0001140361-16-052909.txt : 20160216
0001140361-16-052909.hdr.sgml : 20160215
20160216132109
ACCESSION NUMBER: 0001140361-16-052909
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20151231
FILED AS OF DATE: 20160216
DATE AS OF CHANGE: 20160216
EFFECTIVENESS DATE: 20160216
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: 161425914
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
12-31-2015
12-31-2015
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
02-16-2016
2
118
463239
false
1
0000721204
028-01190
RUSSELL FRANK CO/
2
0000907692
028-16475
SEI INVESTMENTS MANAGEMENT CORP
INFORMATION TABLE
2
form13fInfoTable.xml
Abiomed Inc.
COM
003654100
6254
69270
SH
SOLE
59991
0
9279
Acxiom Corp.
COM
005125109
9780
467505
SH
SOLE
405356
0
62149
Agnico-Eagle Mines LTD
COM
008474108
333
12665
SH
SOLE
12665
0
0
Alamos Gold, Inc.
COM
011532108
34
10251
SH
SOLE
10251
0
0
Allergan Plc.
COM
G0177J108
348
1113
SH
SOLE
1113
0
0
Alliance Data Systems Corp.
COM
018581108
279
1009
SH
SOLE
1009
0
0
Apogee Enterprises, Inc.
COM
037598109
11050
253973
SH
SOLE
220449
0
33524
Arrowhead Research
COM
042797209
239
38816
SH
SOLE
38816
0
0
Atmel Corp.
COM
049513104
100
11568
SH
SOLE
11568
0
0
Axcelis Technologies INC
COM
054540109
69
26736
SH
SOLE
26736
0
0
Berry Plastics Group Inc.
COM
08579w103
7619
210580
SH
SOLE
182280
0
28300
BioTelemetry, Inc.
COM
090672106
731
62552
SH
SOLE
62552
0
0
Biodelivery Sciences Intl.
COM
09060J106
8855
1848577
SH
SOLE
1634239
0
214338
Boingo Wireless Inc.
COM
09739c102
1871
282613
SH
SOLE
282613
0
0
Build-A-Bear Workshop Inc.
COM
120076104
922
75362
SH
SOLE
75362
0
0
Calamp Corp
COM
128126109
14717
738453
SH
SOLE
648662
0
89791
Callidus Software, Inc.
COM
13123E500
10537
567418
SH
SOLE
501497
0
65921
Capital Senior Living Corp.
COM
140475104
9786
469135
SH
SOLE
411922
0
57213
Cardtronics Inc.
COM
14161h108
5460
162257
SH
SOLE
139158
0
23099
Carmike Cinemas Inc.
COM
143436400
7130
310817
SH
SOLE
272814
0
38003
Carriage Services Inc.
COM
143905107
1617
67090
SH
SOLE
67090
0
0
Carrizo Oil & Gas Inc.
COM
144577103
4016
135779
SH
SOLE
116679
0
19100
Cavium Networks Inc
COM
14964U108
207
3146
SH
SOLE
3146
0
0
Chuy's Holdings
COM
171604101
9438
301148
SH
SOLE
268087
0
33061
CoStar Group, Inc.
COM
22160n109
444
2148
SH
SOLE
2148
0
0
Corcept Therapeutics Inc.
COM
218352102
380
76402
SH
SOLE
76402
0
0
Core-Mark Holding Company, Inc
COM
218681104
7316
89285
SH
SOLE
79527
0
9758
Cornerstone ONDE
COM
21925Y103
10424
301893
SH
SOLE
261690
0
40203
Corrections Corporation of Ame
COM
22025y407
662
25000
SH
SOLE
25000
0
0
Cynosure INC
COM
232577205
10165
227563
SH
SOLE
201176
0
26387
Diamond Hill Investment Group,
COM
25264R207
2223
11760
SH
SOLE
11760
0
0
Dipexium Pharmaceuticals Inc.
COM
25456J104
197
17572
SH
SOLE
17572
0
0
Dynavax Technology
COM
268158201
289
11966
SH
SOLE
11966
0
0
Entravision
COM
29382R107
1004
130205
SH
SOLE
130205
0
0
Ethan Allen Interiors
COM
297602104
726
26102
SH
SOLE
26102
0
0
Everi Holdings Inc.
