0000892712-13-000240.txt : 20130426 0000892712-13-000240.hdr.sgml : 20130426 20130426172736 ACCESSION NUMBER: 0000892712-13-000240 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130426 DATE AS OF CHANGE: 20130426 EFFECTIVENESS DATE: 20130426 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: 13788470 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, 2013 -------------- 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 4/24/13 ------------------------------------------------------------------------ (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: 108 ------------ Form 13F Information Table Value Total: $ 242,843 ------------ (thousands) List of Other Included Managers: None 3 KOPP INVESTMENT ADVISORS, LLC FORM 13F INFORMATION TABLE MARCH 31, 2013
VOTING AUTHORITY ---------------- NAME OF ISSUER TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER -------------- CLASS CUSIP (X$1000) PRN AMT PRN CALL DSCRET MANAGERS SOLE SHARED NONE -------- ----- ------- ------- --- ---- ------ -------- ---- ------ ---- 3M Company COM 88579Y101 887 8,341 SH N/A Other N/A 7,411 930 Accelrys, Inc. COM 00430U103 1,870 191,645 SH N/A Other N/A 191,645 Achillion Pharmaceuticals Inc. COM 00448Q201 677 77,315 SH N/A Other N/A 77,315 Adept Technologies Inc. COM NEW 006854202 844 288,300 SH N/A Defined N/A 288,300 Adept Technologies Inc. COM NEW 006854202 201 68,800 SH N/A Other N/A 68,800 Aflac Incorporated COM 001055102 811 15,586 SH N/A Other N/A 13,631 1,955 Akorn, Inc. COM 009728106 3,181 230,000 SH N/A Defined N/A 230,000 Akorn, Inc. COM 009728106 14,152 1,023,250 SH N/A Other N/A 979,640 43,610 Alcatel Lucent Spons ADR SPONSORED ADR 013904305 3,529 2,653,129 SH N/A Other N/A 2,359,529 293,600 Align Technology Inc. COM 016255101 538 16,054 SH N/A Other N/A 16,054 Alkermes PLC SHS G01767105 1,077 45,425 SH N/A Other N/A 45,425 Amarin Corp. PLC ADS SPONSORED ADR NEW 023111206 619 83,600 SH N/A Defined N/A 83,600 Amarin Corp. PLC ADS SPONSORED ADR NEW 023111206 3,005 405,590 SH N/A Other N/A 390,000 15,590 American Express Company COM 025816109 897 13,302 SH N/A Other N/A 11,552 1,750 Angiodynamics, Inc. COM 03475V101 2,137 186,939 SH N/A Other N/A 164,681 22,258 Apache Corp. COM 037411105 592 7,675 SH N/A Other N/A 6,645 1,030 Array Biopharma Inc. COM 04269X105 4,517 920,000 SH N/A Defined N/A 920,000 Array Biopharma Inc. COM 04269X105 11,266 2,294,534 SH N/A Other N/A 2,184,689 109,845 AtriCure Inc. COM 04963C209 1,510 190,642 SH N/A Other N/A 190,642 Autozone Inc. COM 053332102 780 1,965 SH N/A Other N/A 1,695 270 BioMarin Pharmaceutical Inc. COM 09061G101 607 9,746 SH N/A Other N/A 9,746 BlackRock Inc. COM 09247X101 1,013 3,945 SH N/A Other N/A 3,450 495 Bristol Myers Squibb Co. COM 110122108 202 4,895 SH N/A Other N/A 4,895 Cardiome Pharma Corp. COM NEW 14159U202 31 86,400 SH N/A Other N/A 86,400 Celidex Therapeutics Inc. COM 15117B103 1,490 128,710 SH N/A Other N/A 128,710 Cepheid Inc. COM 15670R107 1,161 30,270 SH N/A Other N/A 30,270 Community Health Systems Inc. COM 203668108 213 4,490 SH N/A Other N/A 4,490 Constant Contact, Inc. COM 210313102 1,671 128,729 SH N/A Other N/A 116,589 12,140 