-----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, Vogn4OgJwFI4oqC6xg7/5H4QZhdoyDoqDytAF9oo3LhdTnxvuGzkFWostrczzocV BhaoWHOUvsxDAQ7a6RRUqg== 0000909012-10-000046.txt : 20100204 0000909012-10-000046.hdr.sgml : 20100204 20100204144521 ACCESSION NUMBER: 0000909012-10-000046 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100204 DATE AS OF CHANGE: 20100204 EFFECTIVENESS DATE: 20100204 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: 10573803 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 t305740.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: DECEMBER 31, 2009 ----------------- 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 FEBRUARY 2, 2010 - ------------------ ------------ ---------------- 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: 146 --- Form 13F Information Table Value Total: $390,545 ------- (thousands) List of Other Included Managers: NONE
TITLE OF VALUE SHARES/ SH PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (X1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ACTEL CORP COM 004934105 10,393 874,851 SH SOLE SOLE NONE ACXIOM CORP COM 005125109 858 63,920 SH SOLE SOLE NONE ADTEC ENGINEERING CO COM J0016V103 125 39,783 SH SOLE SOLE NONE ADVANCED MICRO DEVICES NOTE INC SR NT CONV 6.00%5/0 007903AL1 387 430,000 SH SOLE SOLE NONE AKAMAI TECHNOLOGIES INC COM 00971T101 5,279 208,394 SH SOLE SOLE NONE AKELA PHARMA INC COM 00972X200 3 20,961 SH SOLE SOLE NONE ALCOA INC COM 013817101 350 21,690 SH SOLE SOLE NONE ALPHATEC HLDGS INC COM 02081G102 6,129 1,147,841 SH SOLE SOLE NONE AMICAS INC COM 001712108 23,302 4,283,538 SH SOLE SOLE NONE AMN HEALTHCARE SVCS INC COM 001744101 1,330 146,849 SH SOLE SOLE NONE ANADIGICS INC COM 032515108 573 135,675 SH SOLE SOLE NONE ANTRIM ENERGY INC COM 037243102 6,314 5,261,350 SH SOLE SOLE NONE APPLIED MICRO CIRCUITS CORPORATION NEW COM 03822W406 848 113,549 SH SOLE SOLE NONE ARENA PHARMACEUTICALS INC COM 040047102 257 72,300 SH SOLE SOLE NONE ASM INTERNATIONAL NV ADR COM N07045102 2,779 108,000 SH SOLE SOLE NONE ASM PACIFIC TECHNOLOGY COM G0535Q133 4,222 443,000 SH SOLE SOLE NONE ASPEN TECHNOLOGY INC COM 045327103 834 85,080 SH SOLE SOLE NONE ATHENAHEALTH INC COM 04685W103 6,963 153,919 SH SOLE SOLE NONE AVELCO CO JPY50 COM j0356e109 60 20,849 SH SOLE SOLE NONE BANK OF AMERICA CORP COM 060505104 260 17,280 SH SOLE SOLE NONE BGC PARTNERS INC CL A CL A 05541T101 862 186,640 SH SOLE SOLE NONE BLACKBAUD INC COM 09227Q100 543 23,000 SH SOLE SOLE NONE BLUE COAT SYSTEMS INC COM 09534T508 1,829 64,080 SH SOLE SOLE NONE BROCADE COMMUNICATIONS SYS INC NEW COM 111621306 772 101,168 SH SOLE SOLE NONE CADENCE DESIGN SYSTEMS INC COM 127387108 