-----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, QPB+X3aLXR8ieCNLgvl4CU5qJiGUUZlrbFrs55XqqniWwR0rIW3btFpA62xs+tGx a0aigzXs07TNOhuvmBlq+w== 0000892712-08-000829.txt : 20081028 0000892712-08-000829.hdr.sgml : 20081028 20081028085421 ACCESSION NUMBER: 0000892712-08-000829 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080930 FILED AS OF DATE: 20081028 DATE AS OF CHANGE: 20081028 EFFECTIVENESS DATE: 20081028 FILER: COMPANY DATA: COMPANY CONFORMED NAME: KOPP INVESTMENT ADVISORS LLC CENTRAL INDEX KEY: 0000884306 IRS NUMBER: 411663810 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-03099 FILM NUMBER: 081143540 BUSINESS ADDRESS: STREET 1: 7701 FRANCE AVENUE SOUTH STREET 2: STE 500 CITY: EDINA STATE: MN ZIP: 55435 BUSINESS PHONE: 9528410400 MAIL ADDRESS: STREET 1: 7701 FRANCE AVENUE SOUTH STREET 2: STE 500 CITY: EDINA STATE: MN ZIP: 55435 13F-HR 1 kia13fc.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Quarter Ended: September 30, 2008 Check here if Amendment [ ]; Amendment Number: --------- This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holding entries. Institutional Investment Manager Filing this Report: Name: Kopp Investment Advisors, LLC ---------------------------------------------------------- Address: 7701 France Avenue South, Suite 500 ---------------------------------------------------------- Edina, Minnesota ---------------------------------------------------------- Form 13F File No: 28-03099 -------- 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 the Reporting Manager: Name: John P. Flakne -------------------------------------------------------------- Title: Chief Financial Officer --------------------------------------------------------------- Phone: (952) 841-0400 -------------------------------------------------------------- Signature, Place, and Date of Signing: /s/ John P. Flakne Edina, Minnesota October 27, 2008 - ---------------------------------------------------------------------- (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: None 2 FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 122 Form 13F Information Table Value Total: $386,239 (thousands) List of Other Included Managers: None 3 KOPP INVESTMENT ADVISORS, LLC FORM 13F INFORMATION TABLE SEPTEMBER 30, 2008
VOTING AUTHORITY TITLE OF VALUE SH/ PUT/ INVESTMENT OTHER NAME OF ISSUER CLASS CUSIP (X $1000) SHARES PRN CALL DISCRETION MANAGERS SOLE SHARED NONE --------------- ----- ----- --------- ------ --- --- ---------- -------- ---- ------ ---- 3M Company COM 88579Y101 1,449 21,206 SH Other 18,466 2,740 ADC Telecomm COM 000886309 5,028 595,000 SH Defined 595,000 ADC Telecomm COM 000886309 9,289 1,099,250 SH Other 1,079,294 19,956 Adept Tech Inc. COM 006854202 5,643 654,600 SH Defined 654,600 Adept Tech Inc. COM 006854202 5,402 626,690 SH Other 621,490 5,200 Aflac Incorporated COM 001055102 307 5,225 SH Other 5,225 American Express COM 025816109 1,214 34,265 SH Other 30,235 4,030 Amgen Inc. COM 031162100 312 5,260 SH Other 5,260 Anadarko Petroleum COM 032511107 1,252 25,805 SH Other 22,750 3,055 Angiodynamics COM 03475V101 10,043 635,632 SH Other 583,233 52,399 Array Biopharma Inc. COM 04269X105 2,611 340,000 SH Defined 340,000 Array Biopharma Inc. COM 04269X105 9,490 1,235,635 SH Other 1,098,660 136,975 ATS Medical Inc. COM 002083103 87 30,000 SH Other 30,000 Bankamerica Corp. COM 060505104 1,551 44,306 SH Other 39,401 4,905 Baxter International COM 071813109 294 4,485 SH Other 4,485 BB&T Corp. COM 054937107 319 8,445 SH Other 8,445 