-----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, KYCRzva62xi0+ejg3dYsysdq/ofiXqyGT8WhZKr4IsJJU5Q3nspfMT8FlAonBG0K YjPhr+o7Jzaryu0DPYbMsA== 0001021771-04-000014.txt : 20040121 0001021771-04-000014.hdr.sgml : 20040121 20040121155935 ACCESSION NUMBER: 0001021771-04-000014 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031231 FILED AS OF DATE: 20040121 EFFECTIVENESS DATE: 20040121 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GAGNON SECURITIES LLC CENTRAL INDEX KEY: 0001125725 IRS NUMBER: 134087058 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06377 FILM NUMBER: 04535227 BUSINESS ADDRESS: STREET 1: P.O. BOX 1370 AVENUE OF THE AMERICAS, STREET 2: SUITE 2002 CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2125545000 MAIL ADDRESS: STREET 1: P.O. BOX 1370 AVENUE OF THE AMERICAS STREET 2: SUITE 2002 CITY: NEW YORK STATE: NY ZIP: 10019 13F-HR 1 f13123103.txt FORM 13F GAGNON SECURITIES LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13f Cover Page Report for the Calendar Year or Quarter Ended December 31, 2003 If amended report check here: ___ Amendment Number: ___ This Amendment (Check only one): ___ is a restatement ___ adds new holding entries. Gagnon Securities LLC Name of Institutional Investment Manager 1370 Ave. of the Americas, Suite 2002 New York NY 10019 Business Address (Street) (City) (State) (Zip) 13F File Number: 28-06377 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, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Sue Ann Murray Authorized Person (212) 554-5000 - -------------------------------------------------------------------------------- Name (Title) (Phone) /s/ Sue Ann Murray --------------------------------- (Manual Signature of Person Duly Authorized to Submit This Report) New York, NY January 21, 2004 --------------------------------- (Place and Date of Signing) Report Type: X 13F HOLDINGS REPORT. __ __ 13F NOTICE. __ 13F COMBINATION REPORT. Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: -0- ------------ Form 13F Information Table Entry Total: 88 ------------ Form 13F Information Table Value Total: $ 397,723 ------------ (thousands) List of Other Included Managers: Name and 13F file numbers of ALL Institutional Investment Managers with respect to which this schedule is filed (other than the one filing this report): (List in alphabetical order). NONE
Title of VALUE SHARES/ SH PUT/ INVSTMT OTHER VOTING AUTHORITY Name of Issuer Class Cusip (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE A D C TELECOMMUNICATION COM COM 000886101 119 40,180 SH SOLE N/A NONE ACTEL CORP COM 004934105 13,008 539,986 SH SOLE N/A NONE ACTUATE CORPORATION COM 00508B102 7,544 2,425,862 SH SOLE N/A NONE ADVANCED DIGITAL INFORMATION CORP COM 007525108 11,113 793,781 SH SOLE N/A NONE AGILE SOFTWARE CORP DEL COM 00846X105 1,144 115,340 SH SOLE N/A NONE ANDREW CORP COM 034425108 1,213 104,660 SH SOLE N/A NONE ARROW INTERNATIONAL INC COM 042764100 6,401 256,238 SH SOLE N/A NONE ASTROPOWER COM 04644A101 256 393,319 SH SOLE N/A NONE AUTOBYTEL INC COM COM 05275N106 1,042 114,420 SH SOLE N/A NONE AVID TECHNOLOGY INC COM COM 05367P100 17,474 364,039 SH SOLE N/A NONE AVX CORP NEW COM 002444107 8,167 491,410 SH SOLE N/A NONE BROCADE COMMUNICATIONS SYS INC COM 111621108 10,919 1,889,150 SH SOLE N/A NONE C COR.NET CORPORATION COM 125010108 398 35,785 SH SOLE N/A NONE CALGON CARBON CORP COM 129603106 97 15,675 SH SOLE N/A NONE CALLON PETROLEUM CO-DEL COM 13123X102 6,393 616,465 SH SOLE N/A NONE CARRIER ACCESS CORP COM 144460102 1,602 127,780 SH SOLE N/A NONE CHICAGO MERCANTILE HLDGS INC CLA 167760107 781 10,800 SH SOLE N/A NONE CIRRUS LOGIC INC COM 172755100 3,762 489,184 SH SOLE N/A NONE CORIO INC COM 218875102 618 225,485 SH SOLE N/A NONE CTI MOLECULAR IMAGING INC COM 22943D105 195 11,535 SH SOLE N/A NONE DATALINK CORP COM 237934104 253 64,843 SH SOLE N/A NONE DOCENT INC COM 25608L502 1,105 243,291 SH SOLE N/A NONE DRAXIS HEALTH INC COM 26150J101 11,413 3,395,590 SH SOLE N/A NONE DRS TECHNOLOGIES INC COM 23330X100 7,155 257,555 SH SOLE N/A NONE ECI TELECOM LTD -ORD COM 268258100 1,806 315,690 SH SOLE N/A NONE ENERCHEM INTERNATIONAL