0001080366-15-000003.txt : 20150713 0001080366-15-000003.hdr.sgml : 20150713 20150713131754 ACCESSION NUMBER: 0001080366-15-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150630 FILED AS OF DATE: 20150713 DATE AS OF CHANGE: 20150713 EFFECTIVENESS DATE: 20150713 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: 15985210 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 primary_doc.xml 13F-HR LIVE false false false 0001080366 XXXXXXXX 06-30-2015 06-30-2015 CATAWBA CAPITAL MANAGEMENT /VA
PO BOX 1180 10 SOUTH JEFFERSON STREET, SUITE 1210 ROANOKE VA 24011
13F HOLDINGS REPORT 028-04999 N
Amanda Crowgey Wells Investment Officer 5403421212 Amanda Crowgey Wells Roanoke VA 07-13-2015 0 245 419288 false
INFORMATION TABLE 2 form13f2q2015.xml FORM 13F 2Q2015 Prin Protected Notes of Pref T PFD 742545aa4 450 494077 SH SOLE 494077 0 0 Prin Protected Notes of Pref T PFD 74255aaa2 564 641005 SH SOLE 641005 0 0 3M Company COM 88579y101 3170 20542 SH SOLE 20542 0 0 AFLAC Inc Com COM 001055102 1502 24152 SH SOLE 24152 0 0 AT&T Inc COM 00206r102 2884 81202 SH SOLE 81202 0 0 Abbott Labs COM 002824100 1615 32898 SH SOLE 32898 0 0 Abbvie Inc Com COM 00287Y109 2840 42272 SH SOLE 42272 0 0 Allstate Corp COM 020002101 419 6459 SH SOLE 6459 0 0 Altera Corp Com COM 021441100 955 18660 SH SOLE 18660 0 0 AmeriGas Partners LP Unit Int COM 030975106 210 4595 SH SOLE 4595 0 0 American Elec Pwr COM 025537101 1168 22056 SH SOLE 22056 0 0 Amgen Inc COM 031162100 983 6405 SH SOLE 6405 0 0 Analog Devices Inc Com COM 032654105 273 4255 SH SOLE 4255 0 0 Anthem Inc Com COM 036752103 7517 45798 SH SOLE 45798 0 0 Apple Inc COM 037833100 19441 154999 SH SOLE 154999 0 0 Astrazeneca PLC Sponsored ADR COM 046353108 1093 17155 SH SOLE 17155 0 0 Athersys Inc Com COM 04744l106 12 10000 SH SOLE 10000 0 0 BB&T Corp Com COM 054937107 6453 160073 SH SOLE 160073 0 0 Baxter Intl Inc COM 071813109 5296 75732 SH SOLE 75732 0 0 Becton Dickinson & Co COM 075887109 6486 45789 SH SOLE 45789 0 0 Berkshire Hathaway Inc Cl B COM 084670702 896 6580 SH SOLE 6580 0 0 Biomarin Pharmaceutica Com COM 09061g101 279 2040 SH SOLE 2040 0 0 Boardwalk Pipeline Ut LP COM 096627104 189 13017 SH SOLE 13017 0 0 Boeing Co COM 097023105 3661 26390 SH SOLE 26390 0 0 Borg-Warner Automotive COM 099724106 420 7388 SH SOLE 7388 0 0 Boston Scientific Corp Com COM 101137107 412 23265 SH SOLE 23265 0 0 Bristol Myers COM 110122108 4106 61707 SH SOLE 61707 0 0 Broadcom Corp Cl A COM 111320107 784 15225 SH SOLE 15225 0 0 Brookfield Renewable Energy Pa COM G16258108 325 10960 SH SOLE 10960 0 0 Buckeye Partners LP COM 118230101 1901 25713 SH SOLE 25713 0 0 CVS Health Corp COM 126650100 13960 133109 SH SOLE 133109 0 0 Calgon Carbon Corp Com COM 129603106 422 21780 SH SOLE 