0000892712-11-000932.txt : 20111028 0000892712-11-000932.hdr.sgml : 20111028 20111028160542 ACCESSION NUMBER: 0000892712-11-000932 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111028 DATE AS OF CHANGE: 20111028 EFFECTIVENESS DATE: 20111028 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: 111165339 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: September 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 October 28, 2011 -------------------------------------------------------------------- (Signature) City/State (Date) 1 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: 97 --------- Form 13F Information Table Value Total: $ 253,251 ------------- (thousands) List of Other Included Managers: None 3 KOPP INVESTMENT ADVISORS, LLC FORM 13F INFORMATION TABLE SEPTEMBER 30, 2011
VOTING AUTHORITY TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER NAME OF ISSUER CLASS CUSIP (X$1000) PRN AMT PRN CALL DSCRET MANAGERS SOLE SHARED NONE ---------- ---- ------ ----- ------- ------- --- ---- ------ -------- ---- ------ ---- 3M Company COM 88579Y101 759 10,567 SH N/A Other N/A 9,477 1,090 Adept Tech Inc. COM NEW 006854202 1,866 579,600 SH N/A Defined N/A 579,600 Adept Tech Inc. COM NEW 006854202 980 304,500 SH N/A Other N/A 304,500 Aflac Incorporated COM 001055102 700 20,041 SH N/A Other N/A 17,831 2,210 Akorn, Inc. COM 009728106 3,432 440,000 SH N/A Defined N/A 440,000 Akorn, Inc. COM 009728106 16,955 2,173,675 SH N/A Other N/A 2,022,000 151,675 Amarin Corp. PLC ADS SPONS ADR NEW 023111206 2,714 295,000 SH N/A Defined N/A 295,000 Amarin Corp. PLC ADS SPONS ADR NEW 023111206 9,153 994,938 SH N/A Other N/A 947,363 47,575 American Express Company COM 025816109 953 21,235 SH N/A Other N/A 18,620 2,615 Amerigon Inc. COM 03070L300 1,983 155,798 SH N/A Other N/A 139,658 16,140 Angiodynamics, Inc. COM 03475V101 3,977 302,652 SH N/A Other N/A 268,624 34,028 Apache Corp. COM 037411105 777 9,685 SH N/A Other N/A 8,465 1,220 Array Biopharma Inc. COM 04269X105 2,083 1,068,000 SH N/A Defined N/A 1,068,000 Array Biopharma Inc. COM 04269X105 3,875 1,987,320 SH N/A Other N/A 1,813,141 174,179 AtriCure Inc. COM 04963C209 235 24,160 SH N/A Other N/A 24,160 AVI BioPharma, Inc. COM 002346104 252 224,720 SH N/A Other N/A 224,720 Biosante Pharmaceuticals Inc. COM NEW 09065V203 5,325 2,335,448 SH N/A Defined N/A 2,335,448 Biosante Pharmaceuticals Inc. COM NEW 09065V203 6,947 3,046,997 SH N/A Other N/A 2,963,267 83,730 Caliper Life Sciences, Inc. COM 130872104 1,571 150,000 SH N/A Defined N/A 150,000 Caliper Life Sciences, Inc. COM 130872104 9,131 872,117 SH N/A Other N/A 782,907 89,210 Cardiome Pharma Corp. COM NEW 14159U202 230 70,000 SH N/A Defined N/A 70,000 Cardiome Pharma Corp. COM NEW 14159U202 5,085 1,545,502 SH N/A Other N/A 1,439,872 105,630 Cepheid Inc. COM 15670R107 453 11,672 SH N/A Other N/A 11,507 165 Comverge Inc. COM 205859101 1,340 736,194 SH N/A Other N/A 650,088 