0001020617-11-000008.txt : 20110509 0001020617-11-000008.hdr.sgml : 20110509 20110509132519 ACCESSION NUMBER: 0001020617-11-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110509 DATE AS OF CHANGE: 20110509 EFFECTIVENESS DATE: 20110509 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ROOSEVELT INVESTMENT GROUP INC CENTRAL INDEX KEY: 0001020617 IRS NUMBER: 133592307 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-03511 FILM NUMBER: 11822448 BUSINESS ADDRESS: STREET 1: 444 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2125996060 MAIL ADDRESS: STREET 1: 444 MADISON AVENUE SUITE 605 CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: SHEER ASSET MANAGEMENT INC DATE OF NAME CHANGE: 19990407 13F-HR 1 rig0311cvr.txt Q1 2011 13F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 03/31/2011 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: The Roosevelt Investment Group, Inc. Address: 317 Madison Avenue, Suite 1004 New York, N.Y. 10017 Form 13F File Number: 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: Steven Weiss Title: Chief Compliance Officer Phone: 646-452-6700 Signature, Place, and Date of Signing: /s/ Steven Weiss New York, New York 05/09/2011 --------------------------------- --------------------------------- ---------- [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: 182 Form 13F Information Table Value Total: $ 4,161,387 -------------- (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
VALUE SHARES/ SH/ PUT/ INVSTMT -----VOTING AUTHORITY----- NAME OF ISSUER -TITLE OF CLASS- --CUSIP-- -x$1000-PRN AMT PRN CALL DSCRETN -MANAGERS- SOLE SHARED NONE D AT&T INC COM 00206R102 817 26686 SH SOLE 0 0 26686 D ABBOTT LABS COM 002824100 305 6225 SH SOLE 0 0 6225 D ALBEMARLE CORPORATION COM 012653101 94631 1583247 SH SOLE 522471 0 1060775 D ALLEGHENY TECHNOLOGIES INC COM 01741R102 127177 1877990 SH SOLE 619737 0 1258253 D ALTRIA GROUP INC COM 02209S103 1445 55500 SH SOLE 0 0 55500 D AMERICAN EXPRESS CO COM 025816109 240 5305 SH SOLE 0 0 5305 D ANADARKO PETE CORP COM 032511107 705 8608 SH SOLE 0 0 8608 D APACHE CORP COM 037411105 264 2019 SH SOLE 0 0 2019 D APPLE COMPUTER INC COM 037833100 132940 381457 SH SOLE 125881 0 255576 D ARUBA NETWORKS INC COM 043176106 251 7415 SH SOLE 0 0 7415 D BAC CAPITAL TRUST PREFERRED STOCK 055188205 605 24125 SH SOLE 0 0 24125 D BAC CAP TR VIII 6.00%35 TR PREFERRED STOCK 05518T209 1199 52400 SH SOLE 0 0 52400 D BP PLC SPONSORED ADR 055622104 1551 35142 SH SOLE 0 0 35142 D BANK OF AMERICA CORPORATION COM 060505104 450 33756 SH SOLE 0 0 33756 D BARCLAYS BANK 7.75%ADR PFD 06739H511 473 18385 SH SOLE 0 0 18385 D BECTON DICKINSON & CO COM 075887109 2025 25427 SH SOLE 0 0 25427 D BERKSHIRE HATHAWAY INC DEL CL A 084670108 501 4 SH SOLE 0 0 4 D BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 761 9097 SH SOLE 0 0 9097 D BLACKSTONE