-----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, Cs4ZWUtoA5U63OrK+JJzpUiQZsGJHc+ch5bCTggkYtLrqRmZLhJXMt14dMcH6L5f 3bs01z/F7DYYzqTDDQ7EZg== 0000935836-08-000484.txt : 20081113 0000935836-08-000484.hdr.sgml : 20081113 20081112181642 ACCESSION NUMBER: 0000935836-08-000484 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080930 FILED AS OF DATE: 20081113 DATE AS OF CHANGE: 20081112 EFFECTIVENESS DATE: 20081113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FALCON POINT CAPITAL, LLC CENTRAL INDEX KEY: 0001251557 IRS NUMBER: 943256485 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10492 FILM NUMBER: 081182148 BUSINESS ADDRESS: STREET 1: TWO EMBARCADERO CENTER STE 1300 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4157829600 MAIL ADDRESS: STREET 1: TWO EMBARCADERO CENTER STE 1300 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 FORMER COMPANY: FORMER CONFORMED NAME: EGM CAPITAL LLC DATE OF NAME CHANGE: 20030701 13F-HR 1 falcon13f.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, 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: Falcon Point Capital, LLC Address: Two Embarcadero Center, Suite 1300 San Francisco, CA 94111 Form 13F File Number: 28-4994 The institutional investment manager filing this report and the person by whom it is signed hereby represent 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: James A. Bitzer Title: Senior Managing Director Phone: 415-782-9600 Signature, Place and Date of Signing: James A. Bitzer San Francisco, CA November 12, 2008 [Signature] [City, State] [Date] Report Type (Check only one.): XXX 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 SUMMARY PAGE Report Summary: Number of Other Included Managers: -0- Form 13F Information Table Entry Total: 98 Form 13F Information Table Value Total: $ 57,105 (X1000) 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. NONE. NAME OF ISSUER TITLE CUSIP VALUE X1000 SHARES INV. OTHE VOTING OF DISC R AUTH CLASS . MGR SOLE ADC Telecommunications, COM 000886309 341 40,301 SH Sole 40,301 Inc. AMN Healthcare COM 001744101 527 29,998 SH Sole 29,998 Services, Inc. AMR Corp. COM 001765106 450 45,810 SH Sole 45,810 Affiliated Computer COM 008190100 812 16,039 SH Sole 16,039 Services, Affiliated Managers COM 008252108 597 7,207 SH Sole 7,207 Group Alliance Data Systems COM 018581108 1,272 20,077 SH Sole 20,077 Apollo Group Inc. COM 037604105 591 9,970 SH Sole 9,970 Argon ST INC COM 040149106 315 13,405 SH Sole 13,405 Barrick Gold Corp COM 067901108 350 9,520 SH Sole 9,520 Bluephoenix Solutions COM m20157109 289 81,986 SH Sole 81,986 Ltd Broadcom COM 111320107 825 44,268 SH Sole 44,268 Cellcom Israel Ltd COM M2196U109 600 19,971 SH Sole 19,971 Chicago Bridge & Iron- COM 167250109 573 29,799 SH Sole 29,799 NY SHR China Direct Inc COM 169384203 248 58,881 SH Sole 58,881 China Finance Online Co- COM 169379104 165 14,290 SH Sole 14,290 ADR China Security & COM 16942J105 941 67,772 SH Sole 67,772 Surveillance China.com Corporation COM g2022L106 132 72,956 SH Sole 72,956 City Telecom (HK) Ltd COM 178677209 218 69,323 SH Sole 69,323 ADR Cogo Group Inc. COM 192448108 373 70,749 SH Sole 70,749 Comverse Technology COM 205862402 191 20,000 SH Sole 20,000 Inc. Conceptus Inc COM 206016107 282 16,979 SH Sole 16,979 Corning COM 219350105 566 36,160 SH Sole 36,160 Crown Holdings Inc. COM 228368106 856 38,521 SH Sole 38,521 Cybersource Corp. COM 23251j106 1,026 63,697 SH Sole 63,697 Devry, Inc. COM 251893103 443 8,938 SH Sole 8,938 Digital River Inc COM 25388b104 401 12,387 SH Sole 12,387 Durect Corp. COM 266605104 1,668 297,790 SH Sole 297,790 EMC Corp COM 268648102 400 33,480 SH Sole 33,480 Ebix Inc COM 278715206 452 4,809 SH Sole 4,809 Enersys COM 29275y102 1,286 65,229 SH Sole 65,229 Equinix Inc COM 29444u502 565 8,130 SH Sole 8,130 Family Dollar Store, COM 307000109 307 12,970 SH Sole 12,970 Inc. Flir Systems COM 302445101 1,125 29,278 SH Sole 29,278 Gilead COM 375558103 774 16,966 SH Sole 16,966 Goldman Sachs Group Inc COM 38141g104 356 2,780 SH Sole 2,780 