0001140361-14-039279.txt : 20141029
0001140361-14-039279.hdr.sgml : 20141029
20141028175700
ACCESSION NUMBER: 0001140361-14-039279
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140930
FILED AS OF DATE: 20141029
DATE AS OF CHANGE: 20141028
EFFECTIVENESS DATE: 20141029
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: 141178145
BUSINESS ADDRESS:
STREET 1: TWO EMBARCADERO CENTER STE 420
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 4157829600
MAIL ADDRESS:
STREET 1: TWO EMBARCADERO CENTER STE 420
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
FORMER COMPANY:
FORMER CONFORMED NAME: EGM CAPITAL LLC
DATE OF NAME CHANGE: 20030701
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001251557
XXXXXXXX
09-30-2014
09-30-2014
FALCON POINT CAPITAL, LLC
TWO EMBARCADERO CENTER STE 420
SAN FRANCISCO
CA
94111
13F HOLDINGS REPORT
028-10492
N
Michael J. Mahoney
Sr. Managing Director
415-782-9600
Michael J. Mahoney
San Francisco
CA
10-28-2014
1
110
118467
false
1
0000721204
028-01190
RUSSELL FRANK CO/
INFORMATION TABLE
2
form13fInfoTable.xml
AK Steel Holding Corp
COM
001547108
655
81713
SH
SOLE
81713
0
0
Abiomed Inc.
COM
003654100
1674
67415
SH
SOLE
62379
0
0
Actavis Plc
COM
G0083B108
1092
4526
SH
SOLE
4526
0
0
Acxiom Corp.
COM
005125109
1153
69664
SH
SOLE
69664
0
0
Agnico-Eagle Mines LTD
COM
008474108
531
18280
SH
SOLE
18280
0
0
Alcoa, Inc.
COM
013817101
615
38221
SH
SOLE
38221
0
0
Alibaba Group
COM
01609W102
795
8947
SH
SOLE
8947
0
0
Alliance Data Systems Corp.
COM
018581108
525
2116
SH
SOLE
2116
0
0
American International
COM
026874784
675
12487
SH
SOLE
12487
0
0
Ann Taylor
COM
035623107
1690
41091
SH
SOLE
41091
0
0
Apogee Enterprises, Inc.
COM
037598109
618
15525
SH
SOLE
15525
0
0
ArcBest Corp. (old)
COM
03937C105
1962
52594
SH
SOLE
48910
0
0
Atmel Corp.
COM
049513104
108
13350
SH
SOLE
13350
0
0
Berry Plastics Group Inc.
COM
08579w103
569
22534
SH
SOLE
22534
0
0
Biodelivery Sciences Intl.
COM
09060J106
2141
125290
SH
SOLE
114213
0
0
Boingo Wireless Inc.
COM
09739c102
621
87040
SH
SOLE
70406
0
0
Build-A-Bear Workshop Inc.
COM
120076104
2368
181069
SH
SOLE
165066
0
0
Callidus Software, Inc.
COM
13123E500
1535
127732
SH
SOLE
110329
0
0
Capital Senior Living Corp.
COM
140475104
1568
73839
SH
SOLE
65449
0
0
Cardtronics Inc.
COM
14161h108
710
20158
SH
SOLE
20158
0
0
Carriage Services Inc.
COM
143905107
1038
59894
SH
SOLE
48202
0
0
Carrizo Oil & Gas Inc.
COM
144577103
571
10615
SH
SOLE
10615
0
0
Cheesecake Factory
COM
163072101
666
14639
SH
SOLE
14639
0
0
CoStar Group, Inc.
COM
22160n109
591
3799
SH
SOLE
3799
0
0
Core-Mark Holding Company, Inc
COM
218681104
2183
41156
SH
SOLE
36479
0
0
Cumulus Media Inc.
COM
231082108
462
114725
SH
SOLE
114725
0
0
DXP Enterprises Inc.
COM
233377407
1368
18563
SH
SOLE
16386
0
0
Deckers Outdoor Corp.
