-----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, FIc1UUmM7GbtYGdsrgf1rY2MYo62FCYoOCHHYk7vFey3qWqt8uNcKse1CNwnE9Ch A+bYtKDBFC3z30pX5ExTtA== 0000892712-09-000099.txt : 20090202 0000892712-09-000099.hdr.sgml : 20090202 20090202100927 ACCESSION NUMBER: 0000892712-09-000099 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081231 FILED AS OF DATE: 20090202 DATE AS OF CHANGE: 20090202 EFFECTIVENESS DATE: 20090202 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: 09560180 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 Year Ended: December 31, 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 55435 ------------------------------------------------------------- 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 and Chief Compliance Officer ----------------------------------------------------------------- Phone: (952) 841-0400 ----------------------------------------------------------------- Signature, Place, and Date of Signing: /s/ John P. Flakne Edina, Minnesota February 2, 2009 - ------------------------------------------------------------------------- (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: 112 Form 13F Information Table Value Total: $220,576 (thousands) List of Other Included Managers: None 3 KOPP INVESTMENT ADVISORS, LLC FORM 13F INFORMATION TABLE DECEMBER 31, 2008
VOTING AUTHORITY TITLE VALUE OF (X SH/ PUT/ INVESTMENT OTHER NAME OF ISSUER CLASS CUSIP $1000) SHARES PRN CALL DISCRETION MANAGERS SOLE SHARED NONE -------------- ----- ----- ----- ------ --- ---- ---------- -------- ---- ------ ---- 3M Company COM 88579Y101 861 14,961 SH Other 13,296 1,665 Accelrys, Inc. COM 00430U103 131 30,000 SH Other 30,000 ADC Telecomm COM 000886309 3,255 595,000 SH Defined 595,000 ADC Telecomm COM 000886309 5,558 1,016,010 SH Other 998,288 17,722 Adept Tech Inc. COM 006854202 2,567 684,600 SH Defined 684,600 Adept Tech Inc. COM 006854202 2,341 624,190 SH Other 618,990 5,200 Aflac Incorporated COM 001055102 226 4,925 SH Other 4,925 American Express COM 025816109 624 33,655 SH Other 29,600 4,055 Amgen Inc. COM 031162100 284 4,920 SH Other 4,920 Anadarko Petroleum COM 032511107 938 24,320 SH Other 21,555 2,765 Angiodynamics COM 03475V101 8,575 626,378 SH Other 563,501 62,877 Array Biopharma Inc. COM 04269X105 1,377 340,000 SH Defined 340,000 Array Biopharma Inc. COM 04269X105 4,296 1,060,660 SH Other 932,885 127,775 Bank of America Corporation COM 060505104 619 43,995 SH Other 39,295 4,700 Baxter International COM 071813109 226 4,215 SH Other 4,215 BB&T Corp. COM 054937107 218 7,950 SH Other 7,950 Bookham Inc. COM 09856E105 90 200,000 SH Defined 200,000 Bookham Inc. COM 09856E105 274 609,710 SH Other 581,710 28,000 Caliper Life Sciences COM 130872104 388 400,000 SH Defined 400,000 Caliper Life Sciences COM 130872104 2,181 2,248,759 SH Other 1,974,609 274,150 Callidus Software COM 13123E500 2,260 755,770 SH Other 675,620 80,150 Caterpillar Inc. COM 149123101 1,015 22,726 SH Other 19,931 2,795 Cell Genesys Inc. COM 150921104 