0001020617-15-000007.txt : 20150512 0001020617-15-000007.hdr.sgml : 20150512 20150512135031 ACCESSION NUMBER: 0001020617-15-000007 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150331 FILED AS OF DATE: 20150512 DATE AS OF CHANGE: 20150512 EFFECTIVENESS DATE: 20150512 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: 15853775 BUSINESS ADDRESS: STREET 1: 730 THIRD AVENUE STREET 2: 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 6464526700 MAIL ADDRESS: STREET 1: 730 THIRD AVENUE STREET 2: 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: SHEER ASSET MANAGEMENT INC DATE OF NAME CHANGE: 19990407 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001020617 XXXXXXXX 03-31-2015 03-31-2015 ROOSEVELT INVESTMENT GROUP INC

730 THIRD AVENUE 23RD FLOOR NEW YORK NY 10017

13F HOLDINGS REPORT 028-03511 N Steven Weiss 646-452-6712 Steven Weiss NEW YORK NY 05-11-2015 0 280 3298 false INFORMATION TABLE 2 qry_13F.xml 13F_RIGQ12015 3M COMPANY COMMON STOCK 88579Y101 525 3181 SH SOLE 954 0 2227 A T & T INC NEW COMMON STOCK 00206R102 1311 40161 SH SOLE 12048 0 28113 ABBVIE INC COMMON STOCK 00287Y109 372 6360 SH SOLE 1908 0 4452 ACTAVIS INC COMMON STOCK G0083B108 8460 28424 SH SOLE 4984 0 18590 ACTAVIS INC COMMON STOCK G0083B108 8460 28424 SH SOLE 5074 0 18500 AEGON NV 6.375% PFD PREFERRED STOCK 007924301 4463 175488 SH SOLE 52646 0 122842 AETNA US HEALTHCARE INC COM COMMON STOCK 00817Y108 7173 67332 SH SOLE 20200 0 47132 ALEXION PHARMACEUTICAL COMMON STOCK 015351109 1382 7974 SH SOLE 2392 0 5581 ALLIANCE DATA SYS CORP COM COMMON STOCK 018581108 4710 15900 SH SOLE 4770 0 11130 ALLIANCE RESOURCE PARTNERS L P UNIT COMMON STOCK 01877R108 267 8000 SH SOLE 2400 0 5600 ALLSTATE 6.75% SER C PERP PREFERRED STOCK 020002606 219 7900 SH SOLE 2370 0 5530 ALLSTATE CORP 6.625% PFD SER E PREFERRED STOCK 020002879 3273 120088 SH SOLE 36026 0 84062 ALTRIA GROUP INC COMMON STOCK 02209S103 1756 35101 SH SOLE 10530 0 24571 AMERICAN EXPRESS COMPANY COMMON STOCK 025816109 375 4800 SH SOLE 1440 0 3360 AMERICAN INTL GROUP COM COMMON STOCK 026874784 23636 431395 SH SOLE 57798 0 282096 AMERICAN INTL GROUP COM COMMON STOCK 026874784 23636 431395 SH SOLE 59520 0 280374 AMGEN INC COMMON STOCK 031162100 283 1772 SH SOLE 532 0 1240 ANN INC COMMON STOCK 035623107 18843 459256 SH SOLE 64468 0 300308 ANN INC COMMON STOCK 035623107 18843 459256 SH SOLE 66218 0 298558 APPLE INC COMMON STOCK 037833100 74692 600274 SH SOLE 115488 0 402467 APPLE INC COMMON STOCK 037833100 74692 600274 SH SOLE 117048 0 400907 ARCHER DANIELS- MIDLAND CO COMMON STOCK 039483102 23500 495771 SH SOLE 67283 0 324338 ARCHER DANIELS- MIDLAND CO COMMON STOCK 039483102 23500 495771 SH