-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, SpwNzF7fifX32cF1/giFn3M7hJ0bpclTOfZm4MfPORGBNTx7UStKF4IO4ZYYmg9T zUTL6rGfxxgj4I3QaG0ysw== 0001140361-10-045440.txt : 20101115 0001140361-10-045440.hdr.sgml : 20101115 20101115103224 ACCESSION NUMBER: 0001140361-10-045440 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101115 DATE AS OF CHANGE: 20101115 EFFECTIVENESS DATE: 20101115 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: 101189730 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 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 9/30/2010 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 form. 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 11/15/2010 - --------------------------------- --------------------------------- ---------- [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: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 403 Form 13F Information Table Value Total: $ 2,276,437 -------------- (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 - -------------------------------- -------------- --------- -------- ---------- --- ---- ---------- -------- ---------- ------ ------- Agco Corp. COM 001084102 1329 34072 SH SOLE 26883 0 7189 Axt Inc. COM 00246W103 5737 866690 SH SOLE 363495 0 503195 ACACIA RESEARCH - ACACIA TEC COM 003881307 1313 74629 SH SOLE 34034 0 40595 ACME PACKET INC COM 004764106 12696 334635 SH SOLE 234426 0 100209 Acorda Therapeutics, Inc. COM 00484M106 9671 292869 SH SOLE 235979 0 56890 Advance Auto Parts COM 00751Y106 7555 128754 SH SOLE 86691 0 42063 Advisory Board Co/The COM 00762W107 3446 78047 SH SOLE 40891 0 37156 Air Transport Services Group COM 00922R105 530 86980 SH SOLE 39746 0 47234 Airmedia Group, Inc. - ADR ADR 009411109 2278 384819 SH SOLE 65085 0 319734 AKORN INC COM 009728106 3159 781860 SH SOLE 287692 0 494168 Alexion Pharmaceuticals, Inc. COM 015351109 9243 143616 SH SOLE 109343 0 34273 Alkermes Inc. COM 01642T108 11888 811458 SH SOLE 556432 0 255026 ALLEGHENY TECH INC CNV 01741RAD4 1,358 1,000,000 PRN SOLE 1,000,000 0 0 Allergan, Inc. COM 018490102 1751 26325 SH SOLE 23060 0 3265 Allied Nevada Gold Corp. COM 019344100 8258 311632 SH SOLE 206867 0 104765 Amazon.com, Inc. COM 023135106 4715 30018 SH SOLE 26278 0 3740 AMERESCO INC - CL A COM 02361E108 2077 174517 SH SOLE 78333 0 96184 American Commercial Lines Inc COM 025195405 2655 95227 SH SOLE 43601 0 51626 American Eagle Outfitters COM 02553E106 4082 272885 SH SOLE 247255 0 25630 American Express Co. COM 025816109 3365 80051 SH SOLE 71911 0 8140 American Tower Corp. - A COM 029912201 8395 163773 SH SOLE 118862 0 44911 Amerigon Inc COM 03070L300 8370 812584 SH SOLE 432105 0 380479 Amtech Systems Inc. COM 032332504 11056 615567 SH SOLE 314073 0 301494 Amylin Pharmaceuticals Inc. COM 032346108 860 41252 SH SOLE 32643 0 8609 Anadigics Inc. COM 032515108 2883 473463 SH SOLE 255959 0 217504 ANCESTRY.COM INC COM 032803108 1370 60200 SH SOLE 45630 0 14570 Andersons Inc. COM 034164103 3638 96000 SH SOLE 72745 0 23255 Apple, Inc. COM 037833100 20287 71495 SH SOLE 55614 0 15881 Apple, Inc. PUT 037833100 3121 11000 SH PUT SOLE 0 0 11000 Applied Micro Circuits Corp COM 03822W406 5610 561040 SH SOLE 345514 0 215526 Aqua America, Inc. COM 03836W103 3941 193162 SH SOLE 145350 0 47812 ArQule Inc. COM 04269E107 1287 249869 SH SOLE 114412 0 135457 Aruba Networks, Inc. COM 043176106 10765 504463 SH SOLE 374698 0 129765 ASHFORD HOSPITALITY TRUST COM 044103109 2983 329601 SH SOLE 152929 0 176672 Atlas Pipeline Partners-uts. COM 049392103 3347 190795 SH SOLE 117861 0 72934 Atmel Corp. COM 049513104 796 100000 SH SOLE 73857 0 26143 AUTONAVI HOLDINGS LTD-ADR COM 05330F106 3659 209106 SH SOLE 123120 0 85986 AVANIR PHARMACEUTICALS INC-A COM 05348P401 5397 1691763 SH SOLE 847737 0 844026 