0001140361-13-020520.txt : 20130514
0001140361-13-020520.hdr.sgml : 20130514
20130514124727
ACCESSION NUMBER: 0001140361-13-020520
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130331
FILED AS OF DATE: 20130514
DATE AS OF CHANGE: 20130514
EFFECTIVENESS DATE: 20130514
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FALCON POINT CAPITAL, LLC
CENTRAL INDEX KEY: 0001251557
IRS NUMBER: 943256485
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-10492
FILM NUMBER: 13840352
BUSINESS ADDRESS:
STREET 1: TWO EMBARCADERO CENTER STE 420
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 4157829600
MAIL ADDRESS:
STREET 1: TWO EMBARCADERO CENTER STE 420
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
FORMER COMPANY:
FORMER CONFORMED NAME: EGM CAPITAL LLC
DATE OF NAME CHANGE: 20030701
13F-HR
1
form13fhr.txt
NONE
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: 3/31/2013
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: Falcon Point Capital, LLC
Address: Two Embarcadero Center, Suite 420
San Francisco, CA 94111
Form 13F File Number: 28-4994
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 submission.
Persons Signing this Report on Behalf of Reporting Manager:
Name: Lalaine V. Le
Title: Chief Compliance Officer
Phone: 415-782-9600
Signature, Place, and Date of Signing:
/s/ Lalaine V. Le San Francisco, CA 5/14/2013
--------------------------------- --------------------------------- ----------
[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:
13F File Number Name
028-01190 Frank Russell Company
--------------- ---------------------------------------------------------------
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 126
Form 13F Information Table Value Total: $ 88,078
--------------
(In Thousands)
List of Other Included Managers:
Provide a numbered list of the name(s) and 13F file number(s) of all
institutional investment managers with respect to which this report is filed,
other than the manager filing this report.
NONE
FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
------------------------------ -------------- --------- -------- ------------------ ---------- -------- ---------------------
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE
------------------------------ -------------- --------- -------- --------- --- ---- ---------- -------- --------- ------ ----
AT&T Corp. COM 001957109 236.00 6,421 SH SOLE 6,421 0 0
Aaron's, Inc. COM 002535300 406.00 14,142 SH SOLE 14,142 0 0
Acxiom Corp. COM 005125109 1486.00 72,841 SH SOLE 72,841 0 0
Advisory Board Company COM 00762w107 433.00 8,239 SH SOLE 8,239 0 0
Alcatel-Lucent Sponsored (ADR) COM 013904305 134.00 101,030 SH SOLE 101,030 0 0
Alliance Data Systems Corp. COM 018581108 1102.00 6,810 SH SOLE 6,810 0 0
American Axle & Mfg Holdings COM 024061103 150.00 10,964 SH SOLE 10,964 0 0
Arthocare Corp. COM 043136100 932.00 26,818 SH SOLE 26,818 0 0
Atmel Corp. COM 049513104 176.00 25,339 SH SOLE 25,339 0 0
