0000892712-11-000305.txt : 20110425
0000892712-11-000305.hdr.sgml : 20110425
20110425141329
ACCESSION NUMBER: 0000892712-11-000305
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110331
FILED AS OF DATE: 20110425
DATE AS OF CHANGE: 20110425
EFFECTIVENESS DATE: 20110425
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: 11777036
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: March 31, 2011
---------------
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
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Address: 8400 Normandale Lake Blvd., Suite 1450
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Bloomington, MN 55437
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Form 13F File No: 28-03099
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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
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Title: Chief Financial Officer and Chief Compliance Officer
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Phone: (952) 841-0400
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Signature, Place, and Date of Signing:
/s/ John P. Flakne Bloomington, Minnesota April 25, 2011
--------------------------------------------------------------------------------
(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
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 105
--------
Form 13F Information Table Value Total: $ 359,195
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(thousands)
List of Other Included Managers: None
2
KOPP INVESTMENT ADVISORS, LLC
FORM 13F INFORMATION TABLE
MARCH 31, 2011
VOTING AUTHORITY
----------------
NAME OF ISSUER TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER
--------------- CLASS CUSIP (X$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
-------- ------ ------- ------- ---- ---- -------- -------- ---- ------ ----
3M Company COM 88579Y101 1,095 11,712 SH N/A Other N/A 10,577 1,135
Adept Tech Inc. COM NEW 006854202 2,685 583,600 SH N/A Defined N/A 583,600
Adept Tech Inc. COM NEW 006854202 1,656 360,015 SH N/A Other N/A 360,015
Aflac Incorporated COM 001055102 1,165 22,066 SH N/A Other N/A 19,701 2,365
Akorn, Inc. COM 009728106 462 80,000 SH N/A Defined N/A 80,000
Akorn, Inc. COM 009728106 13,138 2,276,985 SH N/A Other N/A 2,084,440 192,545
Amarin Corp. PLC ADS SPONS ADR NEW 023111206 2,701 370,000 SH N/A Defined N/A 370,000
Amarin Corp. PLC ADS SPONS ADR NEW 023111206 6,491 889,230 SH N/A Other N/A 850,355 38,875
American Express Company COM 025816109 1,095 24,235 SH N/A Other N/A 21,460 2,775
American Superconductor Corp. COM 030111108 1,382 55,550 SH N/A Other N/A 48,400 7,150
Amerigon Inc. COM 03070L300 2,124 139,105 SH N/A Other N/A 124,920 14,185
Angiodynamics, Inc. COM 03475V101 5,208 344,428 SH N/A Other N/A 305,320 39,108
Array Biopharma Inc. COM 04269X105 4,116 1,345,000 SH N/A Defined N/A 1,345,000
Array Biopharma Inc. COM 04269X105 7,319 2,391,710 SH N/A Other N/A 2,179,891 211,819
AtriCure Inc. COM 04963C209 393 34,560 SH N/A Other N/A 34,560
AVI BioPharma, Inc. COM 002346104 199 106,970 SH N/A Other N/A 106,970
Biomimetic Therapeutics, Inc. COM 09064X101 303 23,120 SH N/A Other N/A 23,120
Biosante Pharmaceuticals Inc. COM NEW 09065V203 3,886 1,962,760 SH N/A Defined N/A 1,962,760
Biosante Pharmaceuticals Inc. COM NEW 09065V203 1,973 996,330 SH N/A Other N/A 996,330
