-----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, PQP7vm7n0QsshT1sbwWCVcpmiSyDsRWWQs1iE6WgBu2IGmO335TmnY/kR44kv76C sYbCqwiuKXyjROPum//F4w== 0001140361-10-002696.txt : 20100126 0001140361-10-002696.hdr.sgml : 20100126 20100126170724 ACCESSION NUMBER: 0001140361-10-002696 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100126 DATE AS OF CHANGE: 20100126 EFFECTIVENESS DATE: 20100126 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: 10548320 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 form13fhr.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: 12/31/2009 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 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. Persons Signing this Report on Behalf of Reporting Manager: Name: Michael J. Mahoney Title: Senior Managing Director Phone: 415-782-9600 Signature, Place, and Date of Signing: /s/ Michael J. Mahoney San Francisco, CA 94111 1/22/2010 - --------------------------------- --------------------------------- ---------- [Signature] [City, State] [Date] 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).) List of Other Managers Reporting for this Manager: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 113 Form 13F Information Table Value Total: $ 96,590 -------------- (In Thousands) List of Other Included Managers: Provide a numbered list of the name(s) and 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
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------ -------------- --------- -------- ------------------ ---------- -------- --------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------ -------------- --------- -------- --------- --- ---- ---------- -------- --------- ------ ---- A.H. Belo Corporation - Class COM 001282102 1,004 174,380 SH SOLE 174,380 0 0 Aaron's, Inc. COM 002535201 312 11,243 SH SOLE 11,243 0 0 Advanced Energy COM 007973100 184 12,200 SH SOLE 12,200 0 0 Aegean Marine Petrol COM y0017s102 1,653 60,164 SH SOLE 60,164 0 0 Affiliated Managers Group COM 008252108 1,424 21,148 SH SOLE 21,148 0 0 Airmedia Group Inc - American COM 009411109 307 40,900 SH SOLE 40,900 0 0 Alliance Data Systems Coporati COM 018581108 1,883 29,151 SH SOLE 29,151 0 0 American Italian Pasta Company COM 027070101 365 10,496 SH SOLE 10,496 0 0 Argon ST INC COM 040149106 301 13,883 SH SOLE 13,883 0 0 Bank of America Corp. COM 060505104 959 63,709 SH SOLE 63,709 0 0 Bare Escentuals, Inc. COM 067511105 1,061 86,789 SH SOLE 86,789 0 0 Barrick Gold Corp COM 067901108 722 18,341 SH SOLE 18,341 0 0 CBS Corp COM 124857202 1,809 128,780 SH SOLE 128,780 0 0 Carrizo Oil & Gas Inc. COM 144577103 907 34,198 SH SOLE 34,198 0 0 Catalyst Health Solutions Inc. COM 14888b103 465 12,757 SH SOLE 12,757 0 0 Chicago Bridge & Iron-NY SHR COM 167250109 287 14,187 SH SOLE 14,187 0 0 China Finance Online Co-ADR COM 169379104 173 23,708 SH SOLE 23,708 0 0 China Security & Surveillance COM 16942J105 357 46,700 SH SOLE 46,700 0 0 Chordiant Software COM 170404305 239 86,700 SH SOLE 86,700 0 0 Cinemark Holdings Incorporated COM 17243v102 358 24,900 SH SOLE 24,900 0 0 City Telecom (HK) Ltd ADR COM 178677209 431 44,417 SH SOLE 44,417 0 0 Cogo Group Inc. COM 192448108 2,002 271,663 SH SOLE 271,663 0 0 Conceptus Inc COM 206016107 204 10,897 