GROUP L P COM UNIT LTD 09253U108 383 21400 SH SOLE 0 0 21400 D BORGWARNER INC COM 099724106 105228 1320473 SH SOLE 435756 0 884717 D BOSTON BEER CO INC CL A 100557107 2832 30575 SH SOLE 0 0 30575 D BRISTOL MYERS SQUIBB CO COM 110122108 50565 1913176 SH SOLE 631348 0 1281828 D CENTERPOINT ENERGY INC COM 15189T107 1586 90300 SH SOLE 0 0 90300 D CHICAGO BRIDGE & IRON CO. ADR 167250109 39814 979192 SH SOLE 323133 0 656059 D CHURCH & DWIGHT INC COM 171340102 995 12543 SH SOLE 0 0 12543 D CITIGROUP INC COM 172967101 2366 535246 SH SOLE 0 0 535246 D CLEAN HARBORS INC COM 184496107 85230 863878 SH SOLE 285080 0 578798 D CLIFFS NATURAL RESOURCES INC COM 18683K101 945 9615 SH SOLE 0 0 9615 D COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 124434 1528678 SH SOLE 504464 0 1024214 D COMPASS MINERALS INTL INC COM 20451N101 85640 915647 SH SOLE 302163 0 613483 D CONAGRA FOODS INC COM 205887102 1192 50200 SH SOLE 0 0 50200 D CONOCOPHILLIPS COM 20825C104 290 3628 SH SOLE 0 0 3628 D CONTINENTAL RESOURCES INC COM 212015101 41703 583507 SH SOLE 192557 0 390950 D COSTCO WHSL CORP NEW COM 22160K105 524 7150 SH SOLE 0 0 7150 D CROWN HOLDINGS COM 228368106 58054 1504764 SH SOLE 496572 0 1008192 D DECKER OUTDOOR CORPORATION COM 243537107 336 3903 SH SOLE 0 0 3903 D DEUTSCHE BANK 6.625% PREFERRED STOCK 25153Y206 1739 71310 SH SOLE 0 0 71310 D DIAGEO P L C SPON ADR NEW 25243Q205 819 10751 SH SOLE 0 0 10751 D DISNEY WALT CO COM 254687106 250 5797 SH SOLE 0 0 5797 D DISCOVER FINCL SVCS COM 254709108 49127 2036754 SH SOLE 672129 0 1364625 D DISCOVERY COMMUNICATNS NEW COM SER A 25470F104 30407 762078 SH SOLE 251486 0 510592 D DIRECTV COM CL A 25490A101 3179 67927 SH SOLE 0 0 67927 D DONNELLEY R R & SONS CO COM 257867101 681 36000 SH SOLE 0 0 36000 D DOW CHEM CO COM 260543103 104749 2774797 SH SOLE 915683 0 1859114 D DUKE ENERGY CORP NEW COM 26441C105 1485 81800 SH SOLE 0 0 81800 D EOG RESOURCES INC COM 26875P101 41482 350026 SH SOLE 115509 0 234517 D ETFS PALLADIUM TR SH BEN INT 26923A106 1123 14777 SH SOLE 0 0 14777 D EBAY INC COM 278642103 63277 2038566 SH SOLE 672727 0 1365839 D EMERSON ELEC CO COM 291011104 243 4167 SH SOLE 0 0 4167 D ENTERPRISE PRODS PARTNERS L COM 293792107 6894 160098 SH SOLE 0 0 160098 D EXXON MOBIL CORP COM 30231G102 2128 25295 SH SOLE 0 0 25295 D FMC TECHNOLOGIES INC COM 30249U101 45102 954746 SH SOLE 315066 0 639679 D F5 NETWORKS INC COM 315616102 557 5434 SH SOLE 0 0 5434 D FIFTH 3RD BANCORP OHIO COM 316773100 73612 5301537 SH SOLE 1749507 0 3552030 D FLEET CAPITAL TR., 7.20% PREFERRED STOCK 33889X203 350 14000 SH SOLE 0 0 14000 D GALLAGHER ARTHUR J & CO COM 363576109 882 29000 SH SOLE 0 0 29000 D GENERAL ELECTRIC CO COM 369604103 8900 443885 SH SOLE 0 0 443885 D GENERAL ELEC CAP CORP PREFERRED STOCK 369622519 561 22065 SH SOLE 0 0 22065 D GEN ELEC CAP 6.625%32 PREFERRED STOCK 369622527 669 26078 