0001140361-14-003410.txt : 20140128
0001140361-14-003410.hdr.sgml : 20140128
20140128132956
ACCESSION NUMBER: 0001140361-14-003410
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20131231
FILED AS OF DATE: 20140128
DATE AS OF CHANGE: 20140128
EFFECTIVENESS DATE: 20140128
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FALCON POINT CAPITAL, LLC
CENTRAL INDEX KEY: 0001251557
IRS NUMBER: 943256485
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-10492
FILM NUMBER: 14551906
BUSINESS ADDRESS:
STREET 1: TWO EMBARCADERO CENTER STE 420
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 4157829600
MAIL ADDRESS:
STREET 1: TWO EMBARCADERO CENTER STE 420
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
FORMER COMPANY:
FORMER CONFORMED NAME: EGM CAPITAL LLC
DATE OF NAME CHANGE: 20030701
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001251557
XXXXXXXX
12-31-2013
12-31-2013
FALCON POINT CAPITAL, LLC
TWO EMBARCADERO CENTER STE 420
SAN FRANCISCO
CA
94111
13F HOLDINGS REPORT
028-10492
N
James A. Bitzer
Sr. Managing Director
415-782-9600
James A. Bitzer
San Francisco
CA
01-28-2014
1
119
104652
false
1
0000721204
028-01190
RUSSELL FRANK CO/
INFORMATION TABLE
2
form13fInfoTable.xml
AK Steel Holding Corp
COM
001547108
958
116890
SH
SOLE
116890
0
0
Acxiom Corp.
COM
005125109
2503
67675
SH
SOLE
67675
0
0
Advisory Board Company
COM
00762w107
422
6622
SH
SOLE
6622
0
0
Alliance Data Systems Corp.
COM
018581108
1119
4256
SH
SOLE
4256
0
0
Ann Taylor
COM
035623107
671
18352
SH
SOLE
18352
0
0
Apple Inc
COM
037833100
380
678
SH
SOLE
678
0
0
Arkansas Best Corp.
COM
040790107
2179
64709
SH
SOLE
64709
0
0
Arthocare Corp.
COM
043136100
1161
28842
SH
SOLE
28842
0
0
Atmel Corp.
COM
049513104
180
23030
SH
SOLE
23030
0
0
Bally Technologies Inc
COM
05874b107
1674
21337
SH
SOLE
21337
0
0
Berry Plastics Group Inc.
COM
08579w103
536
22514
SH
SOLE
22514
0
0
Bonanza Creek Energy, Inc.
COM
097793103
813
18712
SH
SOLE
18712
0
0
Boulder Brands Inc.
COM
101405108
451
28414
SH
SOLE
28414
0
0
Bravo Brio Restaurant Group
COM
10567B109
240
14748
SH
SOLE
14748
0
0
CBS Corp
COM
124857202
877
13764
SH
SOLE
13764
0
0
Cadence Pharmaceuticals Inc
COM
12738t100
1030
113808
SH
SOLE
113808
0
0
Capital Senior Living Corp.
COM
140475104
1089
45412
SH
SOLE
45412
0
0
Cardtronics Inc.
COM
14161h108
747
17183
SH
SOLE
17183
0
0
Carriage Services Inc.
COM
143905107
267
13677
SH
SOLE
13677
0
0
Carrizo Oil & Gas Inc.
COM
144577103
798
17827
SH
SOLE
17827
0
0
Celgene Corp.
COM
151020104
1057
6255
SH
SOLE
6255
0
0
Cheesecake Factory
COM
163072101
590
12231
SH
SOLE
12231
0
0
Chicago Bridge & Iron SHR (ADR
COM
167250109
776
9337
SH
SOLE
9337
0
0
CoStar Group, Inc.
COM
22160n109
951
5154
SH
SOLE
5154
0
0
Consolidated Graphics, Inc.
COM
209341106
2117
31385
SH
SOLE
31385
0
0
DXP Enterprises Inc.
COM
233377407
1013
8797
SH
SOLE
8797
0
0
Deckers Outdoor Corp.
COM
243537107
2168
25668
SH
SOLE
25668
0
0
Destination XL Group Inc.
COM
25065k104
272
41652
SH
SOLE
41652
0
0
Diamond Hill Investment Group,
COM
25264R207
2228
18823
SH
SOLE
18823
0
0
Dice Holdings Inc
COM
253017107
553
76306
SH
SOLE
76306
0
0
Eight By Eight
COM
282914100
146
14430
SH
SOLE
14430
0
0
Einstein Noah Restaurant Grp
COM
28257u104
467
32187
SH
SOLE
32187
0
0
Encore Wire Corp.
