-----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, TB63xetvkYEzA0dK47l/vCqs/OpOPlRdhOhnQ5gLbFMLRv5f6SKOs9/Tfg2xVEYR z/wK98Yl/A7Fo2q/D478jw== 0000909012-10-000252.txt : 20100429 0000909012-10-000252.hdr.sgml : 20100429 20100429131130 ACCESSION NUMBER: 0000909012-10-000252 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100429 DATE AS OF CHANGE: 20100429 EFFECTIVENESS DATE: 20100429 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: 10780293 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 t305888.txt ASCII 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: MARCH 31, 2010 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 APRIL 28, 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: $395,583 ----------- (thousands) List of Other Included Managers: NONE
MARKET VALUE SHARES/ SH PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP VALUE (X1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------------ ACTEL CORP COM 004934105 13116573 13,117 947045 SH SOLE SOLE NONE ACXIOM CORP COM 005125109 1374037 1,374 76580 SH SOLE SOLE NONE ADTEC ENGINEERING CO COM J0016V103 176026 176 39717 SH SOLE SOLE NONE ADVANCED MICRO DEVICES INC NOTE 6.000% 5/10 007903al1 411,304 411 429000 PRN SOLE SOLE NONE AKAMAI TECHNOLOGIES INC COM 00971T101 6080945 6,081 193599 SH SOLE SOLE NONE AKELA PHARMA INC COM 00972X200 2671 3 20861 SH SOLE SOLE NONE ALCOA INC COM 013817101 308866 309 21690 SH SOLE SOLE NONE ALPHATEC HLDGS INC COM 02081G102 8791836 8,792 1380194 SH SOLE SOLE NONE AMN HEALTHCARE SVCS INC COM 001744101 1443086 1,443 163987 SH SOLE SOLE NONE ANADIGICS INC COM 032515108 1280561 1,281 263490 SH SOLE SOLE NONE ANTRIM ENERGY INC COM 037243102 5369043 5,369 5094210 SH SOLE SOLE NONE APPLIED ENERGETICS INC COM 03819M106 385472 385 507200 SH SOLE SOLE NONE APPLIED MICRO CIRCUITS CORPORATION NEW COM 03822W406 976692 977 113174 SH SOLE SOLE NONE ARENA PHARMACEUTICALS INC COM 040047102 224192 224 72320 SH SOLE SOLE NONE ASK CORP COM 00206E101 0 0 68220 SH SOLE SOLE NONE ASM INTERNATIONAL NV ADR ADR N07045102 1239629 1,240 46100 SH SOLE SOLE NONE ATHENAHEALTH INC COM 04685W103 9921360 9,921 271372 SH SOLE SOLE NONE AVELCO CO JPY50 COM j0356e109 66158 66 20811 SH SOLE SOLE NONE BANK OF AMERICA CORP COM 060505104 308448 308 17280 SH SOLE SOLE NONE BGC PARTNERS INC CL A CLASS A 05541T101 1258110 1,258 205910 SH SOLE SOLE NONE BLUE COAT SYSTEMS INC COM 09534T508 1690438 1,690 54460 SH SOLE SOLE NONE BROCADE COMMUNICATIONS SYS INC NEW COM 111621306 588404 588 103048 SH SOLE SOLE NONE CALLWAVE INC NEW COM 13126N200 70158 70 58465 SH SOLE SOLE NONE CARMAX INC COM 143130102 2635942 2,636 104934 SH SOLE SOLE NONE CELGENE CORP COM 151020104 1515604 1,516 24461 SH SOLE SOLE NONE CENTURY ALUMINUM CO COM 156431108 1011635 1,012 73520 SH SOLE SOLE NONE CEPHEID COM 15670R107 1057540 1,058 60500 SH SOLE SOLE NONE CERAGON NETWORKS LTD ORD