0000928204-13-000003.txt : 20130725
0000928204-13-000003.hdr.sgml : 20130725
20130725092709
ACCESSION NUMBER: 0000928204-13-000003
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20130630
FILED AS OF DATE: 20130725
DATE AS OF CHANGE: 20130725
EFFECTIVENESS DATE: 20130725
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: WILLIAM HARRIS INVESTORS INC
CENTRAL INDEX KEY: 0000928204
IRS NUMBER: 363488341
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-04436
FILM NUMBER: 13985152
BUSINESS ADDRESS:
STREET 1: 191 NORTH WACKER DRIVE
STREET 2: SUITE 1500
CITY: CHICAGO
STATE: IL
ZIP: 60606
BUSINESS PHONE: 3126210590
MAIL ADDRESS:
STREET 1: 191 NORTH WACKER DRIVE
STREET 2: SUITE 1500
CITY: CHICAGO
STATE: IL
ZIP: 60606
FORMER COMPANY:
FORMER CONFORMED NAME: HARRIS WILLIAM INVESTORS INC
DATE OF NAME CHANGE: 19990407
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0000928204
XXXXXXXX
06-30-2013
06-30-2013
WILLIAM HARRIS INVESTORS INC
191 NORTH WACKER DRIVE
SUITE 1500
CHICAGO
IL
60606
13F HOLDINGS REPORT
028-04436
N
Marc Bassewitz
Vice President & General Counsel
(312) 604-1998
Marc Bassewitz
Chicago
IL
07-25-2013
0
119
329118
false
INFORMATION TABLE
2
filing13f-0613.xml
GREENLIGHT CAPITAL RE LTD CL A
COM
G4095J109
1030
42000
SH
SOLE
42000
0
0
ICON PLC
COM
G4705A100
10581
298638
SH
SOLE
298638
0
0
AT&T, INC
COM
00206R102
253
7140
SH
SOLE
0
7140
0
AT&T, INC
COM
00206R102
71
2000
SH
DFND
0
2000
0
ACTUATE CORP
COM
00508B102
3652
550000
SH
SOLE
550000
0
0
ADVANCE AUTO PARTS, INC
COM
00751Y106
10832
133450
SH
SOLE
133450
0
0
AMERICAN PUBLIC ED, INC
COM
02913V103
4088
110000
SH
SOLE
110000
0
0
AMERISOURCEBERGEN CORP
COM
03073E105
11211
200800
SH
SOLE
199300
1500
0
ANNALY CAPITAL MGMT, INC
COM
035710409
429
34150
SH
SOLE
0
34150
0
ANNALY CAPITAL MGMT, INC
COM
035710409
25
2000
SH
DFND
0
0
2000
ANTARES PHARMA, INC
COM
036642106
7067
1698735
SH
SOLE
1658735
40000
0
APOLLO RESIDENTIAL MTG, INC
COM
03763V102
806
48900
SH
SOLE
0
48900
0
APTARGROUP, INC
COM
038336103
1359
24622
SH
SOLE
0
24622
0
BARNES & NOBLE, INC
COM
067774109
3990
250000
SH
SOLE
250000
0
0
BEACON ROOFING SUPPLY, INC
COM
073685109
8550
225700
SH
SOLE
225700
0
0
BED BATH & BEYOND, INC
COM
075896100
8088
114000
SH
SOLE
114000
0
0
BLACKHAWK NETWORK HLDGS, INC
COM
09238E104
10394
448000
SH
SOLE
448000
0
0
BLACKHAWK NETWORK HLDGS, INC
COM
09238E104
232
10000
SH
DFND
0
0
10000
BLACKSTONE GROUP, LP
COM
09253U108
171
8100
SH
SOLE
0
8100
0
BLACKSTONE GROUP, LP
COM
09253U108
63
3000
SH
DFND
0
0
3000
CH ROBINSON WORLDWIDE, INC
COM
12541W209
8342
148150
SH
SOLE
148150
0
0
CVS CORP
COM
126650100
344
6020
SH
SOLE
0
6020
0
CHURCH & DWIGHT, INC
COM
171340102
715
11585
SH
SOLE
0
11585
0
DESIGN WITHIN REACH, INC
COM
250557204
265
21178
SH
SOLE
21178
0
0
DESIGN WITHIN REACH, INC
COM
250557204
1
56
SH
DFND
0
0
56
DIGITAL GENERATION INC
COM
25400B108
3290
446400
SH
SOLE
446400
0
0
DOVER MOTORSPORTS, INC
COM
260174107
185
85723
SH
SOLE
85723
0
0
