0000928204-15-000004.txt : 20150812 0000928204-15-000004.hdr.sgml : 20150812 20150812115028 ACCESSION NUMBER: 0000928204-15-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150630 FILED AS OF DATE: 20150812 DATE AS OF CHANGE: 20150812 EFFECTIVENESS DATE: 20150812 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: 151046070 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 06-30-2015 06-30-2015 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 08-11-2015 1 158 359115 false 1 0001502631 028-15243 Orinda Asset Management LLC INFORMATION TABLE 2 filing13f-0615.xml 3M COMPANY COM 88579Y101 131 850 SH SOLE 0 850 0 3M COMPANY COM 88579Y101 212 1374 SH DFND 0 1200 174 ADVANCE AUTO PARTS, INC COM 00751Y106 5584 35055 SH SOLE 35055 0 0 ADVANCE AUTO PARTS, INC COM 00751Y106 169 1061 SH DFND 01 1061 0 0 AMERISOURCEBERGEN CORP COM 03073E105 10990 103345 SH SOLE 103060 285 0 AMERISOURCEBERGEN CORP COM 03073E105 332 3118 SH DFND 01 3118 0 0 ANTARES PHARMA, INC COM 036642106 3100 1490404 SH SOLE 1450404 40000 0 ANTARES PHARMA, INC COM 036642106 91 43879 SH DFND 01 43879 0 0 APOLLO RESIDENTIAL MTG, INC COM 03763V102 571 38900 SH SOLE 0 38900 0 APTARGROUP, INC COM 038336103 1570 24622 SH SOLE 0 24622 0 AT&T, INC COM 00206R102 262 7381 SH SOLE 0 7381 0 AT&T, INC COM 00206R102 71 2000 SH DFND 0 2000 0 AVID TECH, INC COM 05367P100 653 48930 SH SOLE 0 48930 0 AVID TECH, INC COM 05367P100 74 5560 SH DFND 0 5560 0 BARNES & NOBLE, INC COM 067774109 8238 317351 SH SOLE 317351 0 0 BARNES & NOBLE, INC COM 067774109 249 9601 SH DFND 01 9601 0 0 BEACON ROOFING SUPPLY, INC COM 073685109 8794 264729 SH SOLE 264729 0 0 BEACON ROOFING SUPPLY, INC COM 073685109 266 8009 SH DFND 01 8009 0 0 BED BATH & BEYOND, INC COM 075896100 8779 127272 SH SOLE 127272 0 0 BED BATH & BEYOND, INC COM 075896100 266 3849 SH DFND 01 3849 0 0 BLACKHAWK NTWK HLDGS, INC COM 09238E104 19748 479324 SH SOLE 479324 0 0 BLACKHAWK NTWK HLDGS, INC COM 09238E104 597 14501 SH DFND 01 14501 0 0 BLACKHAWK NTWK HLDGS, INC COM 09238E104 412 10000 SH DFND 0 0 10000 BLACKROCK MUNI ASSETS COM 09254J102 135 10000 SH SOLE 0 10000 0 BLACKROCK MUNI ASSETS COM 09254J102 54 4000 SH DFND 0 4000 0 BLACKSTONE GROUP, LP COM 09253U108 331 8100 SH SOLE 0 8100 0 CEMPRA, INC COM 15130J109 7597 221098 SH SOLE 221098 0 0 CEMPRA, INC COM 15130J109 230 6689 SH DFND 01 6689 0 0 CHART INDUSTRIES, INC COM 16115Q308 6666 186456 SH SOLE 186456 0 0 CHART INDUSTRIES, INC COM 16115Q308 202 5641 SH DFND 01 5641 0 0 CHIMERIX, INC COM 16934W106 648 14025 SH SOLE 0 14025 0 CHURCH & DWIGHT, INC COM 171340102 915 11275 SH SOLE 0 11275 0 COGENT COMMUNICATIONS HOLDINGS COM 