0001140361-16-085335.txt : 20161108
0001140361-16-085335.hdr.sgml : 20161108
20161108112249
ACCESSION NUMBER: 0001140361-16-085335
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160930
FILED AS OF DATE: 20161108
DATE AS OF CHANGE: 20161108
EFFECTIVENESS DATE: 20161108
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: 161980384
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
09-30-2016
09-30-2016
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
11-07-2016
2
106
653930
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
17975
548027
SH
SOLE
294813
0
253214
Acxiom Corp.
COM
005125109
17507
743067
SH
SOLE
398668
0
344399
Advanced Micro
COM
007903107
121
16766
SH
SOLE
16766
0
0
Amag Pharmaceuticals Inc.
COM
00163U106
22642
881026
SH
SOLE
514631
0
366395
Apogee Enterprises, Inc.
COM
037598109
18143
445222
SH
SOLE
235497
0
209725
Arrowhead Pharmaceuticals, Inc
COM
04280a100
339
58398
SH
SOLE
58398
0
0
BWX Technologies Inc.
COM
05605h100
10293
262450
SH
SOLE
114702
0
147748
Berry Plastics Group Inc.
COM
08579w103
15286
349400
SH
SOLE
184149
0
165251
BioTelemetry, Inc.
COM
090672106
1822
102912
SH
SOLE
102912
0
0
Biodelivery Sciences Intl.
COM
09060J106
3674
1597378
SH
SOLE
1024618
0
572760
Boingo Wireless Inc.
COM
09739c102
2287
235302
SH
SOLE
235302
0
0
Boise Cascade Company
COM
09739d100
583
30269
SH
SOLE
30269
0
0
Build-A-Bear Workshop Inc.
COM
120076104
1679
124392
SH
SOLE
124392
0
0
C R A International, Inc.
COM
12618t105
1549
49753
SH
SOLE
49753
0
0
Calamp Corp.
COM
128126109
17779
1376077
SH
SOLE
792948
0
583129
Callidus Software, Inc.
COM
13123E500
21196
1161443
SH
SOLE
678099
0
483344
Capital Senior Living Corp.
COM
140475104
12729
797080
SH
SOLE
466506
0
330574
Carriage Services Inc.
COM
143905107
2352
99501
SH
SOLE
99501
0
0
Carrizo Oil & Gas Inc.
COM
144577103
5554
164165
SH
SOLE
89420
0
74745
Cavium Networks Inc.
COM
14964U108
21701
384430
SH
SOLE
207766
0
176664
Corcept Therapeutics Inc.
COM
218352102
793
114279
SH
SOLE
114279
0
0
Core-Mark Holding Company, Inc
COM
218681104
13408
379303
SH
SOLE
217996
0
161307
Cornerstone OnDemand
COM
21925Y103
13560
328341
SH
SOLE
179617
0
148724
Cross Country Healthcare Inc
COM
227483104
1414
126564
SH
SOLE
126564
0
0
Cynosure Inc.
COM
232577205
18340
430015
SH
SOLE
248490
0
181525
DXP Enterprises Inc.
COM
233377407
578
26529
SH
SOLE
26529
0
0
Deluxe Corp
COM
248019101
11754
192051
SH
SOLE
102278
0
89773
Diamond Hill Investment Group,
COM
25264R207
2191
12039
SH
SOLE
12039
0
0
Dynavax Technology
COM
268158201
238
25776
SH
SOLE
25776
0
0
Entravision
COM
29382R107
1320
197006
SH
SOLE
197006
0
0
Ethan Allen Interiors
COM
297602104
755
24584
SH
SOLE
24584
0
0
Facebook Inc.
COM
30303M102
225
1717
SH
SOLE
1717
0
0
Fiesta Restaurant Group
COM
31660B101
23062
873546
SH
SOLE
514432
0
359114
Fireeye Inc.
COM
31816q101
13188
1134958
SH
SOLE
610630
0
524328
Flamel Technologies (ADR)
COM
338488109
8971
830672
SH
SOLE
488569
0
342103
Flir Systems
COM
302445101
229
6957
SH
SOLE
6957
0
0
Fluidigm Corp.
COM
34385P108
176
38057
SH
SOLE
38057
0
0
Fortress Transportation & Infr
COM
34960P101
1932
162638
SH
SOLE
162638
0
0
Frontier Communications Corp
COM
35906A108
46
11515
SH
SOLE
11515
0
0
GP Strategies Corp
COM
36225V104
981
37944
SH
SOLE
37944
0
0
Globus Medical Inc
COM
379577208
7130
322165
SH
SOLE
171583
0
150582
Huron Consulting Group
COM
447462102
15314
273224
SH
SOLE
152791
0
120433
Integra Life Sciences
COM
457985208
13290
167146
SH
SOLE
88978
0
78168
Inventure Foods Inc.
COM
461212102
8588
1015121
SH
SOLE
666823
0
348298
Jack In The Box Inc.
COM
466367109
17453
186204
SH
SOLE
100098
0
86106
LaSalle Hotel Properties
COM
517942108
736
31000
SH
SOLE
31000
0
0
Ligand Pharmaceuticals Inc.
COM
53220K504
14561
152106
SH
SOLE
81741
0
70365
Lumentum Holdings Inc.
COM
55024u109
10994
327200
SH
SOLE
176774
0
150426
MDC Partners Inc.
COM
552697104
13845
1638418
SH
SOLE
982696
0
655722
Marten Transport LTD
COM
573075108
584
28475
SH
SOLE
28475
0
0
MasTec, Inc.
COM
576323109
9705
339914
SH
SOLE
183878
0
156036
Maximus, Inc.
COM
577933104
11050
212257
SH
SOLE
114346
0
97911
Medical Properties Trust Inc.
