0001140361-17-004755.txt : 20170207
0001140361-17-004755.hdr.sgml : 20170207
20170207134017
ACCESSION NUMBER: 0001140361-17-004755
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20161231
FILED AS OF DATE: 20170207
DATE AS OF CHANGE: 20170207
EFFECTIVENESS DATE: 20170207
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: 17578267
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
12-31-2016
12-31-2016
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
02-06-2017
2
113
746527
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
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SH
SOLE
311207
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280258
Aclaris Therapeutics Inc.
COM
00461U105
222
8183
SH
SOLE
8183
0
0
Acxiom Corp.
COM
005125109
21243
792647
SH
SOLE
419387
0
373260
Advanced Micro
COM
007903107
190
16766
SH
SOLE
16766
0
0
Akorn Inc.
COM
009728106
7399
338918
SH
SOLE
176862
0
162056
Alliance Data Systems Corp.
COM
018581108
216
945
SH
SOLE
945
0
0
Amag Pharmaceuticals Inc.
COM
00163U106
27908
801944
SH
SOLE
456108
0
345836
Apache Corp.
COM
037411105
219
3450
SH
SOLE
3450
0
0
Apogee Enterprises, Inc.
COM
037598109
24440
456309
SH
SOLE
235518
0
220791
BWX Technologies Inc.
COM
05605h100
11315
285011
SH
SOLE
121270
0
163741
BioTelemetry Inc.
COM
090672106
2391
106963
SH
SOLE
106963
0
0
Boingo Wireless Inc.
COM
09739c102
2974
243933
SH
SOLE
243933
0
0
Boise Cascade Company
COM
09739d100
708
31478
SH
SOLE
31478
0
0
Build-A-Bear Workshop Inc.
COM
120076104
1766
128418
SH
SOLE
128418
0
0
CRA International Inc.
COM
12618t105
1887
51562
SH
SOLE
51562
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0
Calamp Corp.
COM
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21445
1478978
SH
SOLE
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646093
Callidus Software, Inc.
COM
13123E500
21006
1250378
SH
SOLE
714498
0
535880
Capital Senior Living Corp.
COM
140475104
13588
846624
SH
SOLE
480192
0
366432
Carriage Services Inc.
COM
143905107
2937
102549
SH
SOLE
102549
0
0
Carrizo Oil & Gas Inc.
COM
144577103
6591
176473
SH
SOLE
93399
0
83074
Cavium Networks Inc.
COM
14964U108
25862
414194
SH
SOLE
218706
0
195488
Corcept Therapeutics Inc.
COM
218352102
230
31620
SH
SOLE
31620
0
0
Core-Mark Holding Company, Inc
COM
218681104
17590
408399
SH
SOLE
229825
0
178574
Cornerstone OnDemand
COM
21925Y103
19522
461396
SH
SOLE
245015
0
216381
Cross Country Healthcare Inc
COM
227483104
1280
82014
SH
SOLE
82014
0
0
Cynosure Inc.
COM
232577205
21080
462271
SH
SOLE
261015
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DXP Enterprises Inc.
COM
233377407
1301
37444
SH
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37444
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0
Deluxe Corp
COM
248019101
14865
207582
SH
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Diamond Hill Investment Group,
COM
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2597
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SH
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Dynavax Technology
COM
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295
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74639
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Entravision
COM
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220536
SH
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220536
0
0
Ethan Allen Interiors
COM
297602104
939
25489
SH
SOLE
25489
0
0
Express Inc.
COM
30219E103
9228
857656
SH
SOLE
447000
0
410656
Fiesta Restaurant Group
COM
31660B101
23674
793104
SH
SOLE
450121
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FireEye Inc.
COM
31816q101
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1345444
SH
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702998
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Five9
COM
338307101
15358
1082298
SH
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Flamel Technologies (ADR)
COM
338488109
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SH
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507963
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Flir Systems
COM
302445101
254
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Fluidigm Corp.
COM
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287
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Fortress Transportation & Infr
COM
34960P101
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GP Strategies Corp
COM
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Graham Corp
COM
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SH
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37204
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Huron Consulting Group
COM
447462102
9451
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SH
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Inphi Corp.
COM
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Integra Life Sciences
COM
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Intercept Group
COM
45845P108
4890
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SH
SOLE
24131
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Inventure Foods Inc.
COM
461212102
10267
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SH
SOLE
675329
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366998
Jack In The Box Inc.
COM
466367109
22444
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SH
SOLE
105668
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LaSalle Hotel Properties
COM
517942108
945
31000
SH
SOLE
31000
0
0
Ligand Pharmaceuticals Inc.
COM
53220K504
16689
164246
SH
SOLE
86353
0
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Lumentum Holdings Inc.
