0000909012-12-000023.txt : 20120126 0000909012-12-000023.hdr.sgml : 20120126 20120126140622 ACCESSION NUMBER: 0000909012-12-000023 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120126 DATE AS OF CHANGE: 20120126 EFFECTIVENESS DATE: 20120126 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: 12547187 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 t306598.txt GAG 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, 2011 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 JANUARY 22, 2012 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: 75 Form 13F Information Table Value Total: $168,248 (thousands) List of Other Included Managers: NONE
NAME OF ISSUER TITLE OF CLASS CUSIP VALUE SHARES/ SH PUT/ OTHER INVESTMENT VOTING AUTHORITY (X1000) PRN AMT PRN CALL MANAGERS DISCRETION SOLE SHARED NONE ADTEC ENGINEERING CO COM J0016V103 42 10741 SH SOLE SOLE NONE ADVANCED MICRO DEVICES INC note 6.05% SR NT CONV 6.0% due 5/1/15 5/1/15 007903A11 103 106000 PRN SOLE SOLE NONE AIR LEASE CORPORATION CL A CL A 00912X302 4,849 204521 SH SOLE SOLE NONE AKAMAI TECHNOLOGIES INC COM 00971T101 890 27568 SH SOLE SOLE NONE AKELA PHARMA INC COM 00972X200 2 13840 SH SOLE SOLE NONE ALPHA & OMEGA SEMICONDUCTOR LIMITED SHS G6331P104 3,780 517072 SH SOLE SOLE NONE ALPHATEC HLDGS INC COM 02081G102 80 46734 SH SOLE SOLE NONE AMERESCO INC CL A CL A 02361E108 6,241 454851 SH SOLE SOLE NONE AMN HEALTHCARE SVCS INC COM 001744101 800 180553 SH SOLE SOLE NONE ANADIGICS INC COM 032515108 289 131810 SH SOLE SOLE NONE ANTRIM ENERGY INC COM 037243102 2,512 2182335 SH SOLE SOLE NONE APPLIED ENERGETICS INC COM 03819M106 3 36920 SH SOLE SOLE NONE ARCHER-DANIELS-MIDLAND CO COM 039483102 319 11170 SH SOLE SOLE NONE ATHENAHEALTH INC COM 04685W103 7,770 158189 SH SOLE SOLE NONE AVELCO CO JPY50 COM J0356E109 40 10700 SH SOLE SOLE NONE CALLWAVE INC NEW COM 13126N200 37 28330 SH SOLE SOLE NONE CARMAX INC COM 143130102 5,445 178654 SH SOLE SOLE NONE CNINSURE INC SPONSORED ADR SPONSORED ADR 18976M103 2,835 409616 SH SOLE SOLE NONE COM DEV INTERNATIONAL LTD COM 199907106 5,162 2560126 SH SOLE SOLE NONE COMMVAULT SYSTEMS INC COM 204166102 256 5986 SH SOLE SOLE NONE CONSTANT CONTACT INC COM 210313102 7,447 320871 SH SOLE SOLE NONE CYMER INC COM 232572107 7,520 151124 SH SOLE SOLE NONE CYTORI THERAPEUTICS INC COM 23283K105 276 125465 SH SOLE SOLE NONE DISCOVERY LABORATORIES INC COM 254668403 26 15468 SH SOLE SOLE NONE DURECT CORP COM 266605104 4,318 3659561 SH SOLE SOLE NONE ELLIE MAE INC COM 28849P100 5,121 906290 SH SOLE SOLE NONE EQUINIX INC COM 29444U502 5,929 58470 SH SOLE SOLE NONE ETHAN ALLEN INTERIORS INC COM 297602104 267 11255 SH SOLE SOLE NONE FINANCIAL ENGINES INC COM 317485100 2,735 122487 SH SOLE SOLE NONE FXCM INC COM CL A COM 302693106 6,587 675616 SH SOLE SOLE NONE GAYLORD ENTERTAINMENT CO NEW COM 367905106 1,216 50373 SH SOLE