0001044905-12-000001.txt : 20120117 0001044905-12-000001.hdr.sgml : 20120116 20120117134349 ACCESSION NUMBER: 0001044905-12-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120117 DATE AS OF CHANGE: 20120117 EFFECTIVENESS DATE: 20120117 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PATTEN & PATTEN INC/TN CENTRAL INDEX KEY: 0001044905 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06515 FILM NUMBER: 12529124 BUSINESS ADDRESS: STREET 1: 520 LOOKOUT STREET CITY: CHATTANOOGA STATE: TN ZIP: 37403 BUSINESS PHONE: 4237563480 MAIL ADDRESS: STREET 1: 520 LOOKOUT STREET CITY: CHATTANOOGA STATE: TN ZIP: 37403 13F-HR 1 inftable.txt PATTEN AND PATTEN, INC. DISCRETIONARY ACCOUNTS FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M Co. COM 88579Y101 7389 90408 SH Sole 90408 Abbott Laboratories COM 002824100 1017 18095 SH Sole 18095 Air Products and Chemical Co. COM 009158106 2465 28932 SH Sole 28932 AK Steel Holding Corp COM 001547108 349 42210 SH Sole 42210 ALCOA, Inc. COM 013817101 1169 135136 SH Sole 135136 Alerian MLP ETF COM 00162q866 10300 619747 SH Sole 619747 Allergan, Inc. COM 018490102 410 4668 SH Sole 4668 Altria Group, Inc. COM 02209S103 5157 173920 SH Sole 173920 American Express COM 025816109 635 13465 SH Sole 13465 Anadarko Pete Corp Com COM 032511107 10455 136967 SH Sole 136967 Annaly Mortgage Management COM 035710409 1680 105263 SH Sole 105263 Apache Corp. COM 037411105 2278 25147 SH Sole 25147 Apple Inc Com COM 037833100 18206 44954 SH Sole 44954 AT&T, Inc. COM 00206r102 5363 177342 SH Sole 177342 Automatic Data Processing COM 053015103 623 11527 SH Sole 11527 Avalonbay Communities inc. COM 053484101 304 2330 SH Sole 2330 Bank of America Corp. COM 060505104 606 108949 SH Sole 108949 Bank of New York Mellon Corp c COM 064058100 381 19135 SH Sole 19135 BB&T Corporation COM 054937107 300 11908 SH Sole 11908 Becton, Dickinson Co COM 075887109 451 6040 SH Sole 6040 Berkshire Hathaway Inc. Class COM 084670702 1052 13790 SH Sole 13790 Best Buy, Inc. COM 086516101 1102 47160 SH Sole 47160 BHP Billiton LTD Spon ADR COM 088606108 335 4750 SH Sole 4750 Boeing Corp. COM 097023105 296 4030 SH Sole 4030 BP Amoco PLC - Spons ADR COM 055622104 1398 32719 SH Sole 32719 Bristol Myers Squibb Co COM 110122108 302 8572 SH Sole 8572 Cabot Corp. COM 127055101 2834 88173 SH Sole 88173 Canadian National Railway Co. COM 136375102 8825 112329 SH Sole 112329 Caterpillar COM 149123101 4106 45324 SH Sole 45324 Centurytel, Inc. COM 156700106 412 11080 SH Sole 11080 Cerner Corp COM 156782104 595 9720 SH Sole 9720 Charter Comm Inc A - In Bankru COM 16117M107 0 13327 SH Sole 13327 ChevronTexaco Corporation COM 166764100 8944 84056 SH Sole 84056 Chubb Corp. COM 171232101 1153 16663 SH Sole 16663 Cisco Systems, Inc. COM 17275R102 3376 186722 SH Sole 186722 Citigroup, Inc. COM 172967424 421 16002 SH Sole 16002 Citrix Sys Inc Com COM 177376100 336 5530 SH Sole 5530 Coca Cola Company COM 191216100 10858 155176 SH Sole 155176 Colgate-Palmolive Co. COM 194162103 2603 