0001140361-12-004925.txt : 20120202 0001140361-12-004925.hdr.sgml : 20120202 20120202123954 ACCESSION NUMBER: 0001140361-12-004925 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120202 DATE AS OF CHANGE: 20120202 EFFECTIVENESS DATE: 20120202 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Newfleet Asset Management, LLC CENTRAL INDEX KEY: 0001044207 IRS NUMBER: 943239114 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06450 FILM NUMBER: 12565182 BUSINESS ADDRESS: STREET 1: 909 MONTGOMERY STREET STREET 2: 5TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94133 BUSINESS PHONE: 415 486-6727 MAIL ADDRESS: STREET 1: 909 MONTGOMERY STREET STREET 2: 5TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94133 FORMER COMPANY: FORMER CONFORMED NAME: SCM ADVISORS LLC DATE OF NAME CHANGE: 20070209 FORMER COMPANY: FORMER CONFORMED NAME: SENECA CAPITAL MANAGEMENT LLC DATE OF NAME CHANGE: 19990326 13F-HR 1 form13fhr.txt NONE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 12/31/2011 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: Newfleet Asset Management, LLC Address: 909 Montgomery Street Suite 500 San Francisco, CA 94133 Form 13F File Number: 28-06450 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 submission. Persons Signing this Report on Behalf of Reporting Manager: Name: Mark Palmer Title: Senior Compliance Officer Phone: (415) 486-6726 Signature, Place, and Date of Signing: /s/ Mark Palmer San Francisco, CA 2/1/2012 --------------------------------- --------------------------------- ---------- [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: 106 Form 13F Information Table Value Total: $ 92,584 -------------- (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
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ----------------------------------------- -------------- --------- -------- ----------------- ---------- -------- ------------------ VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- 21VIANET GROUP INC - ADR COM 90138A103 114 12440 SH SOLE 12440 0 0 AGRIUM INC COM 008916108 1163 17327 SH SOLE 17327 0 0 AKORN INC COM COM 009728106 266 23960 SH SOLE 23960 0 0 ALEXION PHARMACEUTICALS INC COM 015351109 1714 23972 SH SOLE 23972 0 0 ALLERGAN INC COM 018490102 1396 15914 SH SOLE 15914 0 0 ALTRA HOLDINGS INC COM COM 02208R106 978 51930 SH SOLE 51930 0 0 ANADARKO PETE CORP COM 032511107 969 12700 SH SOLE 12700 0 0 ANDERSONS INC COM 034164103 1138 26060 SH SOLE 26060 0 0 APPLE INC COM 037833100 3445 8504 SH SOLE 8504 0 0 BED BATH & BEYOND INC COM 075896100 313 5400 SH SOLE 5400 0 0 BEST BUY INC COM 086516101 714 30545 SH SOLE 30545 0 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 202 5875 SH SOLE 5875 0 0 BOINGO WIRELESS INC COM COM 09739C102 166 19325 SH SOLE 19325 0 0 BROADCOM CORP COM 111320107 1085 36970 SH SOLE 36970 0 0 BROADSOFT INC COM COM 11133B409 663 21965 SH SOLE 21965 0 0 C H ROBINSON WORLDWIDE INC COM 12541W209 603 8639 SH