0001020617-17-000008.txt : 20170810 0001020617-17-000008.hdr.sgml : 20170810 20170810172612 ACCESSION NUMBER: 0001020617-17-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170810 DATE AS OF CHANGE: 20170810 EFFECTIVENESS DATE: 20170810 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: 171022365 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 false false 0001020617 XXXXXXXX 06-30-2017 06-30-2017 false 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 08-10-2017 0 189 1088129 INFORMATION TABLE 2 infotable.xml 3M COMPANY COMMON STOCK 88579Y101 17144 82348 SH SOLE 21621 0 53977 A T & T INC NEW COMMON STOCK 00206R102 284 7515 SH SOLE 2255 0 5261 ABBVIE INC COMMON STOCK 00287Y109 3016 41593 SH SOLE 12478 0 29115 AETNA US HEALTHCARE INC COM COMMON STOCK 00817Y108 299 1968 SH SOLE 590 0 1378 AIR PROD & CHEMICALS INC COMMON STOCK 009158106 2059 14390 SH SOLE 4317 0 10073 ALLERGAN PLC COMMON STOCK G0177J108 7617 31333 SH SOLE 7194 0 19322 ALLSTATE 6.75 SER C PERP PREFERRED STOCK 020002606 203 7500 SH SOLE 2250 0 5250 ALLSTATE CORP 6.625 PFD SER E PREFERRED STOCK 020002879 9007 333958 SH SOLE 60416 0 140972 ALPHABET INC - CLASS A COMMON STOCK 02079K305 28835 31016 SH SOLE 8016 0 20132 ALPHABET INC - CLASS C COMMON STOCK 02079K107 1386 1525 SH SOLE 458 0 1068 ALTRIA GROUP INC COMMON STOCK 02209S103 233 3123 SH SOLE 937 0 2186 AMAZON COM INC COMMON STOCK 023135106 24394 25200 SH SOLE 6541 0 16364 AMERICAN EXPRESS COMPANY COMMON STOCK 025816109 8778 104198 SH SOLE 31259 0 72939 AMERICAN FINANCIAL GROUP 6.0 PFD PREFERRED STOCK 025932708 4432 161472 SH SOLE 35018 0 81708 AMGEN INC COMMON STOCK 031162100 328 1903 SH SOLE 571 0 1332 APOLLO MANAGEMENT LLC 6.375 PFD PREFERRED STOCK 037612405 747 29011 SH SOLE 8703 0 20308 APPLE INC COMMON STOCK 037833100 36762 255259 SH SOLE 67568 0 167615 AZKO NOBEL NV - SA AMERICAN DEPOSITORY 010199305 4955 170956 SH SOLE 33959 0 99550 Barclays Short Term High Yield Bond FIXED INCOME ETF 78468R408 269 9600 SH SOLE 2880 0 6720 BB&T CORP COMMON STOCK 054937107 2758 60730 SH SOLE 18219 0 42511 BB&T CORP 5.625 PFD SER H PREFERRED STOCK 054937875 1433 53260 SH SOLE 9858 0 23002 BB&T CORPORATION PFD 5.625 SER E PREFERRED STOCK 054937404 240 9445 SH SOLE 2834 0 6612 BERKLEY (WR) CORPORATION 5.75 PFD PREFERRED STOCK 084423607 6499 247585 SH SOLE 46938 0 109522 BERKSHIRE HATHAWAY CL A COMMON STOCK 084670108 1019 4 SH SOLE 1 0 3 BERKSHIRE HATHAWAY CL B COMMON STOCK 084670702 28158 166252 SH SOLE 43697 0 108662 BOEING CO COMMON STOCK 097023105 3804 19236 SH SOLE 5771 0 13466 BRIGHT HORIZONS FAMILY SOLUTIONS, I COMMON STOCK 109194100 6268 81184 SH SOLE 17975 0 49222 CABOT OIL & GAS