-----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, GwUKgSvGMA74S1Z02yOvfaXCHwuCdQCLJG6MkEWaqUmOkObxoC0SOKgAyDTKqwpu Ll7uI8BZ/2MkJKVfSmwrWA== 0001140361-10-033641.txt : 20100816 0001140361-10-033641.hdr.sgml : 20100816 20100816133034 ACCESSION NUMBER: 0001140361-10-033641 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100630 FILED AS OF DATE: 20100816 DATE AS OF CHANGE: 20100816 EFFECTIVENESS DATE: 20100816 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-04207 FILM NUMBER: 101018530 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/A 1 form13fhra.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: 6/30/2010 Check here if Amendment [X]; Amendment Number: 1 ------- This Amendment (Check only one.): [X] is a restatement. [] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Driehaus Capital Management LLC Address: 25 E. Erie St. 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, Illinois 8/16/2010 - --------------------------------- --------------------------------- ---------- [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: 410 Form 13F Information Table Value Total: $ 1,921,484 -------------- (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 - ------------------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- -------- ------ ------- 99 Cents Only Stores COM 65440K106 13806 932814 SH SOLE 611360 0 321454 ACME PACKET INC COM 004764106 9485 352861 SH SOLE 247657 0 105204 Acorda Therapeutics, Inc. COM 00484M106 9855 316785 SH SOLE 240750 0 76035 Acxiom Corp. COM 005125109 3265 222263 SH SOLE 139857 0 82406 Advance Auto Parts COM 00751Y106 4298 85645 SH SOLE 61583 0 24062 Advanced Energy Industries COM 007973100 1827 148627 SH SOLE 109804 0 38823 Advisory Board Co/The COM 00762W107 5860 136401 SH SOLE 84362 0 52039 Aegean Marine Petroleum Network, ADR Y0017S102 2813 140277 SH SOLE 135465 0 4812 Inc. Airmedia Group, Inc. - ADR ADR 009411109 78 24839 SH SOLE 0 0 24839 Akamai Technologies, Inc. COM 00971T101 2368 58380 SH SOLE 45412 0 12968 Alexion Pharmaceuticals, Inc. COM 015351109 5875 114767 SH SOLE 89396 0 25371 Align Technology, Inc. COM 016255101 1403 94334 SH SOLE 59523 0 34811 Alkermes Inc. COM 01642T108 7009 562984 SH SOLE 354444 0 208540 ALLEGHENY TECH INC CNV 01741RAD4 1,286 1000000 PRN SOLE 1000000 0 0 Allegheny Technologies, Inc. COM 01741R102 2679 60629 SH SOLE 51267 0 9362 Allergan, Inc. COM 018490102 1686 28931 SH SOLE 24745 0 4186 Allied Nevada Gold Corp. COM 019344100 13957 709206 SH SOLE 519652 0 189554 ALPHATEC HOLDINGS INC COM 02081G102 2008 432751 SH SOLE 203040 0 229711 Amazon.com, Inc. COM 023135106 2099 19215 SH SOLE 16420 0 2795 America Movil - L - ADR ADR 02364W105 7044 148305 SH SOLE 134703 0 13602 AMERICAN OIL & GAS INC COM 028723104 2311 368015 SH SOLE 142865 0 225150 American Public Education COM 02913V103 3513 80382 SH SOLE 61526 0 18856 American Tower Corp. - A COM 029912201 3347 75214 SH SOLE 64326 0 10888 Amerigon Inc COM 03070L300 1113 150823 SH SOLE 73508 0 77315 Amylin Pharmaceuticals Inc. COM 032346108 1823 96975 SH SOLE 78185 0 18790 AMYLIN PHARMACEUTICALS, INC. CNV 032346AD0 20,317 20605000 PRN SOLE 20605000 0 0 Apple, Inc. COM 037833100 13647 54255 SH SOLE 37728 0 16527 Apple, Inc. PUT 037833950 755 30 PUT SOLE 0 0 30 Applied Micro Circuits Corp COM 03822W406 5145 490945 SH SOLE 375989 0 114956 Aqua America, Inc. COM 03836W103 1980 112000 SH SOLE 87018 0 24982 Aruba Networks, Inc. COM 043176106 9899 695155 SH SOLE 479763 0 215392 Arvinmeritor Inc COM 043353101 2373 181169 SH SOLE 123038 0 58131 AsiaInfo-Linkage Inc ADR 04518A104 6383 291503 SH SOLE 242400 0 49103 Atheros Communications COM 04743P108 1792 65072 SH SOLE 45861 0 19211 Atlas Air Worldwide Holdings COM 049164205 2638 55532 SH SOLE 36144 0 19388 Atlas Pipeline Partners-uts. COM 049392103 2548 263754 SH SOLE 166135 0 97619 