0001140361-18-005726.txt : 20180208
0001140361-18-005726.hdr.sgml : 20180208
20180208120331
ACCESSION NUMBER: 0001140361-18-005726
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20171231
FILED AS OF DATE: 20180208
DATE AS OF CHANGE: 20180208
EFFECTIVENESS DATE: 20180208
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: 18584102
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
12-31-2017
12-31-2017
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
02-08-2018
2
121
593132
false
1
0001692234
028-17598
Russell Investments Group, Ltd.
2
0000907692
028-16475
SEI INVESTMENTS MANAGEMENT CORP
INFORMATION TABLE
2
form13fInfoTable.xml
AMAG Pharmaceuticals Inc.
COM
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9079
685237
SH
SOLE
379243
0
305994
AMN Healthcare Services Inc.
COM
001744101
15553
315794
SH
SOLE
164131
0
151663
Acadia Healthcare Co Inc.
COM
00404A109
12949
396849
SH
SOLE
208327
0
188522
Aclaris Therapeutics Inc.
COM
00461U105
244
9908
SH
SOLE
9908
0
0
Acxiom Corp.
COM
005125109
11964
434100
SH
SOLE
229264
0
204836
Agile Therapeutics
COM
00847L100
171
63744
SH
SOLE
63744
0
0
Apogee Enterprises, Inc.
COM
037598109
13206
288774
SH
SOLE
150485
0
138289
Apollo Endosurgery INC
COM
03767D108
371
66226
SH
SOLE
66226
0
0
BMC Stock Holdings INC
COM
05591B109
8614
340486
SH
SOLE
177011
0
163475
BWX Technologies Inc.
COM
05605h100
239
3959
SH
SOLE
3959
0
0
BioTelemetry Inc.
COM
090672106
1275
42648
SH
SOLE
42648
0
0
Blackhawk Network Holdings
COM
09238E104
16959
475718
SH
SOLE
248325
0
227393
Boingo Wireless Inc.
COM
09739c102
1593
70781
SH
SOLE
70781
0
0
Brink's CO
COM
109696104
12655
160797
SH
SOLE
83589
0
77208
CRA International Inc.
COM
12618t105
1066
23719
SH
SOLE
23719
0
0
Calamp Corp.
COM
128126109
15098
704538
SH
SOLE
389846
0
314692
Callidus Software, Inc.
COM
13123E500
13441
469139
SH
SOLE
262074
0
207065
Capital Senior Living Corp.
COM
140475104
4905
363609
SH
SOLE
200435
0
163174
Carbonite Inc.
COM
141337105
1290
51413
SH
SOLE
51413
0
0
Carriage Services Inc.
COM
143905107
984
38267
SH
SOLE
38267
0
0
Carrizo Oil & Gas Inc.
COM
144577103
7915
371966
SH
SOLE
193320
0
178646
Central Garden and Pet CO-A
COM
153527205
10478
277850
SH
SOLE
143373
0
134477
Chuy's Holdings
COM
171604101
588
20947
SH
SOLE
20947
0
0
Clearside Biomedical INC
COM
185063104
172
24625
SH
SOLE
24625
0
0
Conns Inc.
COM
208242107
14089
396315
SH
SOLE
229266
0
167049
Core-Mark Holding Company, Inc
COM
218681104
9972
315780
SH
SOLE
173578
0
142202
Cornerstone OnDemand
COM
21925Y103
12428
351767
SH
SOLE
187639
0
164128
Cross Country Healthcare Inc
COM
227483104
762
59752
SH
SOLE
59752
0
0
Cypress Semiconductor Corp.
COM
232806109
264
17349
SH
SOLE
17349
0
0
Deckers Outdoor Corp.
COM
243537107
11599
144532
SH
SOLE
76042
0
68490
Deluxe Corp
COM
248019101
16822
218920
SH
SOLE
116132
0
102788
Diamond Hill Investment Group,
COM
25264R207
1273
6158
SH
SOLE
6158
0
0
Dycom Industries
COM
267475101
5933
53248
SH
SOLE
27151
0
26097
Ehealth INC
COM
28238P109
263
15153
SH
SOLE
15153
0
0
Eldorado Resorts, Inc
COM
28470R102
6949
209613
SH
SOLE
105766
0
103847
Entravision
COM
29382R107
76
10669
SH
SOLE
10669
0
0
ExacTech Inc.
