0000892712-12-000244.txt : 20120426 0000892712-12-000244.hdr.sgml : 20120426 20120426170356 ACCESSION NUMBER: 0000892712-12-000244 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120331 FILED AS OF DATE: 20120426 DATE AS OF CHANGE: 20120426 EFFECTIVENESS DATE: 20120426 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: 12784416 BUSINESS ADDRESS: STREET 1: 8400 NORMANDALE LAKE BOULEVARD STREET 2: SUITE 1450 CITY: BLOOMINGTON STATE: MN ZIP: 55437 BUSINESS PHONE: 9528410400 MAIL ADDRESS: STREET 1: 8400 NORMANDALE LAKE BOULEVARD STREET 2: SUITE 1450 CITY: BLOOMINGTON STATE: MN ZIP: 55437 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: March 31, 2012 -------------- 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: 8400 Normandale Lake Blvd., Suite 1450 --------------------------------------------------------- Bloomington, MN 55437 --------------------------------------------------------- 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 Bloomington, Minnesota 4/25/12 ---------------------------------------------------------------------- (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 1 FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 107 -------- Form 13F Information Table Value Total: $ 261,749 -------- (thousands) List of Other Included Managers: None 2 KOPP INVESTMENT ADVISORS, LLC FORM 13F INFORMATION TABLE MARCH 31, 2012
VOTING AUTHORITY ---------------- NAME OF ISSUER TITLE OF CUSIP VALUE SHARES/ SH/ PUT/ INVSTMT OTHER SOLE SHARED NONE -------------- CLASS ----- (X$1000) PRN AMT PRN CALL DSCRET MANAGERS ---- ------ ---- ----- ------ ------- --- ---- ------ -------- 3M Company COM 88579Y101 883 9,902 SH N/A Other N/A 8,797 1,105 Accelrys, Inc. COM 00430U103 860 107,815 SH N/A Other N/A 107,815 Achillion Pharmaceuticals Inc. COM 00448Q201 245 25,545 SH N/A Other N/A 25,545 Adept Technologies Inc. COM NEW 006854202 2,821 564,200 SH N/A Defined N/A 564,200 Adept Technologies Inc. COM NEW 006854202 1,573 314,500 SH N/A Other N/A 314,500 Aflac Incorporated COM 001055102 837 18,191 SH N/A Other N/A 16,011 2,180 Akorn, Inc. COM 009728106 4,113 351,500 SH N/A Defined N/A 351,500 Akorn, Inc. COM 009728106 16,162 1,381,349 SH N/A Other N/A 1,313,799 67,550 Alcatel Lucent Spons ADR SPONSORED ADR 013904305 681 300,000 SH N/A Defined N/A 300,000 Alcatel Lucent Spons ADR SPONSORED ADR 013904305 6,116 2,694,104 SH N/A Other N/A 2,509,864 184,240 Align Technology Inc. COM 016255101 401 14,543 SH N/A Other N/A 14,543 Amarin Corp. PLC ADS SPONS ADR NEW 023111206 792 70,000 SH N/A Defined N/A 70,000 Amarin Corp. PLC ADS SPONS ADR NEW 023111206 10,527 929,967 SH N/A Other N/A 883,502 46,465 American Express Company COM 025816109 1,073 18,547 SH N/A Other N/A 16,117 2,430 Amerigon Inc. COM 03070L300 2,653 163,997 SH N/A Other N/A 144,047 19,950 Angiodynamics, Inc. COM 03475V101 2,430 198,358 SH N/A Other N/A 174,880 23,478 Apache Corp. COM 037411105 926 9,220 SH N/A Other N/A 8,045 1,175 Array Biopharma Inc. COM 04269X105 2,656 780,000 SH N/A Defined N/A 780,000 Array Biopharma Inc. COM 04269X105 6,155 1,807,650 SH N/A Other N/A 1,647,414 160,236 AtriCure Inc. COM 04963C209 252 25,350 SH N/A Other N/A 25,350 Biocryst Pharmaceuticals Inc. COM 09058V103 350 72,455 SH N/A Other N/A 72,455 Calavo Growers Inc. COM 128246105 2,578 96,280 SH N/A Other N/A 83,930 12,350 Callidus