AVANIR PHARMACEUTICALS INC-A COM 05348P401 1658 645159 SH SOLE 305634 0 339525 Avid Technology Inc. COM 05367P100 4733 371779 SH SOLE 233987 0 137792 Axt Inc. COM 00246W103 2150 476781 SH SOLE 224241 0 252540 Baidu, Inc. - SP ADR ADR 056752108 13053 191723 SH SOLE 160854 0 30869 Ballantyne Strong Inc COM 058516105 1659 229179 SH SOLE 108714 0 120465 Bank of America Corp. COM 060505104 2422 168550 SH SOLE 118750 0 49800 BE Aerospace, Inc. COM 073302101 27775 1092229 SH SOLE 761410 0 330819 Bebe Stores Inc COM 075571109 2023 316061 SH SOLE 241984 0 74077 Belo (A.H.) Corp. - Com. Ser. A COM 080555105 1779 312622 SH SOLE 146395 0 166227 Bio Reference Labs Inc. COM 09057G602 3692 166528 SH SOLE 78088 0 88440 Biomarin Pharmaceutical, Inc. COM 09061G101 882 46494 SH SOLE 37492 0 9002 Blackstone Group LP/The COM 09253U108 1084 113355 SH SOLE 80137 0 33218 BOFI HOLDING INC COM 05566U108 404 28600 SH SOLE 7917 0 20683 Brigham Exploration Co. COM 109178103 16549 1076001 SH SOLE 598524 0 477477 Broadcom Corp. - A COM 111320107 3307 100289 SH SOLE 83511 0 16778 BROADSOFT INC COM 11133B409 931 108899 SH SOLE 51472 0 57427 Brown Shoe Company COM 115736100 1361 89690 SH SOLE 42007 0 47683 Bucyrus International, Inc. COM 118759109 5602 118061 SH SOLE 91062 0 26999 Carbo Ceramics Inc COM 140781105 4295 59495 SH SOLE 42485 0 17010 Caribou Coffee Co Inc COM 142042209 1583 167200 SH SOLE 78125 0 89075 CASCADE CORP COM 147195101 827 23217 SH SOLE 8170 0 15047 Cavium Networks Inc COM 14965A101 6010 229482 SH SOLE 167590 0 61892 Cb Richard Ellis Group Inc. - A COM 12497T101 1623 119273 SH SOLE 14344 0 104929
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 - ------------------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- -------- ------ ------- CBS Corp. - B COM 124857202 4796 370916 SH SOLE 281779 0 89137 Celgene Corp. COM 151020104 4868 95784 SH SOLE 75301 0 20483 CEPHALON, INC. CNV 156708AR0 2,105 2000000 PRN SOLE 2000000 0 0 Cepheid Inc COM 15670R107 6963 434613 SH SOLE 273378 0 161235 Cerner Corp. COM 156782104 1679 22126 SH SOLE 18161 0 3965 Check Point Software Tech., Ltd. ADR M22465104 3260 110585 SH SOLE 94658 0 15927 Chicago Bridge & Iron Co. NV ADR 167250109 5503 291739 SH SOLE 255868 0 35871 Childrens Place Retail COM 168905107 5299 120380 SH SOLE 87780 0 32600 CHINA LODGING GROUP-SPON ADS ADR 16949N109 788 51582 SH SOLE 3668 0 47914 China Real Estate Information Corp. ADR 16948Q103 327 41100 SH SOLE 0 0 41100 - - ADR Chipotle Mexican Grill - A COM 169656105 1803 13182 SH SOLE 9116 0 4066 Christopher & Banks Corp. COM 171046105 916 148017 SH SOLE 70034 0 77983 Church & Dwight Co., Inc. COM 171340102 4137 65967 SH SOLE 53596 0 12371 Ciena Corp. COM 171779309 9441 744546 SH SOLE 518319 0 226227 Cinemark Holdings, Inc. COM 17243V102 184 13999 SH SOLE 3500 0 10499 Cirrus Logic Inc. COM 172755100 7868 497673 SH SOLE 226365 0 271308 Cisco Systems, Inc. COM 17275R102 4468 209668 SH SOLE 171329 0 38339 CITIGROUP INC. COM 172967416 5,650 50000 SH SOLE 50000 0 0 CLAYMORE/ALPHSH CHINA ETF COM 18385P101 1447 61600 SH SOLE 0 0 61600 Cliffs Natural Resources, Inc. COM 18683K101 3992 84645 SH SOLE 62783 0 21862 CNH Global NV ADR N20935206 4043 177754 SH SOLE 170668 0 7086 Coca-Cola Co. /The COM 191216100 2184 43579 SH SOLE 30676 0 12903 Coinstar, Inc. COM 19259P300 20455 476036 SH SOLE 360695 0 115341 Comerica, Inc. COM 200340107 6255 169846 SH SOLE 121256 0 48590 Commercial Vehicle Group Inc COM 202608105 5498 538488 SH SOLE 226547 0 311941 Companhia De Bebidas - Pref. ADR ADR 20441W203 1474 14596 SH SOLE 12124 0 2472 Concho Resources, Inc. COM 20605P101 3933 71074 SH SOLE 40558 0 30516 CONTINENTAL AIRLINES, INC. CNV 210795PJ3 2,840 2500000 PRN SOLE 2500000 0 0 Continental Resources, Inc. COM 212015101 654 14653 SH SOLE 3657 0 10996 Corning, Inc. COM 219350105 2089 129375 