0000928204-14-000007.txt : 20141112
0000928204-14-000007.hdr.sgml : 20141111
20141112132016
ACCESSION NUMBER: 0000928204-14-000007
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140930
FILED AS OF DATE: 20141112
DATE AS OF CHANGE: 20141112
EFFECTIVENESS DATE: 20141112
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: 141212932
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
09-30-2014
09-30-2014
WILLIAM HARRIS INVESTORS INC
191 NORTH WACKER DRIVE
SUITE 1500
CHICAGO
IL
60606
13F HOLDINGS REPORT
028-04436
N
Marc Bassewitz
Vice President & General Counsel
(312) 604-1998
Marc Bassewitz
Chicago
IL
11-12-2014
0
114
334732
false
INFORMATION TABLE
2
filing13f-0914.xml
3M COMPANY
COM
88579Y101
120
850
SH
SOLE
0
850
0
3M COMPANY
COM
88579Y101
195
1374
SH
DFND
0
1200
174
ADVANCE AUTO PARTS, INC
COM
00751Y106
8137
62450
SH
SOLE
62450
0
0
AGCO CORP
COM
001084102
5455
120000
SH
SOLE
120000
0
0
AMERISOURCEBERGEN CORP
COM
03073E105
14732
190585
SH
SOLE
190300
285
0
ANTARES PHARMA, INC
COM
036642106
4179
2283476
SH
SOLE
2243476
40000
0
APOLLO RESIDENTIAL MTG, INC
COM
03763V102
755
48900
SH
SOLE
0
48900
0
APTARGROUP, INC
COM
038336103
1495
24622
SH
SOLE
0
24622
0
AT&T, INC
COM
00206R102
260
7381
SH
SOLE
0
7381
0
AT&T, INC
COM
00206R102
70
2000
SH
DFND
0
2000
0
AVID TECH, INC
COM
05367P100
169
16750
SH
SOLE
0
16750
0
BARNES & NOBLE, INC
COM
067774109
8589
435100
SH
SOLE
435100
0
0
BEACON ROOFING SUPPLY, INC
COM
073685109
10424
409100
SH
SOLE
409100
0
0
BED BATH & BEYOND, INC
COM
075896100
12277
186500
SH
SOLE
186500
0
0
BLACKHAWK NTWK HLDGS, INC
COM
09238E104
5092
157148
SH
SOLE
157148
0
0
BLACKHAWK NTWK HLDGS, INC
COM
09238E104
324
10000
SH
DFND
0
0
10000
BLACKHAWK NTWK HLDGS, INC CL B
COM
09238E203
15583
482459
SH
SOLE
482459
0
0
BLACKROCK MUNI ASSETS
COM
09254J102
92
7000
SH
SOLE
0
7000
0
BLACKROCK MUNI ASSETS
COM
09254J102
53
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
CEMPRA, INC
COM
15130J109
3577
326396
SH
SOLE
326396
0
0
CHART INDUSTRIES, INC
COM
16115Q308
3124
51100
SH
SOLE
51100
0
0
CHIMERIX, INC
COM
16934W106
536
19410
SH
SOLE
0
19410
0
CHURCH & DWIGHT, INC
COM
171340102
799
11394
SH
SOLE
0
11394
0
COMMUNITY HEALTH SYS, INC
COM
203668108
14519
265000
SH
SOLE
265000
0
0
COMMUNITY HEALTH SYS, INC
COM
203668108
47
855
SH
DFND
0
0
855
CVS CORP
COM
126650100
479
6020
SH
SOLE
0
6020
0
DICKS SPORTING GOODS, INC
COM
253393102
12286
280000
SH
SOLE
280000
0
0
DISNEY (WALT) HOLDING CO
COM
254687106
214
2400
SH
SOLE
0
2400
0
ENDOLOGIX, INC
COM
29266S106
449
42391
SH
DFND
0
0
42391
ERBA DIAGNOSTICS, INC
COM
29490b101
11
3000
