0001140361-16-061239.txt : 20160415
0001140361-16-061239.hdr.sgml : 20160415
20160415125921
ACCESSION NUMBER: 0001140361-16-061239
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160331
FILED AS OF DATE: 20160415
DATE AS OF CHANGE: 20160415
EFFECTIVENESS DATE: 20160415
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: 161573848
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
03-31-2016
03-31-2016
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
04-15-2016
2
122
579447
false
1
0000721204
028-01190
RUSSELL FRANK CO/
2
0000907692
028-16475
SEI INVESTMENTS MANAGEMENT CORP
INFORMATION TABLE
2
form13fInfoTable.xml
AMN Healthcare Services, Inc.
COM
001744101
7994
237852
SH
SOLE
151794
0
86058
Abiomed Inc.
COM
003654100
8766
92459
SH
SOLE
57516
0
34943
Acxiom Corp.
COM
005125109
13642
636304
SH
SOLE
400636
0
235668
Agnico-Eagle Mines LTD
COM
008474108
352
9741
SH
SOLE
9741
0
0
Alamos Gold, Inc.
COM
011532108
54
10251
SH
SOLE
10251
0
0
Allergan Plc.
COM
G0177J108
351
1311
SH
SOLE
1311
0
0
Alliance Data Systems Corp.
COM
018581108
274
1245
SH
SOLE
1245
0
0
Alphabet Inc. Class C
COM
02079K107
352
472
SH
SOLE
472
0
0
Amag Pharmaceuticals Inc
COM
00163U106
8917
381081
SH
SOLE
249531
0
131550
Apogee Enterprises, Inc.
COM
037598109
15355
349842
SH
SOLE
217782
0
132060
Arrowhead Pharmaceuticals, Inc
COM
04280a100
211
43689
SH
SOLE
43689
0
0
Atmel Corp.
COM
049513104
94
11568
SH
SOLE
11568
0
0
Axcelis Technologies INC
COM
054540109
56
19928
SH
SOLE
19928
0
0
Barrick Gold Corp
COM
067901108
193
14217
SH
SOLE
14217
0
0
Berry Plastics Group Inc.
COM
08579w103
10441
288834
SH
SOLE
180055
0
108779
BioTelemetry, Inc.
COM
090672106
1553
132923
SH
SOLE
132923
0
0
Biodelivery Sciences Intl.
COM
09060J106
7960
2464544
SH
SOLE
1653381
0
811163
Boingo Wireless Inc.
COM
09739c102
2488
322301
SH
SOLE
322301
0
0
Build-A-Bear Workshop Inc.
COM
120076104
1314
101186
SH
SOLE
101186
0
0
CREE Research Inc.
COM
225447101
230
7893
SH
SOLE
7893
0
0
Calamp Corp
COM
128126109
17766
990870
SH
SOLE
651755
0
339115
Callidus Software, Inc.
COM
13123E500
13702
821454
SH
SOLE
551966
0
269488
Capital Senior Living Corp.
COM
140475104
11623
627602
SH
SOLE
415214
0
212388
Cardtronics Inc.
COM
14161h108
8118
225574
SH
SOLE
137728
0
87846
Carmike Cinemas Inc.
COM
143436400
12326
410306
SH
SOLE
270926
0
139380
Carriage Services Inc.
COM
143905107
1618
74885
SH
SOLE
74885
0
0
Carrizo Oil & Gas Inc.
COM
144577103
5944
192238
SH
SOLE
121804
0
70434
Cavium Networks Inc
COM
14964U108
7863
128572
SH
SOLE
82479
0
46093
Chuy's Holdings
COM
171604101
2325
74847
SH
SOLE
53369
0
21478
CoStar Group, Inc.
COM
22160n109
256
1362
SH
SOLE
1362
0
0
Corcept Therapeutics Inc.
COM
218352102
403
86006
SH
SOLE
86006
0
0
Core-Mark Holding Company, Inc
COM
218681104
9594
117637
SH
SOLE
80884
0
36753
Cornerstone ONDE
COM
21925Y103
13509
412231
SH
SOLE
260335
0
151896
Corrections Corporation of Ame
COM
22025y407
801
25000
SH
SOLE
25000
0
0
Cross Country Healthcare Inc
COM
227483104
864
74285
SH
SOLE
74285
0
0
Cynosure INC
COM
232577205
15253
345724
SH
SOLE
229403
0
116321
Diamond Hill Investment Group,
COM
25264R207
1916
10802
SH
SOLE
10802
0
0
Dipexium Pharmaceuticals Inc.
