0001193125-11-297773.txt : 20111104 0001193125-11-297773.hdr.sgml : 20111104 20111104172755 ACCESSION NUMBER: 0001193125-11-297773 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111104 DATE AS OF CHANGE: 20111104 EFFECTIVENESS DATE: 20111104 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ICON ADVISERS INC/CO CENTRAL INDEX KEY: 0001058470 IRS NUMBER: 841166639 STATE OF INCORPORATION: CO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-07066 FILM NUMBER: 111182237 BUSINESS ADDRESS: STREET 1: 5299 DTC BOULEVARD STREET 2: SUITE 1200 CITY: GREENWOOD VILLAGE STATE: CO ZIP: 80111 BUSINESS PHONE: 3037901600 MAIL ADDRESS: STREET 1: 5299 DTC BOULEVARD STREET 2: SUITE 1200 CITY: GREENWOOD VILLAGE STATE: CO ZIP: 80111 FORMER COMPANY: FORMER CONFORMED NAME: MERIDIAN INVESTMENT MANAGEMENT CORP/CO DATE OF NAME CHANGE: 19990330 13F-HR 1 d252939d13fhr.txt FORM 13F-HR 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 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: ICON Advisers, Inc. Address: 5299 DTC Boulevard, Suite 1200 Greenwood Village, CO 80111 13F File Number: 28-7066 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing this 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. Person Signing this Report on Behalf of Reporting Manager: Name: Erik L. Jonson Title: Executive Vice President and Chief Financial Officer Phone: 303-790-1600 Signature, Place, and Date of Signing: Greenwood Village, /s/ Erik L. Jonson Colorado November 4, 2011 ------------------------------------- ------------------ ----------------- Report Type (Check only one.): [X] 13F HOLDINGS REPORT (Check 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).) 2 FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Table Information Table Entry Total: 374 Form 13F Information Table Value Total: 1,146,754 List of Other Included Managers: 0 3 ICON ADVISERS, INC. FORM 13F 30-Sep-11
Voting Authority --------------- Value Shares/ Sh/ Put/ Invstmt Other Name of Issuer Title of class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None -------------- -------------- --------- -------- ------- --- ---- ------- -------- ------ ------ ---- 3M Co. COM 88579Y101 3611 50300 SH Sole 50300 A. Schulman Inc. COM 808194104 1113 65500 SH Sole 65500 ACE Ltd. COM H0023R105 673 11100 SH Sole 11100 AFLAC Inc. COM 001055102 301 8600 SH Sole 8600 AGL Resources Inc. COM 001204106 603 14800 SH Sole 14800 AT&T Corp. COM 00206R102 220 7700 SH Sole 7700 Aaron's Inc. COM 002535201 242 9600 SH Sole 9600 Abbott Laboratories COM 002824100 4421 86450 SH Sole 86450 Accenture Plc. COM G1151C101 4829 91671 SH Sole 91491 180 Advance Auto Parts Inc. COM 00751Y106 802 13800 SH Sole 13800 Aetna Inc. COM 00817Y108 887 24400 SH Sole 24400 Agrium Inc. COM 008916108 1666 25000 SH Sole 25000 Air Products & Chemicals Inc. COM 009158106 4405 57674 SH Sole 57674 Alcoa Inc. COM 013817101 1435 150000 SH Sole 150000 Allergan Inc. COM 018490102 1532 18600 SH Sole 18600 Allete Inc. COM 018522300 267 7300 SH Sole 7300 Alliance Resource Partners L.P COM 01877R108 5953 90800 SH Sole 90800 Allied World Assurance Co. Hol COM G0219G203 639 11900 SH Sole 11900 Alpha Natural Resources Inc COM 02076X102 1911 108038 SH Sole 107608 430 Altria Group Inc. COM 02209S103 1437 53600 SH Sole 53600 Amdocs Ltd. COM G02602103 1654 61000 SH Sole 61000 American Eagle Outfitters Inc. COM 02553E106 372 31700 SH Sole 31700 American Electric Power Co. In COM 025537101 1019 26800 SH Sole 26800 American Express Co. COM 025816109 373 8300 SH Sole 8300 American Financial Group Inc. COM 025932104 277 8900 SH Sole 8900 American States Water Co. COM 