SH
SOLE
0
3000
0
ERBA DIAGNOSTICS, INC
COM
29490b101
62
17600
SH
DFND
0
0
17600
EXELIXIS, INC
COM
30161Q104
17
11230
SH
DFND
0
0
11230
EXPONENT, INC
COM
30214u102
4255
60025
SH
SOLE
60025
0
0
EXXON MOBIL CORP
COM
30231G102
350
3722
SH
SOLE
0
3722
0
EXXON MOBIL CORP
COM
30231G102
17
178
SH
DFND
0
0
178
FAMOUS DAVES OF AM, INC
COM
307068106
819
30434
SH
SOLE
0
30434
0
FAMOUS DAVES OF AM, INC
COM
307068106
90
3350
SH
DFND
0
2000
1350
FOREST CITY ENT, INC CL A
COM
345550107
226
11550
SH
DFND
0
0
11550
GENERAC HOLDINGS, INC
COM
368736104
6109
150700
SH
SOLE
150700
0
0
GENERAL MOTORS
COM
37045V100
543
17000
SH
SOLE
0
17000
0
GRAND CANYON ED, INC
COM
38526M106
7962
195293
SH
SOLE
195293
0
0
ICON PLC
COM
G4705A100
10676
186538
SH
SOLE
186538
0
0
INKSURE TECH
COM
45727E106
0
13000
SH
DFND
0
0
13000
INT'L SPEEDWAY CORP
COM
460335201
9522
300940
SH
SOLE
300940
0
0
IRONWOOD PHARM
COM
46333X108
255
19662
SH
SOLE
0
19662
0
ISHARE NASDAQ BIOTECH
COM
464287556
679
2481
SH
SOLE
0
2481
0
ISHARES RUSSELL 2000 GROWTH
COM
464287648
364
2805
SH
SOLE
0
2805
0
ISHARES RUSSELL 3000 GROWTH
COM
464287671
269
3600
SH
SOLE
0
3600
0
ISIS PHARMACEUTICALS, INC
COM
464330109
9992
257334
SH
SOLE
226634
30700
0
ISIS PHARMACEUTICALS, INC
COM
464330109
2042
52600
SH
DFND
0
0
52600
JOHNSON & JOHNSON
COM
478160104
458
4300
SH
SOLE
0
4300
0
JOHNSON & JOHNSON
COM
478160104
8
74
SH
DFND
0
0
74
KAPSTONE PAPER & PACK CORP
COM
48562P103
13116
468934
SH
SOLE
465334
3600
0
KAPSTONE PAPER & PACK CORP
COM
48562P103
4520
161600
SH
DFND
0
0
161600
KAYNE ANDERSON ENRGY TTL RETUR
COM
48660P104
144
4500
SH
SOLE
0
4500
0
KAYNE ANDERSON ENRGY TTL RETUR
COM
48660P104
227
7100
SH
DFND
0
1000
6100
KAYNE ANDERSON MIDSTRM/ENERGY
COM
48661E108
277
6900
SH
SOLE
0
6900
0
KAYNE ANDERSON MIDSTRM/ENERGY
COM
48661E108
136
3400
SH
DFND
0
3000
400
KKR & CO L P DEL COM UNITS
COM
48248M102
378
16938
SH
SOLE
0
16938
0
KKR & CO L P DEL COM UNITS
COM
48248M102
85
3817
SH
DFND
0
1267
2550
LEXICON PHARMACEUTICALS, INC
COM
528872104
288
204342
SH
SOLE
204342
0
0
LOUISIANA-PACIFIC CORP
COM
546347105
6211
457000
SH
SOLE
457000
0
0
MACQUARIE INFRASTRUCT LLC
COM
55608B105
997
14948
SH
SOLE
0
14948
0
MACQUARIE INFRASTRUCT LLC
COM
55608B105
231
3456
SH
DFND
0
1756
1700
MARTIN MAR MTLS
COM
573284106
216
1679
SH
SOLE
0
1679
0
METLIFE, INC
COM
59156R108
11818
220000
SH
SOLE
220000
0
0
MISTRAS GROUP
COM
60649T107
1601
78490
SH
SOLE
78490
0
0
MRC GLOBAL, INC
COM
55345K103
6979
299250
SH
SOLE
299250
0
0
MYLAN LABORATORIES
COM
628530107
8689
191000
SH
SOLE
191000
0
0
NEONODE, INC
COM
64051M402
135
62600
SH
SOLE
0
62600