28172 SH Sole 28172 Conagra Foods Inc Com COM 205887102 467 17675 SH Sole 17675 ConocoPhillips COM 20825C104 5333 73183 SH Sole 73183 Corning Inc Com COM 219350105 4536 349461 SH Sole 349461 Costco Wholesale Corp. COM 22160K105 650 7806 SH Sole 7806 Crecimiento Y Desarrollo S.A. COM 0 11296 SH Sole 11296 Devon Energy Corp. COM 25179M103 238 3845 SH Sole 3845 Dicks Sporting Goods Inc COM 253393102 389 10550 SH Sole 10550 Digital Realty Trust, Inc. COM 253868103 4158 62370 SH Sole 62370 Dixie Group, Inc. COM 255519100 44 15000 SH Sole 15000 Dollar General COM 256669102 276 6700 SH Sole 6700 Dominion Res Inc VA New COM 25746U109 1904 35866 SH Sole 35866 Dover Corp. COM 260003108 430 7406 SH Sole 7406 Dow Chem Company COM 260543103 6036 209870 SH Sole 209870 Duke Energy Corp. COM 26441c105 4472 203286 SH Sole 203286 DuPont (EI) deNemours COM 263534109 1785 38988 SH Sole 38988 Eaton Corp. COM 278058102 3200 73515 SH Sole 73515 El Paso Corp Com COM 28336L109 5771 217190 SH Sole 217190 Eli Lilly COM 532457108 796 19147 SH Sole 19147 Emerson Elec Co Com COM 291011104 3593 77128 SH Sole 77128 Enbridge Energy Partners, L.P. COM 29250R106 372 11200 SH Sole 11200 Encana Corp. COM 292505104 883 47636 SH Sole 47636 Energy Select Sector SPDR COM 81369y506 452 6537 SH Sole 6537 Enterprise Products Partners COM 293792107 280 6043 SH Sole 6043 Entertainment Properties COM 29380t105 4446 101705 SH Sole 101705 Excel Maritime Carriers, LTD COM 020207523 17 12000 SH Sole 12000 Exelon Corporation COM 30161N101 632 14569 SH Sole 14569 Express Scripts Inc Cl A COM 302182100 362 8094 SH Sole 8094 Exxon Mobil Corporation COM 30231G102 15213 179487 SH Sole 179487 FEDEX Corporation COM 31428X106 2864 34297 SH Sole 34297 Financial Select Sector SPDR ( COM 81369y605 306 23550 SH Sole 23550 First Horizon National Corp. COM 320517105 1186 148267 SH Sole 148267 First Republic Bank COM 33616c100 1671 54575 SH Sole 54575 Ford Motor Company COM 345370860 3480 323390 SH Sole 323390 Forsys Metals Corp COM 34660G104 7 10000 SH Sole 10000 Freeport-McMoran Copper COM 35671D857 4139 112502 SH Sole 112502 General Dynamics COM 369550108 208 3125 SH Sole 3125 General Electric Corp. COM 369604103 7963 444605 SH Sole 444605 General Mills COM 370334104 756 18715 SH Sole 18715 Globalstar Telecommunications COM 0 10000 SH Sole 10000 Goldman Sachs Group, Inc. COM 38141G104 844 9335 SH Sole 9335 Google Inc Cl A COM 38259p508 769 1191 SH Sole 1191 Government Properties Income COM 38376a103 1661 73675 SH Sole 73675 Health Care Select Sector COM 81369y209 247 7119 SH Sole 7119 Hewlett Packard COM 428236103 631 24490 SH Sole 24490 Home Depot COM 437076102 722 17176 SH Sole 17176 Honeywell International, Inc. COM 438516106 6071 111702 SH Sole 111702 I Shares Inc MSCI Hong Kong In COM 464286871 261 16870 SH Sole 16870 I Shares Transportation Index COM 464287192 731 8170 SH Sole 8170 IDEXX Labs Inc COM 45168D104 269 3500 SH Sole 3500 Illinois Tool Works COM 452308109 418 8950 SH Sole 8950 Intel Corporation