0001140361-11-038477.txt : 20110729
0001140361-11-038477.hdr.sgml : 20110729
20110729135021
ACCESSION NUMBER: 0001140361-11-038477
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110630
FILED AS OF DATE: 20110729
DATE AS OF CHANGE: 20110729
EFFECTIVENESS DATE: 20110729
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: 11996769
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: 6/30/2011
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 7/29/2011
--------------------------------- --------------------------------- ----------
[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: 113
Form 13F Information Table Value Total: $ 102,630
--------------
(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
------------------------------ -------------- --------- -------- --------- --- ---- ---------- -------- --------- ------ ----
AMN Healthcare Services, Inc. COM 001744101 299.00 35,996 SH SOLE 35,996 0 0
Actuate Software Corporation COM 00508b102 816.00 139,465 SH SOLE 139,465 0 0
Advisory Board Company COM 00762w107 1,421.00 24,555 SH SOLE 24,555 0 0
Alcatel-Lucent Sponsored Adr COM 013904305 573.00 99,320 SH SOLE 99,320 0 0
Alliance Data Systems Corporat COM 018581108 1,323.00 14,059 SH SOLE 14,059 0 0
American Axle & Mfg Holdings, COM 024061103 949.00 83,368 SH SOLE 83,368 0 0
Atmel Corp. COM 049513104 217.00 15,424 SH SOLE 15,424 0 0
B/E Aerospace, Inc. COM 073302101 1,052.00 25,766 SH SOLE 25,766 0 0
Baidu.Com COM 056752108 668.00 4,770 SH SOLE 4,770 0 0
Berry Petroleum Co. COM 085789105 496.00 9,345 SH SOLE 9,345 0 0
Boeing Co. COM 097023105 1,035.00 13,997 SH SOLE 13,997 0 0
Brocade Comm Sys COM 111621306 224.00 34,700 SH SOLE 34,700 0 0
CBS Corp COM 124857202 1,586.00 55,667 SH SOLE 55,667 0 0
Cadence Design Systems, Inc. COM 127387108 985.00 93,260 SH SOLE 93,260 0 0
Carpenter Technology COM 144285103 1,066.00 18,484 SH SOLE 18,484 0 0
Carrizo Oil & Gas Inc. COM 144577103 1,418.00 33,960 SH SOLE 33,960 0 0
Catalyst Health Solutions Inc. COM 14888b103 358.00 6,421 SH SOLE 6,421 0 0
Chicago Bridge & Iron-NY SHR COM 167250109 532.00 13,687 SH SOLE 13,687 0 0
Cinemark Holdings Incorporated COM 17243v102 383.00 18,484 SH SOLE 18,484 0 0
City Telecom (HK) Ltd ADR COM 178677209 477.00 40,765 SH SOLE 40,765 0 0
Cogo Group Inc. COM 192448108 356.00 66,646 SH SOLE 66,646 0 0
Crocs Inc COM 227046109 2,143.00 83,240 SH SOLE 83,240 0 0
Diamond Hill Investment Group, COM 25264R207 2,427.00 29,861 SH SOLE 29,861 0 0
Durect Corp. COM 266605104 432.00 212,637 SH SOLE 212,637 0 0
Dusa Pharm. Inc. COM 266898105 336.00 53,960 SH SOLE 53,960 0 0
Einstein Noah Restaurant Grp COM 28257u104 1,699.00 113,469 SH SOLE 113,469 0 0
Equinix Inc COM 29444u502 1,013.00 10,023 SH SOLE 10,023 0 0
Finisar Corp. COM 31787A507 329.00 18,270 SH SOLE 18,270 0 0
Focus Media Holdings COM 34415v109 317.00 10,200 SH SOLE 10,200 0 0
Forrester Research Incorporate COM 346563109 465.00 14,097 SH SOLE 14,097 0 0
General Cable Corp. COM 369300108 973.00 22,852 SH SOLE 22,852 0 0
