0000928204-12-000006.txt : 20121109 0000928204-12-000006.hdr.sgml : 20121109 20121109134244 ACCESSION NUMBER: 0000928204-12-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121109 DATE AS OF CHANGE: 20121109 EFFECTIVENESS DATE: 20121109 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WILLIAM HARRIS INVESTORS INC CENTRAL INDEX KEY: 0000928204 IRS NUMBER: 363488341 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04436 FILM NUMBER: 121192854 BUSINESS ADDRESS: STREET 1: 191 NORTH WACKER DRIVE STREET 2: SUITE 1500 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3126210590 MAIL ADDRESS: STREET 1: 191 NORTH WACKER DRIVE STREET 2: SUITE 1500 CITY: CHICAGO STATE: IL ZIP: 60606 FORMER COMPANY: FORMER CONFORMED NAME: HARRIS WILLIAM INVESTORS INC DATE OF NAME CHANGE: 19990407 13F-HR 1 filing9-12.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2012 Check here if Amendment [ ]; Amendment Number: ____ This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: William Harris Investors, Inc. Address: 191 North Wacker Drive, Suite 1500 Chicago, IL 60606 Form 13F File Number: 28-4436 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 Reporting Manager: Name: Marc Bassewitz Title: Vice President and General Counsel Phone: (312) 604-1998 Signature, Place, and Date of Signing: /s/Marc Bassewitz Chicago, IL 11/9/2012 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 INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MNGRS SOLE SHARED NONE -------------------------- ----- --------- -------- -------- --- ---- ------- ----- -------- -------- -------- GREENLIGHT CAPITAL RE LTD CL A G4095J109 1039 42000 SH Sole 42000 AT&T, INC COM 00206R102 667 17700 SH Sole 17700 75 2000 SH Defined 2000 ADVANCE AUTO PARTS, INC COM 00751Y106 9099 132950 SH Sole 132950 AEGION CORP COM 00770F104 3025 157880 SH Sole 156880 1000 AIR PRODUCTS & CHEM, INC COM 009158106 6451 78000 SH Sole 78000 AM PUBLIC EDUCATION, INC COM 02913V103 5971 163900 SH Sole 163900 AMERISOURCEBERGEN CORP COM 03073E105 9128 235800 SH Sole 234300 1500 ANNALY CAPITAL MGMT, INC COM 035710409 344 20420 SH Sole 20420 8 500 SH Defined 500 ANTARES PHARMA, INC COM 036642106 6017 1380000 SH Sole 1340000 40000 APOLLO RESIDENTIAL MTG COM 03763V102 527 23900 SH Sole 23900 APTARGROUP, INC COM 038336103 1273 24622 SH Sole 24622 BEACON ROOFING SUPPLY COM 073685109 8080 283700 SH Sole 283700 CVS CORP COM 126650100 291 6020 SH Sole 6020 CHINACAST ED CORP COM 16946T109 848 1844095 SH Sole 1844095 34 74000 SH Defined 74000 CHURCH & DWIGHT, INC COM 171340102 631 11680 SH Sole 11680 DIGITAL GENERATION INC COM 25400B108 2896 255000 SH Sole 255000 DOVER MOTORSPORTS, INC COM 260174107 287 206332 SH Sole 206332 ECHO GLOBAL LOGISTICS, INC COM 27875T101 5277 307711 SH Sole 307711 ENDOLOGIX, INC COM 29266S106 586 42391 SH Defined 42391 EXELIXIS, INC COM 30161Q104 59 12230 SH Defined 12230 EXXON MOBIL CORP COM 30231G102 377 4126 SH Sole 4126 16 178 SH Defined 178 FLIR SYSTEMS, INC COM 302445101 7401 370500 SH Sole 370500 FOREST CITY ENT, INC CL A 345550107 183 11550 SH Defined 11550 FUSE SCIENCE, INC COM 36113J106 4 37500 SH Sole 37500 GENERAC HOLDINGS, INC COM 368736104 7007 306100 SH Sole 306100 GRAND CANYON EDUCATION, INC COM 38526M106 9062 385120 SH Sole 385120 HARRIS CORP COM 413875105 4815 94000 SH Sole 94000 HEALTH MGMT ASSOC, INC CL A 421933102 9340 1113229 SH Sole 1113229 67 8000 SH Defined 8000 HELMERICH & PAYNE, INC COM 423452101 4782 100440 SH Sole 100000 440 ICON PLC ADR 45103T107 13614 558638 SH Sole 558638 INKSURE TECH COM 45727E106 1 13000 SH Defined 13000 ISHARES MSCI BRASIL FREE INDX 464286400 541 10000 SH Sole 10000 ISHARES MSCI JAPAN INDX 464286848 127 13892 SH Sole 13892 13 1436 SH Defined 1436 ISHARES NASDAQ BIOTECH COM 464287556 635 4450 SH Sole 