CORP COM COMMON STOCK 127097103 4272 170342 SH SOLE 51103 0 119239 CAPITAL ONE FINANCIAL CO 5.20 PFD PREFERRED STOCK 14040H865 934 38646 SH SOLE 4871 0 11365 CAPITAL ONE FINANCIAL CO 6.7 PFD PREFERRED STOCK 14040H709 5900 215075 SH SOLE 35739 0 83391 CAPITAL ONE FINANCIAL CO PFD 6.00 PREFERRED STOCK 14040H402 295 11620 SH SOLE 3486 0 8134 CHARLES SCHWAB CORP 5.95 PFD PREFERRED STOCK 808513600 6829 250435 SH SOLE 44643 0 104167 CHENIERE ENERGY INC COMMON STOCK 16411R208 534 10960 SH SOLE 3288 0 7672 CHEVRON CORPORATION COMMON STOCK 166764100 5885 56405 SH SOLE 16922 0 39484 CHUBB LTD COMMON STOCK H1467J104 2787 19170 SH SOLE 5751 0 13419 CITIGROUP CAPITAL XIII PFD 7.875 PREFERRED STOCK 173080201 303 11660 SH SOLE 3498 0 8162 CME GROUP INC COMMON STOCK 12572Q105 20893 166820 SH SOLE 43608 0 108769 COLGATE-PALMOLIVE COMMON STOCK 194162103 1044 14082 SH SOLE 4225 0 9857 COMCAST CORP PFD 5.0 12/15/61 SERI PREFERRED STOCK 20030N606 781 30541 SH SOLE 9162 0 21379 COMERICA INC COMMON STOCK 200340107 900 12293 SH SOLE 3673 0 8620 CONAGRA FOODS INC COMMON STOCK 205887102 16558 463033 SH SOLE 117981 0 298499 COSTCO WHSL CORP COMMON STOCK 22160K105 512 3199 SH SOLE 960 0 2239 CROWN CASTLE INTERNATIONAL CORP. COMMON STOCK 22822V101 14708 146820 SH SOLE 36707 0 94026 DENISON MINES CORPORATION COMMON STOCK 248356107 4 10000 SH SOLE 3000 0 7000 DIGITAL REALTY TRUST INC 7.375 PFD PREFERRED STOCK 253868871 4868 177475 SH SOLE 31605 0 73745 DILLARDS CAP TR I 7.538 CAP SECS D PREFERRED STOCK 25406P200 327 12659 SH SOLE 3798 0 8861 DIREXION DLY 20 Y TR BEAR X3 FIXED INCOME ETF 25459Y678 225 11505 SH SOLE 3452 0 8054 DISCOVER FIN SVS 6.50 SER B PREFERRED STOCK 254709207 3052 118395 SH SOLE 35519 0 82877 DISNEY WALT CO COMMON STOCK 254687106 17407 163832 SH SOLE 41843 0 105675 DOMINION RESOURCES INC 5.25 PFD SE PREFERRED STOCK 25746U844 11335 450335 SH SOLE 92257 0 215267 DOW CHEMICAL COMPANY COMMON STOCK 260543103 18622 295260 SH SOLE 76045 0 191442 DTE ENERGY CO 5.375 PFD SER B PREFERRED STOCK 233331800 304 12000 SH SOLE 3600 0 8400 DTE ENERGY CO 6 12/15/76 PFD PREFERRED STOCK 233331867 4278 156125 SH SOLE 27210 0 63490 DU PONT E I DE NEMOUR&CO COMMON STOCK 263534109 1398 17327 SH SOLE 5198 0 12129 DUKE ENERGY CORP NEW COMMON STOCK 26441C204 2411 28847 SH SOLE 8654 0 20193 DUKE ENERGY CORP NEW JR SUB DEB 73 PREFERRED STOCK 26441C303 246 9400 SH SOLE 2820 0 6580 E O G RESOURCES INC COMMON STOCK 26875P101 11438 126354 SH SOLE 31386 0 80522 EBAY INC 6.0 PFD PREFERRED STOCK 278642202 15034 549291 SH SOLE 93177 0 217414 EDWARDS LIFESCIENCES CORP COMMON STOCK 28176E108 14041 118752 SH SOLE 30498 0 76844 ELI LILLY & CO COMMON STOCK 