0000892712-12-000052.txt : 20120202 0000892712-12-000052.hdr.sgml : 20120202 20120202170359 ACCESSION NUMBER: 0000892712-12-000052 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120202 DATE AS OF CHANGE: 20120202 EFFECTIVENESS DATE: 20120202 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: 12566613 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 kopp13fc.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Quarter Ended: December 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 ----------------------------------------------------------- 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 2-1-12 ---------------------------------------------------------------------- (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: 95 --------- Form 13F Information Table Value Total: $ 237,533 --------- (thousands) List of Other Included Managers: None 3 KOPP INVESTMENT ADVISORS, LLC FORM 13F INFORMATION TABLE DECEMBER 31, 2011
VOTING AUTHORITY ---------------- TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER NAME OF ISSUER CLASS CUSIP (X$1000) PRN AMT PRN CALL DSCRET MANAGERS SOLE SHARED NONE -------------- ----- ----- ------- ------- --- ---- ------- -------- ----- ------ ---- 3M Company COM 88579Y101 858 10,502 SH N/A Other N/A 9,397 1,105 Achillion Pharmaceuticals Inc. COM 00448Q201 223 29,330 SH N/A Other N/A 29,330 Adept Technologies Inc. COM NEW 006854202 1,391 579,600 SH N/A Defined N/A 579,600 Adept Technologies Inc. COM NEW 006854202 704 293,500 SH N/A Other N/A 293,500 Aflac Incorporated COM 001055102 856 19,791 SH N/A Other N/A 17,611 2,180 Akorn, Inc. COM 009728106 4,893 440,000 SH N/A Defined N/A 440,000 Akorn, Inc. COM 009728106 20,664 1,858,284 SH N/A Other N/A 1,744,649 113,635 Amarin Corp. PLC ADS SPONS ADR NEW 023111206 2,022 270,000 SH N/A Defined N/A 270,000 Amarin Corp. PLC ADS SPONS ADR NEW 023111206 9,591 1,280,505 SH N/A Other N/A 1,208,590 71,915 American Express Company COM 025816109 971 20,577 SH N/A Other N/A 18,012 2,565 Amerigon Inc. COM 03070L300 2,240 157,077 SH N/A Other N/A 140,077 17,000 Angiodynamics, Inc. COM 03475V101 4,379 295,674 SH N/A Other N/A 261,981 33,693 Apache Corp. COM 037411105 892 9,850 SH N/A Other N/A 8,650 1,200 Array Biopharma Inc. COM 04269X105 2,160 1,000,000 SH N/A Defined N/A 1,000,000 Array Biopharma Inc. COM 04269X105 5,369 2,485,549 SH N/A Other N/A 2,256,658 228,891 AtriCure Inc. COM 04963C209 254 22,860 SH N/A Other N/A 22,860 Cardiome Pharma Corp. COM NEW 14159U202 427 162,500 SH N/A Defined N/A 162,500 Cardiome Pharma Corp. COM NEW 14159U202 2,920 1,110,452 SH N/A Other N/A 1,019,067 91,385 Cepheid Inc. COM 15670R107 327 9,502 SH N/A Other N/A 9,337 165 Comverge Inc. COM 205859101 1,272 1,009,780 SH N/A Other N/A 872,895 136,885 Constant Contact, Inc. COM 210313102 2,108 90,802 SH N/A Other N/A 81,702 9,100 Cummins Inc. COM 231021106 766 8,700 SH N/A Other N/A 7,580 1,120 Datalink