Baidu, Inc. - SP ADR ADR 056752108 14204 138415 SH SOLE 114657 0 23758 Ballantyne Strong Inc COM 058516105 3032 350465 SH SOLE 160326 0 190139 Banco Santander (Chile) - ADR ADR 05965X109 6494 67265 SH SOLE 62423 0 4842 Bank of America Corp. COM 060505104 2640 201387 SH SOLE 182291 0 19096 BE Aerospace, Inc. COM 073302101 39627 1307381 SH SOLE 952087 0 355294 Brigham Exploration Co. COM 109178103 16031 854990 SH SOLE 524195 0 330795 Broadcom Corp. - A COM 111320107 1775 50149 SH SOLE 41496 0 8653 BROADSOFT INC COM 11133B409 2270 262096 SH SOLE 119329 0 142767 Bucyrus International, Inc. COM 118759109 4864 70139 SH SOLE 56635 0 13504 CAI INTERNATIONAL INC COM 12477X106 3678 242443 SH SOLE 110065 0 132378 CBS Corp. - B COM 124857202 254 15988 SH SOLE 3786 0 12202 Cb Richard Ellis Group Inc. - A COM 12497T101 2268 124051 SH SOLE 15045 0 109006 CTC Media, Inc. ADR 12642X106 992 45193 SH SOLE 0 0 45193 CALAVO GROWERS INC COM 128246105 2520 116231 SH SOLE 53221 0 63010 Callidus Software Inc COM 13123E500 1985 464817 SH SOLE 243283 0 221534 Cameron International Corp. COM 13342B105 929 21616 SH SOLE 18799 0 2817 CARBO Ceramics, Inc. COM 140781105 9243 114109 SH SOLE 83613 0 30496 Caribou Coffee Co Inc COM 142042209 2620 251931 SH SOLE 112762 0 139169 Caterpillar, Inc. COM 149123101 4463 56720 SH SOLE 44879 0 11841 Cavium Networks Inc COM 14965A101 797 27705 SH SOLE 21859 0 5846 Celgene Corp. COM 151020104 5818 100983 SH SOLE 90372 0 10611 CEPHALON, INC. CNV 156708AR0 1,125 1,000,000 PRN SOLE 1,000,000 0 0
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 - -------------------------------- -------------- --------- -------- ---------- --- ---- ---------- -------- ---------- ------ ------- Cepheid Inc COM 15670R107 5185 277108 SH SOLE 170898 0 106210 Cerner Corp. COM 156782104 2019 24042 SH SOLE 21066 0 2976 Cerus Corp. COM 157085101 1344 350000 SH SOLE 160250 0 189750 Ceva Inc COM 157210105 2289 160063 SH SOLE 72995 0 87068 Chicago Bridge & Iron Co. NV ADR 167250109 9495 387981 SH SOLE 354914 0 33067 Childrens Place Retail COM 168905107 3558 72956 SH SOLE 55366 0 17590 CHINA KANGHUI HOLD-SPON ADR ADR 16890V100 3997 282089 SH SOLE 52927 0 229162 China Real Estate Information ADR 16948Q103 442 41100 SH SOLE 0 0 41100 Corp. - ADR CHINA LODGING GROUP-SPON ADS ADR 16949N109 1844 78586 SH SOLE 9324 0 69262 Chipotle Mexican Grill - A COM 169656105 3359 19528 SH SOLE 16436 0 3092 Ciena Corp. COM 171779309 10850 696852 SH SOLE 549454 0 147398 Cirrus Logic Inc. COM 172755100 892 50000 SH SOLE 22745 0 27255 Cisco Systems, Inc. COM 17275R102 3576 163297 SH SOLE 137392 0 25905 CITIGROUP INC. COM 172967416 590 5,000 SH SOLE 5,000 0 0 Citrix Systems, Inc. COM 177376100 3955 57959 SH SOLE 43553 0 14406 Clarient Inc COM 180489106 341 100900 SH SOLE 2792 0 98108 Guggenheim China All-Cap ETF COM 18385P101 1683 61600 SH SOLE 0 0 61600 Cliffs Natural Resources, Inc. COM 18683K101 3857 60337 SH SOLE 44899 0 15438 Coca-Cola Co. /The COM 191216100 3834 65515 SH SOLE 59304 0 6211 Cognizant Tech. Solutions Corp. COM 192446102 1845 28623 SH SOLE 20448 0 8175 Coinstar, Inc. COM 19259P300 9927 230920 SH SOLE 185594 0 45326 Kenneth Cole Productions COM 193294105 1674 100390 SH SOLE 45855 0 54535 Comerica, Inc. COM 200340107 2782 74898 SH SOLE 67796 0 7102 Commercial Vehicle Group Inc COM 202608105 4427 434892 SH SOLE 188181 0 246711 Companhia De Bebidas - PREF ADR ADR 20441W203 3473 28054 SH SOLE 19854 0 8200 Complete Production Services COM 20453E109 19311 944286 SH SOLE 645968 0 298318 Comscore Inc COM 20564W105 15727 668644 SH SOLE 376039 0 292605 Concho Resources, Inc. COM 20605P101 3937 59502 SH SOLE 36158 0 23344 CONTINENTAL AIRLINES, INC. CNV 210795PJ3 316 250,000 PRN SOLE 250,000 0 0 Cost Plus Inc./California COM 221485105 756 182059 SH