532457108 262 3183 SH SOLE 955 0 2228 ENBRIDGE INC COM COMMON STOCK 29250N105 2533 63625 SH SOLE 19088 0 44538 ENTERPRISE PRD PRTNRS LP COMMON STOCK 293792107 1694 62542 SH SOLE 18763 0 43780 ENVIVA PARTNERS LP COMMON STOCK 29414J107 213 7746 SH SOLE 2324 0 5422 EXXON MOBIL CORPORATION COMMON STOCK 30231G102 3775 46764 SH SOLE 14029 0 32734 FACEBOOK INC COMMON STOCK 30303M102 19174 126996 SH SOLE 33021 0 82557 FIFTH THIRD BANCORP 6.625 PFD SER PREFERRED STOCK 316773605 4822 160800 SH SOLE 33638 0 78488 GATX CORP 5.625 PFD PREFERRED STOCK 361448608 559 21500 SH SOLE 6450 0 15050 GENERAL DYNAMICS CORP COMMON STOCK 369550108 6299 31798 SH SOLE 7491 0 19790 GENERAL ELEC CAP CORP 4.7 PFD PREFERRED STOCK 369622394 255 10000 SH SOLE 3000 0 7000 GENERAL ELECTRIC CO (USD) COMMON STOCK 369604103 4670 172912 SH SOLE 51874 0 121038 HARTFORD FINL SVCS 7.875 PFD PREFERRED STOCK 416518504 2920 94975 SH SOLE 20130 0 46970 HERC HOLDINGS INC COMMON STOCK 42704L104 821 20878 SH SOLE 6263 0 14615 HESS CORP COMMON STOCK 42809H107 5650 128787 SH SOLE 31090 0 81308 HOME DEPOT INC COMMON STOCK 437076102 17629 114923 SH SOLE 29926 0 74905 HONEYWELL INTERNATIONAL COMMON STOCK 438516106 17054 127944 SH SOLE 33388 0 83438 HSBC HLDGS PLC 8 PFD E PERPETUAL S PREFERRED STOCK 404280802 629 23464 SH SOLE 7039 0 16425 HUNTINGTON INGALLS INDUSTRIES INC. COMMON STOCK 446413106 772 4149 SH SOLE 1245 0 2904 INTL BUSINESS MACHINES COMMON STOCK 459200101 2220 14428 SH SOLE 4329 0 10100 ISHARES 0-5 YE INV GRADE CORPORATE FIXED INCOME ETF 46434V100 515 10187 SH SOLE 3056 0 7131 ISHARES CORE MSCI EAFE ETF EXCHANGE TRADED FUND 46432F842 12287 201796 SH SOLE 56166 0 131053 ISHARES CORE MSCI EMERGING MARKETS EXCHANGE TRADED FUND 46434G103 6810 136097 SH SOLE 39404 0 91942 ISHARES CORE S&P TOTAL US STOCK MAR EXCHANGE TRADED FUND 464287150 22401 404206 SH SOLE 110196 0 257124 ISHARES GOLD TRUST COMMON STOCK 464285105 153 12815 SH SOLE 3844 0 8970 JOHNSON & JOHNSON COMMON STOCK 478160104 28111 212495 SH SOLE 55946 0 139369 JPMORGAN CHASE & CO COMMON STOCK 46625H100 1172 12827 SH SOLE 3848 0 8979 JPMORGAN CHASE & CO 6.125 PFD SER PREFERRED STOCK 48127R461 2576 95583 SH SOLE 17444 0 40702 JPMORGAN CHASE & CO 6.3 PFD PREFERRED STOCK 481246700 2248 83425 SH SOLE 8760 0 20440 JPMORGAN CHASE & CO 6.7 PFD SER T PREFERRED STOCK 48127A161 513 19000 SH SOLE 5700 0 13300 KIMCO REALTY CORP 6.00 PFD SERIES PREFERRED STOCK 49446R794 5852 232203 SH SOLE 47686 0 111267 KINDER MORGAN INC COMMON STOCK 49456B101 691 36042 SH SOLE 10813 0 25229 KRAFT HEINZ CO COMMON STOCK 500754106 11852 138390 SH SOLE 36298 0 90496 LAM RESEARCH CORPORATION COMMON STOCK 512807108 9480 67029 