029899101 288 8500 SH Sole 8500 American Water Works Co. COM 030420103 550 18220 SH Sole 18220 Ameriprise Financial Inc COM 03076C106 531 13500 SH Sole 13500 AmerisourceBergen Corp. (Holdi COM 03073E105 2076 55700 SH Sole 55700 Amgen Inc. COM 031162100 3517 64000 SH Sole 64000 Andersons Inc. COM 034164103 306 9100 SH Sole 9100 Anixter International Inc. COM 035290105 336 7080 SH Sole 7080 Annaly Capital Management Inc. COM 035710409 554 33310 SH Sole 33310 Anworth Mortgage Asset Corp. COM 037347101 162 23800 SH Sole 23800 Apache Corp. COM 037411105 10744 133900 SH Sole 133900 Apollo Investment Corp. COM 03761U106 322 42800 SH Sole 42800 Apple Inc. COM 037833100 16754 43936 SH Sole 43876 60 Archer-Daniels-Midland Co. COM 039483102 762 30700 SH Sole 30700 Arrow Electronics Inc. COM 042735100 943 33930 SH Sole 33930 Ascena Retail Group Inc. COM 04351G101 403 14900 SH Sole 14900 Ashland Inc. COM 044209104 883 20000 SH Sole 20000 Assurant Inc COM 04621X108 412 11500 SH Sole 11500 Atmos Energy Corp. COM 049560105 263 8100 SH Sole 8100 AutoZone Inc. COM 053332102 1819 5700 SH Sole 5700 Automatic Data Processing Inc. COM 053015103 2956 62700 SH Sole 62700 Avery Dennison Corp. COM 053611109 381 15200 SH Sole 15200 Avnet Inc. COM 053807103 595 22800 SH Sole 22800 BB&T Corp. COM 054937107 1583 74200 SH Sole 74200 Baker Hughes Inc. COM 057224107 14699 318500 SH Sole 318500 Bank of America Corp. COM 060505104 1279 209000 SH Sole 209000 Bank of Montreal COM 063671101 391 7000 SH Sole 7000 Bank of New York Mellon Corp. COM 064058100 664 35700 SH Sole 35700 Baxter International Inc. COM 071813109 2128 37900 SH Sole 37900 Becton Dickinson & Co. COM 075887109 1004 13700 SH Sole 13700 Bed Bath & Beyond Inc. COM 075896100 2327 40610 SH Sole 40090 520 Best Buy Co. Inc. COM 086516101 266 11400 SH Sole 11400 Big Lots Inc. COM 089302103 1602 46000 SH Sole 46000 Bio-Reference Laboratories Inc COM 09057G602 3929 213424 SH Sole 212574 850 Blackrock Inc. COM 09247X101 651 4400 SH Sole 4400 Boeing Co. COM 097023105 1815 30000 SH Sole 30000 Bristol-Myers Squibb Co. COM 110122108 2680 85400 SH Sole 85400 Buckle Inc. COM 118440106 1123 29200 SH Sole 29200 C.R. Bard Inc. COM 067383109 481 5500 SH Sole 5500 CACI International Inc. (Cl A) COM 127190304 5073 101573 SH Sole 101183 390 CEC Entertainment Inc. COM 125137109 316 11100 SH Sole 11100 CF Industries Holdings Inc. COM 125269100 1234 10000 SH Sole 10000 CIGNA Corp. COM 125509109 566 13500 SH Sole 13500 CSG Systems International Inc. COM 126349109 326 25800 SH Sole 25800 CSX Corp. COM 126408103 6312 338092 SH Sole 337042 1050 CVS Caremark Corporation COM 126650100 343 10220 SH Sole 10220 Cabot Corp. COM 127055101 552 22280 SH Sole 22280 Calgon Carbon Corp. COM 129603106 364 25000 SH Sole 25000 Cameron International Corp COM 13342B105 4906 118100 SH Sole 118100 Campbell Soup Co. COM 134429109 469 14500 SH Sole 14500 Canadian National Railway Co. COM 136375102 783 11760 SH Sole 11760 Canadian Pacific Railway Ltd. COM 13645T100 962 20000 SH Sole 20000 Capital One Financial Corp..... COM 14040H105 531 13400 SH Sole 13400 Cardinal Health Inc............ COM 14149Y108 2171 51850 SH Sole 51850
