0001140361-11-022820.txt : 20110421
0001140361-11-022820.hdr.sgml : 20110421
20110421154316
ACCESSION NUMBER: 0001140361-11-022820
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110331
FILED AS OF DATE: 20110421
DATE AS OF CHANGE: 20110421
EFFECTIVENESS DATE: 20110421
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: 11773445
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: 3/31/2011
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: 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 4/20/2011
--------------------------------- --------------------------------- ----------
[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: 117
Form 13F Information Table Value Total: $ 104,880
--------------
(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
------------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ----
Advisory Board Company COM 00762w107 1280 24853 SH SOLE 24853 0 0
Alliance Data Systems Corporat COM 018581108 1670 19447 SH SOLE 19447 0 0
American Axle & Mfg Holdings, COM 024061103 1040 82584 SH SOLE 82584 0 0
Atmel Corp. COM 049513104 158 11600 SH SOLE 11600 0 0
B/E Aerospace, Inc. COM 073302101 1009 28400 SH SOLE 28400 0 0
Baidu.Com COM 056752108 946 6861 SH SOLE 6861 0 0
Berry Petroleum Co. COM 085789105 471 9345 SH SOLE 9345 0 0
Brunswick Corporation COM 117043109 519 20400 SH SOLE 20400 0 0
CBS Corp COM 124857202 1890 75470 SH SOLE 75470 0 0
Carpenter Technology COM 144285103 756 17700 SH SOLE 17700 0 0
Carrizo Oil & Gas Inc. COM 144577103 960 25990 SH SOLE 25990 0 0
Catalyst Health Solutions Inc. COM 14888b103 359 6421 SH SOLE 6421 0 0
Cbeyond, Inc. COM 149847105 245 20957 SH SOLE 20957 0 0
Chicago Bridge & Iron-NY SHR COM 167250109 779 19169 SH SOLE 19169 0 0
Cinemark Holdings Incorporated COM 17243v102 365 18871 SH SOLE 18871 0 0
City Telecom (HK) Ltd ADR COM 178677209 605 40004 SH SOLE 40004 0 0
Clearwire Corporation COM 18538q105 97 17300 SH SOLE 17300 0 0
Cogo Group Inc. COM 192448108 527 65266 SH SOLE 65266 0 0
Diamond Hill Investment Group, COM 25264R207 2407 30093 SH SOLE 30093 0 0
Durect Corp. COM 266605104 709 197054 SH SOLE 197054 0 0
Einstein Noah Restaurant Grp COM 28257u104 2063 126690 SH SOLE 126690 0 0
Equinix Inc COM 29444u502 924 10142 SH SOLE 10142 0 0
Finisar Corp. COM 31787A507 699 28395 SH SOLE 28395 0 0
General Cable Corp. COM 369300108 1170 27015 SH SOLE 27015 0 0
Global Traffic Network Inc. COM 37947B103 1708 136972 SH SOLE 136972 0 0
Goldcorp Inc. COM 380956409 1175 23600 SH SOLE 23600 0 0
Google Inc. Class A COM 38259p508 624 1064 SH SOLE 1064 0 0
Hanger Orthopedic COM 41043F208 472 18139 SH SOLE 18139 0 0
Himax Technologies Incorporate COM y3197v101 150 63100 SH SOLE 63100 0 0
Hub Group, Inc. COM 443320106 509 14067 SH SOLE 14067 0 0
Icon PLC - Sponsored ADR COM 45103t107 363 16802 SH SOLE 16802 0 0
Incyte Genomics COM 45337C102 207 13074 SH SOLE 13074 0 0