COM
30034t103
689
156996
SH
SOLE
156996
0
0
Expedia
COM
30212p303
265
2128
SH
SOLE
2128
0
0
Facebook Inc.
COM
30303M102
518
4948
SH
SOLE
4948
0
0
Flamel Technologies (ADR)
COM
338488109
8978
735265
SH
SOLE
645677
0
89588
Globus Medical Inc
COM
379577208
8359
300461
SH
SOLE
259547
0
40914
Heron Therapeutics, Inc.
COM
427746102
291
10897
SH
SOLE
10897
0
0
Huron Consulting Group
COM
447462102
11092
186737
SH
SOLE
162545
0
24192
In Contact Inc.
COM
45336e109
2820
295615
SH
SOLE
295615
0
0
Infoblox Inc
COM
45672H104
13625
740886
SH
SOLE
652749
0
88137
Integra Life Sciences
COM
457985208
6050
89261
SH
SOLE
75962
0
13299
Integrated Device Technology,
COM
458118106
237
9007
SH
SOLE
1028
0
7979
Inventure Foods Inc.
COM
461212102
1191
167807
SH
SOLE
167807
0
0
Jack In The Box Inc.
COM
466367109
10795
140721
SH
SOLE
122351
0
18370
LDR Holding Corp
COM
50185U105
7248
288655
SH
SOLE
252980
0
35675
LaSalle Hotel Properties
COM
517942108
9049
359666
SH
SOLE
314764
0
44902
Lexicon Pharmaceuticals
COM
528872302
248
18603
SH
SOLE
18603
0
0
Ligand Pharmaceuticals Inc.
COM
53220K504
6538
60304
SH
SOLE
52348
0
7956
LinkedIn Corp.
COM
53578a108
430
1909
SH
SOLE
1909
0
0
MDC Partners Inc.
COM
552697104
21131
972872
SH
SOLE
868008
0
104864
Marketo Inc.
COM
57063L107
11804
411139
SH
SOLE
355641
0
55498
Marten Transport LTD
COM
573075108
830
46896
SH
SOLE
46896
0
0
MasTec, Inc.
COM
576323109
7720
444168
SH
SOLE
383103
0
61065
Mastercard Inc
COM
57636q104
355
3649
SH
SOLE
3649
0
0
Maximus, Inc.
COM
577933104
11720
208351
SH
SOLE
179748
0
28603
Medical Properties Trust Inc.
COM
58463j304
1595
138547
SH
SOLE
138547
0
0
Microsoft Corp.
COM
594918104
436
7860
SH
SOLE
7860
0
0
Molina Healthcare Inc
COM
60855R100
9711
161492
SH
SOLE
139304
0
22188
Monotype Imaging Holdings Inc.
COM
61022p100
6805
287841
SH
SOLE
254178
0
33663
Monro Muffler Brake Inc.
COM
610236101
244
3683
SH
SOLE
3683
0
0
Natus Medical Inc.
COM
639050103
9378
195172
SH
SOLE
173549
0
21623
Neogenomics, Inc.
COM
64049M209
1303
165516
SH
SOLE
165516
0
0
New Gold
COM
644535106
38
16220
SH
SOLE
16220
0
0
Newmont Mining Corp
COM
651639106
306
17029
SH
SOLE
17029
0
0
Newport Corp
COM
651824104
936
58952
SH
SOLE
58952
0
0
On Assignment Inc.
COM
682159108
15349
341475
SH
SOLE
296902
0
44573
PDF Solutions Inc.
COM
693282105
7817
721102
SH
SOLE
634517
0
86585
Peak Resorts Inc
COM
70469L100
811
135000
SH
SOLE
135000
0
0
Perficient Inc.
COM
71375U101
11303
660208
SH
SOLE
581165
0
79043
PowerSecure International Inc.
COM
73936N105
885
58833
SH
SOLE
58833
0
0
PowerShares S&P SmallCap Healt
COM
73937b886
1315
18290
SH
SOLE
18290
0
0
Prestige Brands Holdings Inc.
COM
74112d101
7886
153177
SH
SOLE
132268
0
20909
Proofpoint, Inc.