SH SOLE 17084 0 43102 LAMB WESTON HOLDINGS, INC. COMMON STOCK 513272104 4953 112477 SH SOLE 23079 0 66250 LAS VEGAS SANDS CORP COMMON STOCK 517834107 14350 224607 SH SOLE 58901 0 146832 LEGG MASON INC 6.375 PFD PREFERRED STOCK 524901501 3842 141525 SH SOLE 27420 0 63980 LOCKHEED MARTIN CORP COMMON STOCK 539830109 20094 72381 SH SOLE 18883 0 47106 MARATHON PETROLEUM CORPORATION COMMON STOCK 56585A102 6314 120663 SH SOLE 26164 0 72787 MARKETAXESS HLDGS INC COM COMMON STOCK 57060D108 18193 90467 SH SOLE 23338 0 58663 MARTIN MARIETTA MATERIALS INC COMMON STOCK 573284106 14134 63500 SH SOLE 16802 0 41694 MASTERCARD INC COMMON STOCK 57636Q104 10968 90309 SH SOLE 27093 0 63216 MC DONALDS CORP COMMON STOCK 580135101 688 4495 SH SOLE 1349 0 3147 MERCK & CO INC NEW COMMON STOCK 58933Y105 256 3995 SH SOLE 1198 0 2796 METLIFE INC 4.0 PFD - SER A PREFERRED STOCK 59156R504 303 12000 SH SOLE 3600 0 8400 MICROCHIP TECHNOLOGY INC COMMON STOCK 595017104 20074 260092 SH SOLE 66247 0 167525 MICROSOFT CORP COMMON STOCK 594918104 10073 146129 SH SOLE 43839 0 102290 MONDELEZ INTERNATIONAL INC COMMON STOCK 609207105 537 12434 SH SOLE 3730 0 8704 MONSANTO CO NEW COMMON STOCK 61166W101 252 2133 SH SOLE 640 0 1493 NATIONAL RETAIL PROP INC 5.2 12/31/ PREFERRED STOCK 637417874 512 21100 SH SOLE 6330 0 14770 Nestle S A Spnsd ADR Repsting Reg S AMERICAN DEPOSITORY 641069406 732 8397 SH SOLE 2519 0 5878 NEVRO CORPORATION COMMON STOCK 64157F103 3958 53175 SH SOLE 11638 0 32317 NEW GOLD INC COMMON STOCK 644535106 32 10000 SH SOLE 3000 0 7000 NEWELL BRANDS INC COMMON STOCK 651229106 15224 283924 SH SOLE 74030 0 185166 NEXTERA ENERGY CAP 5.0 PFD PREFERRED STOCK 65339K886 370 14500 SH SOLE 4350 0 10150 NEXTERA ENERGY CAPITAL 5.25 PFD SE PREFERRED STOCK 65339K100 1254 49515 SH SOLE 14854 0 34660 NEXTERA ENERGY CAPITAL PFD SER G PREFERRED STOCK 65339K605 3768 148708 SH SOLE 35410 0 82623 NEXTERA ENERGY INC COMMON STOCK 65339F101 19325 137908 SH SOLE 36294 0 90210 NEXTERA ENERGY PTNRS COM UNIT PART COMMON STOCK 65341B106 998 26988 SH SOLE 8096 0 18892 NORTHROP GRUMMAN CORP COMMON STOCK 666807102 20857 81246 SH SOLE 21013 0 52671 NORTHSTAR ELECTRONICS INC COMMON STOCK 66704D101 0 15000 SH SOLE 4500 0 10500 NOVO-NORDISK A-S ADR AMERICAN DEPOSITORY 670100205 413 9625 SH SOLE 2888 0 6738 NVIDIA CORP COMMON STOCK 67066G104 2681 18548 SH SOLE 5564 0 12984 NXP SEMICONDUCTORS NV COMMON STOCK n6596x109 1887 17243 SH SOLE 5173 0 12070 OASIS PETE INC NEW COM COMMON STOCK 674215108 346 42940 SH SOLE 12882 0 30058 OLD DOMINION FREIGHT LNS COMMON STOCK 679580100 17381 182493 SH SOLE 47042 0 117767 PARTNERRE LTD 7.25 PFD H PREFERRED STOCK G68603144 249 8600 SH