0000892712-11-000626.txt : 20110727
0000892712-11-000626.hdr.sgml : 20110727
20110727172421
ACCESSION NUMBER: 0000892712-11-000626
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110630
FILED AS OF DATE: 20110727
DATE AS OF CHANGE: 20110727
EFFECTIVENESS DATE: 20110727
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: 11990994
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
kia13f.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Quarter Ended: June 30, 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
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Address: 8400 Normandale Lake Blvd., Suite 1450
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Bloomington, MN 55437
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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 July 27, 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
1
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 101
--------
Form 13F Information Table Value Total: $ 325,973
--------
(thousands)
List of Other Included Managers: None
2
KOPP INVESTMENT ADVISORS, LLC
FORM 13F INFORMATION TABLE
JUNE 30, 2011
VOTING AUTHORITY
----------------
TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER
NAME OF ISSUER CLASS CUSIP (X$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
-------------- -------- ----- ------- ------- --- ---- ------- -------- ---- ------ ----
3M Company COM 88579Y101 1,030 10,862 SH N/A Other N/A 9,727 1,135
Adept Tech Inc. COM NEW 006854202 2,367 583,600 SH N/A Defined N/A 583,600
Adept Tech Inc. COM NEW 006854202 1,278 315,200 SH N/A Other N/A 315,200
Aflac Incorporated COM 001055102 963 20,631 SH N/A Other N/A 18,316 2,315
Akorn, Inc. COM 009728106 3,080 440,000 SH N/A Defined N/A 440,000
Akorn, Inc. COM 009728106 17,114 2,444,880 SH N/A Other N/A 2,255,285 189,595
Amarin Corp. PLC ADS SPONS ADR NEW 023111206 5,339 370,000 SH N/A Defined N/A 370,000
Amarin Corp. PLC ADS SPONS ADR NEW 023111206 14,444 1,000,983 SH N/A Other N/A 949,733 51,250
American Express Company COM 025816109 1,146 22,170 SH N/A Other N/A 19,395 2,775
Amerigon Inc. COM 03070L300 2,748 158,098 SH N/A Other N/A 140,553 17,545
Angiodynamics, Inc. COM 03475V101 4,526 318,062 SH N/A Other N/A 278,954 39,108
Array Biopharma Inc. COM 04269X105 2,464 1,100,000 SH N/A Defined N/A 1,100,000
Array Biopharma Inc. COM 04269X105 4,964 2,216,150 SH N/A Other N/A 2,006,116 210,034
AtriCure Inc. COM 04963C209 306 23,735 SH N/A Other N/A 23,735
AVI BioPharma, Inc. COM 002346104 329 229,790 SH N/A Other N/A 229,790
Biosante Pharmaceuticals Inc. COM NEW 09065V203 5,398 1,962,760 SH N/A Defined N/A 1,962,760
Biosante Pharmaceuticals Inc. COM NEW 09065V203 5,617 2,042,592 SH N/A Other N/A 2,031,147 11,445
Caliper Life Sciences, Inc. COM 130872104 1,338 165,000 SH N/A Defined N/A 165,000
Caliper Life Sciences, Inc. COM 130872104 8,488 1,046,663 SH N/A Other N/A 927,970 118,693
Cardiome Pharma Corp. COM NEW 14159U202 534 120,000 SH N/A Defined N/A 120,000
Cardiome Pharma Corp. COM NEW 14159U202 7,135 1,603,397 SH N/A Other N/A 1,489,547 113,850
Cepheid Inc. COM 15670R107 438 12,647 SH N/A Other N/A 12,452 195
