0001140361-12-007682.txt : 20120214 0001140361-12-007682.hdr.sgml : 20120214 20120214103027 ACCESSION NUMBER: 0001140361-12-007682 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120214 DATE AS OF CHANGE: 20120214 EFFECTIVENESS DATE: 20120214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DRIEHAUS CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0000938206 IRS NUMBER: 203634295 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04207 FILM NUMBER: 12603700 BUSINESS ADDRESS: STREET 1: 25 EAST ERIE ST CITY: CHICAGO STATE: IL ZIP: 60611 BUSINESS PHONE: 3125873800 MAIL ADDRESS: STREET 1: 25 EAST ERIE ST CITY: CHICAGO STATE: IL ZIP: 60611 FORMER COMPANY: FORMER CONFORMED NAME: DRIEHAUS CAPITAL MANAGEMENT INC DATE OF NAME CHANGE: 19950216 13F-HR 1 form13fhr.txt NONE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 12/31/2011 Check here if Amendment []; Amendment Number: ------- This Amendment (Check only one.): [] is a restatement. [] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Driehaus Capital Management LLC Address: 25 East Erie Street Chicago, IL 60611 Form 13F File Number: 028-04207 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 submission. Persons Signing this Report on Behalf of Reporting Manager: Name: Mary H. Weiss Title: Senior Vice President and Secretary Phone: 312-587-3800 Signature, Place, and Date of Signing: /s/ Mary H. Weiss Chicago, IL 2/14/2012 --------------------------------- --------------------------------- ---------- [Signature] [City, State] [Date] Report Type (Check only one): [ ] 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).) [X] 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: 13F File Number Name 028-01190 Frank Russell Company --------------- --------------------------------------------------------------- Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 407 Form 13F Information Table Value Total: $ 1,965,331 -------------- (In Thousands) List of Other Included Managers: Provide a numbered list of the name(s) and 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 --------------------------------- -------------- --------- -------- ------------------- ---------- -------- ------------------------ VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE --------------------------------- -------------- --------- -------- ---------- --- ---- ---------- -------- ---------- ------ ------ 3M Co. COM 88579Y101 865 10579 SH SOLE 10579 0 0 8x8 Inc COM 282914100 1402 442133 SH SOLE 156963 0 285170 Abaxis Inc. COM 002567105 943 34065 SH SOLE 12073 0 21992 ACACIA RESEARCH - ACACIA TEC COM 003881307 6684 183068 SH SOLE 116061 0 67007 Accenture, Ltd. - A ADR G1151C101 1446 27161 SH SOLE 22767 0 4394 ACHILLION PHARMACEUTICALS COM 00448Q201 2783 365188 SH SOLE 105648 0 259540 Acme Packet, Inc. COM 004764106 2475 80075 SH SOLE 70985 0 9090 Acorn Factor Inc COM 004848107 233 38575 SH SOLE 0 0 38575 ACTUATE CORP COM 00508B102 1777 303256 SH SOLE 107920 0 195336 ADA-ES INC COM 005208103 1128 49818 SH SOLE 17658 0 32160 Advisory Board Co/The COM 00762W107 8647 116520 SH SOLE 84494 0 32026 AEGERION PHARMACEUTICALS INC COM 00767E102 1097 65553 SH SOLE 23233 0 42320 Air Methods Corp. COM 009128307 7617 90201 SH SOLE 65380 0 24821 Airmedia Group, Inc. - ADR ADR 009411109 2526 695862 SH SOLE 0 0 695862 Akamai Technologies, Inc. COM 00971T101 600 18600 SH SOLE 2465 0 16135 AKORN INC COM 009728106 18561 1669119 SH SOLE 954435 0 714684 Alcan Aluminium Ltd. ADR 00912X30 413 17400 SH SOLE 4558 0 12842 Alexion Pharmaceuticals, Inc. COM 015351109 20450 286018 SH SOLE 210726 0 75292 Align Technology, Inc. COM 016255101 6838 288213 SH SOLE 208989 0 79224 Allergan, Inc. COM 018490102 2652 30229 SH SOLE 25342 0 4887 Allied Nevada Gold Corp. COM 019344100 4203 138797 SH SOLE 95234 0 43563 ALLOT COMMUNICATIONS LTD ADR M0854Q105 10380 682874 SH SOLE 359109 0 323765 Altera Corp. COM 021441100 7000 188676 SH SOLE 149196 0 39480 Altisource Portfolio Solutions SA ADR L0175J104 6863 136774 SH SOLE 99176 0 37598 Amazon.com, Inc. COM 023135106 4472 25834 SH SOLE 22356 0 3478 