Covidien PLC Ordinary Shares SHS G2554F113 729 10,745 SH N/A Other N/A 10,745 Cummins Inc. COM 231021106 841 7,260 SH N/A Other N/A 6,300 960 Datalink Corp. COM 237934104 4,641 384,215 SH N/A Other N/A 345,170 39,045 Eastman Chemical Co. COM 277432100 847 12,120 SH N/A Other N/A 10,420 1,700 Emcore Corp. COM NEW 290846203 7,792 1,338,750 SH N/A Defined N/A 1,338,750 Emcore Corp. COM NEW 290846203 7,445 1,279,268 SH N/A Other N/A 1,274,132 5,136 Exxon Mobil Corporation COM 30231G102 859 9,538 SH N/A Other N/A 8,230 1,308 Finisar Corp. COM NEW 31787A507 5,482 415,625 SH N/A Defined N/A 415,625 Finisar Corp. COM NEW 31787A507 9,561 724,863 SH N/A Other N/A 691,677 33,186 Fluidigm Corp. COM 34385P108 636 34,370 SH N/A Other N/A 34,370 GenMark Diagnostics, Inc. COM 372309104 1,240 96,000 SH N/A Other N/A 96,000 Gentherm Inc. COM 37253A103 1,397 85,285 SH N/A Other N/A 76,890 8,395 HeartWare International Inc. COM 422368100 481 5,446 SH N/A Other N/A 5,446 Humana Inc. COM 444859102 217 3,145 SH N/A Other N/A 3,145 Integrated Device Technology I COM 458118106 3,299 441,695 SH N/A Other N/A 382,895 58,800 International Business Machines Corp. COM 459200101 851 3,989 SH N/A Other N/A 3,439 550 IntraLinks Holdings Inc. COM 46118H104 1,705 268,035 SH N/A Other N/A 237,025 31,010 JDS Uniphase Corp. COM PAR $0.001 46612J507 1,337 100,000 SH N/A Defined N/A 100,000 JDS Uniphase Corp. COM PAR $0.001 46612J507 4,214 315,331 SH N/A Other N/A 306,506 8,825 Johnson & Johnson COM 478160104 1,037 12,718 SH N/A Other N/A 11,473 1,245 Life Technologies Corp. COM 53217V109 802 12,406 SH N/A Other N/A 12,406 Ligand Pharmaceuticals Inc. COM NEW 53220K504 960 36,020 SH N/A Other N/A 36,020 Marriott International Inc. CL A 571903202 886 20,969 SH N/A Other N/A 18,128 2,841 Masimo Corporation COM 574795100 531 27,041 SH N/A Other N/A 27,041 Mindspeed Technologies, Inc. COM NEW 602682205 2,258 680,000 SH N/A Defined N/A 680,000 Mindspeed Technologies, Inc. COM NEW 602682205 6,289 1,894,160 SH N/A Other N/A 1,793,505 100,655 National Oilwell Varco Inc. COM 637071101 757 10,700 SH N/A Other N/A 9,280 1,420 Neogen Corp. COM 640491106 696 14,035 SH N/A Other N/A 14,035 NeoGenomics Inc. COM NEW 64049M209 1,941 493,335 SH N/A Other N/A 493,335 Novadaq Technologies Inc. COM 66987G102 589 59,435 SH N/A Other N/A 59,435 Nuvasive Inc. COM 670704105 495 23,229 SH N/A Other N/A 19,919 3,310 Oclaro, Inc. COM NEW 67555N206 3,600 2,857,000 SH N/A Defined N/A 2,857,000 Oclaro, Inc. COM NEW 67555N206 4,868 3,863,798 SH N/A Other N/A 3,820,558 43,240 Omnicell Inc. COM 68213N109 6,557 347,297 SH N/A Other N/A 322,432 24,865 Onyx Pharmaceuticals Inc. COM 683399109 572 6,439 SH N/A Other N/A 6,439 Oplink Communications, Inc. COM NEW 68375Q403 1,558 95,000 SH N/A Defined N/A 95,000 Oplink Communications, Inc. COM NEW 68375Q403 2,785 169,827 SH N/A Other N/A 167,857 1,970 OraSure Technologies Inc. COM 68554V108 218 40,460 SH N/A Other N/A 40,460 Orexigen Therapeutics Inc. COM 686164104 1,147 183,265 SH N/A Other N/A 183,265 Pepsico Inc. COM 713448108 787 9,943 SH N/A Other N/A 8,628 1,315 Pfizer Inc. COM 717081103 214 7,400 SH N/A Other N/A 7,400 PMC-Sierra