0001171520-13-000379.txt : 20130514 0001171520-13-000379.hdr.sgml : 20130514 20130514161346 ACCESSION NUMBER: 0001171520-13-000379 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130514 DATE AS OF CHANGE: 20130514 EFFECTIVENESS DATE: 20130514 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: 13841721 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 eps5163.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2013 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, NY 10016 Form 13F File Number: 028-14700 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, NY March 31, 2013 ---------------------- -------------------- ----------------- (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: 49 Form 13F Information Value Total (thousands): $153,206 List of Other Included Managers: NONE Form 13F-HR Information Table
Title of VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY Name of Issuer Class CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE -------------- ----- ----- -------- ------- --- ---- ---------- -------- ---- ------ ---- ACELRX PHARMACELRX PHARMACEUTICALS, INC. CMN COM 00444T100 8,540 1,655,063 SH SOLE 1,655,063 APPLE, INC. CMN COM 037833100 5,997 13,550 SH SOLE 13,550 BIODELIVERY SCIENCES INTL, INC CMN COM 09060J106 6,717 1,595,441 SH SOLE 1,595,441 BOINGO WIRELESS, INC. CMN COM 09739C102 1,104 200,000 SH SOLE 200,000 CALIX, INC. CMN COM 13100M509 12,738 1,562,886 SH SOLE 1,562,886 CARDIONET, INC. CMN COM 14159L103 5,405 2,224,044 SH SOLE 2,224,044 CARDIOVASCULAR SYSTEMS INC CMN COM 141619106 3,212 156,841 SH SOLE 156,841 CLEAN ENERGY FUELS CORP CMN COM 184499101 85 6,500 SH SOLE 6,500 COASTAL CONTACTS INC CMN COM 19044R207 9,545 1,527,200 SH SOLE 1,527,200 COLLECTORS UNIVERSE INC CMN COM 19421R200 3,272 277,977 SH SOLE 277,977 CORONADO BIOSCIENCES INC CMN COM 21976U109 1,861 191,500 SH SOLE 191,500 ENVIVIO, INC. CMN COM 29413T106 342 200,828 SH SOLE 200,828 FMC CORPORATION CMN COM 302491303 86 1,500 SH SOLE 1,500 GREEN DOT CORPORATION CMN CLASS A COM 39304D102 8,862 530,350 SH SOLE 530,350 HUDSON TECHNOLOGIES INC CMN COM 444144109 400 98,874 SH SOLE 98,874 ICAD INC CMN COM 44934S206 1,029 206,100 SH SOLE 206,100 KIOR INC CMN CLASS A COM 497217109 89 19,048 SH SOLE 19,048 LANDEC CORP CMN COM 514766104 211 14,600 SH SOLE 14,600 LAYNE CHRISTENSEN COMPANY (NAME CHANGED FROM LAYNE INC) COM 521050104 156 7,293 SH SOLE 7,293 LIMONEIRA CO CMN COM 532746104 202 10,461 SH SOLE 10,461 MFC INDUSTRIAL LTD CMN COM 55278T105 1,364 150,600 SH SOLE 150,600 MEETME INC CMN COM 585141104 8,196 3,594,877 SH SOLE 3,594,877 MICROSTRATEGY INC CMN CLASS A COM 594972408 11,035 109,163 SH SOLE 109,163 NET 1 UEPS TECHNOLOGIES INC CMN COM 64107N206 9,296 1,256,100 SH SOLE 1,256,100 NOVABAY PHARMACEUTICALS, INC. CMN COM 66987P102 1,251 893,203 SH SOLE 893,203 OPTIMER PHARMACEUTICALS, INC. CMN COM 68401H104 312 26,200 SH SOLE 26,200 PHARMATHENE INC CMN COM 71714G102 2,197 1,292,485 SH SOLE 1,292,485 PROCERA NETWORKS, INC. CMN COM 74269U203 3,932 330,700 SH SOLE 330,700 PURECYCLE CORP CMN COM 746228303 2,364 450,374 SH SOLE 450,374 QUALCOMM INC CMN COM 747525103 2,906 43,400 SH SOLE 43,400 RENTECH INC CMN COM 760112102 472 200,857 SH SOLE 200,857 RESEARCH FRONTIERS CMN COM 760911107 780 211,880 SH SOLE 211,880 S&W SEED CO CMN COM 785135104 4,239 403,412 SH SOLE 403,412 SEQUANS COMMUNICATIONS SPONSORED ADR CMN COM 817323108 1,590 1,000,000 SH SOLE 1,000,000 SIGA TECHNOLOGIES, INC. CMN COM 826917106 7,344 2,051,704 SH SOLE 2,051,704 SMITH MICRO SOFTWARE INC CMN COM 832154108 4,650 3,523,234 SH SOLE 3,523,234 TESORO CORPORATION CMN COM 881609101 234 4,000 SH SOLE 4,000 TITAN INTERNATIONAL INC (NEW) CMN COM 88830M102 312 14,800 SH SOLE 14,800 TRANSCEPT PHARMACEUTICALS INC CMN COM 89354M106 610 127,300 SH SOLE 127,300 UBIQUITI NETWORKS INC CMN COM 90347A100 2,440 177,863 SH SOLE 177,863 VENAXIS INC CMN COM 92262A107 1,862 862,482 SH SOLE 862,482 VENTRUS BIOSCIENCES, INC. CMN COM 922822101 2,555 854,700 SH SOLE 854,700 VERASTEM, INC. CMN COM 92337C104 3,370 350,315 SH SOLE 350,315 ZAGG INCORPORATED CMN COM 98884U108 1,627 223,500 SH SOLE 223,500 ZELTIQ AESTHETICS INC CMN COM 98933Q108 3,521 921,556 SH SOLE 921,556 LOGITECH INTERNATIONAL SA ORD CMN COM H50430232 3,311 475,100 SH SOLE 475,100 ALTISOURCE PORTFOLIO SOL S.A. CMN COM L0175J104 1,368 19,600 SH SOLE 19,600 TOWER SEMICONDUCTOR LTD CMN COM M87915274 131 18,647 SH SOLE 18,647 SAFE BULKERS INC CMN COM Y7388L103 82 16,561 SH SOLE 16,561