0001140361-18-035705.txt : 20180807
0001140361-18-035705.hdr.sgml : 20180807
20180807105611
ACCESSION NUMBER: 0001140361-18-035705
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180630
FILED AS OF DATE: 20180807
DATE AS OF CHANGE: 20180807
EFFECTIVENESS DATE: 20180807
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: 18996679
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
06-30-2018
06-30-2018
FALCON POINT CAPITAL, LLC
TWO EMBARCADERO CENTER STE 420
SAN FRANCISCO
CA
94111
13F HOLDINGS REPORT
028-10492
N
Michael Mahoney
Sr. Managing Director
415-782-9600
Michael Mahoney
San Francisco
CA
08-06-2018
2
119
509250
false
1
0001692234
028-17598
Russell Investments Group, Ltd.
2
0000907692
028-16475
SEI INVESTMENTS MANAGEMENT CORP
INFORMATION TABLE
2
form13fInfoTable.xml
8x8, Inc.
COM
282914100
211
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SH
SOLE
10500
0
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AMAG Pharmaceuticals Inc.
COM
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15343
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SH
SOLE
517829
0
268967
AMN Healthcare Services Inc.
COM
001744101
6451
110089
SH
SOLE
68421
0
41668
ASGN Inc.
COM
00191U102
8387
107259
SH
SOLE
67689
0
39570
Acadia Healthcare Co Inc.
COM
00404A109
7624
186368
SH
SOLE
115886
0
70482
Aclaris Therapeutics Inc.
COM
00461U105
300
15044
SH
SOLE
15044
0
0
Acxiom Corp.
COM
005125109
10412
347651
SH
SOLE
218536
0
129115
Aldeyra Therapeutics Inc.
COM
01438T106
270
33969
SH
SOLE
33969
0
0
Antares Pharma Inc
COM
036642106
574
222501
SH
SOLE
222501
0
0
Apogee Enterprises, Inc.
COM
037598109
9158
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SOLE
118312
0
71797
Apollo Endosurgery Inc.
COM
03767D108
575
82324
SH
SOLE
82324
0
0
Aspen Group
COM
04530L203
377
50422
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50422
0
0
BMC Stock Holdings INC
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05591B109
4596
220447
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137193
0
83254
BioTelemetry Inc.
COM
090672106
10530
233995
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157908
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76087
Boingo Wireless Inc.
COM
09739c102
10497
464686
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315098
0
149588
Box Inc - Class A
COM
10316T104
7795
311906
SH
SOLE
191878
0
120028
Brink's CO
COM
109696104
10284
128955
SH
SOLE
80276
0
48679
C&J Energy Services INC
COM
12674R100
4601
194965
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121233
0
73732
CRA International Inc.
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12618t105
1211
23804
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23804
0
0
Calamp Corp.
COM
128126109
10505
448344
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287971
0
160373
Carbonite Inc.
COM
141337105
1334
38226
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38226
0
0
Cardiovascular Systems Inc.
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141619106
388
11986
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11986
0
0
Carriage Services Inc.
COM
143905107
943
38406
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38406
0
0
Carrizo Oil & Gas Inc.
COM
144577103
6983
250719
SH
SOLE
155917
0
94802
Castlight Health INC
COM
14862Q100
469
110315
SH
SOLE
110315
0
0
Central Garden and Pet CO-A
COM
153527205
12356
305318
SH
SOLE
189891
0
115427
Chicken Soup for the Soul Ente
COM
16842Q100
98
10189
SH
SOLE
10189
0
0
Chuy's Holdings
COM
171604101
871
28383
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28383
0
0
Clearside Biomedical INC
COM
185063104
157
14687
SH
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14687
0
0
Conns Inc.
COM
208242107
13138
398133
SH
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264437
0
133696
Cornerstone OnDemand
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21925Y103
9001
189780
SH
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119525
0
70255
Deckers Outdoor Corp.
COM
243537107
7352
65125
SH
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40518
0
24607
Diamond Hill Investment Group,
COM
25264R207
1200
6174
SH
SOLE
6174
0
0
Dycom Industries
COM
267475101
5013
53040
SH
SOLE
32209
0
20831
Eldorado Resorts, Inc
COM
28470R102
11432
292368
SH
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182153
0
110215
FireEye Inc.
COM
31816q101
17094
1110735
SH
SOLE
698309
0
412426
Five9
COM
338307101
13154
380516
SH
SOLE
252981
0
127535
Fortress Transportation & Infr
COM
34960P101
15215
842003
SH
SOLE
600874
0
241129
GP Strategies Corp
COM
36225V104
428
24313
SH
SOLE
24313
0
0
Graham Corp
COM
384556106
236
9142
SH
SOLE
9142
0
0
Granite Construction
COM
387328107
6335
113817
SH
SOLE
70769
0
43048
Great Lakes Dredge & Dock Co
COM
390607109
635
121046
SH
SOLE
121046
0
0
Health Insurance Innovation
COM
42225K106
513
15857
SH
SOLE
15857
0
0
Home Bancshares INC
COM
436893200
7257
321697
SH
SOLE
200122
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121575
Hostess Brands Inc
COM
44109J106
11289
830057
SH
SOLE
516574
0
313483
Integra Life Sciences
COM
457985208
9689
150422
SH
SOLE
93550
0
56872
Jack In The Box Inc.
COM
466367109
13513
158750
SH
SOLE
99539
0
59211
K2M group Holidings INC
COM
48273J107
4858
215917
SH
SOLE
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Kornit Digital LTD
COM
M6372Q113
643
36133
SH
SOLE
36133
0
0
LaSalle Hotel Properties
COM
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993
29000
SH
SOLE
29000
0
0
Leaf Group
COM
52177g102
940
86645
SH
SOLE
86645
0
0
Ligand Pharmaceuticals Inc.