Inc. COM 69344F106 136 20,000 SH N/A Other N/A 20,000 The Procter & Gamble Company COM 742718109 743 9,638 SH N/A Other N/A 8,528 1,110 Quidel Corp. COM 74838J101 4,342 182,804 SH N/A Other N/A 172,324 10,480 Regeneron Pharmaceuticals, Inc. COM 75886F107 1,170 6,633 SH N/A Other N/A 5,900 733 Rochester Medical Corp. COM 771497104 1,876 128,348 SH N/A Other N/A 128,348 RTI Biologics, Inc. COM 74975N105 2,099 534,000 SH N/A Defined N/A 534,000 RTI Biologics, Inc. COM 74975N105 13,228 3,365,984 SH N/A Other N/A 3,190,994 174,990 Ruckus Wireless Inc. COM 781220108 1,905 90,698 SH N/A Other N/A 80,203 10,495 Saba Software COM NEW 784932600 2,917 366,920 SH N/A Other N/A 324,385 42,535 Sagent Pharmaceuticals Inc. COM 786692103 595 33,905 SH N/A Other N/A 33,905 Sangamo Biosciences, Inc. COM 800677106 813 85,000 SH N/A Defined N/A 85,000 Sangamo Biosciences, Inc. COM 800677106 1,775 185,700 SH N/A Other N/A 185,700 Skyworks Solutions COM 83088M102 3,190 144,839 SH N/A Other N/A 127,934 16,905 Solta Medical Inc. COM 83438K103 61 27,795 SH N/A Other N/A 27,795 Southern Company COM 842587107 853 18,182 SH N/A Other N/A 15,807 2,375 Southwest Airlines Co. COM 844741108 964 71,521 SH N/A Other N/A 61,941 9,580 SPDR Trust Ser 1 TR UNIT 78462F103 768 4,900 SH N/A Other N/A 4,900 Spectranetics Corp. COM 84760C107 5,565 300,318 SH N/A Other N/A 279,688 20,630 Staar Surgical Co. COM PAR $0.01 852312305 23 4,000 SH N/A Defined N/A 4,000 Staar Surgical Co. COM PAR $0.01 852312305 1,243 220,727 SH N/A Other N/A 203,777 16,950 Streamline Health Solutions, Inc. COM 86323X106 3,759 582,721 SH N/A Other N/A 534,742 47,979 SunOpta, Inc. COM 8676EP108 9,625 1,336,778 SH N/A Other N/A 1,258,138 78,640 Superconductor Technologies, Inc. COM PAR $0.001 867931404 1,270 498,227 SH N/A Defined N/A 498,227 Superconductor Technologies, Inc. COM PAR $0.001 867931404 846 331,753 SH N/A Other N/A 331,537 216 Synergetics USA, Inc. COM 87160G107 69 20,000 SH N/A Defined N/A 20,000 Synergetics USA, Inc. COM 87160G107 6,535 1,883,428 SH N/A Other N/A 1,745,253 138,175 TearLab Corp. COM 878193101 10,114 1,465,738 SH N/A Other N/A 1,366,048 99,690 Thoratec Corp. COM NEW 885175307 1,517 40,445 SH N/A Other N/A 37,640 2,805 Triquint Semiconductor Inc. COM 89674K103 932 184,173 SH N/A Other N/A 164,222 19,951 Uroplasty Inc. COM NEW 917277204 559 224,536 SH N/A Other N/A 224,536 V F Corporation COM 918204108 813 4,845 SH N/A Other N/A 4,220 625 Vanguard Total Stock TOTAL STK MKT 922908769 251 3,100 SH N/A Other N/A 3,100 Verizon Communications, Inc. COM 92343V104 895 18,216 SH N/A Other N/A 15,826 2,390 Vitesse Semiconductor Corporation COM NEW 928497304 2,141 991,300 SH N/A Defined N/A 991,300 Vitesse Semiconductor Corporation COM NEW 928497304 3,396 1,572,078 SH N/A Other N/A 1,572,078 Vivus Inc. COM 928551100 1,857 168,796 SH N/A Other N/A 153,051 15,745 Volcano Corporation COM 928645100 348 15,627 SH N/A Other N/A 15,627 Warner Chilcott ADR SHS A G94368100 175 12,905 SH N/A Other N/A 12,905 Wells Fargo & Co. COM 949746101 876 23,678 SH N/A Other N/A 20,603 3,075 REPORT SUMMARY 108 242,843
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