0001140361-14-017709.txt : 20140428
0001140361-14-017709.hdr.sgml : 20140428
20140428165947
ACCESSION NUMBER: 0001140361-14-017709
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140331
FILED AS OF DATE: 20140428
DATE AS OF CHANGE: 20140428
EFFECTIVENESS DATE: 20140428
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: 14790202
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
primary_doc.xml
13F-HR
LIVE
false
true
false
0001251557
XXXXXXXX
03-31-2014
03-31-2014
FALCON POINT CAPITAL, LLC
TWO EMBARCADERO CENTER STE 420
SAN FRANCISCO
CA
94111
13F HOLDINGS REPORT
028-10492
N
James A. Bitzer
Sr. Managing Director
415-782-9600
James A. Bitzer
San Francisco
CA
04-28-2014
1
118
104081
false
1
0000721204
028-01190
RUSSELL FRANK CO/
INFORMATION TABLE
2
form13fInfoTable.xml
AK Steel Holding Corp
COM
001547108
609
84360
SH
SOLE
84360
0
0
Actavis Plc
COM
G0083B108
922
4479
SH
SOLE
4479
0
0
Acxiom Corp.
COM
005125109
2328
67675
SH
SOLE
67675
0
0
Agnico-Eagle Mines LTD
COM
008474108
730
24120
SH
SOLE
24120
0
0
Alliance Data Systems Corp.
COM
018581108
916
3362
SH
SOLE
3362
0
0
Ann Taylor
COM
035623107
731
17621
SH
SOLE
17621
0
0
Apple Inc
COM
037833100
364
678
SH
SOLE
678
0
0
Arkansas Best Corp.
COM
040790107
2441
66056
SH
SOLE
66056
0
0
Atmel Corp.
COM
049513104
193
23030
SH
SOLE
23030
0
0
Bally Technologies Inc
COM
05874b107
1297
19575
SH
SOLE
19575
0
0
Berry Plastics Group Inc.
COM
08579w103
521
22514
SH
SOLE
22514
0
0
Biodelivery Sciences Intl.
COM
09060J106
321
38092
SH
SOLE
38092
0
0
Boulder Brands Inc.
COM
101405108
501
28414
SH
SOLE
28414
0
0
CBS Corp
COM
124857202
851
13764
SH
SOLE
13764
0
0
Callidus Software, Inc.
COM
13123E500
325
25990
SH
SOLE
25990
0
0
Capital Senior Living Corp.
COM
140475104
1201
46221
SH
SOLE
46221
0
0
Cardtronics Inc.
COM
14161h108
513
13213
SH
SOLE
13213
0
0
Carriage Services Inc.
COM
143905107
305
16699
SH
SOLE
16699
0
0
Carrizo Oil & Gas Inc.
COM
144577103
694
12987
SH
SOLE
12987
0
0
Cheesecake Factory
COM
163072101
697
14627
SH
SOLE
14627
0
0
Chicago Bridge & Iron SHR (ADR
COM
167250109
767
8797
SH
SOLE
8797
0
0
CoStar Group, Inc.
COM
22160n109
903
4834
SH
SOLE
4834
0
0
Copart Inc.
COM
217204106
1209
33230
SH
SOLE
33230
0
0
Core-Mark Holding Company, Inc
COM
218681104
1046
14408
SH
SOLE
14408
0
0
DXP Enterprises Inc.
COM
233377407
849
8939
SH
SOLE
8939
0
0
Deckers Outdoor Corp.
COM
243537107
1819
22818
SH
SOLE
22818
0
0
Diamond Hill Investment Group,
COM
25264R207
2474
18823
SH
SOLE
18823
0
0
Dice Holdings Inc
COM
253017107
912
122306
SH
SOLE
122306
0
0
Eight By Eight
COM
282914100
156
14430
SH
SOLE
14430
0
0
Einstein Noah Restaurant Grp
COM
28257u104
499
30313
SH
SOLE
30313
0
0
Encore Wire Corp.
COM
292562105
758
15626
SH
SOLE
15626
0
0
Ethan Allen Interiors
COM
297602104
282
11073
SH
SOLE
11073
0
0
Facebook Inc.
COM
30303M102
793
13170
SH
SOLE
13170
0
0
Flir Systems
COM
302445101
1340
37216
SH
SOLE
37216
0
0
Furmanite Corporation
COM
361086101
326
33237
SH
SOLE
33237
0
0
General Cable Corp.
