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