-----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, AFBy35R8Xe8Jw2NAl24ShPIFAWzcbPYCbAmWSW8m9sAEVcuTHcIibibXG72eUG/a AKDHn1RN7RdFE+sor+EPxw== 0000892712-09-001010.txt : 20091105 0000892712-09-001010.hdr.sgml : 20091105 20091105171601 ACCESSION NUMBER: 0000892712-09-001010 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091105 DATE AS OF CHANGE: 20091105 EFFECTIVENESS DATE: 20091105 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: 091162042 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 Quarter Ended: September 30, 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 November 5, 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: 112 Form 13F Information Table Value Total: $324,489 (thousands) List of Other Included Managers: None 3 KOPP INVESTMENT ADVISORS, LLC FORM 13F INFORMATION TABLE SEPTEMBER 30, 2009
VOTING AUTHORITY TITLE VALUE SH/ PUT/ INVESTMENT OTHER NAME OF ISSUER OF CLASS CUSIP (X$1000) SHARES PRN CALL DISCRETION MANAGERS SOLE SHARED NONE 3M Company COM 88579Y101 992 13,441 SH N/A OTHER N/A 11,951 N/A 1,490 ADC Telecomm COM NEW 000886309 2,643 316,914 SH N/A DEFINED N/A 316,914 N/A ADC Telecomm COM NEW 000886309 4,747 569,225 SH N/A OTHER N/A 569,225 N/A Adept Tech Inc. COM NEW 006854202 2,282 708,600 SH N/A DEFINED N/A 708,600 N/A Adept Tech Inc. COM NEW 006854202 1,806 560,885 SH N/A OTHER N/A 557,290 N/A 3,595 Aflac Incorporated COM 001055102 1,329 31,090 SH N/A OTHER N/A 27,610 N/A 3,480 Akorn, Inc. COM 009728106 74 54,000 SH N/A OTHER N/A 54,000 N/A American Express COM 025816109 1,006 29,680 SH N/A OTHER N/A 26,250 N/A 3,430 Anadarko Petroleum COM 032511107 1,256 20,030 SH N/A OTHER N/A 17,625 N/A 2,405 Angiodynamics COM 03475V101 5,603 406,598 SH N/A OTHER N/A 363,975 N/A 42,623 Array Biopharma Inc. COM 04269X105 2,582 1,085,000 SH N/A DEFINED N/A 1,085,000 N/A Array Biopharma Inc. COM 04269X105 4,626 1,943,881 SH N/A OTHER N/A 1,784,176 N/A 159,705 ATS Medical Inc. COM 002083103 191 71,400 SH N/A OTHER N/A 71,400 N/A Bankamerica Corp COM 060505104 822 48,582 SH N/A OTHER N/A 41,917 N/A 6,665 Baxter International COM 071813109 457 8,010 SH N/A OTHER N/A 7,930 N/A 80 BB&T Corp COM 054937107 232 8,525 SH N/A OTHER N/A 8,525 N/A BluePhoenix Solutions, Ltd. SHS M20157109 606 159,920 SH N/A OTHER N/A 157,244 N/A 2,676 Boston Scientific Corp. COM 101137107 225 21,200 SH N/A OTHER N/A 21,200 N/A Caliper Life Sciences COM 130872104 1,354 480,000 SH N/A DEFINED N/A 480,000 N/A Caliper Life Sciences COM 130872104 5,956 2,112,131 SH N/A OTHER N/A 1,862,981 N/A 249,150 Cardiome Pharma Corp. COM NEW 14159U202 173 40,000 SH N/A DEFINED N/A 40,000 N/A Cardiome Pharma Corp. COM NEW 14159U202 6,534 1,509,110 SH N/A OTHER N/A 1,361,560 N/A 147,550 Caterpillar Inc. COM 149123101 1,006 19,601 SH N/A OTHER N/A 17,201 N/A 2,400 Cell Genesys Inc. COM 150921104 2,765 8,000,494 SH N/A DEFINED N/A 8,000,494 N/A Cell Genesys Inc. COM 150921104 1,178 3,408,050 SH N/A OTHER N/A 3,408,050 N/A Cepheid Inc. COM 15670R107 997 75,447 SH N/A OTHER N/A 74,797 N/A 650 Cisco System Inc. COM 17275R102 237 10,074 SH N/A OTHER N/A 9,674 N/A 400 Clean Energy Fuels Corp. COM 184499101 3,125 216,885 SH N/A OTHER N/A 197,220 N/A 19,665 Compellent Technologies, Inc. COM 20452A108 5,300 293,625 SH N/A OTHER N/A 256,465 