-----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, Eo5Ipeles33XrIcWZZGRkk1ClhEyyhKIOyVxhWZ5EG3lJI5PgLgvD8TiFl4k2bHC VbQ8ZVn+fJBZt7SxnT96ZA== 0000892712-10-000786.txt : 20101104 0000892712-10-000786.hdr.sgml : 20101104 20101104150015 ACCESSION NUMBER: 0000892712-10-000786 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101104 DATE AS OF CHANGE: 20101104 EFFECTIVENESS DATE: 20101104 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: 101164600 BUSINESS ADDRESS: STREET 1: 8400 NORMANDALE LAKE BOULEVARD STREET 2: SUITE 1450 CITY: BLOOMINGTON STATE: MN ZIP: 55437 BUSINESS PHONE: 9528410400 MAIL ADDRESS: STREET 1: 8400 NORMANDALE LAKE BOULEVARD STREET 2: SUITE 1450 CITY: BLOOMINGTON STATE: MN ZIP: 55437 13F-HR 1 kia13fc.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Quarter Ended: September 30, 2010 ------------------------- 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: 8400 Normandale Lake Blvd., Suite 1450 --------------------------------------------------------- Bloomington, MN 55437 --------------------------------------------------------- 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 Bloomington, Minnesota 11-3-2010 - --------------------------------------------------------------------- (Signature) City/State (Date) 1 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: 101 --------- Form 13F Information Table Value Total: $ 307,638 --------- (thousands) List of Other Included Managers: None 3 KOPP INVESTMENT ADVISORS FORM 13F INFORMATION TABLE SEPTEMBER 30, 2010
VOTING AUTHORITY --------------- TITLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER NAME OF ISSUER OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE -------------- -------- ------ ------- -------- --- ---- ------- -------- ---- ------ ---- 3M Company COM 88579Y101 1,006 11,607 SH Other 10,187 1,420 Adept Tech Inc. COM NEW 006854202 3,420 588,600 SH Defined 588,600 Adept Tech Inc. COM NEW 006854202 2,321 399,475 SH Other 399,475 Aflac Incorporated COM 001055102 1,148 22,195 SH Other 19,350 2,845 Akorn, Inc. COM 009728106 8,851 2,190,735 SH Other 1,985,350 205,385 Amarin Corp. PLC ADS COM 023111206 167 64,900 SH Other 64,900 American Express COM 025816109 995 23,683 SH Other 20,348 3,335 American Medical Systems Holdings COM 02744M108 336 17,160 SH Other 17,160 American Superconductor Corp. COM 030111108 2,259 72,650 SH Other 64,675 7,975 Angiodynamics COM 03475V101 7,078 464,465 SH Other 422,882 41,583 Array Biopharma Inc. COM 04269X105 5,281 1,635,000 SH Defined 1,635,000 Array Biopharma Inc. COM 04269X105 8,837 2,735,989 SH Other 2,506,764 229,225 AtriCure Inc. COM 04963C209 174 22,085 SH Other 22,085 Biomimetic Therapeutics, Inc COM 09064X101 255 22,405 SH Other 22,405 Biosante Pharmaceuticals Inc. COM NEW 09065V203 3,319 1,975,880 SH Defined 1,975,880 Biosante Pharmaceuticals Inc. COM NEW 09065V203 1,715 1,021,055 SH Other 1,021,055 Caliper Life Sciences COM 130872104 858 215,000 SH Defined 215,000 Caliper Life Sciences COM 130872104 6,531 1,636,945 SH Other 1,449,945 187,000 Cardiome Pharma Corp. COM NEW 14159U202 122 20,000 SH Defined 20,000 Cardiome Pharma Corp. COM NEW 14159U202 6,421 1,052,675 SH Other 962,525 90,150 Cepheid Inc. COM 15670R107 450 24,077 SH Other 23,597 480 Clarient, Inc. COM 180489106 2,865 847,577 SH Other 803,402 44,175 Clean Energy Fuels Corp. COM 184499101 1,111 78,205 SH Other 70,745 7,460 Compellent Technologies, Inc. COM 20452A108 3,578 196,827 SH Other 168,007 28,820 Comverge Inc. COM 205859101 2,925 372,077 SH Other 323,557 48,520 ConocoPhillips COM 20825C104 830 14,448 SH Other 12,443 2,005 Constant Contact, Inc. COM 210313102 1,930 90,078 SH Other 80,018 10,060 Deere & Co COM 244199105 1,073 15,384 SH Other 13,304 2,080 Diodes Inc. COM 254543101 2,613 152,900 SH Other 135,500 17,400 Dow Chemical Co. COM 260543103 941 34,270 SH Other 29,620 4,650 DragonWave Inc. COM 26144M103 1,359 191,890 SH Other 167,330 24,560 Durect Corp. COM 266605104 51 20,000 SH Defined 20,000 Durect Corp. COM 266605104 549 216,238 SH Other 183,388 32,850 El Paso Corp. COM 28336L109 146 11,765 SH Other 11,315 450 Emcore Corp. COM 290846104 4,289 5,355,000 SH Defined 5,355,000 Emcore Corp. COM 290846104 2,356 2,940,900 SH Other 2,940,900 Epicor Software Corp. COM 29426L108 510 58,600 SH Defined 58,600 Eurand