848 141,610 SH SOLE SOLE NONE CALLWAVE INC NEW COM 13126N200 94 58,465 SH SOLE SOLE NONE CARMAX INC COM 143130102 3,477 143,385 SH SOLE SOLE NONE CELGENE CORP COM 151020104 1,541 27,680 SH SOLE SOLE NONE CENTURY ALUMINUM CO COM 156431108 1,191 73,555 SH SOLE SOLE NONE CEPHEID COM 15670R107 755 60,500 SH SOLE SOLE NONE CERAGON NETWORKS LTD ord M22013102 1,178 100,302 SH SOLE SOLE NONE CIRRUS LOGIC INC COM 172755100 1,178 172,740 SH SOLE SOLE NONE CITIGROUP INC COM 172967101 295 89,010 SH SOLE SOLE NONE COM DEV INTERNATIONAL LTD COM 199907106 14,271 4,377,657 SH SOLE SOLE NONE COMMVAULT SYSTEMS INC COM 204166102 16,873 712,248 SH SOLE SOLE NONE CONCEPTUS INC COM 206016107 608 32,400 SH SOLE SOLE NONE CONSTANT CONTACT INC COM 210313102 8,738 546,126 SH SOLE SOLE NONE CSR PLC CAMBRIDGE COM 018777452 754 113,835 SH SOLE SOLE NONE CVD EQUIPTMENT CORPORATION COM 126601103 1,028 250,000 SH SOLE SOLE NONE CYTORI THERAPEUTICS INC COM 23283K105 16,704 2,738,413 SH SOLE SOLE NONE DELIA*S INC NEW COM 246911101 3,449 1,844,489 SH SOLE SOLE NONE DIGITAL RIVER INC COM 25388B104 827 30,630 SH SOLE SOLE NONE DIODES INC COM 254543101 402 19,635 SH SOLE SOLE NONE DISCO CORP COM j12327102 1,550 25,000 SH SOLE SOLE NONE DISCOVERY LABORATORIES INC NEW COM 254668106 295 468,290 SH SOLE SOLE NONE DIVX INC COM 255413106 771 136,765 SH SOLE SOLE NONE DURECT CORP COM 266605104 8,953 3,624,509 SH SOLE SOLE NONE DYCOM INDUSTRIES INC COM 267475101 130 16,220 SH SOLE SOLE NONE EHEALTH INC COM 28238P109 17,873 1,087,838 SH SOLE SOLE NONE ENTROPIC COMMUNICATIONS INC COM 29384R105 981 319,572 SH SOLE SOLE NONE EOG RES INC COM 26875P101 338 3,478 SH SOLE SOLE NONE EPICOR SOFTWARE CORP COM 29426L108 980 128,615 SH SOLE SOLE NONE EXAR CORPORATION COM 300645108 802 112,831 SH SOLE SOLE NONE EXXON MOBIL CORP COM 30231G102 496 7,273 SH SOLE SOLE NONE FEI CO COM 30241L109 565 24,200 SH SOLE SOLE NONE FORD MOTOR CO PAR $0.01 COM PAR .01 345370860 385 38,467 SH SOLE SOLE NONE FREEPORT MCMORAN COPPER & GOLD INC COM 35671D857 1,415 17,620 SH SOLE SOLE NONE GAMESTOP CORP NEW CLASS A CL A 36467w109 12,370 563,832 SH SOLE SOLE NONE GAMESTOP CORP CALL 36467w909 69 327 CALL SOLE SOLE NONE GENERAL ELECTRIC CO COM 369604103 359 23,715 SH SOLE SOLE NONE GENERAL FINANCE CORPORATION COM 369822101 5,005 3,941,116 SH SOLE SOLE NONE GENTEX CORP COM 371901109 718 40,202 SH SOLE SOLE NONE GILAT SATELLITE NETWORKS LTD SHS NEW M51474118 146 31,619 SH SOLE SOLE NONE GOOGLE INC CL A CL A 38259P508 1,755 2,831 SH SOLE SOLE NONE HARMONIC INC COM 413160102 907 143,320 SH SOLE SOLE NONE HARRIS & HARRIS GROUP INC COM 413833104 1,653 361,813 SH SOLE SOLE NONE HEALTHWAYS INC COM 422245100 