-----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, RNuPDZSWs330TI+VgSRXyjP/yGNYHtX+k2TT8pnl9tUWQ1LZOWt7HrcM3w6edFZn f9li3nMZfVZvriapgl7VAA== 0000884306-07-000029.txt : 20070205 0000884306-07-000029.hdr.sgml : 20070205 20070205100807 ACCESSION NUMBER: 0000884306-07-000029 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061231 FILED AS OF DATE: 20070205 DATE AS OF CHANGE: 20070205 EFFECTIVENESS DATE: 20070205 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: 07578631 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-123106.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: 12/31/06 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 02/05/07 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: 215 Form 13F Information Table Value Total: $ 1,120,081 (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 446 3150 SH OTHER 3150 Ultra QQQ Proshares 74347R206 5835 72000 SH SOLE 72000 iShares GS Networking Index Fd 464287531 6917 215000 SH SOLE 215000 iShares GS Software Index Fd 464287515 2675 60000 SH SOLE 60000 iShares NASDAQ Biotech Index F 464287556 6998 90000 SH SOLE 90000 ADC Telecomm COM 000886309 15658 1077652 SH OTHER 804864 272788 Adept Tech Inc. COM 006854202 4180 356961 SH SOLE 356961 10116 863861 SH OTHER 347461 516400 Aeroflex Inc. COM 007768104 147 12500 SH OTHER 12500 Allscripts Healthcare Solution COM 01988P108 3374 125000 SH SOLE 125000 Array Biopharma Inc. COM 04269X105 7934 614100 SH SOLE 614100 30274 2343210 SH OTHER 1742635 600575 Arthrocare Corp. COM 043136100 11026 276190 SH OTHER 246765 29425 Bookham Inc. COM 09856E105 814 200000 SH SOLE 200000 4230 1039260 SH OTHER 905410 133850 Caliper Life Sciences COM 130872104 1504 263000 SH SOLE 263000 8526 1490579 SH OTHER 1060779 429800 Cell Genesys Inc. COM 150921104 1549 456900 SH SOLE 456900 10170 3000138 SH OTHER 1891138 1109000 Centillium Comm COM 152319109 535 250000 SH SOLE 250000 1035 483800 SH OTHER 406600 77200 Cepheid Inc. COM 15670R107 340 40000 SH SOLE 40000 4505 529950 SH OTHER 338150 191800 Ciena Corp. COM 171779309 8313 300000 SH SOLE 300000 Cognos Inc. (Canada) COM 19244C109 6511 153343 SH OTHER 128368 24975 Conexant Systems COM 207142100 1501 735974 SH OTHER 512274 223700 Curagen Corp. COM 23126R101 2769 602000 SH OTHER 129000 473000 Cutera Inc. COM 232109108 4050 150000 SH SOLE 150000 9890 366305 SH OTHER 306880 59425 Cyberoptics Corp. COM 232517102 3647 287400 SH OTHER 213200 74200 Depomed Inc. COM 249908104 5688 1648790 SH OTHER 1090540 558250 Dexcom Inc. COM 252131107 6835 693250 SH OTHER 610500 82750 Digimarc Corp. COM 253807101 964 109690 SH SOLE 109690 5761 655368 SH OTHER 308218 347150 Diversa Corp. COM 255064107 10766 989550 SH OTHER 781550 208000 Durect Corp. COM 266605104 12255 2760105 SH OTHER 2382005 378100 E-Z-EM Inc. COM 269305405 1048 60000 SH SOLE 60000 8415 481665 SH OTHER 438965 42700 EMS Technologies Inc. COM 26873N108 8601 429400 SH OTHER 282650 146750 Emageon Inc. COM 29076V109 1666 108460 SH OTHER 89660 18800 Emcore Corp. COM 290846104 4424 800000 SH SOLE 800000 16895 3055145 SH OTHER 