SH SOLE 94645 0 34730 Cost Plus Inc./California COM 221485105 1275 357143 SH SOLE 169107 0 188036 Costco Wholesale Corp. COM 22160K105 1708 31149 SH SOLE 26601 0 4548 Cpi Corp. COM 125902106 1241 55342 SH SOLE 26049 0 29293 Credicorp, Ltd. ADR G2519Y108 9781 107493 SH SOLE 99151 0 8342 Cree, Inc. COM 225447101 7583 126320 SH SOLE 71992 0 54328 CROSSTEX ENERGY INC COM 22765Y104 2811 438525 SH SOLE 276241 0 162284 Crown Castle Intl. Corp. COM 228227104 1863 50000 SH SOLE 38848 0 11152 CTC Media, Inc. ADR 12642X106 299 20685 SH SOLE 0 0 20685 Ctrip.com International - ADR ADR 22943F100 27571 733513 SH SOLE 610005 0 123508 Cummins, Inc. COM 231021106 3470 53274 SH SOLE 42168 0 11106 Cyberonics COM 23251P102 7370 311221 SH SOLE 195963 0 115258 Cypress Bioscience Inc. COM 232674507 1152 500687 SH SOLE 315300 0 185387 Cypress Semiconductor Corp. COM 232806109 5524 550244 SH SOLE 425693 0 124551 Deckers Outdoor Corp. COM 243537107 11974 83809 SH SOLE 64188 0 19621 Deere & Co. COM 244199105 5447 97821 SH SOLE 78593 0 19228 DELCATH SYSTEMS INC COM 24661P104 332 52370 SH SOLE 15201 0 37169 Delta Air Lines, Inc. COM 247361702 232 19740 SH SOLE 0 0 19740 Denbury Resources, Inc. COM 247916208 5965 407466 SH SOLE 319526 0 87940 DEXCOM INC COM 252131107 4504 389591 SH SOLE 184965 0 204626 DG FastChannel Inc COM 23326R109 7767 238406 SH SOLE 136113 0 102293 Diamond Foods Inc COM 252603105 1381 33606 SH SOLE 25726 0 7880 Dick's Sporting Goods Inc. COM 253393102 361 14500 SH SOLE 3631 0 10869 DIGITAL REALTY TRUST, INC. COM 253868103 2,555 44300 SH SOLE 44300 0 0 Digital River Inc. COM 25388B104 3484 145717 SH SOLE 91766 0 53951 Discovery Communications - A COM 25470F104 1776 49742 SH SOLE 39484 0 10258 Doctor Reddys Lab - ADR ADR 256135203 1082 35067 SH SOLE 12565 0 22502 Dollar Tree, Inc. COM 256746108 3672 88194 SH SOLE 68511 0 19683 DSW INC-CLASS A COM 23334L102 1311 58366 SH SOLE 36781 0 21585 Duoyuan Global Water, Inc. - ADR ADR 266043108 378 21498 SH SOLE 0 0 21498
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 - ------------------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- -------- ------ ------- East West Bancorp Inc COM 27579R104 9222 604715 SH SOLE 403183 0 201532 Edwards Lifesciences Corp. COM 28176E108 6188 110453 SH SOLE 73827 0 36626 E-House China Holdings - ADS ADR 26852W103 1443 97462 SH SOLE 9938 0 87524 EMC Corp. COM 268648102 2532 138334 SH SOLE 99834 0 38500 Emulex Corp. COM 292475209 1237 134728 SH SOLE 94566 0 40162 ENDEAVOUR INTERNATIONAL CORP COM 29259G101 32 30000 SH SOLE 30000 0 0 Entegris Inc COM 29362U104 45 11316 SH SOLE 310 0 11006 ENTROPIC COMMUNICATIONS INC COM 29384R105 9965 1571698 SH SOLE 719622 0 852076 EOG Resources, Inc. COM 26875P101 1998 20311 SH SOLE 17363 0 2948 Equinix, Inc. COM 29444U502 6893 84866 SH SOLE 65664 0 19202 Express Scripts, Inc. - A COM 302182100 4952 105316 SH SOLE 85788 0 19528 F5 Networks, Inc. COM 315616102 5987 87305 SH SOLE 55791 0 31514 Family Dollar Stores COM 307000109 1822 48334 SH SOLE 38969 0 9365 Fibria Celulose SA - SP ADR ADR 31573A109 3842 258915 SH SOLE 224698 0 34217 Fifth Third Bancorp COM 316773100 4252 346002 SH SOLE 253664 0 92338 FINANCIAL ENGINES INC COM 317485100 1490 109527 SH SOLE 83871 0 25656 Finisar Corp COM 31787A507 20925 1404383 SH SOLE 953527 0 450856 First Midwest Bancorp Inc./IL COM 320867104 1282 105402 SH SOLE 49521 0 55881 FIRSTBANK CORP/ALMA MICH COM 33761G104 0 55125 SH SOLE 55125 0 0 Focus Media Holding - ADR ADR 34415V109 19309 1243349 SH SOLE 814068 0 429281 FORD MOTOR CO COM 345395206 7,060 159916 SH SOLE 159916 0 0 Ford Motor Co. COM 345370860 2017 200114 SH SOLE 158278 0 41836 FORD MOTOR COMPANY CNV 345370CN8 24,392 19500000 PRN SOLE 19500000 0 0 Freeport McMoran Copper - B COM 35671D857 1824 30846 SH SOLE 21651 0 9195 Fsi International Inc. COM 302633102 4760 