-----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, QT1jdwBC3n1Fqxm6RoPSGH6y0u1O/jdnJn12NvXUTeVjLFUpq+4scPyCD01EHwgS /3IkAoUiBRsYkwCva69IRw== 0001193125-10-029577.txt : 20100212 0001193125-10-029577.hdr.sgml : 20100212 20100212075624 ACCESSION NUMBER: 0001193125-10-029577 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100212 DATE AS OF CHANGE: 20100212 EFFECTIVENESS DATE: 20100212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BALDWIN BROTHERS INC/MA CENTRAL INDEX KEY: 0001021258 IRS NUMBER: 133028618 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-05814 FILM NUMBER: 10594305 BUSINESS ADDRESS: STREET 1: 3 BARNABAS RD CITY: MARION STATE: MA ZIP: 02738 BUSINESS PHONE: 5087480800 MAIL ADDRESS: STREET 1: 3 BARNABAS ROAD CITY: MARION STATE: MA ZIP: 02738 13F-HR 1 d13fhr.txt 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F INFORMATION REQUIRED OF INSTITUTIONAL INVESTMENT MANAGERS PURSUANT TO SECTION 13(f) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULES THEREUNDER. Report for the Calendar Year or Quarter Ended: December 31, 2009 (Please read instructions before preparing form) If amended report check here: [ ] Baldwin Brothers, Inc. Name of Institutional Investment Manager Michael Baldwin, (508) 748-0800, President, Baldwin Brothers, Inc. Business Address (Street) (City) (State) (Zip) 204 Spring Street Marion, MA 02378 Name, Phone No., and Title of Person Duly Authorized to Submit this Report. ATTENTION Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a) The institutional investment manager submitting this Form and its attachments and the person by whom it is signed represent hereby that all information contained therein is true, correct and complete. It is understood that all required items, statements and schedules remain true, correct and complete as previously submitted. Pursuant to the requirements of Securities Exchange Act of 1934, the undersigned institutional investment manager has caused this report to be signed on its behalf in the City of Marion and State of Massachusetts on February 12, 2010 Baldwin Brothers, Inc. (28-5814) (Name of Institutional Investment Manager) /s/ Michael Baldwin ------------------------------------------ (Manual Signature of Person Duly Authorized to Submit This Report) Name and 13F file numbers of ALL Institutional Investment Managers with respect to which this schedule is filled (other than the one filing this report): (List in alphabetical order). 13F File Numbers will be assigned to Institutional Investment Managers after they file their first report. Name: 13F File No.: - ---------------------- ------------ 1. Michael Baldwin 28-5819 2. David A. Barrett 28-6352 3. Ellen O. Stone 28-7204 4. Richard Albright 5. Pauline T. Talbott Baldwin Brothers, Inc. FORM 13F 31-Dec-09
Voting Authority ---------------- Title of Value Shares/ Sh/ Put/ Invstmt Other Name of Issuer class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None - -------------- -------- --------- -------- ------- --- ---- ------- -------- ----- ------ ------ ING Groep Perpetual 6.375% 06/........................ PRD 456837608 238 14000 SH Sole 14000 Auto Data Network Inc. Pfd... 05270Q906 0 10000 SH Sole 10000 3M Company................... COM 88579y101 408 4935 SH Sole 4935 A123 Systems, Inc............ COM 03739t108 1064 47396 SH Sole 47396 ABB Ltd...................... COM 000375204 2994 156760 SH Sole 2,3,5 1425 155335 Abbott Labs.................. COM 002824100 503 9318 SH Sole 9318 Aberdeen Asia Pacific Income F.......................... COM 003009107 132 21230 SH Sole 21230 Accenture Ltd................ COM g1151c101 374 9000 SH Sole 9000 Adobe Systems Inc............ COM 00724f101 2209 60050 SH Sole 60050 Air Products & Chemicals..... COM 009158106 474 5850 SH Sole 5850 Airgas Inc................... COM 009363102 73 1550 SH Sole 5 50 225856 Akamai Tech.................. COM 00971t101 353 13925 SH Sole 5 25 13900 Akeena Solar, Inc............ COM 009720103 545 436035 SH Sole 436035 Amgen........................ COM 031162100 308 5437 SH Sole 5437 Amn Water Wks Co............. COM 030411102 247 11000 SH Sole 11000 Annaly Capital Management.... COM 035710409 4149 239125 SH Sole 2,5 2100 237025 Apache Corp.................. COM 037411105 752 7286 SH Sole 7286 Apple........................ COM 037833100 2662 12632 SH Sole 5 25 12607 Atmospheric Glow Technologies............... COM 049567100 0 33820 SH Sole 33820 Auto Data Network Inc........ COM 05270Q104 0 15589 SH Sole 15589 BMP Sunstone Corp Com........ COM 077255107 71 12500 SH Sole 3 1000 11500 BP Plc....................... COM 055622104 771 13299 SH Sole 13299 Banco Bradesco............... COM 059460303 2130 97415 SH Sole 97415 Bancorp Rhode Island......... COM 059690107 205 8000 SH Sole 8000 Barrick Gold Corporation..... COM 067901108 3609 91643 SH Sole 2 1000 45643 Berkshire Hathaway Cl B...... COM 084670702 1659 505 SH Sole 505 Berkshire Hathaway Inc....... COM 084670108 1686 17 SH Sole 12 Berry Petroleum.............. COM 085789105 895 30700 SH Sole 30700 Brazil iShares MSCI.......... COM 464286400 8365 112113 SH Sole 2,3,5 1750 110363 Burlington Northn Inc........ COM 12189T104 1181 11980 SH Sole 11980 CVS Caremark Corporation..... COM 126650100 698 21665 SH Sole 21665 Canadian National Railway.... COM 136375102 569 10459 SH Sole 10459 Canadian Solar Inc........... COM 136635109 1265 43900 SH Sole 43900 Capital Source, Inc.......... COM 14055X102 408 102825 SH Sole 2,5 34600 68225 Caterpillar Inc.............. COM 149123101 263 4620 SH Sole 4620 Cenovus Energy Inc........... COM 15135u109 331 13150 SH Sole 13150 Central Fund of Canada (gold)..................... COM 153501101 386 28000 SH Sole 28000 Cepheid Inc.................. COM 15670r107 281 22550 SH Sole 22550 Chaoda Modern Agriculture Hldg....................... COM g2046q107 865 808000 SH Sole 808000 ChevronTexaco Corp........... COM 166764100 538 6990 SH Sole 6990 Chimera Investment Corp...... COM 16934q109 206 53000 SH Sole 2 25500 27500 China High Speed Trans Equipme.................... COM g2112d105 1717 702300 SH Sole 702300 Church & Dwight Inc.......... COM 171340102 210 3475 SH Sole 3475 Cisco Systems Inc............ COM 17275R102 8434 352303 SH Sole 3,5 300 352003 Citigroup Inc................ COM 172967101 43 12946 SH Sole 5 50 12896 Claymore S&P Global Water...................... COM 18383Q507 288 15650 SH Sole 15650 Cohen & Steers Global Income B.......................... COM 19248m103 465 41200 SH Sole 2 7000 34200 Colgate Palmolive Co......... COM 194162103 499 6075 SH Sole 6075 ConocoPhillips............... COM 20825C104 537 10506 SH Sole 10506 Corning Inc.................. COM 219350105 429 22234 SH Sole 22234 Credit Acceptance Corporation................ COM 225310101 211 5000 SH Sole 5000 Danaher Corp................. COM 235851102 5313 70654 SH Sole 70654 Devon Energy Corp............ COM 25179m103 7742 105335 SH Sole 2,3 1200 104135 Disney Walt Company.......... COM 254687106 238 7387 SH Sole 7387 EDP Renovais SA Oviedo shs isi........................ COM e3847k101 1018 107018 SH Sole 107018 Eaton Vance nv............... COM 278265103 208 6850 SH Sole 6850 Ecolab Inc................... COM 278865100 381 8550 SH Sole 8550 EnCana Corporation........... COM 292505104 523 16150 SH Sole 16150 EnerNOC, Inc................. COM 292764107 1505 49531 SH Sole 49531 Energy Recovery, Inc......... COM 29270j100 1879 273119 SH Sole 5 300 272819 Exxon Mobil Corp............. COM 30231g102 2718 39861 SH Sole 39861 FPL Group Inc................ COM 302571104 802 15175 SH Sole 5 50 15125 Finova Group................. COM 317928109 0 10000 SH Sole 10000 First Solar, Inc............. COM 336433107 1413 10434 SH Sole 10434 Flamel Technologies S.A. ADR........................ COM 338488109 912 123265 SH Sole 2 9500 113765 Ford Motor................... COM 345370100 2264 226428 SH Sole 226428 Freeport-McMoRan Copper&Gold B.............. COM 35671d857 327 4068 SH Sole 4068 Gamesa Corp.................. COM E54667113 950 57590 SH Sole 57590 General Electric Company..... COM 369604103 2237 147868 SH Sole 2,3,5 2280 145588 General Moly Inc Corp........ COM 370373102 71 34000 SH Sole 2,3 6500 27500 Gilead Sciences.............. COM 375558103 5305 122593 SH Sole 5 50 122543 Goldcorp Inc................. COM 380956409 2363 60059 SH Sole 3 300 34759 Google Inc. A................ COM 38259p508 7456 12026 SH Sole 2,3,5 230 11796 Hansen Transmissions Intl.... COM B4812V109 598 339612 SH Sole 339612 Hess Corp.................... COM 42809h107 277 4584 SH Sole 4584 Hewlett-Packard Co........... COM 428236103 978 18989 SH Sole 18989 Honda Motor Co. Ltd. ADR..... COM 438128308 1719 50702 SH Sole 50702 Hyflux Ltd................... COM Y3817K105 1973 780200 SH Sole 780200 IDT Cl B..................... COM 448947309 58 12000 SH Sole 12000 IShares MSCI Canada Index.... COM 464286509 671 25480 SH Sole 2 1000 24480
IShares Russell 1000 Value Ind. COM 464287598 261 4550 SH Sole 4550 IShares Tr NASDAQ Biotechnolog................. COM 464287556 5179 63295 SH Sole 3 100 63195 IShares Tr U S Treas Inflation COM 464287176 426 4100 SH Sole 4100 Int'l Business Machines........ COM 459200101 1629 12447 SH Sole 12447 Intel Corp..................... COM 458140100 663 32500 SH Sole 32500 Ishares Barclays 1-3 Yr Treas. COM 464287457 261 3141 SH Sole 3141 Ishares MSCI Emerging Mkts Ind.......................... COM 464287234 620 14945 SH Sole 14945 Ishares Russell 3000 Value..... COM 464287663 321 4270 SH Sole 4270 Itron Inc...................... COM 465741106 572 8464 SH Sole 8464 J P Morgan Chase & Company..... COM 46625h100 547 13135 SH Sole 13135 Johnson & Johnson.............. COM 478160104 6791 105434 SH Sole 2 1000 104434 Kinross Gold Corp.............. COM 496902107 1320 71715 SH Sole 46715 Kurita Water Inds Ltd.......... COM J37221165 1648 53150 SH Sole 53150 Leucadia Natl Corp............. COM 527288104 329 13841 SH Sole 13841 Liberty Media Corp New Com