0001044905-13-000001.txt : 20130116 0001044905-13-000001.hdr.sgml : 20130116 20130116143901 ACCESSION NUMBER: 0001044905-13-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130116 DATE AS OF CHANGE: 20130116 EFFECTIVENESS DATE: 20130116 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: 13532299 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 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3D Systems Corp COM 88554d205 263 4925 SH Sole 4925 3M Co. COM 88579Y101 7833 84360 SH Sole 84360 Abbott Laboratories COM 002824100 1293 19737 SH Sole 19737 Air Products and Chemical Co. COM 009158106 2202 26204 SH Sole 26204 AK Steel Holding Corp COM 001547108 274 59500 SH Sole 59500 ALCOA, Inc. COM 013817101 817 94114 SH Sole 94114 Alerian MLP ETF COM 00162q866 14193 889829 SH Sole 889829 Allergan, Inc. COM 018490102 442 4818 SH Sole 4818 Allscripts Healthcare Solution COM 01988p108 310 32950 SH Sole 32950 Altria Group, Inc. COM 02209S103 5243 166777 SH Sole 166777 American Express COM 025816109 5846 101705 SH Sole 101705 American International Group I COM 026874784 2355 66702 SH Sole 66702 American Water Works, Inc. COM 030420103 352 9485 SH Sole 9485 Anadarko Pete Corp Com COM 032511107 9526 128186 SH Sole 128186 Annaly Mortgage Management COM 035710409 489 34856 SH Sole 34856 Apache Corp. COM 037411105 2511 31984 SH Sole 31984 Apple Inc Com COM 037833100 22242 41796 SH Sole 41796 AT&T, Inc. COM 00206r102 7678 227757 SH Sole 227757 Atmos Energy Corp COM 049560105 211 6000 SH Sole 6000 Automatic Data Processing COM 053015103 618 10848 SH Sole 10848 Bank of America Corp. COM 060505104 1488 128149 SH Sole 128149 BB&T Corporation COM 054937107 432 14841 SH Sole 14841 Becton, Dickinson Co COM 075887109 334 4275 SH Sole 4275 Berkshire Hathaway Inc. Class COM 084670702 1203 13415 SH Sole 13415 BHP Billiton LTD Spon ADR COM 088606108 384 4900 SH Sole 4900 Boeing Corp. COM 097023105 1307 17340 SH Sole 17340 BP Amoco PLC - Spons ADR COM 055622104 1120 26895 SH Sole 26895 Bristol Myers Squibb Co COM 110122108 239 7335 SH Sole 7335 Broadcom Corp. Class A COM 111320107 273 8225 SH Sole 8225 Cabot Corp. COM 127055101 4054 101876 SH Sole 101876 Canadian National Railway Co. COM 136375102 9110 100094 SH Sole 100094 Caterpillar COM 149123101 3903 43559 SH Sole 43559 Centurytel, Inc. COM 156700106 435 11131 SH Sole 11131 Charter Comm Inc A - In Bankru COM 16117M107 0 13327 SH Sole 13327 ChevronTexaco Corporation COM 166764100 8646 79956 SH Sole 79956 Chubb Corp. COM 171232101 1246 16537 SH Sole 16537 Cisco Systems, Inc. COM 17275R102 7333 373194 SH Sole 373194 Citigroup, Inc. COM 172967424 386 9761 SH Sole 9761 Citrix Sys Inc Com COM 177376100 376 5730 SH Sole 5730 Coca-Cola Enterprises COM 19122t109 209 6588 SH Sole 6588 Coca Cola Company COM 191216100 11271 310936 SH Sole 310936 Cognizant Technology Solutions COM 192446102 280 3794 SH Sole 3794 Cohen and Steers Infrasstructu COM 19248a109 1952 104131 