SOLE 84125 0 97934 Costco Wholesale Corp. COM 22160K105 4301 66695 SH SOLE 56377 0 10318 COUNTRY STYLE COOKING - SPON ADR ADR 22238M109 575 20100 SH SOLE 3326 0 16774 Cree, Inc. COM 225447101 2269 41791 SH SOLE 34964 0 6827 Crocs, Inc. COM 227046109 17717 1361762 SH SOLE 1004127 0 357635 Crown Castle Intl. Corp. COM 228227104 7632 172866 SH SOLE 128665 0 44201 Ctrip.com International - ADR ADR 22943F100 21677 453768 SH SOLE 376444 0 77324 Cummins, Inc. COM 231021106 7467 82430 SH SOLE 65380 0 17050 Cyberonics COM 23251P102 10985 411733 SH SOLE 272204 0 139529 Cypress Semiconductor Corp. COM 232806109 4145 329460 SH SOLE 244958 0 84502 Cytek Industries Inc. COM 232820100 1521 26979 SH SOLE 21315 0 5664 DSW INC-CLASS A COM 23334L102 671 23369 SH SOLE 18438 0 4931 Deckers Outdoor Corp. COM 243537107 5431 108698 SH SOLE 80863 0 27835 Deere & Co. COM 244199105 11289 161778 SH SOLE 131498 0 30280 Denbury Resources, Inc. COM 247916208 1240 78035 SH SOLE 61591 0 16444 DEXCOM INC COM 252131107 5172 391228 SH SOLE 180325 0 210903 Discovery Communications - A COM 25470F104 7944 182419 SH SOLE 155216 0 27203 DIRECTV - Class A COM 25490A101 520 12500 SH SOLE 2957 0 9543 Dollar General Corp. COM 256677105 4878 166756 SH SOLE 145968 0 20788 Dollar Tree, Inc. COM 256746108 5705 117008 SH SOLE 87067 0 29941 DR PEPPER SNAPPLE GROUP INC COM 26138E109 943 26550 SH SOLE 23206 0 3344 Duoyuan Global Water, Inc. - ADR 266043108 280 21498 SH SOLE 0 0 21498 ADR E-House China Holdings - ADS ADR 26852W103 422 22349 SH SOLE 0 0 22349 EMC Corp. COM 268648102 11207 551814 SH SOLE 478322 0 73492 EOG Resources, Inc. COM 26875P101 1722 18518 SH SOLE 16221 0 2297 Ecopetrol SA - SP ADR ADR 279158109 12599 301663 SH SOLE 278670 0 22993 Edwards Lifesciences Corp. COM 28176E108 11393 169911 SH SOLE 128603 0 41308 8x8 Inx COM 282914100 120 55666 SH SOLE 34298 0 21368 Perry Ellis International COM 288853104 1646 75327 SH SOLE 34968 0 40359
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 - -------------------------------- -------------- --------- -------- ---------- --- ---- ---------- -------- ---------- ------ ------- Elong Inc-sponsored Adr ADR 290138205 1742 91188 SH SOLE 41574 0 49614 EMERGENT BIOSOLUTIONS INC COM 29089Q105 10861 629231 SH SOLE 357688 0 271543 ENDEAVOUR INTERNATIONAL CORP COM 29259G101 39 30000 SH SOLE 30000 0 0 ENTROPIC COMMUNICATIONS INC COM 29384R105 23356 2432892 SH SOLE 1336248 0 1096644 Equinix, Inc. COM 29444U502 10352 101141 SH SOLE 83776 0 17365 Express Scripts, Inc. - A COM 302182100 4871 100021 SH SOLE 84886 0 15135 Fsi International Inc. COM 302633102 1099 413184 SH SOLE 189558 0 223626 FTI Consulting, Inc. COM 302941109 2492 71829 SH SOLE 53404 0 18425 Family Dollar Stores COM 307000109 1960 44389 SH SOLE 35024 0 9365 F5 Networks, Inc. COM 315616102 8193 78926 SH SOLE 48291 0 30635 Fibria Celulose SA - SP ADR ADR 31573A109 7751 447803 SH SOLE 409585 0 38218 Fifth Third Bancorp COM 316773100 2680 222762 SH SOLE 201639 0 21123 Finisar Corp. COM 31787A507 27435 1460062 SH SOLE 1042777 0 417285 Focus Media Holding - ADR ADR 34415V109 34241 1409097 SH SOLE 926681 0 482416 Ford Motor Co. COM 345370860 2497 203980 SH SOLE 156016 0 47964 FORD MOTOR COMPANY CNV 345370CN8 2,015 1,350,000 PRN SOLE 1,350,000 0 0 Ford Motor Co. COM 345395206 63 1,313 SH SOLE 1,313 0 0 FORTINET INC COM 34959E109 2247 89898 SH SOLE 68178 0 21720 Freeport McMoran Copper - B COM 35671D857 7498 87813 SH SOLE 78636 0 9177 G-III Apparel Group Ltd. COM 36237H101 3122 99504 SH SOLE 45495 0 54009 GSI Commerce, Inc. COM 36238G102 589 23826 SH SOLE 6671 0 17155 GT Solar International, Inc. COM 3623E0209 2436 290998 SH SOLE 283063 0 7935 Genesee & Wyoming, Inc. COM 371559105 4101 94520 SH SOLE 70272 0 24248 GLOBE SPECIALTY METALS INC COM 37954N206 3903 