0000909012-12-000022.txt : 20120123 0000909012-12-000022.hdr.sgml : 20120123 20120123144815 ACCESSION NUMBER: 0000909012-12-000022 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120123 DATE AS OF CHANGE: 20120123 EFFECTIVENESS DATE: 20120123 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BOURGEON CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0001088731 IRS NUMBER: 134044348 STATE OF INCORPORATION: NY FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06175 FILM NUMBER: 12539070 BUSINESS ADDRESS: STREET 1: 605 THIRD AVENUE CITY: NEW YORK STATE: NY ZIP: 10158 BUSINESS PHONE: 2124769137 MAIL ADDRESS: STREET 1: 605 THIRD AVENUE CITY: NEW YORK STATE: NY ZIP: 10158 13F-HR 1 t306599.txt BOURG UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F-HR FORM 13F COVER PAGE Report for the Calendar Year of Quarter Ended: DECEMBER 31, 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: BOURGEON CAPITAL MANAGEMENT, LLC Address: 777 POST ROAD DARIEN, CONNECTICUT 06820 Form 13F File Number: 28-6175 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the 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 form. Person Signing this Report on Behalf of Reporting Manager: Name: JOHN A. ZARO, III Title: PRESIDENT Phone: 203-280-1170 Signature Place Date of Signing /S/ JOHN A. ZARO, III DARIEN, CONNECTICUT JANUARY 22, 2012 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here 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).) FORM 13F-HR SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 100 Form 13F Information Table Value Total: $124,804 (thousands) List of Other Included Managers: NONE
TITLE VALUE SHARE/ OF (USD) PRN SHARE/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (X 1000) AMOUNT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ABBOTT LABORATORIES COM 002824100 301 5355 SH Sole 5355 ABERCROMBIE & FITCH CO. CLASS COM 002896207 733 15000 SH Sole 15000 AGILENT TECHNOLOGIES INC.CMN COM 00846u101 873 25000 SH Sole 25000 APACHE CORP COM 037411105 1273 14050 SH Sole 14050 APPLE INC COM 037833100 3227 7968 SH Sole 7968 ASCENA RETAIL GROUP INC COM COM 04351g101 594 20000 SH Sole 20000 BANK OF AMERICA CORP COM 060505104 167 30000 SH Sole 30000 BARRICK GOLD CORP. COM 067901108 385 8500 SH Sole 8500 BLACKTHORN RESOURCES LTD COM Q15910104 123 250000 SH Sole 250000 BOARDWALK PIPELINE PTNRS COM 096627104 708 25600 SH Sole 25600 BOEING CO COM 097023105 1828 24925 SH Sole 24925 BROADCOM CORP CL A CLASS A COM 111320107 3567 121505 SH Sole 121505 BROOKFIELD ASSET MGMT INC COM 112585104 343 12500 SH Sole 12500 CALLIDUS SOFTWARE COM 13123E500 3724 580000 SH Sole 580000 CARRIZO OIL & GAS INC COM 144577103 335 12700 SH Sole 12700 CASELLA WASTE SYS INC CL A COM 147448104 4133 645828 SH Sole 645828 CAVIUM NET COM 14964u108 711 25000 SH Sole 25000 CHESAPEAKE MIDSTRM PTNRS LIMIT COM 16524k108 261 9000 SH Sole 9000 CITIGROUP INC. COM 172967424 300 11400 SH Sole 11400 CLOVIS ONCOLOGY INC. COM 189464100 158 11204 SH Sole 11204 COCA COLA COMPANY COM 191216100 732 10463 SH Sole 10463 COHEN & STEERS INC COM 19247A100 994 34400 SH Sole 34400 CONOCOPHILLIPS COM 20825C104 3206 43990 SH Sole 43990 CONTINENTAL RESOURCES INC/OK COM 212015101 334 5000 SH Sole 5000 CORNING INC COM 219350105 1414 108945 SH Sole 108945 COSTCO WHSL CORP NEW COM 22160k105 617 7410 SH Sole 7410 CUMULUS MEDIA INC CMN CLASS A COM 231082108 818 245000 SH Sole 245000 DEVON ENERGY CP NEW COM 25179M103 731 11794 SH Sole 11794 DIAGEO PLC NEW ADR F 1 ADR REP COM 25243Q205 2293 26225 SH Sole 26225 DIGITALGLOBE INC. COM 25389m877 864 50500 SH Sole 50500 DUKE ENERGY CORP NEW COM 26441c105 333 15147 SH Sole 15147 E. I. DU PONT DE NEMOURS AND C COM 263534109 1094 23895 SH Sole 23895 EATON CORP COM 278058102 218 5000 SH Sole 5000 EMERSON ELECTRIC CO COM 291011104 2452 52630 SH Sole 52630 EMULEX CORP COM 292475209 514 75000 SH Sole 75000 ENSCO