1135968 SH SOLE 531015 0 604953 FTI Consulting, Inc. COM 302941109 4271 97988 SH SOLE 76668 0 21320 Gannett Co. COM 364730101 928 68935 SH SOLE 55657 0 13278 Gentex Corp. COM 371901109 577 32090 SH SOLE 6775 0 25315 Golden Star Resources Ltd COM 38119T104 3264 745118 SH SOLE 467540 0 277578 Goldman Sachs Group, Inc. COM 38141G104 1809 13783 SH SOLE 9695 0 4088 Google, Inc. - A COM 38259P508 4595 10326 SH SOLE 8281 0 2045 Green Mountain Coffee COM 393122106 13142 511346 SH SOLE 339080 0 172266 Greenbrier Companies Inc. COM 393657101 3533 315415 SH SOLE 138864 0 176551 Grupo Aeroportuario del Pacifico SA ADR 400506101 2316 79736 SH SOLE 68421 0 11315 - - ADR GSI Commerce, Inc. COM 36238G102 12461 432667 SH SOLE 315105 0 117562 Halliburton Co. COM 406216101 1862 75844 SH SOLE 52141 0 23703 Hanger Orthopedic Group Inc. COM 41043F208 2726 151763 SH SOLE 95423 0 56340 Harman International COM 413086109 1543 51620 SH SOLE 40129 0 11491 HARRY WINSTON DIAMOND CORP ADR 41587B100 4550 370794 SH SOLE 232648 0 138146 HARTFORD FINC SRVCS GRP INC CNV 416515708 926 40000 SH SOLE 40000 0 0 Health Mgmt. Associates, Inc. - A COM 421933102 1063 136853 SH SOLE 70934 0 65919 Health Net Inc COM 42222G108 697 28611 SH SOLE 23072 0 5539 HEARTWARE INTERNATIONAL INC COM 422368100 1296 18489 SH SOLE 4081 0 14408 Hershey Co. COM 427866108 3878 80905 SH SOLE 65098 0 15807 Hertz Global Holdings, Inc. COM 42805T105 3660 386854 SH SOLE 300605 0 86249 HERTZ GLOBAL HOLDINGS, INC. CNV 42805TAA3 2,004 1500000 PRN SOLE 1500000 0 0 Hewlett-Packard Co. COM 428236103 3450 79717 SH SOLE 68209 0 11508 Hexcel Corp. COM 428291108 8515 549022 SH SOLE 377172 0 171850 HIGHER ONE HOLDINGS INC COM 42983D104 1067 73618 SH SOLE 34798 0 38820 Hill-Rom Holdings Inc COM 431475102 2811 92383 SH SOLE 50042 0 42341 HMS Holdings Corp. COM 40425J101 10297 189907 SH SOLE 141806 0 48101 HNI Corp COM 404251100 3959 143478 SH SOLE 109763 0 33715 Home Inns & Hotels Manag. - ADR ADR 43713W107 8524 218334 SH SOLE 59715 0 158619 HSN, Inc. COM 404303109 907 37802 SH SOLE 29421 0 8381 Human Genome Sciences Inc. COM 444903108 3717 164046 SH SOLE 125823 0 38223 Huntington Bancshares COM 446150104 489 88264 SH SOLE 71169 0 17095 ICICI Bank, Ltd. - SP ADR ADR 45104G104 5949 164141 SH SOLE 144135 0 20006 ICON PLC - SP ADR ADR 45103T107 21615 747400 SH SOLE 574250 0 173150 Illumina COM 452327109 2474 56832 SH SOLE 40027 0 16805
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 - ------------------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- -------- ------ ------- Imax Corp ADR 45245E109 1054 72180 SH SOLE 19930 0 52250 Immunogen Inc. COM 45253H101 6793 732783 SH SOLE 425438 0 307345 Impax Laboratories Inc. COM 45256B101 6897 361843 SH SOLE 242826 0 119017 Incyte Corp COM 45337C102 1705 154014 SH SOLE 117211 0 36803 Infosys Tech Ltd-Sp ADR ADR 456788108 2307 38515 SH SOLE 13967 0 24548 Insulet Corp COM 45784P101 4612 306451 SH SOLE 153552 0 152899 Integrated Silicon Solut COM 45812P107 1198 158867 SH SOLE 66294 0 92573 Intel Corp. COM 458140100 2280 117238 SH SOLE 100261 0 16977 Intercontinental Exchange, Inc. COM 45865V100 3271 28936 SH SOLE 20789 0 8147 International Game Technology COM 459902102 1989 126702 SH SOLE 105285 0 21417 Internet Capital Group Inc COM 46059C205 1600 210482 SH SOLE 99074 0 111408 Intuitive Surgical, Inc. COM 46120E602 4048 12824 SH SOLE 9825 0 2999 Intuitive Surgical, Inc. CALL 46120E902 3156 100 CALL SOLE 0 0 100 Invacare Corp COM 461203101 3109 149921 SH SOLE 94422 0 55499 Irsa - ADR ADR 450047204 387 37101 SH SOLE 1019 0 36082 Ishares Ftse/Xinhua China 25 COM 464287184 1170 29900 SH SOLE 0 0 29900 Ishares MSCI Emerging Markets Index PUT 464287954 113 1125 PUT SOLE 0 0 1125 Fund ISHARES RUSSELL 1000 GROWTH COM 464287614 999 21790 SH SOLE 21790 0 0 Ishares Russell 2000 Growth COM 464287648 1489 