0000892712-12-000406.txt : 20120730 0000892712-12-000406.hdr.sgml : 20120730 20120730171610 ACCESSION NUMBER: 0000892712-12-000406 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120630 FILED AS OF DATE: 20120730 DATE AS OF CHANGE: 20120730 EFFECTIVENESS DATE: 20120730 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: 12994482 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: June 30, 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 July 27, 2012 ---------------------------------------------------------------------- (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: 104 ------------ Form 13F Information Table Value Total: $ 234,191 ------------ (thousands) List of Other Included Managers: None 2 KOPP INVESTMENT ADVISORS, LLC FORM 13F INFORMATION TABLE JUNE 30, 2012
VOTING AUTHORITY ---------------- TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER NAME OF ISSUER CLASS CUSIP (X$1000) PRN AMT PRN CALL DSCRET MANAGERS SOLE SHARED NONE -------------- ----- ----- ------- -------- --- ---- ------ -------- ----- ------ ---- 3M Company COM 88579Y101 836 9,334 SH N/A Other N/A 8,229 1,105 Accelrys, Inc. COM 00430U103 952 117,650 SH N/A Other N/A 117,650 Adept Technologies Inc. COM NEW 006854202 2,454 564,200 SH N/A Defined N/A 564,200 Adept Technologies Inc. COM NEW 006854202 1,501 345,000 SH N/A Other N/A 345,000 Aflac Incorporated COM 001055102 730 17,151 SH N/A Other N/A 14,971 2,180 Akorn, Inc. COM 009728106 5,543 351,500 SH N/A Defined N/A 351,500 Akorn, Inc. COM 009728106 21,332 1,352,721 SH N/A Other N/A 1,286,391 66,330 Alcatel Lucent Spons ADR SPONSORED ADR 013904305 489 300,000 SH N/A Defined N/A 300,000 Alcatel Lucent Spons ADR SPONSORED ADR 013904305 3,839 2,355,424 SH N/A Other N/A 2,171,184 184,240 Align Technology Inc. COM 016255101 522 15,602 SH N/A Other N/A 15,602 Amarin Corp. PLC ADS SPONS ADR NEW 023111206 1,012 70,000 SH N/A Defined N/A 70,000 Amarin Corp. PLC ADS SPONS ADR NEW 023111206 12,971 897,040 SH N/A Other N/A 851,920 45,120 American Express Company COM 025816109 957 16,432 SH N/A Other N/A 14,127 2,305 Angiodynamics, Inc. COM 03475V101 2,229 185,554 SH N/A Other N/A 162,371 23,183 Apache Corp. COM 037411105 749 8,520 SH N/A Other N/A 7,345 1,175 Array Biopharma Inc. COM 04269X105 2,707 780,000 SH N/A Defined N/A 780,000 Array Biopharma Inc. COM 04269X105 7,120 2,051,987 SH N/A Other N/A 1,893,952 158,035 AtriCure Inc. COM 04963C209 286 29,755 SH N/A Other N/A 29,755 BlackRock Inc. COM 09247X101 807 4,750 SH N/A Other N/A 4,125 625 Calavo Growers Inc. COM 128246105 2,256 88,175 SH N/A Other N/A 75,825 12,350 Callidus Software Inc. COM 13123E500 495 99,415 SH N/A Other N/A 99,415 Cardiome Pharma Corp. COM NEW 14159U202 51 112,500 SH N/A Defined N/A 112,500 Cardiome Pharma Corp. COM NEW 14159U202 321 714,155 SH N/A Other N/A 669,865 44,290 Cepheid Inc. COM 15670R107 485 10,855 SH N/A Other N/A 10,780 75 Constant Contact, Inc. COM 210313102 1,293 72,412 SH N/A Other N/A 64,512 7,900 Covidien PLC Ordinary Shares SHS G2554F113 393 7,345 SH N/A Other N/A 7,345 Cummins