M22013102 730188 730 66867 SH SOLE SOLE NONE CHART INDUSTRIES INC COM PAR $0.01 COM 16115Q308 581700 582 29085 SH SOLE SOLE NONE CIRRUS LOGIC INC COM 172755100 724560 725 86360 SH SOLE SOLE NONE COM DEV INTERNATIONAL LTD COM 199907106 12465295 12,465 4218374 SH SOLE SOLE NONE COMMVAULT SYSTEMS INC COM 204166102 14791750 14,792 692822 SH SOLE SOLE NONE CONCEPTUS INC COM 206016107 1606780 1,607 80500 SH SOLE SOLE NONE CONSTANT CONTACT INC COM 210313102 12677098 12,677 545956 SH SOLE SOLE NONE COPART INC COM 217204106 534000 534 15000 SH SOLE SOLE NONE CVD EQUIPTMENT CORPORATION COM 126601103 837500 838 250000 SH SOLE SOLE NONE CYTORI THERAPEUTICS INC COM 23283K105 7103509 7,104 1557787 SH SOLE SOLE NONE DELCATH SYSTEMS INC COM 24661P104 632772 633 78120 SH SOLE SOLE NONE DELIA*S INC NEW COM 246911101 492280 492 284555 SH SOLE SOLE NONE DENDREON CORP PUT 24823Q957 126790 127 409 PUT SOLE SOLE NONE DIGITAL RIVER INC COM 25388B104 1718010 1,718 56700 SH SOLE SOLE NONE DIODES INC COM 254543101 439824 440 19635 SH SOLE SOLE NONE DISCO CORP COM J12327102 2751598 2,752 44700 SH SOLE SOLE NONE DISCOVERY LABORATORIES INC NEW COM 254668106 304338 304 585265 SH SOLE SOLE NONE DIVX INC COM 255413106 983963 984 137425 SH SOLE SOLE NONE DURECT CORP COM 266605104 15383806 15,384 5110899 SH SOLE SOLE NONE ECOSPHERE TECHNOLOGIES INC COM 27922X105 832500 833 555000 SH SOLE SOLE NONE EHEALTH INC COM 28238P109 16377244 16,377 1039825 SH SOLE SOLE NONE ENTROPIC COMMUNICATIONS INC COM 29384R105 1122848 1,123 221033 SH SOLE SOLE NONE EPICOR SOFTWARE CORP COM 29426L108 1438971 1,439 150520 SH SOLE SOLE NONE EXAR CORPORATION COM 300645108 394631 395 55976 SH SOLE SOLE NONE EXXON MOBIL CORP COM 30231G102 999208 999 14918 SH SOLE SOLE NONE FIRST AMERICAN CORP COM 318522307 435182 435 12860 SH SOLE SOLE NONE FORD MOTOR CO PAR $0.01 PAR .01 345370860 483279 483 38447 SH SOLE SOLE NONE FREEPORT MCMORAN COPPER & GOLD INC COM 35671D857 1253351 1,253 15003 SH SOLE SOLE NONE GAMESTOP CORP NEW CLASS A CLASS A 36467W109 1662640 1,663 75885 SH SOLE SOLE NONE GAYLORD ENTERTAINMENT CO NEW COM 367905106 753983 754 25742 SH SOLE SOLE NONE GENERAC HOLDINGS INC COM 368736104 4798229 4,798 342486 SH SOLE SOLE NONE GENERAL ELECTRIC CO COM 369604103 820547 821 45085 SH SOLE SOLE NONE GENERAL FINANCE CORPORATION COM 369822101 6237625 6,238 4990100 SH SOLE SOLE NONE GENTEX CORP COM 371901109 887436 887 45697 SH SOLE SOLE NONE GOOGLE INC CL A CLASS A 38259P508 1433968 1,434 2529 SH SOLE SOLE NONE GRAHAM CORP COM 384556106 196361 196 10915 SH SOLE SOLE NONE HARMONIC INC COM 413160102 489486 489 77573 SH SOLE SOLE NONE HARRIS & HARRIS GROUP INC COM 413833104 1667958 1,668 361813 SH SOLE SOLE NONE HEALTHWAYS INC COM 422245100 2020272 2,020 125717 SH SOLE SOLE NONE HOLOGIC INC COM 436440101 1226495 1,226 66154 SH SOLE SOLE NONE HURON CONSULTING GROUP INC COM 447462102 9550561 9,551 470471 