0001193125-11-301836.txt : 20111108
0001193125-11-301836.hdr.sgml : 20111108
20111108143154
ACCESSION NUMBER: 0001193125-11-301836
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110930
FILED AS OF DATE: 20111108
DATE AS OF CHANGE: 20111108
EFFECTIVENESS DATE: 20111108
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: 111187344
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
d252384d13fhr.txt
FORM 13-F
================================================================================
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: 09/30/2011
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 11/07/2011
_______________________ ________________________ _______________________
[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: 18
Form 13F Information Table Value Total (x$1000): 17,837
(thousands)
List of Other Included Managers: None
(See attachment)
FORM 13F INFORMATION TABLE
TITLE OF VALUE SHARES/ SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
-------------- -------- --------- -------- ------- --- ---- ---------- -------- ---- ------ ------
AEST, INC...................... COM 8v84753 25 12500 SH Sole 12500
CANADIAN OIL SANDS LIMITED..... COM 13643E105 3625 187934 SH Sole 187934
CENTURYTEL INC................. COM 156700106 352 10617 SH Sole 10617
CROSS TIMBERS ROYALTY TRUST TR. COM 22757R109 781 17400 SH Sole 17400
DISH NETWORK CORP CL A......... COM 25470M109 1002 40000 SH Sole 40000
DORCHESTER MINERALS L P........ COM 25820R105 7515 316010 SH Sole 316010
ECHOSTAR CORPORATION........... COM 278768106 240 10610 SH Sole 10610
HUGOTON ROYALTY TRUST TEXAS UN. COM 444717102 1384 65037 SH Sole 65037
NORCAL COMMUNITY BANCORP....... COM 655484103 20 10125 SH Sole 10125
PNC FINANCIAL SVCS GROUP INC... COM 693475105 289 6000 SH Sole 6000
PRESIDENT CASINOS INC ESCROW C. COM 740ESC306 0 75000 SH Sole 75000
SAN JUAN BASIN ROYALTY TR-UBI.. COM 798241105 1569 68290 SH Sole 68290
TITAN PHARMACEUTICALS INC...... COM 888314101 17 12500 SH Sole 12500
CAPITAL ASSETS FUNDS TAX EXEMP. MF 147539712 34 33620 SH Sole 33620
PIMCO CALIF MUN INCOME FUND.... MF 72200N106 262 19895 SH Sole 19895
PIMCO FDS PAC INVT MGMT CL D... MF 72200Q679 403 35214 SH Sole 35214
TEMPLETON GLOBAL BOND FUND CL.. MF 880208103 129 10173 SH Sole 10173
VANGUARD INFL-PROTECTED SECS... MF 922031869 190 13560 SH Sole 13560