0000928204-16-000008.txt : 20160212
0000928204-16-000008.hdr.sgml : 20160212
20160212112125
ACCESSION NUMBER: 0000928204-16-000008
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20151231
FILED AS OF DATE: 20160212
DATE AS OF CHANGE: 20160212
EFFECTIVENESS DATE: 20160212
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: WILLIAM HARRIS INVESTORS INC
CENTRAL INDEX KEY: 0000928204
IRS NUMBER: 363488341
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-04436
FILM NUMBER: 161416239
BUSINESS ADDRESS:
STREET 1: 191 NORTH WACKER DRIVE
STREET 2: SUITE 1500
CITY: CHICAGO
STATE: IL
ZIP: 60606
BUSINESS PHONE: 3126210590
MAIL ADDRESS:
STREET 1: 191 NORTH WACKER DRIVE
STREET 2: SUITE 1500
CITY: CHICAGO
STATE: IL
ZIP: 60606
FORMER COMPANY:
FORMER CONFORMED NAME: HARRIS WILLIAM INVESTORS INC
DATE OF NAME CHANGE: 19990407
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0000928204
XXXXXXXX
12-31-2015
12-31-2015
WILLIAM HARRIS INVESTORS INC
191 NORTH WACKER DRIVE
SUITE 1500
CHICAGO
IL
60606
13F HOLDINGS REPORT
028-04436
N
Marc Bassewitz
Vice President & General Counsel
312-604-1998
/s/ Marc Bassewitz
Chicago
IL
02-12-2016
1
159
416405
false
1
0001502631
028-15243
Orinda Asset Management LLC
INFORMATION TABLE
2
filing13f-1215.xml
3M COMPANY
COM
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128
850
SH
SOLE
0
850
0
3M COMPANY
COM
88579Y101
194
1288
SH
DFND
0
1200
88
ADVANCE AUTO PARTS, INC
COM
00751Y106
5208
34603
SH
SOLE
34603
0
0
ADVANCE AUTO PARTS, INC
COM
00751Y106
109
726
SH
DFND
01
726
0
0
ALPHABET INC. CLASS C
COM
02079K107
549
724
SH
SOLE
0
724
0
AMERISOURCEBERGEN CORP
COM
03073E105
7410
71445
SH
SOLE
71160
285
0
AMERISOURCEBERGEN CORP
COM
03073E105
155
1493
SH
DFND
01
1493
0
0
ANTARES PHARMA, INC
COM
036642106
1924
1590412
SH
SOLE
1550412
40000
0
ANTARES PHARMA, INC
COM
036642106
39
32537
SH
DFND
01
32537
0
0
APOLLO RESIDENTIAL MTG, INC
COM
03763V102
465
38900
SH
SOLE
0
38900
0
APTARGROUP, INC
COM
038336103
1789
24622
SH
SOLE
0
24622
0
AT&T, INC
COM
00206R102
170
4931
SH
SOLE
0
4931
0
AT&T, INC
COM
00206R102
69
2000
SH
DFND
0
2000
0
AVID TECH, INC
COM
05367P100
179
24500
SH
SOLE
0
24500
0
AVID TECH, INC
COM
05367P100
41
5560
SH
DFND
0
5560
0
BARNES & NOBLE ED, INC
COM
06777U101
7021
705658
SH
SOLE
705658
0
0
BARNES & NOBLE ED, INC
COM
06777U101
147
14808
SH
DFND
01
14808
0
0
BARNES & NOBLE, INC
COM
067774109
5888
675986
SH
SOLE
675986
0
0
BARNES & NOBLE, INC
COM
067774109
124
14186
SH
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01
14186
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0
BEACON ROOFING SUPPLY, INC
COM
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10222
248222
SH
SOLE
248222
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0
BEACON ROOFING SUPPLY, INC
COM
073685109
215
5209
SH
DFND
01
5209
0
0
BED BATH & BEYOND, INC
COM
075896100
9539
197702
SH
SOLE
197702
0
0
BED BATH & BEYOND, INC
COM
075896100
200
4150
SH
DFND
01
4150
0
0
BLACKHAWK NTWK HLDGS, INC
COM
09238E104
15271
345410
SH
SOLE
345410
0
0
BLACKHAWK NTWK HLDGS, INC
COM
09238E104
320
7249
SH
DFND
01
7249
0
0
BLACKHAWK NTWK HLDGS, INC
COM
09238E104
442
10000
SH
DFND
0
0
10000
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COM