22360 SH SOLE 14130 0 8230 Ishares Russell Midcap Grwth COM 464287481 2729 62440 SH SOLE 61240 0 1200 ISILON SYSTEMS INC COM 46432L104 9348 728037 SH SOLE 404734 0 323303 Itron, Inc. COM 465741106 2014 32573 SH SOLE 26270 0 6303 Jabil Circuit Inc COM 466313103 140 10500 SH SOLE 290 0 10210 Jds Uniphase Corp COM 46612J507 1396 141851 SH SOLE 100450 0 41401 JINKOSOLAR HOLDING CO-ADR ADR 47759T100 710 73195 SH SOLE 43807 0 29388 Joe's Jeans Inc COM 47777N101 144 72675 SH SOLE 1998 0 70677 Juniper Networks, Inc. COM 48203R104 2708 118670 SH SOLE 100934 0 17736 Kansas City Southern COM 485170302 5413 148924 SH SOLE 116769 0 32155 Kelly Services Inc. - Cl. A COM 488152208 2500 168114 SH SOLE 129332 0 38782 KENDLE INTERNATIONAL INC. CNV 48880LAA5 920 1000000 PRN SOLE 1000000 0 0 KKR FINANCIAL HOLDINGS LLC COM 48248A306 7702 1032380 SH SOLE 581936 0 450444 Kodiak Oil & Gas Corp COM 50015Q100 9053 2837944 SH SOLE 1560462 0 1277482 Korn/Ferry International COM 500643200 1390 100000 SH SOLE 63075 0 36925 Kulicke & Soffa Industries COM 501242101 3765 536294 SH SOLE 239159 0 297135 L M I Aerospace Inc COM 502079106 1170 74175 SH SOLE 35020 0 39155 Ladish Company Inc. COM 505754200 2374 104480 SH SOLE 39749 0 64731 Las Vegas Sands Corp. COM 517834107 11789 532460 SH SOLE 250819 0 281641 Lattice Semiconductor Corp. COM 518415104 4260 981569 SH SOLE 418726 0 562843 LDK SOLAR CO., LTD. PUT 50183L107 190 4525 PUT SOLE 4525 0 0 LDK SOLAR CO., LTD. CNV 50183LAB3 19,438 24460000 PRN SOLE 24460000 0 0 LEAR CORPORATION CMN COM 521865204 8,415 127110 SH SOLE 127110 0 0 Lexmark Intl Group Inc COM 529771107 954 28880 SH SOLE 23299 0 5581 LIBBEY INC COM 529898108 1328 102320 SH SOLE 48508 0 53812 LIFE TECHNOLOGIES CORPORATION CNV 46185RAM2 18,273 16174000 PRN SOLE 16174000 0 0 LOCAL.COM CORP COM 53954R105 1236 180734 SH SOLE 27656 0 153078 LongTop Financial Tech., Ltd. - ADR ADR 54318P108 1078 33284 SH SOLE 8205 0 25079 Lululemon Athletica, Inc. ADR 550021109 1767 47486 SH SOLE 36900 0 10586 Macquarie Infrastructure Co COM 55608B105 1669 130463 SH SOLE 68592 0 61871 MAIDENFORM BRANDS INC COM 560305104 7459 366368 SH SOLE 248200 0 118168 MAKO SURGICAL CORP COM 560879108 1872 150334 SH SOLE 71318 0 79016 MAP PHARMACEUTICALS INC COM 56509R108 2975 227309 SH SOLE 106698 0 120611 Market Vectors Russia Etf COM 57060U506 15571 555100 SH SOLE 0 0 555100 Marvell Technologies ADR G5876H105 4960 313853 SH SOLE 275433 0 38420 Materials Select Sector Spdr PUT 81369Y950 1702 600 PUT SOLE 0 0 600 MAXLINEAR INC-CLASS A COM 57776J100 1001 71576 SH SOLE 34055 0 37521 McDonald's Corp. COM 580135101 2938 44605 SH SOLE 38130 0 6475 McKesson HBOC, Inc. COM 58155Q103 1577 23484 SH SOLE 20095 0 3389 Mechel OAO - ADR ADR 583840103 5995 329558 SH SOLE 293969 0 35589 Medco Health Solutions, Inc. COM 58405U102 5502 99897 SH SOLE 80573 0 19324
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 - ------------------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- -------- ------ ------- Melco Crown Entertainment - ADR ADR 585464100 13445 3591252 SH SOLE 2499793 0 1091459 Mellanox Technologies, Ltd. ADR M51363113 16647 760143 SH SOLE 601084 0 159059 MercadoLibre, Inc. ADR 58733R102 9714 184603 SH SOLE 131570 0 53033 Meredith Corp. COM 589433101 10618 341084 SH SOLE 225129 0 115955 MetroPCS Communications, Inc. COM 591708102 226 27600 SH SOLE 762 0 26838 MGIC Investment Corp. COM 552848103 6856 995034 SH SOLE 722612 0 272422 Micron Technology, Inc. COM 595112103 1165 137225 SH SOLE 96956 0 40269 Microsoft Corp. COM 594918104 4389 190759 SH SOLE 163208 0 27551 MICRUS ENDOVASCULAR CORP COM 59518V102 3806 183080 SH SOLE 79223 0 103857 MINDSPEED TECHNOLOGIES INC COM 602682205 3543 473087 SH SOLE 183295 0 289792 Mobile Telesystems - SP ADR ADR 607409109 6303 328020 SH SOLE 290600 0 37420 Momenta Pharmaceuticals Inc COM 