1882095 1173050 Epicor Software Corp. COM 29426L108 13301 984528 SH SOLE 984528 37222 2755142 SH OTHER 753642 2001500 Finisar Corp. COM 31787A101 11951 3700000 SH SOLE 3700000 22838 7070620 SH OTHER 4941070 2129550 Foundry Networks Inc. COM 35063R100 5992 400000 SH SOLE 400000 Gen-Probe Inc. COM 36866T103 5237 100000 SH SOLE 100000 118 2250 SH OTHER 600 1650 Glenayre Technologies COM 377899109 947 370000 SH OTHER 150000 220000 Harvard Bioscience COM 416906105 154 30000 SH SOLE 30000 7746 1510030 SH OTHER 956980 553050 Hyperion Solutions COM 44914M104 7977 221964 SH OTHER 196583 25381 Informatica Corp. COM 45666Q102 10549 863935 SH OTHER 754835 109100 Iris Intl Inc COM 46270W105 1012 80000 SH SOLE 80000 16878 1334215 SH OTHER 1168065 166150 JDS Uniphase Corp. COM 46612J507 6664 400000 SH SOLE 400000 134 8058 SH OTHER 7558 500 Juniper Networks COM 48203R104 9470 500000 SH SOLE 500000 Lightbridge Inc. COM 532226107 2794 206370 SH OTHER 190720 15650 Lionbridge Tech COM 536252109 3078 477905 SH OTHER 436205 41700 Mapinfo Corp. COM 565105103 13099 1003784 SH OTHER 612784 391000 Medarex Inc. COM 583916101 19671 1330000 SH SOLE 1330000 52099 3522570 SH OTHER 2286770 1235800 Micrel Inc. COM 594793101 1093 101350 SH OTHER 83750 17600 Micro Component Tech COM 59479Q100 358 1788212 SH OTHER 119712 1668500 Mindspeed Tech COM 602682106 287 150000 SH SOLE 150000 8767 4590025 SH OTHER 3205880 1384145 Neose Tech Inc. COM 640522108 466 209200 SH SOLE 209200 9223 4136400 SH OTHER 2502550 1633850 Network Equipment COM 641208103 6445 1107400 SH OTHER 129400 978000 Nuvasive Inc COM 670704105 3465 150000 SH SOLE 150000 27008 1169184 SH OTHER 1023774 145410 Oplink Communications COM 68375Q403 6912 336200 SH SOLE 336200 16208 788327 SH OTHER 432378 355949 PLX Technology COM 693417107 4825 370000 SH SOLE 370000 24753 1898200 SH OTHER 1416070 482130 PMC-Sierra Inc. COM 69344F106 2116 315360 SH OTHER 170660 144700 Phase Forward Inc. COM 71721R406 4857 324200 SH SOLE 324200 26763 1786573 SH OTHER 1554298 232275 Previo Inc. COM 74138B105 0 10000 SH OTHER 10000 Quicklogic Corp. COM 74837P108 2049 690000 SH OTHER 302100 387900 Quidel Corp. COM 74838J101 10967 805181 SH OTHER 720131 85050 RAE Systems COM 75061P102 1884 588700 SH SOLE 588700 13567 4239810 SH OTHER 3315560 924250 RF Monolithics Inc. COM 74955F106 1023 227300 SH OTHER 47300 180000 Redback Networks COM 757209507 4454 178600 SH SOLE 178600 62974 2525003 SH OTHER 1731698 793305 Regeneration Tech COM 75886n100 1212 206800 SH SOLE 206800 7443 1270200 SH OTHER 1136700 133500 Regeneron Pharma Inc. COM 75886F107 3011 150000 SH SOLE 150000 15093 752035 SH OTHER 653560 98475 RightNow Technologies COM 76657R106 6622 384525 SH OTHER 327225 57300 Rita Medical Systems COM 76774E103 12838 2790870 SH OTHER 2476770 314100 Sangamo Biosciences COM 800677106 5488 831500 SH SOLE 831500 21207 3213220 SH OTHER 2061120 1152100 Sirenza Microdevices COM 82966T106 1877 238860 SH OTHER 211260 27600 Skyworks Solutions COM 83088M102 453 64000 SH OTHER 64000 SonoSite Inc. COM 83568G104 13985 452160 SH OTHER 399860 