-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, G6OhNDZINhIsSelLD+MIatMtmOOhggihWOqZKzctnVQ6iQrU+jBq0vxSUr7eksfX biVlHzBz3Kno/3FjtkQooA== 0000884306-06-000073.txt : 20061101 0000884306-06-000073.hdr.sgml : 20061101 20061101111836 ACCESSION NUMBER: 0000884306-06-000073 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060930 FILED AS OF DATE: 20061101 DATE AS OF CHANGE: 20061101 EFFECTIVENESS DATE: 20061101 FILER: COMPANY DATA: COMPANY CONFORMED NAME: KOPP INVESTMENT ADVISORS LLC CENTRAL INDEX KEY: 0000884306 IRS NUMBER: 411663810 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-03099 FILM NUMBER: 061177667 BUSINESS ADDRESS: STREET 1: 7701 FRANCE AVENUE SOUTH STREET 2: STE 500 CITY: EDINA STATE: MN ZIP: 55435 BUSINESS PHONE: 9528410400 MAIL ADDRESS: STREET 1: 7701 FRANCE AVENUE SOUTH STREET 2: STE 500 CITY: EDINA STATE: MN ZIP: 55435 13F-HR 1 k13f-093006.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 09/30/06 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: Kopp Investment Advisors, LLC Address: 7701 France Ave. So., Suite 500 Edina, MN 55435 Form 13F File Number: 28-03099 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 form. Person Signing this Report on Behalf of Reporting Manager: Name: John P. Flakne Title: Chief Financial Officer Phone: (952) 841-0400 Signature, Place and Date of Signing: Edina, MN 11/01/06 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).) Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 208 Form 13F Information Table Value Total: $ 1,130,307 (thousands) List of Other Included Managers: NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- S&P DRT Unit Ser 1 78462F103 421 3150 SH OTHER 3150 ADC Telecomm COM 000886309 11408 760000 SH SOLE 760000 17859 1189819 SH OTHER 889472 300347 Actuate Corp. COM 00508B102 176 40000 SH OTHER 40000 Adept Tech Inc. COM 006854202 3898 356961 SH SOLE 356961 7826 716661 SH OTHER 259761 456900 Aeroflex Inc. COM 007768104 129 12500 SH OTHER 12500 Array Biopharma Inc. COM 04269X105 9934 1166000 SH SOLE 1166000 22444 2634295 SH OTHER 1948345 685950 Arthrocare Corp. COM 043136100 17167 366340 SH OTHER 326865 39475 Bookham Inc. COM 09856E105 869 270000 SH SOLE 270000 3614 1122210 SH OTHER 952910 169300 Caliper Life Sciences COM 130872104 5002 1024900 SH SOLE 1024900 7802 1598849 SH OTHER 1148149 450700 Cell Genesys Inc. COM 150921104 8804 1926500 SH SOLE 1926500 17198 3763338 SH OTHER 2472338 1291000 Centillium Comm COM 152319109 2183 1069900 SH SOLE 1069900 1763 864050 SH OTHER 709150 154900 Cepheid Inc. COM 15670R107 2735 378800 SH SOLE 378800 12417 1719740 SH OTHER 1287990 431750 Cognos Inc. (Canada) COM 19244C109 7763 212678 SH OTHER 177178 35500 Conexant Systems COM 207142100 1692 845974 SH OTHER 487274 358700 Curagen Corp. COM 23126R101 2147 624000 SH OTHER 131000 493000 Cutera Inc. COM 232109108 5318 200000 SH SOLE 200000 11648 438055 SH OTHER 365580 72475 Cyberoptics Corp. COM 232517102 4561 345600 SH OTHER 219850 125750 Depomed Inc. COM 249908104 3876 950000 SH SOLE 950000 10286 2521070 SH OTHER 1788570 732500 Dexcom Inc. COM 252131107 1113 100000 SH SOLE 100000 9564 859300 SH OTHER 731900 127400 