SOLE 69278 0 322343 AVON PRODUCTS INC COMMON STOCK 054303102 674 84350 SH SOLE 25305 0 59045 AXIS CAPITAL HLDGS LTD PFD 6.875% S PREFERRED STOCK BMG0692U3 1670 61988 SH SOLE 18596 0 43392 B&G FOODS COMMON STOCK 05508R106 1040 35335 SH SOLE 10600 0 24734 BAC CAP TR VIII 6.00%35 TR PFD PREFERRED STOCK 05518T209 1336 51800 SH SOLE 15540 0 36260 BANK OF AMERICA CORP COMMON STOCK 060505104 534 34730 SH SOLE 10419 0 24311 BB&T CORPORATION PFD 5.625% SER E PREFERRED STOCK 054937404 1600 63270 SH SOLE 18981 0 44289 BERKSHIRE HATHAWAY CL A COMMON STOCK 084670108 1196 6 SH SOLE 2 0 4 BERKSHIRE HATHAWAY CL B COMMON STOCK 084670702 15135 104868 SH SOLE 31460 0 73408 BIOGEN INC COMMON STOCK 09062X103 38085 90197 SH SOLE 16413 0 59796 BIOGEN INC COMMON STOCK 09062X103 38085 90197 SH SOLE 16676 0 59533 BOSTON BEER CO INC CL A CLASS A COMMON STOCK 100557107 19636 73432 SH SOLE 13997 0 48943 BOSTON BEER CO INC CL A CLASS A COMMON STOCK 100557107 19636 73432 SH SOLE 14209 0 48731 BRIGHT HORIZONS FAMILY SOLUTIONS, I COMMON STOCK 109194100 1021 19911 SH SOLE 5973 0 13938 BRISTOL-MYERS SQUIBB CO COMMON STOCK 110122108 624 9675 SH SOLE 2902 0 6772 C I T GROUP INC NEW COMMON STOCK 125581801 22371 495816 SH SOLE 69991 0 324484 C I T GROUP INC NEW COMMON STOCK 125581801 22371 495816 SH SOLE 71863 0 322612 CABOT OIL & GAS CORP COM COMMON STOCK 127097103 5914 200274 SH SOLE 60082 0 140192 CAPITAL ONE FINANCIAL CO PFD 6.00% PREFERRED STOCK 14040H402 455 18010 SH SOLE 5403 0 12607 CATERPILLAR INC COMMON STOCK 149123101 202 2527 SH SOLE 758 0 1769 CELGENE CORP COMMON STOCK 151020104 21096 182994 SH SOLE 25261 0 120012 CELGENE CORP COMMON STOCK 151020104 21096 182994 SH SOLE 25980 0 119293 CENTERPOINT ENERGY INC COM COMMON STOCK 15189T107 920 45100 SH SOLE 13530 0 31570 CHENIERE ENERGY INC COMMON STOCK 16411R208 930 12014 SH SOLE 3604 0 8410 CHEVRON CORPORATION COMMON STOCK 166764100 436 4149 SH SOLE 1245 0 2904 CHURCH & DWIGHT CO INC COMMON STOCK 171340102 890 10417 SH SOLE 3125 0 7292 CITIGROUP CAPITAL XIII PFD 7.875% PREFERRED STOCK 173080201 368 13885 SH SOLE 4166 0 9720 CITIGROUP INC COMMON STOCK 172967424 296 5737 SH SOLE 1721 0 4016 CME GROUP INC COMMON STOCK 12572Q105 39831 420557 SH SOLE 64177 0 277035 CME GROUP INC COMMON STOCK 12572Q105 39831 420557 SH SOLE 65660 0 275552 COGNEX CORPORATION COMMON STOCK 192422103 397 8000 SH SOLE 2400 0 5600 COMCAST CORP PFD 5.0% 12/15/61 SERI PREFERRED STOCK 20030N606 976 37800 SH SOLE 11340 0 26460 CONAGRA FOODS INC COMMON STOCK 205887102 2776 76000 SH SOLE 22800 0 53200 CONCHO RESOURCES INC COMMON STOCK 20605P101 19347 166901 SH SOLE 22812 0 109663 CONCHO RESOURCES INC COMMON STOCK 20605P101 19347 166901 SH