277994 SH SOLE 210775 0 67219 Golden Star Resources Ltd COM 38119T104 3662 742744 SH SOLE 456145 0 286599 Goldman Sachs Group, Inc. COM 38141G104 4274 29562 SH SOLE 26747 0 2815 Google, Inc. - A COM 38259P508 11151 21209 SH SOLE 18918 0 2291 GREAT BASIN GOLD LTD ADR 390124105 6256 2553381 SH SOLE 1652200 0 901181 GREEN DOT CORP - CLASS A COM 39304D102 1702 35113 SH SOLE 10935 0 24178 Green Mountain Coffee COM 393122106 15583 499604 SH SOLE 364060 0 135544 Greenbrier Companies Inc. COM 393657101 3067 196738 SH SOLE 84370 0 112368 Greenhill & Co., Inc. COM 395259104 2833 35716 SH SOLE 26590 0 9126 HMS Holdings Corp. COM 40425J101 13296 225586 SH SOLE 163829 0 61757 HSN, Inc. COM 404303109 1135 37944 SH SOLE 28164 0 9780 Halliburton Co. COM 406216101 6058 183193 SH SOLE 164026 0 19167 Hansen Natural Corp. COM 411310105 5729 122883 SH SOLE 92936 0 29947 Harman International COM 413086109 1829 54756 SH SOLE 38435 0 16321 HARRY WINSTON DIAMOND CORP ADR 41587B100 1261 108327 SH SOLE 66438 0 41889 Hasbro Inc. COM 418056107 677 15209 SH SOLE 3603 0 11606 HEARTWARE INTERNATIONAL INC COM 422368100 4296 62482 SH SOLE 38541 0 23941 Hershey Co. COM 427866108 4457 93653 SH SOLE 84961 0 8692 HERTZ GLOBAL HOLDINGS, INC. CNV 42805TAA3 1,102 750,000 PRN SOLE 750,000 0 0 Hexcel Corp. COM 428291108 14430 811117 SH SOLE 544713 0 266404 Hill-Rom Holdings Inc COM 431475102 2338 65134 SH SOLE 40354 0 24780 HISOFT TECHNOLOGY INT-ADR ADR 43358R108 1634 66469 SH SOLE 30379 0 36090 Home Inns & Hotels Manag. - ADR ADR 43713W107 11551 233630 SH SOLE 94784 0 138846 Human Genome Sciences Inc. COM 444903108 5116 171749 SH SOLE 130643 0 41106 Huntington Bancshares COM 446150104 462 81135 SH SOLE 64040 0 17095 IPG PHOTONICS CORP COM 44980X109 11100 459823 SH SOLE 292285 0 167538 Irsa - ADR ADR 450047204 611 41321 SH SOLE 1137 0 40184 Ixia COM 45071R109 8336 672260 SH SOLE 443038 0 229222 ICON PLC - SP ADR ADR 45103T107 15024 694493 SH SOLE 564619 0 129874 ICICI Bank, Ltd. - SP ADR ADR 45104G104 14143 283467 SH SOLE 247218 0 36249 Illumina COM 452327109 10173 206774 SH SOLE 175024 0 31750 Imax Corp ADR 45245E109 959 56890 SH SOLE 12354 0 44536 Immunogen Inc. COM 45253H101 8867 1414174 SH SOLE 817230 0 596944 Impax Laboratories Inc. COM 45256B101 7015 354278 SH SOLE 251681 0 102597 Incyte Corp COM 45337C102 5617 351263 SH SOLE 266733 0 84530 Informatica Corp. COM 45666Q102 5759 149930 SH SOLE 112359 0 37571 INFINERA CORP COM 45667G103 7727 662095 SH SOLE 442761 0 219334
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 - -------------------------------- -------------- --------- -------- ---------- --- ---- ---------- -------- ---------- ------ ------- Insulet Corp COM 45784P101 3294 232958 SH SOLE 106754 0 126204 Integrated Silicon Solut COM 45812P107 95 11030 SH SOLE 304 0 10726 Inter Parfums Inc COM 458334109 3930 223418 SH SOLE 91104 0 132314 Intercontinental Exchange, Inc. COM 45865V100 4937 47144 SH SOLE 41494 0 5650 Interface Inc. COM 458665106 10389 730044 SH SOLE 494758 0 235286 INTERNATIONAL GAME TEK CNV 459902AQ5 22,688 21,313,000 PRN SOLE 21,313,000 0 0 Internet Capital Group Inc COM 46059C205 1859 168551 SH SOLE 74699 0 93852 INTRALINKS HOLDINGS INC COM 46118H104 2875 170000 SH SOLE 128905 0 41095 LIFE TECHNOLOGIES CORPORATION CNV 46185RAM2 604 542,000 PRN SOLE 542,000 0 0 ISHARES MSCI BRAZIL COM 464286400 1014 13173 SH SOLE 5229 0 7944 Ishares Ftse/Xinhua China 25 COM 464287184 1280 29900 SH SOLE 0 0 29900 Ishares MSCI Emerging Markets PUT 464287234 300 300000 SH PUT SOLE 0 0 300000 Index Fund Ishares Russell Midcap Grwth COM 464287481 3952 79325 SH SOLE 78055 0 1270 ISHARES RUSSELL 1000 GROWTH COM 464287614 2000 38940 SH SOLE 38940 0 0 Ishares Russell 2000 Growth COM 464287648 1330 17800 SH SOLE 17800 0 0 IShares Russell Micro