AMERESCO INC - CL A COM 02361E108 578 42100 SH SOLE 9437 0 32663 American Capital Agency Corp. COM 02503X105 10216 363804 SH SOLE 240413 0 123391 American Railcar Industries COM 02916P103 3258 136137 SH SOLE 48419 0 87718 American Software - Cl. A COM 029683109 163 17200 SH SOLE 0 0 17200 American Tower Corp. COM 03027X100 3934 65561 SH SOLE 54955 0 10606 American Vanguard Corp. COM 030371108 2985 223747 SH SOLE 76238 0 147509 Americas Car-Mart Inc. COM 03062T105 1092 27877 SH SOLE 9890 0 17987 Amerigon Inc COM 03070L300 1766 123841 SH SOLE 44242 0 79599 Annaly Capital Management, Inc. COM 035710409 10626 665801 SH SOLE 611170 0 54631 Annaly Capital Management, Inc. PUT 035710409 764 4,994 SH PUT SOLE 4,994 0 0 Ansys, Inc. COM 03662Q105 1260 22000 SH SOLE 4523 0 17477 ANTHERA PHARMACEUTICALS INC COM 03674U102 1225 199564 SH SOLE 71084 0 128480 Apple Inc. COM 037833100 27350 67530 SH SOLE 52161 0 15369 Approach Resources Inc COM 03834A103 5047 171609 SH SOLE 124433 0 47176 Arctic Cat Inc. COM 039670104 4073 180612 SH SOLE 64111 0 116501 ARES CAPITAL CORPORATION COM 04010L103 9,201 595,551 SH SOLE 595,551 0 0 ARES CAPITAL CORPORATION PUT 04010L103 106 6,062 SH PUT SOLE 6,062 0 0 Ariad Pharmaceuticals, Inc. COM 04033A100 10166 829896 SH SOLE 627934 0 201962 ARM Holdings PLC - SP ADR ADR 042068106 4843 175023 SH SOLE 128028 0 46995 ASML Holding NV ADR N07059186 1176 28129 SH SOLE 23569 0 4560 Astronics Corp. COM 046433108 1839 51367 SH SOLE 18231 0 33136 Automatic Data Processing, Inc. COM 053015103 756 14000 SH SOLE 11743 0 2257 AVEO PHARMACEUTICALS INC COM 053588109 5486 318952 SH SOLE 193189 0 125763 Baidu, Inc. - SP ADR ADR 056752108 4491 38547 SH SOLE 34365 0 4182 Baker Hughes, Inc. COM 057224107 4598 94527 SH SOLE 82815 0 11712 Banco Bradesco - ADR ADR 059460303 15529 930978 SH SOLE 874941 0 56037 Banco Macro SA - ADR ADR 05961W105 2339 119965 SH SOLE 106004 0 13961 Bankrate, Inc. COM 06647F102 12456 579351 SH SOLE 400139 0 179212 Basic Energy Services Inc COM 06985P100 213 10800 SH SOLE 3665 0 7135 BE Aerospace, Inc. COM 073302101 1235 31900 SH SOLE 6637 0 25263 Beam, Inc. COM 073730103 4123 80487 SH SOLE 55194 0 25293 Bebe Stores Inc COM 075571109 3788 454792 SH SOLE 161713 0 293079 Bed Bath & Beyond, Inc. COM 075896100 2403 41461 SH SOLE 28049 0 13412 Big 5 Sporting Goods Corp COM 08915P101 167 16000 SH SOLE 0 0 16000 Biogen Idec, Inc. COM 09062X103 1956 17772 SH SOLE 13064 0 4708
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 --------------------------------- -------------- --------- -------- ------------------- ---------- -------- ------------------------ VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE --------------------------------- -------------- --------- -------- ---------- --- ---- ---------- -------- ---------- ------ ------ Biomarin Pharmaceutical, Inc. COM 09061G101 5381 156527 SH SOLE 110105 0 46422 BJ's Restaurants Inc COM 09180C106 3071 67764 SH SOLE 48757 0 19007 Body Central Corp COM 09689U102 2621 104990 SH SOLE 33258 0 71732 Boston Properties, Inc. COM 101121101 2007 20151 SH SOLE 13818 0 6333 Bristol-Myers Squibb Co. COM 110122108 6856 194541 SH SOLE 169779 0 24762 Brown-Forman Corp. - B COM 115637209 4834 60037 SH SOLE 42789 0 17248 Buckeye Technologies COM 118255108 3523 105367 SH SOLE 69706 0 35661 C&J Energy Services, Inc. COM 12467B304 3606 172300 SH SOLE 28710 0 143590 Cameron International Corp. COM 13342B105 8795 178805 SH SOLE 154951 0 23854 CARBONITE INC COM 141337105 636 57336 SH SOLE 8144 0 49192 CARDTRONICS INC COM 14161H108 5669 209495 SH SOLE 151841 0 57654 Caribou Coffee Co Inc COM 142042209 3143 225328 SH SOLE 71495 0 153833 Carpenter Technology Corp. COM 144285103 23765 461635 SH SOLE 348614 0 113021 Cavium, Inc. COM 14964U108 2143 75368 SH SOLE 72845 0 2523 CBS Corp. - B COM 124857202 342 12600 SH SOLE 1669 0 10931 Celgene Corp. COM 151020104 4930 72929 SH SOLE 58971 0 13958 Central Euro Distribution Corp. PUT 153435102 12 245 SH PUT SOLE 245 0 0 Cerner Corp. COM 156782104 2929 47817 SH SOLE 42290 0 5527 Cerus Corp. COM 157085101 1946 695169 SH SOLE 