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 ------------------------------------------------------- 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 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
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