PLC COM 29358Q109 563 12000 SH Sole 12000 EQUITY ONE INC. COM 294752100 246 14500 SH Sole 14500 EUROPEAN GOLDFIELDS LIMITED COM 29877499D 350 30000 SH Sole 30000 EXELON CORPORATION COM 30161N101 338 7800 SH Sole 7800 EXPRESS SCRIPTS INC COM 302182100 2134 47756 SH Sole 47756 EXXON MOBIL CORPORATION COM 30231G102 2642 31167 SH Sole 31167 FALCONSTOR SOFTWARE INC COM 306137100 1438 557240 SH Sole 557240 FORM FACTOR INC COM 346375108 1374 271500 SH Sole 271500 GENERAL ELECTRIC COMPANY COM 369604103 438 24439 SH Sole 24439 GEOEYE INC COM 37250w108 500 22500 SH Sole 22500 GOOGLE INC CLASS A COM 38259p508 236 366 SH Sole 366 GUIDANCE SOFTWARE INC. COM 401692108 2875 443691 SH Sole 443691 HALLIBURTON CO HOLDING COMPANY COM 406216101 1173 34000 SH Sole 34000 HARVEST NATURAL RESOURCES IN COM 41754v103 328 44500 SH Sole 44500 HCA HOLDINGS INC COM 40412c101 926 42015 SH Sole 42015 HEWLETT-PACKARD COMPANY COM 428236103 1135 44065 SH Sole 44065 ILLINOIS TOOL WORKS INC COM 452308109 2167 46385 SH Sole 46385 IMMERSION CORPORATION CMN COM 452521107 156 30034 SH Sole 30034 IVANHOE MINES LTD COM 46579N103 1794 101235 SH Sole 101235 J.P. MORGAN CHASE & CO COM 46625H100 4249 127782 SH Sole 127782 JAGUAR MINING INC COM 47009M103 542 85000 SH Sole 85000 JOHNSON CTLS INC COM 478366107 3871 123837 SH Sole 123837 KINDER MORGAN ENERGY LP UNIT L COM 494550106 340 4000 SH Sole 4000 KINDER MORGAN MGMT LLC COM 49455u100 1118 14241.12 SH Sole 14241.12 MERCK & CO., INC. COM 58933Y105 1785 47350 SH Sole 47350 METLIFE INC COM 59156R108 4028 129180 SH Sole 129180 MICROCHIP TECHNOLOGY CMN COM 595017104 311 8500 SH Sole 8500 MICROSOFT CORP COM 594918104 960 36995 SH Sole 36995 MOSAIC CO NEW COM COM 61945c103 1901 37705 SH Sole 37705 NAT'L PENN BANCSHRS COM 637138108 715 84735 SH Sole 84735 NETAPP INC COM COM 64110d104 1680 46313 SH Sole 46313 NEWMONT MINING CORP (HOLDING C COM 651639106 210 3500 SH Sole 3500 NIKE INC CLASS B COM 654106103 582 6040 SH Sole 6040 NORTHERN TRUST CORP COM 665859104 451 11360 SH Sole 11360 NOVARTIS A G SPON ADR F SPONSO COM 66987v109 2829 49490 SH Sole 49490 ORAMED PHARMACEUTICALS COM 68403p104 4 14000 SH Sole 14000 PEOPLES UNITED FINANCIAL INC COM 712704105 3522 274100 SH Sole 274100 PLUM CREEK TIMBER CO REIT COM 729251108 2832 77470 SH Sole 77470 PNC FINANCIAL SERVICES GROUP I COM 693475105 1548 26850 SH Sole 26850 POTASH CORP OF SASKATCHEWAN COM 73755l107 599 14522 SH Sole 14522 POWER-ONE INC COMMON STOCK COM 73930R102 235 60000 SH Sole 60000 PPL CORPORATIONCMN COM 69351t106 402 13650 SH Sole 13650 PROCTER & GAMBLE COM 742718109 2655 39793 SH Sole 39793 QUALCOMM INC COM 747525103 2764 50522 SH Sole 50522 RECKITT BENCKISE GP ORDF COM g74079107 1681 34025 SH Sole 34025 REPUBLIC SERVICES INC COM 760759100 1683 61080 SH Sole 61080 ROYAL DUTCH SHELL A ADRF SPONS COM 780259206 1707 23350 SH Sole 23350 SAKS INC COM 79377W108 804 82500 SH Sole 82500 SANDISK CORP COM 80004C101 477 9700 SH Sole 9700 SCHEIN HENRY INC COM 806407102 1118 17350 SH Sole 17350 SCHLUMBERGER LTD F COM 806857108 2535 37108 SH Sole 37108 SEACHANGE INTERNATIONAL INC COM 811699107 1885 268173 SH Sole 268173 SIGMA ALDRICH CORP COM 826552101 2700 43220 SH Sole 43220 SOUTHWEST GAS CORP COM 844895102 404 9500 SH Sole 9500 TARGET CORP CMN COM 87612e106 1857 36250 SH Sole 36250 TENET HEALTHCARE CORP COM 88033G100 923 180000 SH Sole 180000 THERMO ELECTRON CORP COM 883556102 562 12500 SH Sole 12500 THORATEC CORP COM 885175307 442 13179 SH Sole 13179 TIFFANY & CO NEW COM 886547108 264 3983 SH Sole 3983 TOLL BROTHERS INC CMN COM 889478103 838 41040 SH Sole 41040 U S BANCORP DEL NEW COM 902973304 485 17915 SH Sole 17915 UIL HOLDINGS CO COM 902748102 721 20377 SH Sole 20377 VISTEON CORPORATION COM 92839U206 899 18000 SH Sole 18000 WILLIAMS PARTNERS LP COM 96950f104 1306 21775 SH Sole 21775 BANK OF AMERICA 5.875%33 PFD I PFD 060505609 209 9300 SH Sole 9300 124804