SOLE 8639 0 0 CIT GROUP INC COM 125581801 918 26344 SH SOLE 26344 0 0 CATERPILLAR INC COM 149123101 1112 12270 SH SOLE 12270 0 0 CELGENE CORP COM 151020104 1444 21353 SH SOLE 21353 0 0 CHICAGO BRIDGE & IRON CO N Y REGISTRY SH COM 167250109 1226 32425 SH SOLE 32425 0 0 CLARCOR INC COM 179895107 1186 23725 SH SOLE 23725 0 0 COCA COLA ENTERPRISES INC COM COM 19122T109 990 38395 SH SOLE 38395 0 0 COCA-COLA CO COM 191216100 1224 17500 SH SOLE 17500 0 0 COLGATE-PALMOLIVE COMPANY COM 194162103 1856 20093 SH SOLE 20093 0 0 CONSUMER DISC SELECT SECTOR SPDR FUND COM 81369Y407 1561 39997 SH SOLE 39997 0 0 CONSUMER STAPLES SPDR COM 81369Y308 744 22910 SH SOLE 22910 0 0 COSTCO WHOLESALE CORP COM 22160K105 1160 13922 SH SOLE 13922 0 0 DANAHER CORP COM 235851102 1078 22922 SH SOLE 22922 0 0 EBAY INC COM 278642103 333 10965 SH SOLE 10965 0 0 ELAN ADR COM 284131208 237 17225 SH SOLE 17225 0 0 EMC CORPORATION COM 268648102 1219 56614 SH SOLE 56614 0 0 EMERSON ELEC CO COM 291011104 1137 24410 SH SOLE 24410 0 0 EXPEDITORS INTERNATIONAL OF WASHINGTON COM 302130109 585 14292 SH SOLE 14292 0 0 INC EXPRESS SCRIPTS INC COM 302182100 1041 23290 SH SOLE 23290 0 0 EXXON MOBIL CORPORATION COM 30231G102 1670 19702 SH SOLE 19702 0 0 FMC CORP COM 302491303 1705 19811 SH SOLE 19811 0 0 FOREST OIL CORP COM 346091705 1029 75965 SH SOLE 75965 0 0 GOOGLE INC CL A COM 38259P508 1902 2943 SH SOLE 2943 0 0 GULFPORT ENERGY CORP COM NEW COM 402635304 204 6935 SH SOLE 6935 0 0 HALLIBURTON CO COM 406216101 868 25138 SH SOLE 25138 0 0 HEALTHSTREAM INC COM COM 42222N103 186 10065 SH SOLE 10065 0 0 HEINZ H J COMPANY COM 423074103 1019 18855 SH SOLE 18855 0 0 HERBALIFE LTD COM G4412G101 223 4320 SH SOLE 4320 0 0 HERTZ GLOBAL HOLDINGS INC COM COM 42805T105 157 13390 SH SOLE 13390 0 0 HITTITE MICROWAVE CORP COM 43365Y104 227 4590 SH SOLE 4590 0 0 HMS HOLDINGS CORPORATION COM 40425J101 213 6660 SH SOLE 6660 0 0 IAC INTERACTIVECORP COM 44919P508 660 15495 SH SOLE 15495 0 0 INTERNATIONAL BUSINESS MACHINES CO COM 459200101 1683 9153 SH SOLE 9153 0 0 INTUIT INC COM 461202103 1119 21285 SH SOLE 21285 0 0 INTUITIVE SURGICAL INC COM 46120E602 588 1270 SH SOLE 1270 0 0 ISHARES BARCLAYS MBS BOND FUND COM 464288588 1810 16749 SH SOLE 16749 0 0 JOY GLOBAL INC COM 481165108 932 12428 SH SOLE 12428 0 0 KENEXA CORP COM COM 488879107 212 7945 SH SOLE 7945 0 0 KEYNOTE SYS INC COM COM 493308100 695 33845 SH SOLE 33845 0 0 KLA-TENCOR CORP COM 482480100 1194 24750 SH SOLE 24750 0 0 KOHLS CORP COM 500255104 664 13465 SH SOLE 13465 0 0 LIGAND PHARMACEUTICALS INC COM NEW COM 53220K504 137 11580 SH SOLE 11580 0 0 LKQ CORP COM 501889208 1071 35610 SH SOLE 35610 0 0 LOWES COMPANIES INC COM 548661107 1239 48815 SH SOLE 48815 0 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ----------------------------------------- -------------- --------- -------- ----------------- ---------- -------- ------------------ VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- MCCORMICK & COMPANY COM 579780206 856 16985 SH SOLE 16985 0 0 MERCADOLIBRE INC COM COM 58733R102 208 2615 SH SOLE 2615 0 0 MICROSOFT CORP COM 594918104 362 13948 SH SOLE 13948 0 0 MONSANTO CO COM 61166W101 1204 17189 SH SOLE 17189 0 0 MSC INDUSTRIAL DIRECT CO INC - A COM 553530106 1310 18311 SH SOLE 18311 0 0 NATIONAL-OILWELL VARCO INC COM 637071101 1335 19640 SH SOLE 19640 0 0 NETAPP INC COM 64110D104 1117 30810 SH SOLE 30810 0 0 NOBLE CORPORATION COM H5833N103 1077 35630 SH SOLE 35630 0 0 NOBLE ENERGY INC COM 655044105 289 3065 SH SOLE 3065 0 0 NOKIA ADR COM 654902204 498 103405 SH SOLE 103405 0 0 NORFOLK SOUTHERN CORP COM 655844108 1337 18355 SH SOLE 18355 0 0 OCZ TECHNOLOGY GROUP INC COM COM 67086E303 144 21740 SH SOLE 21740 0 0 ONYX PHARMACEUTICALS COM 683399109 227 5165 SH SOLE 5165 0 0 OPNET TECHNOLOGIES INC COM COM 683757108 668 18220 SH SOLE 18220 0 0 ORACLE CORP COM 68389X105 1345 52446 SH SOLE 52446 0 0 PHILIP MORRIS INTERNATIONAL INC COM 718172109 429 5468 SH SOLE 5468 0 0 PIONEER NAT RES CO COM COM 723787107 1406 15713 SH SOLE 15713 0 0 PMC-SIERRA INC COM 69344F106 760 137950 SH SOLE 137950 0 0 PVH CORPORATION COM 693656100 1266 17967 SH SOLE 17967 0 0 QUALCOMM INC COM 747525103 1367 24998 SH SOLE 24998 0 0 QUANTUM CORP COM 747906204 142 58975 SH SOLE 58975 0 0 ROPER INDUSTRIES INC COM 776696106 1271 14628 SH SOLE 14628 0 0 SANDISK CORP COM 80004C101 1130 22955 SH SOLE 22955 0 0 SANDRIDGE ENERGY INC COM COM 80007P307 176 21570 SH SOLE 21570 0 0 SAP AG SPONSORED ADR COM 803054204 843 15927 SH SOLE 15927 0 0 SIRONA DENTAL SYSTEMS INC COM COM 82966C103 241 5475 SH SOLE 5475 0 0 SM ENERGY COMPANY COM 78454L100 1259 17219 SH SOLE 17219 0 0 SMUCKER J M CO NEW COM 832696405 211 2695 SH SOLE 2695 0 0 SPDR KBW REGIONAL BANKING ET COM 78464A698 337 13815 SH SOLE 13815 0 0 SPDR SERIES TRUST S&P HOMEBUILDERS COM 78464A888 1219 71285 SH SOLE 71285 0 0 STRYKER CORP COM 863667101 217 4356 SH SOLE 4356 0 0 SUPER MICRO COMPUTER INC COM COM 86800U104 179 11445 SH SOLE 11445 0 0 SUPERIOR ENERGY SVCS INC COM COM 868157108 251 8825 SH SOLE 8825 0 0 SXC HEALTH SOLUTIONS CORP COM COM 78505P100 1123 19890 SH SOLE 19890 0 0 T ROWE PRICE GROUP INC COM 74144T108 1663 29202 SH SOLE 29202 0 0 TERADATA CORP COM 88076W103 1058 21812 SH SOLE 21812 0 0 TIBCO SOFTWARE INC COM COM 88632Q103 882 36900 SH SOLE 36900 0 0 TRACTOR SUPPLY CO COM 892356106 1075 15327 SH SOLE 15327 0 0 UNITED TECHNOLOGIES CORP COM 913017109 1158 15848 SH SOLE 15848 0 0 VALUECLICK INC COM 92046N102 183 11260 SH SOLE 11260 0 0 VELTI LTD COM G93285107 120 17690 SH SOLE 17690 0 0 VMWARE INC CL A COM COM 928563402 1060 12745 SH SOLE 12745 0 0 WELLS FARGO & CO COM 949746101 1187 43070 SH SOLE 43070 0 0 WESCO INTL INC COM 95082P105 218 4115 SH SOLE 4115 0 0 WHOLE FOODS MARKET INC COM 966837106 1067 15335 SH SOLE 15335 0 0 WILLIAMS SONOMA INC COM 969904101 1456 37822 SH SOLE 37822 0 0 YUM BRANDS INC COM 988498101 259 4381 SH SOLE 4381 0 0