21780 0 0 Camden Ppty Tr Sh Ben Int COM 133131102 704 9480 SH SOLE 9480 0 0 Canadian Oil Sands New Unit COM 13643e105 186 22951 SH SOLE 22951 0 0 Caterpillar Inc COM 149123101 350 4125 SH SOLE 4125 0 0 Celestica Inc Sub VTG Shs COM 15101Q108 355 30515 SH SOLE 30515 0 0 Cenovus Energy Inc Com COM 15135u109 1619 101136 SH SOLE 101136 0 0 Central Fd CDA Ltd Cl A COM 153501101 526 45145 SH SOLE 45145 0 0 Central Goldtrust Tr Unit COM 153546106 436 10605 SH SOLE 10605 0 0 Century Link COM 156700106 663 22573 SH SOLE 22573 0 0 Check Point Software Ord COM m22465104 264 3320 SH SOLE 3320 0 0 Chevron Corp COM 166764100 4448 46108 SH SOLE 46108 0 0 Chubb Corp COM 171232101 5615 59019 SH SOLE 59019 0 0 Cinemark Holdings Inc Com COM 17243v102 705 17550 SH SOLE 17550 0 0 Cisco Sys Inc COM 17275R102 5092 185422 SH SOLE 185422 0 0 Clorox Co Del COM 189054109 685 6589 SH SOLE 6589 0 0 Coca Cola Co COM 191216100 542 13819 SH SOLE 13819 0 0 Comcast Corp Cl A COM 20030N101 446 7421 SH SOLE 7421 0 0 ConocoPhillips COM 20825c104 2308 37580 SH SOLE 37580 0 0 Consolidated Edison NY COM 209115104 536 9260 SH SOLE 9260 0 0 Cracker Barrel Old Country Sto COM 22410j106 1094 7335 SH SOLE 7335 0 0 Crestwood Midstream Partners L COM 226378107 397 35455 SH SOLE 35455 0 0 Danaher Corp Del Com COM 235851102 3763 43967 SH SOLE 43967 0 0 Darden Restaurants COM 237194105 1081 15205 SH SOLE 15205 0 0 Deere & Co COM 244199105 272 2805 SH SOLE 2805 0 0 Devon Energy Corp COM 25179M103 2455 41260 SH SOLE 41260 0 0 Dollar General Corp Com COM 256677105 2318 29821 SH SOLE 29821 0 0 Dominion Resources Inc Va New COM 25746u109 687 10280 SH SOLE 10280 0 0 Dover Corp COM 260003108 1569 22360 SH SOLE 22360 0 0 Dresser-Rand Group Inc Com COM 261608103 588 6900 SH SOLE 6900 0 0 DuPont Fabros Tech Inc Com COM 26613Q106 292 9925 SH SOLE 9925 0 0 Duke Energy Corp COM 26441c204 5200 73631 SH SOLE 73631 0 0 Dupont COM 263534109 5885 92021 SH SOLE 92021 0 0 Eli Lilly COM 532457108 1109 13288 SH SOLE 13288 0 0 Emerson Electric COM 291011104 2126 38347 SH SOLE 38347 0 0 Enbridge Energy Mgmt Shs Units COM 29250x103 205 6199 SH SOLE 6199 0 0 Enbridge Energy Partners LP COM 29250r106 1570 47095 SH SOLE 47095 0 0 Energy Transfer Equity Unit LP COM 29273v100 843 13130 SH SOLE 13130 0 0 Energy Transfer Partners Unit COM 29273r109 1486 28469 SH SOLE 28469 0 0 Enterprise Products LP COM 293792107 4756 159129 SH SOLE 159129 0 0 Equity Residental Properties COM 29476l107 268 3824 SH SOLE 3824 0 0 Exxon Mobil Corp COM 30231G102 2300 27649 SH SOLE 27649 0 0 Facebook Inc Cl A COM 30303M102 231 2690 SH SOLE 2690 0 0 FedEx Corporation COM 31428X106 4741 27821 SH SOLE 27821 0 0 Federal Realty Invt Trust COM 313747206 707 5521 SH SOLE 5521 0 0 Fluor Corp COM 