-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, BkKr43FMP2kcmfK0g6znbOhRNk4h1HVp/4CONiMtZkhuS0OwjyDgjYRAFHTTTNfr BlqzH44kuOKXlRMJT/ZVlw== 0001105907-08-000010.txt : 20081113 0001105907-08-000010.hdr.sgml : 20081113 20081113134533 ACCESSION NUMBER: 0001105907-08-000010 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080930 FILED AS OF DATE: 20081113 DATE AS OF CHANGE: 20081113 EFFECTIVENESS DATE: 20081113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BARD ASSOCIATES INC CENTRAL INDEX KEY: 0001105907 IRS NUMBER: 363452497 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11597 FILM NUMBER: 081184234 BUSINESS ADDRESS: STREET 1: 135 S. LASALLE ST. STREET 2: SUITE 3700 CITY: CHICAGO STATE: IL ZIP: 60603 BUSINESS PHONE: 3127829600 MAIL ADDRESS: STREET 1: 135 S. LASALLE STREET STREET 2: SUITE 3700 CITY: CHICAGO STATE: IL ZIP: 60603 13F-HR 1 r-13f09302008.txt SEPTEMBER 30, 2008 HOLDINGS 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, 2008 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: Bard Associates Inc. Address: 135 South LaSalle Street, Suite 3700 Chicago, IL 60603 Form 13F File Number: 28-11597 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: Tim Johnson Title: President Phone: 312-782-9600 Signature, Place, and Date of Signing: /s/ Tim Johnson Chicago, IL November 11, 2008 [Signature] [City, State] [Date] Report Type (Check only one.): [x]13F HOLDINGS REPORT [ ]13F NOTICE [ ]13F COMBINATION REPORT List of Other managers Reporting for this Manager: None Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: None Form 13F Information Table Entry Total: 147 Form 13F Information Table Value Total: $ 100,965 (thousands) List of Other Included Managers: None DISCRETIONARY OWNERSHIP FOR 13F AS OF DATE: 9/30/2008 VOTING VOTING VOTING NAME TITLE FAIR SHARES OR INVESTMENT AUTH AUTH AUTH OF OF CUSIP MARKET PRINCIPAL DISCRETION OTH (SHRS) (SHRS) (SHRS) ISSUER CLASS NUMBER VALUE AMOUNT SOLE SHARED MGR SOLE SHARED NONE ABAXIS INC ABAX COMMON 002567105 749 38,036 x 3,800 0 34,236 ACACIA RESH CORP ACTG COMMON 003881307 73 24,335 x 3,000 0 21,335 ADVANTAGE ENERGY FD COMMON 00762L101 1,001 109,210 x 1,200 0 108,010 AERO GROW INTL AERO COMMON 00768M103 557 205,425 x 10,000 0 195,425 ALLIANCE RESOURCES COMMON 01877R108 1,573 49,910 x 400 0 49,510 APPLIED SIGNAL TECH A COMMON 038237103 1,018 58,585 x 2,100 0 56,485 ARGON ST STSTD COMMON 040149106 1,394 59,355 x 4,500 0 54,855 ASHFORD 8.45% D AHT-P PREFERR 044103406 413 38,850 x 0 0 38,850 ASPENBIO PHARMA INC A COMMON 045346103 252 40,325 x 6,000 0 34,325 ATLAS AMERICA ATLS COMMON 049167109 3,203 93,916 x 6,524 0 87,392 ATLAS PIPELINE COMMON 049392103 1,000 39,235 x 0 0 39,235 BAJA MINING CORP BAJ. COMMON 05709R103 138 198,500 x 22,000 0 176,500 BALCHEM CORP BCPC COMMON 057665200 2,075 77,790 x 4,725 0 73,065 BOWL AMER INC BWL--A COMMON 102565108 250 18,830 x 0 0 18,830 BRIDGELINE SOFTWARE B COMMON 10807Q205 135 105,200 x 10,000 0 95,200 CAPITAL LEASING FDG L REAL ES 140288101 347 43,785 x 800 0 42,985 CARRIAGE SVCS 7.00% C PREFERR 14444T309 1,572 47,625 x 300 0 47,325 CASUAL MALE RETAIL GR COMMON 148711104 516 131,282 x 11,876 0 119,406 CEDAR FAIR COMMON 150185106 907 43,780 x 500 0 43,280 CE FRANKLIN LTD CFK COMMON 125151100 193 28,960 x 0 0 28,960 CHEVY CHASE 8.00% C