0001080366-12-000002.txt : 20120413
0001080366-12-000002.hdr.sgml : 20120413
20120413130733
ACCESSION NUMBER: 0001080366-12-000002
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120331
FILED AS OF DATE: 20120413
DATE AS OF CHANGE: 20120413
EFFECTIVENESS DATE: 20120413
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: CATAWBA CAPITAL MANAGEMENT /VA
CENTRAL INDEX KEY: 0001080366
IRS NUMBER: 541611464
STATE OF INCORPORATION: VA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-04999
FILM NUMBER: 12758166
BUSINESS ADDRESS:
STREET 1: PO BOX 1180
STREET 2: 10 SOUTH JEFFERSON STREET, SUITE 1210
CITY: ROANOKE
STATE: VA
ZIP: 24006
BUSINESS PHONE: 5403421212
MAIL ADDRESS:
STREET 1: PO BOX 1180
STREET 2: 10 SOUTH JEFFERSON STREET, SUITE 1210
CITY: ROANOKE
STATE: VA
ZIP: 24011
13F-HR
1
Form13F1Q2012.txt
FORM 13F AS OF 3/31/2012
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
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
Prin Protected Notes of Pref T 742545aa4 574 755647 SH SOLE 755647
Prin Protected Notes of Pref T 74255aaa2 762 1030000 SH SOLE 1030000
3M Company COM 88579y101 1868 20940 SH SOLE 20708
AFLAC Inc Com COM 001055102 580 12606 SH SOLE 12606
AT&T Inc COM 00206r102 2784 89145 SH SOLE 88545
Abbott Labs COM 002824100 2315 37768 SH SOLE 37768
Alcoa Inc COM 013817101 195 19509 SH SOLE 19409
Allaince Res Partnr Lp Ut Ltd COM 01877r108 529 8806 SH SOLE 8806
American Elec Pwr COM 025537101 843 21844 SH SOLE 21739
American Teledata Corp COM 030157101 0 193750 SH SOLE 193750
Amern Eagle Outfit Eagle New C COM 02553e106 299 17380 SH SOLE 17380
Amgen Inc COM 031162100 485 7138 SH SOLE 7088
Analog Devices Inc Com COM 032654105 394 9750 SH SOLE 9750
Apple Inc COM 037833100 13940 23250 SH SOLE 23175
Athersys Inc Com COM 04744l106 15 10000 SH SOLE 10000
BB&T Corp Com COM 054937107 5110 162787 SH SOLE 161879
Baxter Intl Inc COM 071813109 4532 75815 SH SOLE 75615
Becton Dickinson & Co COM 075887109 2244 28897 SH SOLE 28747
Berkshire Hathaway Inc Cl B COM 084670702 567 6992 SH SOLE 6992
Boardwalk Pipeline Ptnr Ut Ltd COM 096627104 1160 43852 SH SOLE 43852
Boeing Co COM 097023105 2377 31965 SH SOLE 31965
Borg-Warner Automotive COM 099724106 316 3744 SH SOLE 3744
Bristol Myers COM 110122108 1989 58927 SH SOLE 58777
Buckeye Partners LP COM 118230101 1686 27555 SH SOLE 27555
CVS/Caremark Corp COM 126650100 7210 160929 SH SOLE 160320
Canadian Nat Res LTD COM 136385101 302 9111 SH SOLE 8841
Canadian Oil Sands New Unit COM 13643e105 681 32366 SH SOLE 32366
Carter Bank & Trust Martinsvil COM 146102108 299 34121 SH SOLE 34121
Caterpillar Inc COM 149123101 447 4200 SH SOLE 4140
Cenovus Energy Inc Com COM 15135u109 5588 155489 SH SOLE 154739
Centerpoint Energy Inc Com COM 15189t107 275 13920 SH SOLE 13920
Central Fd CDA Ltd Cl A COM 153501101 1271 57885 SH SOLE 57885
Central Goldtrust Tr Unit COM 153546106 1016 15935 SH SOLE 15935