168499 0 526670 Ceva Inc COM 157210105 1229 40607 SH SOLE 14407 0 26200 Chart Industries, Inc. COM 16115Q308 14514 268423 SH SOLE 188642 0 79781 Check Point Software ADR M22465104 17563 334227 SH SOLE 270144 0 64083 Technologies, Ltd. China Kanghui Holdings, Inc. - ADR 16890V100 222 15041 SH SOLE 15041 0 0 SP ADR Church & Dwight Co., Inc. COM 171340102 10595 231541 SH SOLE 172666 0 58875 Ciena Corp. COM 171779309 2939 242910 SH SOLE 215330 0 27580 Cisco Systems, Inc. COM 17275R102 1480 81832 SH SOLE 68586 0 13246 CITIGROUP INC. CONV PFD 7.5% COM 172967416 405 5,000 SH SOLE 5,000 0 0 Clean Harbors Inc COM 184496107 8666 135983 SH SOLE 98582 0 37401 CNH Global NV ADR N20935206 1681 46700 SH SOLE 9423 0 37277 Coach, Inc. COM 189754104 1995 32683 SH SOLE 27398 0 5285 CODEXIS INC COM 192005106 74 14000 SH SOLE 0 0 14000 Colfax Corp COM 194014106 8863 311199 SH SOLE 225667 0 85532 Commercial Vehicle Group Inc COM 202608105 1662 183883 SH SOLE 29213 0 154670 COMMVAULT SYSTEMS INC COM 204166102 7800 182573 SH SOLE 132302 0 50271 Concho Resources, Inc. COM 20605P101 5587 59597 SH SOLE 36998 0 22599 Conn's Inc COM 208242107 2551 229803 SH SOLE 67524 0 162279 Continental Resources, Inc. COM 212015101 874 13100 SH SOLE 1734 0 11366 Copa Holdings SA - A ADR P31076105 4696 80038 SH SOLE 61713 0 18325 CORNERSTONE ONDEMAND INC COM 21925Y103 1332 73000 SH SOLE 7205 0 65795 Cost Plus Inc./California COM 221485105 944 96844 SH SOLE 34171 0 62673 Costco Wholesale Corp. COM 22160K105 5464 65582 SH SOLE 49006 0 16576 Credicorp, Ltd. ADR G2519Y108 13499 123308 SH SOLE 115806 0 7502 CRESUD S.A.-SPONS ADR - RIGHTS ADR 226406981 0 123730 SH SOLE 19398 0 104332 Cross (A.T.) Company - A COM 227478104 1137 100786 SH SOLE 35909 0 64877 Cubist Pharmaceuticals, Inc. COM 229678107 12648 319230 SH SOLE 228953 0 90277 Cummins, Inc. COM 231021106 2661 30229 SH SOLE 23323 0 6906 CVD EQUIPMENT CORP COM 126601103 1591 132240 SH SOLE 25513 0 106727 Cyberonics COM 23251P102 5571 166303 SH SOLE 120569 0 45734 Danaher Corp. COM 235851102 723 15378 SH SOLE 12889 0 2489 Darden Restaurants, Inc. COM 237194105 3337 73213 SH SOLE 50225 0 22988 Datalink Corp COM 237934104 1243 150530 SH SOLE 53490 0 97040 Dawson Geophysical Co. COM 239359102 1272 32173 SH SOLE 3875 0 28298 Dealertrack Holdings Inc COM 242309102 496 18200 SH SOLE 3190 0 15010 Deckers Outdoor Corp. COM 243537107 8362 110649 SH SOLE 78673 0 31976 DELTEK INC COM 24784L105 221 22500 SH SOLE 0 0 22500 Diageo PLC - Sponsored ADR ADR 25243Q205 1565 17904 SH SOLE 13786 0 4118 Diamond Foods, Inc. COM 252603105 1218 37734 SH SOLE 33835 0 3899 Dick's Sporting Goods, Inc. COM 253393102 1206 32700 SH SOLE 7324 0 25376
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 --------------------------------- -------------- --------- -------- ------------------- ---------- -------- ------------------------ VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE --------------------------------- -------------- --------- -------- ---------- --- ---- ---------- -------- ---------- ------ ------ DISH Network Corp COM 25470M109 285 10000 SH SOLE 1324 0 8676 DOMINO'S PIZZA INC COM 25754A201 10560 311050 SH SOLE 225549 0 85501 Drill-Quip COM 262037104 2758 41909 SH SOLE 30146 0 11763 DSW, Inc. COM 23334L102 10127 229068 SH SOLE 176009 0 53059 DUPONT FABROS TECHNOLOGY COM 26613Q106 280 11559 SH SOLE 0 0 11559 Dxp Enterprises Inc COM 233377407 1918 59563 SH SOLE 21096 0 38467 Dycom Industries Inc. COM 267475101 7638 365123 SH SOLE 174219 0 190904 East West Bancorp Inc COM 27579R104 1268 64182 SH SOLE 9877 0 54305 Eaton Corp. COM 278058102 509 11700 SH SOLE 1549 0 10151 Ecopetrol SA - SP ADR ADR 279158109 9916 222739 SH SOLE 209364 0 13375 Edwards Lifesciences Corp. COM 28176E108 3949 55853 SH SOLE 49400 0 6453 Elan Corp. PLC ADR 284131208 5698 414567 SH SOLE 314797 0 99770 Electronic Arts, Inc. COM 285512109 7155 347344 SH SOLE 256013 0 91331 Elizabeth Arden Inc COM 28660G106 8918 240777 SH SOLE 174603 0 66174 Endologix Inc COM 29266S106 10372 903514 SH SOLE 511374 0 392140 ENERGY XXI BERMUDA ADR G10082140 1253 