Ser.......................... COM 530718105 365 10055 SH Sole 10055 Life Technologies Corp......... COM 53217v109 998 19104 SH Sole 19104 Lime Energy.................... COM 53261u205 129 29241 SH Sole 29241 Lynas Corporation.............. COM Q5683J103 219 441900 SH Sole 2,3,5 15500 426400 Lyris, Inc..................... COM 55235L104 1001 3176435 SH Sole 2,3,5 1297485 1878950 Marchex Inc Cl B............... COM 56624r108 71 14000 SH Sole 4000 Market Vectors Agrisbusiness... COM 5706u6050 275 6275 SH Sole 5 100 6175 Market Vectors Jr Gold Miner... COM 57060u589 325 12614 SH Sole 12614 Maxim Integrated Prods......... COM 57772k101 1489 73300 SH Sole 15300 McAfee Inc..................... COM 579064106 5313 130955 SH Sole 130955 McDonald's Corp................ COM 580135101 218 3491 SH Sole 3491 Metal Arts Inc................. COM 591052105 0 20000 SH Sole 20000 Micromet, Inc.................. COM 59509C105 89 13400 SH Sole 13400 Microsoft Corp Wash............ COM 594918104 6735 220950 SH Sole 220950 Migo Software Inc.............. COM 59861T100 0 164227 SH Sole 114208 Monsanto Co.................... COM 61166w101 234 2862 SH Sole 2862 National Oilwell Varco......... COM 637071101 485 11000 SH Sole 11000 Natura Cosmeticos SA........... COM p7088c106 781 37587 SH Sole 37587 Newmont Mining................. COM 651639106 529 11181 SH Sole 1181 Noble Group Ltd................ COM g6542t119 65 28000 SH Sole 2 15000 13000 Nokia Corp Sponsored ADR....... COM 654902204 6161 479485 SH Sole 5 150 479335 Nordex AG...................... COM d5736k135 467 31220 SH Sole 31220 Novozymes A/S Shs B............ COM k7317j117 2421 23332 SH Sole 23332 Occidental Petroleum Corp...... COM 674599105 2874 35325 SH Sole 2,3 700 34625 Ocean Power Tech............... COM 674870308 188 20890 SH Sole 20890 Oracle Sys Corp................ COM 68389X105 1165 47488 SH Sole 5 100 47388 Ormat Technologies Inc......... COM 686688102 272 7196 SH Sole 7196 Pan American Silver C.......... COM 697900108 418 17569 SH Sole 17569 Penn West Energy Trust......... COM 707885109 225 12793 SH Sole 2 1500 11293 Pepsico Inc.................... COM 713448108 1543 25381 SH Sole 25381 Philip Morris Int'l............ COM 718172109 237 4911 SH Sole 4911 Phoenix Sonnenstrom............ COM D6086J116 1253 20645 SH Sole 20645 Plum Creek Timber Co Inc....... COM 729251108 212 5618 SH Sole 5618 PowerSecure International, Inc COM 73936n105 1406 195056 SH Sole 3,4 450 179606 PowerShares DB USD Ind Bullish...................... COM 73936d107 332 14366 SH Sole 14366 Powershares DB Mult Sec Tr Pow.......................... COM 73936B408 6271 237195 SH Sole 3,5 250 236945 Primus Guaranty Ltd............ COM g72457107 58 19000 SH Sole 2 19000 Procter & Gamble Co............ COM 742718109 2088 34433 SH Sole 34433 Proshares UltraShort Yen....... COM 74347w858 515 24166 SH Sole 24166 Pure Technologies Ltd.......... COM 745915108 341 82558 SH Sole 82558 QUALCOMM....................... COM 747525103 531 11474 SH Sole 11474 Real Goods Solar CL A.......... COM 75601n104 739 228810 SH Sole 228810 Red Hat Inc.................... COM 756577102 2278 73716 SH Sole 73716 Roper Industries Inc........... COM 776696106 738 14097 SH Sole 14097 SPRD@ Gold Trust............... COM 78463v107 13446 125304 SH Sole 125304 SSL International PLC.......... COM g8401x108 3604 284296 SH Sole 284296 Save the World Air............. COM 805147105 165 300000 SH Sole 300000 Schlumberger................... COM 806857108 7221 110940 SH Sole 2,3 1700 109240 Silver Trust iShares........... COM 46428Q109 8351 504910 SH Sole 2 2500 502410 Solar Millenium Ag............. COM d7t496109 5831 114845 SH Sole 3 200 114645 St. Joe Co..................... COM 790148100 202 7000 SH Sole 7000 Staples........................ COM 855030102 521 21200 SH Sole 21200 Star Scientific Inc............ COM 85517p101 20 28000 SH Sole 2 16000 12000 Stifel Financial Corp.......... COM 860630102 418 7050 SH Sole 7050 Stryker Corp................... COM 863667101 332 6585 SH Sole 6585 SunPower Corp. Cl B............ COM 867652307 386 18428 SH Sole 18428 Suncor Energy Inc.............. COM 867229106 742 21000 SH Sole 5000 Synovus Financial.............. COM 87161c105 432 210500 SH Sole 2 30500 180000 T Rowe Price Group............. COM 74144t108 272 5100 SH Sole 5100 Teva Pharmaceutical Inds ADR.......................... COM 881624209 4329 77050 SH Sole 2,5 2050 75000 Tortoise Energy Infrastructure COM 89147l100 1077 34719 SH Sole 3,5 500 34219 Trina Solar Ltd ADR............ COM 89628e104 1135 21021 SH Sole 21021 UltraShort Lehman 20+ Trsy Pro.......................... COM 74347r297 503 10091 SH Sole 10091 United Technologies Corp....... COM 913017109 242 3485 SH Sole 3485 Verizon Communications......... COM 92343v104 240 7233 SH Sole 7233 Vestas Wind Systems............ COM k9773j128 1140 18685 SH Sole 18685 Vivo Participacoes S.A......... COM 92855S200 1375 44349 SH Sole 44349 Weatherford International...... COM H27013103 222 12400 SH Sole 5 100 12300 Wells Fargo & Company.......... COM 949740101 403 14939 SH Sole 2 1500 13439 iPath DJ AIG Copper ETN........ COM 06739f101 973 21250 SH Sole 5 200 21050 iShares MSCI Australia......... COM 464286103 595 26041 SH Sole 2,5 1050 24991 iShares iBoxx $ InvesTop....... COM 464287242 9327 89550 SH Sole 1,2 1100 88450 Alliance Bernstein Holding LP.. 01881G106 2423 86225 SH Sole 2,3,5 11075 75150 Buckeye Partners L P........... 118230101 683 12550 SH Sole 2 1000 11550 Copano Energy, LLC............. 217202100 258 10800 SH Sole 2,5 1550 9250 Duncan Energy Partners L.P..... 265026104 770 32400 SH Sole 2 2450 29950
Enbridge Energy Partners LP.... 29250r106 1140 21240 SH Sole 2,3 1000 20240 Energy Transfer Partners L P... 29273r109 6527 145134 SH Sole 2,3 1300 143834 Enterprise Products Partners... 293792107 10956 348819 SH Sole 2,3 4402 344417 Inergy L P..................... 456615103 507 14200 SH Sole 2 2000 12200 Kinder Morgan Energy Partners,. 494550106 10609 173969 SH Sole 2,3 1050 172919 Magellan Midstream Partners L.. 559080106 10021 231275 SH Sole 2,3 900 230375 Markwest Energy Partners....... 570759100 217 7400 SH Sole 2 2000 5400 Nustar Energy.................. 67058h102 656 11700 SH Sole 2,3 950 10750 Oneok Partners................. 68268N103 7000 112363 SH Sole 2,3 1000 111363 Plains All American Pipeline L 726503105 7110 134530 SH Sole 2,3 1600 132930 TC Pipeline LP................. 87233q108 221 6000 SH Sole 6000 iShares Tr MSCI EAFE Index Fun 464287465 358 6480 SH Sole 6480 REPORT SUMMARY................. 182 DATA 314858 0 OTHER MANAGERS ON WHOSE RECORDS BEHALF REPORT IS FILED
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