Bally Technologies Inc COM 05874b107 1328.00 25,550 SH SOLE 25,550 0 0
Barclays Bank iPath S&P 500 Sh COM 06740C188 216.00 10,650 SH SOLE 10,650 0 0
Berry Petroleum Co. COM 085789105 320.00 6,913 SH SOLE 6,913 0 0
Boise Cascade Company COM 09739d100 622.00 18,328 SH SOLE 18,328 0 0
Bonanza Creek Energy, Inc. COM 097793103 1134.00 29,335 SH SOLE 29,335 0 0
Boulder Brands Inc. COM 101405108 285.00 31,654 SH SOLE 31,654 0 0
Bravo Brio Restaurant Group COM 10567B109 174.00 10,980 SH SOLE 10,980 0 0
Broadcom COM 111320107 224.00 6,462 SH SOLE 6,462 0 0
CBRE Group, Inc. COM 12504L109 647.00 25,620 SH SOLE 25,620 0 0
CBS Corp COM 124857202 790.00 16,911 SH SOLE 16,911 0 0
Cadence Pharmaceuticals Inc COM 12738t100 617.00 92,217 SH SOLE 92,217 0 0
Capital Senior Living Corp. COM 140475104 698.00 26,410 SH SOLE 26,410 0 0
Cardtronics Inc. COM 14161h108 223.00 8,116 SH SOLE 8,116 0 0
Carriage Services Inc. COM 143905107 229.00 10,779 SH SOLE 10,779 0 0
Carrizo Oil & Gas Inc. COM 144577103 576.00 22,352 SH SOLE 22,352 0 0
Celgene Corp. COM 151020104 1071.00 9,238 SH SOLE 9,238 0 0
Chicago Bridge & Iron-NY SHR ( COM 167250109 810.00 13,050 SH SOLE 13,050 0 0
CoStar Group, Inc. COM 22160n109 1021.00 9,325 SH SOLE 9,325 0 0
Consolidated Graphics, Inc. COM 209341106 829.00 21,196 SH SOLE 21,196 0 0
Corrections Corporation of Ame COM 22025y407 1220.00 31,222 SH SOLE 31,222 0 0
Crocs Inc COM 227046109 390.00 26,292 SH SOLE 26,292 0 0
DXP Enterprises Inc. COM 233377407 1246.00 16,683 SH SOLE 16,683 0 0
Diamond Hill Investment Group, COM 25264R207 1681.00 21,607 SH SOLE 21,607 0 0
Dice Holdings Inc COM 253017107 761.00 75,087 SH SOLE 75,087 0 0
Einstein Noah Restaurant Grp COM 28257u104 596.00 40,159 SH SOLE 40,159 0 0
Electronics for Imaging Inc. COM 286082102 1254.00 49,431 SH SOLE 49,431 0 0
ExactTarget, Inc. COM 30064k105 1675.00 72,002 SH SOLE 72,002 0 0
General Cable Corp. COM 369300108 458.00 12,502 SH SOLE 12,502 0 0
Gilead Sciences, Inc. COM 375558103 929.00 18,975 SH SOLE 18,975 0 0
Google Inc. Class A COM 38259p508 296.00 373 SH SOLE 373 0 0
Hanger Orthopedic Group, Inc. COM 41043F208 990.00 31,398 SH SOLE 31,398 0 0
Hub Group, Inc. COM 443320106 629.00 16,345 SH SOLE 16,345 0 0
Huron Consulting Group COM 447462102 2007.00 49,767 SH SOLE 49,767 0 0
ICON plc (ADR) COM G4705A100 557.00 17,261 SH SOLE 17,261 0 0
In Contact Inc. COM 45336e109 763.00 94,375 SH SOLE 94,375 0 0
Informatica Corp. COM 45666q102 221.00 6,407 SH SOLE 6,407 0 0
Insulet Corp. COM 45784P101 380.00 14,709 SH SOLE 14,709 0 0
Jack In The Box Inc. COM 466367109 1304.00 37,703 SH SOLE 37,703 0 0
Jacobs Engineering Group Inc. COM 469814107 775.00 13,784 SH SOLE 13,784 0 0
LAM Research COM 512807108 520.00 12,545 SH SOLE 12,545 0 0
LaSalle Hotel Properties COM 517942108 530.00 20,870 SH SOLE 20,870 0 0
Leapfrog Enterprises, Inc. COM 52186n106 975.00 113,896 SH SOLE 113,896 0 0
LinkedIn Corp. COM 53578a108 597.00 3,390 SH SOLE 3,390 0 0