Caliper Life Sciences, Inc. COM 130872104 1,284 190,000 SH N/A Defined N/A 190,000
Caliper Life Sciences, Inc. COM 130872104 7,749 1,146,260 SH N/A Other N/A 1,022,125 124,135
Cardiome Pharma Corp. COM NEW 14159U202 514 120,000 SH N/A Defined N/A 120,000
Cardiome Pharma Corp. COM NEW 14159U202 6,589 1,539,417 SH N/A Other N/A 1,433,207 106,210
Cepheid Inc. COM 15670R107 662 23,632 SH N/A Other N/A 23,227 405
Clean Energy Fuels Corp. COM 184499101 775 47,330 SH N/A Other N/A 40,710 6,620
Comverge Inc. COM 205859101 3,601 772,845 SH N/A Other N/A 677,024 95,821
ConocoPhillips COM 20825C104 1,170 14,646 SH N/A Other N/A 13,031 1,615
Constant Contact, Inc. COM 210313102 2,957 84,728 SH N/A Other N/A 75,573 9,155
DaVita Inc. COM 23918K108 212 2,475 SH N/A Other N/A 2,475
Deere & Co. COM 244199105 1,483 15,303 SH N/A Other N/A 13,558 1,745
Dow Chemical Co. COM 260543103 1,248 33,052 SH N/A Other N/A 28,907 4,145
DragonWave Inc. COM 26144M103 1,508 181,085 SH N/A Other N/A 158,030 23,055
Durect Corp. COM 266605104 641 177,948 SH N/A Other N/A 149,998 27,950
Emcore Corp. COM 290846104 13,762 5,355,000 SH N/A Defined N/A 5,355,000
Emcore Corp. COM 290846104 7,870 3,062,450 SH N/A Other N/A 3,062,450
EnteroMedics Inc. COM NEW 29365M208 88 31,900 SH N/A Other N/A 31,900
Exxon Mobil Corporation COM 30231G102 1,246 14,812 SH N/A Other N/A 13,177 1,635
Finisar Corp. COM NEW 31787A507 9,410 382,500 SH N/A Defined N/A 382,500
Finisar Corp. COM NEW 31787A507 14,101 573,223 SH N/A Other N/A 550,923 22,300
FMC Technologies, Inc. COM 30249U101 1,430 15,138 SH N/A Other N/A 13,403 1,735
Green Mountain Coffee Roasters, Inc. COM 393122106 753 11,652 SH N/A Other N/A 10,957 695
Harmonic Inc. COM 413160102 516 55,000 SH N/A Defined N/A 55,000
Harmonic Inc. COM 413160102 347 37,000 SH N/A Other N/A 37,000
Harvard Bioscience, Inc. COM 416906105 430 75,655 SH N/A Other N/A 75,655
Icad Inc. COM 44934S107 586 433,765 SH N/A Other N/A 392,220 41,545
International Business Machines Corp. COM 459200101 1,178 7,225 SH N/A Other N/A 6,425 800
Iris International, Inc. COM 46270W105 5,553 615,633 SH N/A Other N/A 553,673 61,960
Johnson & Johnson COM 478160104 821 13,858 SH N/A Other N/A 12,423 1,435
Johnson Controls Inc. COM 478366107 1,444 34,728 SH N/A Other N/A 30,943 3,785
Luminex Corp. COM 55027E102 258 13,775 SH N/A Other N/A 13,655 120
Marriott Intl. Inc. CL A 571903202 1,170 32,896 SH N/A Other N/A 29,097 3,799
Masimo Corporation COM 574795100 209 6,315 SH N/A Other N/A 6,315
Medtox Scientific Inc. COM NEW 584977201 13,762 839,143 SH N/A Other N/A 775,623 63,520
Mindspeed Technologies, Inc. COM NEW 602682205 4,780 565,000 SH N/A Defined N/A 565,000
Mindspeed Technologies, Inc. COM NEW 602682205 8,365 988,788 SH N/A Other N/A 927,698 61,090
MIPS Technologies, Inc. COM 604567107 1,974 188,180 SH N/A Other N/A 159,305 28,875
NetScout Systems Inc. COM 64115T104 6,010 219,993 SH N/A Other N/A 192,218 27,775
Network Equipment Technologies, Inc. COM 641208103 10,216 2,709,800 SH N/A Defined N/A 2,709,800
Network Equipment Technologies, Inc. COM 641208103 6,585 1,746,661 SH N/A Other N/A 1,633,791 112,870
Northern Oil & Gas Inc. COM 665531109 934 34,965 SH N/A Other N/A 30,970 3,995
Northern Trust COM 665859104 947 18,670 SH N/A Other N/A 16,600 2,070
Nuvasive Inc. COM 670704105 2,194 86,651 SH N/A Other N/A 76,596 10,055
Oclaro, Inc. COM NEW 67555N206 9,660 840,000 SH N/A Defined N/A 840,000
