0001512022-11-000007.txt : 20111114 0001512022-11-000007.hdr.sgml : 20111111 20111114104047 ACCESSION NUMBER: 0001512022-11-000007 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111114 DATE AS OF CHANGE: 20111114 EFFECTIVENESS DATE: 20111114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Herald Investment Management Ltd CENTRAL INDEX KEY: 0001512022 IRS NUMBER: 000000000 STATE OF INCORPORATION: X0 FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14180 FILM NUMBER: 111198875 BUSINESS ADDRESS: STREET 1: 10-11 CHARTERHOUSE SQUARE CITY: LONDON STATE: X0 ZIP: EC1M 6EE BUSINESS PHONE: 0207 553 6308 MAIL ADDRESS: STREET 1: 10-11 CHARTERHOUSE SQUARE CITY: LONDON STATE: X0 ZIP: EC1M 6EE 13F-HR 1 submission_file_text.txt 13F HR 2011Q3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Quarter Ended:September 30th, 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: Name: Herald Investment Management Limited --------------------- Address: 10-11 Chartetrhouse Square --------------------- London, EC1M 6EE, United Kingdom --------------------- 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: Andrew Miller --------------------- Title: Chief Finance Officer --------------------- Phone: 0207 553 6308 --------------------- Signature, Place, and Date of Signing: /s/ Andrew Miller London,UK 11-14-2011 ------------------ --------------- ---------- [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).) List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] Form 13F File Number Name 28- _______________ ______________________________ [Repeat as necessary.] FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ---------- Form 13F Information Table Entry Total: 80 ---------- Form 13F Information Table Value Total: $166,500 (x$1000) ---------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name ____ 28-________________ _________________________ FORM 13F INFORMATION TABLE --------------------------
NAME OF ISSUER TITLE OF CUSIP VALUE SHARES/ SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY -------------- -------- ------- ------- --------- ---------- ---------- --------- ------ ----------- CLASS (x$1000 PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE -------- ------- ------- --------- ---------- ---------- --------- ------ ----------- 51Job Inc Sp Rep ADR 316827104 799 20000 SH SOLE 20000 Abovenet Inc COM 00374N107 5896 110000 SH SOLE 110000 Actuate Corp COM 00508B102 7971 1444100 SH SOLE 1444100 Acxiom Corp COM 005125109 511 48000 SH SOLE 48000 Advent Software Inc COM 007974108 10008 480000 SH SOLE 480000 Akamai Technologies Inc COM 00971T101 402 20200 SH SOLE 20200 Alcatel-Lucent Sponsored ADR 013904305 248 87600 SH SOLE 87600 Alliance Fiber Optic Prods I New COM 018680306 1345 188474 SH SOLE 188474 Amdocs Ltd Ord COM G02602103 719 26500 SH SOLE 26500 Anadigics Inc COM 032515108 1858 860000 SH SOLE 860000 Apple Inc COM 037833100 1716 4500 SH SOLE 4500 Atmi Inc COM 00207R101 9492 600000 SH SOLE 600000 Aviat Networks Inc COM 05366Y102 493 209800 SH SOLE 209800 Cadence Design System Inc COM 127387108 462 50000 SH SOLE 50000 Cavium Networks Inc Deleted COM 14965A101 2026 75000 SH SOLE 75000 Ceragon Networks Ltd Ord COM M22013102 532 55700 SH SOLE 55700 Ceva Inc COM 157210105 7740 318382 SH SOLE 318382 Checkpoint Sys Inc COM 162825103 623 11800 SH SOLE 11800 Cisco Sys Inc COM 17275R102 527 34000 SH SOLE 34000 Corning Inc COM 219350105 465 37600 SH SOLE 37600 Descartes Sys