SOLE 23468 0 109007 CONOCOPHILLIPS COMMON STOCK 20825C104 272 4367 SH SOLE 1310 0 3057 COSTCO WHSL CORP COMMON STOCK 22160K105 817 5391 SH SOLE 1617 0 3774 CROWN CASTLE INTL 4.5% PFD SERIES A PREFERRED STOCK 22822V200 518 4940 SH SOLE 1482 0 3458 CVS HEALTH CORP COMMON STOCK 126650100 51200 496072 SH SOLE 84921 0 329903 CVS HEALTH CORP COMMON STOCK 126650100 51200 496072 SH SOLE 86479 0 328345 D R HORTON INC COMMON STOCK 23331A109 1422 49923 SH SOLE 14977 0 34946 DANAHER CORP DEL COM COMMON STOCK 235851102 622 7322 SH SOLE 2197 0 5125 DARDEN RESTAURANTS INC COM COMMON STOCK 237194105 44977 648644 SH SOLE 121766 0 434318 DARDEN RESTAURANTS INC COM COMMON STOCK 237194105 44977 648644 SH SOLE 123555 0 432529 DAVITA HEALTHCARE COMMON STOCK 23918K108 2527 31084 SH SOLE 9325 0 21759 DB CAP TRST II 6.55% PREFERRED STOCK 25153X208 214 7900 SH SOLE 2370 0 5530 DILLARDS CAP TR I 7.5%38 CAP SECS D PREFERRED STOCK 25406P200 349 13184 SH SOLE 3955 0 9229 DISCOVER FIN SVS 6.50% SER B PREFERRED STOCK 254709207 3386 130651 SH SOLE 39195 0 91456 DISCOVER FINANCIAL SVCS COMMON STOCK 254709108 62174 1103362 SH SOLE 196282 0 734168 DISCOVER FINANCIAL SVCS COMMON STOCK 254709108 62174 1103362 SH SOLE 199487 0 730963 DISNEY WALT CO COMMON STOCK 254687106 349 3323 SH SOLE 997 0 2326 DOMINO'S PIZZA, INC COMMON STOCK 25754A201 585 5820 SH SOLE 1746 0 4074 DOW CHEMICAL COMPANY COMMON STOCK 260543103 2319 48330 SH SOLE 14499 0 33831 DU PONT E I DE NEMOUR&CO COMMON STOCK 263534109 20446 286078 SH SOLE 58619 0 192600 DU PONT E I DE NEMOUR&CO COMMON STOCK 263534109 20446 286078 SH SOLE 59298 0 191921 DUKE ENERGY CORP NEW COMMON STOCK 26441C204 1830 23838 SH SOLE 7151 0 16687 DUNKIN' BRANDS GROUP INC COMMON STOCK 265504100 30711 645734 SH SOLE 110726 0 428847 DUNKIN' BRANDS GROUP INC COMMON STOCK 265504100 30711 645734 SH SOLE 112439 0 427134 E O G RESOURCES INC COMMON STOCK 26875P101 7127 77730 SH SOLE 23319 0 54411 EATON CORP PLC COMMON STOCK G29183103 1488 21901 SH SOLE 6570 0 15331 ELI LILLY & CO COMMON STOCK 532457108 3087 42490 SH SOLE 12747 0 29743 ENBRIDGE ENERGY PRTNRS LP COMMON STOCK 29250R106 1087 30185 SH SOLE 9055 0 21129 ENTERGY CORP NEW COM COMMON STOCK 29364G103 1819 23473 SH SOLE 7042 0 16431 ENTERGY MISSISSIPPI 2051 1ST MTG BN PREFERRED STOCK 29364N835 1158 44443 SH SOLE 13333 0 31110 ENTERPRISE PRD PRTNRS LP COMMON STOCK 293792107 10065 305659 SH SOLE 91698 0 213961 EQUITY COMMONWEALTH COMMON STOCK 294628102 17246 649570 SH SOLE 87272 0 425754 EQUITY COMMONWEALTH COMMON STOCK 294628102 17246 649570 SH SOLE 89905 0 423121 EQUITY COMMONWEALTH 5.75% PFD PREFERRED STOCK 294628508 648 26800 SH SOLE 8040 0 18760 ETRACS 2X LEVERAGED LONG ALERIAN