9,594.34 1,144,909 SH SOLE SOLE NONE S E S CO LTD COM j71144109 141.49 55,813 SH SOLE SOLE NONE SCICLONE PHARMACEUTICALS INC COM 80862K104 137.34 121,535 SH SOLE SOLE NONE SCO GROUP INC (THE) COM J71144109 37.76 222,120 SH SOLE SOLE NONE SEMITOOL INC COM J6254G104 9,562.22 1,168,975 SH SOLE SOLE NONE SIRF TECHNOLOGY HOLDINGS INC COM 82967H101 382.30 256,575 SH SOLE SOLE NONE SOFTWARE SERVICE INC COM J7599W101 245.88 31,120 SH SOLE SOLE NONE SOUTHWESTERN ENERGY CO COM 845467109 305.71 10,010 SH SOLE SOLE NONE SPDR SER TR S&P HOMEBUILDERS ETF S&P Homebuild 78464A888 1,935.63 98,405 SH SOLE SOLE NONE SRA INTERNATIONAL INC CL A CL A J7599W101 13,755.40 607,839 SH SOLE SOLE NONE STARLIMS TECHNOLOGIES LTD COM m848k109 4,278.57 594,246 SH SOLE SOLE NONE SUMTOTAL SYSTEMS INC COM 866615107 12,831.22 3,137,218 SH SOLE SOLE NONE SUPPORTSOFT INC FORMERLY: SUPPORT COM INC COM 868587106 280.08 93,360 SH SOLE SOLE NONE SYMMETRICOM INC COM 871543104 1,750.22 352,157 SH SOLE SOLE NONE SYMYX TECHNOLOGIES COM COM M848K109 2,826.37 285,204 SH SOLE SOLE NONE SYNAPTICS INC COM 87157D109 1,447.05 47,884 SH SOLE SOLE NONE SYSMEX CORP JP ORD JPY 50 COM J7864H102 451.28 10,290 SH SOLE SOLE NONE TECHNOLOGY SOLUTIONS COMPANY NEW COM 87872T207 137.38 38,699 SH SOLE SOLE NONE TELETECH HOLDINGS INC COM 879939106 237.98 19,130 SH SOLE SOLE NONE TERRESTAR CORPORATION COM J71144109 122.07 122,074 SH SOLE SOLE NONE THORATEC CORP NEW COM New 885175307 4,889.27 186,258 SH SOLE SOLE NONE TITAN PHARMACEUTICALS INC-DEL COM J7864H102 191.44 870,195 SH SOLE SOLE NONE TOSHIBA CORP (TOKYO LISTED) COM J82264102 69.63 16,442 SH SOLE SOLE NONE TTI TEAM TELECOM INTERNATIONAL LTD COM M88258104 256.03 188,260 SH SOLE SOLE NONE ULTRA PETROLEUM CORP COM J7599w101 316.43 5,718 SH SOLE SOLE NONE UNICA CORP COM 904583101 794.26 101,309 SH SOLE SOLE NONE UTS WATERFORD WEDGEWOOD/ WATERFORD WEDGEWO COM G94697102 1.29 428,750 SH SOLE SOLE NONE VIRAGE LOGIC CORP COM J86957115 1,489.88 252,522 SH SOLE SOLE NONE VIRTUAL RADIOLOGIC CORPORATION COM 92826B104 11,672.32 1,430,431 SH SOLE SOLE NONE WORKSTREAM INC COM M88258104 46.49 581,130 SH SOLE SOLE NONE XFONE INC COM 98414Y109 8,033.93 2,869,260 SH SOLE SOLE NONE XTO ENERGY INC COM 98385X106 464.74 9,990 SH SOLE SOLE NONE ZORAN CORP COM 98975F101 726.16 88,990 SH SOLE SOLE NONE 401,478.85
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