0001140361-16-073363.txt : 20160726
0001140361-16-073363.hdr.sgml : 20160726
20160726132529
ACCESSION NUMBER: 0001140361-16-073363
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160630
FILED AS OF DATE: 20160726
DATE AS OF CHANGE: 20160726
EFFECTIVENESS DATE: 20160726
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: 161783906
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
06-30-2016
06-30-2016
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
07-26-2016
2
106
579004
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
11126
278365
SH
SOLE
181685
0
96680
Abiomed Inc.
COM
003654100
9369
85726
SH
SOLE
57525
0
28201
Acxiom Corp.
COM
005125109
13810
627998
SH
SOLE
411231
0
216767
Agnico-Eagle Mines LTD
COM
008474108
208
3887
SH
SOLE
3887
0
0
Amag Pharmaceuticals Inc
COM
00163U106
17026
711772
SH
SOLE
489020
0
222752
Apogee Enterprises, Inc.
COM
037598109
16564
357364
SH
SOLE
230111
0
127253
Arrowhead Pharmaceuticals, Inc
COM
04280a100
261
49147
SH
SOLE
49147
0
0
Axcelis Technologies INC
COM
054540208
54
19928
SH
SOLE
19928
0
0
Berry Plastics Group Inc.
COM
08579w103
11430
294216
SH
SOLE
190204
0
104012
BioTelemetry, Inc.
COM
090672106
1934
118653
SH
SOLE
118653
0
0
Biodelivery Sciences Intl.
COM
09060J106
5194
2200689
SH
SOLE
1544900
0
655789
Boingo Wireless Inc.
COM
09739c102
2401
269208
SH
SOLE
269208
0
0
Boise Cascade Company
COM
09739d100
1132
49339
SH
SOLE
49339
0
0
Build-A-Bear Workshop Inc.
COM
120076104
1383
103058
SH
SOLE
103058
0
0
C R A International, Inc.
COM
12618t105
905
35877
SH
SOLE
35877
0
0
Calamp Corp
COM
128126109
16472
1112201
SH
SOLE
758246
0
353955
Callidus Software, Inc.
COM
13123E500
16619
831780
SH
SOLE
576301
0
255479
Capital Senior Living Corp.
COM
140475104
11379
643958
SH
SOLE
443435
0
200523
Cardtronics PLC
COM
G1991C105
8962
225108
SH
SOLE
145493
0
79615
Carriage Services Inc.
COM
143905107
1995
84242
SH
SOLE
84242
0
0
Carrizo Oil & Gas Inc.
COM
144577103
4742
132272
SH
SOLE
86900
0
45372
Cavium Networks Inc
COM
14964U108
11967
310037
SH
SOLE
202652
0
107385
Corcept Therapeutics Inc.
COM
218352102
527
96575
SH
SOLE
96575
0
0
Core-Mark Holding Company, Inc
COM
218681104
10634
226932
SH
SOLE
157112
0
69820
Cornerstone ONDE
COM
21925Y103
13817
363041
SH
SOLE
236919
0
126122
Corrections Corporation of Ame
COM
22025y407
875
25000
SH
SOLE
25000
0
0
Cross Country Healthcare Inc
COM
227483104
1224
87915
SH
SOLE
87915
0
0
Cynosure INC
COM
232577205
16946
348360
SH
SOLE
238098
0
110262
Deluxe Corp
COM
248019101
10236
154219
SH
SOLE
99718
0
54501
Diamond Hill Investment Group,
COM
25264R207
2019
10716
SH
SOLE
10716
0
0
Dipexium Pharmaceuticals Inc.
COM
25456J104
385
38833
SH
SOLE
38833
0
0
Dynavax Technology
COM
268158201
317
21753
SH
SOLE
21753
0
0
Entravision
COM
29382R107
991
147485
SH
SOLE
147485
0
0
Ethan Allen Interiors
COM
297602104
1093
33078
SH
SOLE
33078
0
0
Facebook Inc.