Group Inc COM 249906108 3399 550000 SH SOLE 550000 Epiq Sys Inc COM 26882D109 3759 300000 SH SOLE 300000 Extreme Networks Inc COM 30226D106 3260 1230000 SH SOLE 1230000 F5 Networks Inc COM 315616102 533 7500 SH SOLE 7500 Falconstor Software Inc COM 306137100 876 300000 SH SOLE 300000 Finisar Corp New COM 31787A507 1700 96930 SH SOLE 96930 Fundtech Ltd Ord COM M47095100 5124 222000 SH SOLE 222000 Google Inc Cl A COM 38259P508 834 1620 SH SOLE 1620 Hewlett Packard Co COM 428236103 319 14200 SH SOLE 14200 Integrated Device Technology COM 458118106 1236 240000 SH SOLE 240000 Intel Corp COM 458140100 811 38000 SH SOLE 38000 Jabil Circuit Inc COM 466313103 356 20000 SH SOLE 20000 Keynote Sys Inc COM 493308100 5705 270000 SH SOLE 270000 Keyw Hldg Corp COM 493723100 711 100000 SH SOLE 100000 Lantronix Inc New COM 516548203 307 166666 SH SOLE 166666 Mellanox Technologies Ltd Shs COM M51363113 8629 276400 SH SOLE 276400 Mentor Graphics Corp COM 587200106 2405 250000 SH SOLE 250000 Microchip Technology Inc COM 595017104 460 14800 SH SOLE 14800 Micros Sys Inc COM 594901100 4393 100000 SH SOLE 100000 Microsemi Corp COM 595137100 431 27000 SH SOLE 27000 Microsoft Corp COM 594918104 523 21000 SH SOLE 21000 Mindspeed Technologies Inc New COM 602682205 4436 853000 SH SOLE 853000 Mips Technologies Inc COM 604567107 1936 400000 SH SOLE 400000 Netqin Mobile Inc Repr Cl A ADR 64118U108 383 100000 SH SOLE 100000 Netscout Sys Inc COM 64115T104 3426 300000 SH SOLE 300000 Nice Sys Ltd Sponsored ADR 653656108 546 18000 SH SOLE 18000 Oracle Corp COM 68389X105 739 25700 SH SOLE 25700 Parametric Technology Corp New COM 699173209 369 24000 SH SOLE 24000 Pegasystems Inc COM 705573103 5831 190500 SH SOLE 190500 Plx Technology Inc COM 693417107 1505 500000 SH SOLE 500000 Pmc-Sierra Inc COM 69344F106 362 60600 SH SOLE 60600 Power Integrations Inc COM 739276103 1071 35000 SH SOLE 35000 Qualm Inc COM 747525103 982 20200 SH SOLE 20200 Radisys Corp COM 750459109 646 105500 SH SOLE 105500 Radware Ltd Ord COM M81873107 5238 242600 SH SOLE 242600 Research In Motion Ltd COM 760975102 280 13800 SH SOLE 13800 Retalix Ltd Ord COM M8215W109 1529 113700 SH SOLE 113700 Rf Monolithics Inc COM 74955F106 184 200000 SH SOLE 200000 Saic Inc COM 78390X101 194 16450 SH SOLE 16450 Sap Ag Spon ADR 803054204 729 14400 SH SOLE 14400 Silicom Ltd Ord COM M84116108 694 50000 SH SOLE 50000 Silicon Image Inc COM 82705T102 411 70000 SH SOLE 70000 Silicon Motion Technology Co SponsoreADR 82706C108 9248 800000 SH SOLE 800000 Sonosite Inc COM 83568G104 1214 40000 SH SOLE 40000 Spansion Inc Cl A New COM 84649R200 1481 121200 SH SOLE 121200 Sps M Inc COM 78463M107 815 50000 SH SOLE 50000 Standard Microsystems Corp COM 853626109 1940 100000 SH SOLE 100000 Stec Inc COM 784774101 1015 100000 SH SOLE 100000 Supertex Inc COM 868532102 2249 130000 SH SOLE 130000 Support Inc COM 86858W101 2073 1047100 SH SOLE 1047100 Symantec Corp COM 871503108 489 30000 SH SOLE 30000 Tessera Technologies Inc COM 88164L100 358 30000 SH SOLE 30000 Thq Inc New COM 872443403 78 45000 SH SOLE 45000 Trident Microsystems Inc COM 895919108 208 400000 SH SOLE 400000 Trunkbow Intl Hldgs Ltd COM 89818A102 111 50000 SH SOLE 50000 Vasco Data Sec Intl Inc COM 92230Y104 1022 200000 SH SOLE 200000 Viasat Inc COM 92552V100 3331 100000 SH SOLE 100000 Web Group Inc COM 94733A104 1745 250000 SH SOLE 250000 Websense Inc COM 947684106 7699 445000 SH SOLE 445000 Xilinx Inc COM 983919101 329 12000 SH SOLE 12000