SH Sole 104131 Colgate-Palmolive Co. COM 194162103 2997 28667 SH Sole 28667 Comcast Corporation - Class A COM 20030N101 318 8500 SH Sole 8500 Conagra Foods Inc Com COM 205887102 477 16175 SH Sole 16175 ConocoPhillips COM 20825C104 4457 76860 SH Sole 76860 Corning Inc Com COM 219350105 1226 97154 SH Sole 97154 Costco Wholesale Corp. COM 22160K105 725 7341 SH Sole 7341 Covidien PLC COM G2554F113 274 4744 SH Sole 4744 Crecimiento Y Desarrollo S.A. COM 0 11296 SH Sole 11296 Dicks Sporting Goods Inc COM 253393102 1946 42776 SH Sole 42776 Digital Realty Trust, Inc. COM 253868103 4780 70407 SH Sole 70407 Dixie Group, Inc. COM 255519100 49 15000 SH Sole 15000 Dollar General COM 256677105 201 4550 SH Sole 4550 Dominion Res Inc VA New COM 25746U109 1748 33743 SH Sole 33743 Dover Corp. COM 260003108 472 7186 SH Sole 7186 Dow Chem Company COM 260543103 5866 181452 SH Sole 181452 Duke Energy Corp. COM 26441C204 4416 69219 SH Sole 69219 DuPont (EI) deNemours COM 263534109 1649 36656 SH Sole 36656 Eaton Corp. PLC COM G29183103 3141 57978 SH Sole 57978 Eli Lilly COM 532457108 1065 21594 SH Sole 21594 Emerson Elec Co Com COM 291011104 3878 73218 SH Sole 73218 Enbridge Energy Partners, L.P. COM 29250R106 211 7575 SH Sole 7575 Encana Corp. COM 292505104 358 18100 SH Sole 18100 Energy Select Sector SPDR COM 81369y506 480 6715 SH Sole 6715 Enterprise Products Partners COM 293792107 269 5377 SH Sole 5377 EPR Properties COM 26884u109 5195 112668 SH Sole 112668 Express Scripts Holding Co. COM 30219g108 1179 21828 SH Sole 21828 Exxon Mobil Corporation COM 30231G102 15699 181383 SH Sole 181383 Financial Select Sector SPDR ( COM 81369y605 533 32515 SH Sole 32515 First Horizon National Corp. COM 320517105 1519 153325 SH Sole 153325 First Republic Bank COM 33616c100 1676 51135 SH Sole 51135 Ford Motor Company COM 345370860 3270 252475 SH Sole 252475 Freeport-McMoran Copper COM 35671D857 6856 200468 SH Sole 200468 Fresh Market Inc. COM 35804H106 231 4800 SH Sole 4800 General Dynamics COM 369550108 255 3675 SH Sole 3675 General Electric Corp. COM 369604103 10919 520220 SH Sole 520220 General Mills COM 370334104 1285 31780 SH Sole 31780 Goldman Sachs Group, Inc. COM 38141G104 311 2440 SH Sole 2440 Google Inc Cl A COM 38259p508 4266 6031 SH Sole 6031 Government Properties Income COM 38376a103 4116 171719 SH Sole 171719 Harman International COM 413086109 1050 23511 SH Sole 23511 Health Care Select Sector COM 81369y209 986 24729 SH Sole 24729 Home Depot COM 437076102 1432 23159 SH Sole 23159 Honeywell International, Inc. COM 438516106 6555 103283 SH Sole 103283 I Shares Inc MSCI Hong Kong In COM 464286871 321 16545 SH Sole 16545 I Shares Transportation Index COM 464287192 663 7025 SH Sole 7025 IDEXX Labs Inc COM 45168D104 278 3000 SH Sole 3000 Illinois Tool Works COM 452308109 535 8800 SH Sole 8800 Intel Corporation COM 458140100 7550 366132 SH Sole 366132 International Business Machine COM 459200101 3880 20254 SH Sole 20254 