2,654 144,715 SH SOLE SOLE NONE HOLOGIC INC COM 436440101 1,043 71,898 SH SOLE SOLE NONE HURON CONSULTING GROUP INC COM 447462102 12,017 521,576 SH SOLE SOLE NONE HYPERCOM CORP COM 44913M105 409 129,055 SH SOLE SOLE NONE ICHIYOSHI SECURITIES CO LTD COM j2325r104 86 12,881 SH SOLE SOLE NONE IHARA SCIENCE CORP COM j23414105 53 10,899 SH SOLE SOLE NONE IKANOS COMMUNICATIONS COM 45173E105 504 269,515 SH SOLE SOLE NONE IMMUCOR INC COM 452526106 1,348 66,621 SH SOLE SOLE NONE INTEGRATED DEVICE TECHNOLOGY COM 458118106 867 133,935 SH SOLE SOLE NONE INTERNATIONAL PAPER CO COM 460146103 491 18,335 SH SOLE SOLE NONE INTERNATIONAL RECTIFIER CORP COM 460254105 1,197 54,135 SH SOLE SOLE NONE INTERNET CAPITAL GROUP INC COM NEW COM NEW 46059C205 511 76,903 SH SOLE SOLE NONE IROBOT CORP COM 462726100 546 31,013 SH SOLE SOLE NONE ISILON SYSTEMS INC COM 46432L104 668 97,335 SH SOLE SOLE NONE KANDI TECHNOLOGIES CORP COM 483709101 328 74,450 SH SOLE SOLE NONE KENEXA CORPORATION COM 488879107 537 41,119 SH SOLE SOLE NONE KYOKUTO SECURITIES CO LTD TOKYO COM 021594768 146 18,664 SH SOLE SOLE NONE LIVEPERSON INC COM 538146101 1,192 171,003 SH SOLE SOLE NONE LONGTOP FINANCIAL TECHNOLOGIES LIMITED ADR ADR 54318P108 592 15,986 SH SOLE SOLE NONE LOOPNET INC COM 543524300 755 75,985 SH SOLE SOLE NONE LSB INDUSTRIES INC COM 502160104 303 21,510 SH SOLE SOLE NONE MARTEK BIOSCIENCES CORP COM 572901106 996 52,567 SH SOLE SOLE NONE MEDASSETS INC COM 584045108 726 34,250 SH SOLE SOLE NONE MONSTER WORLDWIDE INC COM 611742107 2,298 132,051 SH SOLE SOLE NONE Myturn COM 628690109 0 262,225 SH SOLE SOLE NONE NEOVASC INC COM 64065J106 444 1,305,541 SH SOLE SOLE NONE NETGEAR INC COM 64111Q104 2,319 106,911 SH SOLE SOLE NONE NETLOGIC MICROSYSTEMS INC COM 64118B100 1,079 23,317 SH SOLE SOLE NONE NETSCOUT SYS INC COM 64115T104 756 51,640 SH SOLE SOLE NONE NETSUITE INC COM 64118Q107 4,924 308,165 SH SOLE SOLE NONE NICE SYSTEMS LTD SPONSORED ADR SPONSORED ADR 653656108 607 19,555 SH SOLE SOLE NONE NINTENDO CO LTD-ADR NEW SPONSORED ADR 654445303 684 23,125 SH SOLE SOLE NONE NOVADAQ TECHNOLOGIES INC COMMON COM 66987G102 10,335 3,856,329 SH SOLE SOLE NONE NYSE EURONEXT COM 629491101 241 9,524 SH SOLE SOLE NONE PERICOM SEMICONDUCTOR CORP COM 713831105 1,325 114,926 SH SOLE SOLE NONE PFSWEB INC NEW COM 717098206 144 96,324 SH SOLE SOLE NONE PHOENIX TECHNOLOGIES LTD COM 719153108 586 213,100 SH SOLE SOLE NONE PLC SYSTEMS INC COM 69341D104 90 598,668 SH SOLE SOLE NONE PLX TECHNOLOGY INC COM COM 693417107 11,165 3,456,795 SH SOLE SOLE NONE POWER INTEGRATIONS INC COM 739276103 960 26,400 SH SOLE SOLE NONE PROSHARES ULTRASHORT BARCLAYS ULT 20+ YEAR TRE S&P 500 74347R297 4,774 