343412102 2130 40180 SH SOLE 40180 0 0 Generac Hldgs Inc Com COM 368736104 278 7000 SH SOLE 7000 0 0 General Dynamics Corp COM 369550108 521 3676 SH SOLE 3676 0 0 General Electric COM 369604103 4580 172379 SH SOLE 172379 0 0 Geo Group Inc New Com COM 36162J106 593 17355 SH SOLE 17355 0 0 GlaxoSmithKline PLC-ADR COM 37733W105 957 22985 SH SOLE 22985 0 0 Guggenheim Russell Top 50 Mega COM 78355w205 443 3130 SH SOLE 3130 0 0 HCP Inc COM 40414l109 1064 29188 SH SOLE 29188 0 0 Halliburton Co COM 406216101 573 13293 SH SOLE 13293 0 0 Health Care Reit Inc Com COM 42217k106 2796 42609 SH SOLE 42609 0 0 Hershey Foods Corp Com COM 427866108 426 4798 SH SOLE 4798 0 0 Highwoods Pptys Inc COM 431284108 209 5239 SH SOLE 5239 0 0 Honeywell Inc COM 438516106 3256 31929 SH SOLE 31929 0 0 Hospitality Pptys Tr Com Sh Be COM 44106m102 333 11545 SH SOLE 11545 0 0 IBM COM 459200101 5309 32640 SH SOLE 32640 0 0 ITT Corp COM 450911201 258 6159 SH SOLE 6159 0 0 Illinois Tool Wks COM 452308109 1006 10963 SH SOLE 10963 0 0 Ingersoll-Rand PLC COM g47791101 474 7027 SH SOLE 7027 0 0 Intel COM 458140100 4975 163579 SH SOLE 163579 0 0 Intersil Corp Cl A COM 46069s109 217 17320 SH SOLE 17320 0 0 Johnson & Johnson COM 478160104 5927 60813 SH SOLE 60813 0 0 Johnson Ctls Inc Com COM 478366107 1378 27814 SH SOLE 27814 0 0 Kennametal Inc COM 489170100 2358 69099 SH SOLE 69099 0 0 Kimberly Clark COM 494368103 3087 29127 SH SOLE 29127 0 0 Kinder Morgan Inc Del Com COM 49456B101 4208 109614 SH SOLE 109614 0 0 Kraft Foods Group Inc Com COM 50076q106 1681 19739 SH SOLE 19739 0 0 L Brands Inc Com COM 501797104 776 9055 SH SOLE 9055 0 0 L-3 Communications Hldgs Com COM 502424104 2284 20145 SH SOLE 20145 0 0 LaSalle Hotel Pptys Com Sh Ben COM 517942108 385 10860 SH SOLE 10860 0 0 Laboratory Corp of America Hld COM 50540r409 3279 27053 SH SOLE 27053 0 0 Lindsay Corp Com COM 535555106 304 3460 SH SOLE 3460 0 0 Lockheed Martin Corp COM 539830109 5652 30403 SH SOLE 30403 0 0 Lowes Cos Inc COM 548661107 7732 115457 SH SOLE 115457 0 0 Lyondellbasell Industries Shs COM N53745100 238 2295 SH SOLE 2295 0 0 Macys Inc Com COM 55616p104 635 9405 SH SOLE 9405 0 0 Magellan Midstream Partners Co COM 559080106 393 5362 SH SOLE 5362 0 0 Marathon Holding Corp COM 565808102 0 10000 SH SOLE 10000 0 0 MarkWest Energy Partners LP COM 570759100 374 6630 SH SOLE 6630 0 0 Mastercard Inc Cl A COM 57636q104 3711 39703 SH SOLE 39703 0 0 McCormick & Co Inc. Non-Voting COM 579780206 248 3064 SH SOLE 3064 0 0 McDonalds Corp COM 580135101 497 5230 SH SOLE 5230 0 0 McKesson HBOC Inc COM 58155Q103 423 1880 SH SOLE 1880 0 0 Medical Properties Trust COM 58463j304 223 17000 SH SOLE 17000 0 0 Medtronic PLC COM G5960L103 1027 13857 SH SOLE 13857 0 0 Merck & Co Inc COM 