SH SOLE 0 0 26078 D GENERAL MILLS INC COM 370334104 3165 86596 SH SOLE 0 0 86596 D GETTY RLTY CORP NEW COM 374297109 970 42389 SH SOLE 0 0 42389 D GLOBAL PAYMENT INC COM 37940X102 22256 454941 SH SOLE 150131 0 304811 D HASBRO INC COM 418056107 90616 1934581 SH SOLE 638412 0 1296169 D HAWAIIAN ELEC INDUSTRIES COM 419870100 592 23875 SH SOLE 0 0 23875 D HEINZ H J CO COM 423074103 1589 32550 SH SOLE 0 0 32550 D HERSHEY CO COM 427866108 962 17700 SH SOLE 0 0 17700 D HEWLETT PACKARD CO COM 428236103 416 10147 SH SOLE 0 0 10147 D HOLLY ENERGY PARTNERS L P COM UT LTD PTN 435763107 930 16039 SH SOLE 0 0 16039 D HONEYWELL INTL INC COM 438516106 750 12557 SH SOLE 0 0 12557 D HUGOTON RTY TRUST TEX UNIT BEN INT 444717102 1258 52900 SH SOLE 0 0 52900 D HUMAN GENOME SCIENCES INC COM 444903108 650 23663 SH SOLE 0 0 23663 D IHS INC CL A 451734107 219 2471 SH SOLE 0 0 2471 D IMPERIAL OIL LTD COM NEW COM 453038408 47305 926285 SH SOLE 305674 0 620611 D INFORMATICA CORP COM 45666Q102 511 9787 SH SOLE 0 0 9787 D INTEL CORP 2.950% CONVERTIBLE BONDS 458140AD2 772 750000 PRN SOLE 0 0 750000 D INTERDIGITAL INC COM 45867G101 46486 974341 SH SOLE 321533 0 652808 D INTERNATIONAL BUSINESS MACHS COM 459200101 8647 53028 SH SOLE 0 0 53028 D INTL PAPER CO COM 460146103 346 11460 SH SOLE 0 0 11460 D ISHARES COMEX GOLD TR ISHARES 464285105 1157 82560 SH SOLE 0 0 82560 D ISRAEL CHEMICALS LTD ADR COM 465036200 24057 1458209 SH SOLE 481209 0 977000 D ITC HOLDINGS COM 465685105 40871 584705 SH SOLE 192953 0 391752 D JPMORGAN CHASE & CO COM 46625H100 50845 1102928 SH SOLE 363966 0 738961 D JP MORGAN CHASE & CO PREFERRED STOCK 46625H621 536 19220 SH SOLE 0 0 19220 D JP MORGAN CHASE XI PREFERRED STOCK 46626V207 362 14614 SH SOLE 0 0 14614 D J P MORGAN CHASE PREFERRED STOCK 46626X203 1760 69455 SH SOLE 0 0 69455 D JOHNSON & JOHNSON COM 478160104 3293 55580 SH SOLE 0 0 55580 D JOHNSON CONTROLS INC COM 478366107 86819 2088499 SH SOLE 689205 0 1399294 D KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 748 10099 SH SOLE 0 0 10099 D KINDER MORGAN MANAGEMENT LLC SHS 49455U100 1075 16385 SH SOLE 0 0 16385 D KIRBY CP COM 497266106 34867 608610 SH SOLE 200841 0 407769 D KOMATSU LTD SPON ADR NEW ADR 500458401 28960 849625 SH SOLE 280376 0 569249 D KRAFT FOODS INC CL A 50075N104 1963 62603 SH SOLE 0 0 62603 D LOCKHEED MARTIN CORP COM 539830109 3353 41705 SH SOLE 0 0 41705 D MF GLOBAL HLDGS LTD COM COM 55277J108 18491 2233204 SH SOLE 736957 0 1496247 D MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 743 12371 SH SOLE 0 0 12371 D MARSH & MCLENNAN COS INC COM 571748102 67642 2269107 SH SOLE 748805 0 1520302 D MCDONALDS CORP COM 580135101 44702 587486 SH SOLE 193870 0 393616 D MEAD JOHNSON NUTRITION CO COM 582839106 3027 52248 SH SOLE 0 0 52248 D MERCK & CO INC NEW COM 58933Y105 289 8761 SH SOLE 0 0 8761 D MERRILL LYNCH CAP 7% PREFERRED