0001020617-14-000006.txt : 20140207 0001020617-14-000006.hdr.sgml : 20140207 20140207093029 ACCESSION NUMBER: 0001020617-14-000006 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140207 DATE AS OF CHANGE: 20140207 EFFECTIVENESS DATE: 20140207 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-03511 FILM NUMBER: 14582129 BUSINESS ADDRESS: STREET 1: 317 MADISON AVENUE STREET 2: SUITE 1004 CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 6464526700 MAIL ADDRESS: STREET 1: 317 MADISON AVENUE STREET 2: SUITE 1004 CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: SHEER ASSET MANAGEMENT INC DATE OF NAME CHANGE: 19990407 13F-HR/A 1 primary_doc.xml 13F-HR/A LIVE false true false 0001020617 XXXXXXXX 12-31-2013 12-31-2013 true 1 RESTATEMENT ROOSEVELT INVESTMENT GROUP INC

317 MADISON AVENUE SUITE 1004 NEW YORK NY 10017

13F HOLDINGS REPORT 028-03511 N Steven Weiss 646-452-6700 Steven Weiss New York City NY 02-07-2014 0 262 2214857 false INFORMATION TABLE 2 Q42013vRIG.xml Q4 2013 RIG II BP PLC Sponsored ADR AMERICAN DEPOSITORY 055622104 375 7720 SH SOLE 772 0 6948 CHICAGO BRIDGE & IRON F N Y REGISTR AMERICAN DEPOSITORY 167250109 70163 843910 SH SOLE 281731 0 420639 DIAGEO PLC NEW ADR AMERICAN DEPOSITORY 25243Q205 358 2700 SH SOLE 270 0 2430 FANUC LTD UNSPON ADR AMERICAN DEPOSITORY 307305102 20312 662262 SH SOLE 237187 0 305683 ICICI BANK LTD ADR F SPONSORED ADR AMERICAN DEPOSITORY 45104G104 37208 1001012 SH SOLE 356414 0 461550 NATIONAL BK GREECE SA SPONSORED ADR AMERICAN DEPOSITORY 633643705 171 36462 SH SOLE 5030 0 13202 NOMURA HLDGS INC SPONSORED ADR AMERICAN DEPOSITORY 65535H208 45387 5841291 SH SOLE 2018796 0 2768064 NOVO-NORDISK A-S ADR AMERICAN DEPOSITORY 670100205 11704 63347 SH SOLE 6335 0 57012 Nestle S A Spnsd ADR Repsting Reg S AMERICAN DEPOSITORY 641069406 4427 60164 SH SOLE 6016 0 54148 PETROBRAS ENERGIA ADR AMERICAN DEPOSITORY 71646J109 268 48363 SH SOLE 4836 0 43527 REED ELSEVIER ADR F SPONS AMERICAN DEPOSITORY 758205207 897 14931 SH SOLE 1493 0 13438 Telecom Argentina Stet- France Tele AMERICAN DEPOSITORY 879273209 236 13703 SH SOLE 1370 0 12333 YPF SOCIEDAD AMERICAN DEPOSITORY 984245100 782 23714 SH SOLE 2371 0 21343 INTEL CORP CONVERTIBLE BONDS 458140AD2 840 750000 SH SOLE 75000 0 675000 OMNICARE INC 3.25%35 CVT PUT DUE 12 CONVERTIBLE BONDS 681904al2 1526 1426000 SH SOLE 142600 0 1283400 3M COMPANY COMMON STOCK 88579Y101 1305 9306 SH SOLE 931 0 8375 A T & T INC NEW COMMON STOCK 00206R102 1420 40376 SH SOLE 4038 0 36339 ABBOTT LABORATORIES COMMON STOCK 002824100 489 12750 SH SOLE 1275 0 11475 ABBVIE INC COMMON STOCK 00287Y109 275 5201 SH SOLE 520 0 4680 ACCENTURE LTD - 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PREFERRED STOCK 254709207 3012 130750 SH SOLE 13075 0 117675 ENTERGY MISSISSIPPI 2051 1ST MTG BN PREFERRED STOCK 29364N835 