0001140361-15-038046.txt : 20151020
0001140361-15-038046.hdr.sgml : 20151020
20151020121307
ACCESSION NUMBER: 0001140361-15-038046
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20150930
FILED AS OF DATE: 20151020
DATE AS OF CHANGE: 20151020
EFFECTIVENESS DATE: 20151020
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: 151165887
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
09-30-2015
09-30-2015
FALCON POINT CAPITAL, LLC
TWO EMBARCADERO CENTER STE 420
SAN FRANCISCO
CA
94111
13F HOLDINGS REPORT
028-10492
N
Michael J. Mahoney
Sr. Managing Director
415-782-9600
Michael J. Mahoney
San Francisco
CA
10-20-2015
1
121
279611
false
1
0000721204
028-01190
RUSSELL FRANK CO/
INFORMATION TABLE
2
form13fInfoTable.xml
Abiomed Inc.
COM
003654100
2059
22200
SH
SOLE
20785
0
1415
Acxiom Corp.
COM
005125109
3909
197838
SH
SOLE
185583
0
12255
Agnico-Eagle Mines LTD
COM
008474108
347
13707
SH
SOLE
13707
0
0
Allergan Plc.
COM
G0177J108
293
1079
SH
SOLE
1079
0
0
Alliance Data Systems Corp.
COM
018581108
261
1009
SH
SOLE
1009
0
0
Altera Corp.
COM
021441100
305
6100
SH
SOLE
6100
0
0
Apogee Enterprises, Inc.
COM
037598109
5555
124422
SH
SOLE
117342
0
7080
Arrowhead Research
COM
042797209
209
36310
SH
SOLE
36310
0
0
Atmel Corp.
COM
049513104
93
11568
SH
SOLE
11568
0
0
Axcelis Technologies INC
COM
054540109
71
26736
SH
SOLE
26736
0
0
Berry Plastics Group Inc.
COM
08579w103
3015
100251
SH
SOLE
93636
0
6615
Biodelivery Sciences Intl.
COM
09060J106
2697
485058
SH
SOLE
458375
0
26683
Boingo Wireless Inc.
COM
09739c102
2136
257976
SH
SOLE
257976
0
0
Build-A-Bear Workshop Inc.
COM
120076104
1914
101316
SH
SOLE
101316
0
0
Calamp Corp
COM
128126109
6474
402353
SH
SOLE
379934
0
22419
Callidus Software, Inc.
COM
13123E500
7761
456823
SH
SOLE
433773
0
23050
Capital Senior Living Corp.
COM
140475104
5292
263927
SH
SOLE
248766
0
15161
Cardtronics Inc.
COM
14161h108
2281
69760
SH
SOLE
64969
0
4791
Carmike Cinemas Inc.
COM
143436400
3370
167741
SH
SOLE
158291
0
9450
Carriage Services Inc.
COM
143905107
1337
61931
SH
SOLE
61931
0
0
Carrizo Oil & Gas Inc.
COM
144577103
1995
65317
SH
SOLE
60140
0
5177
Cavium Networks Inc
COM
14964U108
358
5837
SH
SOLE
5837
0
0
Cheesecake Factory
COM
163072101
5044
93485
SH
SOLE
86920
0
6565
Chuy's Holdings
COM
171604101
6983
245870
SH
SOLE
232706
0
13164
CoStar Group, Inc.
COM
22160n109
372
2148
SH
SOLE
2148
0
0
Corcept Therapeutics Inc.
COM
218352102
268
71306
SH
SOLE
71306
0
0
Core-Mark Holding Company, Inc
COM
218681104
9062
138458
SH
SOLE
130265
0
8193
Cornerstone ONDE
COM
21925Y103
5042
152774
SH
SOLE
142754
0
10020
Corrections Corporation of Ame
COM
22025y407
905
30621
SH
SOLE
30621
0
0
Cynosure INC
COM
232577205
3990
132822
SH
SOLE
125945
0
6877
Deckers Outdoor Corp.
COM
243537107
2596
44707
SH
SOLE
41465
0
3242
Diamond Hill Investment Group,
COM
25264R207
2464
13245
SH
SOLE
13245
0
0
Dipexium Pharmaceuticals Inc.
COM
25456J104
316
22570
SH
SOLE
22570
0
0
Dollar Tree
COM
256746108
361
5411
SH
SOLE
5411
0
0
Dynavax Technology
COM
268158201
274
11168
SH
SOLE
11168
0
0
Entravision
COM
29382R107
820
123518
SH
SOLE
123518
0
0
Equinix, Inc.