ECHO GLOBAL LOGISTICS, INC
COM
27875T101
4536
232711
SH
SOLE
232711
0
0
ENDOLOGIX, INC
COM
29266S106
563
42391
SH
DFND
0
0
42391
ESPERION THERAPEUTICS, INC
COM
29664W105
916
65000
SH
SOLE
65000
0
0
EXELIXIS, INC
COM
30161Q104
56
12230
SH
DFND
0
0
12230
EXPONENT, INC
COM
30214u102
4317
73025
SH
SOLE
73025
0
0
EXXON MOBIL CORP
COM
30231G102
336
3722
SH
SOLE
0
3722
0
EXXON MOBIL CORP
COM
30231G102
16
178
SH
DFND
0
0
178
FLIR SYSTEMS, INC
COM
302445101
8860
328500
SH
SOLE
328500
0
0
FOREST CITY ENT, INC CL A
COM
345550107
207
11550
SH
DFND
0
0
11550
FUSE SCIENCE, INC
COM
36113J106
3
37500
SH
SOLE
0
37500
0
GENERAC HOLDINGS, INC
COM
368736104
6406
173100
SH
SOLE
173100
0
0
GENERAL MOTORS
COM
37045V100
481
14450
SH
SOLE
0
14450
0
GRAND CANYON EDUCATION, INC
COM
38526M106
9786
303620
SH
SOLE
303620
0
0
HEALTH MGMT ASSOC, INC CL A
COM
421933102
9710
617689
SH
SOLE
617689
0
0
HEALTH MGMT ASSOC, INC CL A
COM
421933102
126
8000
SH
DFND
0
0
8000
HELMERICH & PAYNE, INC
COM
423452101
3774
60440
SH
SOLE
60000
440
0
INKSURE TECH
COM
45727E106
0
13000
SH
DFND
0
0
13000
IRONWOOD PHARMACEUTICALS
COM
46333X108
195
19662
SH
SOLE
0
19662
0
ISHARE MSCI BRASIL FREE INDEX
COM
464286400
439
10000
SH
SOLE
10000
0
0
ISHARE FTSE/XINHUA CHINA 25 I
COM
464287184
228
7003
SH
SOLE
0
7003
0
ISHARE FTSE/XINHUA CHINA 25 I
COM
464287184
15
447
SH
DFND
0
447
0
ISHARE NASDAQ BIOTECH
COM
464287556
586
3370
SH
SOLE
0
3370
0
ISHARE TR RUSSELL 2000 GROWTH
COM
464287648
313
2805
SH
SOLE
0
2805
0
ISHARE RUSSELL 3000 GROWTH IND
COM
464287671
214
3600
SH
SOLE
0
3600
0
ISIS PHARMACEUTICALS, INC
COM
464330109
7248
269734
SH
SOLE
227634
42100
0
ISIS PHARMACEUTICALS, INC
COM
464330109
1507
56100
SH
DFND
0
0
56100
JOHNSON & JOHNSON
COM
478160104
369
4300
SH
SOLE
0
4300
0
JOHNSON & JOHNSON
COM
478160104
6
74
SH
DFND
0
0
74
KKR FINANCIAL HOLDINGS LLC
COM
48248A306
181
17119
SH
SOLE
0
17119
0
KKR FINANCIAL HOLDINGS LLC
COM
48248A306
68
6486
SH
DFND
0
2486
4000
KAPSTONE PAPER & PACKAGING COR
COM
48562P103
16922
421167
SH
SOLE
419167
2000
0
KAPSTONE PAPER & PACKAGING COR
COM
48562P103
3247
80800
SH
DFND
0
0
80800
KAYNE ANDERSON ENERGY TOTAL RE
COM
48660P104
135
4500
SH
SOLE
0
4500
0
KAYNE ANDERSON ENERGY TOTAL RE
COM
48660P104
213
7100
SH
DFND
0
1000
6100
KAYNE ANDERSON MIDSTREAM/ENERG
COM
48661E108
128
4000
SH
SOLE
0
4000
0
KAYNE ANDERSON MIDSTREAM/ENERG
COM
48661E108
96
3000
SH
DFND
0
3000
0
LEXICON PHARMACEUTICALS, INC
COM
528872104
443
204342
SH
SOLE
204342
0
0
MACQUARIE INFRASTRUCTURE LLC
COM
55608B105
750
14040
SH
SOLE
0
14040
0
MACQUARIE INFRASTRUCTURE LLC
COM
55608B105
169
3156
SH
DFND
0
1756
1400
MARKET VECTOR GOLD MINERS ETF
COM
57060U100
381
15555
SH
SOLE
0
15555
0
MARKET VECTOR GOLD MINERS ETF
COM
57060U100
15
620
SH
DFND
0
620
0
METLIFE, INC
COM
59156R108
10067
220000
SH
SOLE
220000
0
0
MICROCHIP TECHNOLOGY, INC
COM
595017104
5215
140000
SH
SOLE
140000
0
0
MINDRAY MEDICAL INT'L ADR
COM
602675100
203
5425
SH
SOLE
0
5425
0
MISTRAS GROUP
COM
60649t107