823 3,739,000 SH Defined 3,739,000 Cell Genesys Inc. COM 150921104 643 2,921,200 SH Other 2,842,900 78,300 Cepheid Inc. COM 15670R107 680 65,500 SH Other 65,500 ChevronTexaco Corp. COM 166764100 237 3,205 SH Other 3,205 Computer Sciences COM 205363104 203 5,770 SH Other 5,770 Comverge Inc. COM 205859101 2,780 567,445 SH Other 494,245 73,200 ConocoPhillips COM 20825C104 903 17,440 SH Other 15,365 2,075 Cybersource Corp. COM 23251J106 2,181 181,911 SH Other 170,283 11,628 Dexcom Inc. COM 252131107 69 24,900 SH Other 24,900 Dow Chemical Co. COM 260543103 718 47,560 SH Other 42,470 5,090 Durect Corp. COM 266605104 1,068 315,000 SH Defined 315,000 Durect Corp. COM 266605104 4,214 1,243,139 SH Other 1,089,689 153,450 Emcore Corp. COM 290846104 3,055 2,350,000 SH Defined 2,350,000 Emcore Corp. COM 290846104 2,321 1,785,000 SH Other 1,653,850 131,150 Entergy Corp New COM 29364G103 934 11,234 SH Other 9,909 1,325 Entertainment Distribution COM 29382J105 72 20,000 SH Defined 20,000 Entertainment Distribution COM 29382J105 37 10,300 SH Other 10,300 Epicor Software Corp. COM 29426L108 6,269 1,306,000 SH Defined 1,306,000 Epicor Software Corp. COM 29426L108 1,319 274,770 SH Other 273,170 1,600 Extreme Networks COM 30226D106 35 15,000 SH Defined 15,000 Extreme Networks COM 30226D106 4,304 1,839,280 SH Other 1,619,430 219,850 FedEx Corp. COM 31428X106 931 14,510 SH Other 12,855 1,655 Finisar Corp. COM 31787A101 1,074 2,825,000 SH Defined 2,825,000 Finisar Corp. COM 31787A101 3,085 8,117,560 SH Other 7,370,810 746,750 Halliburton Company COM 406216101 762 41,913 SH Other 36,828 5,085 Harmonic Inc. COM 413160102 2,830 504,430 SH Other 445,230 59,200 Harris Stratex Networks COM 41457P106 1,658 321,250 SH Defined 321,250 Harris Stratex Networks COM 41457P106 1,795 347,787 SH Other 323,237 24,550 Harvard Bioscience COM 416906105 1,285 485,000 SH Defined 485,000 Harvard Bioscience COM 416906105 1,149 433,580 SH Other 389,380 44,200 Hershey Foods Corp. COM 427866108 266 7,645 SH Other 7,645 Home Depot Inc. COM 437076102 1,072 46,585 SH Other 41,305 5,280 Illumina, Inc. COM 452327109 463 17,790 SH Other 17,790 Intel Corp. COM 458140100 410 27,999 SH Other 27,586 413 Intl. Business Machines COM 459200101 209 2,489 SH Other 2,489 Iris Intl Inc COM 46270W105 1,685 120,852 SH Defined 120,852 Iris Intl Inc COM 46270W105 11,133 798,615 SH Other 722,890 75,725 Johnson & Johnson COM 478160104 944 15,780 SH Other 14,125 1,655 Johnson Controls Inc. COM 478366107 922 50,785 SH Other 45,065 5,720 Marriott Intl. Inc. COM 571903202 910 46,779 SH Other 40,949 5,830 Medarex Inc. COM 583916101 5,301 950,000 SH Defined 950,000 Medarex Inc. COM 583916101 7,329 1,313,470 SH Other 1,211,420 102,050 Microsoft Corp. COM 594918104 293 15,074 SH Other 14,665 409 Mindspeed Tech COM 602682205 199 234,333 SH Defined 234,333 Mindspeed Tech COM 602682205 81 95,533 SH Other 93,533 2,000 Monogram Biosciences COM 60975U207 3,378 1,299,044 SH Other 1,156,256 142,788 Motorola Inc. COM 620076109 128 28,935 SH