0001135428-12-000514.txt : 20121026 0001135428-12-000514.hdr.sgml : 20121026 20121026140026 ACCESSION NUMBER: 0001135428-12-000514 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121026 DATE AS OF CHANGE: 20121026 EFFECTIVENESS DATE: 20121026 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RICE HALL JAMES & ASSOCIATES, LLC CENTRAL INDEX KEY: 0001230765 IRS NUMBER: 431992529 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10467 FILM NUMBER: 121163839 BUSINESS ADDRESS: STREET 1: 600 WEST BROADWAY STE 1000 CITY: SAN DIEGO STATE: CA ZIP: 92101-3383 BUSINESS PHONE: 6192399005 MAIL ADDRESS: STREET 1: 600 WEST BROADWAY STE 1000 CITY: SAN DIEGO STATE: CA ZIP: 92101-3383 FORMER COMPANY: FORMER CONFORMED NAME: RICE HALL JAMES & ASSOCIATES LLC DATE OF NAME CHANGE: 20030516 FORMER COMPANY: FORMER CONFORMED NAME: RICE JAMES HALL & ASSOCIATES LLC DATE OF NAME CHANGE: 20030502 13F-HR 1 rhj_13f.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2012 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: Rice Hall James & Associates, LLC Address: 600 West Broadway, Suite 1000 San Diego, CA 92101-3383 Form 13F File Number: 028-10467 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: Janine Marquez Title: Chief Compliance Officer Phone: 619-239-9005 Signature, Place, and Date of Signing: Janine Marquez San Diego, CA October 25, 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 another 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 by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 267 Form 13F Information Table Value Total: $955,578,000 List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name _______ ____________________ _____________________________ James & Associates FORM 13F 30-Sep-12
Voting Authority ---------------- Title of Value Shares Sh/ Put/ Invstmt Other Name of Issuer class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None ------------------- ----- ----- -------- ------- --- ---- ------- -------- ---- ------ ---- 1st United Bancorp Inc/North COM 33740N105 1736 269190 SH Sole 125575 143615 3M Co COM 88579Y101 718 7766 SH Sole 7466 300 8x8 Inc COM 282914100 91 13889 SH Sole 13889 Abbott Labs COM 002824100 1774 25880 SH Sole 24080 1800 Abiomed Inc COM 003654100 1780 84818 SH Sole 39378 45440 Acacia Technologies Group COM 003881307 743 27090 SH Sole 26498 592 Active Networks Inc COM 00506D100 738 58925 SH Sole 56575 2350 ADA-ES Inc COM 005208103 1491 63153 SH Sole 29619 33534 Advance Auto Parts Inc COM 00751Y106 628 9176 SH Sole 9176 Advisory Board Co COM 00762W107 1106 23132 SH Sole 22328 804 Agilysys Inc COM 00847J105 756 87850 SH Sole 83023 4827 Air Products & Chemicals Inc COM 009158106 3411 41249 SH Sole 29988 11261 Allegheny Technologies 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