60877T100 1608 131132 SH SOLE 61910 0 69222 MORGAN STANLEY CHINA A SHARE COM 617468103 466 18279 SH SOLE 0 0 18279 MORGANS HOTEL GROUP CO COM 61748W108 1923 312194 SH SOLE 113475 0 198719 Morton's Restaurant Group COM 619430101 518 100000 SH SOLE 47721 0 52279 Natus Medical Inc COM 639050103 4029 247323 SH SOLE 115547 0 131776 Navistar International Corp CNV 63934EAL2 586 500000 PRN SOLE 500000 0 0 Nektar Therapeutics COM 640268108 30061 2484383 SH SOLE 1704853 0 779530 NetApp, Inc. COM 64110D104 5699 152740 SH SOLE 125815 0 26925 Netflix, Inc. COM 64110L106 2082 19162 SH SOLE 11860 0 7302 Netlogic Microsystems, Inc. COM 64118B100 6094 224039 SH SOLE 156984 0 67055 NII Holdings, Inc. - B COM 62913F201 2098 64508 SH SOLE 31486 0 33022 NII HOLDINGS, INC. CNV 62913FAJ1 16,598 17500000 PRN SOLE 17500000 0 0 Nike, Inc. - B COM 654106103 2561 37916 SH SOLE 31890 0 6026 North Amer Palladium Ltd ADR 656912102 1034 332531 SH SOLE 156141 0 176390 North American Energy Partne ADR 656844107 137 15482 SH SOLE 425 0 15057 NORTHERN OIL AND GAS INC COM 665531109 1307 101793 SH SOLE 48128 0 53665 Nu Skin Enterprises, Inc. - A COM 67018T105 9571 383909 SH SOLE 295823 0 88086 Nutri/system Inc COM 67069D108 4397 191660 SH SOLE 120726 0 70934 NXSTAGE MEDICAL INC COM 67072V103 295 19900 SH SOLE 7882 0 12018 Oasis Petroleum, Inc. COM 674215108 5884 405806 SH SOLE 312907 0 92899 Occidental Petroleum Corp. COM 674599105 2617 33918 SH SOLE 29019 0 4899 OCH-ZIFF Capital Management - A COM 67551U105 1165 92540 SH SOLE 64938 0 27602 OCLARO INC COM 67555N206 2708 244215 SH SOLE 114237 0 129978 Ocwen Financial Corp COM 675746309 4009 393461 SH SOLE 301400 0 92061 Oil States International COM 678026105 565 14270 SH SOLE 11509 0 2761 Omnicare, Inc. COM 681904108 552 23285 SH SOLE 18778 0 4507 Omnivision Technologies COM 682128103 23607 1101052 SH SOLE 738140 0 362912 ON SEMICONDUCTOR CORPORATION CNV 682189AG0 19,860 21100000 PRN SOLE 21100000 0 0 OPENTABLE INC COM 68372A104 1990 47975 SH SOLE 36754 0 11221 Opnet Technologies Inc. COM 683757108 1296 88190 SH SOLE 38354 0 49836 Oracle Corp. COM 68389X105 4103 191207 SH SOLE 163682 0 27525 Orasure Technologies Inc COM 68554V108 1134 244818 SH SOLE 116044 0 128774 Orient Express Hotels ADR G67743107 104 14112 SH SOLE 387 0 13725 Oriental Financial Group ADR 68618W100 2263 178755 SH SOLE 84117 0 94638 Orthofix International N.V. ADR N6748L102 2105 65679 SH SOLE 30896 0 34783 Overstock.com Inc COM 690370101 1065 58938 SH SOLE 27773 0 31165 Paccar, Inc. COM 693718108 1709 42855 SH SOLE 30080 0 12775 Pacer International Inc COM 69373H106 3002 429492 SH SOLE 195597 0 233895 PACIFIC RUBIALES ENERGY CORP ADR 69480U206 6941 309042 SH SOLE 75581 0 233461 Pan Amer Silver Corp. ADR 697900108 670 26511 SH SOLE 21388 0 5123 Panera Bread Co. COM 69840W108 2057 27325 SH SOLE 20345 0 6980 Parexel Intl Corp COM 699462107 7728 356474 SH SOLE 236446 0 120028 PEABODY ENERGY CORPORATION COM 704549104 404 10325 SH SOLE 10325 0 0 Peets Coffee & Tea Inc COM 705560100 4311 109770 SH SOLE 51633 0 58137 Perry Ellis International COM 288853104 1349 66779 SH SOLE 31577 0 35202 Petrohawk Energy Corp. COM 716495106 455 26810 SH SOLE 21617 0 5193 Petroleo Brasileiro SA ADR 71654V408 19549 569168 SH SOLE 512388 0 56780 Pharmaceutical Prod Dev COM 717124101 1433 56382 SH SOLE 45459 0 10923 Pharmacyclics Inc COM 716933106 1186 178013 SH SOLE 84044 0 93969
