0000928204-13-000001.txt : 20130212 0000928204-13-000001.hdr.sgml : 20130212 20130212163202 ACCESSION NUMBER: 0000928204-13-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130212 DATE AS OF CHANGE: 20130212 EFFECTIVENESS DATE: 20130212 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: 13597619 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 filing12-12.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 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 02/12/2013 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 969 42000 SH Sole 42000 AT&T, INC COM 00206R102 597 17700 SH Sole 17700 67 2000 SH Defined 2000 ACTUATE CORP COM 00508B102 3080 550000 SH Sole 550000 ADVANCE AUTO PARTS, INC COM 00751Y106 7051 97450 SH Sole 97450 AIR PRODUCTS & CHEMS, INC COM 009158106 6638 79000 SH Sole 79000 AMERICAN PUBLIC ED, INC COM 02913V103 7585 209989 SH Sole 209989 AMERISOURCEBERGEN CORP COM 03073E105 8196 189800 SH Sole 188300 1500 ANNALY CAPITAL MGMT, INC COM 035710409 274 19500 SH Sole 19500 ANTARES PHARMA, INC COM 036642106 5712 1499200 SH Sole 1459200 40000 APOLLO RESIDENTIAL MTG, INC COM 03763V102 483 23900 SH Sole 23900 APTARGROUP, INC COM 038336103 1175 24622 SH Sole 24622 BARCLAYS IPATH DJUBS TIN 38 ETN 06739H198 215 4000 SH Sole 4000 BEACON ROOFING SUPPLY, INC COM 073685109 8776 263700 SH Sole 263700 BED BATH & BEYOND, INC COM 075896100 5731 102500 SH Sole 102500 CVS CORP COM 126650100 291 6020 SH Sole 6020 CHIPOTLE MEXICAN GRILL, INC COM 169656105 12493 42000 SH Sole 42000 CHURCH & DWIGHT, INC COM 171340102 621 11585 SH Sole 11585 DESIGN WITHIN REACH, INC COM 250557204 85 21178 SH Sole 21178 0 56 SH Defined 56 DIGITAL GENERATION INC COM 25400B108 3491 320000 SH Sole 320000 DOVER MOTORSPORTS, INC COM 260174107 256 151332 SH Sole 151332 ECHO GLOBAL LOGISTICS, INC COM 27875T101 4526 251864 SH Sole 251864 ENDOLOGIX, INC COM 29266S106 604 42391 SH Defined 42391 EXELIXIS, INC COM 30161Q104 56 12230 SH Defined 12230 EXXON MOBIL CORP COM 30231G102 322 3722 SH Sole 3722 15 178 SH Defined 178 FLIR SYSTEMS, INC COM 302445101 8268 370500 SH Sole 370500 FOREST CITY ENT, INC CL A 345550107 187 11550 SH Defined 11550 FUSE SCIENCE, INC COM 36113J106 7 37500 SH Sole 37500 GENERAC HOLDINGS, INC COM 368736104 6900 201100 SH Sole 201100 GENERAL MOTORS COM 37045V100 291 10100 SH Sole 10100 GRAND CANYON EDUCATION, INC COM 38526M106 8687 370120 SH Sole 370120 HEALTH MGMT ASSOC, INC CL A 421933102 10342 1109689 SH Sole 1109689 75 8000 SH Defined 8000 HELMERICH & PAYNE, INC COM 423452101 5626 100440 SH Sole 100000 440 ICON PLC ADR G4705A100 7069 254638 SH Sole 254638 INKSURE TECH COM 45727E106 1 13000 SH Defined 13000 ISHARES MSCI JAPAN INDX 464286848 135 13892 SH Sole 13892 14 1436 SH Defined 1436 ISHARES FTSE CHINA 25 INDX 464287184 283 7003 SH Sole 7003 18 447 SH Defined 447 ISHARE NASDAQ BIOTECH INDX 464287556 548 3990 SH Sole 3990 ISHARES TR RUSS 2000 GROW INDX 464287648 267 2805 SH Sole 2805 ISIS PHARMACEUTICALS, INC COM 464330109 4293 411234 SH Sole 352634 58600 586 56100 SH Defined 56100 JOHNSON & JOHNSON COM 478160104 301 4300 SH Sole 4300 5 74 SH Defined 74 KKR FINANCIAL HOLDINGS LLC COM 48248A306 181 17119 SH Sole 17119 68 6486 SH