0001144204-12-062821.txt : 20121115
0001144204-12-062821.hdr.sgml : 20121115
20121114185436
ACCESSION NUMBER: 0001144204-12-062821
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120930
FILED AS OF DATE: 20121115
DATE AS OF CHANGE: 20121114
EFFECTIVENESS DATE: 20121115
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: SOPHROSYNE CAPITAL LLC
CENTRAL INDEX KEY: 0001507758
IRS NUMBER: 203817380
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14700
FILM NUMBER: 121206159
BUSINESS ADDRESS:
STREET 1: 156 EAST 36TH STREET
STREET 2: 2 SNIFFEN COURT
CITY: NEW YORK
STATE: NY
ZIP: 10016
BUSINESS PHONE: 212 444 2500
MAIL ADDRESS:
STREET 1: 156 EAST 36TH STREET
STREET 2: 2 SNIFFEN COURT
CITY: NEW YORK
STATE: NY
ZIP: 10016
13F-HR
1
v328178_13fhr.txt
FORM 13F-HR
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: September 30, 2012.
Check here if Amendment |_|; Amendment Number:
This Amendment (Check only one): |_| is a restatement.
|_| adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Sophrosyne Capital LLC
Address: 156 East 36th Street at 2 Sniffen Court, New York, NY10016
Form 13F File Number:
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:
Name: Benjamin Taylor
Title: Managing Member of General Partner
Phone: 212-444-2500
Signature, Place and Date of Signing:
/s/ Benjamin Taylor New York, N.Y. November 15, 2012
------------------- ------------- -----------------
Signature City, State Date
Report Type (Check one only):
|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:
Form 13F Information Table Entry Total: 159,156
Form 13F Information Table Value Total:
List of Other Included Managers:
None
2
TITLE OF MARKET SHARES/ PUT/ INVESTMENT OTHER
NAME OF ISSUER CLASS CUSIP VALUE (USD) PRN AMT SH/PR CALL DISCRETION MANAGERS SOLE SHARED NONE
ACCURAY INC CMN COM 004397105 $ 598,493 84,600 SH SOLE 84,600
ACELRX PHARMACEUTICALS,
INC. CMN COM 00444T100 $ 1,435,549 450,000 SH SOLE 450,000
ACME PACKET INC CMN COM 004764106 $ 2,763,332 161,600 SH SOLE 161,600
AMERICAN VANGUARD
CORPORATION CMN COM 030371108 $ 146,000 4,200 SH SOLE 4,200
APPLE, INC. CMN COM 037833100 $ 9,139,360 13,700 SH SOLE 13,700
ASPENBIO PHARMA INC CMN COM 045346301 $ 1,638,449 591,600 SH SOLE 591,600
ATRICURE, INC. CMN COM 04963C209 $ 794,047 106,800 SH SOLE 106,800
BIODELIVERY SCIENCES
INTL, INC CMN COM 09060J106 $ 9,337,766 1,477,448 SH SOLE 1,477,448
BRIGHTCOVE INC. CMN COM 10921T101 $ 924,221 79,100 SH SOLE 79,100
CALIX, INC. CMN COM 13100M509 $11,333,879 1,770,986 SH SOLE 1,770,986
CARDIONET, INC. CMN COM 14159L103 $ 6,234,817 2,473,878 SH SOLE 2,473,878
CARDIOVASCULAR SYSTEMS
INC CMN COM 141619106 $ 8,993,018 777,894 SH SOLE 777,894
CATALYST PHARMACEUTICAL
PARTNERS, INC.CMN COM 14888U101 $ 677,160 448,194 SH SOLE 448,194
COLLECTORS UNIVERSE INC
CMN COM 19421R200 $ 5,443,207 388,009 SH SOLE 388,009
CRESUD S.A. SPONS ADR
SPONSORED ADR CMN COM 226406106 $ 101,000 12,350 SH SOLE 12,350
DELCATH SYS INC CMN COM 24661P104 $ 1,288,358 795,423 SH SOLE 795,423
DURECT CORP CMN COM 266605104 $ 503,577 350,000 SH SOLE 350,000
DYNAVAX TECHNOLOGIES
CORP CMN COM 268158102 $ 1,456,841 306,200 SH SOLE 306,200
ENTEROMEDICS INC CMN COM 29365M208 $ 8,747,961 2,396,833 SH SOLE 2,396,833
ENZO BIOCHEM INC CMN COM 294100102 $ 2,060,115 1,009,966 SH SOLE 1,009,966
ENVIVIO, INC. CMN COM 29413T106 $ 218,359 100,000 SH SOLE 100,000
EXFO INC SUB VTG SHS COM 302046107 $ 2,280,532 465,355 SH SOLE 465,355
GREEN DOT CORPORATION
CMN CLASS A COM 39304D102 $ 7,891,549 645,300 SH SOLE 645,300
KIOR INC CMN CLASS A COM 497217109 $ 86,000 9,300 SH SOLE 9,300
KONGZHONG CORP.