Infinera Corp COM 45667g103 280 33373 SH SOLE 33373 0 0
Integrated Device Technology, COM 458118106 151 20500 SH SOLE 20500 0 0
Interactive Intelligence, Inc. COM 45839M103 1534 39625 SH SOLE 39625 0 0
Intuigive Surgical COM 46120e602 1143 3428 SH SOLE 3428 0 0
Ixia Communications COM 45071r109 331 20854 SH SOLE 20854 0 0
JDS Uniphase COM 46612J507 252 12070 SH SOLE 12070 0 0
Jacobs Engineering Group Inc. COM 469814107 908 17660 SH SOLE 17660 0 0
Jones Lang LaSalle Incorporate COM 48020q107 1648 16520 SH SOLE 16520 0 0
Kelly Services Incorporated COM 488152208 1029 47383 SH SOLE 47383 0 0
Kenexa Corp COM 488879107 1831 66379 SH SOLE 66379 0 0
Kulicke & Soffa Inds. Inc. COM 501242101 160 17143 SH SOLE 17143 0 0
LSB Industries, Inc. COM 502160104 566 14290 SH SOLE 14290 0 0
Las Vegas Sands COM 517834107 1570 37191 SH SOLE 37191 0 0
Liveperson Inc COM 538146101 1020 80732 SH SOLE 80732 0 0
MDC Partners Incorporated COM 552697104 2375 141646 SH SOLE 141646 0 0
MICROS Systems, Inc. COM 594901100 1242 25120 SH SOLE 25120 0 0
MSCI Incorporated COM 55354g100 996 27039 SH SOLE 27039 0 0
Magma Design Automation COM 559181102 3046 446618 SH SOLE 446618 0 0
Manitowoc Co., Inc. COM 563571108 964 44058 SH SOLE 44058 0 0
Manpower Group COM 56418h100 990 15741 SH SOLE 15741 0 0
Marchex Inc. COM 56624r108 139 17670 SH SOLE 17670 0 0
Market Vectors ETF Trust Gold COM 57060u589 1434 36574 SH SOLE 36574 0 0
Massey Energy COM 576206106 1283 18762 SH SOLE 18762 0 0
Medassets Incorporated COM 584045108 406 26630 SH SOLE 26630 0 0
Medical Properties Trust Incor COM 58463j304 663 57300 SH SOLE 57300 0 0
Micron Technology Inc. COM 595112103 413 36000 SH SOLE 36000 0 0
Microsoft Corp. COM 594918104 490 19300 SH SOLE 19300 0 0
Mindspeed Technologies, Inc. COM 602682205 360 42500 SH SOLE 42500 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
------------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ----
Molycorp Incorporated COM 608753109 516 8600 SH SOLE 8600 0 0
Mosaic Company COM 61945a107 767 9743 SH SOLE 9743 0 0
NII Holdings, Inc. - Class B COM 62913f201 1738 41700 SH SOLE 41700 0 0
Nabors Industries Inc. COM g6359f103 1005 33068 SH SOLE 33068 0 0
National-Oilwell Varco Inc. COM 637071101 737 9300 SH SOLE 9300 0 0
NeoPhotonics Corporation COM 64051t100 340 30100 SH SOLE 30100 0 0
Newmont Mining Corp COM 651639106 546 10000 SH SOLE 10000 0 0
Newport Corp COM 651824104 350 19594 SH SOLE 19594 0 0
Oclaro Inc. COM 67555N206 277 24072 SH SOLE 24072 0 0
Orthofix International NV COM n6748l102 438 13494 SH SOLE 13494 0 0
Otelco Inc. COM 688823202 1834 94639 SH SOLE 94639 0 0
PC Tel Inc COM 69325Q105 356 46400 SH SOLE 46400 0 0
Panera Bread Company COM 69840w108 1200 9445 SH SOLE 9445 0 0
Patriot Coal Corporation COM 70336t104 894 34600 SH SOLE 34600 0 0
Plantronics Inc. COM 727493108 1311 35801 SH SOLE 35801 0 0