39300 SH SOLE 11294 0 28006 Equinix, Inc. COM 29444U502 10306 101635 SH SOLE 78881 0 22754 Exact Sciences Corp COM 30063P105 2663 328008 SH SOLE 116596 0 211412 Faro Technologies Inc COM 311642102 3939 85623 SH SOLE 30397 0 55226 Fifth Third Bancorp COM 316773100 1629 128100 SH SOLE 27260 0 100840 Financial Engines, Inc. COM 317485100 3518 157568 SH SOLE 114469 0 43099 First Cash Financial Services, COM 31942D107 2167 61744 SH SOLE 54603 0 7141 Inc. First Republic Bank COM 33616C100 3698 120805 SH SOLE 20341 0 100464 FIRSTBANK CORP/ALMA MICH - COM DDH61G100 0 55125 SH SOLE 55125 0 0 fractional shares Flotek Industries Inc COM 343389102 4524 454256 SH SOLE 150692 0 303564 FMC Technologies, Inc. COM 30249U101 3660 70073 SH SOLE 48038 0 22035 Focus Media Holding, Ltd. - ADR ADR 34415V109 433 22200 SH SOLE 3928 0 18272 Fomento Economico Mexicano SAB ADR 344419106 11981 171866 SH SOLE 161556 0 10310 de CV Foot Locker, Inc. COM 344849104 763 32000 SH SOLE 8388 0 23612 FORD MOTOR COMPANY 4.25% CNV 345370CN8 35,127 24,500,000 PRN SOLE 24,500,000 0 0 Fortinet, Inc. COM 34959E109 5353 245426 SH SOLE 190986 0 54440 Fossil, Inc. COM 349882100 4908 61839 SH SOLE 47340 0 14499 Freeport McMoran Copper & Gold, COM 35671D857 4420 120129 SH SOLE 106399 0 13730 Inc. GENERAC HOLDINGS INC COM 36873610 1169 41700 SH SOLE 11934 0 29766 GENERAL MOTORS COMPANY COM 37045V100 3,656 180,358 SH SOLE 180,358 0 0 GENERAL MOTORS COMPANY CONV PFD CNV 37045V209 685 20,000 SH SOLE 20,000 0 0 4.7500 Genesco Inc. COM 371532102 10399 168436 SH SOLE 104849 0 63587 Genesee & Wyoming, Inc. COM 371559105 6765 111672 SH SOLE 72338 0 39334 Georesources Inc COM 372476101 4043 137952 SH SOLE 48927 0 89025 Gilead Sciences, Inc. COM 375558103 3409 83281 SH SOLE 73764 0 9517 GLU MOBILE INC COM 379890106 2182 694750 SH SOLE 246655 0 448095 GNC Holdings, Inc. COM 36191G107 19013 656746 SH SOLE 487233 0 169513 Golar LNG, Ltd. ADR G9456A100 31438 707216 SH SOLE 497875 0 209341 Goodyear Tire & Rubber Company PUT 382550101 301 17,247 SH PUT SOLE 17,247 0 0 Google, Inc. - A COM 38259P508 9383 14527 SH SOLE 9653 0 4874 Graham Corp. COM 384556106 826 36803 SH SOLE 3678 0 33125 Green Mountain Coffee COM 393122106 655 14608 SH SOLE 2726 0 11882 Greenbrier Companies Inc. COM 393657101 5112 210546 SH SOLE 140164 0 70382 GSV CAPITAL CORP COM 36191J101 2330 167031 SH SOLE 59275 0 107756 GUGGENHEIM CHINA SMALL CAP E COM 18383Q85 988 51200 SH SOLE 0 0 51200 Gulfmark Offshore, Inc. COM 402629208 7492 178339 SH SOLE 122310 0 56029 Gulfport Energy Corp COM 402635304 5770 195910 SH SOLE 113901 0 82009 H&E EQUIPMENT SERVICES INC COM 404030108 1455 108409 SH SOLE 38426 0 69983 Hain Celestial Group Inc. COM 405217100 6682 182260 SH SOLE 132163 0 50097 Haynes International Inc COM 420877201 1405 25740 SH SOLE 7754 0 17986
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 --------------------------------- -------------- --------- -------- ------------------- ---------- -------- ------------------------ VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE --------------------------------- -------------- --------- -------- ---------- --- ---- ---------- -------- ---------- ------ ------ HEALTHSTREAM INC COM 42222N103 3787 205271 SH SOLE 72843 0 132428 HECKMANN CORP COM 422680108 4862 731088 SH SOLE 497737 0 233351 Heinz (H.J.) Co. COM 423074103 988 18292 SH SOLE 18292 0 0 Hershey Co. COM 427866108 12258 198407 SH SOLE 147282 0 51125 Hexcel Corp. COM 428291108 12232 505231 SH SOLE 358866 0 146365 Hi-Tech Pharmacal Co. Inc. COM 42840B101 1425 36646 SH SOLE 13036 0 23610 HMS Holdings Corp. COM 40425J101 18376 574612 SH SOLE 410849 0 163763 HomeAway, Inc. COM 43739Q100 1105 47536 SH SOLE 32489 0 15047 Hornbeck Offshore Services COM 440543106 6150 198255 SH SOLE 143752 0 54503 Hunt (JB) Transport Svcs Inc COM 445658107 568 12600 SH SOLE 1669 0 10931 Huron Consulting Group Inc COM 447462102 5124 132263 SH SOLE 94521 0 37742 HYATT HOTELS CORP - CL A COM 448579102 452 12000 SH SOLE 1589 0 10411 ICICI Bank, Ltd. - SP ADR ADR 45104G104 2929 110782 SH SOLE 98668 0 12114 IDENIX