C PREFERR 166779207 358 22,275 x 0 0 22,275 COGDELL SPENCER INC C REAL ES 19238U107 928 57,870 x 700 0 57,170 CONSTELLATION ENERGY COMMON 21038E101 555 48,330 x 500 0 47,830 CORPORATE OFF PPTYS T REAL ES 22002T108 774 19,185 x 400 0 18,785 CRIMSON EXPLORATION C COMMON 22662K207 448 61,950 x 2,900 0 59,050 CURRENCYSHS JAPAN YEN MUTUAL 23130A102 461 4,910 x 50 0 4,860 DAKTRONICS DAKT COMMON 234264109 1,858 111,520 x 11,300 0 100,220 DORCHESTER MINERALS COMMON 25820R105 2,074 89,790 x 1,000 0 88,790 DOUBLE EAGLE 9.25% A PREFERR 258570407 767 38,330 x 400 0 37,930 DRYCLEAN USA INC DCU COMMON 262432107 142 149,400 x 38,000 0 111,400 ENSIGN GROUP INC ENSG COMMON 29358P101 718 42,040 x 6,225 0 35,815 EVOLUTION PETROLEUM E COMMON 30049A107 879 288,150 x 24,400 0 263,750 EXCEL MARITIME CARRIE COMMON V3267N107 864 57,294 x 6,476 0 50,818 FID/CLAY MLP FMO COMMON 31647Q106 216 11,659 x 0 0 11,659 FIRST NATL BANCSHARES COMMON 32111B104 227 44,753 x 3,103 0 41,650 FIRST POTOMAC RLTY TR REAL ES 33610F109 464 26,975 x 0 0 26,975 FORGENT NETWORKS INC COMMON 34629U103 22 75,700 x 25,150 0 50,550 GLACIER WATER 9.06% A PREFERR 376398202 376 20,010 x 0 0 20,010 GLADSTONE COML CORP G REAL ES 376536108 928 60,785 x 600 0 60,185 GLOBAL AIRCRAFT SOL G COMMON 378964100 56 358,650 x 88,000 0 270,650 GLOBAL MED TECHNOLOGI COMMON 37935E101 717 530,850 x 40,000 0 490,850 GLOBUS MARITIME GLBS. COMMON G39929107 892 106,815 x 6,200 0 100,615 GMX RES INC 9.25% B G PREFERR 38011M405 267 12,475 x 0 0 12,475 GOLDCORP INC NEW GG COMMON 380956409 1,544 48,826 x 4,300 0 44,526 GRACE ACQUI 8.75% WGC PREFERR 982568206 407 51,870 x 800 0 51,070 GRAMERCY 8.125%A GKK- PREFERR 384871307 197 26,685 x 0 0 26,685 GREENHUNTER ENERGY IN COMMON 39530A104 182 12,740 x 1,000 0 11,740 H & Q LIFE SCIENCES H MUTUAL 404053100 433 40,770 x 552 0 40,218 HAIN CELESTIAL GROUP COMMON 405217100 647 23,511 x 2,300 0 21,211 HAMPSHIRE GROUP LTD H COMMON 408859106 435 58,805 x 4,600 0 54,205 HARD CREEK NICKEL COR COMMON 411637101 73 259,950 x 0 0 259,950 HEALTH CARE REIT INC REAL ES 42217K106 2,007 37,700 x 540 0 37,160 HEARX LTD EAR COMMON 422360305 443 388,850 x 35,000 0 353,850 HENRY JACK & ASSOC JK COMMON 426281101 441 21,670 x 0 0 21,670 HILLTOP HOLD 8.25% A PREFERR 432748200 505 28,435 x 600 0 27,835 HOST MARRIOTT 8.87% E PREFERR 44107P609 258 14,800 x 0 0 14,800 HRPT PPTYS TR HRP REAL ES 40426W101 482 69,940 x 0 0 69,940 HYDRALOGIC SYS INC HL COMMON 44874Q103 111 2,229,000 x 300,000 0 1,929,000 ICON PUB LTD CO ICLR COMMON 45103T107 528 13,800 x 0 0 13,800 IDEX CORP IEX COMMON 45167R104 711 22,922 x 800 0 22,122 II-VI INC IIVI COMMON 902104108 4,701 121,602 x 5,500 0 116,102 INDIA FD INC IFN MUTUAL 454089103 349 10,625 x 0 0 10,625 INTERNATIONAL COAL GR COMMON 45928H106 1,129 180,855 x 11,000 0 169,855 INTL COAL 10.25% 07/1 CONVERT 45928HAA4 319 350,000 x 0 0 350,000 ITERIS INC ITI COMMON 46564T107 30 15,400 x 2,400 0 13,000 J ALEXANDER CORP JAX COMMON 466096104 240 41,465 x 7,500 0 33,965 KAYNE ANDERSON MLP KY MUTUAL 486606106 821 35,535 x 0 0 35,535 KMG CHEMICALS INC KMG COMMON 482564101 677 96,985 x 6,500 0 90,485 KRATOS DEFENSE & SEC COMMON 50077B108 693 350,134 x 2,516 0 347,618 LASALLE HOTEL PPTY LH REAL ES 517942108 216 9,275 x 0 0 9,275 LEXINGTON CORP 8.05% PREFERR 529043200 308 20,400 x 0 