Cap Inx COM 464288869 593 14130 SH SOLE 14130 0 0 ISILON SYSTEMS INC COM 46432L104 11626 521818 SH SOLE 296312 0 225506 Itau Unibanco Holding - PREF ADR ADR 465562106 2803 115940 SH SOLE 104946 0 10994 JA Solar Holdings Co., Ltd. - ADR 466090107 409 43800 SH SOLE 11973 0 31827 ADR Jds Uniphase Corp COM 46612J507 225 18175 SH SOLE 7170 0 11005 Jakks Pacific Inc. COM 47012E106 978 55469 SH SOLE 25340 0 30129 JINKOSOLAR HOLDING CO-ADR ADR 47759T100 2843 89940 SH SOLE 20589 0 69351 Joy Global Inc COM 481165108 2813 40000 SH SOLE 29594 0 10406 Juniper Networks, Inc. COM 48203R104 1977 65153 SH SOLE 57070 0 8083 KKR FINANCIAL HOLDINGS LLC COM 48248A306 3180 362144 SH SOLE 222857 0 139287 K-Swiss Inc. - Cl. A COM 482686102 2121 166361 SH SOLE 76882 0 89479 Kansas City Southern COM 485170302 615 16428 SH SOLE 12971 0 3457 KENDLE INTERNATIONAL INC. CNV 48880LAA5 924 1,000,000 PRN SOLE 1,000,000 0 0 Kennametal Inc. COM 489170100 1516 49000 SH SOLE 36253 0 12747 Keryx Biopharmaceuticals COM 492515101 1624 337591 SH SOLE 153948 0 183643 Kodiak Oil & Gas Corp COM 50015Q100 3410 1006014 SH SOLE 616195 0 389819 Krispy Kreme Doughnuts Inc COM 501014104 1102 240593 SH SOLE 110202 0 130391 LDK SOLAR CO LTD PUT 50183L107 320 71,140 SH PUT SOLE 71,140 0 0 LDK SOLAR CO., LTD. CNV 50183LAB3 1,317 1,356,000 PRN SOLE 1,356,000 0 0 L M I Aerospace Inc COM 502079106 1654 103906 SH SOLE 47115 0 56791 Ladish Company Inc. COM 505754200 13766 442220 SH SOLE 218858 0 223362 Las Vegas Sands Corp. COM 517834107 25190 722811 SH SOLE 431348 0 291463 Las Vegas Sands Corp. CALL 517834107 349 10000 SH CALL SOLE 0 0 10000 Lattice Semiconductor Corp. COM 518415104 1864 392520 SH SOLE 178974 0 213546 LEAR CORPORATION CMN COM 521865204 10,182 129,010 SH SOLE 129,010 0 0 LIMELIGHT NETWORKS INC COM 53261M104 1381 234524 SH SOLE 106961 0 127563 Lindsay Corp COM 535555106 2241 51742 SH SOLE 23594 0 28148 Liveperson Inc COM 538146101 3236 385253 SH SOLE 175693 0 209560 LOGMEIN INC COM 54142L109 6496 180556 SH SOLE 123044 0 57512 Lufkin Industries Inc. COM 549764108 3516 80101 SH SOLE 60397 0 19704 Lululemon Athletica, Inc. ADR 550021109 2129 47608 SH SOLE 35359 0 12249 MBIA INC. PUT 55262C100 92 1,100 SH PUT SOLE 1,100 0 0 MGIC Investment Corp. COM 552848103 4012 434616 SH SOLE 393425 0 41191 Macy's, Inc. COM 55616P104 499 21638 SH SOLE 5127 0 16511 MAIDENFORM BRANDS INC COM 560305104 11295 391524 SH SOLE 241313 0 150211 MAP PHARMACEUTICALS INC COM 56509R108 1355 88586 SH SOLE 40804 0 47782 Marathon Oil Corp. COM 565849106 2027 61244 SH SOLE 53604 0 7640 Market Vectors Russia Etf COM 57060U506 18152 558000 SH SOLE 0 0 558000 McDonald's Corp. COM 580135101 5073 68090 SH SOLE 55332 0 12758 Mechel OAO - ADR ADR 583840103 24616 988221 SH SOLE 913567 0 74654 Melco Crown Entertainment - ADR ADR 585464100 8215 1620376 SH SOLE 970414 0 649962 MercadoLibre, Inc. ADR 58733R102 15190 210332 SH SOLE 147682 0 62650 Merge Healthcare Inc COM 589499102 430 148192 SH SOLE 20890 0 127302
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 - -------------------------------- -------------- --------- -------- ---------- --- ---- ---------- -------- ---------- ------ ------- Mesabi Trust COM 590672101 2770 76322 SH SOLE 34243 0 42079 MetroPCS Communications, Inc. COM 591708102 223 21300 SH SOLE 589 0 20711 Mips Technologies Inc COM 604567107 3168 325300 SH SOLE 75783 0 249517 Mobile Telesystems - SP ADR ADR 607409109 17646 830827 SH SOLE 766287 0 64540 MORGAN STANLEY CHINA A SHARE COM 617468103 673 24372 SH SOLE 0 0 24372 MORGANS HOTEL GROUP CO COM 61748W108 2832 386853 SH SOLE 126737 0 260116 NII Holdings, Inc. - B COM 62913F201 2472 60139 SH SOLE 33597 0 26542 NII HOLDINGS, INC. CNV 62913FAJ1 16,059 16,600,000 PRN SOLE 16,600,000 0 0 NN Inc COM 629337106 2096 254040 SH