4017
228500
SH
SOLE
228500
0
0
MONSANTO CO
COM
61166W101
217
2200
SH
SOLE
0
2200
0
MOSYS, INC
COM
619718109
1528
380000
SH
SOLE
380000
0
0
MYLAN LABORATORIES
COM
628530107
9557
308000
SH
SOLE
308000
0
0
NEONODE, INC
COM
64051M402
479
80500
SH
SOLE
0
80500
0
NEONODE, INC
COM
64051M402
45
7500
SH
DFND
0
7500
0
NOKIA CORP SPONSORED ADR
COM
654902204
54
14400
SH
SOLE
0
14400
0
OCH-ZIFF CAPITAL MGMT GRP CL A
COM
67551U105
522
50000
SH
SOLE
0
50000
0
OCH-ZIFF CAPITAL MGMT GRP CL A
COM
67551U105
42
4000
SH
DFND
0
0
4000
OPENTABLE, INC
COM
68372A906
2738
42811
SH
SOLE
0
42811
0
PAA NATURAL GAS STORAGE, LP
COM
693139107
1375
65341
SH
SOLE
65341
0
0
PANACOS PHARMACEUTICALS, INC
COM
69811Q106
0
25000
SH
DFND
0
0
25000
PANERA BREAD CO
COM
69840W108
4106
22084
SH
SOLE
22084
0
0
POLYPORE INT'L, INC
COM
73179V103
8274
205300
SH
SOLE
204900
400
0
POWERSHARES DB AGRICULTURE FD
COM
73936B408
249
10000
SH
SOLE
0
10000
0
PROCTER & GAMBLE
COM
742718109
306
3975
SH
SOLE
0
3975
0
PROCTER & GAMBLE
COM
742718109
77
1000
SH
DFND
0
1000
0
RITCHIE BROS AUCTIONEERS, INC
COM
767744105
8887
462400
SH
SOLE
462400
0
0
RYDEX RUSSELL TOP 50 ETF
COM
78355W205
233
2050
SH
SOLE
0
2050
0
SPDR GOLD TRUST
COM
78463V107
1088
9135
SH
SOLE
0
9135
0
SAFEWAY INC
COM
786514208
13723
580000
SH
SOLE
580000
0
0
SANOFI-AVENTIS CONT. VALUE RT
COM
80105N113
61
32302
SH
DFND
0
0
32302
SPDR HEALTHCARE SELECT
COM
81369Y209
373
7835
SH
SOLE
0
7835
0
SPDR HEALTHCARE SELECT
COM
81369Y209
30
629
SH
DFND
0
629
0
SENOMYX, INC
COM
81724Q107
3604
1653402
SH
SOLE
1539634
113768
0
SENOMYX, INC
COM
81724Q107
33
15000
SH
DFND
0
0
15000
SPEEDWAY MOTORSPORTS, INC
COM
847788106
9569
549949
SH
SOLE
549949
0
0
STATE STREET CORP
COM
857477103
8640
132500
SH
SOLE
132500
0
0
SYMANTEC CORP
COM
871503108
7636
339682
SH
SOLE
339682
0
0
TD AMERITRADE HLDG CORP
COM
87236Y108
8735
359627
SH
SOLE
359627
0
0
TEAM, INC
COM
878155100
5149
136028
SH
SOLE
136028
0
0
3M COMPANY
COM
88579Y101
148
1350
SH
SOLE
0
1350
0
3M COMPANY
COM
88579Y101
150
1374
SH
DFND
0
1200
174
TWO HARBORS INVESTMENT CORP
COM
90187B101
256
25000
SH
SOLE
0
25000
0
URS CORP
COM
903236107
5029
106500
SH
SOLE
106500
0
0
ULTA SALON COSMETICS & FRAGRAN
COM
90384S303
4806
48000
SH
SOLE
48000
0
0
VANGUARD DIV APPRECIATION INDX
COM
921908844
754
11390
SH
SOLE
0
11390
0
VANGUARD DIV APPRECIATION INDX
COM
921908844
37
560
SH
DFND
0
560
0
VANGUARD MSCI EMERGING MKTS
COM
922042858
1849
47649
SH
SOLE
0
47649
0
VANGUARD MSCI EMERGING MKTS
COM
922042858
39
1000
SH
DFND
0
1000
0
VENTAS, INC
COM
92276F100
147
2121
SH
SOLE
0
2121
0
VENTAS, INC
COM
92276F100
174
2500
SH
DFND
0
0
2500
VISA, INC
COM
92826C839
325
1780
SH
SOLE
0
1780
0
VISA, INC
COM
92826C839
183
1000
SH
DFND
0
1000
0
WALGREEN
COM
931422109
16730
378500
SH
SOLE
378000
500
0
WISDOMTREE INDIA ETF
COM
97717W422
299
18450
SH
SOLE
0
18450
0
WISDOMTREE INDIA ETF
COM
97717W422
32
2000
SH
DFND
0
2000
0
SPX PUT OPT 1500.0000 12212013
PUT
9EDCQC0C1
1333
300
SH
SOLE
300
0
0