0000892712-11-000305.txt : 20110425 0000892712-11-000305.hdr.sgml : 20110425 20110425141329 ACCESSION NUMBER: 0000892712-11-000305 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110425 DATE AS OF CHANGE: 20110425 EFFECTIVENESS DATE: 20110425 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: 11777036 BUSINESS ADDRESS: STREET 1: 8400 NORMANDALE LAKE BOULEVARD STREET 2: SUITE 1450 CITY: BLOOMINGTON STATE: MN ZIP: 55437 BUSINESS PHONE: 9528410400 MAIL ADDRESS: STREET 1: 8400 NORMANDALE LAKE BOULEVARD STREET 2: SUITE 1450 CITY: BLOOMINGTON STATE: MN ZIP: 55437 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: March 31, 2011 --------------- 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: 8400 Normandale Lake Blvd., Suite 1450 ----------------------------------------------------------------- Bloomington, MN 55437 ----------------------------------------------------------------- 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 Bloomington, Minnesota April 25, 2011 -------------------------------------------------------------------------------- (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 FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 105 -------- Form 13F Information Table Value Total: $ 359,195 --------- (thousands) List of Other Included Managers: None 2 KOPP INVESTMENT ADVISORS, LLC FORM 13F INFORMATION TABLE MARCH 31, 2011
VOTING AUTHORITY ---------------- NAME OF ISSUER TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER --------------- CLASS CUSIP (X$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE -------- ------ ------- ------- ---- ---- -------- -------- ---- ------ ---- 3M Company COM 88579Y101 1,095 11,712 SH N/A Other N/A 10,577 1,135 Adept Tech Inc. COM NEW 006854202 2,685 583,600 SH N/A Defined N/A 583,600 Adept Tech Inc. COM NEW 006854202 1,656 360,015 SH N/A Other N/A 360,015 Aflac Incorporated COM 001055102 1,165 22,066 SH N/A Other N/A 19,701 2,365 Akorn, Inc. COM 009728106 462 80,000 SH N/A Defined N/A 80,000 Akorn, Inc. COM 009728106 13,138 2,276,985 SH N/A Other N/A 2,084,440 192,545 Amarin Corp. PLC ADS SPONS ADR NEW 023111206 2,701 370,000 SH N/A Defined N/A 370,000 Amarin Corp. PLC ADS SPONS ADR NEW 023111206 6,491 889,230 SH N/A Other N/A 850,355 38,875 American Express Company COM 025816109 1,095 24,235 SH N/A Other N/A 21,460 2,775 American Superconductor Corp. COM 030111108 1,382 55,550 SH N/A Other N/A 48,400 7,150 Amerigon Inc. COM 03070L300 2,124 139,105 SH N/A Other N/A 124,920 14,185 Angiodynamics, Inc. COM 03475V101 5,208 344,428 SH N/A Other N/A 305,320 39,108 Array Biopharma Inc. COM 04269X105 4,116 1,345,000 SH N/A Defined N/A 1,345,000 Array Biopharma Inc. COM 04269X105 7,319 2,391,710 SH N/A Other N/A 2,179,891 211,819 AtriCure Inc. COM 04963C209 393 34,560 SH N/A Other N/A 34,560 AVI BioPharma, Inc. COM 002346104 199 106,970 SH N/A Other N/A 106,970 Biomimetic Therapeutics, Inc. COM 09064X101 303 23,120 SH N/A Other N/A 23,120 Biosante Pharmaceuticals Inc. COM NEW 09065V203 3,886 1,962,760 SH N/A Defined N/A 1,962,760 Biosante Pharmaceuticals Inc. COM NEW 09065V203 1,973 996,330 SH N/A Other N/A 996,330 Caliper Life Sciences, Inc. COM 130872104 1,284 190,000 SH N/A Defined N/A 190,000 Caliper Life Sciences, Inc. COM 130872104 7,749 1,146,260 SH N/A Other N/A 1,022,125 124,135 