13F-HR 1 kia13fc.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Quarter Ended: June 30, 2009 ------------- Check here if Amendment [ ]; Amendment Number: -------------- This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holding entries. Institutional Investment Manager Filing this Report: Name: Kopp Investment Advisors, LLC ---------------------------------------------------- Address: 7701 France Avenue South, Suite 500 ---------------------------------------------------- Edina, Minnesota 55435 ---------------------------------------------------- Form 13F File No: 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 the Reporting Manager: Name: John P. Flakne -------------------------------------------------------- Title: Chief Financial Officer and Chief Compliance Officer -------------------------------------------------------- Phone: (952) 841-0400 ------------------------------------------------------- Signature, Place, and Date of Signing: /s/ John P. Flakne Edina, Minnesota July 28, 2009 ---------------------------------------------------------------- (Signature) City/State (Date) 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).) List of Other Managers Reporting for this Manager: None 2 FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 111 ----------- Form 13F Information Table Value Total: $ 285,267 ----------- (thousands) List of Other Included Managers: None 3 KOPP INVESTMENT ADVISORS, LLC FORM 13F INFORMATION TABLE JUNE 30, 2009
VOTING AUTHORITY TITLE VALUE SH/ PUT/ INVESTMENT OTHER NAME OF ISSUER OF CLASS CUSIP (X$1000) SHARES PRN CALL DISCRETION MANAGERS SOLE SHARED NONE 3M Company COM 88579Y101 880 14,641 SH N/A Other N/A 13,131 N/A 1,510 Accelrys, Inc. COM 00430U103 66 11,200 SH N/A Other N/A 11,200 N/A ADC Telecomm COM NEW 000886309 2,993 376,000 SH N/A Defined N/A 376,000 N/A ADC Telecomm COM NEW 000886309 5,338 670,653 SH N/A Other N/A 670,653 N/A Adept Tech Inc. COM NEW 006854202 1,779 708,600 SH N/A Defined N/A 708,600 N/A Adept Tech Inc. COM NEW 006854202 1,446 575,990 SH N/A Other N/A 571,990 N/A 4,000 Aflac Incorporated COM 001055102 958 30,815 SH N/A Other N/A 27,115 N/A 3,700 Akorn, Inc. COM 009728106 31 25,807 SH N/A Other N/A 25,807 N/A American Express COM 025816109 755 32,505 SH N/A Other N/A 28,890 N/A 3,615 Amgen Inc. (Calif) COM 031162100 218 4,110 SH N/A Other N/A 4,110 N/A Anadarko Petroleum COM 032511107 995 21,930 SH N/A Other N/A 19,370 N/A 2,560 Angiodynamics COM 03475V101 5,135 387,000 SH N/A Other N/A 342,542 N/A 44,458 Array Biopharma Inc. COM 04269X105 2,653 845,000 SH N/A Defined N/A 845,000 N/A Array Biopharma Inc. COM 04269X105 4,145 1,319,911 SH N/A Other N/A 1,186,236 N/A 133,675 ATS Medical Inc. COM 002083103 216 65,600 SH N/A Other N/A 65,600 N/A Bankamerica Corp COM 060505104 720 54,537 SH N/A Other N/A 47,552 N/A 6,985 Baxter International COM 071813109 498 9,405 SH N/A Other N/A 9,325 N/A 80 Boston Scientific Corp. COM 101137107 226 22,300 SH N/A Other N/A 22,300 N/A Caliper Life Sciences COM 130872104 850 480,000 SH N/A Defined N/A 480,000 N/A Caliper Life Sciences COM 130872104 3,852 2,176,266 SH N/A Other N/A 1,902,116 N/A 274,150 Caterpillar Inc. COM 149123101 704 21,316 SH N/A Other N/A 18,761 N/A 2,555 Cell Genesys Inc. COM 150921104 2,336 8,000,494 SH N/A Defined N/A 8,000,494 N/A Cell Genesys Inc. COM 150921104 1,090 3,733,050 SH N/A Other N/A 3,718,050 N/A 15,000 Cepheid Inc. COM 15670R107 679 72,077 SH N/A Other