ML EXCHANGE TRADED FUND 902664200 273 5415 SH SOLE 1624 0 3790 EXXON MOBIL CORPORATION COMMON STOCK 30231G102 1494 17580 SH SOLE 5274 0 12306 FACEBOOK INC COMMON STOCK 30303M102 40219 489191 SH SOLE 89476 0 326274 FACEBOOK INC COMMON STOCK 30303M102 40219 489191 SH SOLE 90827 0 324923 FLOWSERVE CORPORATION COMMON STOCK 34354P105 20050 354938 SH SOLE 47220 0 231940 FLOWSERVE CORPORATION COMMON STOCK 34354P105 20050 354938 SH SOLE 48589 0 230571 FREEPORT MCMORAN COPPER A' COMMON STOCK 35671D857 345 18200 SH SOLE 5460 0 12740 FRONTIER COMMUNICATIONS COMMON STOCK 35906A108 477 67625 SH SOLE 20288 0 47338 GALLAGHER ARTHUR J & CO COMMON STOCK 363576109 1356 29000 SH SOLE 8700 0 20300 GENERAL ELECTRIC CO (USD) COMMON STOCK 369604103 3955 159428 SH SOLE 47828 0 111599 GETTY REALTY CORP NEW COMMON STOCK 374297109 751 41250 SH SOLE 12375 0 28875 GILEAD SCIENCES INC. COMMON STOCK 375558103 10954 111625 SH SOLE 33488 0 78138 GLOBAL PARTNERS LP COM UNITS COMMON STOCK 37946r109 599 17200 SH SOLE 5160 0 12040 GOLDMAN SACHS 6.125%60 SENIOR NT DU PREFERRED STOCK 38145X111 2938 113365 SH SOLE 34010 0 79356 GOLDMAN SACHS GROUP PERPETUAL 5.95% PREFERRED STOCK 38145G209 209 8200 SH SOLE 2460 0 5740 GOOGLE INC - CLASS A COMMON STOCK 38259P508 8760 15793 SH SOLE 4738 0 11055 GOOGLE INC - CLASS C COMMON STOCK 38259P706 546 997 SH SOLE 299 0 698 GULFPORT ENERGY COMMON STOCK 402635304 643 14015 SH SOLE 4204 0 9810 HARTE-HANKS INC COM COMMON STOCK 416196103 251 32168 SH SOLE 9650 0 22518 HCA INC COMMON STOCK 404119109 380 5050 SH SOLE 1515 0 3535 HERSHEY COMPANY COMMON STOCK 427866108 25807 255743 SH SOLE 47086 0 170617 HERSHEY COMPANY COMMON STOCK 427866108 25807 255743 SH SOLE 47806 0 169897 HESS CORP COMMON STOCK 42809H107 15962 235184 SH SOLE 35046 0 154030 HESS CORP COMMON STOCK 42809H107 15962 235184 SH SOLE 35925 0 153151 HII Technologies, Inc COMMON STOCK 40421H109 15 36000 SH SOLE 10800 0 25200 HOLLY ENERGY PARTNERS COMMON STOCK 435763107 892 28363 SH SOLE 8509 0 19854 HOME DEPOT INC COMMON STOCK 437076102 54398 478816 SH SOLE 90030 0 320336 HOME DEPOT INC COMMON STOCK 437076102 54398 478816 SH SOLE 91338 0 319028 HONEYWELL INTERNATIONAL COMMON STOCK 438516106 11076 106185 SH SOLE 31856 0 74330 HSBC HLDGS PLC 8% PFD E PERPETUAL S PREFERRED STOCK 404280802 1619 61707 SH SOLE 18512 0 43195 HSBC HOLDINGS 6.20% PREFERRED STOCK 404280604 261 10165 SH SOLE 3050 0 7116 HSBC USA INC SERIES G ADJ RATE PREFERRED STOCK 40428H888 864 35841 SH SOLE 10752 0 25089 HUGOTON ROYALTY TRUST TEXAS UNIT BE COMMON STOCK 444717102 308 52800 SH SOLE 15840 0 36960 INTEL CORP CONVERTIBLE BONDS 458140AD2 933 750000 SH SOLE 225000 0 525000 INTERNATIONAL PAPER CO COMMON