MDC Partners Inc. COM 552697104 2041.00 126,213 SH SOLE 126,213 0 0
MICROS Systems, Inc. COM 594901100 536.00 11,779 SH SOLE 11,779 0 0
MRC Global Inc. COM 55345K103 757.00 22,982 SH SOLE 22,982 0 0
Market Leader Inc. COM 57056r103 1033.00 115,245 SH SOLE 115,245 0 0
Market Vectors Gold Miners ETF COM 57060u100 557.00 14,706 SH SOLE 14,706 0 0
Martin Marietta Materials COM 573284106 571.00 5,593 SH SOLE 5,593 0 0
Mastercard Inc COM 57636q104 765.00 1,413 SH SOLE 1,413 0 0
Medical Properties Trust Inc. COM 58463j304 759.00 47,300 SH SOLE 47,300 0 0
FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
------------------------------ -------------- --------- -------- ------------------ ---------- -------- ---------------------
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE
------------------------------ -------------- --------- -------- --------- --- ---- ---------- -------- --------- ------ ----
Mindspeed Technologies, Inc. COM 602682205 55.00 16,450 SH SOLE 16,450 0 0
Monotype Imaging Holdings Inc. COM 61022p100 2766.00 116,446 SH SOLE 116,446 0 0
Multimedia Games, Inc. COM 625453105 1917.00 91,861 SH SOLE 91,861 0 0
NCI Buildings Systems COM 628852204 180.00 10,378 SH SOLE 10,378 0 0
NII Holdings, Inc. - Class B COM 62913f201 128.00 29,610 SH SOLE 29,610 0 0
NVR, Inc. COM 62944t105 580.00 537 SH SOLE 537 0 0
Natural Grocers By Vitamin Cot COM 63888U108 1097.00 48,668 SH SOLE 48,668 0 0
Newmont Mining Corp COM 651639106 377.00 9,000 SH SOLE 9,000 0 0
O2Micro International Limited COM 67107W100 230.00 74,069 SH SOLE 74,069 0 0
OSI Systems Inc. COM 671044105 436.00 6,992 SH SOLE 6,992 0 0
Old Dominion Freight Line, Inc COM 679580100 387.00 10,118 SH SOLE 10,118 0 0
Orthofix International NV COM n6748l102 684.00 19,080 SH SOLE 19,080 0 0
PDF Solutions Inc. COM 693282105 998.00 62,285 SH SOLE 62,285 0 0
Perficient Inc. COM 71375U101 763.00 65,456 SH SOLE 65,456 0 0
PetroQuest Energy Inc. COM 716748108 577.00 130,059 SH SOLE 130,059 0 0
Pfizer Inc COM 717081103 774.00 26,831 SH SOLE 26,831 0 0
PowerShares S&P SmallCap Healt COM 73937b886 325.00 8,101 SH SOLE 8,101 0 0
Premiere Global Services Inc. COM 740585104 1365.00 124,188 SH SOLE 124,188 0 0
Proto Labs, INC. COM 743713109 752.00 15,309 SH SOLE 15,309 0 0
Providence Service Corp COM 743815102 258.00 13,929 SH SOLE 13,929 0 0
Qualcomm Inc. COM 747525103 269.00 4,013 SH SOLE 4,013 0 0
RF Micro Devices COM 749941100 89.00 16,774 SH SOLE 16,774 0 0
Redwood Trust Inc. COM 758075402 514.00 22,175 SH SOLE 22,175 0 0
Repligen Corp. COM 759916109 202.00 29,206 SH SOLE 29,206 0 0
Responsys Inc. COM 761248103 2885.00 326,018 SH SOLE 326,018 0 0
SHFL Entertainment, Inc. COM 78423r105 196.00 11,817 SH SOLE 11,817 0 0
SPS Commerce Inc. COM 78463m107 1086.00 25,456 SH SOLE 25,456 0 0
Sally Beauty Holdings, Inc. COM 79546E104 437.00 14,871 SH SOLE 14,871 0 0
Sciquest Inc. COM 80908t101 720.00 29,948 SH SOLE 29,948 0 0