COM 458140100 8223 339089 SH Sole 339089 International Business Machine COM 459200101 3031 16483 SH Sole 16483 Intuitive Surgical Inc COM 46120E602 266 575 SH Sole 575 IShares Cohen & Steers Realty COM 464287564 336 4780 SH Sole 4780 iShares COMEX Gold Trust COM 464285105 203 13350 SH Sole 13350 IShares DJ US Financial Servic COM 464287770 426 9400 SH Sole 9400 IShares DJ US Real Estate COM 464287739 1412 24850 SH Sole 24850 Ishares Dow Jones Select Divid COM 464287168 696 12940 SH Sole 12940 iShares Dow Jones U.S. Basic M COM 464287838 598 9301 SH Sole 9301 IShares Dow Jones U.S. Industr COM 464287754 220 3453 SH Sole 3453 iShares Dow Jones U.S. Technol COM 464287721 374 5860 SH Sole 5860 iShares Dow Jones US Regional COM 464288778 247 11690 SH Sole 11690 iShares GS Natural Resources F COM 464287374 353 9290 SH Sole 9290 iShares High Dividend Equity F COM 46429b663 1638 29518 SH Sole 29518 ISHARES INC MSCI GERMAN (ewg) COM 464286806 4684 243720 SH Sole 243720 IShares Inc MSCI Japan COM 464286848 2099 230400 SH Sole 230400 iShares MSCI Brazil Index Fund COM 464286400 3450 60117 SH Sole 60117 iShares MSCI Canada (ewc) COM 464286509 8355 314115 SH Sole 314115 IShares MSCI EAFE Growth Index COM 464288885 516 9912 SH Sole 9912 IShares MSCI Emergin Mkt COM 464287234 941 24801 SH Sole 24801 Ishares MSCI Japan Sm Cap COM 464286582 994 22945 SH Sole 22945 Ishares MSCI Pacific Ex Japan COM 464286665 986 25334 SH Sole 25334 IShares MSCI South Korea COM 464286772 391 7475 SH Sole 7475 IShares S&P 500 Index Fund COM 464287200 710 5635 SH Sole 5635 IShares S&P Global Energy Sect COM 464287341 223 5840 SH Sole 5840 Ishares S&P Global Tech Sector COM 464287291 3822 65100 SH Sole 65100 IShares S&P Latin America 40 COM 464287390 274 6425 SH Sole 6425 IShares S&P Midcap 400 Index F COM 464287507 1118 12760 SH Sole 12760 IShares S&P MidCap 400/Growth COM 464287606 283 2870 SH Sole 2870 Ishares S&P North American Tec COM 464287549 231 3894 SH Sole 3894 John Hancock Bk & Thrift Opp F COM 409735206 4082 297975 SH Sole 297975 Johnson and Johnson COM 478160104 7453 113647 SH Sole 113647 Johnson Controls Inc. COM 478366107 7359 235410 SH Sole 235410 JP Morgan Chase & Co Com COM 46625H100 3752 112846 SH Sole 112846 KBW Regional Banking Index COM 78464a698 661 27080 SH Sole 27080 Kimberly-Clark COM 494368103 6572 89343 SH Sole 89343 Kinder Morgan Energy Partners COM 494550106 796 9376 SH Sole 9376 Lowe's Companies COM 548661107 718 28271 SH Sole 28271 Macquarie Infrastr Co LLC Memb COM 55608B105 3253 116370 SH Sole 116370 Macy's Inc. COM 55616p104 555 17250 SH Sole 17250 Market Vectors Agribusiness ET COM 57060u605 1719 36458 SH Sole 36458 Market Vectors Gold Miners ETF COM 57060u100 394 7660 SH Sole 7660 Marriott International Inc. Cl COM 571903202 580 19895 SH Sole 19895 MasterCard Inc. - Class A COM 57636Q104 589 1580 SH Sole 1580 McDonald's Corp. COM 580135101 2051 20441 SH Sole 20441 McGraw Hill COM 580645109 300 6660 SH Sole 6660 Merck & Co., Inc. COM 58933y105 6274 