SH SOLE SOLE NONE HYPERCOM CORP COM 44913M105 1067406 1,067 276530 SH SOLE SOLE NONE ICHIYOSHI SECURITIES CO LTD COM J2325R104 87962 88 12860 SH SOLE SOLE NONE IHARA SCIENCE CORP COM J23414105 55999 56 10899 SH SOLE SOLE NONE IKANOS COMMUNICATIONS COM 45173E105 1656405 1,656 552135 SH SOLE SOLE NONE IMMUCOR INC COM 452526106 1609953 1,610 71905 SH SOLE SOLE NONE INTEGRATED DEVICE TECHNOLOGY COM 458118106 821022 821 133935 SH SOLE SOLE NONE INTERNATIONAL PAPER CO COM 460146103 451470 451 18345 SH SOLE SOLE NONE INTERNATIONAL RECTIFIER CORP COM 460254105 1464341 1,464 63945 SH SOLE SOLE NONE INTERNET CAPITAL GROUP INC COM NEW COM 46059C205 858055 858 101545 SH SOLE SOLE NONE IROBOT CORP COM 462726100 559647 560 36916 SH SOLE SOLE NONE ISILON SYSTEMS INC COM 46432L104 838054 838 97335 SH SOLE SOLE NONE KANDI TECHNOLOGIES CORP COM 483709101 419126 419 85190 SH SOLE SOLE NONE KENEXA CORPORATION COM 488879107 848141 848 61683 SH SOLE SOLE NONE KYOKUTO SECURITIES CO LTD TOKYO COM J37953106 175728 176 18633 SH SOLE SOLE NONE LATTICE SEMICONDUCTOR CORP COM 518415104 435886 436 118770 SH SOLE SOLE NONE LIVEPERSON INC COM 538146101 879419 879 114657 SH SOLE SOLE NONE LOOPNET INC COM 543524300 953826 954 84860 SH SOLE SOLE NONE LSB INDUSTRIES INC COM 502160104 327736 328 21505 SH SOLE SOLE NONE MARTEK BIOSCIENCES CORP COM 572901106 1493966 1,494 66369 SH SOLE SOLE NONE MATTSON TECHNOLOGY INC COM 577223100 49573 50 10730 SH SOLE SOLE NONE MEDASSETS INC COM 584045108 719250 719 34250 SH SOLE SOLE NONE MIPS TECHNOLOGIES INC COM COM 604567107 695167 695 155867 SH SOLE SOLE NONE MONSTER WORLDWIDE INC COM 611742107 2126362 2,126 128017 SH SOLE SOLE NONE Myturn COM 628690109 0 0 259430 SH SOLE SOLE NONE NEOVASC INC COM 64065J106 1507228 1,507 3588637 SH SOLE SOLE NONE NETGEAR INC COM 64111Q104 1667138 1,667 63875 SH SOLE SOLE NONE NETLOGIC MICROSYSTEMS INC COM 64118B100 2903093 2,903 98644 SH SOLE SOLE NONE NETSCOUT SYS INC COM 64115T104 509220 509 34430 SH SOLE SOLE NONE NETSUITE INC COM 64118Q107 6982617 6,983 480235 SH SOLE SOLE NONE NICE SYSTEMS LTD SPONSORED ADR SPONSORED ADR 653656108 620871 621 19555 SH SOLE SOLE NONE NINTENDO CO LTD-ADR NEW SPONSORED ADR 654445303 1160189 1,160 27708 SH SOLE SOLE NONE NOVADAQ TECHNOLOGIES INC COMMON COM 66987G102 11113289 11,113 4257965 SH SOLE SOLE NONE NUVASIVE INC COMMON STOCK COM 670704105 9871499 9,871 218396 SH SOLE SOLE NONE NYSE EURONEXT COM 629491101 279637 280 9444 SH SOLE SOLE NONE PERICOM SEMICONDUCTOR CORP COM 713831105 820611 821 76621 SH SOLE SOLE NONE PHOENIX TECHNOLOGIES LTD COM 719153108 576461 576 179025 SH SOLE SOLE NONE PLC SYSTEMS INC COM 69341D104 95764 96 598523 SH SOLE SOLE NONE PLX TECHNOLOGY INC COM COM 693417107 17681519 17,682 3355127 SH SOLE SOLE NONE PROSHARES ULTRASHORT BARCLAYS 20+ YEAR TRE ULT S&P 500 74347R297 3521017 3,521 72315 SH SOLE SOLE NONE QUSTREAM CORPORATION COM 749131108 