-----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, EgxPT0gsuesvbKY0YgnC+xljtZu/J/EMbwx4pwsWxay/q2D7eFJ3uNZbPTn7AOpT ahsBK/i0pWks67vC4TkyQA== 0001098682-09-000004.txt : 20091001 0001098682-09-000004.hdr.sgml : 20091001 20091001170755 ACCESSION NUMBER: 0001098682-09-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091001 DATE AS OF CHANGE: 20091001 EFFECTIVENESS DATE: 20091001 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SHOTT CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0001098682 IRS NUMBER: 943140021 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-05083 FILM NUMBER: 091099401 BUSINESS ADDRESS: STREET 1: 601 CALIFORNIA STREET SUITE 801 CITY: SAN FRANCISCO STATE: CA ZIP: 94108 BUSINESS PHONE: 4157728363 MAIL ADDRESS: STREET 1: 601 CALIFORNIA STREET STREET 2: SUITE 801 CITY: SAN FRANCISCO STATE: CA ZIP: 94108 13F-HR 1 form13f093009.txt 09-30-09 QUARTERLY FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2009 Check here if Amendment [ ]; Amendment Number: ____ This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Shott Capital Management, LLC Address: 601 California Street, #801 San Francisco, CA 94108 Form 13F File Number: 28-05083 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 Reporting Manager: Name: Paul Wozniak Title: Managing Director Phone: (415) 772-8364 Signature, Place, and Date of Signing: Paul Wozniak San Francisco, CA September 30, 2009 State Street Corporation has been removed from the List of Other Included Managers as Shott Capital Management LLC is deemed not to share investment discretion with State Street Corporation for the purposes of Form 13F reporting. 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 FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 55 Form 13F Information Table Value Total (Thousands): $90,139 List of Other Included Managers: 0 FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- Alliance Data Systems Corporat COM 018581108 1499 24547 SH SOLE 9764 14783 Allot Communications LTD COM M0854Q105 686 178677 SH SOLE 178677 Amdocs Ltd. COM G02602103 1864 69356 SH SOLE 66500 2856 Arch Capital Group Ltd. COM G0450A105 3217 47633 SH SOLE 23833 23800 Aruba Networks Inc. COM 043176106 2392 270539 SH SOLE 270539 Atheros Communications, Inc. COM 04743P108 385 14512 SH SOLE 12133 2379 Atmel Corp. COM 049513104 59 14000 SH SOLE 14000 Avocent Corporation COM 053893103 222 10948 SH SOLE 10948 Cavium Networks, Inc. COM 14965A101 703 32760 SH SOLE 32760 Cbeyond, Inc. COM 149847105 168 10407 SH SOLE 4261 6146 Centennial Communication Corp. COM 15133V208 3395 425466 SH SOLE 173729 251737 Cisco Systems COM 17275R102 4915 208785 SH SOLE 168142 40643 Citrix Systems, Inc. COM 177376100 487 12402 SH SOLE 11398 1004 Cognizant Technology Solutions COM 192446102 1914 49513 SH SOLE 44435 5078 CommVault Systems, Inc. COM 204166102 1620 78078 SH SOLE 73078 5000 Concho Resources Inc. COM 20605P101 3044 83807 SH SOLE 81612 2195 Du Pont COM 263534109 204 6350 SH SOLE 6350 EBay, Inc. COM 278642103 872 36930 SH SOLE 29100 7830 EHealth, Inc. COM 28238P109 731 50391 SH SOLE 23798 26593 EV Energy Partner LP COM 26926V107 2372 102042 SH SOLE 102042 Ecotality, Inc. COM 27922Y103 226 1204693 SH SOLE 1204693 Finisar Corporation COM 31787A507 386 39859 SH SOLE 13860 25999 Global Cash Access Holdings, I COM 378967103 1133 155051 SH SOLE 17023 138028 Google, Inc. - Cl A COM 38259P508 22608 45595 SH SOLE 39426 6169 HewlettPackard COM 428236103 610 12929 SH SOLE 12929 Innophos Holdings, Inc. COM 45774N108 299 16170 SH SOLE 14301 1869 Jackson Hewitt Tax Service, In COM 468202106 2677 524826 SH SOLE 524826 Keryx Biopharmaceuticals, Inc. COM 492515101 78 33200 SH SOLE 33200 Linear Technology Corp. COM 535678106 1354 49000 SH SOLE 20000 29000 Lululemon Athletica Inc. COM 550021109 202 8879 SH SOLE 8879 Magellan Midstream Partners COM 559080106 368 9781 SH SOLE 8359 1422 MedAssets Inc. COM 584045108 1470 65147 SH SOLE 24173 40974 Mellanox Technologies Ltd. COM M51363113 1212 73933 SH SOLE 73933 MetroPCS Communications COM 591708102 4465 477065 SH SOLE 91274 385791 Microchip Technology, Inc. COM 595017104 212 8000 SH SOLE 8000 Microsoft Corp. COM 594918104 283 11000 SH SOLE 11000 Netezza Corporation COM 64111N101 494 43935 SH SOLE 35271 8664 Netflix, Inc. COM 64110L106 532 11516 SH SOLE 11516 NeurogesX, Inc. COM 641252101 398 49803 SH SOLE 49803 PROS Holdings, Inc. COM 74346Y103 96 11346 SH SOLE 7564 3782 Positron Corp. COM 737397125 125 1785750 SH SOLE 1785750 Prestige Brands Holdings, Inc COM 74112D101 1287 182836 SH SOLE 64341 118495 Rackspace Hosting, Inc. COM 750086100 8122 476093 SH SOLE 363966 112127 SAVVIS, Inc. COM 805423308 1145 72398 SH SOLE 23690 48708 Salesforce.com, Inc. COM 79466L302 1170 20551 SH SOLE 16600 3951 Shutterfly, Inc. COM 82568P304 361 21716 SH SOLE 21716 Skyepharma Plc. COM 830808101 28 17587 SH SOLE 17587 Sourcefire, Inc. COM 83616T108 926 43131 SH SOLE 30900 12231 SuperGen, Inc. COM 868059106 134 50009 SH SOLE 50009 TransDigm Group Inc. COM 893641100 1798 36100 SH SOLE 36100 Ulta Salon, Cosmetics & Fragra COM 90384S303 395 23941 SH SOLE 14445 9496 VeriFone Holdings, Inc. COM 92342Y109 2788 175465 SH SOLE 30124 145341 Volcano Corporation COM 928645100 379 22550 SH SOLE 22550 YaHoo!, Inc. COM 984332106 1377 77320 SH SOLE 71320 6000 ev3, Inc. COM 26928A200 252 20500 SH SOLE 20500
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