0001512022-12-000004.txt : 20121114 0001512022-12-000004.hdr.sgml : 20121114 20121114083437 ACCESSION NUMBER: 0001512022-12-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121114 DATE AS OF CHANGE: 20121114 EFFECTIVENESS DATE: 20121114 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: 121201100 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.txt Q3 REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Quarter Ended: September 30th, 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: 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 11-14-2012 ------------------ --------------- ---------- [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: 76 ---------- Form 13F Information Table Value Total: $198,202 (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 896 20000 SH SOLE 20000 Actuate Corp COM 00508B102 11207 1594100 SH SOLE 1594100 Acxiom Corp COM 005125109 877 48000 SH SOLE 48000 Advent Software Inc COM 007974108 11794 480000 SH SOLE 480000 Akamai Technologies Inc COM 00971T101 773 20200 SH SOLE 20200 Alliance Fiber Optic Prods I New COM 018680306 1694 188474 SH SOLE 188474 Altera Corp COM 021441100 428 12600 SH SOLE 12600 Anadigics Inc COM 032515108 1195 860000 SH SOLE 860000 Apple Inc COM 037833100 2432 3645 SH SOLE 3645 Atmel Corp COM 049513104 442 84000 SH SOLE 84000 Atmi Inc COM 00207R101 11142 600000 SH SOLE 600000 Aviat Networks Inc COM 05366Y102 499 209800 SH SOLE 209800 Brightcove Inc COM 10921T101 1168 100000 SH SOLE 100000 Cadence Design System Inc COM 127387108 643 50000 SH SOLE 50000 Cavium Inc COM 14964U108 2498 75000 SH SOLE 75000 Ceragon Networks Ltd Ord COM M22013102 317 55700 SH SOLE 55700 Ceva Inc COM 157210105 4578 318382 SH SOLE 318382 Checkpoint Sys Inc COM 162825103 915 19000 SH SOLE 19000 Cisco Sys Inc COM 17275R102 649 34000 SH SOLE 34000 Descartes Sys Group Inc COM 249906108 4752 550000 SH SOLE 550000 E M C Corp Mass COM 268648102 428 15700 SH SOLE 15700 Emulex Corp New COM 292475209 2163 300000 SH SOLE 300000 Epiq Sys Inc COM 26882D109 4026 300000 SH SOLE 300000 Exacttarget Inc COM 30064K105 206 8500 SH SOLE 8500 Extreme Networks Inc COM 30226D106 4121 1230000 SH SOLE 1230000 F5 Networks Inc COM 315616102 785 7500 SH SOLE 7500 Falconstor Software Inc COM 306137100 705 300000 SH SOLE 300000 Google Inc Cl A COM 38259P508 1222 1620 SH SOLE 1620 Integrated Device Technology COM 458118106 1409 240000 SH SOLE 240000 Intel Corp COM 458140100 861 38000 SH SOLE 38000 Jabil Circuit Inc COM 466313103 374 20000 SH SOLE 20000 Keynote Sys Inc COM 493308100 3910 270000 SH SOLE 270000 Keyw Hldg Corp COM 493723100 1250 100000 SH SOLE 100000 Lantronix Inc New COM 516548203 986 566666 SH SOLE 566666 Mellanox Technologies Ltd Shs COM M51363113 21159 208400 SH SOLE 208400 Mentor Graphics Corp COM 587200106 3868 250000 SH SOLE 250000 Micros Sys Inc COM 594901100 4916 100000 SH SOLE 100000 Microsoft Corp COM 594918104 625 21000 SH SOLE 21000 Mindspeed Technologies Inc New COM 602682205 3079 889800 SH SOLE 889800 Mips Technologies Inc COM 604567107 2956 400000 SH SOLE 400000 Mosys Inc COM 619718109 2020 500000 SH SOLE 500000 Netscout Sys Inc COM 64115T104 3827 150000 SH SOLE 150000 Nq Mobile Inc Repstg Cl A ADR 64118U108 200 25000 SH SOLE 25000 Parametric Technology Corp New COM 699173209 522 24000 SH SOLE 24000 Pegasystems Inc COM 705573103 5532 190500 SH SOLE 190500 Plx Technology Inc COM 693417107 2875 500000 SH SOLE 500000 Pmc-Sierra Inc COM 69344F106 900 160600 SH SOLE 160600 Power Integrations Inc COM 739276103 1066 35000 SH SOLE 35000 Qualm Inc COM 747525103 1262 20200 SH SOLE 20200 Radisys Corp COM 750459109 380 105500 SH SOLE 105500 Radware Ltd Ord COM M81873107 10374 288000 SH SOLE 288000 Retalix Ltd Ord COM M8215W109 2348 113700 SH SOLE 113700 Riverbed Technology Inc COM 768573107 349 15000 SH SOLE 15000 Saic Inc COM 78390X101 198 16450 SH SOLE 16450 Silicom Ltd Ord COM M84116108 776 50000 SH SOLE 50000 Silicon Image Inc COM 82705T102 320 70000 SH SOLE 70000 Silicon Motion Technology Co SponsoreADR 82706C108 10346 700000 SH SOLE 700000 Skyworks Solutions Inc COM 83088M102 259 11000 SH SOLE 11000 Spansion Inc Cl A New COM 84649R200 1445 121200 SH SOLE 121200 Splunk Inc COM 848637104 37 1000 SH SOLE 1000 Sps M Inc COM 78463M107 1924 50000 SH SOLE 50000 Stec Inc COM 784774101 675 100000 SH SOLE 100000 Supertex Inc COM 868532102 2324 130000 SH SOLE 130000 Support Inc COM 86858W101 4429 1047100 SH SOLE 1047100 Symantec Corp COM 871503108 539 30000 SH SOLE 30000 Synaptics Inc COM 87157D109 1201 50000 SH SOLE 50000 Taiwan Semiconductor Mfg Ltd SponsoreADR 874039100 759 48000 SH SOLE 48000 Techtarget Inc COM 87874R100 72 12200 SH SOLE 12200 Tessera Technologies Inc COM 88164L100 4572 334200 SH SOLE 334200 Trunkbow Intl Hldgs Ltd COM 89818A102 46 50000 SH SOLE 50000 Vasco Data Sec Intl Inc COM 92230Y104 1876 200000 SH SOLE 200000 Viasat Inc COM 92552V100 3738 100000 SH SOLE 100000 Web Group Inc COM 94733A104 4488 250000 SH SOLE 250000 Websense Inc COM 947684106 7825 500000 SH SOLE 500000 Western Digital Corp COM 958102105 349 9000 SH SOLE 9000 Xilinx Inc COM 983919101 401 12000 SH SOLE 12000