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143
10000
SH
SOLE
0
10000
0
BLACKROCK MUNI ASSETS
COM
09254J102
57
4000
SH
DFND
0
4000
0
BLACKSTONE GROUP, LP
COM
09253U108
237
8100
SH
SOLE
0
8100
0
CALAMOS CONV OPP & INC FD
COM
128117108
126
12700
SH
SOLE
0
12700
0
CEMPRA, INC
COM
15130J109
4413
141762
SH
SOLE
141762
0
0
CEMPRA, INC
COM
15130J109
93
2975
SH
DFND
01
2975
0
0
CHART INDUSTRIES, INC
COM
16115Q308
5644
314243
SH
SOLE
314243
0
0
CHART INDUSTRIES, INC
COM
16115Q308
118
6595
SH
DFND
01
6595
0
0
CHURCH & DWIGHT, INC
COM
171340102
945
11133
SH
SOLE
0
11133
0
COGENT COMM HOLDINGS
COM
19239V302
8375
241425
SH
SOLE
241425
0
0
COGENT COMM HOLDINGS
COM
19239V302
176
5067
SH
DFND
01
5067
0
0
COMMUNITY HEALTH SYS, INC
COM
203668108
19790
745950
SH
SOLE
745650
300
0
COMMUNITY HEALTH SYS, INC
COM
203668108
415
15647
SH
DFND
01
15647
0
0
COMMUNITY HEALTH SYS, INC
COM
203668108
15
555
SH
DFND
0
0
555
CVS CORP
COM
126650100
589
6020
SH
SOLE
0
6020
0
DICKS SPORTING GOODS, INC
COM
253393102
15994
452444
SH
SOLE
452444
0
0
DICKS SPORTING GOODS, INC
COM
253393102
336
9495
SH
DFND
01
9495
0
0
DISNEY (WALT) HOLDING CO
COM
254687106
252
2400
SH
SOLE
0
2400
0
ENDOLOGIX, INC
COM
29266S106
519
52391
SH
DFND
0
0
52391
EXELIXIS, INC
COM
30161Q104
59
10430
SH
DFND
0
0
10430
EXPEDIA INC.
COM
30212p303
6548
52676
SH
SOLE
52676
0
0
EXPEDIA INC.
COM
30212p303
137
1105
SH
DFND
01
1105
0
0
EXXON MOBIL CORP
COM
30231G102
270
3462
SH
SOLE
0
3462
0
EXXON MOBIL CORP
COM
30231G102
7
89
SH
DFND
0
0
89
FAMOUS DAVES OF AM, INC
COM
307068106
164
23601
SH
SOLE
0
23601
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FAMOUS DAVES OF AM, INC
COM
307068106
13
1900
SH
DFND
0
1900
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FANNIE MAE
COM
313586109
1072
653403
SH
SOLE
333521
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FARO TECH, INC
COM
311642102
3160
107057
SH
SOLE
107057
0
0
FARO TECH, INC
COM
311642102
66
2247
SH
DFND
01
2247
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FLIR SYSTEMS, INC
COM
302445101
4724
168295
SH
SOLE
168295
0
0
FLIR SYSTEMS, INC
COM
302445101
99
3532
SH
DFND
01
3532
0
0
FOREST CITY RLTY TR INC COM CL
COM
345605109
253
11550
SH
DFND
0
0
11550
FORTRESS INV GRP LLC CL A
COM
34958B106
325
63933
SH
SOLE
0
63933
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FREDDIE MAC
COM
313400301
49
30000
SH
SOLE
0
30000
0
GENERAC HOLDINGS, INC
COM
368736104
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295587
SH
SOLE
295587
0
0
GENERAC HOLDINGS, INC
COM
368736104
185
6204
SH
DFND
01
6204
0
0
GENERAL MOTORS
COM
37045V100
578
17000
SH
SOLE
0
17000
0
GRAND CANYON ED, INC
COM
38526M106
12179
303559
SH
SOLE
303559
0
0
GRAND CANYON ED, INC
COM
38526M106
256
6370
SH
DFND
01
6370
0
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ICON PLC
COM
G4705A100
3482
44808
SH
SOLE
44808
0
0
ICON PLC
COM
G4705A100
73
940
SH
DFND
01
940
0
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INT'L SPEEDWAY CORP
COM
460335201
12560
372475
SH
SOLE
372475
0
0
INT'L SPEEDWAY CORP
COM
460335201
264
7816
SH
DFND
01
7816
0
0
IONIS PHARMACEUTICALS, INC
COM
462222100
11473
185265
SH
SOLE
146665
38600
0
IONIS PHARMACEUTICALS, INC
COM
462222100
191
3078
SH
DFND
01
3078
