-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, MiMoXIJ4FVJKlx/TR3hBn+GOUAef8P3tNEYo3TZJiP7uMaxLybFFoZmQHsqLFvhZ +SzeqEeY/AAYXNRbEgS2Mg== 0000892712-09-000437.txt : 20090427 0000892712-09-000437.hdr.sgml : 20090427 20090424181132 ACCESSION NUMBER: 0000892712-09-000437 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090427 DATE AS OF CHANGE: 20090424 EFFECTIVENESS DATE: 20090427 FILER: COMPANY DATA: COMPANY CONFORMED NAME: KOPP INVESTMENT ADVISORS LLC CENTRAL INDEX KEY: 0000884306 IRS NUMBER: 411663810 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-03099 FILM NUMBER: 09770812 BUSINESS ADDRESS: STREET 1: 7701 FRANCE AVENUE SOUTH STREET 2: STE 500 CITY: EDINA STATE: MN ZIP: 55435 BUSINESS PHONE: 9528410400 MAIL ADDRESS: STREET 1: 7701 FRANCE AVENUE SOUTH STREET 2: STE 500 CITY: EDINA STATE: MN ZIP: 55435 13F-HR 1 kia13fc.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year Ended: March 31, 2009 Check here if Amendment [ ]; Amendment Number: ----- This Amendment (Check only one.):[ ] is a restatement. [ ] adds new holding entries. Institutional Investment Manager Filing this Report: Name: Kopp Investment Advisors, LLC ---------------------------------------------------- Address: 7701 France Avenue South, Suite 500 ---------------------------------------------------- Edina, Minnesota 55435 ---------------------------------------------------- Form 13F File No: 28-03099 -------- The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of the Reporting Manager: Name: John P. Flakne -------------------------------------------------------- Title: Chief Financial Officer and Chief Compliance Officer -------------------------------------------------------- Phone: (952) 841-0400 -------------------------------------------------------- Signature, Place, and Date of Signing: /s/ John P. Flakne Edina, Minnesota April 24, 2009 - ---------------------------------------------------------------- Signature) City/State (Date) Report Type (Check only one.): [X] 13F Holdings Report. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F Notice. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F Combination Report. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: None 2 FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 109 Form 13F Information Table Value Total: $195,548 (thousands) List of Other Included Managers: None 3 KOPP INVESTMENT ADVISORS, LLC FORM 13F INFORMATION TABLE MARCH 31, 2009
VOTING AUTHORITY VALUE TITLE (X SH/ PUT/ INVESTMENT OTHER NAME OF ISSUER OF CLASS CUSIP $1000) SHARES PRN CALL DISCRETION MANAGERS SOLE SHARED NONE 3M Company COM 88579Y101 733 14,746 SH N/A Other N/A 13,236 N/A 1,510 Accelrys, Inc. COM 00430U103 45 11,200 SH N/A Other N/A 11,200 N/A ADC Telecomm COM NEW 000886309 2,612 595,000 SH N/A Defined N/A 595,000 N/A ADC Telecomm COM NEW 000886309 3,859 879,080 SH N/A Other N/A 879,080 N/A Adept Tech Inc. COM NEW 006854202 2,976 708,600 SH N/A Defined N/A 708,600 N/A Adept Tech Inc. COM NEW 006854202 2,578 613,890 SH N/A Other N/A 609,890 N/A 4,000 American Express COM 025816109 440 32,270 SH N/A Other N/A 28,540 N/A 3,730 Amgen Inc. (Calif) COM 031162100 217 4,390 SH N/A Other N/A 4,390 N/A Anadarko Petroleum COM 032511107 863 22,195 SH N/A Other N/A 19,725 N/A 2,470 Angiodynamics COM 03475V101 5,573 495,852 SH N/A Other N/A 443,244 N/A 52,608 Array Biopharma Inc. COM 04269X105 1,412 535,000 SH N/A Defined N/A 535,000 N/A Array Biopharma Inc. COM 04269X105 3,048 1,154,480 SH N/A Other N/A 1,029,705 N/A 124,775 ATS Medical Inc. COM 002083103 114 45,600 SH N/A Other N/A 45,600 N/A Bankamerica Corp COM 060505104 357 52,418 SH N/A Other N/A 46,153 N/A 6,265 Bookham Inc. COM 09856E105 1,031 2,397,994 SH N/A Defined