COM
292562105
832
15353
SH
SOLE
15353
0
0
Ethan Allen Interiors
COM
297602104
769
25288
SH
SOLE
25288
0
0
Flir Systems
COM
302445101
964
32016
SH
SOLE
32016
0
0
Furmanite Corporation
COM
361086101
348
32767
SH
SOLE
32767
0
0
General Cable Corp.
COM
369300108
447
15192
SH
SOLE
15192
0
0
Gilead Sciences, Inc.
COM
375558103
1287
17133
SH
SOLE
17133
0
0
Groupon Inc.
COM
399473107
215
18310
SH
SOLE
18310
0
0
Hanger Orthopedic Group, Inc.
COM
41043F208
1176
29897
SH
SOLE
29897
0
0
Herbalife Ltd
COM
g4412g101
750
9536
SH
SOLE
9536
0
0
Hub Group, Inc.
COM
443320106
652
16345
SH
SOLE
16345
0
0
Huron Consulting Group
COM
447462102
2804
44739
SH
SOLE
44739
0
0
ICON plc (ADR)
COM
G4705A100
597
14776
SH
SOLE
14776
0
0
In Contact Inc.
COM
45336e109
1116
142896
SH
SOLE
142896
0
0
Incyte Genomics
COM
45337C102
670
13240
SH
SOLE
13240
0
0
Insulet Corp.
COM
45784P101
427
11509
SH
SOLE
11509
0
0
Jack In The Box Inc.
COM
466367109
1899
37967
SH
SOLE
37967
0
0
Jacobs Engineering Group Inc.
COM
469814107
764
12122
SH
SOLE
12122
0
0
Jamba Inc.
COM
47023a309
253
20330
SH
SOLE
20330
0
0
LaSalle Hotel Properties
COM
517942108
699
22650
SH
SOLE
22650
0
0
Las Vegas Sands
COM
517834107
917
11631
SH
SOLE
11631
0
0
Leapfrog Enterprises, Inc.
COM
52186n106
897
112931
SH
SOLE
112931
0
0
LinkedIn Corp.
COM
53578a108
565
2607
SH
SOLE
2607
0
0
MDC Partners Inc.
COM
552697104
3327
130431
SH
SOLE
130431
0
0
MICROS Systems, Inc.
COM
594901100
676
11779
SH
SOLE
11779
0
0
Mastercard Inc
COM
57636q104
947
1133
SH
SOLE
1133
0
0
Maximus, Inc.
COM
577933104
898
20412
SH
SOLE
20412
0
0
Medical Properties Trust Inc.
COM
58463j304
578
47300
SH
SOLE
47300
0
0
Mistras Group Inc.
COM
60649t107
654
31300
SH
SOLE
31300
0
0
Monotype Imaging Holdings Inc.
COM
61022p100
2145
67337
SH
SOLE
67337
0
0
Monro Muffler Brake Inc.
COM
610236101
909
16130
SH
SOLE
16130
0
0
Multimedia Games, Inc.
COM
625453105
2012
64151
SH
SOLE
64151
0
0
NCI Buildings Systems
COM
628852204
322
18361
SH
SOLE
18361
0
0
Natural Grocers By Vitamin Cot
COM
63888U108
1347
31735
SH
SOLE
31735
0
0
Natus Medical Inc.
COM
639050103
927
41196
SH
SOLE
41196
0
0
Nu Skin Enterprises, Inc.
COM
67018T105
511
3698
SH
SOLE
3698
0
0
O2Micro International Limited
COM
67107W100
62
22151
SH
SOLE
22151
0
0
Old Dominion Freight Line, Inc
COM
679580100
478
9011
SH
SOLE
9011
0
0
PDF Solutions Inc.
COM
693282105
866
33818
SH
SOLE
33818
0
0
Perficient Inc.
COM
71375U101
987
42134
SH
SOLE
42134
0
0
PetroQuest Energy Inc.
COM
716748108
379
87736
SH
SOLE
87736
0
0
PowerShares S&P SmallCap Healt
COM
73937b886
510
9246
SH
SOLE
9246
0
0
Premiere Global Services Inc.
COM
740585104
1183
102068
SH
SOLE
102068
0
0
Prestige Brands Holdings Inc.
COM
74112d101
727
20297
SH
SOLE
20297
0
0
Proofpoint, Inc.