Corp. COM 237934104 3,470 420,125 SH N/A Other N/A 375,535 44,590 Dow Chemical Co. COM 260543103 762 26,502 SH N/A Other N/A 23,067 3,435 Dynavax Technologies Corp. COM 268158102 239 71,860 SH N/A Other N/A 71,860 Elan Corporation PLC ADR ADR 284131208 210 15,270 SH N/A Other N/A 15,270 Emcore Corp. COM 290846104 4,618 5,355,000 SH N/A Defined N/A 5,355,000 Emcore Corp. COM 290846104 2,961 3,433,955 SH N/A Other N/A 3,419,820 14,135 EnteroMedics Inc. COM NEW 29365M208 39 23,205 SH N/A Other N/A 23,205 Exxon Mobil Corporation COM 30231G102 1,086 12,811 SH N/A Other N/A 11,272 1,539 Finisar Corp. COM NEW 31787A507 6,960 415,625 SH N/A Defined N/A 415,625 Finisar Corp. COM NEW 31787A507 12,225 730,043 SH N/A Other N/A 699,468 30,575 Gilead Sciences Inc. COM 375558103 343 8,380 SH N/A Other N/A 8,380 Harvard Bioscience, Inc. COM 416906105 186 48,152 SH N/A Other N/A 48,152 HealthStream, Inc. COM 42222N103 345 18,685 SH N/A Other N/A 18,685 Heckmann Corp. COM 422680108 2,865 430,810 SH N/A Other N/A 377,675 53,135 Inhibitex Inc. COM 45719T103 210 19,200 SH N/A Other N/A 19,200 International Business Machines Corp. COM 459200101 1,154 6,274 SH N/A Other N/A 5,519 755 Iris International Inc. COM 46270W105 748 80,000 SH N/A Defined N/A 80,000 Iris International Inc. COM 46270W105 6,955 743,850 SH N/A Other N/A 674,920 68,930 iShares Russell 2000 Growth RUSL 2000 GROW 464287648 376 4,465 SH N/A Other N/A 4,465 Ista Pharmaceuticals Inc. COM NEW 45031X204 477 67,710 SH N/A Other N/A 67,710 JDS Uniphase Corp. COM PAR $0.001 46612J507 744 71,258 SH N/A Other N/A 71,258 Johnson & Johnson COM 478160104 870 13,273 SH N/A Other N/A 11,883 1,390 Johnson Controls Inc. COM 478366107 935 29,917 SH N/A Other N/A 26,452 3,465 Marriott International Inc. CL A 571903202 851 29,169 SH N/A Other N/A 25,615 3,554 Masimo Corporation COM 574795100 192 10,285 SH N/A Other N/A 10,285 Medtox Scientific Inc. COM NEW 584977201 11,162 794,464 SH N/A Other N/A 737,864 56,600 Mindspeed Technologies, Inc. COM NEW 602682205 2,794 610,000 SH N/A Defined N/A 610,000 Mindspeed Technologies, Inc. COM NEW 602682205 6,083 1,328,210 SH N/A Other N/A 1,257,315 70,895 MIPS Technologies, Inc. COM 604567107 704 157,860 SH N/A Other N/A 132,195 25,665 National Oilwell Varco Inc. COM 637071101 1,019 14,990 SH N/A Other N/A 13,175 1,815 Neogen Corp. COM 640491106 442 14,430 SH N/A Other N/A 14,430 Network Equipment Technologies, Inc. COM 641208103 3,213 2,769,800 SH N/A Defined N/A 2,769,800 Network Equipment Technologies, Inc. COM 641208103 1,954 1,684,886 SH N/A Other N/A 1,591,696 93,190 Northern Oil & Gas Inc. COM 665531109 1,736 72,385 SH N/A Other N/A 64,575 7,810 Northern Trust COM 665859104 719 18,120 SH N/A Other N/A 16,105 2,015 Nuvasive Inc. COM 670704105 514 40,833 SH N/A Other N/A 35,683 5,150 Oclaro, Inc. COM NEW 67555N206 3,455 1,225,000 SH N/A Defined N/A 1,225,000 Oclaro, Inc. COM NEW 67555N206 3,489 1,237,384 