Digimarc Corp. COM 253807101 5425 700000 SH SOLE 700000 7136 920793 SH OTHER 550793 370000 Diversa Corp. COM 255064107 9900 1234450 SH OTHER 946400 288050 Durect Corp. COM 266605104 10456 2550155 SH OTHER 2252455 297700 E-Z-EM Inc. COM 269305405 4182 265000 SH SOLE 265000 8106 513665 SH OTHER 463115 50550 EMS Technologies Inc. COM 26873N108 9988 531834 SH OTHER 338809 193025 Emcore Corp. COM 290846104 3552 600000 SH SOLE 600000 17921 3027145 SH OTHER 1835595 1191550 Epicor Software Corp. COM 29426L108 16322 1245000 SH SOLE 1245000 36807 2807542 SH OTHER 784442 2023100 Finisar Corp. COM 31787A101 14248 3925000 SH SOLE 3925000 25561 7041655 SH OTHER 4864555 2177100 Glenayre Technologies COM 377899109 1265 575000 SH OTHER 155000 420000 Harvard Bioscience COM 416906105 225 50000 SH SOLE 50000 7408 1646180 SH OTHER 1054830 591350 Hyperion Solutions COM 44914M104 9094 263752 SH OTHER 231421 32331 Informatica Corp. COM 45666Q102 12956 953335 SH OTHER 807685 145650 Iris Intl Inc COM 46270W105 2300 200000 SH SOLE 200000 9212 801040 SH OTHER 719440 81600 JDS Uniphase Corp. COM 46612J101 155 70864 SH OTHER 66864 4000 Lightbridge Inc. COM 532226107 3635 310150 SH OTHER 287250 22900 Lionbridge Tech COM 536252109 4858 636655 SH OTHER 573455 63200 Mapinfo Corp. COM 565105103 8340 650000 SH SOLE 650000 13590 1059234 SH OTHER 646184 413050 Medarex Inc. COM 583916101 16018 1490000 SH SOLE 1490000 38167 3550420 SH OTHER 2427670 1122750 Micrel Inc. COM 594793101 1401 145900 SH OTHER 121800 24100 Micro Component Tech COM 59479Q100 380 1808212 SH OTHER 139712 1668500 Mindspeed Tech COM 602682106 3114 1800000 SH SOLE 1800000 9278 5362800 SH OTHER 3855825 1506975 Neose Tech Inc. COM 640522108 4782 2415000 SH SOLE 2415000 7840 3959620 SH OTHER 2461170 1498450 Netmanage Inc. COM 641144308 671 133223 SH OTHER 3223 130000 Network Equipment COM 641208103 4708 1142600 SH OTHER 134600 1008000 Nuvasive Inc COM 670704105 8446 420000 SH SOLE 420000 27023 1343744 SH OTHER 1152734 191010 Oplink Communications COM 68375Q403 13986 700000 SH SOLE 700000 16562 828931 SH OTHER 459771 369160 PLX Technology COM 693417107 4148 400000 SH SOLE 400000 20721 1998120 SH OTHER 1465620 532500 PMC-Sierra Inc. COM 69344F106 2098 353160 SH OTHER 196660 156500 Pemstar Inc. COM 706552196 37 10000 SH OTHER 10000 Phase Forward Inc. COM 71721R406 8060 675000 SH SOLE 675000 23523 1970073 SH OTHER 1679573 290500 Previo Inc. COM 74138B105 1 10000 SH OTHER 10000 Quicklogic Corp. COM 74837P108 1876 530000 SH SOLE 530000 3819 1078900 SH OTHER 477500 601400 Quidel Corp. COM 74838J101 14265 1010266 SH OTHER 886616 123650 RAE Systems COM 75061P102 2806 920000 SH SOLE 920000 10730 3518100 SH OTHER 2757550 760550 RF Monolithics Inc. COM 74955F106 1547 248300 SH OTHER 46300 202000 Redback Networks COM 757209507 16656 1200000 SH SOLE 1200000 38336 2761978 SH OTHER 1908878 853100 Regeneration Tech COM 75886n100 1966 280000 SH SOLE 280000 8273 1178440 SH OTHER 1050190 128250 Rita Medical Systems COM 76774E103 2678 850000 SH SOLE 850000 9527 3024420 SH OTHER 2641170 383250 Sangamo Biosciences COM 800677106 7909 1422500 SH SOLE 1422500 17437 3136095 SH OTHER 2054895 1081200 