-----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, HVco23pBxe/ZB/XLo/WY12eb6U3jlLaaRVzE63yNMo+IJmf9W8qUVA4IUvzAswPu mNulTZXrRJbW7DHYpbbFQg== 0000892712-10-000074.txt : 20100202 0000892712-10-000074.hdr.sgml : 20100202 20100201175056 ACCESSION NUMBER: 0000892712-10-000074 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100202 DATE AS OF CHANGE: 20100201 EFFECTIVENESS DATE: 20100202 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: 10564421 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: December 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 February 1, 2010 - -------------------------------------------------------------------- (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: 108 Form 13F Information Table Value Total: $286,847 (thousands) List of Other Included Managers: None 3 KOPP INVESTMENT ADVISORS, LLC FORM 13F INFORMATION TABLE DECEMBER 31, 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 1,063 12,861 SH N/A Other N/A 11,381 1,480 ADC Telecomm COM NEW 000886309 2,523 406,284 SH N/A Other N/A 406,284 Adept Tech Inc. COM NEW 006854202 2,196 653,600 SH N/A Defined N/A 653,600 Adept Tech Inc. COM NEW 006854202 1,726 513,685 SH N/A Other N/A 510,090 3,595 Aflac Incorporated COM 001055102 1,304 28,195 SH N/A Other N/A 25,160 3,035 Akorn, Inc. COM 009728106 97 54,000 SH N/A Other N/A 54,000 American Express COM 025816109 1,154 28,488 SH N/A Other N/A 25,058 3,430 Angiodynamics COM 03475V101 6,318 393,616 SH N/A Other N/A 352,783 40,833 Array Biopharma Inc. COM 04269X105 5,602 1,993,536 SH N/A Defined N/A 1,993,536 Array Biopharma Inc. COM 04269X105 7,956 2,831,311 SH N/A Other N/A 2,605,056 226,255 ATS Medical Inc. COM 002083103 231 71,400 SH N/A Other N/A 71,400 Bankamerica Corp COM 060505104 800 53,107 SH N/A Other N/A 46,102 7,005 Baxter International COM 071813109 434 7,398 SH N/A Other N/A 7,318 80 BB&T Corp. COM 054937107 218 8,600 SH N/A Other N/A 8,600 Biosante Pharmaceuticals Inc. COM NEW 09065V203 2,121 1,462,489 SH N/A Defined N/A 1,462,489 Biosante Pharmaceuticals Inc. COM NEW 09065V203 801 552,426 SH N/A Other N/A 552,426 BluePhoenix Solutions, Ltd. SHS M20157109 1,522 601,662 SH N/A Other N/A 535,241 66,421 Boston Scientific Corp. COM 101137107 146 16,200 SH N/A Other N/A 16,200 Caliper Life Sciences COM 130872104 749 295,000 SH N/A Defined N/A 295,000 Caliper Life Sciences COM 130872104 5,515 2,171,211 SH N/A Other N/A 1,936,361 234,850 Cardiome Pharma Corp. COM NEW 14159U202 89 20,000 SH N/A Defined N/A 20,000 Cardiome Pharma Corp. COM NEW 14159U202 6,537 1,469,098 SH N/A Other N/A 1,326,198 142,900 Caterpillar Inc. COM 149123101 1,068 18,746 SH N/A Other N/A 16,366 2,380 Cepheid Inc. COM 15670R107 630 50,447 SH N/A Other N/A 49,577 870 Chevron Corp. COM 166764100 223 2,890 SH N/A Other N/A 2,890 Cisco System Inc. COM 17275R102 238 9,952 SH N/A Other N/A 9,552 400 Clean Energy Fuels Corp. COM 184499101 3,411 221,325 SH N/A Other N/A 202,840 18,485 Compellent Technologies, Inc. COM 20452A108 5,133 226,340 SH