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 - ------------------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- -------- ------ ------- Pier 1 Imports Inc. COM 720279108 10039 1566088 SH SOLE 942689 0 623399 Polaris Industries COM 731068102 1303 23862 SH SOLE 18580 0 5282 Popular, Inc. ADR 733174106 5112 1907277 SH SOLE 1319600 0 587677 Power-One Inc COM 73930R102 6199 918403 SH SOLE 340788 0 577615 priceline.com, Inc. COM 741503403 9076 51411 SH SOLE 40749 0 10662 ProShares Ultra Oil COM 74347R719 1943 77500 SH SOLE 0 0 77500 QLogic Corp. COM 747277101 2221 133618 SH SOLE 104040 0 29578 Questcor Pharmaceuticals Inc COM 74835Y101 10119 991088 SH SOLE 613343 0 377745 Randgold Resources, Ltd. - ADR ADR 752344309 21665 228449 SH SOLE 202573 0 25876 REGIS CORP CNV 758932AA5 1,788 2000000 PRN SOLE 2000000 0 0 Renesola, Ltd. - ADR ADR 75971T103 1268 212461 SH SOLE 100102 0 112359 Rentrak Corporation COM 760174102 1708 70186 SH SOLE 33096 0 37090 Resmed, Inc. COM 761152107 6426 105671 SH SOLE 83273 0 22398 Rex Energy Corp COM 761565100 1522 150731 SH SOLE 95325 0 55406 Riverbed Technology, Inc. COM 768573107 5680 205638 SH SOLE 145050 0 60588 Rock Tenn Co Cl A COM 772739207 3362 67687 SH SOLE 51807 0 15880 Rosetta Resources Inc COM 777779307 2323 117282 SH SOLE 85821 0 31461 Rovi Corp. COM 779376102 15560 410440 SH SOLE 304407 0 106033 RPC Inc. COM 749660106 1229 90000 SH SOLE 56695 0 33305 Rubicon Technology Inc COM 78112T107 16382 549921 SH SOLE 316804 0 233117 Rudolph Technlogies COM 781270103 2113 279849 SH SOLE 125154 0 154695 RUE21 INC COM 781295100 503 16572 SH SOLE 4953 0 11619 RUTH'S Hospotality Group Inc COM 783332109 2352 562656 SH SOLE 223559 0 339097 Ryanair Holdings PLC - SP ADR ADR 783513104 1333 49192 SH SOLE 39668 0 9524 Salix Pharmaceuticals, Ltd. COM 795435106 13812 353878 SH SOLE 253418 0 100460 Sanderson Farms Inc. COM 800013104 1053 20746 SH SOLE 15890 0 4856 Sandisk Corp. COM 80004C101 3859 91729 SH SOLE 65568 0 26161 SCHOOL SPECIALTY INC CNV 807863AE5 3,145 3150000 PRN SOLE 3150000 0 0 Select Comfort Corp. COM 81616X103 1753 200318 SH SOLE 93989 0 106329 SFN Group Inc COM 784153108 1661 304122 SH SOLE 143121 0 161001 Shire PLC - ADR ADR 82481R106 2945 47975 SH SOLE 41017 0 6958 Shoe Carnival Inc COM 824889109 2192 106856 SH SOLE 51271 0 55585 Silicon Image Inc COM 82705T102 3200 911588 SH SOLE 466886 0 444702 Silver Wheaton Corp. ADR 828336107 442 22005 SH SOLE 605 0 21400 Sinclair Broadcast Group COM 829226109 182 31169 SH SOLE 855 0 30314 Sirius XM Radio Inc COM 82967N108 439 462663 SH SOLE 46771 0 415892 Sirona Dental Systems, Inc. COM 82966C103 8052 231114 SH SOLE 146341 0 84773 Skechers USA, Inc. - A COM 830566105 13761 376808 SH SOLE 279901 0 96907 Smart Modular Technologies COM G82245104 249 42494 SH SOLE 1166 0 41328 Solera Holdings, Inc. COM 83421A104 1202 33216 SH SOLE 25832 0 7384 Sonic Solutions COM 835460106 1737 208024 SH SOLE 98629 0 109395 Sotheby's COM 835898107 3161 138198 SH SOLE 68474 0 69724 Spdr S&P China Etf COM 78463X400 1208 18100 SH SOLE 0 0 18100 Starwood Hotels & Resorts Worldwide COM 85590A401 5435 131176 SH SOLE 54270 0 76906 Steelcase Inc. - Cl. A COM 858155203 3485 449633 SH SOLE 344351 0 105282 Stillwater Mining Co COM 86074Q102 3114 267964 SH SOLE 205237 0 62727 Successfactors Inc COM 864596101 2046 98423 SH SOLE 21326 0 77097 Sun Hydraulics Inc COM 866942105 919 39177 SH SOLE 18515 0 20662 SUNTECH POWER HOLDINGS PUT 86800C104 1,052 25116 PUT SOLE 25116 0 0 SUNTECH POWER HOLDINGS CO CNV 86800CAE4 37,536 49652000 PRN SOLE 49652000 0 0 Super Micro Computer Inc COM 86800U104 3331 246747 SH SOLE 116123 0 130624 Superior Well Services Inc COM 86837X105 1339 80073 SH SOLE 50447 0 29626 SXC Health Solutions Corp. ADR 78505P100 7445 101638 SH SOLE 75309 0 26329 Tal International Group Inc COM 874083108 3383 150550 SH SOLE 70833 0 79717 Talbots, Inc. COM 874161102 10213 990620 SH SOLE 663374 0 327246 Target Corp. COM 87612E106 4522 91963 SH SOLE 73209 0 18754 Taseko Mines Ltd ADR 876511106 267 62450 SH SOLE 1713 0 60737 Temple-Inland, Inc. COM 879868107 6384 308838 SH SOLE 215410 0 93428 Tempur-Pedic International COM 88023U101 3213 104494 SH SOLE 81311 0 23183 Tennant Co COM 880345103 4308 127377 SH SOLE 60049 0 67328