Skyworks Solutions COM 83088M102 332 64000 SH OTHER 64000 SonoSite Inc. COM 83568G104 4757 167500 SH SOLE 167500 19417 683710 SH OTHER 520710 163000 Stratex Networks Inc. COM 86279T109 15540 3500000 SH SOLE 3500000 34044 7667614 SH OTHER 5356864 2310750 Sunrise Telecom COM 86769Y105 808 384850 SH OTHER 280850 104000 Superconductor Tech COM 867931305 841 580000 SH SOLE 580000 2216 1528041 SH OTHER 623691 904350 Symmetricon Inc. COM 871543104 12690 1572435 SH OTHER 1375835 196600 Symyx Technologies COM 87155S108 12227 577010 SH OTHER 499835 77175 Techne Corp. COM 878377100 598 11750 SH OTHER 11750 Tekelec COM 879101103 10644 821259 SH OTHER 703609 117650 Tellabs Inc. COM 879664100 570 51986 SH OTHER 50468 1518 Transgenomic Inc. COM 89365K206 1915 3420000 SH SOLE 3420000 4346 7760555 SH OTHER 4169055 3591500 Tut Systems Inc. COM 901103101 3135 3300000 SH SOLE 3300000 8569 9020128 SH OTHER 5506928 3513200 Ventana Medical COM 92276H106 13832 338768 SH OTHER 283768 55000 Verint Systems COM 92343x100 3442 114550 SH OTHER 82900 31650 Verisign Inc. COM 92343E102 13460 666315 SH OTHER 544535 121780 Vital Images COM 92846N104 6316 200000 SH SOLE 200000 17207 544864 SH OTHER 465539 79325 Vitesse Semiconductor COM 928497106 3960 4000000 SH SOLE 4000000 5920 5979715 SH OTHER 3339615 2640100 WJ Communications COM 929284107 6998 3240000 SH SOLE 3240000 15861 7343141 SH OTHER 4518891 2824250 Zymogenetics Inc. COM 98985T109 3374 200000 SH SOLE 200000 14663 869165 SH OTHER 752590 116575 3M Company 88579Y101 3460 46494 SH OTHER 38482 8012 Aflac Incorporated 001055102 492 10750 SH OTHER 10750 Air Prod & Chem 009158106 264 3980 SH OTHER 3980 Allstate Corp. 020002101 4253 67802 SH OTHER 56337 11465 American Express 025816109 3829 68285 SH OTHER 56625 11660 American Int'l Group 026874107 303 4570 SH OTHER 4570 Amgen Inc. (Calif) 031162100 536 7500 SH OTHER 7400 100 Anadarko Petroleum 032511107 275 6280 SH OTHER 6280 Anheuser Busch 035229103 418 8805 SH OTHER 8805 Applied Materials Inc 038222105 299 16880 SH OTHER 16880 Bankamerica Corp 060505104 3735 69725 SH OTHER 58573 11152 Baxter International 071813109 3911 86035 SH OTHER 71175 14860 Bemis Co Inc 081437105 310 9420 SH OTHER 9420 Best Buy Co. Inc. 086516101 277 5177 SH OTHER 5177 Boeing Company 097023105 530 6725 SH OTHER 6725 Boston Scientific Corp. 101137107 200 13495 SH OTHER 13495 Cardinal Health 14149Y108 715 10875 SH OTHER 10390 485 Caterpillar Inc. 149123101 670 10180 SH OTHER 9755 425 Cisco System Inc. 17275R102 447 19435 SH OTHER 19035 400 Citigroup Inc 172967101 428 8620 SH OTHER 8620 Coach Inc. 189754104 301 8760 SH OTHER 8760 Computer Sciences 205363104 302 6145 SH OTHER 6145 ConocoPhillips 20825C104 296 4975 SH OTHER 4870 105 Constellation Energy 210371100 693 11705 SH OTHER 11235 470 Countrywide Financial 222372104 284 8100 SH OTHER 8100 Dominion Res Inc. VA 25746U109 244 3185 SH OTHER 3185 Dow Chemical Co. 260543103 3346 85833 SH OTHER 71814 14019 Eaton Corporation 278058102 321 4665 SH OTHER 4665 Emerson Electric Co. 291011104 425 5065 SH OTHER 5065 Entergy Corp New 29364G103 3634 46449 SH OTHER 38624 7825 Exxon Mobil 30231G102 3690 54997 SH OTHER 45907 