COM
243537107
1483
15261
SH
SOLE
15261
0
0
Diamond Hill Investment Group,
COM
25264R207
2930
23811
SH
SOLE
22043
0
0
Dice Holdings Inc
COM
253017107
1851
220878
SH
SOLE
195784
0
0
Einstein Noah Restaurant Grp
COM
28257u104
302
15000
SH
SOLE
15000
0
0
Encore Wire Corp.
COM
292562105
535
14429
SH
SOLE
11611
0
0
Entravision
COM
29382R107
579
146318
SH
SOLE
118296
0
0
Ethan Allen Interiors
COM
297602104
691
30323
SH
SOLE
24862
0
0
Excel Trust Inc
COM
30068C109
412
35000
SH
SOLE
35000
0
0
Facebook Inc.
COM
30303M102
1445
18276
SH
SOLE
18276
0
0
Flir Systems
COM
302445101
606
19348
SH
SOLE
19348
0
0
Gilead Sciences, Inc.
COM
375558103
939
8823
SH
SOLE
8823
0
0
Glu Mobile
COM
379890106
63
12257
SH
SOLE
12257
0
0
Google Inc. Class C
COM
38259p706
206
356
SH
SOLE
356
0
0
Hub Group, Inc.
COM
443320106
356
8784
SH
SOLE
8784
0
0
Huron Consulting Group
COM
447462102
2773
45489
SH
SOLE
41481
0
0
ICON plc (ADR)
COM
G4705A100
986
17228
SH
SOLE
17228
0
0
In Contact Inc.
COM
45336e109
1763
202735
SH
SOLE
176212
0
0
Infoblox Inc
COM
45672H104
663
44951
SH
SOLE
44951
0
0
Insulet Corp.
COM
45784P101
609
16531
SH
SOLE
16531
0
0
Jack In The Box Inc.
COM
466367109
2371
34777
SH
SOLE
34777
0
0
Jamba Inc.
COM
47023a309
2587
181913
SH
SOLE
163232
0
0
Jazz Pharmaceuticals PLC
COM
G50871105
602
3748
SH
SOLE
3748
0
0
LA Qutina Holdings
COM
50420D108
906
47721
SH
SOLE
47721
0
0
LaSalle Hotel Properties
COM
517942108
776
22670
SH
SOLE
22670
0
0
LinkedIn Corp.
COM
53578a108
909
4377
SH
SOLE
4377
0
0
MDC Partners Inc.
COM
552697104
3881
202227
SH
SOLE
185513
0
0
Marketo Inc.
COM
57063L107
963
29819
SH
SOLE
29819
0
0
Marten Transport LTD
COM
573075108
935
52501
SH
SOLE
42252
0
0
Mastercard Inc
COM
57636q104
553
7476
SH
SOLE
7476
0
0
Maximus, Inc.
COM
577933104
1181
29435
SH
SOLE
29435
0
0
Maxwell Technologies Inc.
COM
577767106
728
83531
SH
SOLE
69560
0
0
Medical Properties Trust Inc.
COM
58463j304
580
47300
SH
SOLE
47300
0
0
Monotype Imaging Holdings Inc.
COM
61022p100
2357
83231
SH
SOLE
74446
0
0
Monro Muffler Brake Inc.
COM
610236101
1779
36663
SH
SOLE
36663
0
0
Multimedia Games, Inc.
COM
625453105
1455
40402
SH
SOLE
36339
0
0
NCI Buildings Systems
COM
628852204
469
24154
SH
SOLE
19439
0
0
Natus Medical Inc.
COM
639050103
3253
110232
SH
SOLE
100612
0
0
Newport Corp
COM
651824104
1012
57138
SH
SOLE
47799
0
0
Old Dominion Freight Line, Inc
COM
679580100
525
7433
SH
SOLE
7433
0
0
On Assignment Inc.
COM
682159108
628
23382
SH
SOLE
23382
0
0
PDF Solutions Inc.
COM
693282105
1472
116744
SH
SOLE
106501
0
0
Perficient Inc.
COM
71375U101
1463
97595
SH
SOLE
84307
0
0
PetroQuest Energy Inc.