19239V302 1368 40427 SH SOLE 40427 0 0 COGENT COMMUNICATIONS HOLDINGS COM 19239V302 41 1224 SH DFND 01 1224 0 0 COMMUNITY HEALTH SYS, INC COM 203668108 4886 77599 SH SOLE 77299 300 0 COMMUNITY HEALTH SYS, INC COM 203668108 147 2334 SH DFND 01 2334 0 0 COMMUNITY HEALTH SYS, INC COM 203668108 35 555 SH DFND 0 0 555 CVS CORP COM 126650100 631 6020 SH SOLE 0 6020 0 DICKS SPORTING GOODS, INC COM 253393102 15510 299603 SH SOLE 299603 0 0 DICKS SPORTING GOODS, INC COM 253393102 469 9064 SH DFND 01 9064 0 0 DISNEY (WALT) HOLDING CO COM 254687106 274 2400 SH SOLE 0 2400 0 EBAY, INC COM 278642103 9052 150260 SH SOLE 150260 0 0 EBAY, INC COM 278642103 274 4546 SH DFND 01 4546 0 0 EMC CORP COM 268648102 541 20485 SH SOLE 0 20485 0 ENDOLOGIX, INC COM 29266S106 650 42391 SH DFND 0 0 42391 EXELIXIS, INC COM 30161Q104 42 11230 SH DFND 0 0 11230 EXXON MOBIL CORP COM 30231G102 291 3502 SH SOLE 0 3502 0 EXXON MOBIL CORP COM 30231G102 15 178 SH DFND 0 0 178 FAMOUS DAVES OF AM, INC COM 307068106 771 38465 SH SOLE 0 38465 0 FAMOUS DAVES OF AM, INC COM 307068106 60 3000 SH DFND 0 3000 0 FANNIE MAE COM 313586109 1229 528403 SH SOLE 283521 244882 0 FOREST CITY ENT, INC CL A COM 345550107 255 11550 SH DFND 0 0 11550 FREDDIE MAC COM 313400301 73 33000 SH SOLE 0 33000 0 GENERAC HOLDINGS, INC COM 368736104 7622 191761 SH SOLE 191761 0 0 GENERAC HOLDINGS, INC COM 368736104 230 5797 SH DFND 01 5797 0 0 GENERAL MOTORS COM 37045V100 567 17000 SH SOLE 0 17000 0 GRAND CANYON ED, INC COM 38526M106 9207 217140 SH SOLE 217140 0 0 GRAND CANYON ED, INC COM 38526M106 279 6569 SH DFND 01 6569 0 0 HOMEAWAY, INC COM 43739Q100 6756 217089 SH SOLE 217089 0 0 HOMEAWAY, INC COM 43739Q100 204 6568 SH DFND 01 6568 0 0 ICON PLC COM G4705A100 11510 171022 SH SOLE 171022 0 0 ICON PLC COM G4705A100 348 5174 SH DFND 01 5174 0 0 INKSURE TECH COM 45727E106 0 13000 SH DFND 0 0 13000 INT'L SPEEDWAY CORP COM 460335201 13087 356891 SH SOLE 356891 0 0 INT'L SPEEDWAY CORP COM 460335201 396 10797 SH DFND 01 10797 0 0 IRONWOOD PHARM COM 46333X108 237 19662 SH SOLE 0 19662 0 ISHARE NASDAQ BIOTECH COM 464287556 604 1636 SH SOLE 0 1636 0 ISHARES DOW JONES SELECT DIV F COM 464287168 1156 15385 SH SOLE 14725 660 0 ISHARES RUSSELL 2000 COM 464287655 8613 68979 SH SOLE 68979 0 0 ISHARES RUSSELL 2000 COM 464287655 261 2087 SH DFND 01 2087 0 0 ISHARES RUSSELL 2000 GROWTH COM 464287648 434 2805 SH SOLE 0 2805 0 ISHARES RUSSELL 3000 GROWTH COM 464287671 293 3600 SH SOLE 0 3600 0 ISIS PHARMACEUTICALS, INC COM 464330109 10402 180753 SH SOLE 142153 38600 0 ISIS PHARMACEUTICALS, INC COM 464330109 248 4301 SH DFND 01 4301 0 0 ISIS PHARMACEUTICALS, INC COM 464330109 