Century Link COM 156700106 904 23397 SH SOLE 23297
Chesapeake Energy Corp Com COM 165167107 1027 44345 SH SOLE 43668
Chevron Corp COM 166764100 5067 47261 SH SOLE 47151
Chubb Corp COM 171232101 5090 73646 SH SOLE 73271
Cinemark Holdings Inc Com COM 17243v102 457 20805 SH SOLE 20805
Cisco Sys Inc COM 17275R102 3531 166957 SH SOLE 165807
Claymore Exchange GUGG CA Enrg COM 18383q606 282 16400 SH SOLE 16400
Coca Cola Co COM 191216100 1669 22553 SH SOLE 22553
Colgate Palmolive Co COM 194162103 610 6235 SH SOLE 6185
Comcast Corp Cl A COM 20030N101 275 9155 SH SOLE 9155
Companhia De Bebidas Spon ADR COM 20441w203 1110 26855 SH SOLE 26855
ConocoPhillips COM 20825c104 3415 44930 SH SOLE 44658
Consolidated Edison NY COM 209115104 714 12228 SH SOLE 12178
Covidien LTD Com COM g2554f113 450 8225 SH SOLE 8225
Cracker Barrel Old Country Sto COM 22410j106 686 12295 SH SOLE 12295
Danaher Corp Del Com COM 235851102 3053 54509 SH SOLE 54399
Darden Restaurants COM 237194105 903 17648 SH SOLE 17648
Devon Energy Corp COM 25179M103 3320 46675 SH SOLE 46395
Diageo P L C Spon ADR New COM 25243q205 766 7940 SH SOLE 7875
Disney Walt Co COM 254687106 5099 116479 SH SOLE 115894
Dollar Tree Inc COM 256746108 245 2594 SH SOLE 2527
Dominion Resources Inc Va New COM 25746u109 669 13055 SH SOLE 13055
Dover COM 260003108 1268 20143 SH SOLE 20143
Duke Energy Corp COM 26441c105 2786 132596 SH SOLE 132346
Dupont COM 263534109 4285 80998 SH SOLE 80651
E M C Corp COM 268648102 233 7805 SH SOLE 7805
El Paso Pipeline Partnrs Com U COM 283702108 402 11515 SH SOLE 11515
Eli Lilly COM 532457108 717 17797 SH SOLE 17652
Emerson Electric COM 291011104 1352 25902 SH SOLE 25682
Enbridge Energy Prtnrs Com COM 29250r106 808 26080 SH SOLE 26080
Energy Transfer Equity Com Ut COM 29273v100 230 5700 SH SOLE 5700
Energy Transfer Prtnrs Unit LT COM 29273r109 741 15800 SH SOLE 15800
Enterprise Prods Partn Com COM 293792107 3290 65183 SH SOLE 65121
Equity Residental Properties COM 29476l107 275 4393 SH SOLE 4393
Exelon Corp Com COM 30161N101 2694 68716 SH SOLE 68316
Exxon Mobil Corp COM 30231G102 3332 38419 SH SOLE 38349
Family Dollar Stores COM 307000109 4073 64361 SH SOLE 64136
FedEx Corporation COM 31428X106 2718 29558 SH SOLE 29348
Federal Realty Invt Trust COM 313747206 578 5967 SH SOLE 5967
First Ctzns Bancshares Com COM 319462107 399 12628 SH SOLE 12628
Fluor Corp COM 343412102 2632 43831 SH SOLE 43651
Freeport-McMoran Cop&G Cl B COM 35671d857 952 25026 SH SOLE 24786
General Dynamics Corp COM 369550108 285 3888 SH SOLE 3888
General Electric COM 369604103 3672 182982 SH SOLE 182428
Gilead Sciences Inc Com COM 375558103 963 19707 SH SOLE 19707
GlaxoSmithKline PLC-ADR COM 37733W105 365 8135 SH SOLE 8135
Guggenheim Russell Top 50 ETF COM 78355w205 333 3225 SH SOLE 3100
HCP Inc COM 40414l109 766 19402 SH SOLE 19402
Health Care Reit Inc Com COM 42217k106 2117 38521 SH SOLE 38421