Precision Castparts COM 740189105 1316 8940 SH SOLE 8940 0 0
Premiere Global Services Incor COM 740585104 402 52791 SH SOLE 52791 0 0
Proshares Ultrashort Barclays COM 74347r297 326 8700 SH SOLE 8700 0 0
Quality Systems Inc. COM 747582104 1100 13200 SH SOLE 13200 0 0
Radiant Systems COM 75025n102 2268 128288 SH SOLE 128288 0 0
Rightnow Technologies, Inc. COM 76657r106 475 15160 SH SOLE 15160 0 0
SPS Commerce Incorporated COM 78463m107 1939 125032 SH SOLE 125032 0 0
Salem Communications COM 794093104 83 22223 SH SOLE 22223 0 0
Smith Micro Software, Inc. COM 832154108 353 37682 SH SOLE 37682 0 0
Sprint Nextel Corp COM 852061100 324 69800 SH SOLE 69800 0 0
Sunopta Incorporated COM 8676EP108 403 54203 SH SOLE 54203 0 0
Synopsys Inc. COM 871607107 949 34328 SH SOLE 34328 0 0
Taleo Corp - Class A COM 87424n104 2107 59114 SH SOLE 59114 0 0
Tenneco Incorporated COM 880349105 1108 26098 SH SOLE 26098 0 0
Teradyne Inc. COM 880770102 1071 60128 SH SOLE 60128 0 0
The GEO Group COM 36159r103 1633 63675 SH SOLE 63675 0 0
UTI Worldwide COM G87210103 451 22346 SH SOLE 22346 0 0
UTStarcom COM 918076100 374 159102 SH SOLE 159102 0 0
United Rentals Inc. COM 911363109 1028 30892 SH SOLE 30892 0 0
Urstadt Biddle Properties COM 917286205 916 48140 SH SOLE 48140 0 0
Wabash National Corp. COM 929566107 1049 90582 SH SOLE 90582 0 0
Wet Seal COM 961840105 498 116257 SH SOLE 116257 0 0
Bank of America 8.2% PRD 060505765 394 15000 SH SOLE 15000 0 0
JPMorgan Chase 8.625% PRD 46625H621 418 15000 SH SOLE 15000 0 0
Lasalle Hotel Properties Prefe PRD 517942504 1260 50000 SH SOLE 50000 0 0
Revlon Inc. 12.75% PRD 761525708 505 100000 SH SOLE 100000 0 0
Alliance Data Systems 1.75% du CVBOND 018581AD0 1077 895000 PRN SOLE 895000 0 0
Carrizo Oil & Gas 4.375% due 6 CVBOND 144577AA1 84 84000 PRN SOLE 84000 0 0
Charles River 2.875% 6/15/34 CVBOND 159852AB8 816 750000 PRN SOLE 750000 0 0
Charming Shoppes 1.125% due 5/ CVBOND 161133AE3 862 1000000 PRN SOLE 1000000 0 0
Conceptus Inc. 2.25% due 2/15/ CVBOND 206016AA5 990 1000000 PRN SOLE 1000000 0 0
Gilead Sciences 0.5% due 5/1/2 CVBOND 375558AG8 545 500000 PRN SOLE 500000 0 0
Hercules II 6/30/29 6.5% CVBOND 427056BC9 1395 1769000 PRN SOLE 1769000 0 0
NII Holdings 3.125% CVBOND 62913FAJ1 754 750000 PRN SOLE 750000 0 0
Providence Service 6.5% due 5/ CVBOND 743815AB8 975 1000000 PRN SOLE 1000000 0 0
Radisys Corp 2.75% due 2/15/20 CVBOND 750459AE9 908 924000 PRN SOLE 924000 0 0
AMG Capital 5.15% CVPFD 00170F209 1316 30000 SH SOLE 30000 0 0
Carriage Service Cap CVPFD 14444t309 1164 35125 SH SOLE 35125 0 0
Continental Air 6% 11/15/30 CVPFD 210796306 1131 30000 SH SOLE 30000 0 0
Crown Castle Int Pfd 6.25% due CVPFD 228227401 952 15700 SH SOLE 15700 0 0
Newell Rubbermaid QUIPS CVPFD 651195307 1446 30200 SH SOLE 30200 0 0
United Rentals 6.5% 8/1/28 CVPFD 91136h306 1330 28166 SH SOLE 28166 0 0