95,700 SH SOLE SOLE NONE QUSTREAM CORPORATION COM 749131108 36 720,420 SH SOLE SOLE NONE RED HAT INC COM 756577102 18,421 596,150 SH SOLE SOLE NONE REGEN BIOLOGICS INC NEW COM 75884M302 50 415,898 SH SOLE SOLE NONE RENTRAK CORP COM COM 760174102 5,777 326,947 SH SOLE SOLE NONE ROBBINS & MYERS INC COM 770196103 787 33,465 SH SOLE SOLE NONE RTI BIOLOGICS INC COM 74975N105 15,656 4,077,141 SH SOLE SOLE NONE RUDOLPH TECHNOLOGIES INC COM 781270103 10,157 1,511,396 SH SOLE SOLE NONE SCICLONE PHARMACEUTICALS INC COM 80862K104 408 175,135 SH SOLE SOLE NONE SCO GROUP INC (THE) COM 78403A106 96 258,985 SH SOLE SOLE NONE SIERRA WIRELESS INC COM 826516106 310 29,255 SH SOLE SOLE NONE SL GREEN REALTY CORP COM 78440X101 600 11,950 SH SOLE SOLE NONE SOUTHWESTERN ENERGY CO COM 845467109 483 10,020 SH SOLE SOLE NONE SRA INTERNATIONAL INC CL A CL A 78464R105 534 27,970 SH SOLE SOLE NONE STARLIMS TECHNOLOGIES LTD COM M8484K109 5,428 390,762 SH SOLE SOLE NONE STEC INC COM 784774101 684 41,875 SH SOLE SOLE NONE SYBASE INC COM 871130100 955 22,000 SH SOLE SOLE NONE SYMMETRICOM INC COM 871543104 856 164,680 SH SOLE SOLE NONE SYMYX TECHNOLOGIES COM COM 87155S108 1,748 317,798 SH SOLE SOLE NONE SYNAPTICS INC COM 87157D109 217 7,070 SH SOLE SOLE NONE SYSMEX CORP JP ORD JPY 50 COM 010404339 540 10,360 SH SOLE SOLE NONE TELLABS INC COM 879664100 737 129,715 SH SOLE SOLE NONE TERRESTAR CORPORATION COM 881451108 12 12,431 SH SOLE SOLE NONE THE CUSHING MLP TOTAL RETURN FUND COM 231631102 2,185 257,068 SH SOLE SOLE NONE THORATEC CORP NEW COM NEW 885175307 14,569 541,199 SH SOLE SOLE NONE TITAN PHARMACEUTICALS INC-DEL COM 888314101 2,406 1,041,433 SH SOLE SOLE NONE TOWA CORP JPY50 COM j9042t107 1,320 135,000 SH SOLE SOLE NONE TTI TEAM TELECOM INTERNATIONAL LTD COM M88258104 115 73,886 SH SOLE SOLE NONE UNICA CORP COM 904583101 1,037 133,822 SH SOLE SOLE NONE VALUECLICK INC COM 92046N102 323 31,935 SH SOLE SOLE NONE VANDA PHARMACEUTICALS INC COM 921659108 499 44,415 SH SOLE SOLE NONE VASCO DATA SECURITY INTL INC COM 92230Y104 2,406 383,795 SH SOLE SOLE NONE VIRAGE LOGIC CORP COM 92763R104 1,408 256,037 SH SOLE SOLE NONE VIRTUAL RADIOLOGIC CORPORATION COM 92826B104 14,591 1,143,471 SH SOLE SOLE NONE VISIONCHINA MEDIA INC SPONSORED SPONSORED ADR ADR 92833U103 1,401 128,260 SH SOLE SOLE NONE WEATHERFORD INTERNATIONAL LTD SWITZERLAND REG H27013103 404 22,580 SH SOLE SOLE NONE WEBSENSE INC COM 947684106 232 13,265 SH SOLE SOLE NONE XFONE INC COM 98414Y109 1,623 2,319,178 SH SOLE SOLE NONE YAHOO INC COM 984332106 1,281 76,365 SH SOLE SOLE NONE ZORAN CORP COM 98975F101 1,555 140,690 SH SOLE SOLE NONE 390,545
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