SOLE 103741 0 150299 N P S Pharmaceuticals COM 62936P103 2289 334658 SH SOLE 153373 0 181285 Nanometrics Inc. COM 630077105 1354 89953 SH SOLE 41189 0 48764 Nektar Therapeutics COM 640268108 43956 2976042 SH SOLE 2085484 0 890558 NEO MATERIAL TECHNOLOGIES IN ADR 64045Y108 1682 350000 SH SOLE 160168 0 189832 NetApp, Inc. COM 64110D104 6603 132611 SH SOLE 104848 0 27763 Netflix, Inc. COM 64110L106 2738 16887 SH SOLE 10877 0 6010 NETSUITE INC COM 64118Q107 4617 195900 SH SOLE 115516 0 80384 Neurocrine Biosciences COM 64125C109 467 77000 SH SOLE 30504 0 46496 Newpark Resources Inc COM 651718504 3366 400699 SH SOLE 304106 0 96593 Nike, Inc. - B COM 654106103 4722 58920 SH SOLE 48761 0 10159 99 Cents Only Stores COM 65440K106 16947 897623 SH SOLE 603235 0 294388 NORTHERN OIL AND GAS INC COM 665531109 8493 501340 SH SOLE 289437 0 211903 Nu Skin Enterprises, Inc. COM 67018T105 4523 157054 SH SOLE 116754 0 40300 NXSTAGE MEDICAL INC COM 67072V103 4949 259135 SH SOLE 183568 0 75567 O S I Systems Inc COM 671044105 4345 119621 SH SOLE 54722 0 64899 Oasis Petroleum, Inc. COM 674215108 7818 403595 SH SOLE 302037 0 101558 Occidental Petroleum Corp. COM 674599105 2411 30793 SH SOLE 26974 0 3819 OCH-ZIFF Capital Management - A COM 67551U105 3415 229210 SH SOLE 207172 0 22038 OCLARO INC COM 67555N206 8982 560995 SH SOLE 293411 0 267584 Oil States International COM 678026105 610 13114 SH SOLE 10353 0 2761 Omnivision Technologies COM 682128103 15238 661393 SH SOLE 480587 0 180806 ON SEMICONDUCTOR CORPORATION CNV 682189AG0 656 650,000 PRN SOLE 650,000 0 0 OPENTABLE INC COM 68372A104 3407 50040 SH SOLE 37235 0 12805 Oracle Corp. COM 68389X105 5843 217610 SH SOLE 179590 0 38020 P F Changs China Bistro Inc. COM 69333Y108 3661 79235 SH SOLE 60006 0 19229 Posco ADR ADR 693483109 1583 13886 SH SOLE 7562 0 6324 Paccar, Inc. COM 693718108 3990 82866 SH SOLE 75076 0 7790 PACIFIC RUBIALES ENERGY CORP ADR 69480U206 3868 137614 SH SOLE 32532 0 105082 Pacific Sunwear Cal COM 694873100 3447 659019 SH SOLE 301445 0 357574 Pan Amer Silver Corp. ADR 697900108 2403 81219 SH SOLE 35325 0 45894 Panera Bread Co. COM 69840W108 3385 38206 SH SOLE 26681 0 11525 PANTRY INC COM 698657103 2040 84597 SH SOLE 36012 0 48585 Parexel Intl Corp COM 699462107 11298 488473 SH SOLE 321606 0 166867 PEABODY ENERGY CORPORATION COM 704549104 506 10,325 SH SOLE 10,325 0 0 Petroleo Brasileiro SA ADR 71654V408 18035 496986 SH SOLE 458504 0 38482 Petroleum Development Corp. COM 716578109 2029 73519 SH SOLE 33648 0 39871 Pharmacyclics Inc COM 716933106 3078 380997 SH SOLE 172986 0 208011 Pharmaceutical Prod Dev COM 717124101 1537 61985 SH SOLE 48903 0 13082 PHARMASSET INC COM 71715N106 2029 68923 SH SOLE 52270 0 16653 Pier 1 Imports Inc./Del. COM 720279108 2326 283950 SH SOLE 189081 0 94869 Polaris Industries COM 731068102 3722 57169 SH SOLE 42509 0 14660 Popular, Inc. ADR 733174106 2712 935267 SH SOLE 846712 0 88555 Power-One Inc COM 73930R102 3604 396445 SH SOLE 240084 0 156361 priceline.com, Inc. COM 741503403 21261 61036 SH SOLE 49099 0 11937 ProShares Ultra Oil COM 74347R719 1638 52000 SH SOLE 0 0 52000 Protalix BioTherapeutics Inc ADR 74365A101 5519 635129 SH SOLE 346107 0 289022 Questcor Pharmaceuticals Inc COM 74835Y101 8659 872868 SH SOLE 540243 0 332625 RPC Inc. COM 749660106 13101 619152 SH SOLE 396269 0 222883 RF Micro Devices Inc COM 749941100 3257 530397 SH SOLE 308096 0 222301 Rackspace Hosting, Inc. COM 750086100 7984 307303 SH SOLE 206702 0 100601 Radiation Systems Inc. COM 75025N102 12702 742371 SH SOLE 420275 0 322096