COM
30303M102
220
1922
SH
SOLE
1922
0
0
Fiesta Restaurant Group
COM
31660B101
13656
626152
SH
SOLE
429192
0
196960
Fireeye Inc.
COM
31816q101
7733
469516
SH
SOLE
308017
0
161499
Flamel Technologies (ADR)
COM
338488109
10910
1015841
SH
SOLE
695129
0
320712
Flir Systems
COM
302445101
215
6957
SH
SOLE
6957
0
0
Frontier Communications Corp
COM
35906A108
57
11515
SH
SOLE
11515
0
0
Globus Medical Inc
COM
379577208
11670
489734
SH
SOLE
317676
0
172058
Helca Mining co
COM
422704106
134
26328
SH
SOLE
26328
0
0
Huron Consulting Group
COM
447462102
13296
220063
SH
SOLE
147004
0
73059
In Contact Inc.
COM
45336e109
1497
108109
SH
SOLE
108109
0
0
Infoblox Inc
COM
45672H104
9069
483403
SH
SOLE
333859
0
149544
Integra Life Sciences
COM
457985208
10714
134293
SH
SOLE
86837
0
47456
Inventure Foods Inc.
COM
461212102
1660
212506
SH
SOLE
212506
0
0
Jack In The Box Inc.
COM
466367109
12659
147332
SH
SOLE
95328
0
52004
LaSalle Hotel Properties
COM
517942108
11557
490133
SH
SOLE
327163
0
162970
Lexicon Pharmaceuticals
COM
528872302
4130
287809
SH
SOLE
205286
0
82523
Ligand Pharmaceuticals Inc.
COM
53220K504
7033
58969
SH
SOLE
38703
0
20266
Lumentum Holdings Inc.
COM
55024u109
5202
214963
SH
SOLE
140660
0
74303
MDC Partners Inc.
COM
552697104
24574
1343569
SH
SOLE
945680
0
397889
Marketo Inc.
COM
57063L107
10672
306490
SH
SOLE
209028
0
97462
Marten Transport LTD
COM
573075108
1176
59387
SH
SOLE
59387
0
0
MasTec, Inc.
COM
576323109
11318
507063
SH
SOLE
330517
0
176546
Maximus, Inc.
COM
577933104
7513
135679
SH
SOLE
87911
0
47768
Medical Properties Trust Inc.
COM
58463j304
2107
138547
SH
SOLE
138547
0
0
Molina Healthcare Inc
COM
60855R100
9822
196830
SH
SOLE
128206
0
68624
Monotype Imaging Holdings Inc.
COM
61022p100
9559
388101
SH
SOLE
267427
0
120674
Monro Muffler Brake Inc.
COM
610236101
7337
115427
SH
SOLE
75253
0
40174
Neogenomics, Inc.
COM
64049M209
1685
209538
SH
SOLE
209538
0
0
Newmont Mining Corp
COM
651639106
205
5230
SH
SOLE
5230
0
0
Oclaro Inc.
COM
67555N206
93
18984
SH
SOLE
18984
0
0
On Assignment Inc.
COM
682159108
13312
360279
SH
SOLE
234419
0
125860
PDF Solutions Inc.
COM
693282105
10428
745381
SH
SOLE
524937
0
220444
Peak Resorts Inc
COM
70469L100
616
135000
SH
SOLE
135000
0
0
Perficient Inc.
COM
71375U101
11014
542314
SH
SOLE
367873
0
174441
PetroQuest Energy Inc.
COM
716748306
33
10000
SH
SOLE
10000
0
0
Prestige Brands Holdings Inc.
COM
74112d101
9260
167154
SH
SOLE
108139
0
59015
Proofpoint, Inc.
COM
743424103
15097
239287
SH
SOLE
160854
0
78433
Proshares Ultrashort Barclays
COM
74347B201
444
14000
SH
SOLE
14000
0
0
Pzena Investment Management, I
COM
74731q103
1010
132704
SH
SOLE
132704
0
0
Repligen Corp.