58933y105 2663 46779 SH SOLE 46779 0 0 Metlife Inc Com COM 59156R108 399 7135 SH SOLE 7135 0 0 Microchip Technology Com COM 595017104 414 8730 SH SOLE 8730 0 0 Microsoft Corp COM 594918104 7152 161988 SH SOLE 161988 0 0 National Oilwell Varco Com COM 637071101 4044 83771 SH SOLE 83771 0 0 Nike Inc Cl B COM 654106103 4458 41267 SH SOLE 41267 0 0 Nordstrom Inc Com COM 655664100 456 6125 SH SOLE 6125 0 0 Norfolk Southern Corp COM 655844108 854 9778 SH SOLE 9778 0 0 Northern Tr Corp Com COM 665859104 207 2701 SH SOLE 2701 0 0 Northrop Grumman Corp Com COM 666807102 750 4729 SH SOLE 4729 0 0 Novartis A G Sponsored ADR COM 66987v109 2941 29911 SH SOLE 29911 0 0 Nucor Corp COM 670346105 2526 57320 SH SOLE 57320 0 0 Nustar Energy LP Unit Com COM 67058H102 900 15170 SH SOLE 15170 0 0 Occidental Petrolem COM 674599105 201 2580 SH SOLE 2580 0 0 Oneok Partners Unit LP COM 68268n103 2010 59131 SH SOLE 59131 0 0 Oracle Corp COM 68389X105 4445 110298 SH SOLE 110298 0 0 PNC Finl Corp COM 693475105 2159 22571 SH SOLE 22571 0 0 PPG Industries COM 693506107 376 3278 SH SOLE 3278 0 0 PPL Corporation Com COM 69351t106 319 10840 SH SOLE 10840 0 0 Parker Hannifin Corp Com COM 701094104 296 2545 SH SOLE 2545 0 0 Pentair PLC COM G7S00T104 984 14319 SH SOLE 14319 0 0 PepsiCo Inc COM 713448108 5334 57151 SH SOLE 57151 0 0 Permian Basin Rty Tr Unit Ben COM 714236106 285 35421 SH SOLE 35421 0 0 Pfizer Inc COM 717081103 7131 212679 SH SOLE 212679 0 0 Philip Morris Intl Inc Com COM 718172109 1052 13123 SH SOLE 13123 0 0 Photronics Inc. Com COM 719405102 289 30380 SH SOLE 30380 0 0 Plains All American Pipeline U COM 726503105 2331 53500 SH SOLE 53500 0 0 Plum Creek Timber Co Inc REIT COM 729251108 1217 29989 SH SOLE 29989 0 0 Praxair Inc Com COM 74005p104 237 1983 SH SOLE 1983 0 0 Procter & Gamble Co COM 742718109 5814 74313 SH SOLE 74313 0 0 Qualcomm Inc Com COM 747525103 4263 68063 SH SOLE 68063 0 0 Raytheon Co. COM 755111507 652 6815 SH SOLE 6815 0 0 Realty Income Corp Com COM 756109104 383 8620 SH SOLE 8620 0 0 Reynolds R J Tob Hldgs Com COM 761713106 214 2861 SH SOLE 2861 0 0 Royal Dutch Shell PLC Spons AD COM 780259206 466 8176 SH SOLE 8176 0 0 S&P 500 Low Volatility Fund COM 73937b779 510 13910 SH SOLE 13910 0 0 SPDR Gold Trust COM 78463v107 500 4450 SH SOLE 4450 0 0 SPDR S&P 500 ETF Trust COM 78462F103 348 1692 SH SOLE 1692 0 0 SPDR Series Trust S&P Biotech COM 7846aa870 339 1345 SH SOLE 1345 0 0 Scana Corp COM 80589m102 249 4914 SH SOLE 4914 0 0 Schlumberger COM 806857108 4785 55516 SH SOLE 55516 0 0 Sealed Air Corp New Com COM 81211k100 381 7417 SH SOLE 7417 0 0 Select Sector Spdr Tr SBI Int- COM 81369y886 271 6545 SH SOLE 6545 0 0 Silver Wheaton Corp Com COM 828336107 285 16430 SH SOLE 16430 0 0 Sirius XM