COM
716748108
1330
236739
SH
SOLE
208788
0
0
PowerShares S&P SmallCap Healt
COM
73937b886
1085
19701
SH
SOLE
15934
0
0
Premiere Global Services Inc.
COM
740585104
1829
152818
SH
SOLE
136536
0
0
Prestige Brands Holdings Inc.
COM
74112d101
788
24329
SH
SOLE
24329
0
0
Proofpoint, Inc.
COM
743424103
3495
94109
SH
SOLE
86600
0
0
Proshares Ultrashort Barclays
COM
74347B201
225
4000
SH
SOLE
4000
0
0
Proto Labs, Inc.
COM
743713109
1137
16472
SH
SOLE
16472
0
0
Providence Service Corp
COM
743815102
1403
28998
SH
SOLE
23447
0
0
Pzena Investment Management, I
COM
74731q103
921
96443
SH
SOLE
77299
0
0
Quality Distribution
COM
74756M102
1112
86999
SH
SOLE
70015
0
0
Qualys Inc.
COM
74758T303
2689
101099
SH
SOLE
93132
0
0
Repligen Corp.
COM
759916109
693
34830
SH
SOLE
28030
0
0
SPDR S&P 500 Biotech
COM
78464A870
899
5761
SH
SOLE
5247
0
0
SPS Commerce Inc.
COM
78463m107
1506
28333
SH
SOLE
25041
0
0
Southwest Airlines
COM
844741108
571
16922
SH
SOLE
16922
0
0
Steelcase Inc
COM
858155203
732
45193
SH
SOLE
45193
0
0
Sunopta Inc.
COM
8676EP108
1753
145254
SH
SOLE
132543
0
0
Swift Transportation Co. Inc.
COM
87074U101
1102
52511
SH
SOLE
52511
0
0
Tal International Group, Inc.
COM
874083108
270
6540
SH
SOLE
6540
0
0
Tangoe Inc.
COM
87582y108
1535
113295
SH
SOLE
104639
0
0
Tearlab Corp
COM
878193101
652
191726
SH
SOLE
159126
0
0
Tutor Perini Corp.
COM
901109108
2079
78748
SH
SOLE
70236
0
0
Twitter, Inc.
COM
90184L102
826
16023
SH
SOLE
16023
0
0
UFP Technologies Inc.
COM
902673102
690
31381
SH
SOLE
25237
0
0
Urstadt Biddle Properties
COM
917286205
571
28140
SH
SOLE
28140
0
0
Vulcan Materials Company
COM
929160109
359
5962
SH
SOLE
5962
0
0
WageWorks, Inc.
COM
930427109
1431
31435
SH
SOLE
31435
0
0
Weatherford International PLC
COM
G48833100
537
25826
SH
SOLE
25826
0
0
CitiGroup Inc. 6.875%
PRD
172967341
527
20000
SH
SOLE
20000
0
0
Duke Energy Corp. 5.125%
PRD
26441c303
481
20000
SH
SOLE
20000
0
0
PNC Financial 5.375%
PRD
693475832
456
20000
SH
SOLE
20000
0
0
PPL Corp. 5.9%
PRD
69352p202
488
20000
SH
SOLE
20000
0
0
SCE Trust II 5.1%
PRD
78407r204
540
25000
SH
SOLE
25000
0
0
State Street Corp 5.25%
PRD
857477509
460
20000
SH
SOLE
20000
0
0
US Bancorp 6% Series G
PRD
902973817
270
10000
SH
SOLE
10000
0
0
Hercules II 6/30/29 6.5%
CVBOND
427056BC9
703
769000
PRN
SOLE
769000
0
0
Huron Consulting Group I 1.25%
CVBOND
447462AA0
486
500000
PRN
SOLE
500000
0
0
AMG Capital 5.15%
CVPFD
00170f209
619
10000
SH
SOLE
10000
0
0
Continental Airlines Fin Trust
CVPFD
210796306
1008
20000
SH
SOLE
20000
0
0
NY Community Cap Trust V 6%
CVPFD
64944p307
503
10000
SH
SOLE
10000
0
0
PetroQuest Energy 6.875%
CVPFD
716748207
645
15000
SH
SOLE
15000
0
0