PHARMACEUTICALS INC COM 45166R204 1181 158626 SH SOLE 56348 0 102278 Imax Corp. ADR 45245E109 5050 275517 SH SOLE 196887 0 78630 IMPERVA INC COM 45321L100 1754 50387 SH SOLE 17851 0 32536 INDIA FUND INC COM 454089103 1888 99161 SH SOLE 54881 0 44280 Infosys, Ltd. ADR 456788108 3072 59792 SH SOLE 56134 0 3658 INHIBITEX INC COM 45719T103 4866 444826 SH SOLE 254071 0 190755 INNERWORKINGS INC COM 45773Y105 2046 219805 SH SOLE 73531 0 146274 Intel Corp. COM 458140100 1597 65840 SH SOLE 55184 0 10656 Intercontinental Exchange, Inc. COM 45865V100 2150 17835 SH SOLE 14953 0 2882 InterDigital, Inc. COM 45867G101 3107 71307 SH SOLE 63065 0 8242 Intuitive Surgical, Inc. COM 46120E602 11968 25849 SH SOLE 19142 0 6707 IPATH S&P 500 VIX S/T FU ETN CALL 06740C909 292 133300 SH CALL SOLE 1333 0 133300 Ishares MSCI Emerging Markets PUT 464287954 16389 429250 SH PUT SOLE 4250 0 300000 Index Fund ISHARES RUSSELL 1000 GROWTH COM 464287614 2539 43936 SH SOLE 43936 0 0 Ishares Russell 2000 PUT 464287955 105 75750 SH PUT SOLE 750 0 75000 Ishares Russell 2000 Growth COM 464287648 1540 18284 SH SOLE 18284 0 0 IShares Russell Micro Cap Inx COM 464288869 533 11936 SH SOLE 10868 0 1068 Itau Unibanco Holding - PREF ADR ADR 465562106 5630 303253 SH SOLE 270245 0 33008 Jda Software Group Inc COM 46612K108 405 12500 SH SOLE 3585 0 8915 JIVE SOFTWARE INC COM 47760A108 1040 65000 SH SOLE 23776 0 41224 JM Smucker Co. COM 832696405 6630 84813 SH SOLE 62047 0 22766 Joy Global, Inc. COM 481165108 4370 58295 SH SOLE 49631 0 8664 KENEXA CORP COM 488879107 8656 324196 SH SOLE 145907 0 178289 Key Energy Services Inc COM 492914106 1192 77081 SH SOLE 14134 0 62947 Kirby Corp. COM 497266106 9321 141571 SH SOLE 105348 0 36223 KIT DIGITAL INC COM 482470200 1243 147054 SH SOLE 25178 0 121876 Kodiak Oil & Gas Corp COM 50015Q100 11369 1196703 SH SOLE 768384 0 428319 KONA GRILL INC COM 50047H201 768 125474 SH SOLE 17235 0 108239 Kraft Foods, Inc. - A COM 50075N104 2676 71634 SH SOLE 60039 0 11595 Laredo Petroleum Holdings, Inc. COM 516806106 4786 214632 SH SOLE 91859 0 122773 Las Vegas Sands Corp. COM 517834107 3547 83008 SH SOLE 29078 0 53930 Leapfrog Enterprises Inc COM 52186N106 1768 316348 SH SOLE 111468 0 204880 LEAR CORPORATION CMN COM 521865204 22,932 576,188 SH SOLE 576,188 0 0 Life Time Fitness, Inc. COM 53217R207 8985 192200 SH SOLE 137279 0 54921 LIQUIDITY SERVICES INC COM 53635B107 18008 488030 SH SOLE 290416 0 197614 Lithia Motors Inc. Cl-A COM 536797103 8398 384192 SH SOLE 210969 0 173223 Liveperson Inc COM 538146101 2494 198760 SH SOLE 70577 0 128183 LKQ Corp. COM 501889208 3505 116517 SH SOLE 71721 0 44796 Luminex Corp COM 55027E102 6321 297732 SH SOLE 215888 0 81844 Macy's, Inc. COM 55616P104 1996 62041 SH SOLE 40657 0 21384 Magnum Hunter Resources Corp COM 55973B102 1077 199903 SH SOLE 70965 0 128938 Market Vectors Russia Etf COM 57060U506 14127 530100 SH SOLE 0 0 530100 MarketAxess Holdings Inc COM 57060D108 8343 277076 SH SOLE 199394 0 77682 MasTec, Inc. COM 576323109 3074 176971 SH SOLE 121382 0 55589 Mattel, Inc. COM 577081102 3941 141975 SH SOLE 97388 0 44587 MATTRESS FIRM HOLDING CORP COM 57722W106 431 18600 SH SOLE 4240 0 14360
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 --------------------------------- -------------- --------- -------- ------------------- ---------- -------- ------------------------ VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE --------------------------------- -------------- --------- -------- ---------- --- ---- ---------- -------- ---------- ------ ------ Maxwell Technologies Inc. COM 577767106 677 41666 SH SOLE 14839 0 26827 MBIA Inc. PUT 55262C100 13 7,100 SH PUT SOLE 7,100 0 0 McDonald's Corp. COM 580135101 12775 127325 SH SOLE 110614 0 16711 Melco Crown Entertainment - ADR ADR 585464100 3289 341884 SH SOLE 57872 0 284012 MercadoLibre, Inc. ADR 58733R102 1503 18900 SH SOLE 3737 0 15163 Merge Healthcare Inc COM 589499102 924 190550 SH SOLE 33763 0 156787 MGM Resorts International CALL 552953901 20 20000 SH CALL SOLE 0 0 20000 Michael Kors Holdings, Ltd. ADR G60754101 2224 81599 SH SOLE 56836 0 