0000892712-13-000063.txt : 20130131 0000892712-13-000063.hdr.sgml : 20130131 20130131171632 ACCESSION NUMBER: 0000892712-13-000063 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130131 DATE AS OF CHANGE: 20130131 EFFECTIVENESS DATE: 20130131 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: 13563635 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: December 31, 2012 ----------------- 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 1/25/13 ---------------------------------------------------------------------- (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: 98 --------- Form 13F Information Table Value Total: $ 217,848 -------- (thousands) List of Other Included Managers: None 3 KOPP INVESTMENT ADVISORS, LLC FORM 13F INFORMATION TABLE DECEMBER 31, 2012
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 814 8,771 SH N/A Other N/A 7,716 1,055 Accelrys, Inc. COM 00430U103 1,316 145,435 SH N/A Other N/A 145,435 Adept Technologies Inc. COM NEW 006854202 759 291,900 SH N/A Defined N/A 291,900 Adept Technologies Inc. COM NEW 006854202 226 86,800 SH N/A Other N/A 86,800 Aflac Incorporated COM 001055102 873 16,441 SH N/A Other N/A 14,261 2,180 Akorn, Inc. COM 009728106 3,206 240,000 SH N/A Defined N/A 240,000 Akorn, Inc. COM 009728106 13,678 1,023,770 SH N/A Other N/A 978,455 45,315 Alcatel Lucent Spons ADR SPONSORED ADR 013904305 3,491 2,511,584 SH N/A Other N/A 2,229,259 282,325 Align Technology Inc. COM 016255101 341 12,276 SH N/A Other N/A 12,276 Alkermes PLC SHS G01767105 608 32,820 SH N/A Other N/A 32,820 Amarin Corp. PLC ADS SPONSORED ADR NEW 023111206 1,084 134,000 SH N/A Defined N/A 134,000 Amarin Corp. PLC ADS SPONSORED ADR NEW 023111206 4,360 538,959 SH N/A Other N/A 522,734 16,225 American Express Company COM 025816109 863 15,017 SH N/A Other N/A 12,857 2,160 Angiodynamics, Inc. COM 03475V101 2,011 182,954 SH N/A Other N/A 160,101 22,853 Apache Corp. COM 037411105 586 7,470 SH N/A Other N/A 6,325 1,145 Array Biopharma Inc. COM 04269X105 3,765 1,012,000 SH N/A Defined N/A 1,012,000 Array Biopharma Inc. COM 04269X105 8,175 2,197,509 SH N/A Other N/A 2,085,319 112,190 AtriCure Inc. COM 04963C209 630 91,265 SH N/A Other N/A 91,265 Autozone Inc. COM 053332102 753 2,125 SH N/A Other N/A 1,830 295 BlackRock Inc. COM 09247X101 939 4,545 SH N/A Other N/A 3,940 605 Cardiome Pharma Corp. COM NEW 14159U202 33 86,400 SH N/A Other N/A 86,400 Cepheid Inc. COM 15670R107 1,098 32,415 SH N/A Other N/A 32,415 Constant Contact, Inc. COM 210313102 1,879 132,196 SH N/A Other N/A 120,896 11,300 Covidien PLC Ordinary Shares SHS G2554F113 498 8,630 SH N/A Other N/A 8,630 Cummins Inc. COM 231021106 834 7,700 SH N/A Other N/A 6,635 1,065 Datalink Corp. COM 237934104 3,722 435,285 SH N/A Other N/A 394,575 40,710 Eastman Chemical Co. COM 277432100 984 14,455 SH N/A