2538 44100 SH DFND 0 0 44100 JOHNSON & JOHNSON COM 478160104 419 4300 SH SOLE 0 4300 0 JOHNSON & JOHNSON COM 478160104 7 74 SH DFND 0 0 74 KAPSTONE PAPER & PACK CORP COM 48562P103 12422 537283 SH SOLE 473683 63600 0 KAPSTONE PAPER & PACK CORP COM 48562P103 331 14330 SH DFND 01 14330 0 0 KAPSTONE PAPER & PACK CORP COM 48562P103 2349 101600 SH DFND 0 0 101600 KAYNE ANDERSON MIDSTRM/ENERGY COM 48661E108 688 23275 SH SOLE 1000 22275 0 KAYNE ANDERSON MIDSTRM/ENERGY COM 48661E108 89 3000 SH DFND 0 3000 0 KKR & CO L P DEL COM UNITS COM 48248M102 756 33083 SH SOLE 0 33083 0 KKR & CO L P DEL COM UNITS COM 48248M102 29 1267 SH DFND 0 1267 0 LEXICON PHARMACEUTICALS, INC COM 528872302 318 39495 SH SOLE 39495 0 0 LOUISIANA-PACIFIC CORP COM 546347105 6772 397673 SH SOLE 397673 0 0 LOUISIANA-PACIFIC CORP COM 546347105 205 12031 SH DFND 01 12031 0 0 MACQUARIE INFRASTRUCT LLC COM 55608B105 1512 18298 SH SOLE 0 18298 0 MACQUARIE INFRASTRUCT LLC COM 55608B105 145 1756 SH DFND 0 1756 0 MARKET VECTOR GOLD MINERS ETF COM 57060U100 559 31450 SH SOLE 0 31450 0 MARKET VECTORS BRAZIL SM CAP COM 57060U613 347 21000 SH SOLE 21000 0 0 METLIFE, INC COM 59156R108 12318 220000 SH SOLE 220000 0 0 METLIFE, INC COM 59156R108 373 6656 SH DFND 01 6656 0 0 MGM RESORTS INTERNATIONAL COM 552953101 693 37975 SH SOLE 0 37975 0 MGM RESORTS INTERNATIONAL COM 552953101 86 4700 SH DFND 0 4700 0 MYLAN, INC COM N59465109 6333 93322 SH SOLE 93322 0 0 MYLAN, INC COM N59465109 191 2818 SH DFND 01 2818 0 0 NEONODE, INC COM 64051M402 62 21000 SH SOLE 0 21000 0 NOVAVAX, INC COM 670002104 4221 378862 SH SOLE 378862 0 0 NOVAVAX, INC COM 670002104 128 11464 SH DFND 01 11464 0 0 OCH-ZIFF CAP MGMT GRP CL A COM 67551U105 1026 84000 SH SOLE 0 84000 0 OPHTHOTECH CORP COM 683745103 5965 114585 SH SOLE 114585 0 0 OPHTHOTECH CORP COM 683745103 180 3467 SH DFND 01 3467 0 0 PANACOS PHARM, INC COM 69811Q106 0 25000 SH DFND 0 0 25000 PANERA BREAD CO CL A COM 69840W108 13717 78486 SH SOLE 78486 0 0 PANERA BREAD CO CL A COM 69840W108 415 2374 SH DFND 01 2374 0 0 PAREXEL INT'L CORP COM 699462107 6821 106060 SH SOLE 106060 0 0 PAREXEL INT'L CORP COM 699462107 206 3202 SH DFND 01 3202 0 0 PLAINS GP HLDGS LP CL A COM 72651A108 1586 61387 SH SOLE 59387 2000 0 POLYONE CORP COM 73179p106 4843 123630 SH SOLE 123630 0 0 POLYONE CORP COM 73179p106 146 3731 SH DFND 01 3731 0 0 POTBELLY CORP COM 73754Y100 15448 1261053 SH SOLE 1258553 2500 0 POTBELLY CORP COM 73754Y100 466 38075 SH DFND 01 38075 0 0 PROCTER & GAMBLE COM 742718109 235 3000 SH SOLE 0 3000 0 PROCTER & GAMBLE COM 742718109 78 1000 SH DFND 0 1000 0 QUANTA SERVICES, INC COM 74762E102 5458 189373 SH