52300 Stratex Networks Inc. COM 86279T109 4830 1000000 SH SOLE 1000000 34115 7063049 SH OTHER 4921749 2141300 Sunrise Telecom COM 86769Y105 777 353250 SH OTHER 257250 96000 Superconductor Tech COM 867931305 512 289000 SH SOLE 289000 2555 1443522 SH OTHER 547572 895950 Symmetricon Inc. COM 871543104 12445 1395135 SH OTHER 1253635 141500 Symyx Technologies COM 87155S108 8191 379385 SH OTHER 336560 42825 Techne Corp. COM 878377100 596 10750 SH OTHER 10750 Tekelec COM 879101103 10947 738134 SH OTHER 641684 96450 Tellabs Inc. COM 879664100 478 46581 SH OTHER 46581 Transgenomic Inc. COM 89365K206 3609 8019205 SH OTHER 4422705 3596500 Tut Systems Inc. COM 901103101 3498 3123200 SH SOLE 3123200 10715 9566628 SH OTHER 6133928 3432700 Ventana Medical COM 92276H106 9418 218868 SH OTHER 188568 30300 Verisign Inc. COM 92343E102 10823 450000 SH SOLE 450000 14144 588090 SH OTHER 489360 98730 Vital Images COM 92846N104 6960 200000 SH SOLE 200000 17051 489959 SH OTHER 429409 60550 Vitesse Semiconductor COM 928497106 3118 3604500 SH SOLE 3604500 5543 6408315 SH OTHER 3555215 2853100 WJ Communications COM 929284107 1105 703800 SH SOLE 703800 11130 7089391 SH OTHER 4385441 2703950 Zymogenetics Inc. COM 98985T109 1713 110000 SH SOLE 110000 11815 758815 SH OTHER 664090 94725 3M Company 88579Y101 3376 43322 SH OTHER 36282 7040 Aflac Incorporated 001055102 556 12095 SH OTHER 12095 Air Prod & Chem 009158106 216 3080 SH OTHER 3080 Allstate Corp. 020002101 4069 62492 SH OTHER 52672 9820 American Express 025816109 3872 63820 SH OTHER 53725 10095 American Int'l Group 026874107 327 4570 SH OTHER 4570 Amgen Inc. (Calif) 031162100 4099 60000 SH SOLE 60000 572 8380 SH OTHER 8280 100 Anadarko Petroleum 032511107 273 6280 SH OTHER 6280 Anheuser Busch 035229103 433 8805 SH OTHER 8805 Applied Materials Inc 038222105 238 12880 SH OTHER 12880 Bankamerica Corp 060505104 3480 65178 SH OTHER 55653 9525 Baxter International 071813109 3688 79505 SH OTHER 66690 12815 Bemis Co Inc 081437105 256 7520 SH OTHER 7520 Best Buy Co. Inc. 086516101 215 4377 SH OTHER 4377 Boeing Company 097023105 665 7480 SH OTHER 7480 Boston Scientific Corp. 101137107 232 13495 SH OTHER 13495 Cardinal Health 14149Y108 759 11785 SH OTHER 11300 485 Caterpillar Inc. 149123101 680 11080 SH OTHER 10655 425 Cisco System Inc. 17275R102 527 19285 SH OTHER 18885 400 Citigroup Inc 172967101 480 8620 SH OTHER 8620 Coach Inc. 189754104 260 6060 SH OTHER 6060 ConocoPhillips 20825C104 358 4975 SH OTHER 4870 105 Constellation Energy 210371100 838 12170 SH OTHER 11700 470 Countrywide Financial 222372104 344 8100 SH OTHER 8100 Dominion Res Inc. VA 25746U109 250 2985 SH OTHER 2985 Dow Chemical Co. 260543103 3157 79124 SH OTHER 66774 12350 Eaton Corporation 278058102 351 4665 SH OTHER 4665 Ebay Inc. 278642103 207 6875 SH OTHER 6875 Emerson Electric Co. 291011104 447 10130 SH OTHER 10130 Entergy Corp New 29364G103 3861 41819 SH OTHER 35204 6615 Exxon Mobil 30231G102 3920 51152 SH OTHER 43452 7700 FedEx Corp. 31428X106 3467 31921 SH OTHER 26931 4990 Fifth Third Bancorp 316773100 718 17545 SH OTHER 17545 