COM
30064E109
1015
20524
SH
SOLE
20524
0
0
Facebook Inc.
COM
30303M102
307
1742
SH
SOLE
1742
0
0
FireEye Inc.
COM
31816q101
19633
1382637
SH
SOLE
728664
0
653973
Five9
COM
338307101
15234
612288
SH
SOLE
352226
0
260062
Flir Systems
COM
302445101
257
5504
SH
SOLE
5504
0
0
Fortress Transportation & Infr
COM
34960P101
14562
730661
SH
SOLE
471968
0
258693
GP Strategies Corp
COM
36225V104
763
32889
SH
SOLE
32889
0
0
Granite Construction
COM
387328107
6602
104083
SH
SOLE
52559
0
51524
Great Lakes Dredge & Dock Co
COM
390607109
651
120609
SH
SOLE
120609
0
0
Health Insurance Innovation
COM
42225K106
378
15148
SH
SOLE
15148
0
0
Home Bancshares INC
COM
436893200
5193
223338
SH
SOLE
114749
0
108589
Horizon Global Corp
COM
44052W104
900
64187
SH
SOLE
64187
0
0
Hostess Brands Inc
COM
44109J106
15332
1035242
SH
SOLE
538039
0
497203
Integra Life Sciences
COM
457985208
12380
258663
SH
SOLE
134434
0
124229
Jack In The Box Inc.
COM
466367109
12259
124956
SH
SOLE
65634
0
59322
LaSalle Hotel Properties
COM
517942108
870
31000
SH
SOLE
31000
0
0
Ligand Pharmaceuticals Inc.
COM
53220K504
13204
96429
SH
SOLE
50726
0
45703
Marten Transport LTD
COM
573075108
493
24284
SH
SOLE
24284
0
0
MasTec, Inc.
COM
576323109
10217
208726
SH
SOLE
108480
0
100246
Mastercard Inc.
COM
57636q104
203
1340
SH
SOLE
1340
0
0
Maximus, Inc.
COM
577933104
8144
113775
SH
SOLE
59149
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54626
Medical Properties Trust Inc.
COM
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12123
879758
SH
SOLE
527183
0
352575
NEOS Therapeutic
COM
64052L106
658
64530
SH
SOLE
64530
0
0
NMI Holdings Inc.
COM
629209305
1034
60796
SH
SOLE
60796
0
0
Neogenomics, Inc.
COM
64049M209
14164
1598694
SH
SOLE
903389
0
695305
Newpark Resources Inc.
COM
651718504
963
111998
SH
SOLE
111998
0
0
Oclaro Inc.
COM
67555N206
83
12382
SH
SOLE
12382
0
0
On Assignment Inc.
COM
682159108
8857
137816
SH
SOLE
71682
0
66134
PDF Solutions Inc.
COM
693282105
7897
503012
SH
SOLE
288888
0
214124
Pandora
COM
698354107
50
10351
SH
SOLE
10351
0
0
Paratek Pharma
COM
699374302
2030
113415
SH
SOLE
65983
0
47432
Patterson Energy, Inc.
COM
703481101
222
9639
SH
SOLE
9639
0
0
Peak Resorts Inc
COM
70469L100
675
125000
SH
SOLE
125000
0
0
Perficient Inc.
COM
71375U101
8161
427974
SH
SOLE
237804
0
190170
PetroQuest Energy Inc.
COM
716748306
56
29486
SH
SOLE
29486
0
0
Prestige Brands Holdings Inc.
COM
74112d101
13938
313855
SH
SOLE
163366
0
150489
Proofpoint, Inc.
COM
743424103
12803
144166
SH
SOLE
75873
0
68293
Proshares Short Financials
COM
74347R230
249
21500
SH
SOLE
21500
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0
Proshares Short High Yield
COM
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SH
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Proshares Ultrashort Barclays
COM
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SH
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10000
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Pzena Investment Management, I
COM
74731q103
714
66874
SH
SOLE
66874
0
0
Quanex Building Solutions
COM
747619104
724
30948
SH
SOLE
30948
0
0
Quanta Services Inc.