Bookham Inc. COM 09856E105 226 200,000 SH Defined 200,000 Bookham Inc. COM 09856E105 790 699,410 SH Other 670,010 29,400 Caliper Life Sciences COM 130872104 1,120 400,000 SH Defined 400,000 Caliper Life Sciences COM 130872104 5,672 2,025,809 SH Other 1,796,159 229,650 Callidus Software COM 13123E500 3,569 901,374 SH Other 811,400 89,974 Cardinal Health COM 14149Y108 259 5,265 SH Other 5,265 Caterpillar Inc. COM 149123101 1,440 24,156 SH Other 21,066 3,090 Cell Genesys Inc. COM 150921104 1,162 1,969,000 SH Defined 1,969,000 Cell Genesys Inc. COM 150921104 1,262 2,138,856 SH Other 2,048,756 90,100 Cepheid Inc. COM 15670R107 1,147 82,900 SH Other 82,900 ChevronTexaco Corp. COM 166764100 282 3,415 SH Other 3,415 Computer Sciences COM 205363104 245 6,105 SH Other 6,105 Comverge Inc. COM 205859101 3,451 750,315 SH Other 661,215 89,100 ConocoPhillips COM 20825C104 1,361 18,580 SH Other 16,310 2,270 Cybersource Corp. COM 23251j106 2,648 164,363 SH Other 153,824 10,539 Dexcom Inc. COM 252131107 154 24,900 SH Other 24,900 Dow Chemical Co. COM 260543103 1,428 44,945 SH Other 39,315 5,630 Durect Corp. COM 266605104 1,764 315,000 SH Defined 315,000 Durect Corp. COM 266605104 8,642 1,543,135 SH Other 1,360,210 182,925 Emcore Corp. COM 290846104 10,127 2,050,000 SH Defined 2,050,000 Emcore Corp. COM 290846104 9,786 1,980,960 SH Other 1,850,710 130,250 Entergy Corp New COM 29364G103 1,414 15,884 SH Other 13,959 1,925 Entertainment Distribution COM 29382J105 80 20,000 SH Defined 20,000 Entertainment Distribution COM 29382J105 41 10,300 SH Other 10,300 Epicor Software Corp. COM 29426L108 10,502 1,331,000 SH Defined 1,331,000 Epicor Software Corp. COM 29426L108 2,290 290,300 SH Other 288,700 1,600 Extreme Networks COM 30226D106 51 15,000 SH Defined 15,000 Extreme Networks COM 30226D106 7,138 2,118,200 SH Other 1,874,600 243,600 FedEx Corp. COM 31428X106 1,461 18,486 SH Other 16,086 2,400 Finisar Corp. COM 31787A101 2,247 2,225,000 SH Defined 2,225,000 Finisar Corp. COM 31787A101 6,442 6,377,810 SH Other 5,793,660 584,150 Halliburton Company COM 406216101 1,296 40,018 SH Other 35,268 4,750 Harmonic Inc. COM 413160102 4,610 545,580 SH Other 480,680 64,900 Harris Stratex Networks COM 41457P106 2,509 321,250 SH Defined 321,250 Harris Stratex Networks COM 41457P106 3,236 414,357 SH Other 380,957 33,400 Harvard Bioscience COM 416906105 2,325 500,000 SH Defined 500,000 Harvard Bioscience COM 416906105 2,121 456,180 SH Other 410,180 46,000 Hershey Foods Corp. COM 427866108 319 8,065 SH Other 8,065 Home Depot Inc. COM 437076102 1,417 54,725 SH Other 48,085 6,640 Intel Corp. COM 458140100 537 28,675 SH Other 28,266 409 Intl. Business Machines COM 459200101 309 2,639 SH Other 2,639 Iris Intl Inc COM 46270W105 2,163 120,852 SH Defined 120,852 Iris Intl Inc COM 46270W105 16,935 946,090 SH Other 858,090 88,000 Johnson & Johnson COM 478160104 1,597 23,055 SH Other 20,130 2,925 Johnson Controls Inc. COM 478366107 1,629 53,717 SH Other 47,527 6,190 Marriott Intl. Inc. COM 571903202 1,293 49,549 SH Other 43,349 6,200 Medarex Inc. COM 583916101 6,276 970,000 SH Defined 970,000 Medarex Inc. COM 583916101 9,443 1,459,570 SH Other 1,348,420 111,150 Medtronic Inc. COM 585055106 258 5,151 SH Other 5,151 Micro Component Tech COM 59479Q100 27 1,665,000 SH Defined 1,665,000 Micro Component Tech COM 59479Q100 3 169,612 SH Other 169,612 Microsoft Corp. COM 594918104 415 15,566 SH Other 15,160 406 Mindspeed Tech COM 602682106 558 234,333 SH Defined 234,333 Mindspeed Tech COM 602682106 202 84,866 SH