Other N/A 12,365 2,090 Emcore Corp. COM NEW 290846203 5,757 1,338,750 SH N/A Defined N/A 1,338,750 Emcore Corp. COM NEW 290846203 5,248 1,220,400 SH N/A Other N/A 1,215,264 5,136 Exxon Mobil Corporation COM 30231G102 868 10,034 SH N/A Other N/A 8,605 1,429 Finisar Corp. COM NEW 31787A507 6,771 415,625 SH N/A Defined N/A 415,625 Finisar Corp. COM NEW 31787A507 12,012 737,405 SH N/A Other N/A 703,237 34,168 Fluidigm Corp. COM 34385P108 384 26,840 SH N/A Other N/A 26,840 GenMark Diagnostics, Inc. COM 372309104 666 74,045 SH N/A Other N/A 74,045 Gentherm Inc. COM 37253A103 2,269 170,605 SH N/A Other N/A 148,580 22,025 Integrated Device Technology Inc. COM 458118106 3,290 450,735 SH N/A Other N/A 390,560 60,175 International Business Machines Corp. COM 459200101 819 4,274 SH N/A Other N/A 3,654 620 iShares Russell 2000 Growth RUSL 2000 GROW 464287648 394 4,135 SH N/A Other N/A 4,135 JDS Uniphase Corp. COM PAR $0.001 46612J507 1,350 100,000 SH N/A Defined N/A 100,000 JDS Uniphase Corp. COM PAR $0.001 46612J507 4,277 316,796 SH N/A Other N/A 307,971 8,825 Johnson & Johnson COM 478160104 767 10,943 SH N/A Other N/A 9,538 1,405 Life Technologies Corp. COM 53217V109 371 7,574 SH N/A Other N/A 7,574 Ligand Pharmaceuticals Inc. COM NEW 53220K504 783 37,765 SH N/A Other N/A 37,765 Marriott International Inc. CL A 571903202 821 22,015 SH N/A Other N/A 18,881 3,134 Masimo Corporation COM 574795100 604 28,752 SH N/A Other N/A 28,752 Mindspeed Technologies, Inc. COM NEW 602682205 3,182 680,000 SH N/A Defined N/A 680,000 Mindspeed Technologies, Inc. COM NEW 602682205 8,733 1,866,120 SH N/A Other N/A 1,762,730 103,390 National Oilwell Varco Inc. COM 637071101 766 11,200 SH N/A Other N/A 9,645 1,555 Neogen Corp. COM 640491106 474 10,450 SH N/A Other N/A 10,450 NeoGenomics Inc. COM NEW 64049M209 460 185,480 SH N/A Other N/A 185,480 Northern Oil & Gas Inc. COM 665531109 662 39,341 SH N/A Other N/A 36,511 2,830 Novadaq Technologies Inc. COM 66987G102 279 31,425 SH N/A Other N/A 31,425 Nuvasive Inc. COM 670704105 388 25,074 SH N/A Other N/A 21,764 3,310 Oclaro, Inc. COM NEW 67555N206 4,485 2,857,000 SH N/A Defined N/A 2,857,000 Oclaro, Inc. COM NEW 67555N206 5,742 3,657,308 SH N/A Other N/A 3,617,013 40,295 Omnicell Inc. COM 68213N109 4,991 335,642 SH N/A Other N/A 310,167 25,475 Oplink Communications, Inc. COM NEW 68375Q403 1,480 95,000 SH N/A Defined N/A 95,000 Oplink Communications, Inc. COM NEW 68375Q403 3,169 203,417 SH N/A Other N/A 201,242 2,175 OraSure Technologies Inc. COM 68554V108 217 30,220 SH N/A Other N/A 30,220 Orexigen Therapeutics Inc. COM 686164104 725 138,005 SH N/A Other N/A 138,005 Pepsico Inc. COM 713448108 715 10,443 SH N/A Other N/A 8,978 1,465 PMC-Sierra Inc. COM 69344F106 104 20,000 SH N/A Other N/A 20,000 The Procter & Gamble Company COM 742718109 698 10,283 SH N/A Other