SH SOLE 10,897 0 0 Concho Resources Inc COM 20605p101 362 8,061 SH SOLE 8,061 0 0 Copart Inc. COM 217204106 389 10,616 SH SOLE 10,616 0 0 Cybersource Corp. COM 23251j106 507 25,199 SH SOLE 25,199 0 0 Cypress Semiconductor Corp. COM 232806109 1,388 131,467 SH SOLE 131,467 0 0 DG Fastchannel, Inc COM 23326r109 2,079 74,422 SH SOLE 74,422 0 0 Dell Computer, Corp. COM 24702r101 250 17,400 SH SOLE 17,400 0 0 Diamond Hill Investment Group, COM 25264R207 2,419 37,663 SH SOLE 37,663 0 0 Diamond Offshore Drilling COM 25271c102 686 6,974 SH SOLE 6,974 0 0 Durect Corp. COM 266605104 626 253,312 SH SOLE 253,312 0 0 Equinix Inc COM 29444u502 700 6,594 SH SOLE 6,594 0 0 Finisar Corp. COM 31787A507 343 38,500 SH SOLE 38,500 0 0 Gilead Sciences, Inc. COM 375558103 937 21,655 SH SOLE 21,655 0 0 Google Inc. Class A COM 38259p508 1,705 2,750 SH SOLE 2,750 0 0 Harmonic, Inc. COM 413160102 288 45,538 SH SOLE 45,538 0 0 Hub Group, Inc. COM 443320106 323 12,068 SH SOLE 12,068 0 0 Huron Consulting Group COM 447462102 862 37,430 SH SOLE 37,430 0 0 Icon PLC - Sponsored ADR COM 45103t107 522 24,045 SH SOLE 24,045 0 0 Infinera Corp COM 45667g103 486 54,841 SH SOLE 54,841 0 0 Interactive Intelligence, Inc. COM 45839M103 2,659 144,140 SH SOLE 144,140 0 0 Intermap Technologies Corp COM 458977204 153 83,774 SH SOLE 83,774 0 0 Itron COM 465741106 1,503 22,240 SH SOLE 22,240 0 0 Kulicke & Soffa Inds. Inc. COM 501242101 259 48,100 SH SOLE 48,100 0 0 Landstar COM 515098101 921 23,765 SH SOLE 23,765 0 0 Life Technologies Corporation COM 53217v109 1,840 35,228 SH SOLE 35,228 0 0 Manitowoc Co., Inc. COM 563571108 939 94,152 SH SOLE 94,152 0 0 Marvell Technology COM g5876h105 855 41,211 SH SOLE 41,211 0 0 Merit Medical Systems Incorpor COM 589889104 216 11,220 SH SOLE 11,220 0 0 Millipore COM 601073109 727 10,055 SH SOLE 10,055 0 0 Monolithic Power Systems, Inc COM 609839105 271 11,298 SH SOLE 11,298 0 0 Monster Worldwide Inc COM 611742107 799 45,900 SH SOLE 45,900 0 0 Nabors Industries Inc. COM g6359f103 608 27,781 SH SOLE 27,781 0 0 National Cinemedia, Inc. COM 635309107 325 19,600 SH SOLE 19,600 0 0 Network Appliance Corp. COM 64110d104 1,166 33,921 SH SOLE 33,921 0 0 Neutral Tandem, Inc. COM 64128B108 425 18,666 SH SOLE 18,666 0 0 Newmont Mining Corp COM 651639106 1,342 28,362 SH SOLE 28,362 0 0 Newport Corp COM 651824104 164 17,863 SH SOLE 17,863 0 0 Novellus COM 670008101 1,331 57,038 SH SOLE 57,038 0 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------ -------------- --------- -------- ------------------ ---------- -------- --------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------ -------------- --------- -------- --------- --- ---- ---------- -------- --------- ------ ---- Nuance Communications, Inc COM 67020y100 1,150 74,057 SH SOLE 74,057 0 0 Oracle Corp. COM 68389X105 331 13,500 SH SOLE 13,500 0 0 Otelco Inc. COM 688823202 1,493 99,886 SH SOLE 99,886 0 0 Panera Bread Company COM 69840w108 1,725 25,763 SH SOLE 25,763 0 0 Pharmaceutical Product Develop COM 717124101 390 16,631 SH SOLE 16,631 0 0 Plantronics Inc. COM 727493108 1,086 41,810 SH SOLE 41,810 0 0 Qualcomm Inc. COM 747525103 1,367 29,546 SH SOLE 29,546 0 0 Rightnow Technologies, Inc. COM 76657r106 181 10,400 SH SOLE 10,400 0 0 Salem Communications COM 