-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Lcl611hguEEMx16lwm00FCViaaugWaFbQzgVit40b9oURRGpLrn/jbrloij9Do15 5EdhtcqQ44hi2Gk6cH8HXA== 0001193125-10-028458.txt : 20100211 0001193125-10-028458.hdr.sgml : 20100211 20100211132332 ACCESSION NUMBER: 0001193125-10-028458 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100211 DATE AS OF CHANGE: 20100211 EFFECTIVENESS DATE: 20100211 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ThinkEquity LLC CENTRAL INDEX KEY: 0001483781 IRS NUMBER: 412008761 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13700 FILM NUMBER: 10590714 BUSINESS ADDRESS: STREET 1: 600 MONTGOMERY ST, 3RD FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 415-249-2900 MAIL ADDRESS: STREET 1: 600 MONTGOMERY ST, 3RD FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94111 13F-HR 1 d13fhr.txt FORM 13F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 12/31/09 Check here if Amendment [_]; Amendment Number: This Amendment (Check only one): [_] is a restatement [_] adds new holdings entries. Institutional Investment Manager Filing this Report: ThinkEquity LLC 600 Montgomery Street, Third Floor San Francisco, CA 94111 Form 13F File Number: 028-12960 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: David Weitgenant Deputy Director of Compliance 415-249-6313 Signature, Place and Date of Signing: /s/ David Weitgenant San Francisco, CA 2/10/10 - --------------------------------- ----------------- ------- [Signature] [City, State] [Date] Report Type (Check only one): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report) [_] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [_] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 39 Form 13F Information Table Value Total (x$1000): 121711 (thousands) List of Other Included Managers: None FORM 13F INFORMATION TABLE
VOTING AUTHORITY VALUE SHARES/ SH/ PUT/ INVSTMT OTHER --------------------- NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- --------- --- ---- ------- -------- ---- ------ --------- BAIDU.COM INC SPONSORED ADR RE ADR 056752108 3789 9213 SH Sole 9213 HOME INNS & HOTELS MGMT INC ADR 43713W107 4000 113166 SH Sole 113166 PERFECT WORLD CO LTD SPONSORED ADR 71372U104 3507 88931 SH Sole 88931 AEST, INC COM 8V84753 0 12500 SH Sole 12500 AMERICAN AXLE & MANUFACTURING COM 024061103 4660 581052 SH Sole 581052 BRIGHAM EXPLORATION CO COM 109178103 4981 367575 SH Sole 367575 CITIGROUP INC COM 172967101 58 17572 SH Sole 17572 CROSS TIMBERS ROYALTY TRUST TR COM 22757R109 587 17400 SH Sole 17400 DISH NETWORK CORP CL A COM 25470M109 1111 53500 SH Sole 53500 DOMTAR CORPORATION COM 257559203 4158 75043 SH Sole 75043 DORCHESTER MINERALS L P COM 25820R105 8351 392436 SH Sole 392436 ECHOSTAR CORPORATION COM 278768106 214 10610 SH Sole 10610 FORD MOTOR CO DEL PAR $0.01 COM 345370860 4669 466940 SH Sole 466940 GENWORTH FINANCIAL INC COM CL COM 37247D106 4059 357608 SH Sole 357608 HUGOTON ROYALTY TRUST TEXAS UN COM 444717102 1076 66939 SH Sole 66939 HUMAN GENOME SCIENCES INC COM 444903108 4537 148272 SH Sole 148272 INCYTE CORPORATION FORMERLY IN COM 45337C102 337 37000 SH Sole 37000 J CREW GROUP INC COM 46612H402 4166 93117 SH Sole 93117 JONES APPAREL GROUP COM 480074103 3500 217945 SH Sole 217945 LAS VEGAS SANDS CORPORATION COM 517834107 3468 232113 SH Sole 232113 LULULEMON ATHLETICA INC COM 550021109 4425 147004 SH Sole 147004 MEDIFAST INC COM 58470H101 4530 148143 SH Sole 148143 NEWMARKET CORPORATION COM 651587107 4209 36676 SH Sole 36676 NORCAL COMMUNITY BANCORP COM 655484103 21 10125 SH Sole 10125 OSHKOSH CORPORATION COM 688239201 3801 102638 SH Sole 102638 PNC FINANCIAL SVCS GROUP INC COM 693475105 317 6000 SH Sole 6000 PRESIDENT CASINOS INC NEW COM 740822309 19 75000 SH Sole 75000 SAN JUAN BASIN ROYALTY TR-UBI COM 798241105 1618 93852 SH Sole 93852 TECK COMINCO LTD SUB VTG CL B COM 878742204 4321 123568 SH Sole 123568 TEMPUR PEDIC INTERNATIONAL INC COM 88023U101 4495 190231 SH Sole 190231 TRW AUTOMOTIVE HOLDINGS INC COM 87264S106 4429 185462 SH Sole 185462 VEECO INSTRUMENTS INC-DEL COM 922417100 5013 151714 SH Sole 151714 VIRGIN MEDIA INC COM 92769L101 4159 247145 SH Sole 247145 WALTER INDUSTRIES INC NEW COM 93317Q105 4387 58248 SH Sole 58248 WR GRACE & CO COM 38388F108 4226 166700 SH Sole 166700 XL CAPITAL COM G98255105 4174 227701 SH Sole 227701 FRANKLIN INCOME FDS SER CLASS MF 353496805 72 34420.473 SH Sole 34420.473 PIMCO CALIF MUN INCOME FUND MF 72200N106 247 19895.000 SH Sole 19895.000 CANADIAN OIL SANDS TR NEW UNIT UIT 13642L100 6021 212018 SH Sole 212018
-----END PRIVACY-ENHANCED MESSAGE-----