166407 SH Sole 166407 Microsoft, Inc. COM 594918104 2174 83730 SH Sole 83730 Mohawk Industries COM 608190104 363 6059 SH Sole 6059 Morgan Stanley Com New COM 617446448 249 16460 SH Sole 16460 Nestle SA Spons ADR for REG COM 641069406 399 6910 SH Sole 6910 NextEra Energy, Inc. COM 65339f101 5586 91750 SH Sole 91750 Nordstrom, Inc. COM 655664100 677 13625 SH Sole 13625 Norfolk Southern Corp. COM 655844108 1475 20248 SH Sole 20248 Northrop Grumman Corp. COM 666807102 375 6412 SH Sole 6412 Novartis A G Sponsored ADR COM 66987V109 7558 132200 SH Sole 132200 Nuance Communications, Inc. COM 67020y100 1557 61870 SH Sole 61870 Nucor Corp COM 670346105 2382 60195 SH Sole 60195 O'Reilly Automotive, Inc. COM 67103H107 2060 25770 SH Sole 25770 Occidental Pete Corp Del Com COM 674599105 4730 50481 SH Sole 50481 Oracle Systems Corp COM 68389X105 2694 105045 SH Sole 105045 Oshkosh Truck Corp Com COM 688239201 288 13460 SH Sole 13460 Paccar Inc. (PCAR) COM 693718108 1017 27150 SH Sole 27150 Peabody Energy Corporation COM 704549104 405 12230 SH Sole 12230 Pepsico COM 713448108 5936 89463 SH Sole 89463 Pfizer COM 717081103 671 31007 SH Sole 31007 Philip Morris International, I COM 718172109 1648 20998 SH Sole 20998 Plum Creek Timber Company COM 729251108 532 14550 SH Sole 14550 Potlatch Corporation COM 737630103 679 21820 SH Sole 21820 PowerShares DB Agriculture Fun COM 73936b408 355 12285 SH Sole 12285 Powershares ETF Trust Water Re COM 73935X575 3850 228470 SH Sole 228470 Powershares Global Water Por ( COM 73936t623 157 10075 SH Sole 10075 Powershares High Yield Equity COM 73935x302 93 10094 SH Sole 10094 Powershares QQQ NASDAQ 100 COM 73935a104 453 8107 SH Sole 8107 Praxair COM 74005P104 2098 19630 SH Sole 19630 Procter and Gamble COM 742718109 4312 64632 SH Sole 64632 Progress Energy, Inc. COM 743263105 869 15520 SH Sole 15520 Protective Life Corp COM 743674103 451 20000 SH Sole 20000 Prudential Financial, Inc. COM 744320102 1212 24190 SH Sole 24190 Qualcomm, Inc. COM 747525103 6457 118051 SH Sole 118051 Raytheon Company COM 755111507 225 4650 SH Sole 4650 Regions Financial Corp. COM 7591ep100 376 87421 SH Sole 87421 Republic Svcs Inc Com COM 760759100 1191 43232 SH Sole 43232 Roche Hldg LTD Sponsored ADR COM 771195104 3475 81663 SH Sole 81663 Rock-Tenn Co. COM 772739207 1740 30160 SH Sole 30160 Royal Bank of Canada COM 780087102 375 7350 SH Sole 7350 Royal Dutch Shell PLC ADR A (R COM 780259206 1174 16064 SH Sole 16064 Rydex S&P Equal Weight ETF COM 78355w106 313 6756 SH Sole 6756 S & P 500 Depositary Receipt ( COM 78462F103 3959 31545 SH Sole 31545 Schlumberger, Ltd. COM 806857108 2880 42161 SH Sole 42161 Southern Co. COM 842587107 388 8391 SH Sole 8391 Southwestern Energy Co COM 845467109 3811 119325 SH Sole 119325 SPDR Dow Jones Industrial Aver COM 78467X109 522 4285 SH Sole 4285 SPDR Gold Trust COM 78463v107 9775 64316 SH Sole 64316 SPDR S&P Biotech ETF (xbi) COM 78464A870 743 11195 SH Sole 11195 Spectra Energy Corp. COM 847560109 1085 35272 SH Sole 35272 Sunrise