0000892712-12-000558.txt : 20121025 0000892712-12-000558.hdr.sgml : 20121025 20121025171938 ACCESSION NUMBER: 0000892712-12-000558 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121025 DATE AS OF CHANGE: 20121025 EFFECTIVENESS DATE: 20121025 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: 121162302 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: September 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 10-24-2012 ---------------------------------------------------------------------------- (Signature) City/State (Date) 1 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: 102 -------- Form 13F Information Table Value Total: $ 247,321 -------- (thousands List of Other Included Managers: None 3 KOPP INVESTMENT ADVISORS, LLC FORM 13F INFORMATION TABLE SEPTEMBER 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 837 9,056 SH N/A Other N/A 8,001 1,055 Accelrys, Inc. COM 00430U103 1,096 126,525 SH N/A Other N/A 126,525 Adept Technologies Inc. COM NEW 006854202 2,241 563,100 SH N/A Defined N/A 563,100 Adept Technologies Inc. COM NEW 006854202 1,293 324,800 SH N/A Other N/A 324,800 Aflac Incorporated COM 001055102 799 16,691 SH N/A Other N/A 14,511 2,180 Akorn, Inc. COM 009728106 3,173 240,000 SH N/A Defined N/A 240,000 Akorn, Inc. COM 009728106 14,341 1,084,778 SH N/A Other N/A 1,033,573 51,205 Alcatel Lucent Spons ADR SPONSORED ADR 013904305 3,486 3,169,119 SH N/A Other N/A 2,853,434 315,685 Align Technology Inc. COM 016255101 639 17,281 SH N/A Other N/A 17,281 Amarin Corp. PLC ADS SPONS ADR NEW 023111206 1,685 134,000 SH N/A Defined N/A 134,000 Amarin Corp. PLC ADS SPONS ADR NEW 023111206 8,427 670,151 SH N/A Other N/A 642,941 27,210 American Express Company COM 025816109 858 15,097 SH N/A Other N/A 12,937 2,160 Angiodynamics, Inc. COM 03475V101 2,365 193,849 SH N/A Other N/A 168,931 24,918 Apache Corp. COM 037411105 720 8,325 SH N/A Other N/A 7,170 1,155 Array Biopharma Inc. COM 04269X105 5,915 1,012,000 SH N/A Defined N/A 1,012,000 Array Biopharma Inc. COM 04269X105 12,458 2,131,459 SH N/A Other N/A 2,006,094 125,365 AtriCure Inc. COM 04963C209 227 30,520 SH N/A Other N/A 30,520 Autozone Inc. COM 053332102 798 2,160 SH N/A Other N/A 1,865 295 BlackRock Inc. COM 09247X101 821 4,605 SH N/A Other N/A 3,995 610 Calavo Growers Inc. COM 128246105 2,575 102,990 SH N/A Other N/A 88,345 14,645 Callidus Software Inc. COM 13123E500 513 104,035 SH N/A Other N/A 104,035 Cardiome Pharma Corp. COM NEW 14159U202 29 86,400 SH N/A Other N/A 86,400 Cepheid Inc. COM 15670R107 1,004 29,115 SH N/A Other N/A 29,115 Constant Contact, Inc. COM 210313102 2,546 146,302 SH N/A Other N/A 131,457 14,845 Covidien PLC Ordinary Shares SHS G2554F113 463 7,793 SH N/A Other N/A 7,793 Cummins Inc. COM 231021106 719 7,795 SH N/A Other N/A 6,730 1,065 Datalink Corp. COM 237934104 3,978 480,395 SH N/A Other N/A 437,980 42,415 Dynavax Technologies Corp. COM 268158102 2,635 553,499 SH