86,106 Constant Contact, Inc. COM 210313102 1,475 85,318 SH N/A Other N/A 76,363 8,955 Datalink Corp. COM 237934104 489 71,895 SH N/A Other N/A 57,940 13,955 Deere & Co COM 244199105 828 12,828 SH N/A Other N/A 11,288 1,540 Dow Chemical Co. COM 260543103 626 27,887 SH N/A Other N/A 24,172 3,715 Elan Corporation PLC ADR ADR 284131208 151 14,310 SH N/A Other N/A 14,310 Emcore Corp. COM 290846104 5,301 5,355,000 SH N/A Defined N/A 5,355,000 Emcore Corp. COM 290846104 3,861 3,900,337 SH N/A Other N/A 3,809,152 91,185 EnteroMedics Inc. COM NEW 29365M208 51 29,630 SH N/A Other N/A 29,630 Exxon Mobil Corporation COM 30231G102 952 13,105 SH N/A Other N/A 11,545 1,560 Finisar Corp. COM NEW 31787A507 6,698 381,875 SH N/A Defined N/A 381,875 Finisar Corp. COM NEW 31787A507 10,932 623,266 SH N/A Other N/A 602,731 20,535 Gilead Sciences Inc. COM 375558103 363 9,355 SH N/A Other N/A 9,355 Green Mountain Coffee Roasters, Inc. COM 393122106 314 3,374 SH N/A Other N/A 3,086 288 Harvard Bioscience, Inc. COM 416906105 270 64,075 SH N/A Other N/A 64,075 HealthStream, Inc. COM 42222N103 454 35,375 SH N/A Other N/A 35,375 Heckmann Corp. COM 422680108 325 61,510 SH N/A Other N/A 56,910 4,600 International Business Machines Corp. COM 459200101 1,126 6,440 SH N/A Other N/A 5,675 765 Iris International, Inc COM 46270W105 718 80,000 SH N/A Defined N/A 80,000 Iris International, Inc COM 46270W105 6,311 703,550 SH N/A Other N/A 637,355 66,195 JDS Uniphase Corp. COM PAR $0.001 46612J507 461 46,258 SH N/A Other N/A 46,258 Johnson & Johnson COM 478160104 793 12,458 SH N/A Other N/A 11,103 1,355 Johnson Controls Inc. COM 478366107 802 30,413 SH N/A Other N/A 26,888 3,525 Marriott Intl. Inc. CL A 571903202 809 29,698 SH N/A Other N/A 26,074 3,624 Masimo Corporation COM 574795100 225 10,380 SH N/A Other N/A 10,380 Medtox Scientific Inc. COM NEW 584977201 262 20,000 SH N/A Defined N/A 20,000 Medtox Scientific Inc. COM NEW 584977201 10,609 810,479 SH N/A Other N/A 753,389 57,090 Mindspeed Technologies, Inc. COM NEW 602682205 3,172 610,000 SH N/A Defined N/A 610,000 Mindspeed Technologies, Inc. COM NMEW 602682205 5,705 1,097,090 SH N/A Other N/A 1,034,820 62,270 MIPS Technologies, Inc. COM 604567107 2,083 430,300 SH N/A Other N/A 376,220 54,080 National Oilwell Varco Inc. COM 637071101 779 15,215 SH N/A Other N/A 13,370 1,845 Network Equipment Technologies, Inc. COM 641208103 5,373 2,769,800 SH N/A Defined N/A 2,769,800 Network Equipment Technologies, Inc. COM 641208103 3,333 1,718,281 SH N/A Other N/A 1,619,551 98,730 Northern Oil & Gas Inc. COM 665531109 1,467 75,655 SH N/A Other N/A 67,845 7,810 Northern Trust COM 665859104 619 17,710 SH N/A Other N/A 15,725 1,985 Nuvasive Inc COM 670704105 768 45,021 SH N/A Other N/A 39,871 5,150 Oclaro, Inc. COM NEW 67555N206 3,422 940,000 SH N/A Defined N/A 940,000 Oclaro, Inc. COM NEW 67555N206 3,119 856,871 SH N/A Other N/A 837,118 19,753 Omnicell Inc. COM 68213N109 221 