N/A 37,160 Comverge Inc. COM 205859101 5,085 416,471 SH N/A OTHER N/A 365,781 N/A 50,690 ConocoPhillips COM 20825C104 684 15,150 SH N/A OTHER N/A 13,270 N/A 1,880 Cybersource Corp. COM 23251J106 2,991 179,417 SH N/A OTHER N/A 160,471 N/A 18,946 Dexcom Inc. COM 252131107 303 38,200 SH N/A OTHER N/A 38,200 N/A Dow Chemical Co. COM 260543103 1,092 41,870 SH N/A OTHER N/A 37,080 N/A 4,790 Durect Corp. COM 266605104 1,001 375,000 SH N/A DEFINED N/A 375,000 N/A Durect Corp. COM 266605104 2,421 906,708 SH N/A OTHER N/A 790,283 N/A 116,425 EDCI Holdings, Inc. COM 268315108 89 15,000 SH N/A DEFINED N/A 15,000 N/A Emcore Corp. COM 290846104 4,407 3,390,000 SH N/A DEFINED N/A 3,390,000 N/A Emcore Corp. COM 290846104 1,186 911,925 SH N/A OTHER N/A 911,925 N/A Epicor Software Corp. COM 29426L108 6,962 1,092,970 SH N/A DEFINED N/A 1,092,970 N/A Epicor Software Corp. COM 29426L108 1,334 209,470 SH N/A OTHER N/A 209,470 N/A Extreme Networks COM 30226D106 42 15,000 SH N/A DEFINED N/A 15,000 N/A Extreme Networks COM 30226D106 61 21,950 SH N/A OTHER N/A 21,950 N/A FedEx Corp. COM 31428X106 944 12,547 SH N/A OTHER N/A 11,082 N/A 1,465 Finisar Corp. COM 31787A101 10,147 1,048,225 SH N/A DEFINED N/A 1,048,225 N/A Finisar Corp. COM 31787A101 11,568 1,195,036 SH N/A OTHER N/A 1,117,773 N/A 77,263 Halliburton Company COM 406216101 1,016 37,471 SH N/A OTHER N/A 32,871 N/A 4,600 Harmonic Inc. COM 413160102 4,545 680,398 SH N/A DEFINED N/A 680,398 N/A Harmonic Inc. COM 413160102 3,348 501,219 SH N/A OTHER N/A 442,619 N/A 58,600 Harris Stratex Networks CL A 41457P106 910 130,000 SH N/A DEFINED N/A 130,000 N/A Harris Stratex Networks CL A 41457P106 429 61,350 SH N/A OTHER N/A 61,350 N/A Harvard Bioscience COM 416906105 1,898 500,667 SH N/A DEFINED N/A 500,667 N/A Harvard Bioscience COM 416906105 1,307 344,805 SH N/A OTHER N/A 308,330 N/A 36,475 Home Depot Inc. COM 437076102 895 33,605 SH N/A OTHER N/A 29,495 N/A 4,110 Icad Inc. COM 44934S107 43 20,000 SH N/A DEFINED N/A 20,000 N/A Icad Inc. COM 44934S107 6,209 2,888,039 SH N/A OTHER N/A 2,585,889 N/A 302,150 Illumina, Inc. COM 452327109 709 16,690 SH N/A OTHER N/A 16,690 N/A Intel Corp. COM 458140100 322 16,469 SH N/A OTHER N/A 16,044 N/A 425 Iris Intl Inc COM 46270W105 3,575 316,379 SH N/A OTHER N/A 284,334 N/A 32,045 Johnson & Johnson COM 478160104 807 13,260 SH N/A OTHER N/A 11,895 N/A 1,365 Johnson Controls Inc. COM 478366107 1,137 44,488 SH N/A OTHER N/A 39,698 N/A 4,790 Luminex Corp. COM 55027E102 1,502 88,345 SH N/A OTHER N/A 83,505 N/A 4,840 Marriott Intl. Inc. CL A 571903202 1,100 39,862 SH N/A OTHER N/A 35,052 N/A 4,810 Medtox Scientific Inc. COM NEW 584977201 492 54,069 SH N/A OTHER N/A 54,069 N/A Microsoft Corp. COM 594918104 276 10,746 SH N/A OTHER N/A 10,330 N/A 416 Mindspeed Tech COM NEW 602682205 2,961 1,028,046 SH N/A DEFINED N/A 1,028,046 N/A Mindspeed Tech COM NEW 602682205 845 293,233 SH N/A OTHER N/A 291,233 N/A 2,000 NetScout Systems Inc. COM 64115T104 4,405 326,080 SH N/A OTHER N/A 285,455 N/A 40,625 Network Equipment COM 641208103 19,592 2,709,800 SH N/A DEFINED N/A 2,709,800 N/A Network Equipment COM 641208103 11,619 1,607,086 SH N/A OTHER N/A 1,492,021 N/A 115,065 Nuvasive Inc COM 670704105 6,936 166,100 SH N/A OTHER N/A 148,090 N/A 18,010 Oclaro, Inc. COM 67555N107 