N/A Other N/A 504,880 48,619 Eastman Chemical Co. COM 277432100 839 14,715 SH N/A Other N/A 12,625 2,090 Emcore Corp. COM NEW 290846203 7,564 1,338,750 SH N/A Defined N/A 1,338,750 Emcore Corp. COM NEW 290846203 5,857 1,036,687 SH N/A Other N/A 1,034,431 2,256 Exxon Mobil Corporation COM 30231G102 939 10,268 SH N/A Other N/A 8,839 1,429 Finisar Corp. COM NEW 31787A507 5,952 415,625 SH N/A Defined N/A 415,625 Finisar Corp. COM NEW 31787A507 9,840 687,150 SH N/A Other N/A 657,297 29,853 Fluidigm Corp. COM 34385P108 400 23,500 SH N/A Other N/A 23,500 GenMark Diagnostics, Inc. COM 372309104 611 66,360 SH N/A Other N/A 66,360 Gentherm Inc. COM 37253A103 2,508 201,647 SH N/A Other N/A 173,107 28,540 Integrated Device Technology Inc. COM 458118106 2,889 492,100 SH N/A Other N/A 425,010 67,090 International Business Machines Corp. COM 459200101 906 4,369 SH N/A Other N/A 3,749 620 Iris International Inc COM 46270W105 1,562 80,000 SH N/A Defined N/A 80,000 Iris International Inc COM 46270W105 13,083 670,241 SH N/A Other N/A 612,531 57,710 JDS Uniphase Corp. COM PAR $0.001 46612J507 1,238 100,000 SH N/A Defined N/A 100,000 JDS Uniphase Corp. COM PAR $0.001 46612J507 3,979 321,411 SH N/A Other N/A 312,716 8,695 Johnson & Johnson COM 478160104 769 11,153 SH N/A Other N/A 9,748 1,405 Life Technologies Corp. COM 53217V109 332 6,789 SH N/A Other N/A 6,789 Ligand Pharmaceuticals Inc COM NEW 53220K504 566 33,010 SH N/A Other N/A 33,010 Marriott International Inc. CL A 571903202 884 22,612 SH N/A Other N/A 19,478 3,134 Masimo Corporation COM 574795100 368 15,237 SH N/A Other N/A 15,237 Mindspeed Technologies, Inc. COM NEW 602682205 2,353 680,000 SH N/A Defined N/A 680,000 Mindspeed Technologies, Inc. COM NEW 602682205 6,720 1,942,295 SH N/A Other N/A 1,825,005 117,290 National Oilwell Varco Inc. COM 637071101 903 11,270 SH N/A Other N/A 9,715 1,555 Neogen Corp. COM 640491106 395 9,245 SH N/A Other N/A 9,245 Northern Oil & Gas Inc. COM 665531109 867 51,001 SH N/A Other N/A 45,206 5,795 Novadaq Technologies Inc. COM 66987G102 532 51,465 SH N/A Other N/A 51,465 Nuvasive Inc COM 670704105 642 28,004 SH N/A Other N/A 23,864 4,140 Oclaro, Inc. COM NEW 67555N206 5,762 2,142,000 SH N/A Defined N/A 2,142,000 Oclaro, Inc. COM NEW 67555N206 7,625 2,834,723 SH N/A Other N/A 2,786,913 47,810 Omnicell Inc. COM 68213N109 4,786 344,317 SH N/A Other N/A 316,137 28,180 Oplink Communications, Inc. COM NEW 68375Q403 1,654 100,000 SH N/A Defined N/A 100,000 Oplink Communications, Inc. COM NEW 68375Q403 3,753 226,927 SH N/A Other N/A 224,277 2,650 OraSure Technologies Inc. COM 68554V108 292 26,275 SH N/A Other N/A 26,275 Orexigen Therapeutics Inc. COM 686164104 481 84,090 SH N/A Other N/A 84,090 Pepsico Inc. COM 713448108 749 10,578 SH N/A Other N/A 9,113 1,465 PMC-Sierra Inc. COM 69344F106 112 20,000 SH N/A Other N/A 20,000 The Procter & Gamble Company COM 742718109 719 10,373 SH N/A Other N/A 9,093 1,280 Quidel