N/A 2,397,994 N/A Bookham Inc. COM 09856E105 875 2,034,820 SH N/A Other N/A 1,991,820 N/A 43,000 Caliper Life Sciences COM 130872104 475 480,000 SH N/A Defined N/A 480,000 N/A Caliper Life Sciences COM 130872104 2,304 2,327,759 SH N/A Other N/A 2,039,359 N/A 288,400 Callidus Software COM 13123E500 80 27,500 SH N/A Other N/A 27,500 N/A Caterpillar Inc. COM 149123101 599 21,426 SH N/A Other N/A 18,871 N/A 2,555 Cell Genesys Inc. COM 150921104 1,566 5,400,494 SH N/A Defined N/A 5,400,494 N/A Cell Genesys Inc. COM 150921104 1,283 4,426,350 SH N/A Other N/A 4,326,050 N/A 100,300 Cepheid Inc. COM 15670R107 473 68,500 SH N/A Other N/A 67,850 N/A 650 Cisco System Inc. COM 17275R102 235 14,029 SH N/A Other N/A 13,379 N/A 650 Compellent Technologies, inc. COM 20452A108 3,006 277,090 SH N/A Other N/A 239,490 N/A 37,600 Comverge Inc. COM 205859101 4,026 579,225 SH N/A Other N/A 503,625 N/A 75,600 ConocoPhillips COM 20825C104 636 16,240 SH N/A Other N/A 14,370 N/A 1,870 Cybersource Corp. COM 23251J106 2,666 180,000 SH N/A Defined N/A 180,000 N/A Cybersource Corp. COM 23251J106 3,048 205,800 SH N/A Other N/A 181,522 N/A 24,278 Dexcom Inc. COM 252131107 189 45,700 SH N/A Other N/A 45,700 N/A Dow Chemical Co. COM 260543103 357 42,335 SH N/A Other N/A 37,535 N/A 4,800 Durect Corp. COM 266605104 836 375,000 SH N/A Defined N/A 375,000 N/A Durect Corp. COM 266605104 2,187 980,639 SH N/A Other N/A 850,689 N/A 129,950 EDCI Holdings, Inc. COM 268315108 84 20,000 SH N/A Defined N/A 20,000 N/A EDCI Holdings, Inc. COM 268315108 43 10,300 SH N/A Other N/A 10,300 N/A Emcore Corp. COM 290846104 1,816 2,390,000 SH N/A Defined N/A 2,390,000 N/A Emcore Corp. COM 290846104 1,513 1,990,243 SH N/A Other N/A 1,867,093 N/A 123,150 Entergy Corp New COM 29364G103 729 10,704 SH N/A Other N/A 9,544 N/A 1,160 Epicor Software Corp. COM 29426L108 4,919 1,291,000 SH N/A Defined N/A 1,291,000 N/A Epicor Software Corp. COM 29426L108 1,028 269,770 SH N/A Other N/A 268,170 N/A 1,600 Extreme Networks COM 30226D106 23 15,000 SH N/A Defined N/A 15,000 N/A Extreme Networks COM 30226D106 2,720 1,789,485 SH N/A Other N/A 1,569,335 N/A 220,150 FedEx Corp. COM 31428X106 608 13,675 SH N/A Other N/A 12,215 N/A 1,460 Finisar Corp. COM 31787A101 2,238 5,085,800 SH N/A Defined N/A 5,085,800 N/A Finisar Corp. COM 31787A101 4,661 10,593,721 SH N/A Other N/A 9,765,971 N/A 827,750 Halliburton Company COM 406216101 633 40,948 SH N/A Other N/A 36,048 N/A 4,900 Harmonic Inc. COM 413160102 2,408 370,398 SH N/A Defined N/A 370,398 N/A Harmonic Inc. COM 413160102 3,434 528,368 SH N/A Other N/A 461,518 N/A 66,850 Harris Stratex Networks CL A 41457P106 1,237 321,250 SH N/A Defined N/A 321,250 N/A Harris Stratex Networks CL A 41457P106 652 169,275 SH N/A Other N/A 167,900 N/A 1,375 Harvard Bioscience COM 416906105 1,492 500,667 SH N/A Defined N/A 500,667 N/A Harvard Bioscience COM 416906105 1,135 380,755 SH N/A Other N/A 339,280 N/A 41,475 Hershey Foods Corp. COM 427866108 241 6,935 SH N/A Other N/A 6,935 N/A Home Depot Inc. COM 437076102 819 34,760 SH N/A Other N/A 30,060 N/A 4,700 Illumina, Inc. COM 452327109 653 17,540 SH N/A Other N/A 17,540 N/A Intel Corp. COM 458140100 409 27,189 SH N/A Other N/A 26,771 N/A 418 Intl. Business Machines COM 459200101 207 2,134 SH N/A Other N/A 2,134 N/A Iris Intl Inc COM 46270W105 519 45,000 SH N/A Defined N/A 45,000 N/A Iris Intl Inc COM 46270W105 6,062 525,745 SH N/A Other N/A 472,145 N/A 53,600 Johnson & Johnson COM 478160104 787 14,955 SH N/A Other N/A 13,470 N/A 1,485 Johnson Controls Inc. COM 478366107 588 49,020 SH N/A Other N/A 43,915 N/A 5,105 Marriott Intl. Inc. CL A 571903202 716 43,754 SH N/A Other N/A 38,549 N/A 5,205 Medarex Inc. COM 583916101 4,874 950,000 SH N/A Defined