Senior Living, Inc. COM 86768K106 4257 656972 SH Sole 656972 Suntrust Banks, Inc. COM 867914103 1328 75019 SH Sole 75019 Synovus Financial COM 87161C105 37 26000 SH Sole 26000 Sysco Corporation COM 871829107 279 9500 SH Sole 9500 Target Corporation COM 87612E106 806 15741 SH Sole 15741 Technology Select Sect Spdr (x COM 81369y803 855 33600 SH Sole 33600 Teva Pharmaceutical - SP ADR COM 881624209 3403 84320 SH Sole 84320 Texas Instruments COM 882508104 482 16575 SH Sole 16575 The Mosaic Company COM 61945c103 221 4385 SH Sole 4385 theglobe.com Inc. COM 88335R101 0 117300 SH Sole 117300 Tiffany & Co NEW COM 886547108 1134 17116 SH Sole 17116 TJX Companies COM 872540109 446 6905 SH Sole 6905 Tractor Supply Company COM 892356106 6654 94857 SH Sole 94857 Ultrashort S&P 500 Proshares COM 74347r883 6041 313160 SH Sole 313160 Union Pacific COM 907818108 429 4045 SH Sole 4045 United Technologies Corp Com COM 913017109 11065 151390 SH Sole 151390 Unum Group Com COM 91529Y106 3419 162251 SH Sole 162251 Utilities Select Sector SPDR F COM 81369Y886 806 22405 SH Sole 22405 Vanguard Emergin Market ETF COM 922042858 254 6640 SH Sole 6640 Verizon Communications COM 92343V104 6420 160016 SH Sole 160016 Visa, Inc. - Cl. A COM 92826c839 8894 87598 SH Sole 87598 Vodafone Group PLC - Spons ADR COM 92857w209 232 8285 SH Sole 8285 Vulcan Matls Co Com COM 929160109 988 25099 SH Sole 25099 Wal-Mart Stores COM 931142103 931 15584 SH Sole 15584 Walgreen Co. COM 931422109 3526 106667 SH Sole 106667 Walt Disney COM 254687106 984 26233 SH Sole 26233 Wells Fargo COM 949746101 290 10532 SH Sole 10532 Weyerhaeuser Co. COM 962166104 4980 266735 SH Sole 266735 Williams Companies, Inc. COM 969457100 473 14329 SH Sole 14329 Absolute Opportunites Fund 34984t642 159 13759 SH Sole 13759 Absolute Strategies Fund I (as 34984t600 464 41978 SH Sole 41978 Advent/Claymore ENH GR & INC ( 00765e104 112 12500 SH Sole 12500 Alliance Fund (chclx) 01859k105 76 12164 SH Sole 12164 American Growth Fd of Amer-F ( 399874403 267 9345 SH Sole 9345 Blackrock Global Opportunities 092501105 146 11024 SH Sole 11024 CGM Realty Fund (cgmrx) 125325407 216 8063 SH Sole 8063 Eaton Vance Tax Managed Global 27829F108 153 18516 SH Sole 18516 Federated Kaufmann Fund A (kau 314172677 57 12317 SH Sole 12317 First Trust Aberdeen Global (F 337319107 158 10000 SH Sole 10000 Franklin Income Fund Class C ( 353496805 50 23655 SH Sole 23655 Growth Fund of America, Inc.(A 399874106 418 14548 SH Sole 14548 Morgan Stanley Emerging Market 61744G107 133 10288 SH Sole 10288 The Weitz Funds Part III Opp F 94904p708 301 25142 SH Sole 25142 Vanguard Convertible Sec Fund 922023106 699 59059 SH Sole 59059 Vanguard Mid-Cap Index Fund (v 922908843 278 14135 SH Sole 14135 Signix, Inc. Series A-2 6% PIK 50 22919 SH Sole 22919 CapitalMark Bank & Trust 140991779 726 72570 SH Sole 72570 Patten & Patten, Inc 220 100 SH Sole 100 Ford Warrants Ex. 01/01/2013 @ 345370134 44 18500 SH Sole 18500 DW Variable Annuity 2 Northbro 172 10000 SH Sole 10000