STOCK 59021F206 567 23139 SH SOLE 0 0 23139 D MICROSOFT CORP COM 594918104 582 22941 SH SOLE 0 0 22941 D MICROCHIP TECHNOLOGY INC COM 595017104 77130 2029216 SH SOLE 669641 0 1359574 D MONSANTO CO NEW COM 61166W101 1980 27405 SH SOLE 0 0 27405 D MONSTER WORLDWIDE INC COM 611742107 22539 1417549 SH SOLE 467791 0 949757 D MORGAN STNLY CAP 5.75%33 PREFERRED STOCK 617466206 463 19950 SH SOLE 0 0 19950 D NYSE EURONEXT COM 629491101 3050 86735 SH SOLE 0 0 86735 D NATIONAL FUEL GAS CO N J COM 636180101 119860 1619725 SH SOLE 534509 0 1085216 D NATIONAL OILWELL VARCO INC COM 637071101 84860 1070527 SH SOLE 353274 0 717253 D NATURAL RESOURCE PARTNERS L COM UNIT L P 63900P103 8123 231622 SH SOLE 0 0 231622 D NAVISTAR INTL CORP COM 63934E108 61193 882634 SH SOLE 291269 0 591365 D NESTLE S A SPONSORED ADR COM 641069406 862 14982 SH SOLE 0 0 14982 D NEW YORK CMNTY BANCORP INC COM 649445103 193 11200 SH SOLE 0 0 11200 D NEWMONT MINING CORP COM 651639106 842 15434 SH SOLE 0 0 15434 D NEXTERA ENERGY, INC COM 65339F101 1917 34778 SH SOLE 0 0 34778 D NORFOLK SOUTHERN CORP COM 655844108 53002 765156 SH SOLE 252501 0 512655 D NOVO-NORDISK A S ADR 670100205 79456 634484 SH SOLE 209380 0 425104 D NOVOZYMES A/S UNSPONS ADR ADR 670108109 48426 315872 SH SOLE 104238 0 211634 D OCCIDENTAL PETROLEUM CORP DE COM 674599105 80566 771039 SH SOLE 254443 0 516596 D OLIN CORP COM PAR $1 680665205 1003 43750 SH SOLE 0 0 43750 D ORACLE CORP COM 68389X105 2625 78520 SH SOLE 0 0 78520 D PEABODY ENERGY CORP COM 704549104 118386 1645157 SH SOLE 542902 0 1102255 D PENN VA RESOURCE PARTNERS L COM 707884102 1053 38015 SH SOLE 0 0 38015 D PEPSICO INC COM 713448108 631 9798 SH SOLE 0 0 9798 D PERRIGO CO COM 714290103 79169 995583 SH SOLE 328543 0 667041 D PETROLEO BRASILEIRO SA PETRO SP ADR NON VTG 71654V101 1359 38237 SH SOLE 0 0 38237 D PETROLEO BRASILEIRO SA PETRO SP ADR NON VTG 71654V408 443 10968 SH SOLE 0 0 10968 D PHILIP MORRIS INTL INC COM 718172109 5538 84383 SH SOLE 0 0 84383 D PHILLIPS VAN HEUSEN COM 718592108 45322 696940 SH SOLE 229990 0 466950 D PLUM CREEK TIMBER CO IN COM 729251108 3164 72562 SH SOLE 0 0 72562 D POLO RALPH LAUREN CORP CL A 731572103 3861 31228 SH SOLE 0 0 31228 D PRECISION CASTPARTS CORP COM 740189105 433 2943 SH SOLE 0 0 2943 D PRECISION DRILLING CORP COM 74022D308 576 42550 SH SOLE 0 0 42550 D PROCTER & GAMBLE CO COM 742718109 951 15443 PRN SOLE 0 0 15443 D PROGRESS ENERGY INC COM 743263105 485 10503 SH SOLE 0 0 10503 D PROSHARES TR PSHS ULSHT SP500 74347R883 69283 3311813 SH SOLE 1092898 0 2218914 D PROSHARES QQQ ULTRASHORT SH BEN INT 74347X237 66850 1311819 SH SOLE 432900 0 878919 D PROSHS ULTRASHORT RUSSELL SH BEN INT 74348A202 66333 1588049 SH SOLE 524056 0 1063993 D PROTECTIVE LIFE CP COM 743674103 55216 2079687 SH SOLE 686297 0 1393390 D PUBLIC SVC ENTERPRISE GROUP COM 744573106 820 26030 SH SOLE 0 0 26030 