24763 Microsoft Corp. COM 594918104 843 32489 SH SOLE 32489 0 0 MICROSOFT CORPORATION COM 594918104 7,285 280,637 SH SOLE 280,637 0 0 Middleby Corp. COM 596278101 5522 58722 SH SOLE 42581 0 16141 MISTRAS GROUP INC COM 60649T107 4630 181636 SH SOLE 62716 0 118920 Mitcham Industries Inc COM 606501104 1956 89579 SH SOLE 31746 0 57833 Mitek Systems Inc. COM 606710200 3058 421816 SH SOLE 79449 0 342367 MOLSON COORS BREWING CO COM 60871R209 814 18,700 SH SOLE 18,700 0 0 Molycorp, Inc. COM 608753109 1741 72623 SH SOLE 64229 0 8394 MONOTYPE IMAGING HOLDINGS INC COM 61022P100 1293 82962 SH SOLE 29436 0 53526 Monsanto Co. COM 61166W101 906 12932 SH SOLE 12932 0 0 Monster Beverage Corp. COM 611740101 11067 120108 SH SOLE 89421 0 30687 Movado Group COM 624580106 2022 111286 SH SOLE 39609 0 71677 NEO MATERIAL TECHNOLOGIES INC ADR 64045Y108 2417 332436 SH SOLE 239270 0 93166 NetEase.com, Inc. - ADR ADR 64110W102 4518 100733 SH SOLE 94787 0 5946 NETSUITE INC COM 64118Q107 11075 273117 SH SOLE 198009 0 75108 Neurocrine Biosciences COM 64125C109 726 85440 SH SOLE 30744 0 54696 NEUSTAR INC-CLASS A COM 64126X201 1157 33848 SH SOLE 7014 0 26834 Newmont Mining Corp. COM 651639106 1645 27415 SH SOLE 22978 0 4437 Nike, Inc. - B COM 654106103 2718 28201 SH SOLE 18981 0 9220 Nu Skin Enterprises, Inc. COM 67018T105 21078 433975 SH SOLE 312158 0 121817 NUANCE COMMUNICATIONS INC COM 67020Y100 317 12600 SH SOLE 1667 0 10933 O Y O Geospace Corp COM 671074102 1977 25566 SH SOLE 9069 0 16497 Oasis Petroleum, Inc. COM 674215108 7282 250318 SH SOLE 157731 0 92587 Occidental Petroleum Corp. COM 674599105 2182 23282 SH SOLE 19456 0 3826 OCZ TECHNOLOGY GROUP INC COM 67086E303 145 22000 SH SOLE 0 0 22000 Old Dominion Freight Line COM 679580100 6186 152616 SH SOLE 110667 0 41949 Omnicell Inc COM 68213N109 3613 218724 SH SOLE 77898 0 140826 On Assignment Inc. COM 682159108 1437 128554 SH SOLE 37440 0 91114 ONCOTHYREON INC COM 682324108 1502 198160 SH SOLE 70358 0 127802 Onyx Pharmaceuticals, Inc. COM 683399109 1559 35465 SH SOLE 25677 0 9788 OPKO HEALTH INC COM 68375N103 3106 633862 SH SOLE 455922 0 177940 Opnet Technologies Inc. COM 683757108 7503 204613 SH SOLE 131366 0 73247 Oracle Corp. COM 68389X105 4510 175813 SH SOLE 152530 0 23283 ORBITZ WORLDWIDE INC COM 68557K109 1034 274944 SH SOLE 97668 0 177276 Orient Express Hotels ADR G67743107 2296 307400 SH SOLE 0 0 307400 Oxford Industries Inc. COM 691497309 11794 261399 SH SOLE 148598 0 112801 PEABODY ENERGY CORPORATION COM 704549104 115 3,483 SH SOLE 3,483 0 0 Peets Coffee & Tea Inc COM 705560100 1103 17591 SH SOLE 6264 0 11327 Petroleo Brasileiro SA ADR 71654V408 1585 63772 SH SOLE 43381 0 20391 Pfizer, Inc. COM 717081103 2698 124680 SH SOLE 104502 0 20178 Pharmacyclics Inc COM 716933106 6523 440140 SH SOLE 235385 0 204755 Pier 1 Imports Inc./Del. COM 720279108 9138 655990 SH SOLE 465417 0 190573 Pioneer Drilling Company COM 723655106 158 16300 SH SOLE 0 0 16300 Pioneer Natural Resources Co. COM 723787107 13016 145462 SH SOLE 111885 0 33577 Polaris Industries COM 731068102 2578 46053 SH SOLE 31582 0 14471 Polypore International, Inc. CALL 73179P906 26 25500 SH CALL SOLE 0 0 15500 Praxair, Inc. COM 74005P104 2141 20028 SH SOLE 16789 0 3239 Precision Castparts Corp. COM 740189105 6992 42427 SH SOLE 36100 0 6327 Pricesmart, Inc. COM 741511109 9185 131984 SH SOLE 56590 0 75394 Procera Networks Inc COM 74269U203 6627 425326 SH SOLE 118065 0 307261 PROS HOLDINGS INC COM 74346Y103 2513 168879 SH SOLE 60189 0 108690 QLIK Technologies, Inc. COM 74733T105 918 37940 SH SOLE 25954 0 11986