N/A 9,003 1,280 Quidel Corp. COM 74838J101 4,395 235,384 SH N/A Other N/A 220,604 14,780 Regeneron Pharmaceuticals, Inc. COM 75886F107 1,609 9,405 SH N/A Other N/A 8,340 1,065 Rochester Medical Corp. COM 771497104 977 96,915 SH N/A Other N/A 96,915 RTI Biologics, Inc. COM 74975N105 1,623 380,000 SH N/A Defined N/A 380,000 RTI Biologics, Inc. COM 74975N105 13,548 3,172,774 SH N/A Other N/A 2,994,249 178,525 Ruckus Wireless Inc. COM 781220108 1,511 67,053 SH N/A Other N/A 59,373 7,680 Saba Software COM NEW 784932600 3,249 371,690 SH N/A Other N/A 330,975 40,715 Sangamo Biosciences, Inc. COM 800677106 541 90,000 SH N/A Defined N/A 90,000 Sangamo Biosciences, Inc. COM 800677106 1,218 202,700 SH N/A Other N/A 202,700 Skyworks Solutions COM 83088M102 2,641 130,074 SH N/A Other N/A 113,679 16,395 Solta Medical Inc. COM 83438K103 74 27,795 SH N/A Other N/A 27,795 Southern Company COM 842587107 822 19,212 SH N/A Other N/A 16,557 2,655 Southwest Airlines Co. COM 844741108 837 81,696 SH N/A Other N/A 70,036 11,660 SPDR Trust Ser 1 TR UNIT 78462F103 830 5,825 SH N/A Other N/A 5,825 Spectranetics Corp. COM 84760C107 2,944 199,308 SH N/A Other N/A 189,008 10,300 Staar Surgical Co. COM PAR $0.01 852312305 24 4,000 SH N/A Defined N/A 4,000 Staar Surgical Co. COM PAR $0.01 852312305 1,683 275,844 SH N/A Other N/A 260,929 14,915 Streamline Health Solutions, Inc. COM 86323X106 935 164,320 SH N/A Other N/A 164,320 SunOpta, Inc. COM 8676EP108 7,267 1,290,758 SH N/A Other N/A 1,209,253 81,505 Superconductor Technologies, Inc. COM NEW 867931305 1,743 5,867,733 SH N/A Defined N/A 5,867,733 Superconductor Technologies, Inc. COM NEW 867931305 865 2,911,202 SH N/A Other N/A 2,908,602 2,600 Synergetics USA, Inc. COM 87160G107 192 40,000 SH N/A Defined N/A 40,000 Synergetics USA, Inc. COM 87160G107 6,715 1,398,868 SH N/A Other N/A 1,289,903 108,965 TearLab Corp. COM 878193101 5,549 1,353,443 SH N/A Other N/A 1,250,188 103,255 Thoratec Corp. COM NEW 885175307 1,397 37,238 SH N/A Other N/A 34,513 2,725 Triquint Semiconductor Inc. COM 89674K103 892 184,605 SH N/A Other N/A 173,279 11,326 Uroplasty Inc. COM NEW 917277204 676 207,942 SH N/A Other N/A 207,942 V F Corporation COM 918204108 713 4,725 SH N/A Other N/A 4,030 695 Vanguard Total Stock TOTAL STK MKT 922908769 227 3,100 SH N/A Other N/A 3,100 Verizon Communications, Inc. COM 92343V104 845 19,521 SH N/A Other N/A 16,761 2,760 Vitesse Semiconductor Corporation COM NEW 928497304 2,211 991,300 SH N/A Defined N/A 991,300 Vitesse Semiconductor Corporation COM NEW 928497304 3,502 1,570,188 SH N/A Other N/A 1,569,388 800 Vivus Inc. COM 928551100 2,208 164,526 SH N/A Other N/A 148,126 16,400 Volcano Corporation COM 928645100 275 11,632 SH N/A Other N/A 11,632 Wells Fargo & Co. COM 949746101 863 25,243 SH N/A Other N/A 21,853 3,390 REPORT SUMMARY 98 217,848
4