0
0
IONIS PHARMACEUTICALS, INC
COM
462222100
2607
42100
SH
DFND
0
0
42100
IRONWOOD PHARM
COM
46333X108
228
19662
SH
SOLE
0
19662
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ISHARE NASDAQ BIOTECH
COM
464287556
384
1136
SH
SOLE
0
1136
0
ISHARES DJ SELECT DIV FD
COM
464287168
1156
15385
SH
SOLE
14725
660
0
ISHARES RUSSELL 2000 GROWTH
COM
464287648
391
2805
SH
SOLE
0
2805
0
ISHARES RUSSELL 3000 GROWTH
COM
464287671
292
3600
SH
SOLE
0
3600
0
JOHNSON & JOHNSON
COM
478160104
442
4300
SH
SOLE
0
4300
0
JOHNSON & JOHNSON
COM
478160104
4
37
SH
DFND
0
0
37
KAPSTONE PAPER & PACK CORP
COM
48562P103
14105
624396
SH
SOLE
559896
64500
0
KAPSTONE PAPER & PACK CORP
COM
48562P103
265
11750
SH
DFND
01
11750
0
0
KAPSTONE PAPER & PACK CORP
COM
48562P103
2160
95600
SH
DFND
0
0
95600
KAYNE ANDERSON MDSTRM/ENGY
COM
48661E108
279
22575
SH
SOLE
1000
21575
0
KAYNE ANDERSON MDSTRM/ENGY
COM
48661E108
37
3000
SH
DFND
0
3000
0
LOUISIANA-PACIFIC CORP
COM
546347105
4523
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SH
SOLE
251126
0
0
LOUISIANA-PACIFIC CORP
COM
546347105
95
5270
SH
DFND
01
5270
0
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MACQUARIE INFRASTRUCT LLC
COM
55608B105
1328
18298
SH
SOLE
0
18298
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MACQUARIE INFRASTRUCT LLC
COM
55608B105
127
1756
SH
DFND
0
1756
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METLIFE, INC
COM
59156R108
11439
237269
SH
SOLE
237269
0
0
METLIFE, INC
COM
59156R108
240
4979
SH
DFND
01
4979
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0
MGM RESORTS INTERNATIONAL
COM
552953101
863
37975
SH
SOLE
0
37975
0
MGM RESORTS INTERNATIONAL
COM
552953101
107
4700
SH
DFND
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4700
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MKT VECTORS GOLD MINER ETF
COM
57060U100
198
14448
SH
SOLE
0
14448
0
MYLAN, INC
COM
N59465109
16798
310679
SH
SOLE
310679
0
0
MYLAN, INC
COM
N59465109
353
6520
SH
DFND
01
6520
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0
NOVAVAX, INC
COM
670002104
3988
475335
SH
SOLE
475335
0
0
NOVAVAX, INC
COM
670002104
84
9975
SH
DFND
01
9975
0
0
OCH-ZIFF CAP MGMT GRP CL A
COM
67551U105
554
88900
SH
SOLE
0
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PANACOS PHARM, INC
COM
69811Q106
0
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SH
DFND
0
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25000
PANERA BREAD CO CL A
COM
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12895
66204
SH
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66204
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PANERA BREAD CO CL A
COM
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271
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1389
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COM
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47096
0
0
PAREXEL INT'L CORP
COM
699462107
67
982
SH
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01
982
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PAYPAL HOLDINGS INC.
COM
70450Y103
7359
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SH
SOLE
203291
0
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PAYPAL HOLDINGS INC.