COM
25456J104
328
34518
SH
SOLE
34518
0
0
Dynavax Technology
COM
268158201
371
19295
SH
SOLE
19295
0
0
Entravision
COM
29382R107
1102
148116
SH
SOLE
148116
0
0
Ethan Allen Interiors
COM
297602104
935
29382
SH
SOLE
29382
0
0
Facebook Inc.
COM
30303M102
526
4608
SH
SOLE
4608
0
0
Fiesta Restaurant Group
COM
31660B101
12100
369120
SH
SOLE
247354
0
121766
Flamel Technologies (ADR)
COM
338488109
11094
1004868
SH
SOLE
666869
0
337999
Flir Systems
COM
302445101
438
13294
SH
SOLE
13294
0
0
Globus Medical Inc
COM
379577208
11404
480149
SH
SOLE
298669
0
181480
Harman International
COM
413086109
312
3503
SH
SOLE
3503
0
0
Huron Consulting Group
COM
447462102
12526
215265
SH
SOLE
138370
0
76895
In Contact Inc.
COM
45336e109
1620
182217
SH
SOLE
182217
0
0
Infoblox Inc
COM
45672H104
8142
476115
SH
SOLE
318655
0
157460
Integra Life Sciences
COM
457985208
8512
126359
SH
SOLE
75008
0
51351
Inventure Foods Inc.
COM
461212102
1067
188903
SH
SOLE
188903
0
0
Jack In The Box Inc.
COM
466367109
9262
145017
SH
SOLE
90224
0
54793
LaSalle Hotel Properties
COM
517942108
12206
482257
SH
SOLE
311333
0
170924
Lexicon Pharmaceuticals
COM
528872302
3322
277993
SH
SOLE
191192
0
86801
Ligand Pharmaceuticals Inc.
COM
53220K504
10951
102263
SH
SOLE
64702
0
37561
MDC Partners Inc.
COM
552697104
29451
1247913
SH
SOLE
851890
0
396023
Marketo Inc.
COM
57063L107
13103
669536
SH
SOLE
446480
0
223056
Marten Transport LTD
COM
573075108
988
52791
SH
SOLE
52791
0
0
MasTec, Inc.
COM
576323109
10343
511011
SH
SOLE
324934
0
186077
Mastercard Inc
COM
57636q104
308
3264
SH
SOLE
3264
0
0
Maximus, Inc.
COM
577933104
14994
284845
SH
SOLE
177191
0
107654
Medical Properties Trust Inc.
COM
58463j304
1798
138547
SH
SOLE
138547
0
0
Mellanox Technologies
COM
M51363113
258
4753
SH
SOLE
4753
0
0
Microsoft Corp.
COM
594918104
589
10673
SH
SOLE
10673
0
0
Molina Healthcare Inc
COM
60855R100
12341
191362
SH
SOLE
119039
0
72323
Monotype Imaging Holdings Inc.
COM
61022p100
9152
382608
SH
SOLE
255655
0
126953
Monro Muffler Brake Inc.
COM
610236101
6438
90075
SH
SOLE
57557
0
32518
Natus Medical Inc.
COM
639050103
9948
258853
SH
SOLE
177345
0
81508
Neogenomics, Inc.
COM
64049M209
1256
186322
SH
SOLE
186322
0
0
New Gold
COM
644535106
61
16220
SH
SOLE
16220
0
0
Newmont Mining Corp
COM
651639106
354
13300
SH
SOLE
13300
0
0
Oclaro Inc.
COM
67555N206
103
18984
SH
SOLE
18984
0
0
On Assignment Inc.
COM
682159108
13262
359213
SH
SOLE
226800
0
132413
PDF Solutions Inc.
COM
693282105
9521
711553
SH
SOLE
479407
0
232146
PTC Therapeutics INC
COM
69366J200
141
21818
SH
SOLE
21818
0
0
Peak Resorts Inc
COM
70469L100
459
135000
SH
SOLE
135000
0
0
Perficient Inc.
COM
71375U101
11347
522410
SH
SOLE
349703
0
172707
PetroQuest Energy Inc.
COM
716748108
24
40000
SH
SOLE
40000
0
0
PowerShares S&P SmallCap Healt
COM
73937b886
806
12166
SH
SOLE
12166
0
0
Prestige Brands Holdings Inc.
COM
74112d101
11192
209624
SH
SOLE
130706
0
78918
Proofpoint, Inc.
