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