Harmonic, Inc. COM 413160102 412 48,771 SH Sole 48,771 Hub Group, Inc. COM 443320106 517 13,741 SH Sole 13,741 ITT Educational COM 45068b109 226 2,790 SH Sole 2,790 Services, Inc. Icon PLC - Sponsored COM 45103t107 975 25,480 SH Sole 25,480 ADR Infinera Corp COM 45667g103 464 48,578 SH Sole 48,578 Informatica Corp. COM 45666q102 239 18,400 SH Sole 18,400 Interdigital Inc. COM 45867g101 349 14,521 SH Sole 14,521 Intermap Technologies COM 458977204 216 83,774 SH Sole 83,774 Corp Internap Networks COM 45885a300 357 102,476 SH Sole 102,476 Itron COM 465741106 367 4,149 SH Sole 4,149 JB Hunt Transportation COM 445658107 500 14,974 SH Sole 14,974 Jack In The Box Inc. COM 466367109 361 17,096 SH Sole 17,096 Landstar COM 515098101 406 9,222 SH Sole 9,222 Marchex Inc. COM 56624r108 410 39,861 SH Sole 39,861 Marvell Technology COM g5876h105 540 58,020 SH Sole 58,020 MetroPCS COM 591708102 464 33,140 SH Sole 33,140 Communications, Inc. Mid-America Apartment COM 59522J103 716 14,570 SH Sole 14,570 Communit Mpower Communications COM 609839105 357 20,560 SH Sole 20,560 Neutral Tandem, Inc. COM 64128B108 826 44,563 SH Sole 44,563 Nokia Corporation COM 654902204 545 29,210 SH Sole 29,210 Otelco Inc. COM 688823202 1,075 80,874 SH Sole 80,874 Panera Bread Company COM 69840w108 374 7,340 SH Sole 7,340 Peabody Energy Corp COM 704549104 267 5,930 SH Sole 5,930 Perfect World Co COM 71372u104 503 22,405 SH Sole 22,405 Photon Dynamics Inc COM 719364101 483 31,491 SH Sole 31,491 Qualcomm Inc. COM 747525103 1,201 27,951 SH Sole 27,951 Regional Bank Holder's COM 75902e100 461 4,300 SH Sole 4,300 Trust Renasola Ltd COM 75971t103 298 28,370 SH Sole 28,370 Rightnow Technologies, COM 76657r106 209 16,622 SH Sole 16,622 Inc. Ross Stores COM 778296103 278 7,560 SH Sole 7,560 Smith Micro Software COM 832154108 732 103,048 SH Sole 103,048 Spansion Inc COM 84649r101 147 94,570 SH Sole 94,570 Techne Corp COM 878377100 417 5,781 SH Sole 5,781 The Financial SPDR COM 81369y605 498 25,050 SH Sole 25,050 Transocean Inc COM g90073100 423 3,854 SH Sole 3,854 UTI Worldwide COM G87210103 520 30,540 SH Sole 30,540 United Online Inc COM 911268100 295 31,351 SH Sole 31,351 Urban Outfitters Inc. COM 917047102 504 15,807 SH Sole 15,807 Urstadt Biddle COM 917286205 964 51,440 SH Sole 51,440 Properties Valero Energy Corp. COM 91913Y100 408 13,480 SH Sole 13,480 Visa Inc - Class A COM 92826c839 452 7,356 SH Sole 7,356 Shares Xinhua Finance Media COM 983982109 196 147,594 SH Sole 147,594 Ltd - ADR Bank of America 8.2% PRD 060505765 341 15,000 SH Sole 15,000 JPMorgan Chase 8.625% PRD 46625H621 280 11,220 SH Sole 11,220 Lasalle Hotel PRD 517942504 862 50,000 SH Sole 50,000 Properties Prefe Agere Systems 12/15/09 CVBOND 00845VAA8 1,010 1,000,000 PRN Sole 1,000,000 6.50% Charles River 2.875% CVBOND 159852AA0 679 750,000 PRN Sole 750,000 6/15/34 Curagen Corp 4% due CVBOND 23126RAE1 888 1,034,000 PRN Sole 1,034,000 2/15/2011 Hercules II 6/30/29 CVBOND 427056BC9 1,176 1,769,000 PRN Sole 1,769,000 6.5% Level 3 Comm Inc. 6% CVBOND 52729NAS9 875 1,000,000 PRN Sole 1,000,000 due 3/15/ NII Holdings 2.75% CVBOND 62913FAF9 495 500,000 PRN Sole 500,000 NII Holdings 3.125% CVBOND 62913FAJ1 555 750,000 PRN Sole 750,000 Providence Service 6.5% CVBOND 743815AB8 584 1,000,000 PRN Sole 1,000,000 due 5/ Richardson Electronics CVBOND 763165AD9 1,069 1,425,000 PRN Sole 1,425,000 7 3/4% Sonic Automotive 5.25% CVBOND 83545GAE2 965 1,000,000 PRN Sole 1,000,000 Standard Motor Products CVBOND 853666AB1 889 1,000,000 PRN Sole 1,000,000 6.75% Carriage Service Cap CVPFD 14444t309 939 30,125 SH Sole 30,125 Continental Air 6% CVPFD 210796306 776 30,000 SH Sole 30,000 11/15/30 Crown Castle Int Pfd CVPFD 228227401 1,007 23,700 SH Sole 23,700 6.25% due Felcor Lodging CVPFD 31430f200 590 48,200 SH Sole 48,200 Newell Rubbermaid QUIPS CVPFD 651195307 1,165 30,200 SH Sole 30,200 Quadramed Corp 5.5% CVPFD 74730W408 1,072 55,000 SH Sole 55,000 United Rentals 6.5% CVPFD 91136h306 620 28,166 SH Sole 28,166 8/1/28
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