0
NEONODE, INC
COM
64051M402
16
7500
SH
DFND
0
7500
0
NOVAVAX, INC
COM
670002104
4622
1108377
SH
SOLE
1108377
0
0
OCH-ZIFF CAP MGMT GRP CL A
COM
67551U105
428
40000
SH
SOLE
0
40000
0
OCH-ZIFF CAP MGMT GRP CL A
COM
67551U105
43
4000
SH
DFND
0
0
4000
PANACOS PHARM, INC
COM
69811Q106
0
25000
SH
DFND
0
0
25000
PANERA BREAD CO CL A
COM
69840W108
12354
75920
SH
SOLE
75920
0
0
POTBELLY CORP
COM
73754Y100
13301
1140701
SH
SOLE
1138201
2500
0
PROCTER & GAMBLE
COM
742718109
251
3000
SH
SOLE
0
3000
0
PROCTER & GAMBLE
COM
742718109
84
1000
SH
DFND
0
1000
0
RITCHIE BROS AUCTION, INC
COM
767744105
9597
428610
SH
SOLE
428610
0
0
RYDEX RUSSELL TOP 50 ETF
COM
78355W205
255
1845
SH
SOLE
0
1845
0
SANOFI-AVENTIS CONT VALUE RT E
COM
80105N113
15
32302
SH
DFND
0
0
32302
SENOMYX, INC
COM
81724Q107
353
43100
SH
SOLE
0
43100
0
SENOMYX, INC
COM
81724Q107
123
15000
SH
DFND
0
0
15000
SOLAR CAP LTD
COM
83413U100
277
14850
SH
SOLE
0
14850
0
SOLAR CAP LTD
COM
83413U100
103
5500
SH
DFND
0
4000
1500
SOLAR SENIOR CAPITAL LTD
COM
83416M105
1791
116400
SH
SOLE
52200
64200
0
SOLAR SENIOR CAPITAL LTD
COM
83416M105
182
11800
SH
DFND
0
3000
8800
SPDR HEALTHCARE SELECT
COM
81369Y209
726
11354
SH
SOLE
0
11354
0
SPDR HEALTHCARE SELECT
COM
81369Y209
96
1500
SH
DFND
0
1500
0
SPEEDWAY MOTORSPORTS, INC
COM
847788106
8706
510322
SH
SOLE
510322
0
0
STARWOOD WAYPOINT RES TR
COM
85571W109
839
32250
SH
SOLE
0
32250
0
STARWOOD WAYPOINT RES TR
COM
85571W109
31
1200
SH
DFND
0
0
1200
TARGET CORP
COM
87612E106
11732
187175
SH
SOLE
184800
2375
0
TARGET CORP
COM
87612E106
7
118
SH
DFND
0
0
118
TD AMERITRADE HLDG CORP
COM
87236Y108
6842
205027
SH
SOLE
205027
0
0
TEAM, INC
COM
878155100
7632
201320
SH
SOLE
201320
0
0
TILE SHOP HLDGS, INC
COM
88677q109
5473
591659
SH
SOLE
591659
0
0
TWO HARBORS INV CORP
COM
90187B101
271
28000
SH
SOLE
0
28000
0
TWO HARBORS INV CORP
COM
90187B101
5
500
SH
DFND
0
0
500
ULTA SALON COSMETICS
COM
90384S303
8508
72000
SH
SOLE
72000
0
0
VANGUARD DIV APP
COM
921908844
774
10055
SH
SOLE
0
10055
0
VANGUARD DIV APP
COM
921908844
43
560
SH
DFND
0
560
0
VENTAS, INC
COM
92276F100
139
2249
SH
SOLE
0
2249
0
VENTAS, INC
COM
92276F100
155
2500
SH
DFND
0
0
2500
VISA, INC
COM
92826C839
380
1780
SH
SOLE
0
1780
0
VISA, INC
COM
92826C839
213
1000
SH
DFND
0
1000
0
WISDOMTREE INDIA ETF
COM
97717W422
599
27360
SH
SOLE
0
27360
0
WISDOMTREE INDIA ETF
COM
97717W422
44
2000
SH
DFND
0
2000
0
VANGUARD MSCI EMERG MKTS
COM
922042858
1371
32866
SH
SOLE
0
32866
0
VANGUARD MSCI EMERG MKTS
COM
922042858
42
1000
SH
DFND
0
1000
0
OPHTHOTECH CORPORATION
COM
683745103
1249
32094
SH
SOLE
0
32094
0