-----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, S2AZLb/M8FkEZOLJs/g/QE6FA5BqIvEIlobM23Q/1IinFog+rf4tH2aNgnVxYG6h HyXj7GBKxNEDXGILMTisZA== 0001135428-10-000178.txt : 20100505 0001135428-10-000178.hdr.sgml : 20100505 20100505093355 ACCESSION NUMBER: 0001135428-10-000178 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100505 DATE AS OF CHANGE: 20100505 EFFECTIVENESS DATE: 20100505 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: 10799776 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 rhj_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: March 31, 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: 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 April 28, 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: 357 Form 13F Information Table Value Total: $1,081,919,000 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 - ------- -------------------- ----------------------------- Rice Hall James & Associates FORM 13F 31-Mar-10
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 - -------------- ----- ----- -------- -------- --- ---- ------- -------- ---- ------- ---- AAR Corp COM 000361105 624 25142 SH Sole 25142 Abaxis Inc COM 002567105 1946 71554 SH Sole 52548 19006 Abbott Labs COM 002824100 2370 44998 SH Sole 38798 6200 Acacia Technologies Group COM 003881307 330 30512 SH Sole 30091 421 Actuant Corp COM 00508X203 7985 408417 SH Sole 188167 220250 Actuate Corporation COM 00508B102 1775 317508 SH Sole 232744 84764 Adolor Corporation COM 00724X102 58 32000 SH Sole 32000 Advance Auto Parts Inc COM 00751Y106 720 17171 SH Sole 17171 Aegean Marine Petroleum Networ COM Y0017S102 10433 367614 SH Sole 196305 171309 Agilent Technologies Inc COM 00846U101 5458 158696 SH Sole 102069 56627 Air Products & Chemicals Inc COM 009158106 5610 75859 SH Sole 48800 27059 AirTran Holdings Inc COM 00949P108 7436 1463863 SH Sole 706433 757430 Akeena Solar Inc COM 009720103 10 10000 SH Sole 10000 Allegheny Technologies Inc COM 01741R102 6772 125422 SH Sole 82741 42681 Allegiant Travel Co COM 01748X102 13371 231090 SH Sole 110931 120159 Alliance Resource Partners LP COM 01877R108 423 10097 SH Sole 10097 Almost Family Inc COM 020409108 2207 58557 SH Sole 42835 15722 American Water Works Co COM 030420103 202 9300 SH Sole 8900 400 Anadigics Inc COM 032515108 2551 524799 SH Sole 384339 140460 Analogic Corp COM 032657207 5171 121011 SH Sole 58158 62853 AngioDynamics Inc COM 03475V101 2733 174942 SH Sole 128344 46598 Apollo Group Inc COM 037604105 472 7700 SH Sole 4350 3350 Apple Computer Inc COM 037833100 247 1050 SH Sole 1050 Applied Micro Circuits Corp. COM 03822W406 86 10000 SH Sole 10000 Aqua America Inc COM 03836W103 283 16117 SH Sole 16117 Arbitron Inc COM 03875Q108 16843 631754 SH Sole 332558 299196 Arena Resources Inc COM 040049108 7281 217998 SH Sole 102691 115307 Ariba Inc COM 04033V203 7441 579099 SH Sole 276891 302208 Asbury Automotive Group Inc COM 043436104 3696 277903 SH Sole 203286 74617 AspenBio Pharma COM 045346103 52 23000 SH Sole 23000 Assisted Living Concepts COM 04544X300 3534 107615 SH Sole 78774 28841 AT&T Inc COM 00206R102 568 21972 SH Sole 16676 5296 Aviat Networks Inc COM 05366Y102 79 11924 SH Sole 5964 5960 B Communications Ltd COM 033061234 573 16550 SH Sole 16550 Ballard Power Systems Inc COM 058586108 40 15000 SH Sole 15000 BE Aerospace Inc COM 073302101 