COM
55024u109
16784
434259
SH
SOLE
228082
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Marten Transport LTD
COM
573075108
617
26481
SH
SOLE
26481
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MasTec, Inc.
COM
576323109
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SH
SOLE
136397
0
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Masonite International Corp
COM
575385109
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SH
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32570
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Maximus, Inc.
COM
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12792
229293
SH
SOLE
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Medical Properties Trust Inc.
COM
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1507
122547
SH
SOLE
122547
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0
Molina Healthcare Inc
COM
60855R100
9807
180748
SH
SOLE
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Monro Muffler Brake Inc.
COM
610236101
12870
225002
SH
SOLE
118608
0
106394
NEOS Therapeutic
COM
64052L106
501
85588
SH
SOLE
85588
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NMI Holdings Inc
COM
629209305
1473
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SH
SOLE
138302
0
0
Neogenomics, Inc.
COM
64049M209
2170
253239
SH
SOLE
253239
0
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Newpark Resources Inc.
COM
651718504
1401
186822
SH
SOLE
186822
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Oclaro Inc.
COM
67555N206
150
16788
SH
SOLE
16788
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On Assignment Inc.
COM
682159108
20076
454629
SH
SOLE
236176
0
218453
PDF Solutions Inc.
COM
693282105
20885
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SH
SOLE
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Patterson Energy, Inc.
COM
703481101
211
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SH
SOLE
7844
0
0
Peak Resorts Inc
COM
70469L100
749
135000
SH
SOLE
135000
0
0
Perficient Inc.
COM
71375U101
6855
391914
SH
SOLE
203276
0
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PetroQuest Energy Inc.
COM
716748306
98
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SH
SOLE
29486
0
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Prestige Brands Holdings Inc.
COM
74112d101
23734
455555
SH
SOLE
237456
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Proofpoint, Inc.
COM
743424103
12367
175046
SH
SOLE
92746
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Proshares Short Financials
COM
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300
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21500
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Proshares Short High Yield
COM
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Proshares Ultrashort Barclays
COM
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Pzena Investment Management, I
COM
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SH
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128111
0
0
Quanex Building Solutions
COM
747619104
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SH
SOLE
56228
0
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Quanta Services Inc.
COM
74762e102
290
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SH
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8318
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Repligen Corp.
COM
759916109
1222
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SH
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39642
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SPDR Gold Shares
COM
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570
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SH
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SPDR S&P 500 Biotech
COM
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SH
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SeaSpine Holdings Corp
COM
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720
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SH
SOLE
91103
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Sequential Brands Group Inc
COM
81734P107
1193
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SH
SOLE
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0
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Snyders-Lance Inc.
COM
833551104
17010
443674
SH
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231269
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Supernus Phamraceutical Inc
COM
868459108
12815
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SH
SOLE
293837
0
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Swift Transportation Inc.
COM
87074U101
6583
270218
SH
SOLE
140873
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129345
Team Inc.
COM
878155100
10210
260125
SH
SOLE
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TravelCenters of America LLC
COM
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1471
207191
SH
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207191
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Triton International Ltd
COM
G9078F107
498
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SH
SOLE
31540
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Tutor Perini Corp.
COM
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1460
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SH
SOLE
52130
0
0
US Concrete Inc
COM
90333L201
7113
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SH
SOLE
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Unit Corp.
COM
909218109
1840
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SH
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68473
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Urstadt Biddle Properties
COM
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228
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SH
SOLE
9440
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Vonage Holdings Corp.
COM
92886t201
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SH
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11740
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WageWorks, Inc.
COM
930427109
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SH
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William Lyon Homes
COM
552074700
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Wintrust Financial Corporation
COM
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Xencor INC
COM
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AmTrust Financial Services
PRD
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Capital One Financials
PRD
14040H840
622
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SH
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25000
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PPL Corp.
PRD
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TravelCenters of America
PRD
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US Bancorp Series G
PRD
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Wintrust Financial Group
PRD
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Aegerion Pharmaceuticals
CVBOND
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PRN
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Calamp Corp.
CVBOND
128126AB5
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PRN
SOLE
2500000
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Fireeye Inc.
CVBOND
31816QAD3
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PRN
SOLE
1500000
0
0
Proofpoint Inc.
CVBOND
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1750000
PRN
SOLE
1750000
0
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Pros Holding Inc
CVBOND
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PRN
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1790000
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ServiceSource International, I
CVBOND
81763UAB6
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2250000
PRN
SOLE
2250000
0
0
AMG Capital
CVPFD
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SOLE
25000
0
0
NY Community Cap Trust V
CVPFD
64944p307
1744
35000
SH
SOLE
35000
0
0
PetroQuest Energy
CVPFD
716748207
655
40000
SH
SOLE
40000
0
0
Tyson Foods Inc
CVPFD
902494301
1015
15000
SH
SOLE
15000
0
0