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 --------------------------------- -------------- --------- -------- ------------------- ---------- -------- ------------------------ VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE --------------------------------- -------------- --------- -------- ---------- --- ---- ---------- -------- ---------- ------ ------ Qualcomm, Inc. COM 747525103 9906 181089 SH SOLE 151514 0 29575 Questcor Pharmaceuticals, Inc. COM 74835Y101 19701 473798 SH SOLE 326568 0 147230 Quidel Corp. COM 74838J101 2898 191509 SH SOLE 67992 0 123517 Quimica y Minera Chile - SP ADR ADR 833635105 2967 55065 SH SOLE 49237 0 5828 Rackspace Hosting, Inc. COM 750086100 22169 515438 SH SOLE 351255 0 164183 Raptor Pharmaceutical Corp COM 75382F106 811 129577 SH SOLE 46180 0 83397 Raven Industries Inc COM 754212108 4725 76338 SH SOLE 55353 0 20985 Red Hat, Inc. COM 756577102 4513 109291 SH SOLE 74959 0 34332 REGIS CORP. CNV 758932AA5 3,621 2,900,000 PRN SOLE 2,900,000 0 0 Reliance Steel & Aluminm COM 759509102 1719 35300 SH SOLE 7334 0 27966 Rex Energy Corp COM 761565100 9952 674223 SH SOLE 398484 0 275739 Riverbed Technology, Inc. COM 768573107 331 14100 SH SOLE 2462 0 11638 Robbins & Myers, Inc. COM 770196103 3844 79167 SH SOLE 48932 0 30235 Rockwell Automation, Inc. COM 773903109 880 12000 SH SOLE 1589 0 10411 Ross Stores, Inc. COM 778296103 11422 240319 SH SOLE 167398 0 72921 RTI Biologics Inc COM 74975N105 1881 423638 SH SOLE 150401 0 273237 Ryder System, Inc. COM 783549108 6943 130660 SH SOLE 100472 0 30188 S & P 500 Depositary Receipt PUT 78462F953 6275 50000 SH PUT SOLE 0 0 50000 Salesforce.com, Inc. COM 79466L302 2864 28226 SH SOLE 25021 0 3205 SANDISK CORPORATION CNV 80004CAD3 36,620 31,100,000 PRN SOLE 31,100,000 0 0 Schiff Nutrition Internation COM 806693107 705 65908 SH SOLE 23350 0 42558 Seadrill, Ltd. ADR G7945E105 1627 49027 SH SOLE 41090 0 7937 Select Comfort Corp. COM 81616X103 12704 585704 SH SOLE 413021 0 172683 Shire PLC - ADR ADR 82481R106 3169 30496 SH SOLE 25574 0 4922 Signature Bank COM 82669G104 2998 49982 SH SOLE 36249 0 13733 SILICON MOTION TECHNOL-ADR ADR 82706C108 16205 791247 SH SOLE 451285 0 339962 Smart Balance Inc COM 83169Y108 623 116292 SH SOLE 41469 0 74823 Smith & Wesson Holding Corp COM 831756101 1384 317324 SH SOLE 90846 0 226478 Sodastream International, Ltd. ADR M9068E105 4200 128473 SH SOLE 18374 0 110099 Solarwinds, Inc. COM 83416B109 7268 260038 SH SOLE 186540 0 73498 SOLAZYME INC COM 83415T101 1730 145415 SH SOLE 41076 0 104339 SOLTA MEDICAL INC COM 83438K103 516 164192 SH SOLE 6782 0 157410 SOURCEFIRE INC COM 83616T108 2750 84932 SH SOLE 61589 0 23343 Southern Copper Corp. COM 84265V105 9177 304081 SH SOLE 285903 0 18178 Spdr DJ Wilshire Intl Real E COM 78463X863 796 25021 SH SOLE 0 0 25021 SPDR Gold Trust COM 78463V107 12261 80670 SH SOLE 75792 0 4878 SPDR S&P 500 ETF Trust PUT 78462F103 8 500 SH PUT SOLE 500 0 0 Spectranetics Corp. COM 84760C107 1283 177672 SH SOLE 63123 0 114549 SPECTRUM PHARMACEUTICALS INC COM 84763A108 233 15900 SH SOLE 5394 0 10506 Spirit AeroSystems Holdings, COM 848574109 1037 49900 SH SOLE 41849 0 8051 Inc. - A SPIRIT AIRLINES INC COM 848577102 692 44344 SH SOLE 9166 0 35178 SPS COMMERCE INC COM 78463M107 865 33342 SH SOLE 7050 0 26292 SPX Corp. COM 784635104 7020 116473 SH SOLE 85210 0 31263 Staar Surgical Co. COM 852312305 8299 791149 SH SOLE 226902 0 564247 Stamp.Com Inc COM 852857200 3151 120576 SH SOLE 37892 0 82684 Standard Pacific Corp. COM 85375C101 110 34500 SH SOLE 0 0 34500 Starbucks Corp. COM 855244109 12057 262054 SH SOLE 214052 0 48002 Starwood Hotels & Resorts COM 85590A401 922 19221 SH SOLE 3463 0 15758 Worldwide Stone Container Corp. ADR 85771P109 545 21300 SH SOLE 2820 0 18480 Sturm Ruger & Co Inc COM 864159108 3279 97984 SH SOLE 28092 0 69892 Sunrise Senior Living Inc. COM 86768K106 1166 180000 SH SOLE 63901 0 116099 SUNTECH POWER HOLDINGS CO CNV 86800CAE4 21,571 51,152,000 PRN SOLE 51,152,000 0 0 SUSSER HOLDINGS CORP COM 869233106 1105 48837 SH SOLE 17349 0 31488 Swift Transportation Inc. COM 87074U10 160 19400 SH SOLE 0 0 19400 SXC Health Solutions Corp. COM 78505P100 10433 184687 SH SOLE 148075 0 36612 Synchronoss Technologies, Inc. COM 87157B103 3297 109133 SH SOLE 79167 0 29966 SYNERGETICS USA INC COM 87160G107 950 128712 SH SOLE 45716 0 82996 Syneron Medical Ltd ADR M87245102 1526 137842 SH SOLE 49611 0 88231