Defined 2486 4000 K-12 EDUCATION COM 48273U102 3618 177001 SH Sole 177001 KAPSTONE PAPER & PACK CORP COM 48562P103 12108 545667 SH Sole 543667 2000 1793 80800 SH Defined 80800 KAYNE ANDERSON ENRGY TTL RET COM 48660P104 111 4500 SH Sole 4500 155 6300 SH Defined 1000 5300 KAYNE ANDERSON MDSTM ENRGY COM 48661E108 115 4000 SH Sole 4000 86 3000 SH Defined 3000 KROGER CO COM 501044101 6947 267000 SH Sole 267000 LEXICON PHARM, INC COM 528872104 452 204342 SH Sole 204342 MACQUARIE INFRASTRUCTURE LLC COM 55608B105 640 14040 SH Sole 14040 144 3156 SH Defined 1756 1400 MARKET VECTORS GOLD MINERS ETF 57060U100 476 10255 SH Sole 10255 29 620 SH Defined 620 METLIFE, INC COM 59156R108 7247 220000 SH Sole 220000 MICROCHIP TECHNOLOGY, INC COM 595017104 4563 140000 SH Sole 140000 MONSANTO CO COM 61166W101 208 2200 SH Sole 2200 MYLAN LABORATORIES COM 628530107 5984 218000 SH Sole 218000 NEONODE, INC COM 64051M402 199 40900 SH Sole 40900 36 7500 SH Defined 7500 NOKIA CORP ADR 654902204 81 20400 SH Sole 20400 OCH-ZIFF CAPITAL MGMT GROUP COM 67551U105 475 50000 SH Sole 50000 38 4000 SH Defined 4000 OPENTABLE, INC COM 68372A906 2089 42811 SH Sole 42811 PAA NATURAL GAS STORAGE, LP UNIT 693139107 1370 71941 SH Sole 71941 PANERA BREAD CO COM 69840W108 3190 20084 SH Sole 20084 POLYPORE INT'L, INC COM 73179V103 7933 170600 SH Sole 170200 400 POWERSHARES DB AG FUND 73936B408 279 10000 SH Sole 10000 PROCTER & GAMBLE COM 742718109 270 3975 SH Sole 3975 68 1000 SH Defined 1000 RESEARCH IN MOTION, LTD COM 760975102 2884 243000 SH Sole 243000 47 4000 SH Defined 4000 RITCHIE BROS AUCTION, INC COM 767744105 9010 431300 SH Sole 431300 RYDEX RUSSELL TOP 50 ETF 78355W205 211 2050 SH Sole 2050 SPDR GOLD TRUST ETF 78463V107 1484 9160 SH Sole 9160 SAFEWAY INC COM 786514208 5065 280000 SH Sole 280000 SANOFI-AVENTIS RT 12/31/20 RT 80105N113 55 32302 SH Defined 32302 SPDR HEALTHCARE SELECT ETF 81369Y209 312 7835 SH Sole 7835 25 629 SH Defined 629 SENOMYX, INC COM 81724Q107 3096 1842781 SH Sole 1729013 113768 25 15000 SH Defined 15000 SOLAR SENIOR CAPITAL LTD COM 83416M105 690 37000 SH Sole 7200 29800 116 6200 SH Defined 3000 3200 SPEEDWAY MOTORSPORTS, INC COM 847788106 9499 532449 SH Sole 532449 STATE STREET CORP COM 857477103 7075 150500 SH Sole 150500 SYMANTEC CORP COM 871503108 7635 405682 SH Sole 405682 TD AMERITRADE HLDG CORP COM 87236Y108 6045 359627 SH Sole 359627 3M COMPANY COM 88579Y101 125 1350 SH Sole 1350 128 1374 SH Defined 1200 174 TWO HARBORS INVESTMENT CORP COM 90187B101 277 25000 SH Sole 25000 VANGUARD DIV APPRECIATION ETF 921908844 679 11390 SH Sole 11390 33 560 SH Defined 560 VANGUARD MSCI EMERGING MKTS ETF 922042858 2122 47649 SH Sole 47649 45 1000 SH Defined 1000 VENTAS, INC COM 92276F100 135 2081 SH Sole 2081 162 2500 SH Defined 2500 VISA, INC COM 92826C839 270 1780 SH Sole 1780 152 1000 SH Defined 1000 VOLTERRA COM 928708106 2490 145000 SH Sole 145000 WALGREEN COM 931422109 13749 371500 SH Sole 371000 500 WISDOMTREE INDIA FUND 97717W422 357 18450 SH Sole 18450 39 2000 SH Defined 2000 SPX CALL OPT 1510 02162013 CALL 9EDF5HUU3 492 1650 SH Sole 1650
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: $268,694 (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