Inc. COM 231021106 776 8,010 SH N/A Other N/A 6,925 1,085 Datalink Corp. COM 237934104 4,411 461,855 SH N/A Other N/A 419,215 42,640 Dynavax Technologies Corp. COM 268158102 1,519 351,620 SH N/A Other N/A 327,006 24,614 Eastman Chemical Co. COM 277432100 770 15,290 SH N/A Other N/A 13,135 2,155 Emcore Corp. COM NEW 290846203 5,917 1,338,750 SH N/A Defined N/A 1,338,750 Emcore Corp. COM NEW 290846203 4,443 1,005,236 SH N/A Other N/A 1,002,980 2,256 Exxon Mobil Corporation COM 30231G102 924 10,804 SH N/A Other N/A 9,320 1,484 Finisar Corp. COM NEW 31787A507 6,218 415,625 SH N/A Defined N/A 415,625 Finisar Corp. COM NEW 31787A507 10,157 678,929 SH N/A Other N/A 651,576 27,353 Fluidigm Corp. COM 34385P108 325 21,620 SH N/A Other N/A 21,620 Gentherm Inc. COM 03070L300 2,453 213,492 SH N/A Other N/A 184,477 29,015 Heckmann Corp. COM 422680108 601 177,755 SH N/A Other N/A 157,820 19,935 International Business Machines Corp. COM 459200101 939 4,804 SH N/A Other N/A 4,104 700 Iris International Inc. COM 46270W105 904 80,000 SH N/A Defined N/A 80,000 Iris International Inc. COM 46270W105 7,657 677,651 SH N/A Other N/A 618,121 59,530 JDS Uniphase Corp. COM PAR $0.001 46612J507 110 10,000 SH N/A Defined N/A 10,000 JDS Uniphase Corp. COM PAR $0.001 46612J507 2,503 227,541 SH N/A Other N/A 220,351 7,190 Johnson & Johnson COM 478160104 780 11,543 SH N/A Other N/A 10,073 1,470 Johnson Controls Inc. COM 478366107 721 26,007 SH N/A Other N/A 22,552 3,455 Life Technologies Corp. COM 53217V109 276 6,135 SH N/A Other N/A 6,135 Ligand Pharmaceuticals Inc. COM NEW 53220K504 514 30,365 SH N/A Other N/A 30,365 Marriott International Inc. CL A 571903202 951 24,248 SH N/A Other N/A 20,859 3,389 Masimo Corporation COM 574795100 315 14,055 SH N/A Other N/A 14,055 Medtox Scientific Inc. COM NEW 584977201 9,071 336,458 SH N/A Other N/A 301,693 34,765 Mindspeed Technologies, Inc. COM NEW 602682205 1,599 650,000 SH N/A Defined N/A 650,000 Mindspeed Technologies, Inc. COM NEW 602682205 4,130 1,679,055 SH N/A Other N/A 1,595,150 83,905 National Oilwell Varco Inc. COM 637071101 783 12,150 SH N/A Other N/A 10,495 1,655 Neogen Corp. COM 640491106 392 8,480 SH N/A Other N/A 8,480 Network Equipment Technologies, Inc. COM 641208103 2,286 1,744,800 SH N/A Defined N/A 1,744,800 Network Equipment Technologies, Inc. COM 641208103 1,409 1,075,576 SH N/A Other N/A 996,271 79,305 Northern Oil & Gas Inc. COM 665531109 862 54,091 SH N/A Other N/A 48,121 5,970 Nuvasive Inc. COM 670704105 757 29,864 SH N/A Other N/A 25,639 4,225 Oclaro, Inc. COM NEW 67555N206 4,727 1,555,000 SH N/A Defined N/A 1,555,000 Oclaro, Inc. COM NEW 67555N206 6,893 2,267,300 SH N/A Other N/A 2,222,520 44,780 Omnicell Inc. COM 68213N109 673 45,960 SH N/A Other N/A 45,960 Oplink Communications, Inc. COM NEW 68375Q403 2,261 167,145 SH N/A Defined N/A 167,145 Oplink Communications, Inc. COM NEW 68375Q403 3,571 263,921 SH N/A Other N/A 256,736 7,185 OraSure Technologies Inc. COM 68554V108 269 23,905 SH N/A Other N/A 23,905 Pepsico Inc. COM 713448108 776 10,978 SH N/A Other N/A 9,443 1,535 PLX