COM
369300108
389
15192
SH
SOLE
15192
0
0
Gilead Sciences, Inc.
COM
375558103
1231
17366
SH
SOLE
17366
0
0
Glu Mobile
COM
379890106
107
22650
SH
SOLE
22650
0
0
Hanger Orthopedic Group, Inc.
COM
41043F208
1075
31904
SH
SOLE
31904
0
0
Hub Group, Inc.
COM
443320106
654
16345
SH
SOLE
16345
0
0
Huron Consulting Group
COM
447462102
2848
44934
SH
SOLE
44934
0
0
ICON plc (ADR)
COM
G4705A100
703
14776
SH
SOLE
14776
0
0
In Contact Inc.
COM
45336e109
1601
166732
SH
SOLE
166732
0
0
Infoblox Inc
COM
45672H104
1346
67112
SH
SOLE
67112
0
0
Insulet Corp.
COM
45784P101
546
11509
SH
SOLE
11509
0
0
Jack In The Box Inc.
COM
466367109
2300
39021
SH
SOLE
39021
0
0
Jacobs Engineering Group Inc.
COM
469814107
770
12122
SH
SOLE
12122
0
0
Jamba Inc.
COM
47023a309
1484
123753
SH
SOLE
123753
0
0
LaSalle Hotel Properties
COM
517942108
709
22650
SH
SOLE
22650
0
0
Las Vegas Sands
COM
517834107
814
10081
SH
SOLE
10081
0
0
Leapfrog Enterprises, Inc.
COM
52186n106
126
16741
SH
SOLE
16741
0
0
Logitech Intl Na Sf -.25
COM
H50430232
809
54305
SH
SOLE
54305
0
0
MDC Partners Inc.
COM
552697104
3159
138439
SH
SOLE
138439
0
0
MICROS Systems, Inc.
COM
594901100
772
14578
SH
SOLE
14578
0
0
Martin Transport LTD
COM
573075108
316
14674
SH
SOLE
14674
0
0
Mastercard Inc
COM
57636q104
837
11204
SH
SOLE
11204
0
0
Maximus, Inc.
COM
577933104
1179
26283
SH
SOLE
26283
0
0
Medical Properties Trust Inc.
COM
58463j304
605
47300
SH
SOLE
47300
0
0
Microsoft Corp.
COM
594918104
243
5930
SH
SOLE
5930
0
0
Monotype Imaging Holdings Inc.
COM
61022p100
2040
67686
SH
SOLE
67686
0
0
Monro Muffler Brake Inc.
COM
610236101
1940
34109
SH
SOLE
34109
0
0
Multimedia Games, Inc.
COM
625453105
1699
58491
SH
SOLE
58491
0
0
NCI Buildings Systems
COM
628852204
244
13991
SH
SOLE
13991
0
0
Natural Grocers By Vitamin Cot
COM
63888U108
1408
32248
SH
SOLE
32248
0
0
Natus Medical Inc.
COM
639050103
1799
69729
SH
SOLE
69729
0
0
NeoPhotonics Corp.
COM
64051t100
104
13126
SH
SOLE
13126
0
0
Newport Corp
COM
651824104
561
27108
SH
SOLE
27108
0
0
O2Micro International Limited
COM
67107W100
73
22151
SH
SOLE
22151
0
0
Old Dominion Freight Line, Inc
COM
679580100
506
8921
SH
SOLE
8921
0
0
On Assignment Inc.
COM
682159108
902
23361
SH
SOLE
23361
0
0
PDF Solutions Inc.
COM
693282105
1671
91968
SH
SOLE
91968
0
0
Perficient Inc.
COM
71375U101
782
43160
SH
SOLE
43160
0
0
PetroQuest Energy Inc.
COM
716748108
877
153919
SH
SOLE
153919
0
0
PowerShares S&P SmallCap Healt
COM
73937b886
501
9246
SH
SOLE
9246
0
0
Premiere Global Services Inc.
COM
740585104
1231
102068
SH
SOLE
102068
0
0
Prestige Brands Holdings Inc.
COM
74112d101
662
24307
SH
SOLE
24307
0
0
Proofpoint, Inc.