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VOTING AUTHORITY ---------------- PRN NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE -------------- -------------- --------- -------- ------- --- ---- ------- -------- ------- ------ ---- Cash America International Inc. COM 14754D100 3216 62871 SH Sole 62471 400 Caterpillar Inc................ COM 149123101 10271 139096 SH Sole 138716 380 Celgene Corp................... COM 151020104 7525 121553 SH Sole 121203 350 Century Aluminum Co............ COM 156431108 447 50000 SH Sole 50000 Charles Schwab................. COM 808513105 644 57100 SH Sole 57100 Chevron Corp................... COM 166764100 90010 972130 SH Sole 971860 270 Chicago Mercantile Exchange Ho. COM 12572Q105 3523 14296 SH Sole 14296 Chubb Corp..................... COM 171232101 450 7500 SH Sole 7500 Cisco Systems Inc.............. COM 17275R102 2017 130100 SH Sole 130100 Citigroup Inc.................. COM 172967101 1552 60590 SH Sole 60590 Cleveland-Cliffs Inc........... COM 18683K101 2640 51598 SH Sole 51478 120 Coca-Cola Co................... COM 191216100 1540 22800 SH Sole 22800 Coca-Cola Enterprises Inc...... COM 19122T109 445 17900 SH Sole 17900 Cognizant Technology Solutions. COM 192446102 2026 32310 SH Sole 32310 Colgate-Palmolive Co........... COM 194162103 1469 16570 SH Sole 16570 Comcast Corp................... COM 20030N101 9009 430653 SH Sole 429603 1050 Computer Sciences Corp......... COM 205363104 295 11000 SH Sole 11000 ConocoPhillips................. COM 20825C104 41972 662859 SH Sole 662859 Consol Energy Inc.............. COM 20854P109 3454 101800 SH Sole 101800 Constellation Brands Inc....... COM 21036P108 247 13700 SH Sole 13700 Convergys Corp................. COM 212485106 494 52700 SH Sole 52700 Cooper Industries Plc.......... COM G24140108 3647 79071 SH Sole 78901 170 Core Laboratories N.V.......... COM N22717107 1617 18000 SH Sole 18000 Corning Inc.................... COM 219350105 3591 290509 SH Sole 288669 1840 Covance Inc.................... COM 222816100 950 20900 SH Sole 20900 Covidien PLC................... COM G2554F113 788 17870 SH Sole 17870 Cullen/Frost Bankers Inc....... COM 229899109 482 10500 SH Sole 10500 Cummins Inc.................... COM 231021106 931 11400 SH Sole 11400 DIRECTV Group Inc.............. COM 25490A101 1581 37400 SH Sole 37400 DTE Energy Co.................. COM 233331107 564 11500 SH Sole 11500 Danaher Corp................... COM 235851102 2679 63880 SH Sole 63880 Darden Restaurants Inc......... COM 237194105 457 10700 SH Sole 10700 Deckers Outdoor Corp........... COM 243537107 475 5100 SH Sole 5100 Deere & Co..................... COM 244199105 1795 27800 SH Sole 27800 Delphi Financial Group Inc..... COM 247131105 443 20600 SH Sole 20600 Deutsche Bank AG............... COM D18190898 284 8200 SH Sole 8200 Devon Energy Corp.............. COM 25179M103 10644 192000 SH Sole 192000 Diamond Offshore Drilling Inc.. COM 25271C102 5080 92800 SH Sole 92800 Diebold Inc.................... COM 253651103 424 15400 SH Sole 15400 Discovery Communications Inc... COM 25470F104 658 17500 SH Sole 17500 Dollar Tree Stores Inc......... COM 256746108 3727 49604 SH Sole 49324 280 Dover Corp..................... COM 260003108 3721 79853 SH Sole 79693 160 Dow Chemical Co................ COM 260543103 5789 257745 SH Sole 257455 290 Dr Pepper Snapple Group Inc.... COM 26138E109 555 14300 SH Sole 14300 Dril-Quip Inc.................. COM 262037104 7499 139100 SH Sole 139100 Duke Energy Corp............... COM 26441C105 1105 55300 SH Sole 55300 E.I. DuPont de Nemours & Co.... COM 263534109 7778 194600 SH Sole 194600 Eaton Corp..................... COM 278058102 2683 75580 SH Sole 75360 220 Ecolab Inc..................... COM 278865100 2199 44984 SH Sole 44984 Edison International........... COM 281020107 761 19900 SH Sole 19900 Eli Lilly & Co................. COM 532457108 3080 83300 SH Sole 83300 Emerson Electric Co............ COM 291011104 4149 100431 SH Sole 100081 350 Entergy Corp................... COM 29364G103 948 14300 SH Sole 14300 Everest Re Group Ltd........... COM G3223R108 357 4500 SH Sole 4500 Exelon Corp.................... COM 30161N101 852 20000 SH Sole 20000 Express Scripts Inc............ COM 302182100 1249 33700 SH Sole 33700 Exxon Mobil Corp............... COM 30231G102 133809 1842337 SH Sole 1841987 350 Ezcorp Inc. (Cl A)............. COM 302301106 3595 125966 SH Sole 125376 590 FMC Corp....................... COM 302491303 692 10000 SH Sole 10000 FedEx Corp..................... COM 31428X106 1482 21900 SH Sole 21900 Federated Investors Inc........ COM 314211103 247 14100 SH Sole 14100 First Niagara Financial Group.. COM 33582V108 747 81600 SH Sole 81600 First Solar Inc................ COM 336433107 272 4300 SH Sole 4300 Flextronics International Ltd.. COM Y2573F102 1211 215110 SH Sole 215110 Forest Laboratories Inc........ COM 345838106 954 31000 SH Sole 31000 Franklin Resources Inc......... COM 354613101 631 6600 SH Sole 6600 Freeport-McMoRan Copper & Gold. COM 35671D857 4476 147000 SH Sole 147000 Gap Inc........................ COM 364760108 479 29500 SH Sole 29500 General Dynamics Corp.......... COM 369550108 2742 48207 SH Sole 47967 240 General Electric Co............ COM 369604103 11030 724694 SH Sole 723324 1370 General Mills Inc.............. COM 370334104 712 18500 SH Sole 18500 Genuine Parts Co............... COM 372460105 1148 22600 SH Sole 22600 Gildan Activewear Inc.......... COM 375916103 496 19200 SH Sole 19200 Gilead Sciences Inc............ COM 375558103 2607 67200 SH Sole 67200 Goldman Sachs Group Inc........ COM 38141G104 709 7500 SH Sole 7500 Google Inc..................... COM 38259P508 3914 7600 SH Sole 7600 Guess? Inc..................... COM 401617105 1617 56745 SH Sole 56525 220 H&R Block Inc.................. COM 093671105 620 46600 SH Sole 46600 H.J. Heinz Co.................. COM 423074103 363 7200 SH Sole 7200 HCC Insurance Holdings Inc..... COM 404132102 471 17400 SH Sole 17400 Halliburton Co................. COM 406216101 17851 584900 SH Sole 584900 Hancock Holding Co............. COM 410120109 544 20300 SH Sole 20300 Harris Corp.................... COM 413875105 236 6900 SH Sole 6900 Harsco Corp.................... COM 415864107 262 13500 SH Sole 13500 Hartford Financial Services Gr. COM 416515104 445 27600 SH Sole 27430 170 Helmerich & Payne Inc.......... COM 423452101 6987 172100 SH Sole 172100 Henry Schein Inc............... COM 806407102 1246 20100 SH Sole 20100 Hess Corp...................... COM 42809H107 12501 238300 SH Sole 238300
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VOTING AUTHORITY --------------- PRN NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE -------------- -------------- --------- -------- ------ --- ---- ------- -------- ------ ------ ---- Hewlett-Packard Co............. COM 428236103 465 20700 SH Sole 20700 Home Depot Inc................. COM 437076102 1249 38000 SH Sole 38000 Hormel Foods Corp.............. COM 440452100 454 16800 SH Sole 16800 Hospitality Properties Trust... COM 44106M102 344 16200 SH Sole 16200 Hubbell Inc.................... COM 443510201 347 7000 SH Sole 7000 Illinois Tool Works Inc........ COM 452308109 4572 109909 SH Sole 109659 250 Ingersoll-Rand Co. Ltd......... COM G47791101 618 22000 SH Sole 22000 Ingram Micro Inc............... COM 457153104 1449 89840 SH Sole 89840 Integrys Energy Group Inc...... COM 45822P105 948 19500 SH Sole 19500 Intel Corp..................... COM 458140100 4312 202117 SH Sole 202117 IntercontinentalExchange Inc... COM 45865V100 993 8400 SH Sole 8400 International Business Machine. COM 459200101 16974 97069 SH Sole 96869 200 International Paper Co......... COM 460146103 581 25000 SH Sole 25000 J.M. Smucker Co................ COM 832696405 518 7100 SH Sole 7100 JPMorgan Chase & Co............ COM 46625H100 5013 166428 SH Sole 166208 220 Johnson & Johnson.............. COM 478160104 6430 100960 SH Sole 100960 Jos. A. Bank Clothiers Inc..... COM 480838101 1042 22349 SH Sole 22349 KFORCE INC..................... COM 493732101 245 25000 SH Sole 25000 KLA-Tencor Corp................ COM 482480100 934 24400 SH Sole 24400 Kellogg Co..................... COM 487836108 1043 19600 SH Sole 19600 Kimberly-Clark Corp............ COM 494368103 2048 28840 SH Sole 28840 Koppers Holdings Inc........... COM 50060P106 1280 50000 SH Sole 50000 Kraft Foods Inc................ COM 50075N104 353 10500 SH Sole 10500 Kroger Co...................... COM 501044101 428 19500 SH Sole 19500 Laboratory Corp. of America Ho. COM 50540R409 1383 17500 SH Sole 17500 Laclede Group Inc.............. COM 505597104 306 7900 SH Sole 7900 Leggett & Platt Inc............ COM 524660107 265 13400 SH Sole 13400 Lender Processing Services Inc. COM 52602E102 366 26770 SH Sole 26770 Lincare Holdings Inc........... COM 532791100 1043 46360 SH Sole 46360 Linear Technology Corp......... COM 535678106 658 23800 SH Sole 23800 Lockheed Martin Corp........... COM 539830109 953 13120 SH Sole 13120 Lorillard Inc.................. COM 544147101 531 4800 SH Sole 4800 Lowe's Cos..................... COM 548661107 1876 97000 SH Sole 97000 M&T Bank Corp.................. COM 55261F104 713 10200 SH Sole 10200 MDU Resources Group Inc........ COM 552690109 292 15200 SH Sole 15200 MEMC Electronic Materials Inc.. COM 552715104 715 136500 SH Sole 136500 Manpower Inc................... COM 56418H100 504 15000 SH Sole 15000 Manulife Financial Corp........ COM 56501R106 561 49500 SH Sole 49500 Marathon Oil Corp.............. COM 565849106 7721 357800 SH Sole 357800 Marathon Petroleum Corp........ COM 56585A102 4968 183600 SH Sole 183600 Mastercard Inc................. COM 57636Q104 1402 4420 SH Sole 4420 McDonald's Corp................ COM 580135101 255 2900 SH Sole 2900 McKesson Corp.................. COM 58155Q103 1723 23700 SH Sole 23700 Mednax Inc..................... COM 58502B106 740 11820 SH Sole 11820 Medtronic Inc.................. COM 585055106 2686 80800 SH Sole 80800 Merck & Co. Inc................ COM 58933Y105 5700 174300 SH Sole 174300 Mercury General Corp........... COM 589400100 322 8400 SH Sole 8400 MetLife Inc.................... COM 59156R108 742 26500 SH Sole 26500 Methode Electronics Inc........ COM 591520200 396 53300 SH Sole 53300 Microsoft Corp................. COM 594918104 5098 204820 SH Sole 204820 Monsanto Co.................... COM 61166W101 2402 40000 SH Sole 40000 Moody's Corp................... COM 615369105 359 11800 SH Sole 11800 Morgan Stanley................. COM 617446448 365 27000 SH Sole 27000 Mosaic Co...................... COM 61945C103 783 15980 SH Sole 15980 Multi-Fineline Electronix Inc.. COM 62541B101 363 18180 SH Sole 18180 Murphy Oil Corp................ COM 626717102 10709 242500 SH Sole 242500 Mylan Inc...................... COM 628530107 333 19600 SH Sole 19600 NIKE Inc....................... COM 654106103 9386 109762 SH Sole 109302 460 Nasdaq OMX Group/The........... COM 631103108 1210 52300 SH Sole 52300 National Oilwell Varco Inc..... COM 637071101 17896 349400 SH Sole 349400 Navistar International Corp.... COM 63934E108 321 10000 SH Sole 10000 Newfield Exploration Co........ COM 651290108 5295 133400 SH Sole 133400 Nextera Energy................. COM 65339F101 1118 20700 SH Sole 20700 Noble Corp..................... COM H5833N103 11545 393355 SH Sole 392795 560 Noble Energy Inc............... COM 655044105 630 8893 SH Sole 8793 100 Norfolk Southern Corp.......... COM 655844108 4845 79400 SH Sole 79400 Northrop Grumman Corp.......... COM 666807102 391 7500 SH Sole 7500 NuCor Corp..................... COM 670346105 4025 127223 SH Sole 126833 390 Occidental Petroleum Corp...... COM 674599105 21135 295600 SH Sole 295600 Omnicom Group Inc.............. COM 681919106 262 7100 SH Sole 7100 Oracle Corp.................... COM 68389X105 2342 81500 SH Sole 81500 PG&E Corp...................... COM 69331C108 981 23200 SH Sole 23200 PNC Financial Services Group I. COM 693475105 506 10500 SH Sole 10500 PPG Industries Inc............. COM 693506107 1413 20000 SH Sole 20000 PPL Corp....................... COM 69351T106 1473 51600 SH Sole 51600 Paccar Inc..................... COM 693718108 507 15000 SH Sole 15000 Parker Hannifin Corp........... COM 701094104 1955 30974 SH Sole 30834 140 Patterson Cos. Inc............. COM 703395103 1257 43900 SH Sole 43900 Peabody Energy Corp............ COM 704549104 3520 103900 SH Sole 103900 People's United Financial Inc.. COM 712704105 524 46000 SH Sole 46000 Pepco Holdings Inc............. COM 713291102 206 10900 SH Sole 10900 PepsiCo Inc.................... COM 713448108 2612 42192 SH Sole 42192 Perficient Inc................. COM 71375U101 520 71000 SH Sole 71000 Pfizer Inc..................... COM 717081103 6713 379700 SH Sole 379700 Philip Morris International In. COM 718172109 2133 34200 SH Sole 34200 Pitney Bowes Inc............... COM 724479100 925 49200 SH Sole 49200 Plexus Corp.................... COM 729132100 638 28200 SH Sole 28200 Pool Corp...................... COM 73278L105 783 29900 SH Sole 29900
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VOTING AUTHORITY ---------------- PRN NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE -------------- -------------- --------- -------- ------- --- ---- ------- -------- ------- ------ ---- Portfolio Recovery Associates.. COM 73640Q105 591 9500 SH Sole 9500 Potash Corp. of Saskatchewan I. COM 73755L107 1571 36360 SH Sole 36360 Praxair Inc.................... COM 74005P104 12169 130174 SH Sole 129844 330 Procter & Gamble Co............ COM 742718109 2981 47180 SH Sole 47180 Progress Energy Inc............ COM 743263105 1019 19700 SH Sole 19700 Progressive Corp............... COM 743315103 320 18000 SH Sole 18000 Protective Life Corp........... COM 743674103 653 41800 SH Sole 41800 Protein Design Labs Inc........ COM 69329Y104 1934 348430 SH Sole 348430 Prudential Financial Inc....... COM 744320102 848 18100 SH Sole 18100 Public Service Enterprise Grou. COM 744573106 1133 33950 SH Sole 33950 QUALCOMM Inc................... COM 747525103 2957 60800 SH Sole 60800 R.R. Donnelley & Sons Co....... COM 257867101 2503 177290 SH Sole 177290 RPM International Inc.......... COM 749685103 654 35000 SH Sole 35000 Raytheon Co.................... COM 755111507 613 15000 SH Sole 15000 Redwood Trust Inc.............. COM 758075402 442 39600 SH Sole 39600 Reinsurance Group of America I. COM 759351604 570 12400 SH Sole 12400 Reliance Steel & Aluminum Co... COM 759509102 1003 29500 SH Sole 29500 ResMed Inc..................... COM 761152107 4697 163132 SH Sole 162682 450 Research In Motion Ltd......... COM 760975102 473 23320 SH Sole 23000 320 Rock-Tenn Co................... COM 772739207 2488 51100 SH Sole 51100 Rockwell Collins Corp.......... COM 774341101 264 5000 SH Sole 5000 Ross Stores Inc................ COM 778296103 5418 68849 SH Sole 68549 300 Ryder System Inc............... COM 783549108 593 15800 SH Sole 15800 SAIC Inc....................... COM 7890X1017 500 42300 SH Sole 42300 SCANA Corp..................... COM 80589M102 1565 38700 SH Sole 38700 SPX Corp....................... COM 784635104 453 10000 SH Sole 10000 SUPERVALU Inc.................. COM 868536103 306 46000 SH Sole 46000 SYNNEX Corp.................... COM 87162W100 753 28740 SH Sole 28740 Salix Pharmaceuticals Ltd...... COM 795435106 1453 49100 SH Sole 49100 Schlumberger Ltd............... COM 806857108 26365 441400 SH Sole 441400 Seagate Technology Inc......... COM G7945M107 212 20600 SH Sole 20600 Sealed Air Corp................ COM 81211K100 668 40000 SH Sole 40000 Sempra Energy.................. COM 816851109 1174 22800 SH Sole 22800 Skyworks Solutions Inc......... COM 83088M102 189 10500 SH Sole 10500 Sonoco Products Co............. COM 835495102 847 30000 SH Sole 30000 Southern Co.................... COM 842587107 2474 58400 SH Sole 58400 Southern Copper Corp........... COM 84265V105 260 10400 SH Sole 10400 Southwestern Energy Co......... COM 845467109 5859 175800 SH Sole 175800 St. Jude Medical Inc........... COM 790849103 727 20100 SH Sole 20100 Staples Inc.................... COM 855030102 549 41300 SH Sole 41300 State Street Corp.............. COM 857477103 634 19700 SH Sole 19700 Steel Dynamics Inc............. COM 858119100 3530 355859 SH Sole 354719 1140 Stryker Corp................... COM 863667101 817 17340 SH Sole 17340 Sun Life Financial Inc......... COM 866796105 559 23500 SH Sole 23500 Suncor Energy Inc.............. COM 867229106 8431 331400 SH Sole 331400 Sunoco Inc..................... COM 86764P109 5380 173500 SH Sole 173500 SurModics Inc.................. COM 868873100 785 86300 SH Sole 86300 Sysco Corp..................... COM 871829107 360 13900 SH Sole 13900 T. Rowe Price Group Inc........ COM 74144T108 392 8200 SH Sole 8200 TD AmeriTrade Holding Corp..... COM 87236Y108 266 18100 SH Sole 18100 TE Connectivity Ltd............ COM H84989104 1036 36800 SH Sole 36800 TJX Cos........................ COM 872540109 10811 194898 SH Sole 194338 560 Target Corp.................... COM 87612E106 4699 95820 SH Sole 95820 Tech Data Corp................. COM 878237106 675 15610 SH Sole 15610 Teradyne Inc................... COM 880770102 515 46800 SH Sole 46800 Tesoro Corp.................... COM 881609101 14408 740000 SH Sole 740000 Tessera Technologies Inc....... COM 88164L100 238 19900 SH Sole 19900 Texas Instruments Inc.......... COM 882508104 1141 42800 SH Sole 42800 Texas Roadhouse Inc. (Cl A).... COM 882681109 262 19800 SH Sole 19800 The Travelers Companies Inc.... COM 89417E109 755 15500 SH Sole 15500 Thermo Fisher Scientific Inc... COM 883556102 684 13500 SH Sole 13500 Thomas & Betts Corp............ COM 884315102 1096 27455 SH Sole 27145 310 Tidewater Inc.................. COM 886423102 4394 104500 SH Sole 104500 Time Warner Cable.............. COM 88732J207 7197 114847 SH Sole 114447 400 Torchmark Corp................. COM 891027104 340 9750 SH Sole 9750 Tower Group Inc................ COM 891777104 354 15500 SH Sole 15500 Transocean Inc................. COM H8817H100 4095 85780 SH Sole 85780 Tyco International Ltd......... COM H89128104 1558 38235 SH Sole 37755 480 U.S. Bancorp................... COM 902973304 1125 47800 SH Sole 47800 UGI Corp....................... COM 902681105 651 24800 SH Sole 24800 Union Pacific Corp............. COM 907818108 8064 98733 SH Sole 98453 280 United Online Inc.............. COM 911268100 351 67200 SH Sole 67200 United Parcel Service Inc...... COM 911312106 3442 54500 SH Sole 54500 United Stationers Inc.......... COM 913004107 544 20000 SH Sole 20000 United Technologies Corp....... COM 913017109 3458 49150 SH Sole 49150 United Therapeutics Corp....... COM 91307C102 1020 27200 SH Sole 27200 UnitedHealth Group Inc......... COM 91324P102 2557 55440 SH Sole 55440 Urban Outfitters Inc........... COM 917047102 426 19100 SH Sole 19100 Valero Energy Corp............. COM 91913Y100 26552 1493384 SH Sole 1492954 430 Valley National Bancorp........ COM 919794107 166 15700 SH Sole 15700 Valmont Industries Inc......... COM 920253101 412 5290 SH Sole 5290 Valspar Corp................... COM 920355104 2912 93300 SH Sole 93300 Varian Medical Systems Inc..... COM 92220P105 1121 21500 SH Sole 21500 Vectren Corp................... COM 92240G101 1024 37800 SH Sole 37800 Viacom Inc..................... COM 92553P201 2212 57106 SH Sole 56866 240 Visa Inc....................... COM 92826C839 1543 18000 SH Sole 18000 W.W. Grainger Inc.............. COM 384802104 4006 26791 SH Sole 26611 180 WGL Holdings Inc............... COM 92924F106 207 5300 SH Sole 5300
7
VOTING AUTHORITY --------------- PRN NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE -------------- -------------- ------------ -------- ------ --- ---- ------- -------- ------ ------ ---- Wal-Mart Stores Inc............ COM 931142103 2460 47400 SH Sole 47400 Walgreen Co.................... COM 931422109 422 12840 SH Sole 12840 Walt Disney Co................. COM 254687106 4125 136764 SH Sole 136524 240 Waters Corp.................... COM 941848103 672 8900 SH Sole 8900 Weatherford International Ltd.. COM G95089101 4850 397200 SH Sole 397200 WellPoint Inc.................. COM 94973V107 1462 22400 SH Sole 22400 Wells Fargo & Co............... COM 949746101 5528 229181 SH Sole 228761 420 Western Refining Inc........... COM 959319104 3962 318000 SH Sole 318000 Wolverine World Wide Inc....... COM 978097103 2598 78130 SH Sole 77970 160 World Acceptance Corp.......... COM 981419104 507 9060 SH Sole 9060 World Fuel Services Corp....... COM 981475106 15274 467800 SH Sole 467800 Xcel Energy Inc................ COM 98389B100 1173 47500 SH Sole 47500 eBay Inc....................... COM 278642103 681 23100 SH Sole 23100 Omnicare Inc. 4% 6/15/33 serie. PFD 68214Q200 232 6100 SH Sole 6100 ASTRAZENECA PLC-SPON ADR....... ADR 046353108 949 21400 SH Sole 21400 Alumina Ltd. (ADS)............. ADR 022205108 121 21359 SH Sole 21359 ArcelorMittal (Cl A)(ADS)...... ADR 03938L104 805 50593 SH Sole 50593 Baidu.com Inc. (ADS)........... ADR 056752108 2041 19091 SH Sole 19091 CHINA PETROLEUM & CHEMICAL-AD................... ADR 16941R108 240 2505 SH Sole 2505 ENI S P A-SPON ADR............. ADR 26874R108 385 10966 SH Sole 10966 ENSCO PLC ADS.................. ADR 29358Q109 6469 160000 SH Sole 160000 GLAXOSMITHKLINE PLC-SPON ADR........................... ADR 37733W105 1021 24732 SH Sole 24732 Infosys Technologies Ltd. ADS.. ADR 456788108 989 19359 SH Sole 19359 Kingfisher PLC (ADS)........... ADR 495724403 81 10525 SH Sole 10525 OIL CO LUKOIL-ADR.............. ADR 677862104 502 10000 SH Sole 10000 PETROCHINA CO LTD-ADR.......... ADR 71646E100 7221 59931 SH Sole 59931 POSCO (ADR).................... ADR 693483109 840 11052 SH Sole 11052 SIEMENS A G-SPON ADR........... ADR 826197501 5320 59253 SH Sole 59173 80 TEVA PHARM INDS-ADR............ ADR 881624209 930 25000 SH Sole 25000 VALE S.A. ADR.................. ADR 91912E105 342 15000 SH Sole 15000 SPDR S&P China ETF (GXC)....... 78463X400 302 5412 SH Sole 5412 iShares MSCI Korea Index Fund.. 464286772 244 5250 SH Sole 5250 374 0 OTHER MANAGERS ON REPORT SUMMARY................. DATA RECORDS 1146754 WHOSE BEHALF REPORT IS FILED