28194 28 720165 SH SOLE SOLE NONE RED HAT INC COM 756577102 17204086 17,204 587772 SH SOLE SOLE NONE REGEN BIOLOGICS INC NEW COM 75884M302 168708 169 374907 SH SOLE SOLE NONE RENTRAK CORP COM COM 760174102 8020738 8,021 372192 SH SOLE SOLE NONE ROBBINS & MYERS INC COM 770196103 797136 797 33465 SH SOLE SOLE NONE RTI BIOLOGICS INC COM 74975N105 17813854 17,814 4114054 SH SOLE SOLE NONE RUDOLPH TECHNOLOGIES INC COM 781270103 15463168 15,463 1804337 SH SOLE SOLE NONE SCICLONE PHARMACEUTICALS INC COM 80862K104 826638 827 234175 SH SOLE SOLE NONE SCO GROUP INC (THE) COM 78403A106 41663 42 347190 SH SOLE SOLE NONE SHUTTERFLY INC COM 82568P304 719568 720 29870 SH SOLE SOLE NONE SIERRA WIRELESS INC COM 826516106 246535 247 29245 SH SOLE SOLE NONE SILICON IMAGE INC COM 82705T102 780957 781 258595 SH SOLE SOLE NONE SL GREEN REALTY CORP COM 78440X101 684377 684 11950 SH SOLE SOLE NONE SOUTHWESTERN ENERGY CO COM 845467109 356748 357 8761 SH SOLE SOLE NONE SRA INTERNATIONAL INC CL A CLASS A 78464R105 570623 571 27447 SH SOLE SOLE NONE STARLIMS TECHNOLOGIES LTD COM #N/A N.A. 292448 292 20934 SH SOLE SOLE NONE SYMMETRICOM INC COM 871543104 638846 639 109579 SH SOLE SOLE NONE SYMYX TECHNOLOGIES COM COM 87155S108 119075 119 26520 SH SOLE SOLE NONE SYSMEX CORP JP ORD JPY 50 COM 010404339 607193 607 10350 SH SOLE SOLE NONE TELLABS INC COM 879664100 981943 982 129715 SH SOLE SOLE NONE TERRESTAR CORPORATION COM 881451108 16409 16 12431 SH SOLE SOLE NONE THE CUSHING MLP TOTAL RETURN FUND COM 231631102 2083809 2,084 228990 SH SOLE SOLE NONE THORATEC CORP NEW COM 885175307 20402627 20,403 609944 SH SOLE SOLE NONE TITAN PHARMACEUTICALS INC-DEL COM 888314101 1863798 1,864 1041228 SH SOLE SOLE NONE TTI TEAM TELECOM INTERNATIONAL LTD COM M88258104 144817 145 73886 SH SOLE SOLE NONE UNICA CORP COM 904583101 1222499 1,222 137514 SH SOLE SOLE NONE VALUECLICK INC COM 92046N102 323821 324 31935 SH SOLE SOLE NONE VANDA PHARMACEUTICALS INC COM 921659108 7095311 7,095 614845 SH SOLE SOLE NONE VARIAN SEMICONDUCTOR EQUIPMENT ASSOCS INC COM 922207105 1222128 1,222 36900 SH SOLE SOLE NONE VASCO DATA SECURITY INTL INC COM 92230Y104 1188000 1,188 144000 SH SOLE SOLE NONE VIRAGE LOGIC CORP COM 92763R104 4822849 4,823 613594 SH SOLE SOLE NONE VIRTUAL RADIOLOGIC CORPORATION COM 92826B104 13014661 13,015 1183151 SH SOLE SOLE NONE VISIONCHINA MEDIA INC SPONSORED ADR SPONSORED ADR 92833U103 300471 300 63930 SH SOLE SOLE NONE WEATHERFORD INTERNATIONAL LTD SWITZERLAND COM H27013103 354233 354 22335 SH SOLE SOLE NONE WEBSENSE INC COM 947684106 298128 298 13093 SH SOLE SOLE NONE XFONE INC COM 98414Y109 3436055 3,436 2290703 SH SOLE SOLE NONE YAHOO INC COM 984332106 1255949 1,256 75980 SH SOLE SOLE NONE ZIPREALTY INC COM 98974V107 71810 72 14655 SH SOLE SOLE NONE ZORAN CORP COM 98975F101 1463737 1,464 136035 SH SOLE SOLE NONE 395583429 395,583
-----END PRIVACY-ENHANCED MESSAGE-----