Hershey Foods Corp Com COM 427866108 387 6317 SH SOLE 6242
Hewlett-Packard Co Com COM 428236103 1824 76526 SH SOLE 76166
Highwoods Pptys Inc COM 431284108 214 6418 SH SOLE 6418
Honeywell Inc COM 438516106 1716 28105 SH SOLE 28005
Husky Energy Inc Com COM 448055103 223 8800 SH SOLE 8800
IBM COM 459200101 8234 39463 SH SOLE 39258
ITT Corp COM 450911201 382 16672 SH SOLE 16672
Illinois Tool Wks COM 452308109 628 10986 SH SOLE 10986
Ingersoll-Rand PLC COM g47791101 374 9050 SH SOLE 8690
Intel COM 458140100 4282 152303 SH SOLE 151653
Johnson & Johnson COM 478160104 4728 71676 SH SOLE 71371
Kennametal Inc COM 489170100 2745 61643 SH SOLE 61483
Kimberly Clark COM 494368103 2132 28848 SH SOLE 28848
Kinder Morgan Energy Prtnrs, L COM 494550106 1846 22304 SH SOLE 22254
L-3 Communications Hldgs Com COM 502424104 1861 26295 SH SOLE 26072
Laboratory Corp of America Hld COM 50540r409 2483 27125 SH SOLE 27010
Limited Inc COM 532716107 549 11442 SH SOLE 11442
Lincare Hldgs Inc COM 532791100 479 18494 SH SOLE 18494
Linn Energy LLC Unit Ltd Liab COM 536020100 481 12620 SH SOLE 12520
Lockheed Martin Corp COM 539830109 3583 39874 SH SOLE 39874
Lowes Cos Inc COM 548661107 2077 66198 SH SOLE 65998
Magellan Midstream Prt Com Uni COM 559080106 554 7655 SH SOLE 7655
Manulife Financial Corp COM 56501r106 218 16060 SH SOLE 16060
Marathon Holding Corp COM 565808102 0 10000 SH SOLE 10000
Markwest Energy Partnr Unit Lt COM 570759100 387 6625 SH SOLE 6625
Martin Midstream Prtnr Unit L COM 573331105 225 6660 SH SOLE 6660
Mastercard Inc Cl A COM 57636q104 2580 6134 SH SOLE 6092
McDermott Intl Inc Com COM 580037109 1585 123700 SH SOLE 122925
McDonalds Corp COM 580135101 679 6926 SH SOLE 6926
McKesson HBOC Inc COM 58155Q103 205 2332 SH SOLE 2332
Medical Properties Trust COM 58463j304 137 14756 SH SOLE 14756
Merck & Co Inc COM 58933y105 1323 34450 SH SOLE 34450
Microsoft Corp COM 594918104 5246 162655 SH SOLE 161795
National Oilwell Varco Com COM 637071101 7644 96187 SH SOLE 95832
Natural Resource Prtnr Com Uni COM 63900p103 536 22346 SH SOLE 22146
Newmont Mining Corp COM 651639106 415 8100 SH SOLE 8100
Nike Inc Cl B COM 654106103 4219 38902 SH SOLE 38677
Noble Corporation COM h5833n103 5146 137342 SH SOLE 136517
Norfolk Southern Corp COM 655844108 1411 21437 SH SOLE 21157
Northrop Grumman Corp Com COM 666807102 470 7687 SH SOLE 7637
Novartis A G Sponsored ADR COM 66987v109 1848 33355 SH SOLE 33355
Nucor Corp COM 670346105 1970 45865 SH SOLE 45565
Nustar Energy Lp Unit Com COM 67058H102 522 8842 SH SOLE 8842
Olin Corp Com Par $1 COM 680665205 209 9610 SH SOLE 9610
Oneok Partners LP Unit Ltd Par COM 68268n103 3644 66652 SH SOLE 66502
Oracle Corp COM 68389X105 2141 73434 SH SOLE 72959
PNC Finl Corp COM 693475105 923 14311 SH SOLE 14161
Penn West Pete Ltd New COM 707887105 223 11390 SH SOLE 11390
PepsiCo Inc COM 713448108 3425 51615 SH SOLE 51450
Permian Basin Rty Tr Unit Ben COM 714236106 1230 53803 SH SOLE 52341