SOLE NONE GENERAC HOLDINGS INC COM 368736104 3,298 117646 SH SOLE SOLE NONE GENERAL ELECTRIC CO COM 369604103 352 19645 SH SOLE SOLE NONE GENERAL FINANCE CORPORATION COM 369822101 5,965 2250837 SH SOLE SOLE NONE General Finance Corporation UNT 99/99/9999 UNT/99/99/9999 369822408 3,340 1012233 SH SOLE SOLE NONE GENTEX CORP COM 371901109 543 18349 SH SOLE SOLE NONE HEALTHWAYS INC COM 422245100 275 40099 SH SOLE SOLE NONE HOLOGIC INC COM 436440101 636 36300 SH SOLE SOLE NONE HOVNANIAN ENTERPRISES INC-CL A CL A 442487203 48 32857 SH SOLE SOLE NONE HURON CONSULTING GROUP INC COM 447462102 5,544 143110 SH SOLE SOLE NONE ICG GROUP INC COM 44928D108 3,121 404245 SH SOLE SOLE NONE ICHIYOSHI SECURITIES CO LTD COM J2325R104 52 12235 SH SOLE SOLE NONE IKANOS COMMUNICATIONS COM 45173E105 17 20892 SH SOLE SOLE NONE INPHI CORP COM 45772F107 157 13145 SH SOLE SOLE NONE IROBOT CORP COM 462726100 317 10632 SH SOLE SOLE NONE JEFFERIES GROUP INC NEW COM 472319102 275 19987 SH SOLE SOLE NONE KANDI TECHNOLOGIES CORP COM 483709101 106 28585 SH SOLE SOLE NONE LIVEPERSON INC COM 538146101 167 13301 SH SOLE SOLE NONE MICROCHIP TECHNOLOGY INC COM 595017104 317 8644 SH SOLE SOLE NONE MINDSPEED TECHNOLOGIES INC NEW COM 602682205 821 179174 SH SOLE SOLE NONE MONSANTO CO NEW COM 61166W101 410 5845 SH SOLE SOLE NONE NAPCO SECURITY TECHNOLOGIES INC COM 630402105 969 389246 SH SOLE SOLE NONE NEOVASC INC COM 64065J106 3,443 2710915 SH SOLE SOLE NONE NETGEAR INC COM 64111Q104 491 14631 SH SOLE SOLE NONE NETSUITE INC COM 64118Q107 4,602 113498 SH SOLE SOLE NONE NINTENDO CO LTD-ADR NEW SPONSORED ADR 654445303 249 14713 SH SOLE SOLE NONE NIVS INTELLIMEDIA TECHNOLOGY GROUP INC COM 62914U108 7 88968 SH SOLE SOLE NONE NOVADAQ TECHNOLOGIES INC COMMON COM 66987G102 9,957 2023736 SH SOLE SOLE NONE PITNEY BOWES INC COM 724479100 319 17180 SH SOLE SOLE NONE PLX TECHNOLOGY INC COM COM 693417107 5,599 1950855 SH SOLE SOLE NONE RED HAT INC COM 756577102 8,130 196903 SH SOLE SOLE NONE RENTRAK CORP COM COM 760174102 866 60613 SH SOLE SOLE NONE RTI BIOLOGICS INC COM 74975N105 9,057 2039911 SH SOLE SOLE NONE RUDOLPH TECHNOLOGIES INC COM 781270103 6,315 681957 SH SOLE SOLE NONE SCICLONE PHARMACEUTICALS INC COM 80862K104 572 133235 SH SOLE SOLE NONE SCO GROUP INC (THE) COM 78403A106 3 145665 SH SOLE SOLE NONE TALEO CORP CL A CL A 87424N104 369 9549 SH SOLE SOLE NONE TANGOE INC COM 87582Y108 5,555 360715 SH SOLE SOLE NONE THORATEC CORP NEW COM 885175307 718 21393 SH SOLE SOLE NONE TITAN PHARMACEUTICALS INC COM 888314101 556 487988 SH SOLE SOLE NONE ULTIMATE SOFTWARE GROUP INC COM 90385D107 218 3342 SH SOLE SOLE NONE VANDA PHARMACEUTICALS INC COM 921659108 893 187620 SH SOLE SOLE NONE XFONE INC COM 98414Y109 587 1468515 SH SOLE SOLE NONE XTREME COIL DRILLING CORP COM 98417D102 103 26955 SH SOLE SOLE NONE ZIPREALTY INC COM 98974V107 14 12723 SH SOLE SOLE NONE 168,248