COM
53220K504
11756
56747
SH
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35654
0
21093
Marten Transport LTD
COM
573075108
640
27295
SH
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27295
0
0
MasTec, Inc.
COM
576323109
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SH
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114876
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Mastercard Inc.
COM
57636q104
243
1236
SH
SOLE
1236
0
0
Maximus, Inc.
COM
577933104
5666
91222
SH
SOLE
56772
0
34450
Medical Properties Trust Inc.
COM
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10286
732635
SH
SOLE
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Minerva Neurosciences INC
COM
603380106
179
21724
SH
SOLE
21724
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0
NEOS Therapeutic
COM
64052L106
2141
342621
SH
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243427
0
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NMI Holdings Inc.
COM
629209305
936
57403
SH
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57403
0
0
Neogenomics, Inc.
COM
64049M209
14889
1135667
SH
SOLE
754969
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Newpark Resources Inc.
COM
651718504
1068
98452
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98452
0
0
Nuvectra Corp
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67075N108
997
48571
SH
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48571
0
0
Omnicell, Inc.
COM
68213N109
11792
224825
SH
SOLE
139605
0
85220
Patterson Energy, Inc.
COM
703481101
184
10249
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10249
0
0
Peak Resorts Inc
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70469L100
625
125000
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125000
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0
Perficient Inc.
COM
71375U101
9403
356594
SH
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236686
0
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Pfenex Inc.
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717071104
450
83243
SH
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83243
0
0
PlayAGS,Inc.
COM
72814N104
10526
388829
SH
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262255
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Proofpoint, Inc.
COM
743424103
11892
103132
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64820
0
38312
Proshares Short Financials
COM
74347B185
249
10750
SH
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10750
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Proshares Short High Yield
COM
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Proshares Ultrashort Barclays
COM
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Pzena Investment Management, I
COM
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800
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SH
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Quanex Building Solutions
COM
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670
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SH
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37311
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Quantenna Communications Inc
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74766D100
886
57033
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57033
0
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Repligen Corp.
COM
759916109
625
13294
SH
SOLE
13294
0
0
Retrophin I
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761299106
3745
137376
SH
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91395
0
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Ringcentral Inc.
COM
76680R206
287
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SH
SOLE
4079
0
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SPDR Gold Shares
COM
78463v107
617
5200
SH
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5200
0
0
Saia Inc.
COM
78709y105
4346
53751
SH
SOLE
32963
0
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SeaSpine Holdings Corp
COM
81255T108
965
76495
SH
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76495
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Social Capital Hedosophia HO
COM
G8250R103
155
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SH
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Supernus Phamaceutical Inc
COM
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SH
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Switch Inc
COM
87105L104
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SH
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TravelCenters of America LLC
COM
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667
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SH
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Triton International Ltd
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G9078F107
967
31540
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31540
0
0
Tutor Perini Corp.
COM
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470
25500
SH
SOLE
25500
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US Concrete Inc
COM
90333L201
6865
130770
SH
SOLE
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Unit Corporation
COM
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54985
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SOLE
54985
0
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Urstadt Biddle Properties
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917286205
214
9440
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0
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Varonis Systems Inc.
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922280102
251
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ViewRay, Inc.
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705
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Viking Therapeutics, Inc.
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92686J106
161
16924
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SOLE
16924
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Visa Inc - Class A Shares
COM
92826c839
207
1560
SH
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1560
0
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Vishay Precision Group
COM
92835K103
1059
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Vonage Holdings Corp.
COM
92886t201
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WageWorks, Inc.
COM
930427109
13280
265593
SH
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165408
0
100185
Watts Water Technologies-A
COM
942749102
6526
83238
SH
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William Lyon Homes
COM
552074700
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SOLE
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Wintrust Financial Corporation
COM
97650W108
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SH
SOLE
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YRC Worldwide Inc.
COM
984249607
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SH
SOLE
476405
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American Homes 4 Rent
PRD
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Apollo Management LLC
PRD
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Capital One Financials
PRD
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TravelCenters of America
PRD
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SOLE
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Wintrust Financial Group
PRD
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SH
SOLE
40000
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AMAG Pharmaceuticals Inc.
CVBOND
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1500000
PRN
SOLE
1500000
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Calamp Corp.
CVBOND
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2664
2500000
PRN
SOLE
2500000
0
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Encore Capital Group Inc.
CVBOND
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1845
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PRN
SOLE
2000000
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Fireeye Inc.
CVBOND
31816QAD3
1370
1500000
PRN
SOLE
1500000
0
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Horizon Global Corp.
CVBOND
44052WAA2
1398
2000000
PRN
SOLE
2000000
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PROS Holding, Inc.
CVBOND
74346YAB9
1193
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PRN
SOLE
1000000
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PROS Holding, Inc.
CVBOND
74346YAC7
1969
2000000
PRN
SOLE
2000000
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Scorpio Tankers Inc.
CVBOND
80918TAA7
1938
2000000
PRN
SOLE
2000000
0
0
ServiceSource International, I
CVBOND
81763UAB6
2198
2250000
PRN
SOLE
2250000
0
0
AMG Capital
CVPFD
00170f209
1491
25000
SH
SOLE
25000
0
0
NY Community Cap Trust V
CVPFD
64944p307
1746
35000
SH
SOLE
35000
0
0
PetroQuest Energy
CVPFD
716748207
23
10000
SH
SOLE
10000
0
0