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 --------------------------------- -------------- --------- -------- ------------------- ---------- -------- ------------------------ VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE --------------------------------- -------------- --------- -------- ---------- --- ---- ---------- -------- ---------- ------ ------ Taiwan Semiconductor - ADR ADR 874039100 27240 2110021 SH SOLE 1985356 0 124665 Taleo Corp-Class A COM 87424N104 8151 210673 SH SOLE 138094 0 72579 TANGOE INC/CT COM 87582Y108 1147 74499 SH SOLE 26403 0 48096 Team Inc. COM 878155100 3744 125838 SH SOLE 44669 0 81169 Tenaris SA ADR 88031M109 10868 292317 SH SOLE 274643 0 17674 TESLA MOTORS INC COM 88160R101 2906 101764 SH SOLE 73798 0 27966 The Coca-Cola Co. COM 191216100 5738 82009 SH SOLE 74663 0 7346 Thermon Group Holdings Inc COM 88362T103 2157 122426 SH SOLE 43491 0 78935 Tibco Software Inc COM 88632Q103 956 40000 SH SOLE 8775 0 31225 Tidewater, Inc. COM 886423102 3741 75888 SH SOLE 67231 0 8657 Tiffany & Co. COM 886547108 1600 24140 SH SOLE 20233 0 3907 Titan International, Inc. COM 88830M102 216 11100 SH SOLE 0 0 11100 Titan Machinery Inc COM 88830R101 1091 50212 SH SOLE 17832 0 32380 TMS International Corp-A COM 87261Q103 178 18000 SH SOLE 6105 0 11895 TPC GROUP INC COM 89236Y104 1449 62093 SH SOLE 21010 0 41083 Transdigm Group Inc COM 893641100 1159 12113 SH SOLE 3172 0 8941 Travelzoo Inc COM 89421Q106 658 26751 SH SOLE 0 0 26751 Treehouse Foods, Inc. COM 89469A104 6060 92690 SH SOLE 63576 0 29114 TREX COMPANY INC CNV 89531PAA3 1,372 1,229,000 PRN SOLE 1,229,000 0 0 TRIANGLE PETROLEUM CORP COM 89600B201 4066 681056 SH SOLE 180048 0 501008 TRIMAS CORP COM 896215209 242 13500 SH SOLE 0 0 13500 Trimble Navigation Ltd. COM 896239100 564 13000 SH SOLE 3405 0 9595 TRI-TECH HOLDING INC ADR G9103F106 248 53754 SH SOLE 0 0 53754 Triumph Group, Inc. COM 896818101 22076 377688 SH SOLE 263823 0 113865 True Religion Apparel Inc COM 89784N104 8307 240220 SH SOLE 145274 0 94946 TRW AUTOMOTIVE HOLDINGS CORP. COM 87264S106 4,184 128,329 SH SOLE 128,329 0 0 Twin Disc Inc COM 901476101 4711 129715 SH SOLE 43023 0 86692 UBIQUITI NETWORKS INC COM 90347A100 3469 190268 SH SOLE 126621 0 63647 UIL Holdings Corp. COM 902748102 5608 158543 SH SOLE 108763 0 49780 Ulta Salon, Cosmetics & COM 90384S303 10078 155244 SH SOLE 103645 0 51599 Fragrance, Inc. Ultimate Software Group Inc. COM 90385D107 13213 202908 SH SOLE 147126 0 55782 Ultratech Stepper Inc. COM 904034105 7747 315298 SH SOLE 189174 0 126124 Under Armour, Inc. COM 904311107 9422 131241 SH SOLE 100243 0 30998 Unisys Corp. COM 909214306 416 21100 SH SOLE 5529 0 15571 United Rentals, Inc. COM 911363109 24544 830585 SH SOLE 556626 0 273959 Univ Stainless Alloy Pdt COM 913837100 948 25377 SH SOLE 9011 0 16366 Universal Display Corp. COM 91347P105 4590 125109 SH SOLE 94834 0 30275 Vale SA - SP ADR ADR 91912E105 17318 807242 SH SOLE 739313 0 67929 VANGUARD EMERGING MARKET ETF COM 922042858 2316 60610 SH SOLE 39464 0 21146 VeriFone Systems, Inc. COM 92342Y109 515 14500 SH SOLE 2723 0 11777 Verisk Analytics, Inc. - A COM 92345Y106 891 22200 SH SOLE 2942 0 19258 Vical Inc COM 925602104 1294 293384 SH SOLE 84484 0 208900 VIRNETX HOLDING CORP COM 92823T108 332 13300 SH SOLE 2180 0 11120 Visionchina Media, Inc. - ADR ADR 92833U103 941 758613 SH SOLE 0 0 758613 Wabash National Corp. COM 929566107 2656 338732 SH SOLE 111105 0 227627 WALTER INVESTMENT MANAGEMENT COM 93317W102 7017 342112 SH SOLE 204416 0 137696 Waste Connections, Inc. COM 941053100 5453 164553 SH SOLE 120405 0 44148 WELLS FARGO & COMPANY CNV 949746804 1,584 1,500 SH SOLE 1,500 0 0 WESCO AIRCRAFT HOLDINGS INC COM 950814103 218 15600 SH SOLE 5292 0 10308 Westport Innovations, Inc. ADR 960908309 16667 501422 SH SOLE 373135 0 128287 Whiting Petroleum Corp. COM 966387102 789 16900 SH SOLE 3533 0 13367 Whole Foods Market, Inc. COM 966837106 12669 182083 SH SOLE 144165 0 37918 Woodward, Inc. COM 980745103 13428 328082 SH SOLE 228570 0 99512 WTS/GENERAL MOTORS COMPANY WTS 37045V118 204 17,371 SH SOLE 17,371 0 0 WTS/GENERAL MOTORS COMPANY WTS 37045V126 136 17,371 SH SOLE 17,371 0 0 Yum Brands, Inc. COM 988498101 1118 18939 SH SOLE 18939 0 0 Zygo Corp. COM 989855101 1827 103539 SH SOLE 36755 0 66784