N/A 71,427 N/A 650 Cisco System Inc. COM 17275R102 240 12,874 SH N/A Other N/A 12,474 N/A 400 Clean Energy Fuels Corp. COM 184499101 1,707 198,230 SH N/A Other N/A 181,600 N/A 16,630 Compellent Technologies, Inc. COM 20452A108 4,687 307,365 SH N/A Other N/A 267,115 N/A 40,250 Comverge Inc. COM 205859101 5,226 431,891 SH N/A Other N/A 377,511 N/A 54,380 ConocoPhillips COM 20825C104 684 16,265 SH N/A Other N/A 14,395 N/A 1,870 Cybersource Corp. COM 23251J106 2,949 192,764 SH N/A Other N/A 170,361 N/A 22,403 Dexcom Inc. COM 252131107 268 43,300 SH N/A Other N/A 43,300 N/A Dow Chemical Co. COM 260543103 721 44,690 SH N/A Other N/A 39,890 N/A 4,800 Durect Corp. COM 266605104 893 375,000 SH N/A Defined N/A 375,000 N/A Durect Corp. COM 266605104 2,230 936,833 SH N/A Other N/A 812,708 N/A 124,125 EDCI Holdings, Inc. COM 268315108 79 15,000 SH N/A Defined N/A 15,000 N/A Emcore Corp. COM 290846104 4,271 3,390,000 SH N/A Defined N/A 3,390,000 N/A Emcore Corp. COM 290846104 2,402 1,906,308 SH N/A Other N/A 1,806,908 N/A 99,400 Entergy Corp New COM 29364G103 812 10,469 SH N/A Other N/A 9,309 N/A 1,160 Epicor Software Corp. COM 29426L108 6,339 1,196,000 SH N/A Defined N/A 1,196,000 N/A Epicor Software Corp. COM 29426L108 1,284 242,170 SH N/A Other N/A 241,170 N/A 1,000 Extreme Networks COM 30226D106 30 15,000 SH N/A Defined N/A 15,000 N/A Extreme Networks COM 30226D106 46 23,200 SH N/A Other N/A 23,200 N/A FedEx Corp. COM 31428X106 761 13,677 SH N/A Other N/A 12,217 N/A 1,460 Finisar Corp. COM 31787A101 4,666 8,185,800 SH N/A Defined N/A 8,185,800 N/A Finisar Corp. COM 31787A101 5,614 9,849,043 SH N/A Other N/A 9,175,793 N/A 673,250 Halliburton Company COM 406216101 838 40,496 SH N/A Other N/A 35,596 N/A 4,900 Harmonic Inc. COM 413160102 4,008 680,398 SH N/A Defined N/A 680,398 N/A Harmonic Inc. COM 413160102 3,026 513,704 SH N/A Other N/A 450,604 N/A 63,100 Harris Stratex Networks CL A 41457P106 842 130,000 SH N/A Defined N/A 130,000 N/A Harris Stratex Networks CL A 41457P106 398 61,350 SH N/A Other N/A 61,350 N/A Harvard Bioscience COM 416906105 1,978 500,667 SH N/A Defined N/A 500,667 N/A Harvard Bioscience COM 416906105 1,443 365,405 SH N/A Other N/A 328,930 N/A 36,475 Hershey Foods Corp. COM 427866108 232 6,445 SH N/A Other N/A 6,335 N/A 110 Home Depot Inc. COM 437076102 766 32,420 SH N/A Other N/A 28,035 N/A 4,385 Icad Inc. COM 44934S107 1,435 1,103,844 SH N/A Other N/A 995,544 N/A 108,300 Illumina, Inc. COM 452327109 728 18,690 SH N/A Other N/A 18,690 N/A Intel Corp. COM 458140100 328 19,801 SH N/A Other N/A 19,379 N/A 422 Intl. Business Machines COM 459200101 204 1,954 SH N/A Other N/A 1,954 N/A Iris Intl Inc COM 46270W105 3,837 325,164 SH N/A Other N/A 290,889 N/A 34,275 Johnson & Johnson COM 478160104 829 14,595 SH N/A Other N/A 13,150 N/A 1,445 Johnson Controls Inc. COM 478366107 1,043 48,018 SH N/A Other N/A 42,913 N/A 5,105 Marriott Intl. Inc. CL A 571903202 941 42,654 SH N/A Other N/A 37,669 N/A 4,985 Medarex Inc. COM 583916101 8,350 1,000,000 SH N/A Defined N/A 1,000,000 N/A Medarex Inc. COM 583916101 10,057 1,204,472 SH N/A Other N/A 1,114,722 N/A 89,750 Microsoft Corp. COM 594918104 318 13,374 SH N/A Other N/A 12,960 N/A 414 Mindspeed Tech COM NEW 602682205 2,221 1,028,046 SH N/A Defined N/A 1,028,046 N/A Mindspeed Tech COM NEW 602682205 687 318,233 SH N/A Other N/A 316,233 N/A 2,000 Monogram Biosciences COM NEW 60975U207 932 205,700 SH N/A Defined N/A 205,700 N/A Monogram Biosciences COM