Holdings, Inc. COM 82968B103 56 15000 SH SOLE 15000 0 0 Smucker J M Co Com COM 832696405 680 6277 SH SOLE 6277 0 0 Southern Co COM 842587107 1906 45480 SH SOLE 45480 0 0 Spectra Energy Corp Com COM 847560109 561 17221 SH SOLE 17221 0 0 Stanley Black & Decker, Inc. COM 854502101 1977 18788 SH SOLE 18788 0 0 Steel Dynamics Inc Com COM 858119100 351 16968 SH SOLE 16968 0 0 Stryker Corp Com COM 863667101 231 2413 SH SOLE 2413 0 0 SunTrust Banks Inc. Com COM 867914103 1113 25865 SH SOLE 25865 0 0 Suncor Energy Inc Com COM 867224107 2673 97123 SH SOLE 97123 0 0 Sysco Corp COM 871829107 2962 82047 SH SOLE 82047 0 0 T Rowe Price Group Inc COM 74144t108 4075 52423 SH SOLE 52423 0 0 TC Pipelines LP Units COM 87233q108 906 15893 SH SOLE 15893 0 0 TECO Energy Inc COM 872375100 280 15845 SH SOLE 15845 0 0 TYCO International PLC COM g91442106 1558 40494 SH SOLE 40494 0 0 Targa Res Partners LP Com Unit COM 87611x105 536 13892 SH SOLE 13892 0 0 Target Corp COM 87612e106 7465 91450 SH SOLE 91450 0 0 Teekay LNG Partners LP COM y8564m105 219 6810 SH SOLE 6810 0 0 Teekay Offshore Partners COM y8565J101 335 16545 SH SOLE 16545 0 0 Teva Pharmaceutical Inds ADR COM 881624209 1747 29564 SH SOLE 29564 0 0 Texas Instruments Co COM 882508104 884 17168 SH SOLE 17168 0 0 Textron Inc Com COM 883203101 362 8100 SH SOLE 8100 0 0 The ADT Corporation Com COM 00101j106 688 20495 SH SOLE 20495 0 0 Time Warner Cable Inc Com COM 88732j207 673 3775 SH SOLE 3775 0 0 Time Warner Inc Com New COM 887317303 948 10844 SH SOLE 10844 0 0 U S Bancorp COM 902973304 565 13010 SH SOLE 13010 0 0 UDR Inc COM 902653104 581 18154 SH SOLE 18154 0 0 Unilever PLC Amer COM 904767704 387 9000 SH SOLE 9000 0 0 Union Pacific COM 907818108 8058 84496 SH SOLE 84496 0 0 United Health Group Inc Com COM 91324p102 255 2090 SH SOLE 2090 0 0 United Technologies Cp COM 913017109 2323 20944 SH SOLE 20944 0 0 Vanguard Index Fds Reit ETF COM 922908553 808 10820 SH SOLE 10820 0 0 Vanguard Index Fds S&P 500 ETF COM 922908363 265 1401 SH SOLE 1401 0 0 Vanguard Index Fds Stk Mrk ETF COM 922908769 983 9183 SH SOLE 9183 0 0 Verizon Communications COM 92343V104 3005 64469 SH SOLE 64469 0 0 Visa Inc. Class A COM 92826c839 299 4460 SH SOLE 4460 0 0 Vulcan Materials Co COM 929160109 416 4960 SH SOLE 4960 0 0 Walt Disney Co COM 254687106 10056 88104 SH SOLE 88104 0 0 Waste Mgmt Inc Del Com COM 94106l109 3001 64751 SH SOLE 64751 0 0 Wells Fargo & Co New Com COM 949746101 5929 105424 SH SOLE 105424 0 0 Westar Energy, Inc Com COM 95709t100 281 8213 SH SOLE 8213 0 0 Williams Cos Inc COM 969457100 659 11490 SH SOLE 11490 0 0 Williams Partners LP NEW Com U COM 96949L105 596 12308 SH SOLE 12308 0 0 Xylem Inc Com COM 98419M100 1310 35350 SH SOLE 35350 0 0 Zimmer Biomet Hldgs In Com