Software Inc. COM 13123E500 710 90,920 SH N/A Other N/A 90,920 Cardiome Pharma Corp. COM NEW 14159U202 108 152,500 SH N/A Defined N/A 152,500 Cardiome Pharma Corp. COM NEW 14159U202 735 1,042,064 SH N/A Other N/A 957,399 84,665 Cepheid Inc. COM 15670R107 319 7,621 SH N/A Other N/A 7,486 135 Comverge Inc. COM 205859101 2,109 1,146,441 SH N/A Other N/A 1,017,655 128,786 Constant Contact, Inc. COM 210313102 1,881 63,157 SH N/A Other N/A 56,127 7,030 Cummins Inc. COM 231021106 1,044 8,700 SH N/A Other N/A 7,615 1,085 Datalink Corp. COM 237934104 4,112 431,935 SH N/A Other N/A 388,520 43,415 DaVita Inc. COM 23918K108 228 2,530 SH N/A Other N/A 2,530 Dynavax Technologies Corp. COM 268158102 824 163,915 SH N/A Other N/A 163,080 835 Eastman Chemical Co. COM 277432100 858 16,595 SH N/A Other N/A 14,440 2,155 Elan Corporation PLC ADR ADR 284131208 244 16,260 SH N/A Other N/A 16,260 Emcore Corp. COM NEW 290846203 6,386 1,338,750 SH N/A Defined N/A 1,338,750 Emcore Corp. COM NEW 290846203 4,758 997,449 SH N/A Other N/A 994,883 2,566 EnteroMedics Inc. COM NEW 29365M208 30 13,205 SH N/A Other N/A 13,205 Exxon Mobil Corporation COM 30231G102 1,014 11,687 SH N/A Other N/A 10,203 1,484 Finisar Corp. COM NEW 31787A507 8,375 415,625 SH N/A Defined N/A 415,625 Finisar Corp. COM NEW 31787A507 14,014 695,501 SH N/A Other N/A 667,953 27,548 Fluidigm Corp. COM 34385P108 255 16,210 SH N/A Other N/A 16,210 Heckmann Corp. COM 422680108 1,646 381,975 SH N/A Other N/A 333,230 48,745 International Business Machines Corp. COM 459200101 1,140 5,464 SH N/A Other N/A 4,744 720 Iris International Inc. COM 46270W105 1,081 80,000 SH N/A Defined N/A 80,000 Iris International Inc. COM 46270W105 9,586 709,528 SH N/A Other N/A 649,378 60,150 JDS Uniphase Corp. COM PAR $0.001 46612J507 145 10,000 SH N/A Defined N/A 10,000 JDS Uniphase Corp. COM PAR $0.001 46612J507 3,465 239,116 SH N/A Other N/A 231,926 7,190 Johnson & Johnson COM 478160104 828 12,548 SH N/A Other N/A 11,078 1,470 Johnson Controls Inc. COM 478366107 907 27,922 SH N/A Other N/A 24,467 3,455 Life Technologies Corp. COM 53217V109 280 5,745 SH N/A Other N/A 5,745 Marriott International Inc. CL A 571903202 1,013 26,772 SH N/A Other N/A 23,353 3,419 Masimo Corporation COM 574795100 254 10,875 SH N/A Other N/A 10,875 Medtox Scientific Inc. COM NEW 584977201 12,958 768,580 SH N/A Other N/A 719,720 48,860 Mindspeed Technologies, Inc. COM NEW 602682205 4,141 650,000 SH N/A Defined N/A 650,000 Mindspeed Technologies, Inc. COM NEW 602682205 10,381 1,629,671 SH N/A Other N/A 1,552,881 76,790 National Oilwell Varco Inc. COM 637071101 1,050 13,210 SH N/A Other N/A 11,555 1,655 Neogen Corp. COM 640491106 321 8,210 SH N/A Other N/A 8,210 Network Equipment Technologies, Inc. COM 641208103 2,964 2,769,800 SH N/A Defined N/A 2,769,800 Network Equipment Technologies, Inc. COM 641208103 1,899 1,774,522 SH N/A Other N/A 1,694,327 80,195 Northern Oil & Gas Inc. COM 665531109 1,184 57,110 SH N/A Other N/A 51,040 6,070 Northern Trust COM 665859104 804 16,940 SH N/A Other N/A 14,925 2,015 Nuvasive Inc. COM 670704105 541 32,154 SH N/A Other N/A 27,884 4,270 Oclaro, Inc. COM NEW 67555N206 6,127 1,555,000 SH N/A Defined N/A 1,555,000 Oclaro, Inc. COM NEW 67555N206 7,218 1,832,011 SH N/A Other N/A 1,791,758 40,253 Omnicell Inc. COM 68213N109 285 18,749 SH N/A Other N/A 18,749 Oplink