COM
29444U700
215
788
SH
SOLE
788
0
0
Ethan Allen Interiors
COM
297602104
643
24346
SH
SOLE
24346
0
0
Everi Holdings Inc.
COM
30034t103
744
145049
SH
SOLE
145049
0
0
Facebook Inc.
COM
30303M102
445
4948
SH
SOLE
4948
0
0
Faro Technologies Inc.
COM
311642102
3144
89818
SH
SOLE
84705
0
5113
Flamel Technologies (ADR)
COM
338488109
6407
392820
SH
SOLE
372288
0
20532
Globus Medical Inc
COM
379577208
3311
160284
SH
SOLE
149069
0
11215
Harman International
COM
413086109
270
2813
SH
SOLE
2813
0
0
Homeaway Inc
COM
43739Q100
5276
198806
SH
SOLE
186093
0
12713
Huron Consulting Group
COM
447462102
5465
87401
SH
SOLE
82414
0
4987
ICON plc
COM
G4705A100
4827
68016
SH
SOLE
63307
0
4709
In Contact Inc.
COM
45336e109
2054
273506
SH
SOLE
273506
0
0
Infoblox Inc
COM
45672H104
5230
327299
SH
SOLE
309381
0
17918
Integrated Device Technology,
COM
458118106
327
16128
SH
SOLE
1028
0
15100
Inventure Foods Inc.
COM
461212102
1640
184714
SH
SOLE
184714
0
0
Jack In The Box Inc.
COM
466367109
5312
68955
SH
SOLE
64540
0
4415
LaSalle Hotel Properties
COM
517942108
4434
156196
SH
SOLE
145303
0
10893
Lexicon Pharmaceuticals
COM
528872302
186
17356
SH
SOLE
17356
0
0
Ligand Pharmaceuticals Inc.
COM
53220K504
2654
30991
SH
SOLE
29001
0
1990
LinkedIn Corp.
COM
53578a108
344
1809
SH
SOLE
1809
0
0
MDC Partners Inc.
COM
552697104
10396
564099
SH
SOLE
537992
0
26107
Marketo Inc.
COM
57063L107
6049
212849
SH
SOLE
198292
0
14557
Marten Transport LTD
COM
573075108
707
43737
SH
SOLE
43737
0
0
Mastercard Inc
COM
57636q104
329
3649
SH
SOLE
3649
0
0
Maximus, Inc.
COM
577933104
6013
100959
SH
SOLE
93746
0
7213
Medical Properties Trust Inc.
COM
58463j304
1532
138547
SH
SOLE
138547
0
0
Molina Healthcare Inc
COM
60855R100
5586
81126
SH
SOLE
75831
0
5295
Monotype Imaging Holdings Inc.
COM
61022p100
3501
160456
SH
SOLE
152054
0
8402
Monro Muffler Brake Inc.
COM
610236101
287
4256
SH
SOLE
4256
0
0
NII Holdings Inc
COM
62913F508
101
15563
SH
SOLE
15563
0
0
Natus Medical Inc.
COM
639050103
5606
142101
SH
SOLE
134695
0
7406
Neogenomics, Inc.
COM
64049M209
885
154488
SH
SOLE
154488
0
0
Newmont Mining Corp
COM
651639106
274
17029
SH
SOLE
17029
0
0
Newport Corp
COM
651824104
764
55593
SH
SOLE
55593
0
0
Old Dominion Freight Line, Inc
COM
679580100
228
3743
SH
SOLE
3743
0
0
On Assignment Inc.
COM
682159108
6439
174490
SH
SOLE
162175
0
12315
Osir Therapeutics
COM
68827R108
491
26557
SH
SOLE
26557
0
0
PDF Solutions Inc.
COM
693282105
3205
320537
SH
SOLE
303264
0
17273
Peak Resorts Inc
COM
70469L100
930
135000
SH
SOLE
135000
0
0
Perficient Inc.
COM
71375U101
5473
354671
SH
SOLE
334878
0
19793
Performance Sports Group Ltd.
COM
71377G100
262
19521
SH
SOLE
19521
0
0
PetroQuest Energy Inc.
COM
716748108
177
151048
SH
SOLE
151048
0
0
PowerSecure International Inc.
COM
73936N105
464
40246
SH
SOLE
40246
0
0
PowerShares S&P SmallCap Healt
COM
73937b886
1110
17055
SH
SOLE
17055
0
0
Premiere Global Services Inc.