COM
743424103
7964
122499
SH
SOLE
108114
0
14385
Proshares Ultrashort Barclays
COM
74347B201
617
14000
SH
SOLE
14000
0
0
Pzena Investment Management, I
COM
74731q103
1465
170329
SH
SOLE
170329
0
0
Qualys Inc.
COM
74758T303
7731
233645
SH
SOLE
204851
0
28794
Quanta Services Inc.
COM
74762e102
244
12054
SH
SOLE
12054
0
0
Repligen Corp.
COM
759916109
784
27726
SH
SOLE
27726
0
0
SPDR S&P 500 Biotech
COM
78464A870
1266
18032
SH
SOLE
18032
0
0
SPS Commerce Inc.
COM
78463m107
11674
166267
SH
SOLE
147226
0
19041
Salesforce.com, Inc.
COM
79466l302
378
4822
SH
SOLE
4822
0
0
SeaSpine Holdings Corp
COM
81255T108
871
50702
SH
SOLE
50702
0
0
Sequential Brands Group Inc
COM
81734P107
620
78427
SH
SOLE
78427
0
0
Shoretel Inc.
COM
825211105
91
10322
SH
SOLE
10322
0
0
Steelcase Inc
COM
858155203
10044
674088
SH
SOLE
581617
0
92471
Steris PLC
COM
G84720104
609
8086
SH
SOLE
8086
0
0
Supernus Phamraceutical Inc
COM
868459108
4094
304603
SH
SOLE
267647
0
36956
Swift Transportation Inc.
COM
87074U101
7679
555657
SH
SOLE
479373
0
76284
Tal International Group, Inc.
COM
874083108
501
31540
SH
SOLE
31540
0
0
Tutor Perini Corp.
COM
901109108
815
48680
SH
SOLE
48680
0
0
Urstadt Biddle Properties
COM
917286205
349
18140
SH
SOLE
18140
0
0
Vascular Solutions
COM
92231M109
689
20036
SH
SOLE
20036
0
0
Visa Inc - Class A Shares
COM
92826c839
345
4452
SH
SOLE
4452
0
0
WageWorks, Inc.
COM
930427109
12064
265909
SH
SOLE
230279
0
35630
William Lyon Homes
COM
552074700
6795
411808
SH
SOLE
360938
0
50870
AmTrust Financial Services 7.5
PRD
032359853
1293
50000
SH
SOLE
50000
0
0
CitiGroup Inc. 6.875%
PRD
172967341
557
20000
SH
SOLE
20000
0
0
PPL Corp. 5.9%
PRD
69352p202
516
20000
SH
SOLE
20000
0
0
TravelCenters of America 8%
PRD
894174309
1735
70000
SH
SOLE
70000
0
0
US Bancorp 6% Series G
PRD
902973817
268
10000
SH
SOLE
10000
0
0
Wintrust Financial Group 6.5%
PRD
97650W405
1329
50000
SH
SOLE
50000
0
0
Acorda Therapeutics 1.75% due
CVBOND
00484MAA4
1150
1000000
PRN
SOLE
1000000
0
0
Aegerion Pharmaceuticals 2% du
CVBOND
00767EAB8
996
1500000
PRN
SOLE
1500000
0
0
Calamp Corp. 1.625% due 5/15/2
CVBOND
128126AA7
2464
2500000
PRN
SOLE
2500000
0
0
Fireeye Inc. 1.625% due 6/1/20
CVBOND
31816QAC5
802
1000000
PRN
SOLE
1000000
0
0
Hercules II 6/30/29 6.5%
CVBOND
427056BC9
1557
1769000
PRN
SOLE
1769000
0
0
Huron Consulting Group I 1.25%
CVBOND
447462AB8
495
500000
PRN
SOLE
500000
0
0
InContact Inc. 2.5% due 4/2/20
CVBOND
45336EAA7
1881
2000000
PRN
SOLE
2000000
0
0
ServiceSource International, I
CVBOND
81763UAB6
1274
1500000
PRN
SOLE
1500000
0
0
Telecommunication System 7.75%
CVBOND
87929JAC7
1522
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
560
40000
SH
SOLE
40000
0
0
Tyson Foods Inc 4.75%
CVPFD
902494301
1517
25000
SH
SOLE
25000
0
0