Comverge Inc. COM 205859101 2,217 746,383 SH N/A Other N/A 652,393 93,990
ConocoPhillips COM 20825C104 1,014 13,492 SH N/A Other N/A 11,877 1,615
Constant Contact, Inc. COM 210313102 2,237 88,143 SH N/A Other N/A 78,178 9,965
Datalink Corp. COM 237934104 399 57,380 SH N/A Other N/A 45,345 12,035
DaVita Inc. COM 23918K108 215 2,480 SH N/A Other N/A 2,480
Deere & Co. COM 244199105 1,095 13,283 SH N/A Other N/A 11,678 1,605
Dow Chemical Co. COM 260543103 1,037 28,802 SH N/A Other N/A 24,922 3,880
Durect Corp. COM 266605104 148 72,783 SH N/A Other N/A 67,483 5,300
DUSA Pharmaceuticals Inc. COM 266898105 124 20,000 SH N/A Other N/A 20,000
Elan Corporation PLC ADR ADR 284131208 148 12,980 SH N/A Other N/A 12,980
Emcore Corp. COM 290846104 14,673 5,355,000 SH N/A Defined N/A 5,355,000
Emcore Corp. COM 290846104 10,763 3,928,147 SH N/A Other N/A 3,828,107 100,040
EnteroMedics Inc. COM NEW 29365M208 80 29,630 SH N/A Other N/A 29,630
Exxon Mobil Corporation COM 30231G102 1,103 13,554 SH N/A Other N/A 11,919 1,635
Finisar Corp. COM NEW 31787A507 6,896 382,500 SH N/A Defined N/A 382,500
Finisar Corp. COM NEW 31787A507 10,981 609,059 SH N/A Other N/A 586,871 22,188
FMC Technologies, Inc. COM 30249U101 1,232 27,511 SH N/A Other N/A 24,071 3,440
Green Mountain Coffee Roasters, Inc. COM 393122106 625 7,007 SH N/A Other N/A 6,387 620
Harmonic Inc. COM 413160102 217 30,000 SH N/A Defined N/A 30,000
Harmonic Inc. COM 413160102 14 2,000 SH N/A Other N/A 2,000
Harvard Bioscience, Inc. COM 416906105 457 85,655 SH N/A Other N/A 85,655
HealthStream, Inc. COM 42222N103 467 35,195 SH N/A Other N/A 35,195
Healthways Inc. COM 422245100 286 18,845 SH N/A Other N/A 18,845
Icad Inc. COM 44934S107 142 133,760 SH N/A Other N/A 100,340 33,420
International Business Machines Corp. COM 459200101 1,145 6,675 SH N/A Other N/A 5,875 800
Iris International, Inc. COM 46270W105 1,399 140,000 SH N/A Defined N/A 140,000
Iris International, Inc. COM 46270W105 5,567 557,228 SH N/A Other N/A 497,998 59,230
Johnson & Johnson COM 478160104 859 12,918 SH N/A Other N/A 11,483 1,435
Johnson Controls Inc. COM 478366107 1,308 31,403 SH N/A Other N/A 27,743 3,660
Luminex Corp. COM 55027E102 251 12,030 SH N/A Other N/A 11,910 120
Marriott Intl. Inc. CL A 571903202 1,090 30,726 SH N/A Other N/A 26,927 3,799
Medtox Scientific Inc. COM NEW 584977201 349 20,000 SH N/A Defined N/A 20,000
Medtox Scientific Inc. COM NEW 584977201 13,907 796,059 SH N/A Other N/A 734,984 61,075
Mindspeed Technologies, Inc. COM NEW 602682205 4,520 565,000 SH N/A Defined N/A 565,000
Mindspeed Technologies, Inc. COM NEW 602682205 8,037 1,004,570 SH N/A Other N/A 939,445 65,125
MIPS Technologies, Inc. COM 604567107 3,072 444,535 SH N/A Other N/A 386,990 57,545
NetScout Systems Inc. COM 64115T104 3,945 188,862 SH N/A Other N/A 163,428 25,434
Network Equipment Technologies, Inc. COM 641208103 5,962 2,709,800 SH N/A Defined N/A 2,709,800
Network Equipment Technologies, Inc. COM 641208103 3,708 1,685,626 SH N/A Other N/A 1,578,256 107,370
Northern Oil & Gas Inc. COM 665531109 1,672 75,480 SH N/A Other N/A 67,560 7,920