Oclaro, Inc. COM NEW 67555N206 9,260 805,181 SH N/A Other N/A 781,728 23,453
Omnicell Inc. COM 68213N109 193 12,635 SH N/A Other N/A 12,635
Oplink Communications, Inc. COM NEW 68375Q403 2,283 117,145 SH N/A Defined N/A 117,145
Oplink Communications, Inc. COM NEW 68375Q403 3,508 179,965 SH N/A Other N/A 179,965
OraSure Technologies COM 68554V108 184 23,460 SH N/A Other N/A 23,460
Pepsico Inc. COM 713448108 854 13,263 SH N/A Other N/A 11,813 1,450
Pfizer Inc. COM 717081103 245 12,040 SH N/A Other N/A 12,040
PLX Technology, Inc. COM 693417107 639 175,000 SH N/A Defined N/A 175,000
PLX Technology, Inc. COM 693417107 4,278 1,172,019 SH N/A Other N/A 1,067,519 104,500
PMC-Sierra Inc. COM 69344F106 150 20,000 SH N/A Other N/A 20,000
PowerShares QQQ Trust UNIT SER 1 73935A104 250 4,350 SH N/A Other N/A 4,350
The Procter & Gamble Company COM 742718109 803 13,038 SH N/A Other N/A 11,588 1,450
Quidel Corp. COM 74838J101 3,970 331,949 SH N/A Other N/A 292,944 39,005
RAE Systems, Inc. COM 75061P102 7,627 4,333,777 SH N/A Defined N/A 4,333,777
RAE Systems, Inc. COM 75061P102 4,858 2,760,500 SH N/A Other N/A 2,760,500
Regeneron Pharmaceuticals, Inc. COM 75886F107 3,505 78,000 SH N/A Defined N/A 78,000
Regeneron Pharmaceuticals, Inc. COM 75886F107 9,399 209,143 SH N/A Other N/A 200,088 9,055
RF Monolithics Inc. COM 74955F106 13 10,000 SH N/A Other N/A 10,000
RTI Biologics, Inc. COM 74975N105 772 270,000 SH N/A Defined N/A 270,000
RTI Biologics, Inc. COM 74975N105 8,702 3,042,529 SH N/A Other N/A 2,758,657 283,872
Sandisk Corp COM 80004C101 922 20,000 SH N/A Other N/A 20,000
Sangamo Biosciences, Inc. COM 800677106 7,279 873,790 SH N/A Defined N/A 873,790
Sangamo Biosciences, Inc. COM 800677106 9,517 1,142,454 SH N/A Other N/A 1,107,424 35,030
Smith Micro Software, Inc. COM 832154108 4,248 453,822 SH N/A Other N/A 397,970 55,852
Southern Company COM 842587107 1,085 28,477 SH N/A Other N/A 25,367 3,110
Southwest Airlines Co. COM 844741108 956 75,676 SH N/A Other N/A 67,561 8,115
SPDR Trust Ser 1 TR UNIT 78462F103 802 6,050 SH N/A Other N/A 6,050
Staples Inc. COM 855030102 964 49,665 SH N/A Other N/A 44,085 5,580
SunOpta, Inc. COM 8676EP108 9,665 1,300,797 SH N/A Other N/A 1,213,938 86,859
Superconductor Technologies Inc. COM NEW 867931305 13,558 4,534,400 SH N/A Defined N/A 4,534,400
Superconductor Technologies Inc. COM NEW 867931305 6,039 2,019,847 SH N/A Other N/A 2,017,247 2,600
Synergetics USA, Inc. COM 87160G107 4,133 701,680 SH N/A Other N/A 629,156 72,524
Thoratec Corp. COM NEW 885175307 1,927 74,327 SH N/A Other N/A 68,687 5,640
Titan Machinery Inc. COM 88830R101 3,820 151,280 SH N/A Other N/A 133,805 17,475
ValueVision Media, Inc. CL A 92047K107 1,838 288,980 SH N/A Other N/A 257,825 31,155
Vanguard Total Stock STK MRK ETF 922908769 261 3,800 SH N/A Other N/A 3,800
Verizon Communications Inc. COM 92343V104 1,065 27,636 SH N/A Other N/A 24,586 3,050
Vitesse Semiconductor Corporation COM NEW 928497304 4,765 986,550 SH N/A Defined N/A 986,550
Vitesse Semiconductor Corporation COM NEW 928497304 6,777 1,403,167 SH N/A Other N/A 1,400,902 2,265
Vivus Inc. COM 928551100 2,114 341,580 SH N/A Other N/A 305,815 35,765
Wells Fargo & Co. COM 949746101 1,109 34,988 SH N/A Other N/A 31,173 3,815
Wireless Ronin Technologies Inc. COM 97652A203 475 368,525 SH N/A Other N/A 313,675 54,850
REPORT SUMMARY 105 359,195
3