Other 28,410 525 Neose Tech Inc. COM 640522108 711 2,090,000 SH Defined 2,090,000 Neose Tech Inc. COM 640522108 386 1,136,129 SH Other 1,126,129 10,000 Network Equipment COM 641208103 6,543 2,272,000 SH Defined 2,272,000 Network Equipment COM 641208103 5,806 2,016,010 SH Other 1,850,460 165,550 Nuvasive Inc. COM 670704105 7,212 208,133 SH Other 186,038 22,095 Oplink Communications COM 68375Q403 2,580 300,000 SH Defined 300,000 Oplink Communications COM 68375Q403 1,832 212,996 SH Other 211,140 1,856 Orthovita Inc. COM 68750U102 4,127 1,217,375 SH Other 1,078,925 138,450 Pepsico Inc. COM 713448108 939 17,138 SH Other 15,123 2,015 Phase Forward Inc. COM 71721R406 8,091 646,268 SH Other 577,818 68,450 Phoenix Technologies COM 719153108 2,909 831,015 SH Other 736,990 94,025 Pitney Bowes Inc. COM 724479100 202 7,945 SH Other 7,945 PLX Technology COM 693417107 793 461,000 SH Defined 461,000 PLX Technology COM 693417107 1,636 950,975 SH Other 855,875 95,100 PMC-Sierra Inc. COM 69344F106 583 120,000 SH Defined 120,000 PMC-Sierra Inc. COM 69344F106 194 40,000 SH Other 40,000 Procter & Gamble COM 742718109 966 15,621 SH Other 13,966 1,655 Progressive Corp COM 743315103 1,117 75,440 SH Other 66,605 8,835 RAE Systems COM 75061P102 1,189 2,201,586 SH Defined 2,201,586 RAE Systems COM 75061P102 2,270 4,203,060 SH Other 3,893,010 310,050 Regeneron Pharmaceuticals COM 75886F107 6,576 358,195 SH Other 330,870 27,325 RF Monolithics Inc. COM 74955F106 9 25,000 SH Other 25,000 RTI Biologics, Inc. COM 74975N105 1,104 400,000 SH Defined 400,000 RTI Biologics, Inc. COM 74975N105 5,938 2,151,500 SH Other 1,949,800 201,700 Sangamo Biosciences COM 800677106 3,932 1,129,790 SH Defined 1,129,790 Sangamo Biosciences COM 800677106 4,556 1,309,250 SH Other 1,218,750 90,500 Schwab Charles Corp. COM 808513105 935 57,835 SH Other 50,795 7,040 SonoSite Inc. COM 83568G104 1,185 62,110 SH Other 51,310 10,800 SPDR Trust UNIT SER 1 78462F103 408 4,520 SH Other 4,520 SunPower Corp. COM CL A 867652109 1,844 49,840 SH Other 45,830 4,010 Superconductor Technologies COM NEW 867931305 815 807,500 SH Defined 807,500 Superconductor Technologies COM NEW 867931305 197 194,700 SH Other 194,700 Synovis Life Technologies COM 87162G105 4,992 266,405 SH Other 241,205 25,200 Tellabs Inc. COM 879664100 108 26,310 SH Other 26,310 Thoratec Corp. COM 885175307 6,041 185,949 SH Other 164,174 21,775 Transgenomic Inc. COM 89365K206 2,210 5,023,000 SH Defined 5,023,000 Transgenomic Inc. COM 89365K206 2,317 5,266,665 SH Other 5,120,765 145,900 United Tech Corp. COM 913017109 230 4,290 SH Other 4,290 Verizon Communications, Inc. COM 92343V104 1,055 31,120 SH Other 27,330 3,790 Vitesse Semiconductor COM 928497106 3,296 9,156,000 SH Defined 9,156,000 Vitesse Semiconductor COM 89365K206 1,801 5,003,300 SH Other 4,907,900 95,400 Wal Mart Stores Inc. COM 931142103 278 4,965 SH Other 4,795 170 Walt Disney COM 254687106 201 8,875 SH Other 8,875 REPORT SUMMARY 112 220,576
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