N/A Other N/A 195,930 30,410 Comverge Inc. COM 205859101 4,720 419,932 SH N/A Other N/A 372,602 47,330 ConocoPhillips COM 20825C104 825 16,145 SH N/A Other N/A 14,115 2,030 Cybersource Corp. COM 23251J106 3,434 170,756 SH N/A Other N/A 153,393 17,363 Dexcom Inc. COM 252131107 308 38,200 SH N/A Other N/A 38,200 Dow Chemical Co. COM 260543103 1,120 40,520 SH N/A Other N/A 35,730 4,790 Durect Corp. COM 266605104 408 165,000 SH N/A Defined N/A 165,000 Durect Corp. COM 266605104 2,074 839,813 SH N/A Other N/A 727,983 111,830 El Paso Corp. COM 28336L109 159 16,205 SH N/A Other N/A 16,205 Emcore Corp. COM 290846104 4,515 4,220,000 SH N/A Defined N/A 4,220,000 Emcore Corp. COM 290846104 801 748,175 SH N/A Other N/A 748,175 Epicor Software Corp. COM 29426L108 1,618 212,296 SH N/A Defined N/A 212,296 Epicor Software Corp. COM 29426L108 1,052 138,000 SH N/A Other N/A 138,000 FedEx Corp. COM 31428X106 1,018 12,195 SH N/A Other N/A 10,740 1,455 Finisar Corp. COM NEW 31787A507 8,815 988,225 SH N/A Defined N/A 988,225 Finisar Corp. COM NEW 31787A507 9,667 1,083,758 SH N/A Other N/A 1,013,735 70,023 FMC Technologies, Inc. COM 30249U101 1,023 17,680 SH N/A Other N/A 15,625 2,055 Harmonic Inc. COM 413160102 3,163 500,398 SH N/A Defined N/A 500,398 Harmonic Inc. COM 413160102 3,075 486,589 SH N/A Other N/A 433,289 53,300 Harris Stratex Networks CL A 41457P106 760 110,000 SH N/A Defined N/A 110,000 Harris Stratex Networks CL A 41457P106 424 61,350 SH N/A Other N/A 61,350 Harvard Bioscience COM 416906105 1,002 280,667 SH N/A Defined N/A 280,667 Harvard Bioscience COM 416906105 809 226,630 SH N/A Other N/A 213,555 13,075 Home Depot Inc. COM 437076102 952 32,920 SH N/A Other N/A 28,610 4,310 Icad Inc. COM 44934S107 4,702 3,093,414 SH N/A Other N/A 2,784,644 308,770 Illumina, Inc. COM 452327109 409 13,335 SH N/A Other N/A 13,335 Intel Corp. COM 458140100 334 16,377 SH N/A Other N/A 15,949 428 Iris Intl Inc COM 46270W105 3,722 301,129 SH N/A Other N/A 271,004 30,125 Johnson & Johnson COM 478160104 848 13,160 SH N/A Other N/A 11,795 1,365 Johnson Controls Inc. COM 478366107 1,181 43,346 SH N/A Other N/A 38,606 4,740 Luminex Corp. COM 55027E102 1,145 76,705 SH N/A Other N/A 73,780 2,925 Marriott Intl. Inc. CL A 571903202 1,064 39,050 SH N/A Other N/A 34,256 4,795 Medtox Scientific Inc. COM NEW 584977201 1,363 175,807 SH N/A Other N/A 169,662 6,145 Microsoft Corp. COM 594918104 304 9,983 SH N/A Other N/A 9,565 418 Mindspeed Tech COM NEW 602682205 4,540 968,046 SH N/A Defined N/A 968,046 Mindspeed Tech COM NEW 602682205 1,247 265,823 SH N/A Other N/A 263,823 2,000 NASDAQ 100 Tr Unit Ser 1 UNIT SER 1 73935A104 224 4,900 SH N/A Other N/A 4,900 NetScout Systems Inc. COM 64115T104 4,626 316,430 SH N/A Other N/A 277,730 38,700 Network Equipment COM 641208103 10,975 2,709,800 SH N/A Defined N/A 2,709,800 Network Equipment COM 641208103 6,650 1,642,005 SH N/A Other N/A 1,524,720 117,285 Nuvasive Inc COM 670704105 4,833 151,130 SH N/A Other N/A 134,090 17,040 Oclaro, Inc. COM 67555N107 11,955 8,132,494 