International Paper COM 460146103 535 13420 SH Sole 13420 IShares Cohen & Steers Realty COM 464287564 267 3400 SH Sole 3400 iShares COMEX Gold Trust COM 464285105 397 24365 SH Sole 24365 IShares Core S&P 500 Index Fun COM 464287200 780 5448 SH Sole 5448 IShares Core S&P Midcap 400 In COM 464287507 1166 11470 SH Sole 11470 IShares DJ US Financial Sect COM 464287788 7483 123285 SH Sole 123285 IShares DJ US Financial Servic COM 464287770 655 11045 SH Sole 11045 IShares DJ US Real Estate COM 464287739 848 13110 SH Sole 13110 Ishares Dow Jones Select Divid COM 464287168 1152 20130 SH Sole 20130 iShares Dow Jones U.S. Technol COM 464287721 368 5210 SH Sole 5210 iShares Dow Jones US Regional COM 464288778 264 10810 SH Sole 10810 iShares GS Natural Resources F COM 464287374 219 5745 SH Sole 5745 iShares High Dividend Equity F COM 46429b663 1632 27770 SH Sole 27770 ISHARES INC MSCI GERMAN (ewg) COM 464286806 2228 90195 SH Sole 90195 IShares MSCI Australia Index COM 464286103 472 18760 SH Sole 18760 iShares MSCI Brazil Index Fund COM 464286400 3226 57672 SH Sole 57672 iShares MSCI Canada (ewc) COM 464286509 6855 241369 SH Sole 241369 IShares MSCI EAFE Growth Index COM 464288885 572 9520 SH Sole 9520 IShares MSCI EAFE Index Fund ( COM 464287465 603 10612 SH Sole 10612 IShares MSCI Emergin Mkt COM 464287234 1332 30026 SH Sole 30026 Ishares MSCI Pacific Ex Japan COM 464286665 1242 26342 SH Sole 26342 IShares MSCI South Korea COM 464286772 557 8790 SH Sole 8790 Ishares S&P Global Tech Sector COM 464287291 5997 89101 SH Sole 89101 IShares S&P Latin America 40 COM 464287390 314 7155 SH Sole 7155 Ishares S&P North American Tec COM 464287549 222 3294 SH Sole 3294 IShares S&P Smallcap 600 COM 464287804 308 3940 SH Sole 3940 John Hancock Bk & Thrift Opp F COM 409735206 6159 349960 SH Sole 349960 Johnson and Johnson COM 478160104 8295 118335 SH Sole 118335 Johnson Controls Inc. COM 478366107 1806 58899 SH Sole 58899 JP Morgan Chase & Co Com COM 46625H100 5459 124152 SH Sole 124152 Kayne Anderson Midstream/Energ COM 48661e108 1073 37285 SH Sole 37285 KBW Regional Banking Index COM 78464a698 1281 45800 SH Sole 45800 Kimberly-Clark COM 494368103 8160 96649 SH Sole 96649 Kinder Morgan Energy Partners COM 494550106 667 8365 SH Sole 8365 Kinder Morgan, Inc COM 49456b101 3723 105374 SH Sole 105374 KKR Financial Holdings, LLC COM 48248a306 237 22450 SH Sole 22450 Lowe's Companies COM 548661107 1274 35871 SH Sole 35871 Macquarie Infrastr Co LLC Memb COM 55608B105 4735 103922 SH Sole 103922 Macy's Inc. COM 55616p104 1218 31215 SH Sole 31215 Market Vectors Agribusiness ET COM 57060u605 1287 24395 SH Sole 24395 Marriott International Inc. Cl COM 571903202 693 18583 SH Sole 18583 MasterCard Inc. - Class A COM 57636Q104 418 850 SH Sole 850 McDonald's Corp. COM 580135101 1950 22102 SH Sole 22102 Merck & Co., Inc. COM 58933y105 7239 176810 SH Sole 176810 Microsoft, Inc. COM 594918104 3066 114784 SH Sole 114784 Mohawk Industries