D RAYONIER INC COM 754907103 2532 40635 SH SOLE 0 0 40635 D REED ELSEVIER P L C SPONS ADR NEW 758205207 563 16258 SH SOLE 0 0 16258 D ROBERT HALF INTL COM 770323103 75355 2462567 SH SOLE 812647 0 1649920 D ROPER INDS INC NEW COM 776696106 41142 475853 SH SOLE 157031 0 318821 D ROVI CORPORATION COM 779376102 38363 715060 SH SOLE 235970 0 479090 D ROYAL DUTCH SHELL PLC SPON ADR B 780259206 1498 20558 SH SOLE 0 0 20558 D SLM CORPORATION COM 78442P106 71226 4655274 SH SOLE 1536240 0 3119034 D SALIX PHARMACEUTICALS COM 795435106 209 5970 SH SOLE 0 0 5970 D SCHLUMBERGER LTD COM 806857108 1424 15265 SH SOLE 0 0 15265 D SENOMYX INC COM 81724Q107 2317 383571 SH SOLE 0 0 383571 D SOTHEBY NOTE 835898107 68699 1306053 PRN SOLE 0 0 1306053 D SOUTHERN CO COM 842587107 1645 43159 SH SOLE 0 0 43159 D SOUTHWESTERN ENERGY CO COM 845467109 411 9576 SH SOLE 0 0 9576 D STERICYCLE INC COM 858912108 36482 411437 SH SOLE 135774 0 275663 D STRAYER EDU INC COM 863236105 292 2237 SH SOLE 0 0 2237 D SYNOVUS FINL CORP COM 87161C105 107 44551 SH SOLE 0 0 44551 D TECO ENERGY INC COM 872375100 2153 114760 SH SOLE 0 0 114760 D TARGET CORP COM 87612E106 2150 42986 SH SOLE 0 0 42986 D TRANSDIGM GROUP INC COM 893641100 52624 627749 SH SOLE 207157 0 420592 D U.S. BANCORP DEL COM NEW 902973304 830 31408 SH SOLE 0 0 31408 D UNION PAC CORP COM 907818108 401 4077 SH SOLE 0 0 4077 D UNITED TECHNOLOGIES CORP COM 913017109 672 7940 SH SOLE 0 0 7940 D VERIFONE SYSTEMS INC COM 92342Y109 74137 1349174 SH SOLE 445227 0 903947 D VERIZON COMMUNICATIONS INC COM 92343V104 1730 44898 SH SOLE 0 0 44898 D VERISK ANALYTICS INC COM 929042604 1377 54675 SH SOLE 0 0 54675 D VORNADO RLTY TR PFD SER I PREFERRED STOCK 929042877 334 13740 SH SOLE 0 0 13740 D WADDELL&REED FINCL INC CL A COM 930059100 21814 537148 SH SOLE 177259 0 359889 D WALTER ENERGY INC COM 93317Q105 531 3921 SH SOLE 0 0 3921 D WASTE MGMT INC DEL COM 94106L109 70585 1890320 SH SOLE 623806 0 1266515 D WEBMD HEALTH CORP COM 94770V102 63671 1191884 SH SOLE 393322 0 798562 D WELLS FARGO & CO NEW COM 949746101 78399 2472367 SH SOLE 815881 0 1656486 D WELLS FARGO CAP 6.25%67 PREFERRED STOCK 94979S207 288 11400 SH SOLE 0 0 11400 D WHIRLPOOL CORP COM 963320106 328 3845 SH SOLE 0 0 3845 D WILLIAMS PARTNERS L P COM UNIT L P 96950F104 1109 21400 SH SOLE 0 0 21400 D WYNN RESORTS LTD COM 983134107 70384 553509 SH SOLE 182658 0 370851 D XCEL ENERGY INC COM 98389B100 333 13950 SH SOLE 4604 0 9347 D COOPER INDS PLC COM G24140108 1188 18300 SH SOLE 0 0 18300 D TYCO INTERNATIONAL LTD SHS H89128104 51585 1152236 SH SOLE 380238 0 771998 D NOVOZYMES A/S B SHA ADR K7317J117 1456 9500 SH SOLE 3135 0 6365 D NXP SEMICONDUCTORS NV COM N6596X109 50421 1682675 SH SOLE 555283 0 1127392 D ROYAL CARIBBEAN CRUISES LTD COM V7780T103 2633 63822 SH SOLE 0 0 63822 D TEEKAY CORP COM Y8564W103 20941 567052 SH SOLE 187127 0 379925