0000928204-14-000004.txt : 20140210 0000928204-14-000004.hdr.sgml : 20140210 20140210094230 ACCESSION NUMBER: 0000928204-14-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140210 DATE AS OF CHANGE: 20140210 EFFECTIVENESS DATE: 20140210 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WILLIAM HARRIS INVESTORS INC CENTRAL INDEX KEY: 0000928204 IRS NUMBER: 363488341 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04436 FILM NUMBER: 14586458 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 primary_doc.xml 13F-HR LIVE false false false 0000928204 XXXXXXXX 12-31-2013 12-31-2013 WILLIAM HARRIS INVESTORS INC

191 NORTH WACKER DRIVE SUITE 1500 CHICAGO IL 60606

13F HOLDINGS REPORT 028-04436 N Marc Bassewitz (312) 604-1998 Marc Bassewitz Chicago IL 02-07-2014 0 118 337456 false INFORMATION TABLE 2 filing13f-1213.xml 3M COMPANY COM 88579Y101 119 850 SH SOLE 0 850 0 3M COMPANY COM 88579Y101 193 1374 SH DFND 0 1200 174 ADVANCE AUTO PARTS, INC COM 00751Y106 9181 82950 SH SOLE 82950 0 0 ALCATEL-LUCENT ADR COM 013904305 266 60350 SH SOLE 0 60350 0 AMERISOURCEBERGEN CORP COM 03073E105 14138 201085 SH SOLE 199300 1785 0 AMIRA NATURE FOODS LTD COM G0335L102 422 26750 SH SOLE 0 26750 0 ANNALY CAPITAL MGMT, INC COM 035710409 306 30650 SH SOLE 0 30650 0 ANNALY CAPITAL MGMT, INC COM 035710409 20 2000 SH DFND 0 0 2000 ANTARES PHARMA, INC COM 036642106 8042 1798735 SH SOLE 1758735 40000 0 APOLLO RESIDENTIAL MTG, INC COM 03763V102 723 48900 SH SOLE 0 48900 0 APTARGROUP, INC COM 038336103 1670 24622 SH SOLE 0 24622 0 AT&T, INC COM 00206R102 369 10496 SH SOLE 0 10496 0 AT&T, INC COM 00206R102 70 2000 SH DFND 0 2000 0 AVID TECH, INC COM 05367P100 137 16750 SH SOLE 0 16750 0 BARNES & NOBLE, INC COM 067774109 7474 499900 SH SOLE 499900 0 0 BEACON ROOFING SUPPLY, INC COM 073685109 11544 286600 SH SOLE 286600 0 0 BED BATH & BEYOND, INC COM 075896100 8592 107000 SH SOLE 107000 0 0 BLACKHAWK NETWORK HLDGS, INC COM 09238E104 14882 589148 SH SOLE 589148 0 0 BLACKHAWK NETWORK HLDGS, INC COM 09238E104 253 10000 SH DFND 0 0 10000 BLACKROCK MUNI ASSETS COM 09254J102 81 7000 SH SOLE 0 7000 0 BLACKROCK MUNI ASSETS COM 09254J102 46 4000 SH DFND 0 4000 0 BLACKSTONE GROUP, LP COM 09253U108 161 5100 SH SOLE 0 5100 0 BLACKSTONE GROUP, LP COM 09253U108 94 3000 SH DFND 0 0 3000 BRIDGEPOINT EDUCATION, INC COM 10807M105 3076 173687 SH SOLE 173687 0 0 CH ROBINSON WORLDWIDE, INC COM 12541W209 5610 96150 SH SOLE 96150 0 0 CHIMERIX, INC COM 16934W106 171 11300 SH SOLE 0 11300 0 CHURCH & DWIGHT, INC COM 171340102 755 11394 SH SOLE 0 11394 0 CVS CORP COM 126650100 431 6020 SH SOLE 0 6020 0 EATON VANCE FLOATING-RATE INCO COM 278279104 324 21250 SH SOLE 0 21250 0 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546347105 4850 262000 SH SOLE 262000 0 0 MACQUARIE INFRASTRUCTURE LLC COM 55608B105 764 14040 SH SOLE 0 14040 0 MACQUARIE INFRASTRUCTURE LLC COM 55608B105 172 3156 SH DFND 0 1756 1400 METLIFE, INC COM 59156R108 11862 220000 SH SOLE 220000 0 0 MISTRAS GROUP COM 60649T107 5460 261500 SH SOLE 261500 0 0 MOMENTA PHARMACEUTICALS COM 60877T100 2475 140000 SH SOLE 140000 0 0 MRC GLOBAL, INC COM 55345K103 6360 197150 SH SOLE 197150 0 0 MYLAN LABORATORIES COM 628530107 13367 308000 SH SOLE 308000 0 0 NEONODE, INC COM 64051M402 521 82500 SH SOLE 0 82500 0 NEONODE, INC COM 64051M402 47 7500 SH DFND 0 7500 0 OCH-ZIFF CAPITAL MGMT GRP CL A COM 67551U105 592 40000 SH SOLE 0 40000 0 OCH-ZIFF CAPITAL MGMT GRP CL A COM 67551U105 59 4000 SH DFND 0 0 4000 PANACOS PHARMACEUTICALS, INC COM 69811Q106 0 25000 SH DFND 0 0 25000 PANERA BREAD CO COM 69840W108 7053 39920 SH SOLE 39920 0 0 POLYPORE INT'L, INC COM 73179V103 8185 210400 SH SOLE 210400 0 0 POTBELLY CORP COM 73754Y100 11221 462151 SH SOLE 462151 0 0 PROCTER & GAMBLE COM 742718109 244 3000 SH SOLE 0 3000 0 PROCTER & GAMBLE COM 742718109 81 1000 SH DFND 0 1000 0 RITCHIE BROS AUCTIONEERS, INC COM 767744105 13375 583310 SH SOLE 583310 0 0 RYDEX RUSSELL TOP 50 ETF COM 78355W205 266 2050 SH SOLE 0 2050 0 SAFEWAY INC COM 786514208 12199 374535 SH SOLE 374535 0 0 SANOFI-AVENTIS CONT. 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