Gilead Sciences, Inc. COM 375558103 1,218.00 29,417 SH SOLE 29,417 0 0
Global Traffic Network Inc. COM 37947B103 3,276.00 285,127 SH SOLE 285,127 0 0
Goldcorp Inc. COM 380956409 927.00 19,200 SH SOLE 19,200 0 0
Goodyear Tire & Rubber COM 382550101 535.00 31,930 SH SOLE 31,930 0 0
Hanger Orthopedic COM 41043F208 526.00 21,498 SH SOLE 21,498 0 0
Hot Topic Inc. COM 441339108 518.00 69,598 SH SOLE 69,598 0 0
Hub Group, Inc. COM 443320106 651.00 17,298 SH SOLE 17,298 0 0
Huron Consulting Group COM 447462102 2,037.00 67,443 SH SOLE 67,443 0 0
Icon PLC - Sponsored ADR COM 45103t107 396.00 16,802 SH SOLE 16,802 0 0
Incyte Genomics COM 45337C102 248.00 13,074 SH SOLE 13,074 0 0
Infinera Corp COM 45667g103 226.00 32,689 SH SOLE 32,689 0 0
Integrated Device Technology, COM 458118106 148.00 18,885 SH SOLE 18,885 0 0
Interactive Intelligence Group COM 45841v109 1,027.00 29,312 SH SOLE 29,312 0 0
Intuigive Surgical COM 46120e602 777.00 2,088 SH SOLE 2,088 0 0
Ixia Communications COM 45071r109 261.00 20,426 SH SOLE 20,426 0 0
JDS Uniphase COM 46612J507 197.00 11,798 SH SOLE 11,798 0 0
Jacobs Engineering Group Inc. COM 469814107 1,078.00 24,920 SH SOLE 24,920 0 0
Jones Lang LaSalle Incorporate COM 48020q107 1,282.00 13,596 SH SOLE 13,596 0 0
Kelly Services Incorporated COM 488152208 382.00 23,149 SH SOLE 23,149 0 0
Kenexa Corp COM 488879107 2,110.00 87,989 SH SOLE 87,989 0 0
Kulicke & Soffa Inds. Inc. COM 501242101 187.00 16,770 SH SOLE 16,770 0 0
LaSalle Hotel Properties COM 517942108 386.00 14,668 SH SOLE 14,668 0 0
Las Vegas Sands COM 517834107 1,174.00 27,816 SH SOLE 27,816 0 0
Liveperson Inc COM 538146101 837.00 59,180 SH SOLE 59,180 0 0
MDC Partners Incorporated COM 552697104 2,546.00 140,981 SH SOLE 140,981 0 0
MICROS Systems, Inc. COM 594901100 1,200.00 24,147 SH SOLE 24,147 0 0
MSCI Incorporated COM 55354g100 1,182.00 31,381 SH SOLE 31,381 0 0
Magma Design Automation COM 559181102 3,564.00 446,075 SH SOLE 446,075 0 0
Marchex Inc. COM 56624r108 154.00 17,308 SH SOLE 17,308 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
------------------------------ -------------- --------- -------- --------- --- ---- ---------- -------- --------- ------ ----
Market Vectors ETF Trust Gold COM 57060u589 765.00 22,199 SH SOLE 22,199 0 0
Mastercard Inc COM 57636q104 1,062.00 3,524 SH SOLE 3,524 0 0
Medical Properties Trust Incor COM 58463j304 659.00 57,300 SH SOLE 57,300 0 0
Microsoft Corp. COM 594918104 492.00 18,938 SH SOLE 18,938 0 0
Mindspeed Technologies, Inc. COM 602682205 301.00 37,631 SH SOLE 37,631 0 0
Monolithic Power Systems, Inc COM 609839105 208.00 13,500 SH SOLE 13,500 0 0
Morgan Stanley COM 617446448 930.00 40,400 SH SOLE 40,400 0 0
NII Holdings, Inc. - Class B COM 62913f201 2,479.00 58,504 SH SOLE 58,504 0 0
NeoPhotonics Corporation COM 64051t100 266.00 38,500 SH SOLE 38,500 0 0
Netlogic Microsystems, Inc. COM 64118b100 321.00 7,940 SH SOLE 7,940 0 0
Newmont Mining Corp COM 651639106 540.00 10,000 SH SOLE 10,000 0 0