COM 608190104 562 6207 SH Sole 6207 Morgan Stanley China A. Share COM 617468103 782 32530 SH Sole 32530 Morgan Stanley Com New COM 617446448 572 29925 SH Sole 29925 Nestle SA Spons ADR for REG COM 641069406 1795 27548 SH Sole 27548 NextEra Energy, Inc. COM 65339f101 7236 104576 SH Sole 104576 Nike Inc. Class B COM 654106103 2511 48654 SH Sole 48654 Nokia Corp - ADR COM 654902204 946 239500 SH Sole 239500 Nordstrom, Inc. COM 655664100 1619 30255 SH Sole 30255 Norfolk Southern Corp. COM 655844108 3695 59749 SH Sole 59749 Northrop Grumman Corp. COM 666807102 358 5304 SH Sole 5304 Novartis A G Sponsored ADR COM 66987V109 7903 124857 SH Sole 124857 Nuance Communications, Inc. COM 67020y100 1770 79295 SH Sole 79295 Nucor Corp COM 670346105 1239 28710 SH Sole 28710 Occidental Pete Corp Del Com COM 674599105 4596 59996 SH Sole 59996 Oracle Systems Corp COM 68389X105 854 25619 SH Sole 25619 Peabody Energy Corporation COM 704549104 542 20385 SH Sole 20385 Pepsico COM 713448108 5816 84991 SH Sole 84991 Perrigo Co. COM 714290103 694 6675 SH Sole 6675 Pfizer COM 717081103 2666 106301 SH Sole 106301 Philip Morris International, I COM 718172109 1881 22487 SH Sole 22487 Phillips 66 COM 718546104 2058 38752 SH Sole 38752 Plum Creek Timber Company COM 729251108 951 21425 SH Sole 21425 Potlatch Corporation COM 737630103 799 20415 SH Sole 20415 PowerShares DB Agriculture Fun COM 73936b408 250 8955 SH Sole 8955 Powershares ETF Trust Water Re COM 73935X575 325 15685 SH Sole 15685 Powershares High Yield Equity COM 73935x302 123 13072 SH Sole 13072 Powershares QQQ NASDAQ 100 COM 73935a104 452 6935 SH Sole 6935 Praxair COM 74005P104 2188 19995 SH Sole 19995 Procter and Gamble COM 742718109 3601 53038 SH Sole 53038 Protective Life Corp COM 743674103 472 16500 SH Sole 16500 Prudential Financial, Inc. COM 744320102 1054 19764 SH Sole 19764 Qualcomm, Inc. COM 747525103 8316 134433 SH Sole 134433 Raytheon Company COM 755111507 210 3650 SH Sole 3650 Regions Financial Corp. COM 7591ep100 1319 185055 SH Sole 185055 Republic Svcs Inc Com COM 760759100 1222 41655 SH Sole 41655 Roche Hldg LTD Sponsored ADR COM 771195104 3865 76538 SH Sole 76538 Rock-Tenn Co. COM 772739207 2720 38906 SH Sole 38906 Royal Bank of Canada COM 780087102 433 7185 SH Sole 7185 Royal Dutch Shell PLC ADR A (R COM 780259206 1043 15122 SH Sole 15122 Rydex S&P Equal Weight ETF COM 78355w106 207 3886 SH Sole 3886 S & P 500 Depositary Receipt ( COM 78462F103 5652 39685 SH Sole 39685 Sanofi-Aventis - ADR COM 80105n105 226 4765 SH Sole 4765 Schlumberger, Ltd. COM 806857108 2069 29861 SH Sole 29861 Sirona Dental Systems Inc. COM 82966c103 1877 29125 SH Sole 29125 Southern Co. COM 842587107 334 7812 SH Sole 7812 Southwestern Energy Co COM 845467109 3855 115375 SH Sole 115375 SPDR Dow Jones Industrial Aver COM 78467X109 206 1580 SH Sole 1580 SPDR Gold Trust COM 78463v107 11015 67987 SH Sole 67987 SPDR S&P Biotech ETF (xbi) COM 78464A870 941 10700 SH Sole 10700 