SOLE 2580 0 6020 PAYCHEX COMMON STOCK 704326107 2186 38384 SH SOLE 11515 0 26869 PEPSICO INC COMMON STOCK 713448108 2758 23883 SH SOLE 7165 0 16718 PFIZER INC COMMON STOCK 717081103 13830 411716 SH SOLE 104623 0 265855 PITNEY BOWES INC 6.70 PFD PREFERRED STOCK 724479506 5081 190175 SH SOLE 35055 0 81795 PNC FINANCIAL SERVICES 6.125 SERIE PREFERRED STOCK 693475857 8577 289777 SH SOLE 55180 0 128754 POWERSHARES SENIOR LOAN FIXED INCOME ETF 73936Q769 348 15025 SH SOLE 4508 0 10518 PPL CAP FDG INC 5.9 PFD SER B PREFERRED STOCK 69352P202 533 20190 SH SOLE 6057 0 14133 PROCTER & GAMBLE COMMON STOCK 742718109 3855 44229 SH SOLE 13269 0 30960 PROLOGIS INC COMMON STOCK 74340W103 10587 180547 SH SOLE 45594 0 115935 PRUDENTIAL FIN 5.750 12/15/12 SER PREFERRED STOCK 744320607 221 8500 SH SOLE 2550 0 5950 PRUDENTIAL FINANCIAL INC COMMON STOCK 744320102 10453 96662 SH SOLE 21896 0 59387 PS BUSINESS PKS INC 6.0 PFD SER T PREFERRED STOCK 69360J685 390 15475 SH SOLE 4642 0 10832 PUBLIC STORAGE 4.95 PFD SER D PREFERRED STOCK 74460W735 202 8245 SH SOLE 2474 0 5772 PUBLIC STORAGE 5.400 PFD SER B PREFERRED STOCK 74460W776 508 19421 SH SOLE 5826 0 13595 PUBLIC STORAGE 6.000 PFD SERIES Z PREFERRED STOCK 74460W826 1911 71456 SH SOLE 13974 0 32607 PUBLIC STORAGE 6.375 PFD SERIES Y PREFERRED STOCK 74460W842 1344 49075 SH SOLE 14722 0 34352 QWEST CORP 6.625 PFD PREFERRED STOCK 74913G709 3686 143987 SH SOLE 23163 0 54048 QWEST CORP 7.00 PFD 04/01/52 PREFERRED STOCK 74913G402 5466 214851 SH SOLE 31517 0 73539 RAYTHEON CO COM NEW COMMON STOCK 755111507 1496 9262 SH SOLE 2779 0 6483 REINSURANCE GROUP OF AMERICA 5.75 PREFERRED STOCK 759351802 6084 209509 SH SOLE 31518 0 73541 REINSURANCE GROUP OF AMERICA 6.2 P PREFERRED STOCK 759351703 4403 147703 SH SOLE 30619 0 71444 ROSS STORES INC COM COMMON STOCK 778296103 10189 176498 SH SOLE 52949 0 123549 S P D R S&P 500 ETF TR EXPIRING 01/ COMMON STOCK 78462F103 931 3851 SH SOLE 1155 0 2696 S&P BBG BARCLAYS INTERNATIONAL CORP FIXED INCOME ETF 78464A151 300 9027 SH SOLE 2708 0 6319 S&P GLOBAL INC COMMON STOCK 78409V104 12582 86182 SH SOLE 21484 0 55035 SCE TRUST IV 5.375 PFD SER J PREFERRED STOCK 78409G206 239 8450 SH SOLE 2535 0 5915 SCHLUMBERGER LTD COMMON STOCK 806857108 5974 90734 SH SOLE 19824 0 54773 SCHWAB CHARLES 6.0 PFD SER B PREFERRED STOCK 808513204 4225 165475 SH SOLE 27682 0 64592 SEACOR HOLDINGS INC CONVERTIBLE BONDS 81170YAB5 63 75000 SH SOLE 22500 0 52500 SELECT SECTOR SPDR TR SBI HEALTHCAR COMMON STOCK 81369Y209 9881 124692 SH SOLE 36535 0 85248 SENIOR HOUSING PROPERTIE PREFERRED STOCK 81721M307 4335 160675 SH SOLE 26595 0 62055 SIMON PPTY GP 8.375 SER J PFD PREFERRED STOCK 