Corp. COM 74838J101 2,514 132,821 SH N/A Other N/A 120,576 12,245 Regeneron Pharmaceuticals, Inc. COM 75886F107 1,591 10,421 SH N/A Other N/A 9,123 1,298 Rochester Medical Corp. COM 771497104 665 56,325 SH N/A Other N/A 56,325 RTI Biologics, Inc. COM 74975N105 1,421 340,000 SH N/A Defined N/A 340,000 RTI Biologics, Inc. COM 74975N105 13,216 3,161,774 SH N/A Other N/A 2,954,159 207,615 Saba Software COM NEW 784932600 3,710 371,324 SH N/A Other N/A 330,409 40,915 Sangamo Biosciences, Inc. COM 800677106 547 90,000 SH N/A Defined N/A 90,000 Sangamo Biosciences, Inc. COM 800677106 989 162,700 SH N/A Other N/A 162,700 Skyworks Solutions COM 83088M102 1,359 57,689 SH N/A Other N/A 50,519 7,170 Solta Medical Inc. COM 83438K103 87 27,795 SH N/A Other N/A 27,795 Southern Company COM 842587107 898 19,492 SH N/A Other N/A 16,837 2,655 Southwest Airlines Co COM 844741108 728 82,956 SH N/A Other N/A 71,296 11,660 SPDR Trust Ser 1 TR UNIT 78462F103 720 5,000 SH N/A Other N/A 5,000 Spectranetics Corp. COM 84760C107 2,845 192,908 SH N/A Other N/A 180,458 12,450 Staar Surgical Co. COM PAR $0.01 852312305 30 4,000 SH N/A Defined N/A 4,000 Staar Surgical Co. COM PAR $0.01 852312305 2,125 281,019 SH N/A Other N/A 259,849 21,170 Streamline Health Solutions Inc. COM 86323X106 766 137,445 SH N/A Other N/A 137,445 SunOpta, Inc. COM 8676EP108 8,586 1,343,593 SH N/A Other N/A 1,251,968 91,625 Superconductor Technologies, Inc. COM NEW 867931305 2,131 4,534,400 SH N/A Defined N/A 4,534,400 Superconductor Technologies, Inc. COM NEW 867931305 1,300 2,765,969 SH N/A Other N/A 2,763,369 2,600 Synergetics USA, Inc. COM 87160G107 198 40,000 SH N/A Defined N/A 40,000 Synergetics USA, Inc. COM 87160G107 6,909 1,398,503 SH N/A Other N/A 1,274,608 123,895 TearLab Corp. COM 878193101 1,693 439,685 SH N/A Other N/A 439,685 Thoratec Corp. COM NEW 885175307 1,344 38,843 SH N/A Other N/A 35,553 3,290 Titan Machinery Inc. COM 88830R101 1,653 81,522 SH N/A Other N/A 69,685 11,837 Triquint Semiconductor Inc. COM 89674K103 1,691 335,607 SH N/A Other N/A 290,496 45,111 Unilife Corp. COM 90478E103 245 78,575 SH N/A Other N/A 78,575 Uroplasty Inc COM NEW 917277204 659 172,972 SH N/A Other N/A 172,972 V F Corporation COM 918204108 803 5,040 SH N/A Other N/A 4,345 695 Vanguard Total Stock TOTAL STK MKT 922908769 228 3,100 SH N/A Other N/A 3,100 Verizon Communications, Inc. COM 92343V104 916 20,111 SH N/A Other N/A 17,351 2,760 Vitesse Semiconductor Corporation COM NEW 928497304 2,419 991,300 SH N/A Defined N/A 991,300 Vitesse Semiconductor Corporation COM NEW 928497304 3,846 1,576,118 SH N/A Other N/A 1,575,318 800 Vivus Inc COM 928551100 311 17,470 SH N/A Other N/A 17,470 Volcano Corporation COM 928645100 287 10,047 SH N/A Other N/A 10,047 Wells Fargo & Co. COM 949746101 888 25,728 SH N/A Other N/A 22,338 3,390 Westport Innovations Inc. COM NEW 960908309 931 33,430 SH N/A Other N/A 28,800 4,630 REPORT SUMMARY 102 247,321
4