794093104 776 129,600 SH SOLE 129,600 0 0 Satyam Computer Serv COM 804098101 350 75,960 SH SOLE 75,960 0 0 Smith Micro Software, Inc. COM 832154108 786 85,949 SH SOLE 85,949 0 0 Spartech Corp. COM 847220209 1,240 120,853 SH SOLE 120,853 0 0 Stanley Incorporated COM 854532108 203 7,412 SH SOLE 7,412 0 0 TNS, Inc COM 872960109 2,005 78,041 SH SOLE 78,041 0 0 Taleo Corp - Class A COM 87424n104 1,619 68,829 SH SOLE 68,829 0 0 Telvent Git, S.A. COM E90215109 2,710 69,518 SH SOLE 69,518 0 0 Teradyne Inc. COM 880770102 1,538 143,368 SH SOLE 143,368 0 0 TicketMaster Entertainment Inc COM 88633p302 374 30,579 SH SOLE 30,579 0 0 Transocean Ltd. COM h8817h100 1,146 13,838 SH SOLE 13,838 0 0 True Religion Apparel Incorpor COM 89784n104 228 12,310 SH SOLE 12,310 0 0 UTI Worldwide COM G87210103 398 27,826 SH SOLE 27,826 0 0 United Online Inc COM 911268100 235 32,675 SH SOLE 32,675 0 0 Urstadt Biddle Properties COM 917286205 735 48,140 SH SOLE 48,140 0 0 Verisk Analytics Incorporated COM 92345y106 1,338 44,200 SH SOLE 44,200 0 0 Visa Inc - Class A Shares COM 92826c839 1,514 17,309 SH SOLE 17,309 0 0 Web.com Inc. COM 94733a104 731 111,948 SH SOLE 111,948 0 0 Wet Seal COM 961840105 710 205,913 SH SOLE 205,913 0 0 Xinhua Sports & Entertainment COM 983982109 249 293,070 SH SOLE 293,070 0 0 Bank of America 8.2% PRD 060505765 363 15,000 SH SOLE 15,000 0 0 JPMorgan Chase 8.625% PRD 46625H621 424 15,000 SH SOLE 15,000 0 0 Lasalle Hotel Properties Prefe PRD 517942504 1,153 50,000 SH SOLE 50,000 0 0 Alliance Data Systems 1.75% du CVBOND 018581AD0 912 895,000 PRN SOLE 895,000 0 0 Carrizo Oil & Gas 4.375% due 6 CVBOND 144577AA1 429 500,000 PRN SOLE 500,000 0 0 Charles River 2.875% 6/15/34 CVBOND 159852AB8 736 750,000 PRN SOLE 750,000 0 0 Conceptus Inc. 2.15% due 2/15/ CVBOND 206016AA5 937 1,000,000 PRN SOLE 1,000,000 0 0 Hercules II 6/30/29 6.5% CVBOND 427056BC9 1,340 1,769,000 PRN SOLE 1,769,000 0 0 Hutchinson Tech 2.25% due 3/15 CVBOND 448407AE6 497 500,000 PRN SOLE 500,000 0 0 Level 3 Comm Inc. 6% due 3/15/ CVBOND 52729NAS9 200 200,000 PRN SOLE 200,000 0 0 Medical Properties Trust 6.125 CVBOND 55342NAE0 971 1,000,000 PRN SOLE 1,000,000 0 0 NII Holdings 2.75% CVBOND 62913FAF9 498 500,000 PRN SOLE 500,000 0 0 NII Holdings 3.125% CVBOND 62913FAJ1 688 750,000 PRN SOLE 750,000 0 0 Providence Service 6.5% due 5/ CVBOND 743815AB8 840 1,000,000 PRN SOLE 1,000,000 0 0 Radisys Corp 2.75% due 2/15/20 CVBOND 750459AE9 850 924,000 PRN SOLE 924,000 0 0 Richardson Electronics 7 3/4% CVBOND 763165AD9 1,368 1,425,000 PRN SOLE 1,425,000 0 0 Savvis Inc. 3% due 5/15/2012 CVBOND 805423AA8 1,137 1,250,000 PRN SOLE 1,250,000 0 0 United Rentals 1.875% due 10/1 CVBOND 911365AH7 486 500,000 PRN SOLE 500,000 0 0 AMG Capital 5.15% CVPFD 00170F209 960 30,000 SH SOLE 30,000 0 0 Carriage Service Cap CVPFD 14444t309 1,243 30,125 SH SOLE 30,125 0 0 Continental Air 6% 11/15/30 CVPFD 210796306 716 30,000 SH SOLE 30,000 0 0 Crown Castle Int Pfd 6.25% due CVPFD 228227401 1,370 23,700 SH SOLE 23,700 0 0 Newell Rubbermaid QUIPS CVPFD 651195307 1,057 30,200 SH SOLE 30,200 0 0 Quadramed Corp 5.5% CVPFD 74730W408 744 55,000 SH SOLE 55,000 0 0 United Rentals 6.5% 8/1/28 CVPFD 91136h306 1,273 43,166 SH SOLE 43,166 0 0
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