INC COM 29265G103 42 13,810 SH SOLE N/A NONE EPICOR SOFTWARE CORP COM 29426L108 1,414 110,800 SH SOLE N/A NONE EXULT INC DEL COM COM 302284104 23,035 3,208,272 SH SOLE N/A NONE FRONTIER AIRLINES INC NEW COM 359065109 5,401 377,950 SH SOLE N/A NONE FSI INTERNATIONAL INC COM 302633102 10,511 1,424,300 SH SOLE N/A NONE GEMSTAR TV GUIDE INTL INC COM 36866W106 99 19,575 SH SOLE N/A NONE GLENAYRE TECHNOLOGIES INC COM 377899109 1,121 416,717 SH SOLE N/A NONE HYPERCOM CORP COM 44913M105 62 13,105 SH SOLE N/A NONE INDUS INTERNATIONAL INC COM 45578L100 444 148,070 SH SOLE N/A NONE INTERPOOL INC COM 46062R108 7,605 524,468 SH SOLE N/A NONE INTERPOOL INC SDCV 9.25%9/3 46062RAL2 9012 360,460 PRN SOLE N/A NONE INTERWOVEN INC NEW COM 46114T508 393 30,380 SH SOLE N/A NONE INTUITIVE SURGICAL INC NEW COM 46120E602 16,118 943,108 SH SOLE N/A NONE LASERSCOPE COM COM 518081104 421 27,000 SH SOLE N/A NONE LATTICE SEMICONDUCTOR CORP COM 518415104 456 47,090 SH SOLE N/A NONE LEXAR MEDIA INC COM 52886P104 323 18,550 SH SOLE N/A NONE LIFECELL CORP COM 531927101 8,540 1,377,365 SH SOLE N/A NONE M-SYSTEMS/FLASH DISK PIONEERS LTD ORD M7061C100 381 22,103 SH SOLE N/A NONE MAGNUM HUNTER RESOURCES INC COM PAR$0.002 55972F203 140 14,680 SH SOLE N/A NONE MANUGISTICS GROUP INC COM 565011103 837 133,741 SH SOLE N/A NONE MARIMBA INC COM 56781Q109 241 43,900 SH SOLE N/A NONE MATRIXONE INC COM 57685P304 915 148,540 SH SOLE N/A NONE MATSUSHITA ELECTRIC INDUSTRIAL CO ADR 576879209 294 21,090 SH SOLE N/A NONE MAXIM PHARMACEUTICALS INC COM 57772M107 7,562 849,716 SH SOLE N/A NONE META GROUP INC COM 591002100 282 44,695 SH SOLE N/A NONE MIDWAY GAMES INC COM 598148104 231 59,415 SH SOLE N/A NONE MILLEA HOLDINGS INC ADR 60032R106 445 6,624 SH SOLE N/A NONE MITSUBISHI TOKYO FINANCIAL GROUP INC SPONDORED ADR 606816106 15,376 1,963,736 SH SOLE N/A NONE NETEGRITY INC COM 64110P107 1,626 160,000 SH SOLE N/A NONE NETGEAR INC COM 64111Q104 3,649 228,220 SH SOLE N/A NONE NETIQ CORP COM 64115P102 1,199 90,470 SH SOLE N/A NONE NEW VY CORP WEXP 06/14/200 649080116 2 12,500 SH SOLE N/A NONE NEC CORP ADR ADR 629050204 445 59,325 SH SOLE N/A NONE NOMURA HLDGS INC SPONSORED ADR SPONDORED ADR 65535H208 11,135 657,692 SH SOLE N/A NONE P A M TRANSPORTATION SERVICES INC COM 693149106 14,942 698,684 SH SOLE N/A NONE PEMSTAR INC COM 706552106 3,250 987,936 SH SOLE N/A NONE PER-SE TECHNOLOGIES COM NEW COM 713569309 1,155 75,465 SH SOLE N/A NONE PERVASIVE SOFTWARE INC COM 715710109 800 110,360 SH SOLE N/A NONE PINNACOR INC COM 723487104 226 97,705 SH SOLE N/A NONE PLX TECHNOLOGY INC COM COM 693417107 17,276 1,952,107 SH SOLE N/A NONE PRINCETON REVIEW INC COM 742352107 4,172 427,925 SH SOLE N/A NONE QUOVADX INC COM 74913K106 507 103,565 SH SOLE N/A NONE RADICA GAMES LTD ORD G7342H107 1,070 144,675 SH SOLE N/A NONE REGENERATION TECH DEL COM COM 75886N100 20,375 1,859,001 SH SOLE N/A NONE RENTRAK CORP COM COM 760174102 8,940 917,853 SH SOLE N/A NONE ROCHESTER MED CORP COM COM 771497104 3,397 362,539 SH SOLE N/A NONE S1 CORP COM M7061C101 1,905 236,010 SH SOLE N/A NONE SARA LEE CORP COM 803111103 271 12,502 SH SOLE N/A NONE SCHERING PLOUGH CORP COM 806605101 206 11,850 SH SOLE N/A NONE SCICLONE PHARMACEUTICALS INC COM 80862K104 118 17,355 SH SOLE N/A NONE SERENA SOFTWARE INC COM COM 817492101 14,175 772,469 SH SOLE N/A NONE SRA INTERNATIONAL INC CL A CLA 78464R105 18,493 429,081 SH SOLE N/A NONE SYMMETRICOM INC COM 871543104 1,019 139,974 SH SOLE N/A NONE SYMYX TECHNOLOGIES COM COM 87155S108 14,439 702,613 SH SOLE N/A NONE TECHNOLOGY SOLUTIONS CO COM 87872T108 229 182,727 SH SOLE N/A NONE TESCO CORP COM 88157K101 124 15,290 SH SOLE N/A NONE TITAN PHARMACEUTICALS INC-DEL COM 888314101 127 43,565 SH SOLE N/A NONE VALUECLICK INC COM 92046N102 1,169 128,939 SH SOLE N/A NONE VERMONT TEDDY BEAR INC COM COM 92427X109 2,307 542,926 SH SOLE N/A NONE VERSO TECHNOLOGIES INC COM 925317109 83 25,745 SH SOLE N/A NONE VISTEON CORP COM 92839U107 350 33,610 SH SOLE N/A NONE WEBEX COMMUNICATIONS INC COM 94767L109 2,366 117,490 SH SOLE N/A NONE WEBSENSE INC COM COM 947684106 20,497 700,257 SH SOLE N/A NONE
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