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 - -------------------------------- -------------- --------- -------- ---------- --- ---- ---------- -------- ---------- ------ ------- Randgold Resources, Ltd. - ADR ADR 752344309 13330 131297 SH SOLE 112979 0 18318 REALD INC COM 75604L105 1477 79868 SH SOLE 49216 0 30652 Red Hat, Inc. COM 756577102 3140 76575 SH SOLE 57776 0 18799 REGIS CORP. CNV 758932AA5 703 500,000 PRN SOLE 500,000 0 0 Renesola, Ltd. - ADR ADR 75971T103 18166 1453277 SH SOLE 819158 0 634119 Rentrak Corporation COM 760174102 3318 131314 SH SOLE 60152 0 71162 Republic Airways Holdings Inc COM 760276105 3034 366392 SH SOLE 167396 0 198996 Resmed, Inc. COM 761152107 7057 215093 SH SOLE 170381 0 44712 Rex Energy Corp COM 761565100 1643 128377 SH SOLE 58661 0 69716 Riverbed Technology, Inc. COM 768573107 14227 312137 SH SOLE 230542 0 81595 Rovi Corp. COM 779376102 23121 458651 SH SOLE 324988 0 133663 Ryanair Holdings PLC - SP ADR ADR 783513104 1393 45213 SH SOLE 35689 0 9524 S & P 500 Depositary Receipt PUT 78462F103 14266 125000 SH PUT SOLE 0 0 125000 Spdr S&P China Etf COM 78463X400 1380 18100 SH SOLE 0 0 18100 SXC Health Solutions Corp. ADR 78505P100 3289 90180 SH SOLE 65976 0 24204 Salix Pharmaceuticals, Ltd. COM 795435106 6078 153026 SH SOLE 109842 0 43184 Satcon Technology Corp COM 803893106 12229 3252288 SH SOLE 1797864 0 1454424 Sauer Inc. COM 804137107 1060 49800 SH SOLE 12546 0 37254 7 DAYS GROUP HOLDINGS LT-ADR ADR 81783J101 4302 239130 SH SOLE 181298 0 57832 Shire PLC - ADR ADR 82481R106 2925 43475 SH SOLE 38075 0 5400 Silicon Image Inc COM 82705T102 10672 2232623 SH SOLE 1121541 0 1111082 Silver Wheaton Corp. ADR 828336107 395 14805 SH SOLE 407 0 14398 Sinclair Broadcast Group COM 829226109 264 37669 SH SOLE 1035 0 36634 Sirona Dental Systems, Inc. COM 82966C103 376 10421 SH SOLE 4194 0 6227 Sirius XM Radio Inc COM 82967N108 540 449841 SH SOLE 60398 0 389443 Skechers USA, Inc. - A COM 830566105 5270 224360 SH SOLE 158777 0 65583 Skyworks Solutions, Inc. COM 83088M102 653 31573 SH SOLE 7876 0 23697 SOLARFUN POWER HOLD-SPON ADR ADR 83415U108 6645 505346 SH SOLE 207450 0 297896 Solera Holdings, Inc. COM 83421A104 1472 33332 SH SOLE 24707 0 8625 Sonic Solutions COM 835460106 1595 140136 SH SOLE 64097 0 76039 Sotheby's COM 835898107 2899 78733 SH SOLE 14632 0 64101 SOURCEFIRE INC COM 83616T108 2876 99708 SH SOLE 75569 0 24139 Southern Copper Corp COM 84265V105 9962 283664 SH SOLE 263598 0 20066 Spreadtrum Commnication - ADR ADR 849415203 437 36200 SH SOLE 14343 0 21857 Starbucks Corp. COM 855244109 792 30983 SH SOLE 19578 0 11405 Starwood Hotels & Resorts COM 85590A401 9024 171727 SH SOLE 113394 0 58333 Worldwide Stillwater Mining Co COM 86074Q102 5679 337225 SH SOLE 221458 0 115767 Successfactors Inc COM 864596101 2224 88559 SH SOLE 20425 0 68134 SUNTECH POWER HOLDINGS CO PUT 86800C104 226 25,116 SH PUT SOLE 25,116 0 0 SUNTECH POWER HOLDINGS CO CNV 86800CAE4 43,207 49,652,000 PRN SOLE 49,652,000 0 0 Support.com Inc COM 86858W101 6577 1436110 SH SOLE 820127 0 615983 Sycamore Networks Inc COM 871206405 412 12700 SH SOLE 2544 0 10156 TJX Companies, Inc. COM 872540109 4351 97491 SH SOLE 85372 0 12119 Tal International Group Inc COM 874083108 4624 190900 SH SOLE 87062 0 103838 Talbots, Inc. COM 874161102 6388 487631 SH SOLE 418657 0 68974 Taleo Corp-Class A COM 87424N104 2130 73480 SH SOLE 55701 0 17779 TARGACEPT INC COM 87611R306 1232 55127 SH SOLE 25237 0 29890 Target Corp. COM 87612E106 6137 114834 SH SOLE 102525 0 12309 Tata Motors Ltd-spon Adr ADR 876568502 634 24850 SH SOLE 5884 0 18966 Tennant Co COM 880345103 1569 50764 SH SOLE 23115 0 27649 Tenneco Inc COM 880349105 15853 547238 SH SOLE 382769 0 164469 Terex Corp. COM 880779103 3635 158613 SH SOLE 142676 0 15937 Textron, Inc. COM 883203101 2531 123086 SH SOLE 111661 0 11425 Thoratec Corp. COM 885175307 33524 906547 SH SOLE 671360 0 235187 Tibco Software Inc COM 88632Q103 5041 284132 SH SOLE 215852 0 68280 Titan International Inc COM 88830M102 9180 676456 SH SOLE 385316 0 291140 Titan Machinery Inc COM 88830R101 4628 283932 SH SOLE 123034 0 160898 TPC GROUP INC COM 89236Y104 2391 100386 SH SOLE 45901 0 54485 Travelzoo Inc COM 89421Q106 578 22447 SH SOLE 10257 0 12190