COM
743424103
2264
61053
SH
SOLE
61053
0
0
Proshares Ultrashort Barclays
COM
74347B201
270
4000
SH
SOLE
4000
0
0
Proto Labs, Inc.
COM
743713109
862
12732
SH
SOLE
12732
0
0
Providence Service Corp
COM
743815102
333
11791
SH
SOLE
11791
0
0
Pzena Investment Management, I
COM
74731q103
351
29844
SH
SOLE
29844
0
0
Quality Distribution
COM
74756M102
358
27543
SH
SOLE
27543
0
0
Repligen Corp.
COM
759916109
218
16931
SH
SOLE
16931
0
0
SEI Investment Co.
COM
784117103
825
24540
SH
SOLE
24540
0
0
SPS Commerce Inc.
COM
78463m107
1737
28275
SH
SOLE
28275
0
0
Salesforce.com, Inc.
COM
79466l302
1158
20283
SH
SOLE
20283
0
0
Sciquest Inc.
COM
80908t101
749
27723
SH
SOLE
27723
0
0
Seachange Intl. Inc.
COM
811699107
123
11816
SH
SOLE
11816
0
0
Shoretel Inc.
COM
825211105
115
13340
SH
SOLE
13340
0
0
Skyworks Solutions Inc.
COM
83088m102
308
8217
SH
SOLE
8217
0
0
Spansion Inc.
COM
84649r200
281
16110
SH
SOLE
16110
0
0
Sunopta Inc.
COM
8676EP108
1937
164025
SH
SOLE
164025
0
0
Swift Transportation Co. Inc.
COM
87074U101
922
37260
SH
SOLE
37260
0
0
Tal International Group, Inc.
COM
874083108
280
6540
SH
SOLE
6540
0
0
Tangoe Inc.
COM
87582y108
1899
102139
SH
SOLE
102139
0
0
Tutor Perini Corp.
COM
901109108
1521
53048
SH
SOLE
53048
0
0
UFP Technologies Inc.
COM
902673102
272
11167
SH
SOLE
11167
0
0
UTI Worldwide
COM
G87210103
282
26586
SH
SOLE
26586
0
0
Urstadt Biddle Properties
COM
917286205
581
28140
SH
SOLE
28140
0
0
Valero Energy Corp.
COM
91913Y100
818
15402
SH
SOLE
15402
0
0
Vulcan Materials Company
COM
929160109
839
12629
SH
SOLE
12629
0
0
WageWorks, Inc.
COM
930427109
1713
30521
SH
SOLE
30521
0
0
CitiGroup Inc. 6.875%
PRD
172967341
521
20000
SH
SOLE
20000
0
0
Duke Energy Corp. 5.125%
PRD
26441c303
464
20000
SH
SOLE
20000
0
0
General Electric Capital Corp.
PRD
369622394
439
20000
SH
SOLE
20000
0
0
PNC Financial 5.375%
PRD
693475832
431
20000
SH
SOLE
20000
0
0
PPL Corp. 5.9%
PRD
69352p202
466
20000
SH
SOLE
20000
0
0
SCE Trust II 5.1%
PRD
78407r204
514
25000
SH
SOLE
25000
0
0
State Street Corp 5.25%
PRD
857477509
450
20000
SH
SOLE
20000
0
0
US Bancorp 6% Series G
PRD
902973817
274
10000
SH
SOLE
10000
0
0
Callidus Software Inc. 4.75% d
CVBOND
13123EAB0
1224
750000
PRN
SOLE
750000
0
0
Hercules II 6/30/29 6.5%
CVBOND
427056BC9
663
769000
PRN
SOLE
769000
0
0
Providence Service 6.5% due 5/
CVBOND
743815AB8
1005
1000000
PRN
SOLE
1000000
0
0
AMG Capital 5.15%
CVPFD
00170f209
1281
20000
SH
SOLE
20000
0
0
Carriage Service Cap 7%
CVPFD
14444t309
1043
20125
SH
SOLE
20125
0
0
Continental Airlines Fin Trust
CVPFD
210796306
1000
20000
SH
SOLE
20000
0
0
NY Community Cap Trust V 6%
CVPFD
64944p307
487
10000
SH
SOLE
10000
0
0
PetroQuest Energy 6.875%
CVPFD
716748207
587
15000
SH
SOLE
15000
0
0