STOCK 460146103 526 9475 SH SOLE 2842 0 6632 INTL BUSINESS MACHINES COMMON STOCK 459200101 867 5402 SH SOLE 1621 0 3782 JARDEN CORP COM COMMON STOCK 471109108 828 15650 SH SOLE 4695 0 10955 JOHNSON & JOHNSON COMMON STOCK 478160104 4725 46966 SH SOLE 14090 0 32876 JP MORGAN CHASE 6.70%40 GTD CAP SEC PREFERRED STOCK 481250000 2428 95500 SH SOLE 28650 0 66850 JP MORGAN CHASE SER T 6.7% PREFERRED STOCK 48127A161 600 22300 SH SOLE 6690 0 15610 JPMORGAN CHASE & CO COMMON STOCK 46625H100 896 14792 SH SOLE 4438 0 10354 KANSAS CITY SOUTHERN NEW COMMON STOCK 485170302 27235 266800 SH SOLE 37815 0 174801 KANSAS CITY SOUTHERN NEW COMMON STOCK 485170302 27235 266800 SH SOLE 38846 0 173770 KEYCORP COMMON STOCK 493267108 230 16214 SH SOLE 4864 0 11350 KIMCO REALTY CORP 6.00% PFD SERIES PREFERRED STOCK 49446R794 5485 211783 SH SOLE 63535 0 148248 KINDER MORGAN INC COMMON STOCK 49456B101 53887 1281198 SH SOLE 213976 0 845741 KINDER MORGAN INC COMMON STOCK 49456B101 53887 1281198 SH SOLE 218328 0 841389 KKR & CO LP COMMON STOCK 48248M102 1015 44500 SH SOLE 13350 0 31150 KKR FINANCIAL HOLDINGS PFD PREFERRED STOCK 48248A504 1463 53621 SH SOLE 16086 0 37535 KRAFT FOODS GROUP, INC COMMON STOCK 50076Q106 2406 27614 SH SOLE 8284 0 19330 LOCKHEED MARTIN CORP COMMON STOCK 539830109 34058 167807 SH SOLE 29280 0 111599 LOCKHEED MARTIN CORP COMMON STOCK 539830109 34058 167807 SH SOLE 29790 0 111089 LORILLARD INC COMMON STOCK 544147101 2936 44923 SH SOLE 13477 0 31446 LYONDELLBASELL INDS F CLASS A COMMON STOCK N53745100 29519 336202 SH SOLE 66149 0 226212 LYONDELLBASELL INDS F CLASS A COMMON STOCK N53745100 29519 336202 SH SOLE 66986 0 225375 M S CAP TRUST VI 6.60%46 CAP SECS D PREFERRED STOCK 617461207 218 8400 SH SOLE 2520 0 5880 MACY'S INC COMMON STOCK 55616P104 324 4991 SH SOLE 1497 0 3494 MALLINCKRODT PLC COMMON STOCK G5785G107 33416 263845 SH SOLE 52384 0 177930 MALLINCKRODT PLC COMMON STOCK G5785G107 33416 263845 SH SOLE 52954 0 177360 MARSH & MC LENNAN CO INC COMMON STOCK 571748102 916 16329 SH SOLE 4899 0 11430 MASTERCARD INC COMMON STOCK 57636Q104 10555 122178 SH SOLE 36653 0 85524 MC DONALDS CORP COMMON STOCK 580135101 857 8792 SH SOLE 2638 0 6155 MEAD JOHNSON NUTRITION COMMON STOCK 582839106 235 2333 SH SOLE 700 0 1633 MERCK & CO INC NEW COMMON STOCK 58933Y105 39674 690226 SH SOLE 125757 0 460117 MERCK & CO INC NEW COMMON STOCK 58933Y105 39674 690226 SH SOLE 127739 0 458135 METLIFE 6.50% SER B PREFERRED STOCK 59156R603 2217 85575 SH SOLE 25672 0 59902 MICROCHIP TECHNOLOGY INC COMMON STOCK 595017104 30061 614746 SH SOLE 120206 0 414575 MICROCHIP TECHNOLOGY INC COMMON STOCK 595017104 30061 614746 SH SOLE 121802 0 412979 MICRON TECHNOLOGY