N/A 950,000 N/A Medarex Inc. COM 583916101 6,331 1,234,046 SH N/A Other N/A 1,141,996 N/A 92,050 Microsoft Corp. COM 594918104 264 14,362 SH N/A Other N/A 13,950 N/A 412 Mindspeed Tech COM NEW 602682205 605 488,046 SH N/A Defined N/A 488,046 N/A Mindspeed Tech COM NEW 602682205 307 247,733 SH N/A Other N/A 245,733 N/A 2,000 Monogram Biosciences COM NEW 60975U207 537 211,300 SH N/A Defined N/A 211,300 N/A Monogram Biosciences COM NEW 60975U207 4,520 1,779,608 SH N/A Other N/A 1,602,042 N/A 177,566 NetScout Systems Inc. COM 64115T104 1,506 210,279 SH N/A Other N/A 186,679 N/A 23,600 Network Equipment COM 641208103 8,121 2,294,000 SH N/A Defined N/A 2,294,000 N/A Network Equipment COM 641208103 6,658 1,880,730 SH N/A Other N/A 1,725,280 N/A 155,450 Nuvasive Inc COM 670704105 5,980 190,578 SH N/A Other N/A 168,208 N/A 22,370 Oplink Communications COM NEW 68375Q403 2,310 300,000 SH N/A Defined N/A 300,000 N/A Oplink Communications COM NEW 68375Q403 1,376 178,697 SH N/A Other N/A 177,269 N/A 1,428 Orthovita Inc. COM 68750U102 4,272 1,593,850 SH N/A Other N/A 1,406,350 N/A 187,500 Pepsico Inc. COM 713448108 825 16,018 SH N/A Other N/A 14,118 N/A 1,900 Pfizer Inc. COM 717081103 208 15,245 SH N/A Other N/A 15,245 N/A Phase Forward Inc. COM 71721R406 6,658 520,573 SH N/A Other N/A 462,623 N/A 57,950 Phoenix Technologies COM 719153108 194 120,000 SH N/A Defined N/A 120,000 N/A Phoenix Technologies COM 719153108 794 490,325 SH N/A Other N/A 418,200 N/A 72,125 PLX Technology COM 693417107 1,400 645,000 SH N/A Defined N/A 645,000 N/A PLX Technology COM 693417107 1,914 882,150 SH N/A Other N/A 792,850 N/A 89,300 PMC-Sierra Inc. COM 69344F106 764 120,000 SH N/A Defined N/A 120,000 N/A PMC-Sierra Inc. COM 69344F106 255 40,000 SH N/A Other N/A 40,000 N/A Procter & Gamble COM 742718109 701 14,886 SH N/A Other N/A 13,301 N/A 1,585 Progressive Corp COM 743315103 731 54,375 SH N/A Other N/A 46,530 N/A 7,845 RAE Systems COM 75061P102 1,349 2,870,086 SH N/A Defined N/A 2,870,086 N/A RAE Systems COM 75061P102 1,469 3,126,400 SH N/A Other N/A 2,953,350 N/A 173,050 Regeneron Pharma COM 75886F107 970 70,000 SH N/A Defined N/A 70,000 N/A Regeneron Pharma COM 75886F107 3,858 278,345 SH N/A Other N/A 255,795 N/A 22,550 RF Monolithics Inc. COM 74955F106 9 25,000 SH N/A Other N/A 25,000 N/A RTI Biologics, Inc. COM 74975N105 2,180 765,000 SH N/A Defined N/A 765,000 N/A RTI Biologics, Inc. COM 74975N105 7,012 2,460,335 SH N/A Other N/A 2,232,335 N/A 228,000 Sangamo Biosciences COM 800677106 4,779 1,129,790 SH N/A Defined N/A 1,129,790 N/A Sangamo Biosciences COM 800677106 5,678 1,342,230 SH N/A Other N/A 1,253,530 N/A 88,700 Schwab Charles Corp. COM 808513105 837 53,980 SH N/A Other N/A 47,705 N/A 6,275 SonoSite Inc. COM 83568G104 988 55,285 SH N/A Other N/A 45,660 N/A 9,625 SPDR Trust Ser 1 UNIT SER 1 78462F103 791 9,950 SH N/A Other N/A 9,950 N/A SunPower Corp. Cl A CL A 867652109 997 41,460 SH N/A Other N/A 37,500 N/A 3,960 Superconductor Tech COM NEW 867931305 808 807,500 SH N/A Defined N/A 807,500 N/A Superconductor Tech COM NEW 867931305 207 206,700 SH N/A Other N/A 206,700 N/A Synovis Life Tech COM 87162G105 3,113 224,915 SH N/A Other N/A 201,240 N/A 23,675 Tellabs Inc. COM 879664100 120 26,310 SH N/A Other N/A 26,310 N/A Thoratec Corp. COM NEW 885175307 2,808 109,320 SH N/A Other N/A 96,695 N/A 12,625 Verizon Comm COM 92343V104 867 28,715 SH N/A Other N/A 25,470 N/A 3,245 VNUS Medical Technologies COM 928566108 1,132 53,200 SH N/A Other N/A 48,500 N/A 4,700 Wal-Mart Stores Inc. COM 931142103 241 4,630 SH N/A Other N/A 4,460 N/A 170 Western Union COM 959802109 157 12,525 SH N/A Other N/A 12,525 REPORT SUMMARY 109 195,548
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