562 18506 SH Sole 18506 Bebe Stores Inc COM 075571109 5840 655471 SH Sole 312355 343116 Berkshire Hathaway Inc Cl A COM 084670108 244 2 SH Sole 2 Berkshire Hathaway Inc Cl B COM 084670702 1861 22900 SH Sole 21600 1300 BioMarin Pharmaceutical Inc COM 09061G101 636 27212 SH Sole 27212 Bioscrip Inc COM 09069N108 2962 370740 SH Sole 271988 98752 Blackboard Inc COM 091935502 8591 206222 SH Sole 112913 93309 Boots & Coots Inc COM 099469504 3014 1240506 SH Sole 909525 330981 BorgWarner Inc COM 099724106 7186 188214 SH Sole 125422 62792 Bristol-Myers Squibb Co COM 110122108 301 11288 SH Sole 8888 2400 Broadwind Energy Inc Com COM 11161T108 65 14500 SH Sole 14500 Buckeye Partners LP COM 118230101 348 5785 SH Sole 4785 1000 Bucyrus Intl Inc COM 118759109 12785 193741 SH Sole 92961 100780 C R Bard Inc COM 067383109 5751 66389 SH Sole 45616 20773 Cameron International Corp COM 13342B105 5832 136070.6 SH Sole 97253.58 38817 Capstone Turbine Corporation COM 14067D102 72 56500 SH Sole 56500 Carrizo Oil & Co Inc COM 144577103 6777 295314 SH Sole 137148 158166 CB Richard Ellis Group Inc COM 12497T101 158 10000 SH Sole 10000 Cbiz Inc COM 124805102 8927 1358816 SH Sole 646450 712366 Century Casinos Inc COM 156492100 330 132004 SH Sole 128639 3365 CenturyTel Inc COM 156700106 303 8536 SH Sole 8177 359 Cephalon Inc COM 156708109 7679 113295 SH Sole 76155 37140 Chart Industries COM 16115Q308 2479 123949 SH Sole 90944 33005 Check Point Software Tech Ltd COM M22465104 754 21508 SH Sole 21058 450 Cheesecake Factory Inc COM 163072101 388 14328 SH Sole 14328 Chevron Corp COM 166764100 1191 15711 SH Sole 13914 1797 Chubb Corp COM 171232101 202 3900 SH Sole 3000 900 Cirrus Logic Inc COM 172755100 3859 459996 SH Sole 377403 82593 Cisco Sys Inc COM 17275R102 3880 149060 SH Sole 136860 12200 Citigroup Inc COM 172967101 109 27000 SH Sole 27000 City National Corp COM 178566105 6809 126167 SH Sole 82337 43830 Clean Energy Fuels COM 184499101 9413 413195 SH Sole 195292 217903 Cleco Corp COM 12561W105 406 15294 SH Sole 13294 2000 Cogent Communications Group In COM 19239V302 683 65607 SH Sole 64814 793 Cognizant Technology Solutions COM 192446102 9066 177829 SH Sole 119516 58313 Cogo Group Inc COM 192448108 70 10000 SH Sole 10000 Coinstar Inc COM 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451285 SH Sole 217920 233365 Fidelity National Financial In COM 31620R105 192 12933 SH Sole 12800 133 First California Financial Grp COM 319395109 79 30000 SH Sole 30000 FirstMerit Corp COM 337915102 7851 364058 SH Sole 166488 197570 Flowserve Corp COM 34354P105 10102 91616 SH Sole 56315 35301 Force Protection Inc COM 345203202 1380 229188 SH Sole 168509 60679 Forest Oil Corporation COM 346091705 4683 181390 SH Sole 128009 53381 Forward Air Corp COM 349853101 6072 230886 SH Sole 105979 124907 Fossil Inc COM 349882100 9870 261530 SH Sole 125251 136279 Freightcar America Inc COM 357023100 2512 103979 SH Sole 76484 27495 GAMCO Investors Inc COM 361438104 519 11416 SH Sole 11416 Gen-Probe Incorporated COM 36866T103 5811 116225 SH Sole 81542 34683 General Electric Co COM 369604103 537 29491 SH Sole 21841 7650 Genomic Health Inc COM 37244C101 1471 83600 SH Sole 61402 22198 Genoptix Inc COM 37243V100 10850 305727 SH Sole 144116 161611 Gentex Corp COM 371901109 3926 202176 SH Sole 128315 73861 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