INC COM COMMON STOCK 595112103 2687 99036 SH SOLE 29711 0 69325 MICROSOFT CORP COMMON STOCK 594918104 36533 898604 SH SOLE 172462 0 600996 MICROSOFT CORP COMMON STOCK 594918104 36533 898604 SH SOLE 174822 0 598636 MONDELEZ INTERNATIONAL INC COMMON STOCK 609207105 1362 37742 SH SOLE 11323 0 26420 MONSANTO CO NEW COMMON STOCK 61166W101 308 2740 SH SOLE 822 0 1918 MORGAN STANLEY COMMON STOCK 617446448 35397 991789 SH SOLE 184958 0 662004 MORGAN STANLEY COMMON STOCK 617446448 35397 991789 SH SOLE 187682 0 659280 MORGAN 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0 897033 PHILIP MORRIS INTL INC COMMON STOCK 718172109 1791 23772 SH SOLE 7132 0 16640 PITNEY BOWES INC PFD PREFERRED STOCK 724479506 3389 126675 SH SOLE 38002 0 88672 PLAINS ALL AMER PIPELINE LP COMMON STOCK 726503105 626 12844 SH SOLE 3853 0 8991 PLAINS GP HLDGS LP CL A COMMON STOCK 72651A108 2093 73789 SH SOLE 22137 0 51652 PLUM CREEK TIMBER CO REIT COMMON STOCK 729251108 2222 51150 SH SOLE 15345 0 35805 PNC FINANCIAL SERVICES 6.125% SERIE PREFERRED STOCK 693475857 4985 173088 SH SOLE 51926 0 121162 PPL CORPORATION COMMON STOCK 69351T106 332 9867 SH SOLE 2960 0 6907 PRECISION DRILLING CORP COMMON STOCK 74022D308 268 42200 SH SOLE 12660 0 29540 PROCTER & GAMBLE COMMON STOCK 742718109 2992 36513 SH SOLE 10954 0 25559 PRUDENTIAL FIN 5.750% 12/15/12 SER PREFERRED STOCK 744320607 226 8700 SH SOLE 2610 0 6090 PUB SVC ENT GROUP INC COMMON STOCK 744573106 868 20702 SH SOLE 6211 0 14491 PUBLIC STORAGE 5.375% PFD PREFERRED STOCK 74460W800 687 28510 SH SOLE 8553 0 19957 PUBLIC STORAGE 6.375% 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SPONS AMERICAN DEPOSITORY 758205207 1028 14931 SH SOLE 4479 5 10452 REGENCY ENERGY PARTNERS, LP COMMON STOCK 75885Y107 1179 51531 SH SOLE 15459 0 36072 REGIONS FINANCIAL CORP COM COMMON STOCK 7591EP100 236 25000 SH SOLE 7500 0 17500 REINSURANCE GROUP OF AMERICA 6.2% P PREFERRED STOCK 759351703 4114 142463 SH SOLE 42739 0 99724 ROPER INDUSTRIES INC COMMON STOCK 776696106 841 4887 SH SOLE 1466 0 3421 ROSS STORES INC COM COMMON STOCK 778296103 10475 99419 SH SOLE 29826 0 69593 ROYAL DUTCH SHELL CL A ADR COMMON STOCK 780259206 1223 20500 SH SOLE 6150 0 14350 S P D R S&P 500 ETF TR EXPIRING 01/ COMMON STOCK 78462F103 775 3756 SH SOLE 1127 0 2629 SCHWAB CHARLES 6.0% PFD SER B PREFERRED STOCK 808513204 1012 38000 SH SOLE 11400 0 26600 SEACOR HOLDINGS INC CONVERTIBLE BONDS 81170YAB5 65 75000 SH SOLE 22500 0 52500 SENOMYX INC COMMON STOCK 81724Q107 426 96635 SH SOLE 28990 0 67644 SHERWIN WILLIAMS CO COMMON STOCK 824348106 23239 81685 SH SOLE 11464 0 53364 SHERWIN WILLIAMS CO COMMON STOCK 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