N.V. SHS N31010106 219 22,230 SH Other 22,230 Exxon Mobil COM 30231G102 907 14,672 SH Other 12,789 1,883 Finisar Corp. COM NEW 31787A507 11,697 622,500 SH Defined 622,500 Finisar Corp. COM NEW 31787A507 16,571 881,923 SH Other 836,183 45,740 FMC Technologies, Inc. COM 30249U101 1,050 15,378 SH Other 13,313 2,065 Harmonic Inc. COM 413160102 1,032 150,000 SH Defined 150,000 Harmonic Inc. COM 413160102 124 18,000 SH Other 18,000 Harvard Bioscience COM 416906105 76 20,000 SH Defined 20,000 Harvard Bioscience COM 416906105 296 77,855 SH Other 77,855 Home Depot Inc. COM 437076102 880 27,790 SH Other 23,600 4,190 Icad Inc. COM 44934S107 3,363 1,921,438 SH Other 1,686,628 234,810 Intl. Business Machines COM 459200101 940 7,009 SH Other 6,174 835 Iris Intl Inc. COM 46270W105 7,527 784,036 SH Other 716,981 67,055 Johnson & Johnson COM 478160104 839 13,543 SH Other 11,933 1,610 Johnson Controls Inc. COM 478366107 1,088 35,656 SH Other 31,096 4,560 Kandi Technologies Corp. COM 483709101 95 22,500 SH Other 22,500 LTX-Credence Corp. COM 502403108 2,331 1,115,495 SH Other 1,013,045 102,450 Luminex Corp. COM 55027E102 248 15,490 SH Other 14,920 570 Marriott Intl. Inc. CL A 571903202 1,186 33,103 SH Other 28,559 4,545 Medtox Scientific Inc. COM NEW 584977201 8,487 729,755 SH Other 673,215 56,540 Mindspeed Tech COM NEW 602682205 4,048 521,000 SH Defined 521,000 Mindspeed Tech COM NEW 602682205 3,458 445,033 SH Other 444,383 650 MIPS Technologies, Inc. COM 604567107 2,066 212,070 SH Other 180,750 31,320 NetScout Systems Inc. COM 64115T104 5,677 276,797 SH Other 240,017 36,780 Network Equipment COM 641208103 9,349 2,709,800 SH Defined 2,709,800 Network Equipment COM 641208103 6,021 1,745,141 SH Other 1,629,146 115,995 Northern Trust COM 665859104 866 17,950 SH Other 15,760 2,190 Nuvasive Inc COM 670704105 3,201 91,096 SH Other 80,401 10,695 Oclaro, Inc. COM NEW 67555N206 20,877 1,304,000 SH Defined 1,304,000 Oclaro, Inc. COM NEW 67555N206 14,236 889,225 SH Other 865,677 23,548 Omnicell Inc. COM 68213N109 143 10,955 SH Other 10,955 Onyx Pharmaceuticals Inc. COM 683399109 205 7,760 SH Other 7,760 Oplink Communications COM NEW 68375Q403 2,517 127,145 SH Defined 127,145 Oplink Communications COM NEW 68375Q403 3,602 181,965 SH Other 181,965 Pepsico Inc. COM 713448108 859 12,923 SH Other 11,128 1,795 Pfizer Inc. COM 717081103 232 13,515 SH Other 13,515 PLX Technology COM 693417107 959 265,000 SH Defined 265,000 PLX Technology COM 693417107 4,059 1,121,198 SH Other 1,031,628 89,570 PMC-Sierra Inc. COM 69344F106 294 40,000 SH Other 40,000 Procter & Gamble COM 742718109 763 12,723 SH Other 11,113 1,610 Quidel Corp. COM 74838J101 3,864 351,624 SH Other 317,344 34,280 RAE Systems COM 75061P102 7,267 4,628,777 SH Defined 4,628,777 RAE Systems COM 75061P102 5,143 3,276,000 SH Other 3,276,000 Regeneron Pharma COM 75886F107 3,014 110,000 SH Defined 110,000 Regeneron Pharma COM 75886F107 8,396 306,428 SH Other 291,488 14,940 RF Monolithics Inc. COM 74955F106 12 10,000 SH Other 10,000 RTI Biologics, Inc. COM 74975N105 1,525 580,000 SH Defined 580,000 RTI Biologics, Inc. COM 74975N105 7,465 2,838,302 SH Other 2,593,970 244,332 Sandisk Corp. COM 80004C101 1,209 33,000 SH Other 33,000 Sangamo Biosciences COM 800677106 2,225 648,790 SH Defined 648,790 Sangamo Biosciences COM 800677106 2,999 874,249 SH Other 839,119 35,130 Southern Company COM 842587107 1,049 28,160 SH Other 24,385 3,775 Southwest Airlines Co. COM 844741108 976 74,705 SH Other 64,990 9,715 SPDR Trust Ser 1 TR UNIT 78462F103 690 6,050 SH Other 6,050 SunOpta, Inc. COM 8676EP108 12,519 2,055,608 SH Other 1,886,298 169,310 Superconductor Tech COM NEW 867931305 6,858 4,034,400 SH Defined 4,034,400 Superconductor Tech COM NEW 867931305 2,142 1,259,972 SH Other 1,257,372 2,600 Tellabs Inc. COM 879664100 146 19,610 SH Other 19,610 Thoratec Corp. COM NEW 885175307 4,746 128,352 SH Other 122,972 5,380 Vanguard Total Stock STK MRK ETF 922908769 222 3,800 SH Other 3,800 Verizon Comm COM 92343V104 843 25,852 SH Other 22,687 3,165 Vivus Inc. COM 928551100 1,122 167,735 SH Other 149,150 18,585 Wells Fargo & Co. COM 949746101 858 34,175 SH Other 30,145 4,030 Wireless Ronin Technologies Inc. COM 97652A203 1,290 1,074,903 SH Other 950,998 123,905 REPORT SUMMARY 101 307,638
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