Technology, Inc. COM 693417107 2,938 462,654 SH N/A Other N/A 404,849 57,805 PMC-Sierra Inc. COM 69344F106 123 20,000 SH N/A Other N/A 20,000 The Procter & Gamble Company COM 742718109 660 10,778 SH N/A Other N/A 9,418 1,360 Quidel Corp. COM 74838J101 2,164 138,001 SH N/A Other N/A 125,306 12,695 Regeneron Pharmaceuticals, Inc. COM 75886F107 1,283 11,232 SH N/A Other N/A 9,895 1,337 Rochester Medical Corp. COM 771497104 527 48,935 SH N/A Other N/A 48,935 RTI Biologics, Inc. COM 74975N105 1,128 300,000 SH N/A Defined N/A 300,000 RTI Biologics, Inc. COM 74975N105 11,604 3,086,258 SH N/A Other N/A 2,873,385 212,873 Saba Software COM NEW 784932600 1,171 126,165 SH N/A Other N/A 109,825 16,340 Sangamo Biosciences, Inc. COM 800677106 497 90,000 SH N/A Defined N/A 90,000 Sangamo Biosciences, Inc. COM 800677106 898 162,700 SH N/A Other N/A 162,700 Skyworks Solutions COM 83088M102 1,554 56,879 SH N/A Other N/A 51,089 5,790 Solta Medical Inc. COM 83438K103 79 26,980 SH N/A Other N/A 26,980 Southern Company COM 842587107 961 20,752 SH N/A Other N/A 17,887 2,865 Southwest Airlines Co. COM 844741108 792 85,911 SH N/A Other N/A 74,236 11,675 SPDR Trust Ser 1 TR UNIT 78462F103 681 5,000 SH N/A Other N/A 5,000 Spectranetics Corp. COM 84760C107 948 82,995 SH N/A Other N/A 82,995 Staar Surgical Co. COM PAR $0.01 852312305 2,234 287,544 SH N/A Other N/A 266,729 20,815 Staples Inc COM 855030102 560 42,930 SH N/A Other N/A 37,275 5,655 Streamline Health Solutions Inc. COM 86323X106 426 115,255 SH N/A Other N/A 115,255 SunOpta, Inc. COM 8676EP108 6,624 1,180,833 SH N/A Other N/A 1,098,713 82,120 Superconductor Technologies, Inc. COM NEW 867931305 2,857 4,534,400 SH N/A Defined N/A 4,534,400 Superconductor Technologies, Inc. COM NEW 867931305 1,720 2,730,769 SH N/A Other N/A 2,728,169 2,600 Synergetics USA, Inc. COM 87160G107 223 50,000 SH N/A Defined N/A 50,000 Synergetics USA, Inc. COM 87160G107 6,252 1,401,770 SH N/A Other N/A 1,277,540 124,230 TearLab Corp. COM 878193101 1,309 407,740 SH N/A Other N/A 407,740 Thoratec Corp. COM NEW 885175307 1,365 40,648 SH N/A Other N/A 37,253 3,395 Titan Machinery Inc. COM 88830R101 2,536 83,507 SH N/A Other N/A 71,992 11,515 Triquint Semiconductor Inc. COM 89674K103 1,856 337,470 SH N/A Other N/A 293,138 44,332 Unilife Corp. COM 90478E103 244 72,150 SH N/A Other N/A 72,150 Uroplasty Inc. COM NEW 917277204 533 116,108 SH N/A Other N/A 116,108 Vanguard Total Stock TOTAL STK MKT 922908769 216 3,100 SH N/A Other N/A 3,100 Verizon Communications, Inc. COM 92343V104 973 21,891 SH N/A Other N/A 18,976 2,915 Vitesse Semiconductor Corporation COM NEW 928497304 2,603 982,300 SH N/A Defined N/A 982,300 Vitesse Semiconductor Corporation COM NEW 928497304 4,098 1,546,518 SH N/A Other N/A 1,544,818 1,700 Vivus Inc. COM 928551100 478 16,760 SH N/A Other N/A 16,760 Volcano Corporation COM 928645100 260 9,068 SH N/A Other N/A 9,068 Wells Fargo & Co. COM 949746101 912 27,278 SH N/A Other N/A 23,703 3,575 Westport Innovations Inc. COM NEW 960908309 931 25,335 SH N/A Other N/A 21,280 4,055 REPORT SUMMARY 104 234,191
3