SOLE 189373 0 0 QUANTA SERVICES, INC COM 74762E102 165 5727 SH DFND 01 5727 0 0 RITCHIE BROS AUCTION, INC COM 767744105 5780 207036 SH SOLE 207036 0 0 RITCHIE BROS AUCTION, INC COM 767744105 175 6265 SH DFND 01 6265 0 0 RMG NETWORKS HLDG CORP COM 74966K102 17 20000 SH SOLE 0 20000 0 SANCHEZ ENERGY CORP COM 79970Y105 4215 430084 SH SOLE 430084 0 0 SANCHEZ ENERGY CORP COM 79970Y105 128 13011 SH DFND 01 13011 0 0 SANOFI-AVENTIS CONT VALUE RT E COM 80105N113 4 5867 SH SOLE 0 5867 0 SANOFI-AVENTIS CONT VALUE RT E COM 80105N113 19 26435 SH DFND 0 0 26435 SENOMYX, INC COM 81724Q107 1354 252522 SH SOLE 204922 47600 0 SENOMYX, INC COM 81724Q107 33 6200 SH DFND 01 6200 0 0 SENOMYX, INC COM 81724Q107 80 15000 SH DFND 0 0 15000 SHAKE SHACK, INC CL A COM 819047101 1508 25015 SH SOLE 25005 10 0 SHAKE SHACK, INC CL A COM 819047101 46 756 SH DFND 01 756 0 0 SHAKE SHACK, INC CL A (restric COM 819047101 2311 42600 SH SOLE 0 42600 0 SHAKE SHACK, INC CL A (restric COM 819047101 27 500 SH DFND 0 0 500 SOLAR CAP LTD COM 83413U100 267 14850 SH SOLE 0 14850 0 SOLAR CAP LTD COM 83413U100 90 5000 SH DFND 0 5000 0 SOLAR SENIOR CAPITAL LTD COM 83416M105 2147 136150 SH SOLE 52200 83950 0 SOLAR SENIOR CAPITAL LTD COM 83416M105 79 4990 SH DFND 0 4990 0 SPDR HEALTHCARE SELECT COM 81369Y209 845 11354 SH SOLE 0 11354 0 SPDR HEALTHCARE SELECT COM 81369Y209 112 1500 SH DFND 0 1500 0 SPEEDWAY MOTORSPORTS, INC COM 847788106 6839 301934 SH SOLE 301934 0 0 SPEEDWAY MOTORSPORTS, INC COM 847788106 207 9134 SH DFND 01 9134 0 0 STARWOOD WAYPOINT RES TR COM 85571W109 1032 43450 SH SOLE 0 43450 0 TARGET CORP COM 87612E106 194 2375 SH SOLE 0 2375 0 TARGET CORP COM 87612E106 10 118 SH DFND 0 0 118 TREEHOUSE FOODS, INC COM 89469A104 6714 82863 SH SOLE 82863 0 0 TREEHOUSE FOODS, INC COM 89469A104 203 2507 SH DFND 01 2507 0 0 TWO HARBORS INV CORP COM 90187B101 297 30500 SH SOLE 0 30500 0 VANGUARD DIV APP COM 921908844 777 9887 SH SOLE 0 9887 0 VANGUARD DIV APP COM 921908844 44 560 SH DFND 0 560 0 VENTAS, INC COM 92276F100 144 2327 SH SOLE 0 2327 0 VENTAS, INC COM 92276F100 155 2500 SH DFND 0 0 2500 VISA, INC COM 92826C839 478 7120 SH SOLE 0 7120 0 VISA, INC COM 92826C839 269 4000 SH DFND 0 4000 0 WHOLE FOODS MKT, INC COM 966837106 5898 149534 SH SOLE 148199 1335 0 WHOLE FOODS MKT, INC COM 966837106 177 4483 SH DFND 01 4483 0 0 WISDOMTREE INDIA ETF COM 97717W422 398 18360 SH SOLE 0 18360 0 WISDOMTREE INDIA ETF COM 97717W422 43 2000 SH DFND 0 2000 0 ZULILY, INC CL A COM 989774104 7027 538853 SH SOLE 538853 0 0 ZULILY, INC CL A COM 989774104 212 16290 SH DFND 01 16290 0 0 OPHTHOTECH CORPORATION COM 683745103 1111 21338 SH SOLE 0 21338 0