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 - -------------------------------- -------------- --------- -------- ---------- --- ---- ---------- -------- ---------- ------ ------- TREX COMPANY INC CNV 89531PAA3 1,338 1,229,000 SH SOLE 1,229,000 0 0 Trina Solar, Ltd. - ADR ADR 89628E104 19162 634924 SH SOLE 430029 0 204895 Trina Solar PUT 89628E104 35 20,000 SH PUT SOLE 20,000 0 0 Trinity Industries COM 896522109 4150 186368 SH SOLE 168730 0 17638 Triumph Group, Inc. COM 896818101 14866 199305 SH SOLE 149294 0 50011 UAL Corp. PUT 902549807 37 18,636 SH PUT SOLE 18,636 0 0 UAL CORPORATION CNV 902549AE4 1,608 1,600,000 PRN SOLE 1,600,000 0 0 US Airways Group, Inc. COM 90341W108 7224 780945 SH SOLE 632954 0 147991 ULTRA CLEAN HOLDINGS COM 90385V107 1677 194568 SH SOLE 88760 0 105808 Ultratech Stepper Inc. COM 904034105 2765 161717 SH SOLE 73755 0 87962 UNDER ARMOUR INC-CLASS A COM 904311107 13751 305314 SH SOLE 209021 0 96293 United Continental Holdings Inc COM 910047109 4553 192666 SH SOLE 132208 0 60458 United Therapeutics COM 91307C102 7595 135606 SH SOLE 114327 0 21279 Universal Display Corp COM 91347P105 11314 481457 SH SOLE 298665 0 182792 UtStarcom Inc COM 918076100 5976 2754132 SH SOLE 1572352 0 1181780 Valassis Communications Inc. COM 918866104 10413 307249 SH SOLE 227601 0 79648 Vale SA - SP ADR ADR 91912E105 30905 987923 SH SOLE 908780 0 79143 VANCEINFO TECHNOLOGIES-ADR ADR 921564100 3409 105408 SH SOLE 75719 0 29689 VeriFone Systems, Inc. COM 92342Y109 20620 663657 SH SOLE 431271 0 232386 Verisign, Inc. COM 92343E102 5052 159183 SH SOLE 121727 0 37456 VIRGIN MEDIA INC CNV 92769LAB7 36,886 25,050,000 PRN SOLE 25,050,000 0 0 Viropharma Inc COM 928241108 5038 337899 SH SOLE 256454 0 81445 Visionchina Media, Inc. - ADR ADR 92833U103 914 202700 SH SOLE 0 0 202700 VITAMIN SHOPPE INC COM 92849E101 3915 142611 SH SOLE 108066 0 34545 VMware, Inc. COM 928563402 11400 134209 SH SOLE 89342 0 44867 Volcano Corp COM 928645100 6367 245086 SH SOLE 166954 0 78132 WMS Industries, Inc. COM 929297109 4755 124901 SH SOLE 112875 0 12026 Wabash National Corp. COM 929566107 5111 631738 SH SOLE 279729 0 352009 Wells Fargo & Co. PUT 949746101 3 2,071 SH PUT SOLE 2,071 0 0 Westport Innovations, Inc. ADR 960908309 11334 643989 SH SOLE 404078 0 239911 Whole Foods Market, Inc. COM 966837106 11284 304065 SH SOLE 254138 0 49927 Wynn Resorts, Ltd. COM 983134107 1128 12998 SH SOLE 8354 0 4644 Yum Brands Inc COM 988498101 2074 45033 SH SOLE 35762 0 9271 ZIOPHARM ONCOLOGY INC COM 98973P101 1043 278065 SH SOLE 127701 0 150364 Zoll Medical Corp. COM 989922109 4528 140304 SH SOLE 86715 0 53589 FIRSTBANK CORP/ALMA MICH - COM DDH61G100 0 55125 SH SOLE 55125 0 0 fractional shares ENERGY XXI BERMUDA ADR G10082140 1964 85000 SH SOLE 64429 0 20571 Credicorp, Ltd. ADR G2519Y108 10049 88173 SH SOLE 81755 0 6418 Marvell Technologies ADR G5876H105 3070 175034 SH SOLE 161527 0 13507 Orient Express Hotels ADR G67743107 157 14112 SH SOLE 387 0 13725 TRI-TECH HOLDING INC ADR G9103F106 1806 170554 SH SOLE 24805 0 145749 Altisource Portfolio Solutions ADR L0175J104 347 11147 SH SOLE 4416 0 6731 SA Check Point Software Tech., Ltd. ADR M22465104 4988 135057 SH SOLE 110625 0 24432 EZchip Semiconductor Ltd ADR M4146Y108 1633 64676 SH SOLE 29622 0 35054 Radware Ltd ADR M81873107 1871 54460 SH SOLE 24138 0 30322 CNH Global NV ADR N20935206 4153 113141 SH SOLE 104346 0 8795 Copa Holdings SA - A ADR P31076105 4236 78580 SH SOLE 50432 0 28148 MAKEMYTRIP LTD ADR V5633W109 496 12800 SH SOLE 3549 0 9251
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