Spectra Energy Corp. COM 847560109 724 26454 SH Sole 26454 Stericycle, Inc. COM 858912108 223 2390 SH Sole 2390 Sunrise Senior Living, Inc. COM 86768K106 1822 126695 SH Sole 126695 Suntrust Banks, Inc. COM 867914103 3175 111978 SH Sole 111978 Synovus Financial COM 87161C105 66 27000 SH Sole 27000 Target Corporation COM 87612E106 1115 18840 SH Sole 18840 Technology Select Sect Spdr (x COM 81369y803 978 33915 SH Sole 33915 Teva Pharmaceutical - SP ADR COM 881624209 599 16031 SH Sole 16031 theglobe.com Inc. COM 88335R101 0 167300 SH Sole 167300 Tiffany & Co NEW COM 886547108 2158 37641 SH Sole 37641 TJX Companies COM 872540109 452 10652 SH Sole 10652 Toll Brothers Inc COM 889478103 700 21650 SH Sole 21650 Tractor Supply Company COM 892356106 9477 107251 SH Sole 107251 Trinity Industries, Inc. COM 896522109 10008 279390 SH Sole 279390 Union Pacific COM 907818108 468 3723 SH Sole 3723 United Technologies Corp Com COM 913017109 15810 192780 SH Sole 192780 Unum Group Com COM 91529Y106 3548 170395 SH Sole 170395 Utilities Select Sector SPDR F COM 81369Y886 969 27740 SH Sole 27740 Vanguard Emergin Market ETF COM 922042858 353 7935 SH Sole 7935 Verizon Communications COM 92343V104 7473 172708 SH Sole 172708 Visa, Inc. - Cl. A COM 92826c839 7742 51075 SH Sole 51075 Vodafone Group PLC - Spons ADR COM 92857w209 204 8103 SH Sole 8103 Vulcan Matls Co Com COM 929160109 311 5979 SH Sole 5979 Wal-Mart Stores COM 931142103 1112 16299 SH Sole 16299 Walgreen Co. COM 931422109 4070 109967 SH Sole 109967 Walt Disney COM 254687106 1282 25741 SH Sole 25741 Wells Fargo COM 949746101 2884 84364 SH Sole 84364 Weyerhaeuser Co. COM 962166104 10149 364823 SH Sole 364823 Williams Companies, Inc. COM 969457100 412 12570 SH Sole 12570 Absolute Opportunites Fund 34984t642 161 14010 SH Sole 14010 Absolute Strategies Fund I (as 34984t600 445 40158 SH Sole 40158 Alliance Fund (chclx) 01859k105 87 12164 SH Sole 12164 American Growth Fd of Amer-F ( 399874403 227 6663 SH Sole 6663 Blackrock Global Opportunities 092501105 146 11024 SH Sole 11024 CGM Realty Fund (cgmrx) 125325407 206 7014 SH Sole 7014 Eaton Vance Tax Managed Global 27829F108 163 18516 SH Sole 18516 Federated Kaufmann Fund A (kau 314172677 65 12917 SH Sole 12917 Growth Fund of America, Inc.(A 399874106 500 14560 SH Sole 14560 Mainstay MarketField Fund (mf 56064B852 507 31998 SH Sole 31998 Oakmark Intl Fund (oakix) 413838202 279 13345 SH Sole 13345 Schwab Monthly Income Fund (sw 808509277 121 11794 SH Sole 11794 The Weitz Funds Part III Opp F 94904p708 405 32133 SH Sole 32133 Vanguard Convertible Sec Fund 922023106 730 57682 SH Sole 57682 Vanguard Mid-Cap Index Fund (v 922908843 286 12740 SH Sole 12740 Signix, Inc. Series A-2 6% PIK 50 22919 SH Sole 22919 CapitalMark Bank & Trust 140991779 631 78870 SH Sole 78870 Patten & Patten, Inc 232 100 SH Sole 100 Kinder Morgan, Inc. Warrants t 49456b119 463 122519 SH Sole 122519 DW Variable Annuity 2 Northbro 185 10000 SH Sole 10000