Pfizer COM 717081103 5145 227213 SH SOLE 226217
Philip Morris Intl Inc Com COM 718172109 1469 16574 SH SOLE 16474
Plains All Am Pipeline Unit Lt COM 726503105 1673 21330 SH SOLE 21130
Plum Creek Timber Co Inc REIT COM 729251108 1456 35027 SH SOLE 35027
Potash Corp Sask Inc COM 73755L107 1608 35185 SH SOLE 34987
Price T Rowe Group Inc COM 74144t108 3941 60351 SH SOLE 59966
Procter & Gamble Co COM 742718109 4531 67422 SH SOLE 67022
Qualcomm Inc Com COM 747525103 505 7425 SH SOLE 7425
RGC Resources Inc COM 74955l103 306 16654 SH SOLE 16654
Raytheon Co. COM 755111507 721 13660 SH SOLE 13660
Royal Dutch Shell PLC Spons AD COM 780259206 601 8567 SH SOLE 8517
SPDR Gold Trust COM 78463v107 682 4205 SH SOLE 4205
Sanofi COM 80105n105 627 16177 SH SOLE 16177
Scana Corp COM 80589m102 373 8168 SH SOLE 8168
Schlumberger COM 806857108 3177 45435 SH SOLE 45335
Select Sector Spdr Tr Sbi Int- COM 81369y886 283 8070 SH SOLE 8070
Silver Wheaton Corp Com COM 828336107 767 23105 SH SOLE 23075
Sirius Satellite Radio Com COM 82967n108 29 12500 SH SOLE 12500
Smucker J M Co Com COM 832696405 508 6248 SH SOLE 6248
Southern Co COM 842587107 1820 40505 SH SOLE 40505
Spectra Energy Corp Com COM 847560109 554 17563 SH SOLE 17563
Stanley Black & Decker, Inc. COM 854502101 934 12132 SH SOLE 12132
Staples, Inc. COM 855030102 1812 111907 SH SOLE 111198
Steel Dynamics Inc Com COM 858119100 333 22868 SH SOLE 22868
Suburban Propane LP Unit Ltd P COM 864482104 286 6650 SH SOLE 6650
SunTrust Banks Inc. Com COM 867914103 758 31372 SH SOLE 31072
Suncor Energy Inc Com COM 867224107 1619 49497 SH SOLE 49497
Sysco Corp COM 871829107 2144 71800 SH SOLE 71400
TC Pipelines LP Ut Com Ltd Prt COM 87233q108 511 11370 SH SOLE 11370
TYCO International Ltd COM h89128104 2585 46014 SH SOLE 45914
Targa Res Partners Lp Com Unit COM 87611x105 226 5455 SH SOLE 5455
Target Corp COM 87612e106 5335 91555 SH SOLE 91090
Teekay Lng Partners Prtnrsp Un COM y8564m105 663 16920 SH SOLE 16920
Teekay Offshore Ptn Lp Partner COM y8565J101 556 19220 SH SOLE 19220
Teva Pharmaceutcl Inds ADR COM 881624209 2553 56653 SH SOLE 56253
Texas Instruments Co COM 882508104 644 19155 SH SOLE 19055
Time Warner Cable Inc Com COM 88732j207 384 4708 SH SOLE 4688
Time Warner Inc COM 887317303 623 16512 SH SOLE 16429
Tortoise Energy Capital Corp COM 89147u100 218 7678 SH SOLE 7578
Transocean Ltd COM h8817h100 628 11478 SH SOLE 11478
U S Bancorp COM 902973304 398 12565 SH SOLE 12415
UDR Inc COM 902653104 739 27684 SH SOLE 26973
Ultra Petroleum Corp Com COM 903914109 546 24135 SH SOLE 24135
Unilever PLC Amer COM 904767704 382 11555 SH SOLE 11555
Union Pacific COM 907818108 5865 54564 SH SOLE 54414
United Technologies Cp COM 913017109 1738 20953 SH SOLE 20953
Valley Financial Corp COM 919629105 84 10857 SH SOLE 10857
Verizon Communications COM 92343V104 2761 72208 SH SOLE 72208
Vulcan Materials Co COM 929160109 238 5560 SH SOLE 5560