SH N/A Other N/A 1,213,971 23,413 Omnicell Inc. COM 68213N109 286 17,289 SH N/A Other N/A 17,289 Oplink Communications, Inc. COM NEW 68375Q403 2,918 177,145 SH N/A Defined N/A 177,145 Oplink Communications, Inc. COM NEW 68375Q403 5,596 339,785 SH N/A Other N/A 329,106 10,679 OraSure Technologies Inc. COM 68554V108 250 27,440 SH N/A Other N/A 27,440 Pepsico Inc. COM 713448108 820 12,353 SH N/A Other N/A 10,818 1,535 PLX Technology, Inc. COM 693417107 144 50,000 SH N/A Defined N/A 50,000 PLX Technology, Inc. COM 693417107 2,288 797,194 SH N/A Other N/A 703,509 93,685 PMC-Sierra Inc. COM 69344F106 110 20,000 SH N/A Other N/A 20,000 The Procter & Gamble Company COM 742718109 826 12,383 SH N/A Other N/A 11,008 1,375 Quidel Corp. COM 74838J101 2,800 185,036 SH N/A Other N/A 167,381 17,655 Regeneron Pharmaceuticals, Inc. COM 75886F107 2,644 47,695 SH N/A Other N/A 45,037 2,658 RF Monolithics Inc. COM 74955F106 11 10,000 SH N/A Other N/A 10,000 RTI Biologics, Inc. COM 74975N105 1,976 445,000 SH N/A Defined N/A 445,000 RTI Biologics, Inc. COM 74975N105 14,494 3,264,433 SH N/A Other N/A 3,011,096 253,337 Sangamo Biosciences, Inc. COM 800677106 278 98,000 SH N/A Defined N/A 98,000 Sangamo Biosciences, Inc. COM 800677106 1,419 499,664 SH N/A Other N/A 473,169 26,495 Southern Company COM 842587107 1,153 24,907 SH N/A Other N/A 21,997 2,910 Southwest Airlines Co. COM 844741108 828 96,736 SH N/A Other N/A 85,061 11,675 SPDR Trust Ser 1 TR UNIT 78462F103 772 6,150 SH N/A Other N/A 5,950 200 Spectranetics Corp. COM 84760C107 338 46,820 SH N/A Other N/A 46,820 Staar Surgical Co. COM PAR $0.01 852312305 3,539 337,395 SH N/A Other N/A 311,875 25,520 Staples Inc. COM 855030102 642 46,225 SH N/A Other N/A 41,420 4,805 SunOpta, Inc. COM 8676EP108 6,591 1,367,331 SH N/A Other N/A 1,272,838 94,493 Superconductor Technologies, Inc. COM NEW 867931305 5,577 4,534,400 SH N/A Defined N/A 4,534,400 Superconductor Technologies, Inc. COM NEW 867931305 2,606 2,118,492 SH N/A Other N/A 2,115,892 2,600 Synergetics USA, Inc. COM 87160G107 369 50,000 SH N/A Defined N/A 50,000 Synergetics USA, Inc. COM 87160G107 10,894 1,476,160 SH N/A Other N/A 1,345,295 130,865 Thoratec Corp. COM NEW 885175307 1,703 50,739 SH N/A Other N/A 46,249 4,490 Titan Machinery Inc. COM 88830R101 3,382 155,616 SH N/A Other N/A 137,721 17,895 Triquint Semiconductor Inc. COM 89674K103 1,877 385,437 SH N/A Other N/A 337,910 47,527 Vanguard Total Stock TOTAL STK MKT 922908769 244 3,800 SH N/A Other N/A 3,800 Verizon Communications, Inc. COM 92343V104 1,011 25,206 SH N/A Other N/A 22,236 2,970 Vitesse Semiconductor Corporation COM NEW 928497304 2,444 981,550 SH N/A Defined N/A 981,550 Vitesse Semiconductor Corporation COM NEW 928497304 3,449 1,385,280 SH N/A Other N/A 1,383,015 2,265 Wells Fargo & Co. COM 949746101 862 31,278 SH N/A Other N/A 27,673 3,605 REPORT SUMMARY 95 237,533
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