Communications, Inc. COM NEW 68375Q403 2,858 167,145 SH N/A Defined N/A 167,145 Oplink Communications, Inc. COM NEW 68375Q403 4,743 277,391 SH N/A Other N/A 270,206 7,185 OraSure Technologies Inc. COM 68554V108 319 27,765 SH N/A Other N/A 27,765 Pepsico Inc. COM 713448108 779 11,743 SH N/A Other N/A 10,208 1,535 PLX Technology, Inc. COM 693417107 201 50,000 SH N/A Defined N/A 50,000 PLX Technology, Inc. COM 693417107 3,057 760,449 SH N/A Other N/A 687,254 73,195 PMC-Sierra Inc. COM 69344F106 145 20,000 SH N/A Other N/A 20,000 The Procter & Gamble Company COM 742718109 773 11,498 SH N/A Other N/A 10,138 1,360 Quidel Corp. COM 74838J101 2,567 139,751 SH N/A Other N/A 126,816 12,935 Regeneron Pharmaceuticals, Inc. COM 75886F107 1,365 11,702 SH N/A Other N/A 10,295 1,407 RF Monolithics Inc. COM 74955F106 10 10,000 SH N/A Other N/A 10,000 Rochester Medical Corp. COM 771497104 441 44,935 SH N/A Other N/A 44,935 RTI Biologics, Inc. COM 74975N105 1,110 300,000 SH N/A Defined N/A 300,000 RTI Biologics, Inc. COM 74975N105 11,065 2,990,469 SH N/A Other N/A 2,776,049 214,420 Sangamo Biosciences, Inc. COM 800677106 441 90,000 SH N/A Defined N/A 90,000 Sangamo Biosciences, Inc. COM 800677106 799 163,060 SH N/A Other N/A 162,700 360 Skyworks Solutions COM 83088M102 1,352 48,914 SH N/A Other N/A 43,124 5,790 Solta Medical Inc. COM 83438K103 82 26,980 SH N/A Other N/A 26,980 Southern Company COM 842587107 1,012 22,527 SH N/A Other N/A 19,662 2,865 Southwest Airlines Co. COM 844741108 768 93,226 SH N/A Other N/A 81,551 11,675 SPDR Trust Ser 1 TR UNIT 78462F103 704 5,000 SH N/A Other N/A 5,000 Spectranetics Corp. COM 84760C107 621 59,710 SH N/A Other N/A 59,710 Staar Surgical Co. COM PAR $0.01 852312305 3,235 298,735 SH N/A Other N/A 277,565 21,170 Staples Inc. COM 855030102 746 46,055 SH N/A Other N/A 40,400 5,655 SunOpta, Inc. COM 8676EP108 6,624 1,211,036 SH N/A Other N/A 1,128,393 82,643 Superconductor Technologies, Inc. COM NEW 867931305 3,537 4,534,400 SH N/A Defined N/A 4,534,400 Superconductor Technologies, Inc. COM NEW 867931305 1,959 2,511,418 SH N/A Other N/A 2,508,818 2,600 Synergetics USA, Inc. COM 87160G107 325 50,000 SH N/A Defined N/A 50,000 Synergetics USA, Inc. COM 87160G107 8,631 1,327,866 SH N/A Other N/A 1,214,446 113,420 Syneron Medical Ltd. ORD SHS M87245102 116 10,775 SH N/A Other N/A 10,775 TearLab Corp. COM 878193101 523 153,790 SH N/A Other N/A 153,790 Thoratec Corp. COM NEW 885175307 1,289 38,240 SH N/A Other N/A 34,785 3,455 Titan Machinery Inc. COM 88830R101 2,373 84,166 SH N/A Other N/A 73,886 10,280 Triquint Semiconductor Inc. COM 89674K103 1,620 234,982 SH N/A Other N/A 206,700 28,282 Unilife Corp. COM 90478E103 248 61,075 SH N/A Other N/A 61,075 Vanguard Total Stock TOTAL STK MKT 922908769 224 3,100 SH N/A Other N/A 3,100 Verizon Communications, Inc. COM 92343V104 911 23,836 SH N/A Other N/A 20,921 2,915 Vitesse Semiconductor Corporation COM NEW 928497304 3,654 982,300 SH N/A Defined N/A 982,300 Vitesse Semiconductor Corporation COM NEW 928497304 5,633 1,514,262 SH N/A Other N/A 1,511,997 2,265 Vivus Inc. COM 928551100 346 15,455 SH N/A Other N/A 15,455 Volcano Corporation COM 928645100 232 8,183 SH N/A Other N/A 8,183 Wells Fargo & Co. COM 949746101 1,005 29,438 SH N/A Other N/A 25,863 3,575 REPORT SUMMARY 107 261,749
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