First Data Corp. 319963104 375 14695 SH OTHER 14695 General Electric Co. 369604103 408 10975 SH OTHER 10975 Halliburton Company 406216101 556 17895 SH OTHER 17895 Hershey Foods Corp. 427866108 566 11364 SH OTHER 11364 Home Depot Inc. 437076102 1389 34578 SH OTHER 31368 3210 Ingersoll-Rand G4776G101 267 6820 SH OTHER 6820 Intel Corp. 458140100 554 27341 SH OTHER 26941 400 Intl. Business Machines 459200101 656 6755 SH OTHER 6755 Intuit Inc. 461202103 244 8000 SH OTHER 8000 Johnson & Johnson 478160104 3467 52515 SH OTHER 44475 8040 Johnson Controls Inc. 478366107 3927 45705 SH OTHER 38465 7240 Lilly Eli & Co. 532457108 358 6870 SH OTHER 6870 Lockheed Martin 539830109 320 3480 SH OTHER 3480 Marriott Intl. Inc. 571903202 4131 86569 SH OTHER 72874 13695 Medtronic Inc. 585055106 559 10451 SH OTHER 10451 Merrill Lynch & Co. 590188108 1566 16820 SH OTHER 15085 1735 Microsoft Corp. 594918104 1532 51310 SH OTHER 45805 5505 Monsanto Co. 61166W101 251 4775 SH OTHER 4775 Motorola Inc. 620076109 3084 150000 SH SOLE 150000 3035 147613 SH OTHER 125243 22370 National Semicond 637640103 218 9610 SH OTHER 9610 Noble Corp. G65422100 342 4490 SH OTHER 4490 Nordstrom Inc. 655664100 625 12660 SH OTHER 12140 520 Northern Trust 665859104 369 6080 SH OTHER 6080 Nucor Corp 670346105 728 13310 SH OTHER 12645 665 Oracle Systems Corp 68389X105 282 16480 SH OTHER 16480 PNC Finl Svcs Group 693475105 288 3895 SH OTHER 3895 Pepsico Inc. 713448108 1235 19750 SH OTHER 17430 2320 Pfizer Inc. 717081103 384 14810 SH OTHER 14810 Pitney Bowes Inc. 724479100 592 12810 SH OTHER 12810 Procter & Gamble 742718109 3526 54860 SH OTHER 46470 8390 Progressive Corp 743315103 254 10480 SH OTHER 10480 Public Storage Inc. 74460d109 372 3820 SH OTHER 3820 Quest Diagnostics 74834L100 280 5280 SH OTHER 5280 Sempra Energy 816851109 252 4495 SH OTHER 4495 Simon Property Group 828806109 785 7750 SH OTHER 7750 Solectron Corp 834182107 624 193905 SH OTHER 192450 1455 Southern Company 842587107 260 7045 SH OTHER 7045 Southwest Airlines Co 844741108 254 16605 SH OTHER 16605 Sprint Nextel 852061100 239 12640 SH OTHER 12640 Staples Inc 855030102 250 9380 SH OTHER 9380 Starbucks Corp 855244109 229 6470 SH OTHER 6470 State Street Corp. 857477103 335 4970 SH OTHER 4970 Synovus Financial 87161C105 320 10385 SH OTHER 10385 Target Corp. 87612E106 262 4600 SH OTHER 4600 Texas Instruments Inc. 882508104 3068 106533 SH OTHER 89263 17270 Time Warner Inc. 887317105 307 14100 SH OTHER 14100 United Healthcare 91324P102 288 5365 SH OTHER 5365 Valero Energy 91913Y100 291 5680 SH OTHER 5680 Verizon Comm. 92343V104 582 15620 SH OTHER 15620 Wal-Mart Stores Inc. 931142103 570 12340 SH OTHER 12170 170 Walgreen Company 931422109 343 7485 SH OTHER 7485 Walt Disney 254687106 643 18775 SH OTHER 18775 Wells Fargo & Co. 949746101 390 10980 SH OTHER 10980 Western Union 959802109 283 12615 SH OTHER 12615 Weyerhaeuser Co. 962166104 540 7650 SH OTHER 7650 Whirlpool Corp 963320106 1150 13850 SH OTHER 12435 1415 Xcel Energy Inc. 98389B100 387 16790 SH OTHER 16790
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