COM
743424103
10024
186384
SH
SOLE
122999
0
63385
Proshares Ultrashort Barclays
COM
74347B201
516
14000
SH
SOLE
14000
0
0
Pzena Investment Management, I
COM
74731q103
1185
156941
SH
SOLE
156941
0
0
Quanta Services Inc.
COM
74762e102
300
13320
SH
SOLE
13320
0
0
Regal Beloit Corp
COM
758750103
301
4764
SH
SOLE
4764
0
0
Repligen Corp.
COM
759916109
837
31208
SH
SOLE
31208
0
0
SPDR S&P 500 Biotech
COM
78464A870
1049
20300
SH
SOLE
20300
0
0
Salesforce.com, Inc.
COM
79466l302
337
4564
SH
SOLE
4564
0
0
SeaSpine Holdings Corp
COM
81255T108
835
57049
SH
SOLE
57049
0
0
Sequential Brands Group Inc
COM
81734P107
878
137442
SH
SOLE
137442
0
0
Steelcase Inc
COM
858155203
7353
492837
SH
SOLE
306502
0
186335
Steris PLC
COM
G84720104
465
6551
SH
SOLE
6551
0
0
Steve Madden Ltd.
COM
556269108
7240
195470
SH
SOLE
121578
0
73892
Supernus Phamraceutical Inc
COM
868459108
6229
408479
SH
SOLE
269226
0
139253
Swift Transportation Inc.
COM
87074U101
9542
512161
SH
SOLE
318711
0
193450
Tal International Group, Inc.
COM
874083108
487
31540
SH
SOLE
31540
0
0
Tetraphase Pharma
COM
88165N105
353
76259
SH
SOLE
76259
0
0
Tutor Perini Corp.
COM
901109108
1199
77185
SH
SOLE
77185
0
0
Urstadt Biddle Properties
COM
917286205
380
18140
SH
SOLE
18140
0
0
Vascular Solutions
COM
92231M109
1232
37869
SH
SOLE
37869
0
0
WageWorks, Inc.
COM
930427109
18335
362285
SH
SOLE
227563
0
134722
William Lyon Homes
COM
552074700
8290
572113
SH
SOLE
380998
0
191115
Wintrust Financial Corporation
COM
97650W108
11144
251339
SH
SOLE
156256
0
95083
AmTrust Financial Services 7.5
PRD
032359853
1256
50000
SH
SOLE
50000
0
0
PPL Corp. 5.9%
PRD
69352p202
531
20000
SH
SOLE
20000
0
0
TravelCenters of America 8%
PRD
894174309
1718
70000
SH
SOLE
70000
0
0
US Bancorp 6% Series G
PRD
902973817
263
10000
SH
SOLE
10000
0
0
Wintrust Financial Group 6.5%
PRD
97650W405
1360
50000
SH
SOLE
50000
0
0
Aegerion Pharmaceuticals 2% du
CVBOND
00767EAB8
762
1500000
PRN
SOLE
1500000
0
0
Calamp Corp. 1.625% due 5/15/2
CVBOND
128126AA7
2377
2500000
PRN
SOLE
2500000
0
0
Fireeye Inc. 1.625% due 6/1/20
CVBOND
31816QAC5
1220
1500000
PRN
SOLE
1500000
0
0
Hercules II 6/30/29 6.5%
CVBOND
427056BC9
1459
1769000
PRN
SOLE
1769000
0
0
Huron Consulting Group I 1.25%
CVBOND
447462AB8
486
500000
PRN
SOLE
500000
0
0
InContact Inc. 2.5% due 4/2/20
CVBOND
45336EAA7
1847
2000000
PRN
SOLE
2000000
0
0
Proofpoint Inc. 0.75% due 6/15
CVBOND
743424AC7
1687
1750000
PRN
SOLE
1750000
0
0
Pros Holding Inc 2% due 12/1/2
CVBOND
74346YAA1
1376
1790000
PRN
SOLE
1790000
0
0
ServiceSource International, I
CVBOND
81763UAB6
1200
1500000
PRN
SOLE
1500000
0
0
AMG Capital 5.15%
CVPFD
00170f209
1380
25000
SH
SOLE
25000
0
0
NY Community Cap Trust V 6%
CVPFD
64944p307
1764
35000
SH
SOLE
35000
0
0
PetroQuest Energy 6.875%
CVPFD
716748207
200
40000
SH
SOLE
40000
0
0
Tyson Foods Inc 4.75%
CVPFD
902494301
1117
15000
SH
SOLE
15000
0
0