Newport Corp COM 651824104 516.00 28,404 SH SOLE 28,404 0 0
Orthofix International NV COM n6748l102 420.00 9,890 SH SOLE 9,890 0 0
Otelco Inc. COM 688823202 1,793.00 95,490 SH SOLE 95,490 0 0
PC Tel Inc COM 69325Q105 294.00 45,383 SH SOLE 45,383 0 0
Panera Bread Company COM 69840w108 1,137.00 9,050 SH SOLE 9,050 0 0
Plantronics Inc. COM 727493108 1,353.00 37,033 SH SOLE 37,033 0 0
Precision Castparts COM 740189105 1,206.00 7,323 SH SOLE 7,323 0 0
Premiere Global Services Incor COM 740585104 443.00 55,466 SH SOLE 55,466 0 0
Proshares Ultrashort Barclays COM 74347r297 300.00 8,700 SH SOLE 8,700 0 0
Quality Systems Inc. COM 747582104 824.00 9,442 SH SOLE 9,442 0 0
Radiant Systems COM 75025n102 2,733.00 130,769 SH SOLE 130,769 0 0
Rightnow Technologies, Inc. COM 76657r106 326.00 10,048 SH SOLE 10,048 0 0
SPS Commerce Incorporated COM 78463m107 1,911.00 107,437 SH SOLE 107,437 0 0
Salem Communications COM 794093104 77.00 21,767 SH SOLE 21,767 0 0
Sunopta Incorporated COM 8676EP108 400.00 56,241 SH SOLE 56,241 0 0
Synopsys Inc. COM 871607107 769.00 29,924 SH SOLE 29,924 0 0
Taleo Corp - Class A COM 87424n104 2,078.00 56,107 SH SOLE 56,107 0 0
Tenneco Incorporated COM 880349105 1,102.00 25,017 SH SOLE 25,017 0 0
The GEO Group COM 36159r103 1,319.00 57,270 SH SOLE 57,270 0 0
UTI Worldwide COM G87210103 321.00 16,317 SH SOLE 16,317 0 0
UTStarcom Inc. COM 918076100 160.00 102,502 SH SOLE 102,502 0 0
United Rentals Inc. COM 911363109 1,157.00 45,563 SH SOLE 45,563 0 0
Urstadt Biddle Properties COM 917286205 872.00 48,140 SH SOLE 48,140 0 0
Wet Seal COM 961840105 539.00 120,596 SH SOLE 120,596 0 0
Bank of America 8.2% PRD 060505765 393.00 15,000 SH SOLE 15,000 0 0
JPMorgan Chase 8.625% PRD 46625H621 419.00 15,000 SH SOLE 15,000 0 0
Lasalle Hotel Properties Prefe PRD 517942504 1,258.00 50,000 SH SOLE 50,000 0 0
Revlon Inc. 12.75% PRD 761525708 560.00 100,000 SH SOLE 100,000 0 0
Alliance Data Systems 1.75% du CVBOND 018581AD0 1,136.00 895,000 PRN SOLE 895,000 0 0
Carrizo Oil & Gas 4.375% due 6 CVBOND 144577AA1 85.00 84,000 PRN SOLE 84,000 0 0
Charming Shoppes 1.125% due 5/ CVBOND 161133AE3 897.00 1,000,000 PRN SOLE 1,000,000 0 0
Conceptus Inc. 2.25% due 2/15/ CVBOND 206016AA5 985.00 1,000,000 PRN SOLE 1,000,000 0 0
Hercules II 6/30/29 6.5% CVBOND 427056BC9 1,627.00 1,769,000 PRN SOLE 1,769,000 0 0
NII Holdings 3.125% CVBOND 62913FAJ1 751.00 750,000 PRN SOLE 750,000 0 0
Providence Service 6.5% due 5/ CVBOND 743815AB8 992.00 1,000,000 PRN SOLE 1,000,000 0 0
Radisys Corp 2.75% due 2/15/20 CVBOND 750459AE9 880.00 924,000 PRN SOLE 924,000 0 0
AMG Capital 5.15% CVPFD 00170F209 1,275.00 30,000 SH SOLE 30,000 0 0
Carriage Service Cap CVPFD 14444t309 1,150.00 35,125 SH SOLE 35,125 0 0
Continental Air 6% 11/15/30 CVPFD 210796306 1,125.00 30,000 SH SOLE 30,000 0 0
Crown Castle Int Pfd 6.25% due CVPFD 228227401 918.00 15,700 SH SOLE 15,700 0 0
Newell Rubbermaid QUIPS CVPFD 651195307 1,419.00 30,200 SH SOLE 30,200 0 0
United Rentals 6.5% 8/1/28 CVPFD 91136h306 1,269.00 28,166 SH SOLE 28,166 0 0