COM
74762e102
219
5612
SH
SOLE
5612
0
0
Red Robin Gourmet Burgers, Inc
COM
75689M101
7379
130828
SH
SOLE
72362
0
58466
Repligen Corp.
COM
759916109
478
13177
SH
SOLE
13177
0
0
Ringcentral Inc.
COM
76680R206
429
8862
SH
SOLE
8862
0
0
SPDR Gold Shares
COM
78463v107
643
5200
SH
SOLE
5200
0
0
SPDR S&P 500 Biotech
COM
78464A870
996
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SH
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11734
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SeaSpine Holdings Corp
COM
81255T108
665
65686
SH
SOLE
65686
0
0
Social Capital Hedosophia HO
COM
G8250R103
129
12776
SH
SOLE
12776
0
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Supernus Phamaceutical Inc
COM
868459108
12621
316706
SH
SOLE
171120
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TravelCenters of America LLC
COM
894174101
778
189857
SH
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189857
0
0
Triton International Ltd
COM
G9078F107
1181
31540
SH
SOLE
31540
0
0
Tutor Perini Corp.
COM
901109108
1003
39569
SH
SOLE
39569
0
0
US Concrete Inc
COM
90333L201
11611
138804
SH
SOLE
75938
0
62866
Unit Corp.
COM
909218109
1213
55125
SH
SOLE
55125
0
0
Urstadt Biddle Properties
COM
917286205
205
9440
SH
SOLE
9440
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VBI Vaccines Inc.
COM
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506
118403
SH
SOLE
118403
0
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Viewray inc
COM
92672L107
922
99529
SH
SOLE
99529
0
0
Visa Inc - Class A Shares
COM
92826c839
209
1836
SH
SOLE
1836
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WageWorks, Inc.
COM
930427109
20524
331025
SH
SOLE
172269
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Watts Water Technologies-A
COM
942749102
4056
53400
SH
SOLE
26958
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26442
William Lyon Homes
COM
552074700
11985
412139
SH
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Wintrust Financial Corporation
COM
97650W108
10000
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SH
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Wynn Resorts Ltd
COM
983134107
236
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SH
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1398
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Xencor INC
COM
98401F105
339
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SH
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15443
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YRC Worldwide Inc.
COM
984249607
10381
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SH
SOLE
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Zions Bancorporation
COM
989701107
201
3947
SH
SOLE
3947
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American Homes 4 Rent
PRD
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Apollo Management LLC
PRD
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Capital One Financials
PRD
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673
25000
SH
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25000
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TravelCenters of America
PRD
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Wintrust Financial Group
PRD
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AMAG Pharmaceuticals Inc.
CVBOND
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1287
1500000
PRN
SOLE
1500000
0
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Calamp Corp.
CVBOND
128126AB5
2644
2500000
PRN
SOLE
2500000
0
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Encore Capital Group Inc.
CVBOND
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PRN
SOLE
2000000
0
0
Fireeye Inc.
CVBOND
31816QAD3
1371
1500000
PRN
SOLE
1500000
0
0
Horizon Global Corp.
CVBOND
44052WAA2
1877
2000000
PRN
SOLE
2000000
0
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PROS Holding, Inc.
CVBOND
74346YAB9
1047
1000000
PRN
SOLE
1000000
0
0
PROS Holding, Inc.
CVBOND
74346YAC7
1810
2000000
PRN
SOLE
2000000
0
0
Scorpio Tankers Inc.
CVBOND
80918TAA7
1797
2000000
PRN
SOLE
2000000
0
0
ServiceSource International, I
CVBOND
81763UAB6
2185
2250000
PRN
SOLE
2250000
0
0
AMG Capital
CVPFD
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1580
25000
SH
SOLE
25000
0
0
NY Community Cap Trust V
CVPFD
64944p307
1776
35000
SH
SOLE
35000
0
0
PetroQuest Energy
CVPFD
716748207
645
40000
SH
SOLE
40000
0
0