COM
740585104
1064
77403
SH
SOLE
77403
0
0
Prestige Brands Holdings Inc.
COM
74112d101
3725
82489
SH
SOLE
76760
0
5729
Proofpoint, Inc.
COM
743424103
4106
68067
SH
SOLE
64479
0
3588
Proshares Ultrashort Barclays
COM
74347B201
607
14000
SH
SOLE
14000
0
0
Pzena Investment Management, I
COM
74731q103
1569
176237
SH
SOLE
176237
0
0
Qualys Inc.
COM
74758T303
2836
99638
SH
SOLE
93828
0
5810
Repligen Corp.
COM
759916109
722
25934
SH
SOLE
25934
0
0
SPDR S&P 500 Biotech
COM
78464A870
1047
16815
SH
SOLE
16815
0
0
SPS Commerce Inc.
COM
78463m107
7523
110817
SH
SOLE
104699
0
6118
Salesforce.com, Inc.
COM
79466l302
335
4822
SH
SOLE
4822
0
0
SeaSpine Holdings Corp
COM
81255T108
947
58459
SH
SOLE
58459
0
0
Sequential Brand
COM
817340201
906
62588
SH
SOLE
62588
0
0
Steelcase Inc
COM
858155203
6052
328708
SH
SOLE
305653
0
23055
Steris Corp
COM
859152100
3542
54518
SH
SOLE
52394
0
2124
Sunopta Inc.
COM
8676EP108
2289
471018
SH
SOLE
445108
0
25910
Supernus Phamraceutical Inc
COM
868459108
1578
112455
SH
SOLE
106232
0
6223
Swift Transportation Inc.
COM
87074U101
3881
258390
SH
SOLE
241504
0
16886
Tal International Group, Inc.
COM
874083108
431
31540
SH
SOLE
31540
0
0
Tutor Perini Corp.
COM
901109108
1005
61034
SH
SOLE
61034
0
0
Urstadt Biddle Properties
COM
917286205
340
18140
SH
SOLE
18140
0
0
Vascular Solutions
COM
92231M109
607
18727
SH
SOLE
18727
0
0
WageWorks, Inc.
COM
930427109
6078
134829
SH
SOLE
125995
0
8834
William Lyon Homes
COM
552074700
3898
189211
SH
SOLE
179683
0
9528
AmTrust Financial Services 7.5
PRD
032359853
1255
50000
SH
SOLE
50000
0
0
CitiGroup Inc. 6.875%
PRD
172967341
533
20000
SH
SOLE
20000
0
0
PPL Corp. 5.9%
PRD
69352p202
504
20000
SH
SOLE
20000
0
0
TravelCenters of America 8%
PRD
894174309
1760
70000
SH
SOLE
70000
0
0
US Bancorp 6% Series G
PRD
902973817
263
10000
SH
SOLE
10000
0
0
Wintrust Financial Group 6.5%
PRD
97650W405
1275
50000
SH
SOLE
50000
0
0
Acorda Therapeutics 1.75% due
CVBOND
00484MAA4
902
1000000
PRN
SOLE
1000000
0
0
Aegerion Pharmaceuticals 2% du
CVBOND
00767EAB8
1121
1500000
PRN
SOLE
1500000
0
0
Calamp Corp. 1.625% due 5/15/2
CVBOND
128126AA7
2234
2500000
PRN
SOLE
2500000
0
0
Hercules II 6/30/29 6.5%
CVBOND
427056BC9
1551
1769000
PRN
SOLE
1769000
0
0
Huron Consulting Group I 1.25%
CVBOND
447462AB8
521
500000
PRN
SOLE
500000
0
0
InContact Inc. 2.5% due 4/2/20
CVBOND
45336EAA7
1659
2000000
PRN
SOLE
2000000
0
0
ServiceSource International, I
CVBOND
81763UAB6
1245
1500000
PRN
SOLE
1500000
0
0
Telecommunication System 7.75%
CVBOND
87929JAC7
1462
1500000
PRN
SOLE
1500000
0
0
AMG Capital 5.15%
CVPFD
00170f209
561
10000
SH
SOLE
10000
0
0
NY Community Cap Trust V 6%
CVPFD
64944p307
1750
35000
SH
SOLE
35000
0
0
PetroQuest Energy 6.875%
CVPFD
716748207
680
40000
SH
SOLE
40000
0
0
Tyson Foods Inc 4.75%
CVPFD
902494301
1281
25000
SH
SOLE
25000
0
0