COM
743424103
2753
82982
SH
SOLE
82982
0
0
Proshares Ultrashort Barclays
COM
74347B201
317
4000
SH
SOLE
4000
0
0
Proto Labs, INC.
COM
743713109
478
6720
SH
SOLE
6720
0
0
Providence Service Corp
COM
743815102
225
8746
SH
SOLE
8746
0
0
Pzena Investment Management, I
COM
74731q103
156
13261
SH
SOLE
13261
0
0
Repligen Corp.
COM
759916109
462
33858
SH
SOLE
33858
0
0
Responsys Inc.
COM
761248103
4682
170831
SH
SOLE
170831
0
0
SEI Investment Co.
COM
784117103
754
21710
SH
SOLE
21710
0
0
SPS Commerce Inc.
COM
78463m107
1586
24284
SH
SOLE
24284
0
0
Salesforce.com, Inc.
COM
79466l302
1285
23283
SH
SOLE
23283
0
0
Sciquest Inc.
COM
80908t101
719
25261
SH
SOLE
25261
0
0
Seachange Intl. Inc.
COM
811699107
144
11816
SH
SOLE
11816
0
0
Sina Corp. (ADR)
COM
g81477104
367
4353
SH
SOLE
4353
0
0
Skyworks Solutions Inc.
COM
83088m102
235
8217
SH
SOLE
8217
0
0
Spansion Inc.
COM
84649r200
224
16110
SH
SOLE
16110
0
0
Sunopta Inc.
COM
8676EP108
1128
112710
SH
SOLE
112710
0
0
Swift Transportation Co. Inc.
COM
87074U101
461
20755
SH
SOLE
20755
0
0
Tal International Group, Inc.
COM
874083108
375
6540
SH
SOLE
6540
0
0
The Container Store
COM
210751103
819
17580
SH
SOLE
17580
0
0
Tivo Inc.
COM
888706108
175
13355
SH
SOLE
13355
0
0
Toyota Motor Corp. ADR
COM
892331307
638
5234
SH
SOLE
5234
0
0
Tutor Perini Corp.
COM
901109108
1320
50188
SH
SOLE
50188
0
0
UFP Technologies Inc.
COM
902673102
264
10450
SH
SOLE
10450
0
0
UTI Worldwide
COM
G87210103
467
26586
SH
SOLE
26586
0
0
Urstadt Biddle Properties
COM
917286205
519
28140
SH
SOLE
28140
0
0
Vulcan Materials Company
COM
929160109
750
12629
SH
SOLE
12629
0
0
WageWorks, Inc.
COM
930427109
2243
37739
SH
SOLE
37739
0
0
Weatherford International Inc.
COM
H27013103
932
60180
SH
SOLE
60180
0
0
Wright Medical Group
COM
98235t107
230
7483
SH
SOLE
7483
0
0
CitiGroup Inc. 6.875%
PRD
172967341
507
20000
SH
SOLE
20000
0
0
Duke Energy Corp. 5.125%
PRD
26441c303
413
20000
SH
SOLE
20000
0
0
General Electric Capital Corp.
PRD
369622394
388
20000
SH
SOLE
20000
0
0
PNC Financial 5.375%
PRD
693475832
402
20000
SH
SOLE
20000
0
0
PPL Corp. 5.9%
PRD
69352p202
415
20000
SH
SOLE
20000
0
0
SCE Trust II 5.1%
PRD
78407r204
461
25000
SH
SOLE
25000
0
0
State Street Corp 5.25%
PRD
857477509
414
20000
SH
SOLE
20000
0
0
US Bancorp 6% Series G
PRD
902973817
274
10000
SH
SOLE
10000
0
0
Callidus Software Inc. 4.75% d
CVBOND
13123EAB0
1323
750000
PRN
SOLE
750000
0
0
Hercules II 6/30/29 6.5%
CVBOND
427056BC9
671
769000
PRN
SOLE
769000
0
0
Providence Service 6.5% due 5/
CVBOND
743815AB8
1011
1000000
PRN
SOLE
1000000
0
0
AMG Capital 5.15%
CVPFD
00170f209
1265
20000
SH
SOLE
20000
0
0
Carriage Service Cap
CVPFD
14444t309
985
20125
SH
SOLE
20125
0
0
Continental Air 6% 11/15/30
CVPFD
210796306
964
20000
SH
SOLE
20000
0
0
PetroQuest Energy 6.875%
CVPFD
716748207
525
15000
SH
SOLE
15000
0
0