Northern Trust COM 665859104 795 17,300 SH N/A Other N/A 15,230 2,070
Nuvasive Inc. COM 670704105 2,150 65,396 SH N/A Other N/A 57,321 8,075
Oclaro, Inc. COM NEW 67555N206 5,645 840,000 SH N/A Defined N/A 840,000
Oclaro, Inc. COM NEW 67555N206 5,684 845,886 SH N/A Other N/A 822,918 22,968
Omnicell Inc. COM 68213N109 204 13,065 SH N/A Other N/A 13,065
Oplink Communications, Inc. COM NEW 68375Q403 2,264 121,645 SH N/A Defined N/A 121,645
Oplink Communications, Inc. COM NEW 68375Q403 4,445 238,865 SH N/A Other N/A 238,865
OraSure Technologies COM 68554V108 202 23,645 SH N/A Other N/A 23,645
Pepsico Inc. COM 713448108 858 12,188 SH N/A Other N/A 10,738 1,450
PLX Technology, Inc. COM 693417107 243 70,000 SH N/A Defined N/A 70,000
PLX Technology, Inc. COM 693417107 3,599 1,037,204 SH N/A Other N/A 935,319 101,885
PMC-Sierra Inc. COM 69344F106 151 20,000 SH N/A Other N/A 20,000
PowerShares QQQ Trust UNIT SER 1 73935A104 248 4,350 SH N/A Other N/A 4,350
The Procter & Gamble Company COM 742718109 774 12,173 SH N/A Other N/A 10,723 1,450
Quidel Corp. COM 74838J101 3,025 199,651 SH N/A Other N/A 179,346 20,305
Regeneron Pharmaceuticals, Inc. COM 75886F107 2,722 48,000 SH N/A Defined N/A 48,000
Regeneron Pharmaceuticals, Inc. COM 75886F107 9,692 170,909 SH N/A Other N/A 164,634 6,275
RF Monolithics Inc. COM 74955F106 14 10,000 SH N/A Other N/A 10,000
RTI Biologics, Inc. COM 74975N105 732 270,000 SH N/A Defined N/A 270,000
RTI Biologics, Inc. COM 74975N105 9,380 3,461,417 SH N/A Other N/A 3,166,520 294,897
Sangamo Biosciences, Inc. COM 800677106 5,147 873,790 SH N/A Defined N/A 873,790
Sangamo Biosciences, Inc. COM 800677106 7,104 1,206,104 SH N/A Other N/A 1,171,174 34,930
Smith Micro Software, Inc. COM 832154108 1,890 449,037 SH N/A Other N/A 393,600 55,437
Southern Company COM 842587107 1,069 26,477 SH N/A Other N/A 23,367 3,110
Southwest Airlines Co. COM 844741108 813 71,156 SH N/A Other N/A 63,041 8,115
SPDR Trust Ser 1 TR UNIT 78462F103 759 5,750 SH N/A Other N/A 5,750
Staples Inc. COM 855030102 731 46,260 SH N/A Other N/A 40,680 5,580
SunOpta, Inc. COM 8676EP108 8,561 1,204,077 SH N/A Other N/A 1,125,018 79,059
Superconductor Technologies, Inc. COM NEW 867931305 10,429 4,534,400 SH N/A Defined N/A 4,534,400
Superconductor Technologies, Inc. COM NEW 867931305 4,684 2,036,367 SH N/A Other N/A 2,033,767 2,600
Synergetics USA, Inc. COM 87160G107 6,542 1,187,335 SH N/A Other N/A 1,064,716 122,619
Thoratec Corp. COM NEW 885175307 2,277 69,392 SH N/A Other N/A 63,612 5,780
Titan Machinery Inc. COM 88830R101 4,761 165,420 SH N/A Other N/A 146,020 19,400
ValueVision Media, Inc. CL A 92047K107 2,266 296,195 SH N/A Other N/A 265,095 31,100
Vanguard Total Stock STK MRK ETF 922908769 260 3,800 SH N/A Other N/A 3,800
Verizon Communications, Inc. COM 92343V104 968 25,996 SH N/A Other N/A 22,946 3,050
Vitesse Semiconductor Corporation COM NEW 928497304 3,926 986,550 SH N/A Defined N/A 986,550
Vitesse Semiconductor Corporation COM NEW 928497304 5,631 1,414,884 SH N/A Other N/A 1,412,619 2,265
Wells Fargo & Co. COM 949746101 921 32,828 SH N/A Other N/A 29,013 3,815
SUMMARY 101 325,973
3