-----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, LaslCSxaZAkmLepD8EXEdmzmeyiKxnmShGw3c5rNo0FDd2odQDbCLh1Lf3HSvPXq Bh+aooWvnb2Ltl4BtHev3Q== 0001135428-10-000022.txt : 20100201 0001135428-10-000022.hdr.sgml : 20100201 20100201160821 ACCESSION NUMBER: 0001135428-10-000022 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100201 DATE AS OF CHANGE: 20100201 EFFECTIVENESS DATE: 20100201 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RICE HALL JAMES & ASSOCIATES, LLC CENTRAL INDEX KEY: 0001230765 IRS NUMBER: 431992529 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10467 FILM NUMBER: 10563576 BUSINESS ADDRESS: STREET 1: 600 WEST BROADWAY STE 1000 CITY: SAN DIEGO STATE: CA ZIP: 92101-3383 BUSINESS PHONE: 6192399005 MAIL ADDRESS: STREET 1: 600 WEST BROADWAY STE 1000 CITY: SAN DIEGO STATE: CA ZIP: 92101-3383 FORMER COMPANY: FORMER CONFORMED NAME: RICE HALL JAMES & ASSOCIATES LLC DATE OF NAME CHANGE: 20030516 FORMER COMPANY: FORMER CONFORMED NAME: RICE JAMES HALL & ASSOCIATES LLC DATE OF NAME CHANGE: 20030502 13F-HR 1 rice_13f.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: December 31, 2009 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: Rice Hall James & Associates, LLC Address: 600 West Broadway, Suite 1000 San Diego, CA 92101-3383 Form 13F File Number: 028-10467 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Janine Marquez Title: Chief Compliance Officer Phone: 619-239-9005 Signature, Place, and Date of Signing: Janine Marquez San Diego, CA January 26, 2010 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 another 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 by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 333 Form 13F Information Table Value Total: $1,053,349,000 List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name _______ ____________________ _____________________________
31-Dec-09 Voting Authority Title ---------------- of Value Shares/ Sh/ Put/ Invstmt Other Name of Issuer class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None - -------------- ----- ----- -------- -------- --- ---- ------- -------- ---- ------- ---- 012 Smile.Communications LTD COM M98939107 356 16550 SH Sole 16550 A-Power Energy Generation Syst COM G04136100 1604 87681 SH Sole 68230 19451 AAR Corp COM 000361105 578 25142 SH Sole 25142 Abaxis Inc COM 002567105 2160 84554 SH Sole 65548 19006 ABB Limited - Spon ADR COM 000375204 436 22848 SH Sole 21448 1400 Abbott Labs COM 002824100 2467 45698 SH Sole 39498 6200 Acacia Technologies Group COM 003881307 278 30512 SH Sole 30091 421 Actuant Corp COM 00508X203 7877 425083 SH Sole 203243 221840 Advance Auto Parts Inc COM 00751Y106 695 17171 SH Sole 17171 Aegean Marine Petroleum Networ COM Y0017S102 5927 215700 SH Sole 166514 49186 Agilent Technologies Inc COM 00846U101 8530 274550 SH Sole 183246 91304 Air Products & Chemicals Inc COM 009158106 6263 77260 SH Sole 50384 26876 Alcatel Lucent ADR COM 013904305 43 13088 SH Sole 13000 88 Allegheny Technologies Inc COM 01741R102 5738 128169 SH Sole 85729 42440 Allegiant Travel Co COM 01748X102 11333 240263 SH Sole 119320 120943 Alliance Resource Partners L P COM 01877R108 178 4097 SH Sole 4097 Almost Family Inc COM 020409108 2750 69557 SH Sole 53835 15722 Amedisys Inc