COM 98956P102 4667 42730 SH SOLE 42730 0 0 Zoetis Inc Cl A COM 98978v103 310 6431 SH SOLE 6431 0 0 iShares MSCI KLD 400 Social ET COM 464288570 242 3185 SH SOLE 3185 0 0 iShares Silver Trust COM 46428q109 426 28326 SH SOLE 28326 0 0 iShares Tr Russell 3000 ETF COM 464287689 979 7899 SH SOLE 7899 0 0 American Balanced Fund Class A FUND 024071102 291 11855 SH SOLE 11855 0 0 American Capital Income Builde FUND 140193103 557 9502 SH SOLE 9502 0 0 American Capital World Growth FUND 140543109 274 5855 SH SOLE 5855 0 0 American Fundamental Investors FUND 360802102 206 3918 SH SOLE 3918 0 0 Columbia Fds Ser Tr Midcap Ind FUND 19765j608 453 28617 SH SOLE 28617 0 0 Columbia Fds Ser Tr Sml Cap In FUND 19765j814 208 8947 SH SOLE 8947 0 0 Dodge & Cox Stk Fd Com FUND 256219106 398 2208 SH SOLE 2208 0 0 Fidelity Balanced Fund FUND 316345206 301 12953 SH SOLE 12953 0 0 Fidelity Cap & Income Sh Ben I FUND 316062108 110 11206 SH SOLE 11206 0 0 Fidelity Contrafund FUND 316071109 2358 23129 SH SOLE 23129 0 0 Fidelity Growth Company Fund FUND 316200104 241 1723 SH SOLE 1723 0 0 Fidelity Low Priced Stock Fund FUND 316345305 1472 28074 SH SOLE 28074 0 0 Fidelity Spartan SP 500 Idx Ad FUND 315911701 757 10344 SH SOLE 10344 0 0 Franklin Custodian Fds Income FUND 353496805 62 26264 SH SOLE 26264 0 0 Growth Fund of America Class A FUND 399874106 310 6921 SH SOLE 6921 0 0 Harbor Fd Intl Fd Inv Cl FUND 411511645 294 4269 SH SOLE 4269 0 0 Harbor International Fund FUND 411511306 3989 57314 SH SOLE 57314 0 0 Income Fund of America Class A FUND 453320103 253 11927 SH SOLE 11927 0 0 Invesco Value Mun Income Tr FUND 46132p108 236 16415 SH SOLE 16415 0 0 Reaves Util Income Fd Com Sh B FUND 756158101 374 13057 SH SOLE 13057 0 0 Rowe T Price Divid Grw Com FUND 779546100 266 7345 SH SOLE 7345 0 0 Rowe T Price Equity Inc Sh Ben FUND 779547108 260 8136 SH SOLE 8136 0 0 Rowe T Price Intl Fds Emerg Mk FUND 77956h864 4121 123025 SH SOLE 123025 0 0 T Rowe Price Small-Cap Value F FUND 77957Q103 823 17492 SH SOLE 17492 0 0 T. Rowe Price Intl Stock Fd FUND 77956h203 199 11875 SH SOLE 11875 0 0 Vanguard 500 Index Fund Invest FUND 922908108 240 1259 SH SOLE 1259 0 0 Vanguard Intermediate Term Fun FUND 922031802 285 25137 SH SOLE 25137 0 0 Vanguard Mun Bd Fd Inc Lt Txex FUND 922907860 148 12810 SH SOLE 12810 0 0 Vanguard Prime Money Market Fu FUND 922906201 33 33331 SH SOLE 33331 0 0 Vanguard Wellington Fd Investo FUND 921935102 1214 31282 SH SOLE 31282 0 0 Vanguard/Windsor II Investor S FUND 922018205 2290 61464 SH SOLE 61464 0 0 iShares TR Russell 2000 ETF FUND 464287655 339 2716 SH SOLE 2716 0 0 iShares TR Russell Midcap ETF FUND 464287499 731 4295 SH SOLE 4295 0 0 iShares Tr DJ Sel Div Inx ETF FUND 464287168 384 5105 SH SOLE 5105 0 0