Cardiome Pharma Corp. COM NEW 14159U202 514 120,000 SH N/A Defined N/A 120,000 Cardiome Pharma Corp. COM NEW 14159U202 6,589 1,539,417 SH N/A Other N/A 1,433,207 106,210 Cepheid Inc. COM 15670R107 662 23,632 SH N/A Other N/A 23,227 405 Clean Energy Fuels Corp. COM 184499101 775 47,330 SH N/A Other N/A 40,710 6,620 Comverge Inc. COM 205859101 3,601 772,845 SH N/A Other N/A 677,024 95,821 ConocoPhillips COM 20825C104 1,170 14,646 SH N/A Other N/A 13,031 1,615 Constant Contact, Inc. COM 210313102 2,957 84,728 SH N/A Other N/A 75,573 9,155 DaVita Inc. COM 23918K108 212 2,475 SH N/A Other N/A 2,475 Deere & Co. COM 244199105 1,483 15,303 SH N/A Other N/A 13,558 1,745 Dow Chemical Co. COM 260543103 1,248 33,052 SH N/A Other N/A 28,907 4,145 DragonWave Inc. COM 26144M103 1,508 181,085 SH N/A Other N/A 158,030 23,055 Durect Corp. COM 266605104 641 177,948 SH N/A Other N/A 149,998 27,950 Emcore Corp. COM 290846104 13,762 5,355,000 SH N/A Defined N/A 5,355,000 Emcore Corp. COM 290846104 7,870 3,062,450 SH N/A Other N/A 3,062,450 EnteroMedics Inc. COM NEW 29365M208 88 31,900 SH N/A Other N/A 31,900 Exxon Mobil Corporation COM 30231G102 1,246 14,812 SH N/A Other N/A 13,177 1,635 Finisar Corp. COM NEW 31787A507 9,410 382,500 SH N/A Defined N/A 382,500 Finisar Corp. COM NEW 31787A507 14,101 573,223 SH N/A Other N/A 550,923 22,300 FMC Technologies, Inc. COM 30249U101 1,430 15,138 SH N/A Other N/A 13,403 1,735 Green Mountain Coffee Roasters, Inc. COM 393122106 753 11,652 SH N/A Other N/A 10,957 695 Harmonic Inc. COM 413160102 516 55,000 SH N/A Defined N/A 55,000 Harmonic Inc. COM 413160102 347 37,000 SH N/A Other N/A 37,000 Harvard Bioscience, Inc. COM 416906105 430 75,655 SH N/A Other N/A 75,655 Icad Inc. COM 44934S107 586 433,765 SH N/A Other N/A 392,220 41,545 International Business Machines Corp. COM 459200101 1,178 7,225 SH N/A Other N/A 6,425 800 Iris International, Inc. COM 46270W105 5,553 615,633 SH N/A Other N/A 553,673 61,960 Johnson & Johnson COM 478160104 821 13,858 SH N/A Other N/A 12,423 1,435 Johnson Controls Inc. COM 478366107 1,444 34,728 SH N/A Other N/A 30,943 3,785 Luminex Corp. COM 55027E102 258 13,775 SH N/A Other N/A 13,655 120 Marriott Intl. Inc. CL A 571903202 1,170 32,896 SH N/A Other N/A 29,097 3,799 Masimo Corporation COM 574795100 209 6,315 SH N/A Other N/A 6,315 Medtox Scientific Inc. COM NEW 584977201 13,762 839,143 SH N/A Other N/A 775,623 63,520 Mindspeed Technologies, Inc. COM NEW 602682205 4,780 565,000 SH N/A Defined N/A 565,000 Mindspeed Technologies, Inc. COM NEW 602682205 8,365 988,788 SH N/A Other N/A 927,698 61,090 MIPS Technologies, Inc. COM 604567107 1,974 188,180 SH N/A Other N/A 159,305 28,875 NetScout Systems Inc. COM 64115T104 6,010 219,993 SH N/A Other N/A 192,218 27,775 Network Equipment Technologies, Inc. COM 641208103 10,216 2,709,800 SH N/A Defined N/A 2,709,800 Network Equipment Technologies, Inc. COM 641208103 6,585 1,746,661 SH N/A Other N/A 1,633,791 112,870 Northern Oil & Gas Inc. COM 665531109 934 34,965 SH N/A Other N/A 30,970 3,995 Northern Trust COM 665859104 947 18,670 SH N/A Other N/A 16,600 2,070 Nuvasive Inc. COM 670704105 2,194 86,651 SH N/A Other N/A 76,596 10,055 Oclaro, Inc. COM NEW 67555N206 9,660 840,000 SH N/A Defined N/A 840,000 Oclaro, Inc. COM NEW 67555N206 9,260 805,181 SH N/A Other N/A 781,728 23,453 