COM 023436108 9594 197401 SH Sole 97586 99815 American Ecology Corp COM 025533407 1597 93725 SH Sole 72138 21587 Amerigon Inc COM 03070L300 2046 257628 SH Sole 197632 59996 Anadigics Inc COM 032515108 2597 615299 SH Sole 474839 140460 Analogic Corp COM 032657207 4844 125785 SH Sole 62567 63218 Anaren Inc COM 032744104 3128 207872 SH Sole 161018 46854 AngioDynamics Inc COM 03475V101 3315 206542 SH Sole 159944 46598 Anixter International Inc COM 035290105 4164 88408 SH Sole 62292 26116 Apollo Group Inc COM 037604105 466 7700 SH Sole 4350 3350 Apple Computer Inc COM 037833100 221 1050 SH Sole 1050 Applied Micro Circuits Corp. 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COM 868059106 47 18000 SH Sole 18000 Support.com Inc COM 86858W101 2092 792608 SH Sole 617958 174650 Switch and Data Facilities Co COM 871043105 1812 89634 SH Sole 88417 1217 Sxc Health Solutions Corp COM 78505P100 1565 29008 SH Sole 22456 6552 Sysco Corp COM 871829107 1454 52052 SH Sole 40872 11180 Take-Two Interactive Software COM 874054109 193 19158 SH Sole 16122 3036 Taser International Inc COM 87651B104 1721 392862 SH Sole 306133 86729 TC Pipelines LP COM 87233Q108 188 5095 SH Sole 4445 650 TD Ameritrade Holding Corp COM 87236Y108 6869 354449 SH Sole 238182 116267 Techwell Inc COM 87874D101 731 55301 SH Sole 53836 1465 Teleflex Inc COM 879369106 811 15058 SH Sole 15058 Teva Pharmaceutical Inds Ltd A COM 881624209 1447 25750 SH Sole 25150 600 The Advisory Board Co COM 00762W107 686 22368 SH Sole 21865 503 The Corporate Executive Board COM 21988R102 770 33741 SH Sole 33455 286 Tower Bancorp Inc COM 891709107 1224 53573 SH Sole 41614 11959 TransDigm Group Inc COM 893641100 849 17883 SH Sole 17883 Trico Bancshares COM 896095106 903 54251 SH Sole 42488 11763 TriQuint Semiconductor Inc COM 89674K103 10070 1678374 SH Sole 831262 847112 Triumph Group Inc COM 896818101 724 15000 SH Sole 15000 United Natural Foods Inc COM 911163103 4948 185034 SH Sole 93541 91493 United States Natural Gas Fund COM 912318102 121 12000 SH Sole 12000 Urban Outfitters Inc COM 917047102 3884 111014 SH Sole 69834 41180 USA Truck Inc COM 902925106 2063 164789 SH Sole 127866 36923 Utilities Select Sector SPDR F COM 81369Y886 295 9500 SH Sole 9500 Vail Resorts Inc COM 91879Q109 469 12395 SH Sole 12395 Vistaprint NV COM N93540107 1469 25923 SH Sole 25923 Wabash National Corp COM 929566107 38 20000 SH Sole 20000 Wabtec Corporation COM 929740108 10470 256364 SH Sole 127670 128694 Wal-Mart Stores Inc COM 931142103 1173 21950 SH Sole 20450 1500 Walgreen Co COM 931422109 435 11850 SH Sole 10950 900 Waste Mgmt Inc COM 94106L109 656 19400 SH Sole 19400 Watsco Inc COM 942622200 8068 164717 SH Sole 82319 82398 Westport Innovations Inc COM 960908309 4123 356052 SH Sole 276255 79797 Wet Seal Inc COM 961840105 1377 399201 SH Sole 309244 89957 Wiley John & Sons Inc Cl A COM 968223206 5694 135960 SH Sole 93787 42173 Windstream Corp COM 97381W104 3 314 SH Sole 314 Yongye International Inc COM 98607B106 2712 333616 SH Sole 256298 77318 Zebra Technologies Corp Cl A COM 989207105 5914 208598 SH Sole 145490 63108 Zimmer Hldgs Inc COM 98956P102 659 11150 SH Sole 11050 100 Zumiez Inc COM 989817101 1730 136036 SH Sole 105336 30700
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