4450 ISHARES RUSSELL 2000 GROWTH INDX 464287648 268 2805 SH Sole 2805 ISIS PHARMACEUTICALS, INC COM 464330109 8226 584634 SH Sole 525634 59000 789 56100 SH Defined 56100 JDA SOFTWARE GROUP, INC COM 46612K108 6350 199800 SH Sole 199800 JOHNSON & JOHNSON COM 478160104 227 3300 SH Sole 3300 5 74 SH Defined 74 KKR FINANCIAL HOLDINGS LLC COM 48248A306 172 17119 SH Sole 17119 65 6486 SH Defined 2486 4000 K-12 EDUCATION COM 48273U102 2969 147001 SH Sole 147001 KAPSTONE PAPER & PACK CORP COM 48562P103 12217 545667 SH Sole 543667 2000 1809 80800 SH Defined 80800 KAYNEANDERSON ENERGY TTL RET COM 48660P104 186 6720 SH Sole 6720 174 6300 SH Defined 1000 5300 KAYNEANDERSON MIDSTREAM ENER COM 48661E108 117 4000 SH Sole 4000 88 3000 SH Defined 3000 KROGER CO COM 501044101 10875 462000 SH Sole 462000 LEXICON PHARM, INC COM 528872104 474 204342 SH Sole 204342 MACQUARIE INFRASTRUCTURE LLC COM 55608B105 582 14040 SH Sole 14040 131 3156 SH Defined 1756 1400 MARKET VECTOR GOLD MINERS ETF 57060U100 353 6580 SH Sole 6580 33 620 SH Defined 620 METLIFE, INC COM 59156R108 6892 200000 SH Sole 200000 MICROSOFT COM 594918104 6848 230100 SH Sole 229300 800 MICROCHIP TECHNOLOGY, INC COM 595017104 3189 97400 SH Sole 97400 MONSANTO CO COM 61166W101 200 2200 SH Sole 2200 NEONODE, INC COM 64051M402 135 35900 SH Sole 35900 28 7500 SH Defined 7500 NOKIA CORP SPONSORED ADR 654902204 53 20400 SH Sole 20400 OCH-ZIFF CAPITAL MGMT GROUP COM 67551U105 483 50000 SH Sole 50000 39 4000 SH Defined 4000 OPENTABLE, INC COM 68372A906 1781 42811 SH Sole 42811 PAA NATURAL GAS STORAGE, LP UT 693139107 1461 73436 SH Sole 73436 PANACOS PHARM, INC COM 69811Q106 0 25000 SH Defined 25000 PANERA BREAD CO COM 69840W108 8901 52084 SH Sole 52084 PAREXEL INT'L CORP COM 699462107 3061 99500 SH Sole 99500 PEET'S COFFEE & TEA, INC COM 705560100 3177 43324 SH Sole 43324 POLYPORE INT'L, INC COM 73179V103 9530 269600 SH Sole 269200 400 POWERSHARES DB AGRICULTURE ETF 73936B408 294 10000 SH Sole 10000 PROCTER & GAMBLE COM 742718109 213 3075 SH Sole 3075 69 1000 SH Defined 1000 RESEARCH IN MOTION, LTD COM 760975102 3772 503000 SH Sole 503000 30 4000 SH Defined 4000 RITCHIE BROS AUCTIONEERS COM 767744105 8479 440900 SH Sole 440900 RYDEX RUSSELL TOP 50 ETF 78355W205 220 2050 SH Sole 2050 POOL CORP COM 784028102 4522 108743 SH Sole 108743 SPDR GOLD TRUST ETF 78463V107 1579 9185 SH Sole 9185 SANOFI-AVENTIS 12/31/2020 RT 80105N113 54 32302 SH Defined 32302 SPDR HEALTHCARE SELECT ETF 81369Y209 314 7835 SH Sole 7835 25 629 SH Defined 629 SENOMYX, INC COM 81724Q107 3501 1842781 SH Sole 1729013 113768 28 15000 SH Defined 15000 SOLAR SENIOR CAPITAL LTD COM 83416M105 482 26900 SH Sole 7200 19700 99 5500 SH Defined 3000 2500 SPEEDWAY MOTORSPORTS, INC COM 847788106 8154 529459 SH Sole 529459 STATE STREET CORP COM 857477103 6315 150500 SH Sole 150500 SYMANTEC CORP COM 871503108 5800 322682 SH Sole 322682 TD AMERITRADE HLDG CORP COM 87236y108 5527 359627 SH Sole 359627 3M COMPANY COM 88579Y101 125 1350 SH Sole 1350 127 1374 SH Defined 1200 174 TWO HARBORS INVESTMENT CORP COM 90187B101 294 25000 SH Sole 25000 23 2000 SH Defined 2000 VANGUARD DIV APPRECIATION ETF 921908844 596 9984 SH Sole 9984 33 560 SH Defined 560 VANGUARD MSCI EMERGING MKTS ETF 922042858 1964 47086 SH Sole 47086 42 1000 SH Defined 1000 VENTAS, INC COM 92276F100 128 2061 SH Sole 2061 156 2500 SH Defined 2500 VISA, INC COM 92826C839 239 1780 SH Sole 1780 134 1000 SH Defined 1000 WALGREEN COM 931422109 8071 221500 SH Sole 221000 500 WISDOMTREE INDIA ETF 97717W422 349 18450 SH Sole 18450 38 2000 SH Defined 2000
Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: None Form 13F Information Table Entry Total: 112 Form 13F Information Table Value Total: $274,282 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name NONE