-----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, IQeNzSJ8r1bgZyZc9ledeJwZ0b3fbp2gCXd+riZSHwzgIqoONXnRsLYZJr8JzVed hqTioFA5ZqcmLh5yFKaqcA== 0000935836-09-000068.txt : 20090128 0000935836-09-000068.hdr.sgml : 20090128 20090127194434 ACCESSION NUMBER: 0000935836-09-000068 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081231 FILED AS OF DATE: 20090128 DATE AS OF CHANGE: 20090127 EFFECTIVENESS DATE: 20090128 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: 09549430 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 falcon13f4th08.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: December 31, 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: William Ellison Grayson Title: President Phone: 415-782-9600 Signature, Place and Date of Signing: William Ellison Grayson San Francisco, CA January 23, 2009 [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: 104 Form 13F Information Table Value Total: $ 57,273 (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. OTHER VOTING AUTH OF CLASS DISC. MGR SOLE AAR Corp. COM 000361105 516 28,023 SH Sole 28,023 ADC Telecommunications, Inc. COM 000886309 220 40,301 SH Sole 40,301 Advanced Analogic Technologies COM 00752j108 182 60,230 SH Sole 60,230 Affiliated Computer Services, COM 008190100 712 15,499 SH Sole 15,499 Alliance Data Systems COM 018581108 1,079 23,188 SH Sole 23,188 Apollo Group Inc. COM 037604105 1,556 20,310 SH Sole 20,310 Apple Inc COM 037833100 269 3,150 SH Sole 3,150 Argon ST INC COM 040149106 257 13,628 SH Sole 13,628 Barrick Gold Corp COM 067901108 922 25,068 SH Sole 25,068 CBS Corp COM 124857202 285 34,830 SH Sole 34,830 Cephalon Inc COM 156708109 754 9,790 SH Sole 9,790 Chicago Bridge & Iron-NY SHR COM 167250109 858 85,378 SH Sole 85,378 China Direct Industries Inc. COM 169384203 83 57,401 SH Sole 57,401 China Finance Online Co-ADR COM 169379104 96 13,664 SH Sole 13,664 China Mobil HK LTD COM 16941m109 336 6,600 SH Sole 6,600 China.com Corporation COM g2022L106 82 71,332 SH Sole 71,332 City Telecom (HK) Ltd ADR COM 178677209 187 70,544 SH Sole 70,544 Cogo Group Inc. COM 192448108 285 58,640 SH Sole 58,640 Crown Holdings Inc. COM 228368106 890 46,331 SH Sole 46,331 Cybersource Corp. COM 23251j106 1,116 93,043 SH Sole 93,043 Devry, Inc. COM 251893103 1,172 20,418 SH Sole 20,418 Digital River Inc COM 25388b104 332 13,383 SH Sole 13,383 Dollar Tree COM 256746108 690 16,560 SH Sole 16,560 Durect Corp. COM 266605104 1,020 300,896 SH Sole 300,896 EMC Corp COM 268648102 360 34,338 SH Sole 34,338 Electronic Arts COM 285512109 272 16,970 SH Sole 16,970 Enersys COM 29275y102 360 32,747 SH Sole 32,747 Equinix Inc COM 29444u502 548 10,311 SH Sole 10,311 Express Scripts, Inc. COM 302182100 706 12,840 SH Sole 12,840 Family Dollar Store, Inc. COM 307000109 748 28,700 SH Sole 28,700 Flir Systems COM 302445101 418 13,627 SH Sole 13,627 Fluor Corp. COM 343412102 838 18,680 SH Sole 18,680 Genentech, Inc. COM 368710406 666 8,030 SH Sole 8,030 Gilead COM 375558103 1,092 21,346 SH Sole 21,346 Google Inc. Class A COM 38259p508 523 1,700 SH Sole 1,700 Grand Canyon Education, Inc. COM 38526m106 798 42,510 SH Sole 42,510 Harmonic, Inc. COM 413160102 267 47,593 SH Sole 47,593 Hub Group, Inc. COM 443320106 301 11,346 SH Sole 11,346 ITT Educational Services, Inc. COM 45068b109 791 8,330 SH Sole 8,330 Icon PLC - Sponsored ADR COM 45103t107 855 43,420 SH Sole 43,420 Infinera Corp COM 45667g103 426 47,492 SH Sole 47,492 Informatica Corp. COM 45666q102 315 22,956 SH Sole 22,956 Infospace.com COM 45678t201 221 29,240 SH Sole 29,240 Interdigital Inc. COM 45867G101 572 20,817 SH Sole 20,817 Intermap Technologies Corp COM 458977204 132 83,774 SH Sole 83,774 Itron COM 465741106 549 8,610 SH Sole 8,610 JB Hunt Transportation COM 445658107 373 