COM
759916109
958
35023
SH
SOLE
35023
0
0
SPDR S&P 500 Biotech
COM
78464A870
1236
22852
SH
SOLE
22852
0
0
SeaSpine Holdings Corp
COM
81255T108
673
64178
SH
SOLE
64178
0
0
Sequential Brands Group Inc
COM
81734P107
1234
154625
SH
SOLE
154625
0
0
Steve Madden Ltd.
COM
556269108
6194
181205
SH
SOLE
121578
0
59627
Supernus Phamraceutical Inc
COM
868459108
5868
288092
SH
SOLE
196784
0
91308
Swift Transportation Inc.
COM
87074U101
8022
520564
SH
SOLE
336722
0
183842
Tal International Group, Inc.
COM
874083108
423
31540
SH
SOLE
31540
0
0
Tetraphase Pharma
COM
88165N105
277
64369
SH
SOLE
64369
0
0
Tutor Perini Corp.
COM
901109108
1325
56281
SH
SOLE
56281
0
0
Urstadt Biddle Properties
COM
917286205
450
18140
SH
SOLE
18140
0
0
Vascular Solutions
COM
92231M109
1774
42579
SH
SOLE
42579
0
0
WageWorks, Inc.
COM
930427109
17098
285871
SH
SOLE
186354
0
99517
William Lyon Homes
COM
552074700
7234
448742
SH
SOLE
312210
0
136532
Wintrust Financial Corporation
COM
97650W108
9709
190374
SH
SOLE
123109
0
67265
AmTrust Financial Services 7.5
PRD
032359853
1295
50000
SH
SOLE
50000
0
0
PPL Corp. 5.9%
PRD
69352P202
538
20000
SH
SOLE
20000
0
0
TravelCenters of America 8%
PRD
894174309
1759
70000
SH
SOLE
70000
0
0
US Bancorp 6% Series G
PRD
902973817
261
10000
SH
SOLE
10000
0
0
Wintrust Financial Group 6.5%
PRD
97650W405
1138
40000
SH
SOLE
40000
0
0
Aegerion Pharmaceuticals 2% du
CVBOND
00767EAB8
855
1500000
PRN
SOLE
1500000
0
0
Calamp Corp. 1.625% due 5/15/2
CVBOND
128126AB5
2319
2500000
PRN
SOLE
2500000
0
0
Fireeye Inc. 1.625% due 6/1/20
CVBOND
31816QAD3
1323
1500000
PRN
SOLE
1500000
0
0
Hercules II 6/30/29 6.5%
CVBOND
427056BC9
1468
1769000
PRN
SOLE
1769000
0
0
Huron Consulting Group I 1.25%
CVBOND
447462AB8
508
500000
PRN
SOLE
500000
0
0
InContact Inc. 2.5% due 4/2/20
CVBOND
45336EAB5
2391
2000000
PRN
SOLE
2000000
0
0
Proofpoint Inc. 0.75% due 6/15
CVBOND
743424AD5
1878
1750000
PRN
SOLE
1750000
0
0
Pros Holding Inc 2% due 12/1/2
CVBOND
74346YAB9
1598
1790000
PRN
SOLE
1790000
0
0
ServiceSource International, I
CVBOND
81763UAB6
1994
2250000
PRN
SOLE
2250000
0
0
AMG Capital 5.15%
CVPFD
00170F209
1366
25000
SH
SOLE
25000
0
0
NY Community Cap Trust V 6%
CVPFD
64944P307
1766
35000
SH
SOLE
35000
0
0
PetroQuest Energy 6.875%
CVPFD
716748207
280
40000
SH
SOLE
40000
0
0
Tyson Foods Inc 4.75%
CVPFD
902494301
1108
15000
SH
SOLE
15000
0
0