Tal International Group, Inc. COM 874083108 478.00 10,540 SH SOLE 10,540 0 0
Tangoe Inc. COM 87582y108 717.00 57,849 SH SOLE 57,849 0 0
Team Inc. COM 878155100 306.00 7,445 SH SOLE 7,445 0 0
Terex Corp. COM 880779103 657.00 19,078 SH SOLE 19,078 0 0
The GEO Group COM 36159r103 879.00 23,375 SH SOLE 23,375 0 0
Titan Machinery Inc. COM 88830R101 847.00 30,508 SH SOLE 30,508 0 0
Transocean Ltd. COM h8817h100 608.00 11,697 SH SOLE 11,697 0 0
Tutor Perini Corp. COM 901109108 832.00 43,134 SH SOLE 43,134 0 0
UFP Technologies Inc. COM 902673102 209.00 10,624 SH SOLE 10,624 0 0
UTI Worldwide COM G87210103 437.00 30,209 SH SOLE 30,209 0 0
Unilife Corp. COM 90478e103 264.00 121,154 SH SOLE 121,154 0 0
Urstadt Biddle Properties COM 917286205 612.00 28,140 SH SOLE 28,140 0 0
WageWorks, Inc. COM 930427109 1294.00 51,714 SH SOLE 51,714 0 0
Wesco International Inc. COM 95082P105 519.00 7,141 SH SOLE 7,141 0 0
Bank of America 8.2% PRD 060505765 395.00 15,500 SH SOLE 15,500 0 0
Duke Energy Corp. 5.125% PRD 26441c303 508.00 20,000 SH SOLE 20,000 0 0
JPMorgan Chase 8.625% PRD 46625H621 390.00 15,000 SH SOLE 15,000 0 0
PNC Financial 5.375% PRD 693475832 509.00 20,000 SH SOLE 20,000 0 0
PPL Corp. 5.9% PRD 69352P202 504.00 20,000 SH SOLE 20,000 0 0
Revlon Inc. 12.75% PRD 761525708 379.00 68,323 SH SOLE 68,323 0 0
SCE Trust II 5.1% PRD 78407R204 625.00 25,000 SH SOLE 25,000 0 0
State Street Corp 5.25% PRD 857477509 506.00 20,000 SH SOLE 20,000 0 0
US Bancorp 6% Series G PRD 902973817 278.00 10,000 SH SOLE 10,000 0 0
Wells Fargo Co 5.125% PRD 949746721 500.00 20,000 SH SOLE 20,000 0 0
Alcatel-Lucent 2.75% due 6/15/ CVBOND 549463AH0 502.00 500,000 PRN SOLE 500,000 0 0
Alliance Data Systems 1.75% du CVBOND 018581AD0 812.00 395,000 PRN SOLE 395,000 0 0
BGC Partners Inc. 4.5% due 7/1 CVBOND 05541TAD3 495.00 500,000 PRN SOLE 500,000 0 0
Callidus Software Inc. 4.75% d CVBOND 13123EAB0 707.00 750,000 PRN SOLE 750,000 0 0
Carrizo Oil & Gas 4.375% due 6 CVBOND 144577AA1 195.00 195,000 PRN SOLE 195,000 0 0
Exide Technologies 0% due 9/18 CVBOND 302051AL1 568.00 600,000 PRN SOLE 600,000 0 0
Hercules II 6/30/29 6.5% CVBOND 427056BC9 637.00 769,000 PRN SOLE 769,000 0 0
FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
------------------------------ -------------- --------- -------- ------------------ ---------- -------- ---------------------
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE
------------------------------ -------------- --------- -------- --------- --- ---- ---------- -------- --------- ------ ----
Providence Service 6.5% due 5/ CVBOND 743815AB8 1022.00 1,000,000 PRN SOLE 1,000,000 0 0
AMG Capital 5.15% CVPFD 00170F209 1044.00 20,000 SH SOLE 20,000 0 0
Carriage Service Cap CVPFD 14444T309 1064.00 20,125 SH SOLE 20,125 0 0
Continental Air 6% 11/15/30 CVPFD 210796306 932.00 20,000 SH SOLE 20,000 0 0
PetroQuest Energy 6.875% CVPFD 716748207 502.00 15,000 SH SOLE 15,000 0 0
United Rentals 6.5% 8/1/28 CVPFD 91136H306 656.00 10,046 SH SOLE 10,046 0 0