16,024 SH N/A Other N/A 16,024 Oplink Communications, Inc. COM NEW 68375Q403 2,682 177,145 SH N/A Defined N/A 177,145 Oplink Communications, Inc. COM NEW 68375Q403 3,666 242,165 SH N/A Other N/A 242,165 OraSure Technologies COM 68554V108 199 24,940 SH N/A Other N/A 24,940 Pepsico Inc. COM 713448108 740 11,953 SH N/A Other N/A 10,558 1,395 PLX Technology, Inc. COM 693417107 151 50,000 SH N/A Defined N/A 50,000 PLX Technology, Inc. COM 693417107 2,908 965,954 SH N/A Other N/A 870,944 95,010 PMC-Sierra Inc. COM 69344F106 120 20,000 SH N/A Other N/A 20,000 The Procter & Gamble Company COM 742718109 740 11,718 SH N/A Other N/A 10,348 1,370 Quidel Corp. COM 74838J101 3,129 191,156 SH N/A Other N/A 174,126 17,030 Regeneron Pharmaceuticals, Inc. COM 75886F107 873 15,000 SH N/A Defined N/A 15,000 Regeneron Pharmaceuticals, Inc. COM 75886F107 7,273 124,963 SH N/A Other N/A 120,843 4,120 RF Monolithics Inc. COM 74955F106 8 10,000 SH N/A Other N/A 10,000 RTI Biologics, Inc. COM 74975N105 823 250,000 SH N/A Defined N/A 250,000 RTI Biologics, Inc. COM 74975N105 11,454 3,481,602 SH N/A Other N/A 3,203,910 277,692 Sangamo Biosciences, Inc. COM 800677106 3,518 808,790 SH N/A Defined N/A 808,790 Sangamo Biosciences, Inc. COM 800677106 5,126 1,178,359 SH N/A Other N/A 1,146,239 32,120 Southern Company COM 842587107 1,082 25,542 SH N/A Other N/A 22,582 2,960 Southwest Airlines Co COM 844741108 540 67,171 SH N/A Other N/A 59,406 7,765 SPDR Trust Ser 1 TR UNIT 78462F103 651 5,750 SH N/A Other N/A 5,750 Staar Surgical Co. COM PAR $0.01 852312305 2,144 274,935 SH N/A Other N/A 255,170 19,765 Staples Inc COM 855030102 582 43,740 SH N/A Other N/A 38,395 5,345 SunOpta, Inc. COM 8676EP108 5,566 1,129,012 SH N/A Other N/A 1,055,998 73,014 Superconductor Technologies, Inc. COM NEW 867931305 6,802 4,534,400 SH N/A Defined N/A 4,534,400 Superconductor Technologies, Inc. COM NEW 867931305 3,060 2,040,217 SH N/A Other N/A 2,037,617 2,600 Synergetics USA, Inc. COM 87160G107 377 70,000 SH N/A Defined N/A 70,000 Synergetics USA, Inc. COM 87160G107 6,975 1,294,151 SH N/A Other N/A 1,179,392 114,759 Thoratec Corp. COM NEW 885175307 2,063 63,217 SH N/A Other N/A 58,707 4,510 Titan Machinery Inc. COM 88830R101 2,877 160,730 SH N/A Other N/A 142,640 18,090 Triquint Semiconductor Inc. COM 89674K103 1,621 322,810 SH N/A Other N/A 284,255 38,555 ValueVision Media, Inc. CL A 92047K107 679 287,855 SH N/A Other N/A 259,505 28,350 Vanguard Total Stock TOTAL STK MKT 922908769 219 3,800 SH N/A Other N/A 3,800 Verizon Communications, Inc. COM 92343V104 929 25,241 SH N/A Other N/A 22,286 2,955 Vitesse Semiconductor Corporation COM NEW 928497304 2,896 981,550 SH N/A Defined N/A 981,550 Vitesse Semiconductor Corporation COM NEW 928497304 3,968 1,345,209 SH N/A Other N/A 1,342,944 2,265 Wells Fargo & Co. COM 949746101 767 31,788 SH N/A Other N/A 28,133 3,655 SUMMARY 97 253,251
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