Other 82,866 2,000 Monogram Biosciences COM 60975U108 6,207 8,167,610 SH Other 7,353,560 814,050 Motorola Inc. COM 620076109 829 116,091 SH Other 103,161 12,930 Neose Tech Inc. COM 640522108 669 2,090,000 SH Defined 2,090,000 Neose Tech Inc. COM 640522108 364 1,136,129 SH Other 1,126,129 10,000 Network Equipment COM 641208103 6,625 1,937,000 SH Defined 1,937,000 Network Equipment COM 641208103 7,744 2,264,260 SH Other 2,081,460 182,800 Nuvasive Inc COM 670704105 13,639 276,479 SH Other 249,084 27,395 Oplink Communications COM 68375Q403 3,621 300,000 SH Defined 300,000 Oplink Communications COM 68375Q403 3,243 268,674 SH Other 264,818 3,856 Orthovita Inc. COM 68750U102 712 274,000 SH Other 257,000 17,000 Pepsico Inc. COM 713448108 1,728 24,245 SH Other 21,055 3,190 Phase Forward Inc. COM 71721R406 15,184 726,168 SH Other 651,318 74,850 Phoenix Technologies COM 719153108 5,824 728,900 SH Other 642,790 86,110 Pitney Bowes Inc. COM 724479100 276 8,295 SH Other 8,295 PLX Technology COM 693417107 2,360 461,000 SH Defined 461,000 PLX Technology COM 693417107 5,514 1,076,970 SH Other 970,020 106,950 PMC-Sierra Inc. COM 69344F106 890 120,000 SH Defined 120,000 PMC-Sierra Inc. COM 69344F106 297 40,000 SH Other 40,000 Procter & Gamble COM 742718109 1,682 24,130 SH Other 21,255 2,875 Progressive Corp. COM 743315103 1,457 83,740 SH Other 73,600 10,140 RAE Systems COM 75061P102 3,602 2,131,586 SH Defined 2,131,586 RAE Systems COM 75061P102 7,942 4,699,160 SH Other 4,340,110 359,050 Regeneron Pharma COM 75886F107 873 40,000 SH Defined 40,000 Regeneron Pharma COM 75886F107 12,368 566,580 SH Other 519,055 47,525 RF Monolithics Inc. COM 74955F106 20 25,000 SH Other 25,000 RTI Biologics, Inc. COM 74975N105 2,805 300,000 SH Defined 300,000 RTI Biologics, Inc. COM 74975N105 16,552 1,770,275 SH Other 1,614,575 155,700 Sangamo Biosciences COM 800677106 8,977 1,165,790 SH Defined 1,165,790 Sangamo Biosciences COM 800677106 11,141 1,446,850 SH Other 1,347,250 99,600 Schwab Charles Corp. COM 808513105 1,632 62,765 SH Other 54,990 7,775 Simon Property Group COM 828806109 433 4,460 SH Other 4,460 SonoSite Inc. COM 83568G104 3,074 97,885 SH Other 86,335 11,550 SPDR Trust UNIT SER 1 78462F103 609 5,250 SH Other 5,250 SunPower Corp. COM CL A 867652109 3,878 54,670 SH Other 50,185 4,485 Sunrise Telecom COM 86769Y105 133 215,000 SH Defined 215,000 Sunrise Telecom COM 86769Y105 1 1,000 SH Other 1,000 Superconductor Tech COM 867931305 1,066 807,500 SH Defined 807,500 Superconductor Tech COM 867931305 252 190,700 SH Other 190,700 Synovis Life Tech COM 87162G105 5,550 294,905 SH Other 266,705 28,200 Tellabs Inc. COM 879664100 112 27,501 SH Other 27,501 Texas Instruments Inc. COM 882508104 215 10,000 SH Other 10,000 Thoratec Corp. COM 885175307 7,894 300,715 SH Other 270,115 30,600 Transgenomic Inc. COM 89365K206 2,936 4,893,000 SH Defined 4,893,000 Transgenomic Inc. COM 89365K206 3,068 5,112,565 SH Other 4,966,665 145,900 United Tech Corp. COM 913017109 268 4,455 SH Other 4,455 Verizon Comm COM 92343V104 1,450 45,175 SH Other 39,510 5,665 Vitesse Semiconductor COM 928497106 4,620 8,556,000 SH Defined 8,556,000 Vitesse Semiconductor COM 928497106 2,782 5,152,450 SH Other 5,057,050 95,400 Wal-Mart Stores Inc. COM 931142103 311 5,195 SH Other 5,025 170 Walt Disney COM 254687106 290 9,440 SH Other 9,440 Weyerhaeuser Co. COM 962166104 279 4,605 SH Other 4,495 110 Whirlpool Corp COM 963320106 271 3,420 SH Other 3,420 REPORT SUMMARY 122 386,239
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