1129 47300 SH SOLE 4730 0 42570 FARMER MAC PFD 5.875% SERIES PREFERRED STOCK 313148801 228 12060 SH SOLE 1206 0 10854 GOLDMAN SACHS 6.125%60 SENIOR NT DU PREFERRED STOCK 38145X111 2932 120360 SH SOLE 12036 0 108324 HSBC HLDGS PLC 8% PFD E PERPETUAL S PREFERRED STOCK 404280802 2330 86499 SH SOLE 8650 0 77849 HSBC HOLDINGS 6.20% PREFERRED STOCK 404280604 295 11950 SH SOLE 1195 0 10755 HSBC USA INC SERIES G ADJ RATE PREFERRED STOCK 40428H888 881 43440 SH SOLE 4344 0 39096 JP MORGAN CHASE 6.70%40 GTD CAP SEC PREFERRED STOCK 48125E207 2588 102195 SH SOLE 10220 0 91976 KIMCO REALTY CORP 6.00% PFD SERIES PREFERRED STOCK 49446R794 2859 136975 SH SOLE 13698 0 123278 M S CAP TRUST VI 6.60%46 CAP SECS D PREFERRED STOCK 617461207 248 10100 SH SOLE 1010 0 9090 METLIFE 6.50% SER B PREFERRED STOCK 59156R603 1586 63700 SH SOLE 6370 0 57330 MORGAN STANLEY CAP 5.75% PREFERRED STOCK 617466206 303 13550 SH SOLE 1355 0 12195 NEXTERA ENERGY CAPITAL 5.7% PREFERRED STOCK 65339K605 2882 137900 SH SOLE 13790 0 124110 PARTNERRE LTD 7.25% PFD E PREFERRED STOCK G68603508 281 11100 SH SOLE 1110 0 9990 PITNEY BOWES INC PFD 6.7% PREFERRED STOCK 724479506 659 26950 SH SOLE 2695 0 24255 PNC FINANCIAL SERVICES 6.125% SERIE PREFERRED STOCK 693475857 2677 106000 SH SOLE 10600 0 95400 PUBLIC STORAGE 6.5% PFD PERP SERIES PREFERRED STOCK 74460D141 1541 65951 SH SOLE 6595 0 59356 PUBLIC STORAGE PFD R 6.35% PREFERRED STOCK 74460D125 3259 139565 SH SOLE 13957 0 125609 QWEST CORP PFD 7.375% PREFERRED STOCK 74913G204 2816 121740 SH SOLE 12174 0 109566 REINSURANCE GROUP OF AMERICA 6.2% P PREFERRED STOCK 759351703 1851 76275 SH SOLE 7628 0 68648 SIMON PPTY GP 8.375% SER J PFD PREFERRED STOCK 828806885 759 12540 SH SOLE 1254 0 11286 SLM CORP 6.97% PFD SERIES A 12/31/4 PREFERRED STOCK 78442P205 395 8694 SH SOLE 869 0 7825 STANLEY BLACK & DECKER I PFD 5.75% PREFERRED STOCK 854502705 3825 178915 SH SOLE 17892 0 161024 STATE STREET CORP 5.25% SERIES C PREFERRED STOCK 857477509 498 24075 SH SOLE 2408 0 21668 TEXAS CAPITAL BK 6.50% 9/1/42 SER PREFERRED STOCK 882228307 428 20330 SH SOLE 2033 0 18297 US BANCORP PFD 6% SER G PREFERRED STOCK 902973817 3621 132315 SH SOLE 13232 0 119084 US BANCORP PFD SERIES F 6.50% PREFERRED STOCK 902973833 2192 83355 SH SOLE 8336 0 75020 US CELLULAR CORP 6.95% PFD 05/15/60 PREFERRED STOCK 911684405 845 37325 SH SOLE 3733 0 33593 VORNADO REALTY TRUST PFD 6.875% SER PREFERRED STOCK 929042869 4085 169770 SH SOLE 16977 0 152793 VORNADO RLTY LP 7.875%39 PINES DUE PREFERRED STOCK 929043602 318 12245 SH SOLE 1225 0 11021 WELLS FARGO & CO NEW DEP SHS REPSTG PREFERRED STOCK 949746747 475 23655 SH SOLE 2366 0 21290 WELLS FARGO & CO NEW DEP1/1000PF CL PREFERRED STOCK 949746655 321 15965 SH SOLE 1597 0 14369 WEYERHAEUSER CO 6.375% SER A PFD PREFERRED STOCK 962166872 1031 18405 SH SOLE 1841 0 16565