Omnicell Inc. COM 68213N109 193 12,635 SH N/A Other N/A 12,635 Oplink Communications, Inc. COM NEW 68375Q403 2,283 117,145 SH N/A Defined N/A 117,145 Oplink Communications, Inc. COM NEW 68375Q403 3,508 179,965 SH N/A Other N/A 179,965 OraSure Technologies COM 68554V108 184 23,460 SH N/A Other N/A 23,460 Pepsico Inc. COM 713448108 854 13,263 SH N/A Other N/A 11,813 1,450 Pfizer Inc. COM 717081103 245 12,040 SH N/A Other N/A 12,040 PLX Technology, Inc. COM 693417107 639 175,000 SH N/A Defined N/A 175,000 PLX Technology, Inc. COM 693417107 4,278 1,172,019 SH N/A Other N/A 1,067,519 104,500 PMC-Sierra Inc. COM 69344F106 150 20,000 SH N/A Other N/A 20,000 PowerShares QQQ Trust UNIT SER 1 73935A104 250 4,350 SH N/A Other N/A 4,350 The Procter & Gamble Company COM 742718109 803 13,038 SH N/A Other N/A 11,588 1,450 Quidel Corp. COM 74838J101 3,970 331,949 SH N/A Other N/A 292,944 39,005 RAE Systems, Inc. COM 75061P102 7,627 4,333,777 SH N/A Defined N/A 4,333,777 RAE Systems, Inc. COM 75061P102 4,858 2,760,500 SH N/A Other N/A 2,760,500 Regeneron Pharmaceuticals, Inc. COM 75886F107 3,505 78,000 SH N/A Defined N/A 78,000 Regeneron Pharmaceuticals, Inc. COM 75886F107 9,399 209,143 SH N/A Other N/A 200,088 9,055 RF Monolithics Inc. COM 74955F106 13 10,000 SH N/A Other N/A 10,000 RTI Biologics, Inc. COM 74975N105 772 270,000 SH N/A Defined N/A 270,000 RTI Biologics, Inc. COM 74975N105 8,702 3,042,529 SH N/A Other N/A 2,758,657 283,872 Sandisk Corp COM 80004C101 922 20,000 SH N/A Other N/A 20,000 Sangamo Biosciences, Inc. COM 800677106 7,279 873,790 SH N/A Defined N/A 873,790 Sangamo Biosciences, Inc. COM 800677106 9,517 1,142,454 SH N/A Other N/A 1,107,424 35,030 Smith Micro Software, Inc. COM 832154108 4,248 453,822 SH N/A Other N/A 397,970 55,852 Southern Company COM 842587107 1,085 28,477 SH N/A Other N/A 25,367 3,110 Southwest Airlines Co. COM 844741108 956 75,676 SH N/A Other N/A 67,561 8,115 SPDR Trust Ser 1 TR UNIT 78462F103 802 6,050 SH N/A Other N/A 6,050 Staples Inc. COM 855030102 964 49,665 SH N/A Other N/A 44,085 5,580 SunOpta, Inc. COM 8676EP108 9,665 1,300,797 SH N/A Other N/A 1,213,938 86,859 Superconductor Technologies Inc. COM NEW 867931305 13,558 4,534,400 SH N/A Defined N/A 4,534,400 Superconductor Technologies Inc. COM NEW 867931305 6,039 2,019,847 SH N/A Other N/A 2,017,247 2,600 Synergetics USA, Inc. COM 87160G107 4,133 701,680 SH N/A Other N/A 629,156 72,524 Thoratec Corp. COM NEW 885175307 1,927 74,327 SH N/A Other N/A 68,687 5,640 Titan Machinery Inc. COM 88830R101 3,820 151,280 SH N/A Other N/A 133,805 17,475 ValueVision Media, Inc. CL A 92047K107 1,838 288,980 SH N/A Other N/A 257,825 31,155 Vanguard Total Stock STK MRK ETF 922908769 261 3,800 SH N/A Other N/A 3,800 Verizon Communications Inc. COM 92343V104 1,065 27,636 SH N/A Other N/A 24,586 3,050 Vitesse Semiconductor Corporation COM NEW 928497304 4,765 986,550 SH N/A Defined N/A 986,550 Vitesse Semiconductor Corporation COM NEW 928497304 6,777 1,403,167 SH N/A Other N/A 1,400,902 2,265 Vivus Inc. COM 928551100 2,114 341,580 SH N/A Other N/A 305,815 35,765 Wells Fargo & Co. COM 949746101 1,109 34,988 SH N/A Other N/A 31,173 3,815 Wireless Ronin Technologies Inc. COM 97652A203 475 368,525 SH N/A Other N/A 313,675 54,850 REPORT SUMMARY 105 359,195
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