COM
70450Y103
154
4266
SH
DFND
01
4266
0
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PLAINS GP HLDGS LP CL A
COM
72651A108
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61787
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POLYONE CORP
COM
73179p106
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COM
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4484
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COM
73754Y100
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POTBELLY CORP
COM
73754Y100
318
27134
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01
27134
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POTBELLY CORP
COM
73754Y100
176
15000
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0
0
15000
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COM
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238
3000
SH
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0
3000
0
PROCTER & GAMBLE
COM
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79
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0
1000
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QUANTA SERVICES, INC
COM
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6088
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300661
0
0
QUANTA SERVICES, INC
COM
74762E102
128
6310
SH
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01
6310
0
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COM
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4497
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1043277
0
0
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COM
79970Y105
94
21895
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01
21895
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COM
80105N113
1
5867
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0
5867
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COM
80105N113
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0
0
25754
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COM
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1096
290621
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243021
47600
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COM
81724Q107
19
5100
SH
DFND
01
5100
0
0
SENOMYX, INC
COM
81724Q107
57
15000
SH
DFND
0
0
15000
SHAKE SHACK, INC CL A
COM
819047101
1016
25666
SH
SOLE
25656
10
0
SHAKE SHACK, INC CL A
COM
819047101
21
538
SH
DFND
01
538
0
0
SIMON PPTY GROUP, INC
COM
828806109
211
1083
SH
SOLE
0
1083
0
SMUCKER J M CO
COM
832696405
465
3771
SH
SOLE
0
3771
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SOLAR CAP LTD
COM
83413U100
244
14850
SH
SOLE
0
14850
0
SOLAR CAP LTD
COM
83413U100
82
5000
SH
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0
5000
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COM
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1857
124650
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43000
81650
0
SOLAR SENIOR CAPITAL LTD
COM
83416M105
74
4990
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0
4990
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SPDR HEALTHCARE SELECT
COM
81369Y209
818
11354
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0
11354
0
SPDR HEALTHCARE SELECT
COM
81369Y209
108
1500
SH
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0
1500
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SPEEDWAY MOTORSPORTS, INC
COM
847788106
7608
367201
SH
SOLE
367201
0
0
SPEEDWAY MOTORSPORTS, INC
COM
847788106
160
7706
SH
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01
7706
0
0
STARWOOD WAYPOINT RES TR
COM
85571W109
399
17632
SH
SOLE
0
17632
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SYNERGY RESOURCES CORP
COM
87164P103
3718
436440
SH
SOLE
436440
0
0
SYNERGY RESOURCES CORP
COM
87164P103
78
9159
SH
DFND
01
9159
0
0
TREEHOUSE FOODS, INC
COM
89469A104
4761
60676
SH
SOLE
60676
0
0
TREEHOUSE FOODS, INC
COM
89469A104
100
1273
SH
DFND
01
1273
0
0
TWO HARBORS INV CORP
COM
90187B101
247
30500
SH
SOLE
0
30500
0
VANGUARD DIV APP
COM
921908844
769
9887
SH
SOLE
0
9887
0
VANGUARD DIV APP
COM
921908844
44
560
SH
DFND
0
560
0
VANGUARD FTSE EUROPE
COM
922042874
449
9000
SH
SOLE
0
9000
0
VENTAS, INC
COM
92276F100
135
2388
SH
SOLE
0
2388
0
VENTAS, INC
COM
92276F100
141
2500
SH
DFND
0
0
2500
VF CORP
COM
918204108
6635
106590
SH
SOLE
106590
0
0
VF CORP
COM
918204108
139
2237
SH
DFND
01
2237
0
0
VISA, INC
COM
92826C839
552
7120
SH
SOLE
0
7120
0
VISA, INC
COM
92826C839
310
4000
SH
DFND
0
4000
0
WHOLE FOODS MKT, INC
COM
966837106
11275
336554
SH
SOLE
335254
1300
0
WHOLE FOODS MKT, INC
COM
966837106
236
7038
SH
DFND
01
7038
0
0
WISDOMTREE INDIA ETF
COM
97717W422
365
18360
SH
SOLE
0
18360
0
OPHTHOTECH CORPORATION
COM
683745103
890
11338
SH
SOLE
0
11338
0
SHAKE SHACK, INC CL A
COM
819047101
495
12500
SH
SOLE
0
12500
0
SHAKE SHACK, INC CL A
COM
819047101
20
500
SH
DFND
0
0
500
SHAKE SHACK, INC CL A
COM
819047101
1192
30099
SH
SOLE
0
30099
0
SHAKE SHACK, INC CL A (DHM-FID
COM
819047101
43173
1090218
SH
SOLE
0
1090218
0
SHAKE SHACK, INC CL A (DHM-JPM
COM
819047101
11880
300000
SH
SOLE
0
300000
0
SOTHEBYS HLDGS INC DELAWARE
COM
835898107
223
8642
SH
SOLE
0
8642
0