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 - ------------------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- -------- ------ ------- Tenneco Inc COM 880349105 5283 250836 SH SOLE 192170 0 58666 Terex Corp. COM 880779103 2355 125691 SH SOLE 92432 0 33259 Textron, Inc. COM 883203101 1527 89997 SH SOLE 63302 0 26695 Thoratec Corp. COM 885175307 20624 482649 SH SOLE 345287 0 137362 Tibco Software Inc COM 88632Q103 6018 499044 SH SOLE 384390 0 114654 Titan International Inc COM 88830M102 2223 222919 SH SOLE 140283 0 82636 TJX Companies, Inc. COM 872540109 4093 97575 SH SOLE 83464 0 14111 Tower Semiconductor Ltd ADR M87915100 2162 1533434 SH SOLE 728861 0 804573 TREX COMPANY INC CNV 89531PAA3 7,205 6217000 PRN SOLE 6217000 0 0 TRINA SOLAR LTD PUT 89628E104 0 20000 PUT SOLE 20000 0 0 Trinity Industries COM 896522109 4774 269417 SH SOLE 200816 0 68601 TRI-TECH HOLDING INC ADR G9103F106 387 47589 SH SOLE 0 0 47589 Triumph Group Inc COM 896818101 7922 118902 SH SOLE 91003 0 27899 TYSON FOODS INC CNV 902494AP8 5,394 4600000 PRN SOLE 4600000 0 0 UAL CORP PUT 902549957 177 18636 PUT SOLE 18636 0 0 UAL Corp. COM 902549807 329 16000 SH SOLE 441 0 15559 UAL CORPORATION CNV 902549AE4 22,307 22500000 PRN SOLE 22500000 0 0 ULTRA CLEAN HOLDINGS COM 90385V107 3974 466427 SH SOLE 187685 0 278742 ULTRASHORT RUSSELL2000 PROSH COM 74347R834 380 16400 SH SOLE 0 0 16400 Ultratech Stepper Inc. COM 904034105 3856 237005 SH SOLE 111102 0 125903 UNDER ARMOUR INC-CLASS A COM 904311107 1657 50000 SH SOLE 31540 0 18460 United Therapeutics COM 91307C102 4210 86255 SH SOLE 64440 0 21815 Universal Display Corp COM 91347P105 3745 208314 SH SOLE 129774 0 78540 US AIRWAYS GROUP INC COM 90341W108 4038 468946 SH SOLE 325664 0 143282 US Gold Corp. COM 912023207 293 58400 SH SOLE 6671 0 51729 UtStarcom Inc COM 918076100 3050 1657371 SH SOLE 925063 0 732308 Valassis Communications Inc. COM 918866104 8370 263873 SH SOLE 196346 0 67527 Vale SA - SP ADR ADR 91912E105 18429 755974 SH SOLE 680784 0 75190 ValueClick, Inc. COM 92046N102 1069 100000 SH SOLE 63075 0 36925 VANCEINFO TECHNOLOGIES-ADR ADR 921564100 3643 156469 SH SOLE 119739 0 36730 Varian Semiconductor Equipment COM 922207105 1360 47469 SH SOLE 36649 0 10820 Assoc. Veeco Instruments, Inc. COM 922417100 15151 441970 SH SOLE 298623 0 143347 VeriFone Systems, Inc. COM 92342Y109 8287 437794 SH SOLE 307702 0 130092 Verisign Inc. COM 92343E102 1667 62799 SH SOLE 50639 0 12160 VIRGIN MEDIA INC CNV 92769LAB7 29,465 25050000 PRN SOLE 25050000 0 0 Visa, Inc. - A COM 92826C839 6073 85839 SH SOLE 68429 0 17410 VITAMIN SHOPPE INC COM 92849E101 3704 144405 SH SOLE 110596 0 33809 VMware, Inc. - A COM 928563402 9247 147736 SH SOLE 101982 0 45754 Volcano Corp COM 928645100 4348 199256 SH SOLE 130865 0 68391 VOLCOM INC COM 92864N101 1497 80623 SH SOLE 37751 0 42872 Volterra Semiconductor Corp COM 928708106 5878 254900 SH SOLE 151270 0 103630 Wabash National Corp. COM 929566107 4620 649739 SH SOLE 285396 0 364343 Wal-Mart Stores, Inc. COM 931142103 2932 60996 SH SOLE 52177 0 8819 Watsco, Inc. COM 942622200 7853 135586 SH SOLE 104579 0 31007 WELLS FARGO & CO PUT 949746101 132 3321 PUT SOLE 2071 0 1250 WESTERN ALLIANCE BANCORP COM 957638109 2848 397226 SH SOLE 304720 0 92506 Westport Innovations, Inc. ADR 960908309 10085 642753 SH SOLE 411244 0 231509 Whole Foods Market, Inc. COM 966837106 11075 307459 SH SOLE 237471 0 69988 Wimm-Bill-Dann Foods OJSC ADR 97263M109 3973 222564 SH SOLE 195284 0 27280 WMS Industries, Inc. COM 929297109 5400 137583 SH SOLE 99068 0 38515 XYRATEX LTD ADR G98268108 216 15250 SH SOLE 419 0 14831 YRC WORLDWIDE INC PUT 984249102 192 792 PUT SOLE 792 0 0 ZIOPHARM ONCOLOGY INC COM 98973P101 874 274918 SH SOLE 130142 0 144776 Zoll Medical Corp. COM 989922109 3824 141114 SH SOLE 88753 0 52361
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