COM
58463j304
1708
122547
SH
SOLE
122547
0
0
Micron Technology Inc.
COM
595112103
254
14805
SH
SOLE
14805
0
0
Molina Healthcare Inc
COM
60855R100
14998
275648
SH
SOLE
149546
0
126102
Monro Muffler Brake Inc.
COM
610236101
9173
166779
SH
SOLE
90619
0
76160
NEOS Therapeutic
COM
64052L106
408
69135
SH
SOLE
69135
0
0
Neogenomics, Inc.
COM
64049M209
1999
248029
SH
SOLE
248029
0
0
Oclaro Inc.
COM
67555N206
123
16788
SH
SOLE
16788
0
0
On Assignment Inc.
COM
682159108
15372
446741
SH
SOLE
239251
0
207490
PDF Solutions Inc.
COM
693282105
18088
915854
SH
SOLE
552980
0
362874
Peak Resorts Inc
COM
70469L100
655
135000
SH
SOLE
135000
0
0
Perficient Inc.
COM
71375U101
17950
964525
SH
SOLE
553968
0
410557
PetroQuest Energy Inc.
COM
716748306
109
29486
SH
SOLE
29486
0
0
Prestige Brands Holdings Inc.
COM
74112d101
19096
421721
SH
SOLE
224727
0
196994
Proofpoint, Inc.
COM
743424103
15717
200525
SH
SOLE
108107
0
92418
Proshares Short Financials
COM
74347R230
341
21500
SH
SOLE
21500
0
0
Proshares Short High Yield
COM
74347R131
1723
68260
SH
SOLE
68260
0
0
Proshares Ultrashort Barclays
COM
74347B201
482
14000
SH
SOLE
14000
0
0
Pzena Investment Management, I
COM
74731q103
1144
157106
SH
SOLE
157106
0
0
Quanex Building Solutions
COM
747619104
880
53966
SH
SOLE
53966
0
0
Quanta Services Inc.
COM
74762e102
239
8318
SH
SOLE
8318
0
0
Repligen Corp.
COM
759916109
1098
38440
SH
SOLE
38440
0
0
SPDR Gold Shares
COM
78463v107
634
5200
SH
SOLE
5200
0
0
SPDR S&P 500 Biotech
COM
78464A870
1408
25081
SH
SOLE
25081
0
0
SeaSpine Holdings Corp
COM
81255T108
708
76019
SH
SOLE
76019
0
0
Sequential Brands Group Inc
COM
81734P107
1550
215270
SH
SOLE
215270
0
0
Snyders-Lance Inc.
COM
833551104
11848
333088
SH
SOLE
177396
0
155692
Supernus Phamraceutical Inc
COM
868459108
8989
454002
SH
SOLE
260832
0
193170
Swift Transportation Inc.
COM
87074U101
9508
424845
SH
SOLE
226173
0
198672
TravelCenters of America LLC
COM
894174101
809
126459
SH
SOLE
126459
0
0
Triton International Ltd
COM
G9078F107
381
31540
SH
SOLE
31540
0
0
Tutor Perini Corp.
COM
901109108
1065
55911
SH
SOLE
55911
0
0
Unit Corp.
COM
909218109
1130
65941
SH
SOLE
65941
0
0
Urstadt Biddle Properties
COM
917286205
203
9440
SH
SOLE
9440
0
0
WageWorks, Inc.
COM
930427109
14902
252786
SH
SOLE
139608
0
113178
William Lyon Homes
COM
552074700
9808
549162
SH
SOLE
319621
0
229541
Wintrust Financial Corporation
COM
97650W108
12777
236832
SH
SOLE
126077
0
110755
Xencor INC
COM
98401F105
576
27069
SH
SOLE
27069
0
0
AmTrust Financial Services 7.5
PRD
032359853
1334
50000
SH
SOLE
50000
0
0
PPL Corp. 5.9%
PRD
69352p202
521
20000
SH
SOLE
20000
0
0
TravelCenters of America 8%
PRD
894174309
1789
70000
SH
SOLE
70000
0
0
US Bancorp 6% Series G
PRD
902973817
256
10000
SH
SOLE
10000
0
0
Wintrust Financial Group 6.5%
PRD
97650w405
1108
40000
SH
SOLE
40000
0
0
Aegerion Pharmaceuticals 2% du
CVBOND
00767EAB8
937
1500000
PRN
SOLE
1500000
0
0
Calamp Corp. 1.625% due 5/15/2
CVBOND
128126AB5
2345
2500000
PRN
SOLE
2500000
0
0
Fireeye Inc. 1.625% due 6/1/20
CVBOND
31816QAD3
1347
1500000
PRN
SOLE
1500000
0
0
Hercules II 6/30/29 6.5%
CVBOND
427056BC9
1592
1769000
PRN
SOLE
1769000
0
0
InContact Inc. 2.5% due 4/2/20
CVBOND
45336EAB5
2399
2000000
PRN
SOLE
2000000
0
0
Proofpoint Inc. 0.75% due 6/15
CVBOND
743424AD5
2098
1750000
PRN
SOLE
1750000
0
0
Pros Holding Inc 2% due 12/1/2
CVBOND
74346YAB9
1747
1790000
PRN
SOLE
1790000
0
0
ServiceSource International, I
CVBOND
81763UAB6
2159
2250000
PRN
SOLE
2250000
0
0
AMG Capital 5.15%
CVPFD
00170f209
1287
25000
SH
SOLE
25000
0
0
NY Community Cap Trust V 6%
CVPFD
64944p307
1740
35000
SH
SOLE
35000
0
0
PetroQuest Energy 6.875%
CVPFD
716748207
640
40000
SH
SOLE
40000
0
0
Tyson Foods Inc 4.75%
CVPFD
902494301
1156
15000
SH
SOLE
15000
0
0