SPONSORED ADR CMN COM 50047P104 $ 1,568,950 233,439 SH SOLE 233,439
LEMAITRE VASCULAR, INC.
CMN COM 525558201 $ 703,519 109,545 SH SOLE 109,545
LIGAND PHARMACEUTICALS
INC CMN COM 53220K504 $ 3,183,700 185,600 SH SOLE 185,600
MFC INDUSTRIAL LTD CMN COM 55278T105 $ 544,000 65,100 SH SOLE 65,100
MEETME INC CMN COM 585141104 $ 1,760,919 617,668 SH SOLE 617,668
MEMSIC INC CMN COM 586264103 $ 914,512 575,540 SH SOLE 575,540
MICROSTRATEGY INC CMN
CLASS A COM 594972408 $ 6,806,360 50,763 SH SOLE 50,763
NET 1 UEPS TECHNOLOGIES
INC CMN COM 64107N206 $ 2,214,067 244,650 SH SOLE 244,650
NUSTAR ENERGY L.P. CMN COM 67058H102 $ 407,000 8,000 SH SOLE 8,000
OREXIGEN THERAPEUTICS,
INC. CMN COM 686164104 $ 705,342 123,400 SH SOLE 123,400
PHOENIX NEW MEDIA
LIMITED SPONSORED ADR
CMN COM 71910C103 $ 355,732 103,929 SH SOLE 103,929
PURECYCLE CORP CMN COM 746228303 $ 869,000 379,438 SH SOLE 379,438
QUALCOMM INC CMN COM 747525103 $ 3,104,168 49,700 SH SOLE 49,700
RENTECH INC CMN COM 760112102 $ 736,000 299,100 SH SOLE 299,100
RESEARCH FRONTIERS CMN COM 760911107 $ 1,263,014 283,900 SH SOLE 283,900
RESPONSE GENETICS, INC.
CMN COM 76123U105 $ 717,670 555,856 SH SOLE 555,856
S&W SEED CO CMN COM 785135104 $ 2,970,653 488,548 SH SOLE 488,548
SANDRIDGE MISSISSIPPIAN
TRUST II CMN COM 80007V106 $ 366,000 18,000 SH SOLE 18,000
SEQUANS COMMUNICATIONS
SPONSORED ADR CMN COM 817323108 $ 1,517,146 897,900 SH SOLE 897,900
SIGA TECHNOLOGIES, INC.
CMN COM 826917106 $ 3,689,486 1,153,181 SH SOLE 1,153,181
SMITH MICRO SOFTWARE
INC CMN COM 832154108 $ 5,519,290 3,428,234 SH SOLE 3,428,234
SUNSHINE HEART INC CMN COM 86782U106 $ 1,828,235 219,147 SH SOLE 219,147
SYNERGY PHARMACEUTICALS
INC CMN COM 871639308 $ 1,312,227 274,400 SH SOLE 274,400
THERATECHNOLOGIES INC
CMN COM 88338H100 $ 25,606 50,000 SH SOLE 50,000
UNI PIXEL INC CMN COM 904572203 $ 1,424,249 230,200 SH SOLE 230,200
VERASTEM, INC. CMN COM 92337C104 $ 1,085,885 115,637 SH SOLE 115,637
WESTPORT INNOVATIONS
INC CMN COM 960908309 $ 128,000 4,600 SH SOLE 4,600
WHITING USA TR II CMN COM 966388100 $ 422,000 21,900 SH SOLE 21,900
YOUKU TUDOU INC
SPONSORED ADR CMN
SERIES COM 98742U100 $ 272,000 14,800 SH SOLE 14,800
ZELTIQ AESTHETICS INC
CMN COM 98933Q108 $ 1,035,827 183,570 SH SOLE 183,570
ZYNGA INC. CMN CLASS A COM 98986T108 $ 9,763,907 3,444,300 SH SOLE 3,444,300
VELTI PLC CMN COM G93285107 $13,815,419 1,650,622 SH SOLE 1,650,622
TOWER SEMICONDUCTOR LTD
CMN COM M87915274 $ 3,567,284 403,494 SH SOLE 403,494
SAFE BULKERS INC CMN COM Y7388L103 $ 167,000 28,800 SH SOLE 28,800
FTWR 9 01JAN2016 NOTE 31567RAG5 $ 298,897 1,030,682 PR SOLE 1,030,682