9090 FedEx Corp. 31428X106 3786 34836 SH OTHER 28926 5910 Fifth Third Bancorp 316773100 605 15880 SH OTHER 15880 First Data Corp. 319963104 502 11950 SH OTHER 11950 General Electric Co. 369604103 378 10700 SH OTHER 10700 HCA Inc. 404119109 331 6630 SH OTHER 6630 Halliburton Company 406216101 444 15605 SH OTHER 15605 Hershey Foods Corp. 427866108 541 10114 SH OTHER 10114 Home Depot Inc. 437076102 1091 30073 SH OTHER 27233 2840 Ingersoll-Rand G4776G101 259 6820 SH OTHER 6820 Intel Corp. 458140100 512 24881 SH OTHER 24481 400 Intl. Business Machines 459200101 495 6040 SH OTHER 6040 Intuit Inc. 461202103 257 8000 SH OTHER 8000 Johnson & Johnson 478160104 3674 56570 SH OTHER 47225 9345 Johnson Controls Inc. 478366107 3676 51240 SH OTHER 42675 8565 Lilly Eli & Co. 532457108 392 6870 SH OTHER 6870 Lockheed Martin 539830109 299 3480 SH OTHER 3480 Marriott Intl. Inc. 571903202 3776 97719 SH OTHER 81089 16630 Medtronic Inc. 585055106 502 10801 SH OTHER 10801 Merrill Lynch & Co. 590188108 1291 16500 SH OTHER 14740 1760 Microsoft Corp. 594918104 1294 47305 SH OTHER 42300 5005 Monsanto Co. 61166W101 295 6275 SH OTHER 6275 Motorola Inc. 620076109 3944 157743 SH OTHER 131508 26235 National Semicond 637640103 286 12140 SH OTHER 12140 Noble Corp. G65422100 288 4490 SH OTHER 4490 Nordstrom Inc. 655664100 546 12915 SH OTHER 12395 520 Northern Trust 665859104 361 6175 SH OTHER 6175 Nucor Corp 670346105 712 14385 SH OTHER 13600 785 Oracle Systems Corp 68389X105 292 16480 SH OTHER 16480 PNC Finl Svcs Group 693475105 282 3895 SH OTHER 3895 Pepsico Inc. 713448108 1209 18530 SH OTHER 16420 2110 Pfizer Inc. 717081103 420 14810 SH OTHER 14810 Pitney Bowes Inc. 724479100 535 12060 SH OTHER 12060 Procter & Gamble 742718109 3612 58280 SH OTHER 48615 9665 Progressive Corp 743315103 257 10480 SH OTHER 10480 Public Storage Inc. 74460d109 328 3820 SH OTHER 3820 Quest Diagnostics 74834L100 323 5280 SH OTHER 5280 Sempra Energy 816851109 251 4995 SH OTHER 4995 Simon Property Group 828806109 645 7115 SH OTHER 7115 Solectron Corp 834182107 627 192400 SH OTHER 184110 8290 Southern Company 842587107 263 7645 SH OTHER 7645 Southwest Airlines Co 844741108 277 16605 SH OTHER 16605 Sprint Nextel 852061100 216 12575 SH OTHER 12575 Staples Inc 855030102 279 11480 SH OTHER 11480 Starbucks Corp 855244109 292 8570 SH OTHER 8570 State Street Corp. 857477103 353 5660 SH OTHER 5660 Synovus Financial 87161C105 305 10385 SH OTHER 10385 Target Corp. 87612E106 320 5800 SH OTHER 5800 Texas Instruments Inc. 882508104 3846 115668 SH OTHER 95778 19890 Time Warner Inc. 887317105 257 14100 SH OTHER 14100 United Healthcare 91324P102 264 5365 SH OTHER 5365 Valero Energy 91913Y100 292 5680 SH OTHER 5680 Verizon Comm. 92343V104 518 13940 SH OTHER 13940 Wal-Mart Stores Inc. 931142103 544 11030 SH OTHER 10860 170 Walgreen Company 931422109 294 6630 SH OTHER 6630 Walt Disney 254687106 519 16775 SH OTHER 16775 Wells Fargo & Co. 949746101 397 10980 SH OTHER 10980 Weyerhaeuser Co. 962166104 469 7625 SH OTHER 7625 Whirlpool Corp 963320106 1308 15555 SH OTHER 14300 1255 Xcel Energy Inc. 98389B100 369 17890 SH OTHER 17890
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