9,012 8,192,494 SH N/A DEFINED N/A 8,192,494 N/A Oclaro, Inc. COM 67555N107 4,562 4,147,320 SH N/A OTHER N/A 4,084,320 N/A 63,000 Oplink Communications COM NEW 68375Q403 4,327 297,970 SH N/A DEFINED N/A 297,970 N/A Oplink Communications COM NEW 68375Q403 2,104 144,913 SH N/A OTHER N/A 144,913 N/A Orthovita Inc. COM 68750U102 6,206 1,413,717 SH N/A OTHER N/A 1,256,707 N/A 157,010 Pepsico Inc. COM 713448108 920 15,688 SH N/A OTHER N/A 13,903 N/A 1,785 Pfizer Inc. COM 717081103 180 10,880 SH N/A OTHER N/A 10,880 N/A Phase Forward Inc. COM 71721R406 7,412 527,917 SH N/A OTHER N/A 476,982 N/A 50,935 Phoenix Technology Ltd COM 719153108 438 120,000 SH N/A DEFINED N/A 120,000 N/A Phoenix Technology Ltd COM 719153108 2,346 642,800 SH N/A OTHER N/A 548,050 N/A 94,750 PLX Technology COM 693417107 3,016 895,000 SH N/A DEFINED N/A 895,000 N/A PLX Technology COM 693417107 3,110 922,900 SH N/A OTHER N/A 839,950 N/A 82,950 PMC-Sierra Inc. COM 69344F106 478 50,000 SH N/A DEFINED N/A 50,000 N/A PMC-Sierra Inc. COM 69344F106 382 40,000 SH N/A OTHER N/A 40,000 N/A Procter & Gamble COM 742718109 784 13,531 SH N/A OTHER N/A 12,016 N/A 1,515 Quidel Corp. COM 74838J101 4,700 289,606 SH N/A OTHER N/A 256,306 N/A 33,300 RAE Systems COM 75061P102 5,092 4,628,777 SH N/A DEFINED N/A 4,628,777 N/A RAE Systems COM 75061P102 2,693 2,447,910 SH N/A OTHER N/A 2,436,910 N/A 11,000 Regeneron Pharma COM 75886F107 2,316 120,000 SH N/A DEFINED N/A 120,000 N/A Regeneron Pharma COM 75886F107 4,969 257,448 SH N/A OTHER N/A 238,098 N/A 19,350 RF Monolithics Inc. COM 74955F106 19 25,000 SH N/A OTHER N/A 25,000 N/A RTI Biologics, Inc. COM 74975N105 4,328 995,000 SH N/A DEFINED N/A 995,000 N/A RTI Biologics, Inc. COM 74975N105 10,221 2,349,566 SH N/A OTHER N/A 2,151,481 N/A 198,085 Sangamo Biosciences COM 800677106 8,710 1,060,890 SH N/A DEFINED N/A 1,060,890 N/A Sangamo Biosciences COM 800677106 7,433 905,334 SH N/A OTHER N/A 860,044 N/A 45,290 Schwab Charles Corp. COM 808513105 1,048 54,705 SH N/A OTHER N/A 48,645 N/A 6,060 SonoSite Inc. COM 83568G104 1,353 51,140 SH N/A OTHER N/A 43,515 N/A 7,625 Southern Company COM 842587107 892 28,180 SH N/A OTHER N/A 24,310 N/A 3,870 SPDR Trust Ser 1 UNIT SER 1 78462F103 1,088 10,300 SH N/A OTHER N/A 10,300 N/A SunOpta, Inc. COM 8676EP108 162 40,000 SH N/A DEFINED N/A 40,000 N/A SunOpta, Inc. COM 8676EP108 7,733 1,909,403 SH N/A OTHER N/A 1,729,548 N/A 179,855 SunPower Corp. Cl A COM CL A 867652109 330 11,028 SH N/A OTHER N/A 10,578 N/A 450 Superconductor Tech COM NEW 867931305 14,156 4,734,400 SH N/A DEFINED N/A 4,734,400 N/A Superconductor Tech COM NEW 867931305 2,479 829,000 SH N/A OTHER N/A 825,000 N/A 4,000 Tellabs Inc. COM 879664100 182 26,310 SH N/A OTHER N/A 26,310 N/A Texas Instruments Inc. COM 882508104 985 41,575 SH N/A OTHER N/A 36,710 N/A 4,865 Thoratec Corp. COM NEW 885175307 3,103 102,526 SH N/A OTHER N/A 91,301 N/A 11,225 Verizon Comm COM 92343V104 785 25,930 SH N/A OTHER N/A 22,675 N/A 3,255 Vivus Inc COM 928551100 2,570 246,600 SH N/A OTHER N/A 228,610 N/A 17,990 Wireless Ronin Technologies COM 97652A203 3,304 930,605 SH N/A OTHER N/A 819,775 N/A 110,830 Zoran Corp. COM 98975F101 1,262 109,515 SH N/A OTHER N/A 102,315 N/A 7,200 REPORT SUMMARY 112 324,489
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