Wal Mart Stores Inc COM 931142103 203 3312 SH SOLE 3312
Walter Energy Inc Com COM 93317q105 1099 18560 SH SOLE 18560
Waste Mgmt Inc Del Com COM 94106l109 2238 64015 SH SOLE 64015
Wellpoint Inc COM 94973v107 4353 58979 SH SOLE 58530
Wells Fargo & Co New Com COM 949746101 4253 124563 SH SOLE 124387
Westar Energy, Inc Com COM 95709t100 275 9853 SH SOLE 9853
Xcel Energy Inc Com COM 98389B100 273 10300 SH SOLE 10300
Xylem Inc Com COM 98419M100 991 35703 SH SOLE 35703
Zimmer Holdings Inc COM 98956P102 3544 55140 SH SOLE 54889
iShares Silver Trust COM 46428q109 1170 37297 SH SOLE 37297
American Balanced Fd Com 024071102 288 14634.28 SH SOLE 14634.28
American Fds Money Mkt Cl A 17 17334.49 SH SOLE 17334.49
American Fds Money Mkt Cl C 16 16002.43 SH SOLE 16002.43
Bond Fd Amer Inc Com 097873103 169 13407.08 SH SOLE 13407.08
Capital Income Bldr Fd Sh Ben 140193103 392 7639.83 SH SOLE 7639.83
Columbia Fds Ser Tr Midcap Ind 19765j608 287 23748.69 SH SOLE 23748.69
Columbia Fds Ser Tr Sml Cap In 19765j814 231 12584.00 SH SOLE 12584.00
Fidelity Advisor II Fltg Rt In 315807560 118 11955.13 SH SOLE 11955.13
Fidelity Concord Str SP 500 Id 315911206 244 4876.54 SH SOLE 4876.54
Fidelity Contrafund 316071109 1042 13432.45 SH SOLE 13432.45
Fidelity Low Priced Stock Fund 316345305 500 12272.22 SH SOLE 12272.22
Fidelity Short-Term Bond Fund 316146208 103 12120.39 SH SOLE 12120.39
Growth Fund America Inc Com 399874106 204 6192.63 SH SOLE 6192.63
Harbor Fd Intl Fd Inv Cl 411511645 535 8997.91 SH SOLE 8997.91
Harbor International Fund 411511306 5783 96374.02 SH SOLE 95578.29
Invesco Value Mun Tr 46132w103 206 14048.00 SH SOLE 14048.00
NMC Inc Com 629196106 0 82700.00 SH SOLE 82700.00
Pimco Fds Pac Invt MGM Real Re 693391146 188 15720.51 SH SOLE 15720.51
Rowe T Price Divid Grw Com 779546100 210 8214.47 SH SOLE 8214.47
Rowe T Price Equity Inc Sh Ben 779547108 281 11010.65 SH SOLE 11010.65
Rowe T Price Index Tr Equity I 779552108 252 6645.40 SH SOLE 6645.40
Rowe T Price Intl Fds Emerg Mk 77956h864 5524 171938.40SH SOLE 170688.89
Rowe T Price Small-Cap Value F 77957Q103 620 16252.06 SH SOLE 16167.06
T. Rowe Price Intl Stock Fd 77956h203 252 18047.76 SH SOLE 18047.76
Templeton Global Incm Com 880198106 377 39034.00 SH SOLE 39034.00
Vanguard 500 Index Fund Invest 922908108 291 2240.83 SH SOLE 2240.83
Vanguard International Expl In 921946208 164 11067.25 SH SOLE 11067.25
Vanguard Internatl Value Portf 921939203 218 7296.40 SH SOLE 7296.40
Vanguard Intl Eqty Idx Pacific 922042106 218 21517.85 SH SOLE 21517.85
Vanguard Mun Bd Fd Inc Lt Txex 922907860 147 12809.99 SH SOLE 12809.99
Vanguard Prime Money Market Fu 922906201 33 33330.92 SH SOLE 33330.92
Vanguard Wellington Fd Investo 921935102 310 9249.44 SH SOLE 9249.44
Vanguard/Windsor II Investor S 922018205 1177 40625.68 SH SOLE 40078.64
iShares TR Russell Midcap 464287499 427 3860.00 SH SOLE 3860.00