SH N/A Defined N/A 8,132,494 Oclaro, Inc. COM 67555N107 5,509 3,747,895 SH N/A Other N/A 3,699,495 48,400 Oplink Communications COM NEW 68375Q403 2,810 171,430 SH N/A Defined N/A 171,430 Oplink Communications COM NEW 68375Q403 1,724 105,168 SH N/A Other N/A 105,168 Orthovita Inc. COM 68750U102 4,776 1,360,767 SH N/A Other N/A 1,210,022 150,745 Pepsico Inc. COM 713448108 929 15,278 SH N/A Other N/A 13,473 1,805 Pfizer Inc. COM 717081103 205 11,270 SH N/A Other N/A 11,270 Phase Forward Inc. COM 71721R406 7,795 508,125 SH N/A Other N/A 461,375 46,750 PLX Technology COM 693417107 1,793 555,000 SH N/A Defined N/A 555,000 PLX Technology COM 693417107 2,925 905,645 SH N/A Other N/A 821,565 84,080 PMC-Sierra Inc. COM 69344F106 346 40,000 SH N/A Other N/A 40,000 Procter & Gamble COM 742718109 883 14,556 SH N/A Other N/A 12,911 1,645 Quidel Corp. COM 74838J101 4,498 326,424 SH N/A Other N/A 291,674 34,750 RAE Systems COM 75061P102 5,092 4,628,777 SH N/A Defined N/A 4,628,777 RAE Systems COM 75061P102 2,266 2,059,929 SH N/A Other N/A 2,059,929 Regeneron Pharma COM 75886F107 3,869 160,000 SH N/A Defined N/A 160,000 Regeneron Pharma COM 75886F107 7,149 295,658 SH N/A Other N/A 276,893 18,765 RF Monolithics Inc. COM 74955F106 11 10,000 SH N/A Other N/A 10,000 RTI Biologics, Inc. COM 74975N105 3,072 800,000 SH N/A Defined N/A 800,000 RTI Biologics, Inc. COM 74975N105 8,755 2,280,026 SH N/A Other N/A 2,090,141 189,885 Sangamo Biosciences COM 800677106 5,860 989,790 SH N/A Defined N/A 989,790 Sangamo Biosciences COM 800677106 4,982 841,634 SH N/A Other N/A 803,434 38,200 Schwab Charles Corp. COM 808513105 1,012 53,795 SH N/A Other N/A 47,735 6,060 SenoRx, Inc. COM 81724W104 93 11,450 SH N/A Other N/A 11,450 SonoSite Inc. COM 83568G104 595 25,195 SH N/A Other N/A 19,845 5,350 Southern Company COM 842587107 1,051 31,545 SH N/A Other N/A 27,635 3,910 SPDR Trust Ser 1 UNIT SER 1 78462F103 1,231 11,050 SH N/A Other N/A 11,050 SunOpta, Inc. COM 8676EP108 6,293 1,872,953 SH N/A Other N/A 1,699,398 173,555 SunPower Corp. COM CL A 867652109 416 17,563 SH N/A Other N/A 17,113 450 Superconductor Tech COM NEW 867931305 11,552 4,734,400 SH N/A Defined N/A 4,734,400 Superconductor Tech COM NEW 867931305 2,000 819,600 SH N/A Other N/A 817,000 2,600 Tellabs Inc. COM 879664100 111 19,610 SH N/A Other N/A 19,610 Texas Instruments Inc. COM 882508104 1,064 40,845 SH N/A Other N/A 35,730 5,115 Thoratec Corp. COM NEW 885175307 2,512 93,316 SH N/A Other N/A 83,516 9,800 Vanguard Index FDS STK MRK ETF 922908769 203 3,600 SH N/A Other N/A 3,600 Verizon Communications Inc. COM 92343V104 896 27,047 SH N/A Other N/A 23,792 3,255 Vivus Inc COM 928551100 2,510 272,855 SH N/A Other N/A 253,375 19,480 Wireless Ronin Technologies COM 97652A203 4,341 1,176,335 SH N/A Other N/A 1,052,365 123,970 XTO Energy, Inc. COM 98385X106 1,066 22,900 SH N/A Other N/A 20,025 2,875 Zoran Corp. COM 98975F101 2,983 269,995 SH N/A Other N/A 241,165 28,830 REPORT SUMMARY 108 286,847
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