828806885 433 6175 SH SOLE 1852 0 4322 SOUTHERN CO 6.25 PFD PREFERRED STOCK 842587206 10944 399982 SH SOLE 74527 0 173895 STANLEY BLACK & DECKER I PFD 5.75 PREFERRED STOCK 854502705 1003 39225 SH SOLE 11768 0 27458 STATE STREET CORP 5.35 PFD SER G PREFERRED STOCK 857477855 1152 42000 SH SOLE 12600 0 29400 STATE STREET CORP 6.0 PFD PREFERRED STOCK 857477889 952 35550 SH SOLE 4372 0 10202 SUNTRUST BANKS INC COMMON STOCK 867914103 19856 350078 SH SOLE 90992 0 227831 SYSCO CORP COMMON STOCK 871829107 2473 49130 SH SOLE 14739 0 34391 TARGET CORP COMMON STOCK 87612E106 1310 25053 SH SOLE 7516 0 17537 TEXAS CAPITAL BK 6.50 9/1/42 SER PREFERRED STOCK 882228307 264 10375 SH SOLE 3112 0 7262 THE SOUTHERN COMPANY COMMON STOCK 842587107 2635 55024 SH SOLE 16507 0 38517 TIME WARNER INC NEW COMMON STOCK 887317303 2930 29185 SH SOLE 8756 0 20430 TORCHMARK CORP 6.125 PFD SER C PREFERRED STOCK 891027401 9161 344910 SH SOLE 63768 0 148792 TREEHOUSE FOODS INC COMMON STOCK 89469A104 504 6170 SH SOLE 1851 0 4319 UNION PACIFIC CORP COMMON STOCK 907818108 13611 124976 SH SOLE 31496 0 80178 UNITED RENTALS INC COM COMMON STOCK 911363109 10457 92778 SH SOLE 24059 0 60381 UNITED TECHNOLOGIES COMMON STOCK 913017109 441 3615 SH SOLE 1084 0 2530 UNITEDHEALTH GROUP INC COMMON STOCK 91324P102 16385 88366 SH SOLE 22960 0 57666 UNIVERSAL DISPLAY CORP COMMON STOCK 91347P105 1486 13605 SH SOLE 4082 0 9524 US BANCORP COMMON STOCK 902973304 18358 353584 SH SOLE 91238 0 229360 US BANCORP PFD SERIES F 6.50 PREFERRED STOCK 902973833 2172 73150 SH SOLE 21945 0 51205 VANGUARD HEALTH CARE ETF COMMON STOCK 92204A504 2185 14825 SH SOLE 4448 0 10378 VANGUARD WORLD FDS FINANCIALS ETF COMMON STOCK 92204A405 847 13546 SH SOLE 4064 0 9482 VERITEX HOLDINGS INC. COMMON STOCK 923451108 287 10905 SH SOLE 3272 0 7634 VERIZON COMMUNICATIONS SR NT 5.9 P PREFERRED STOCK 92343V302 2524 93765 SH SOLE 20187 0 47103 VISA INC CL A COMMON STOCK 92826C839 11327 120787 SH SOLE 25082 0 71041 VORNADO REALTY TRUST 5.4 SERIES L PREFERRED STOCK 929042844 774 30600 SH SOLE 9180 0 21420 WELLS FARGO & CO 5.50 PFD SER X PREFERRED STOCK 94988U672 267 10440 SH SOLE 3132 0 7308 WELLS FARGO & CO 5.85 PFD PREFERRED STOCK 949746556 15392 556486 SH SOLE 101564 0 236983 WELLS FARGO & CO 6.625 PFD PREFERRED STOCK 949746465 3353 110931 SH SOLE 12144 0 28337 WELLS FARGO & CO NEW DEP1/1000PF CL PREFERRED STOCK 949746655 371 14535 SH SOLE 4360 0 10174 WELLS FARGO & COMPANY 6.0 PFD SER PREFERRED STOCK 94988U730 437 16525 SH SOLE 4958 0 11568 WELLS FARGO CO PFD 5.20 SER PREFERRED STOCK 949746747 518 20620 SH SOLE 6186 0 14434 WIND ENERGY AMERICA INC COMMON STOCK 973146103 0 30000 SH SOLE 9000 0 21000