NEW 60975U207 7,935 1,751,690 SH N/A Other N/A 1,571,189 N/A 180,501 NetScout Systems Inc. COM 64115T104 3,084 328,785 SH N/A Other N/A 286,735 N/A 42,050 Network Equipment COM 641208103 11,544 2,709,800 SH N/A Defined N/A 2,709,800 N/A Network Equipment COM 641208103 6,978 1,638,086 SH N/A Other N/A 1,512,186 N/A 125,900 Nuvasive Inc COM 670704105 7,808 175,067 SH N/A Other N/A 155,242 N/A 19,825 Oclaro, Inc. COM 67555N107 5,091 7,992,494 SH N/A Defined N/A 7,992,494 N/A Oclaro, Inc. COM 67555N107 2,366 3,714,320 SH N/A Other N/A 3,651,320 N/A 63,000 Oplink Communications COM NEW 68375Q403 3,746 328,570 SH N/A Defined N/A 328,570 N/A Oplink Communications COM NEW 68375Q403 1,831 160,613 SH N/A Other N/A 159,613 N/A 1,000 Orthovita Inc. COM 68750U102 6,949 1,344,137 SH N/A Other N/A 1,187,912 N/A 156,225 Pepsico Inc. COM 713448108 858 15,618 SH N/A Other N/A 13,868 N/A 1,750 Pfizer Inc. COM 717081103 212 14,100 SH N/A Other N/A 14,100 N/A Phase Forward Inc. COM 71721R406 7,780 514,907 SH N/A Other N/A 459,657 N/A 55,250 Phoenix Technologies COM 719153108 407 150,000 SH N/A Defined N/A 150,000 N/A Phoenix Technologies COM 719153108 1,791 660,895 SH N/A Other N/A 561,420 N/A 99,475 PLX Technology COM 693417107 3,374 895,000 SH N/A Defined N/A 895,000 N/A PLX Technology COM 693417107 3,352 889,185 SH N/A Other N/A 804,235 N/A 84,950 PMC-Sierra Inc. COM 69344F106 637 80,000 SH N/A Defined N/A 80,000 N/A PMC-Sierra Inc. COM 69344F106 318 40,000 SH N/A Other N/A 40,000 N/A Procter & Gamble COM 742718109 752 14,726 SH N/A Other N/A 13,241 N/A 1,485 Quidel Corp. COM 74838J101 4,698 322,631 SH N/A Other N/A 287,256 N/A 35,375 RAE Systems COM 75061P102 6,112 4,428,777 SH N/A Defined N/A 4,428,777 N/A RAE Systems COM 75061P102 3,661 2,652,700 SH N/A Other N/A 2,641,700 N/A 11,000 Regeneron Pharma COM 75886F107 1,254 70,000 SH N/A Defined N/A 70,000 N/A Regeneron Pharma COM 75886F107 4,674 260,843 SH N/A Other N/A 239,993 N/A 20,850 RF Monolithics Inc. COM 74955F106 15 25,000 SH N/A Other N/A 25,000 N/A RTI Biologics, Inc. COM 74975N105 3,754 875,000 SH N/A Defined N/A 875,000 N/A RTI Biologics, Inc. COM 74975N105 10,310 2,403,176 SH N/A Other N/A 2,189,576 N/A 213,600 Sangamo Biosciences COM 800677106 5,043 1,020,890 SH N/A Defined N/A 1,020,890 N/A Sangamo Biosciences COM 800677106 4,386 887,758 SH N/A Other N/A 838,553 N/A 49,205 Schwab Charles Corp. COM 808513105 934 53,260 SH N/A Other N/A 46,805 N/A 6,455 SonoSite Inc. COM 83568G104 1,059 52,885 SH N/A Other N/A 44,260 N/A 8,625 SPDR Trust Ser 1 UNIT SER 1 78462F103 1,039 11,300 SH N/A Other N/A 11,300 N/A SunPower Corp. Cl A COM CL A 867652109 311 11,703 SH N/A Other N/A 11,253 N/A 450 Superconductor Tech COM NEW 867931305 17,707 4,734,400 SH N/A Defined N/A 4,734,400 N/A Superconductor Tech COM NEW 867931305 3,192 853,500 SH N/A Other N/A 849,500 N/A 4,000 Synovis Life Tech COM 87162G105 4,231 203,731 SH N/A Other N/A 183,116 N/A 20,615 Tellabs Inc. COM 879664100 151 26,310 SH N/A Other N/A 26,310 N/A Texas Instruments Inc. COM 882508104 963 45,205 SH N/A Other N/A 40,030 N/A 5,175 Thoratec Corp. COM NEW 885175307 2,797 104,451 SH N/A Other N/A 92,576 N/A 11,875 Verizon Comm COM 92343V104 865 28,155 SH N/A Other N/A 24,980 N/A 3,175 Western Union COM 959802109 182 11,115 SH N/A Other N/A 11,115 N/A Zoran Corp. COM 98975F101 1,203 110,345 SH N/A Other N/A 103,145 N/A 7,200 REPORT SUMMARY 111 285,267
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