14,204 SH Sole 14,204 JP Morgan Chase & Co. COM 46625h100 315 10,000 SH Sole 10,000 Jacobs Engineering Group Inc. COM 469814107 956 19,880 SH Sole 19,880 Joy Global Inc COM 481165108 725 31,660 SH Sole 31,660 Landstar COM 515098101 658 17,112 SH Sole 17,112 Marchex Inc. COM 56624r108 227 38,961 SH Sole 38,961 Marvell Technology COM g5876h105 271 40,668 SH Sole 40,668 Massey Energy COM 576206106 540 39,170 SH Sole 39,170 MetroPCS Communications, Inc. COM 591708102 583 39,277 SH Sole 39,277 Mpower Communications COM 609839105 140 11,107 SH Sole 11,107 Netease.com Inc ADR COM 64110w102 262 11,850 SH Sole 11,850 Network Equip. Tech., Inc. COM 641208103 409 141,980 SH Sole 141,980 Neutral Tandem, Inc. COM 64128B108 1,224 75,434 SH Sole 75,434 Newmont Mining Corp COM 651639106 407 10,000 SH Sole 10,000 Nortel Networks Corp COM 656568508 109 420,649 SH Sole 420,649 Otelco Inc. COM 688823202 965 127,474 SH Sole 127,474 Pactiv Corporation COM 695257105 598 24,040 SH Sole 24,040 Panera Bread Company COM 69840w108 758 14,513 SH Sole 14,513 Perfect World Co COM 71372u104 378 21,901 SH Sole 21,901 Qualcomm Inc. COM 747525103 818 22,833 SH Sole 22,833 Regional Bank Holder's Trust COM 75902e100 726 9,600 SH Sole 9,600 Renasola Ltd COM 75971t103 123 27,838 SH Sole 27,838 Research in Motion Ltd. COM 760975102 479 11,800 SH Sole 11,800 Rightnow Technologies, Inc. COM 76657r106 126 16,243 SH Sole 16,243 SPDR Homebuilders ET COM 78464a888 459 38,330 SH Sole 38,330 Smith Micro Software COM 832154108 660 118,633 SH Sole 118,633 Taleo Corp - Class A COM 87424n104 323 41,270 SH Sole 41,270 Terex Corp. COM 880779103 455 26,250 SH Sole 26,250 TicketMaster Entertainment Inc COM 88633p302 142 22,131 SH Sole 22,131 Transocean Inc COM h8817h100 433 9,154 SH Sole 9,154 UAL Corporation COM 902549807 453 41,110 SH Sole 41,110 United Online Inc COM 911268100 186 30,597 SH Sole 30,597 Universal Technical Institute COM 913915104 219 12,775 SH Sole 12,775 Urstadt Biddle Properties COM 917286205 767 48,140 SH Sole 48,140 Xinhua Finance Media Ltd - ADR COM 983982109 135 218,538 SH Sole 218,538 Bank of America 8.2% PRD 060505765 304 15,000 SH Sole 15,000 JPMorgan Chase 8.625% PRD 46625H621 378 15,000 SH Sole 15,000 Lasalle Hotel Properties Prefe PRD 517942504 642 50,000 SH Sole 50,000 Agere Systems 12/15/09 6.50% CVBOND 00845VAA8 981 1,000,000 PRN Sole 1,000,000 Charles River 2.875% 6/15/34 CVBOND 159852AB8 670 750,000 PRN Sole 750,000 Curagen Corp 4% due 2/15/2011 CVBOND 23126RAE1 877 1,034,000 PRN Sole 1,034,000 Digital River 1.25% due 1/1/24 CVBOND 25388BAB0 997 1,000,000 PRN Sole 1,000,000 Euronet WorldWide 1.625% CVBOND 298736AD1 443 500,000 PRN Sole 500,000 Hercules II 6/30/29 6.5% CVBOND 427056BC9 817 1,769,000 PRN Sole 1,769,000 NII Holdings 2.75% CVBOND 62913FAF9 433 500,000 PRN Sole 500,000 NII Holdings 3.125% CVBOND 62913FAJ1 455 750,000 PRN Sole 750,000 Providence Service 6.5% due 5/ CVBOND 743815AB8 168 1,000,000 PRN Sole 1,000,000 Richardson Electronics 7 3/4% CVBOND 763165AD9 1,140 1,425,000 PRN Sole 1,425,000 Sonic Automotive 5.25% CVBOND 83545GAE2 850 1,000,000 PRN Sole 1,000,000 Standard Motor Products 6.75% CVBOND 853666AB1 906 1,000,000 PRN Sole 1,000,000 AMG Capital 5.15% CVPFD 00170F209 472 30,000 SH Sole 30,000 Carriage Service Cap CVPFD 14444T309 856 30,125 SH Sole 30,125 Continental Air 6% 11/15/30 CVPFD 210796306 600 30,000 SH Sole 30,000 Crown Castle Int Pfd 6.25% due CVPFD 228227401 849 23,700 SH Sole 23,700 Felcor Lodging CVPFD 21430F200 325 48,200 SH Sole 48,200 Newell Rubbermaid QUIPS CVPFD 651195307 785 30,200 SH Sole 30,200 Quadramed Corp 5.5% CVPFD 74730W408 589 55,000 SH Sole 55,000 United Rentals 6.5% 8/1/28 CVPFD 91136H306 674 43,166 SH Sole 43,166
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