-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Qi+BAqzkHFoR01FJwpiy6lIExv61oghGJkXj8OSm9m2VClY3lfeg/BVWetjpSxj0 UkWZFAYvvAm0kJLvck2jTA== 0000816788-09-000012.txt : 20091113 0000816788-09-000012.hdr.sgml : 20091113 20091113153927 ACCESSION NUMBER: 0000816788-09-000012 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091113 DATE AS OF CHANGE: 20091113 EFFECTIVENESS DATE: 20091113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TANAKA CAPITAL MANAGEMENT INC CENTRAL INDEX KEY: 0000816788 IRS NUMBER: 133390215 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-02082 FILM NUMBER: 091181402 BUSINESS ADDRESS: STREET 1: 230 PARK AVE STREET 2: STE 960 CITY: NEW YORK STATE: NY ZIP: 10169 BUSINESS PHONE: 2124903380 MAIL ADDRESS: STREET 1: 230 PRK AVE STREET 2: SUITE 960 CITY: NEW YORK STATE: NY ZIP: 10169 13F-HR 1 submission093009.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: September 30, 2009 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: Tanaka Capital Management, Inc. Address: 369 Lexington Avenue 20th Floor New York, NY 10017 13F File Number: 28-2082 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 submission. Person Signing this Report on Behalf of Reporting Manager: Name: Graham Y. Tanaka Title: President Phone: 212-490-3380 Signature, Place, and Date of Signing: Graham Y. Tanaka New York, New York November 11, 2009 Report Type (check only one.): [x] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 FORM 13F Information Table Entry: 29 FORM 13F Information Table Value Total: $20,847,000 List of Other Included Managers: No. 13F File Number Name FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- AFLAC Inc. COM 001055102 1798 42080 SH SOLE 42080 ASML Holding N V ADR COM N07059111 491 16613 SH SOLE 16613 Adobe COM 00724F101 699 21159 SH SOLE 21159 Amdocs COM G02602103 517 19216 SH SOLE 19216 Apple Computing COM 037833100 1033 5575 SH SOLE 5575 Applied Materials COM 038222105 325 24315 SH SOLE 24315 Bio Reference Lab COM 09057G602 671 19496 SH SOLE 19496 Biovail Corporation COM 09067J109 673 43605 SH SOLE 43605 Blue Earth Refineries COM G11999102 121 112366 SH SOLE 112366 CR Bard COM 067383109 409 5198 SH SOLE 5198 Catalyst Pharmaceuticals COM 14888U101 32 38000 SH SOLE 38000 China Medical Technology ADS COM 169483104 507 31239 SH SOLE 31239 Fuelnation, Inc. COM 359528205 0 496780 SH SOLE 496780 General Electric COM 369604103 830 50530 SH SOLE 50530 IBM COM 459200101 515 4307 SH SOLE 4307 Intel Corp. COM 458140100 803 41008 SH SOLE 41008 KV Pharmaceutical Cl A COM 482740206 480 156462 SH SOLE 156462 L3 Communications Hldg COM 502424104 800 9963 SH SOLE 9963 Mass Financial Corp. Class A COM P64605101 2567 270208 SH SOLE 270208 Mattson Technology COM 577223100 1047 371221 SH SOLE 371221 Mymetics Corp COM 62856A102 28 208769 SH SOLE 208769 NII Holdings COM 62913F201 1645 54724 SH SOLE 54724 O2 Micro COM 67107W100 736 140160 SH SOLE 140160 QUALCOMM COM 747525103 573 12746 SH SOLE 12746 STEC COM 784774101 654 22265 SH SOLE 22265 Scientific Games COM 80874P109 623 39375 SH SOLE 39375 Semitool Inc. COM 816909105 999 118172 SH SOLE 118172 Sigma Design COM 826565103 706 48600 SH SOLE 48600 Staples Inc. COM 855030102 564 24293 SH SOLE 24293
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