0 20,400 LEXINGTON PPTYS LXP REAL ES 529043101 789 45,825 x 700 0 45,125 LIME ENERGY CO LIME COMMON 53261U205 1,004 161,874 x 8,570 0 153,304 LUMINA COPPER LCC.V COMMON 55025N104 368 336,300 x 34,000 0 302,300 MAC-GRAY CORP TUC COMMON 554153106 316 30,140 x 5,000 0 25,140 MAGUIRE PPTYS INC MPG REAL ES 559775101 160 26,800 x 400 0 26,400 MAGUIRE PYS 7.625%A M PREFERR 559775200 328 34,535 x 0 0 34,535 MARTEN TRANS LTD MRTN COMMON 573075108 774 39,675 x 0 0 39,675 MARTIN MIDSTREAM COMMON 573331105 757 37,495 x 400 0 37,095 MEDICAL PPTYS TRUST I REAL ES 58463J304 984 86,740 x 1,500 0 85,240 MICROFIELD GROUP INC COMMON 59506W104 180 500,000 x 50,000 0 450,000 MILLER INDS INC TENN COMMON 600551204 312 42,160 x 550 0 41,610 MOCON INC MOCO COMMON 607494101 950 90,432 x 6,000 0 84,432 MONMOUTH REAL ESTATE REAL ES 609720107 164 21,000 x 0 0 21,000 MTS SYS CORP MTSC COMMON 553777103 967 22,965 x 2,850 0 20,115 NATURAL RES PTNRS COMMON 63900P103 966 38,130 x 0 0 38,130 NCI INC NCIT COMMON 62886K104 1,940 68,130 x 3,700 0 64,430 NEOGENOMICS INC NGNM COMMON 64049M209 450 458,800 x 25,000 0 433,800 NEOSTEM INC NBS COMMON 640650305 47 47,375 x 4,000 0 43,375 NEWMONT MNG CORP NEM COMMON 651639106 388 10,000 x 1,600 0 8,400 NGAS RESOURCES INC NG COMMON 62912T103 1,019 214,500 x 17,400 0 197,100 NGP CAP RES CO NGPC MUTUAL 62912R107 429 29,475 x 0 0 29,475 NORTHERN OIL & GAS NO COMMON 665531109 657 80,800 x 4,000 0 76,800 OMEGA NAVIGATION CL A COMMON Y6476R105 897 69,830 x 2,600 0 67,230 OPHTHALMIC IMAGING SY COMMON 683737209 154 405,200 x 43,000 0 362,200 PACIFIC OFFICE PPTY P REAL ES 694714106 128 19,250 x 2,000 0 17,250 PATRICK INDS INC PATK COMMON 703343103 361 66,428 x 6,686 0 59,742 PEOPLESUPPORT INC PSP COMMON 712714302 851 72,760 x 3,500 0 69,260 PETMED EXPRESS INC PE COMMON 716382106 682 43,460 x 3,800 0 39,660 PICO HLDGS INC PICO COMMON 693366205 1,877 52,267 x 5,500 0 46,767 PIPEX PHARM INC PP COMMON 724153200 61 102,600 x 10,000 0 92,600 PRIVATEBANC 10.00% A PREFERR 74272L208 801 36,580 x 500 0 36,080 PRIVATEBANCORP INC PV COMMON 742962103 242 5,800 x 0 0 5,800 PSIVIDA CORP PSDV COMMON 74440J101 55 39,325 x 10,000 0 29,325 QUAKER CHEM CORP KWR COMMON 747316107 1,006 35,340 x 2,400 0 32,940 QUALSTAR CORP QBAK COMMON 74758R109 331 110,735 x 21,000 0 89,735 QUEST RESOURCE CORP Q COMMON 748349305 366 137,445 x 6,750 0 130,695 RAND LOGISTICS CORP R COMMON 752182105 451 89,275 x 8,500 0 80,775 RAND WT $6.25 10/26/0 WARRANT 752182113 9 51,250 x 0 0 51,250 RCM TECHNOLOGIES INC COMMON 749360400 174 99,835 x 12,000 0 87,835 ROYAL GOLD INC RGLD COMMON 780287108 836 23,250 x 1,900 0 21,350 SAN JUAN ROY TRUST COMMON 798241105 2,396 63,000 x 800 0 62,200 SAUL CENTERS 8.00% A PREFERR 804095200 645 24,355 x 0 0 24,355 SCIENTIFIC LEARNING S COMMON 808760102 244 74,075 x 11,625 0 62,450 SEABRIDGE GOLD INC SA COMMON 811916105 1,381 81,215 x 3,200 0 78,015 SEASPAN CORP SSW COMMON Y75638109 1,165 64,385 x 2,850 0 61,535 SILVER WHEATON CORP S COMMON 828336107 768 94,235 x 3,150 0 91,085 SILVERSTONE RES CORP COMMON 82846B101 98 73,150 x 7,000 0 66,150 SPACEHAB 15.0 5.50% 1 CONVERT 846243AD5 689 1,940,000 x 107,000 0 1,833,000 SPACEHAB SPABD COMMON 846243400 126 351,321 x 26,000 0 325,321 SPORT SUPPLY GROUP RB COMMON 84916A104 1,040 94,050 x 8,000 0 86,050 STAR BUFFET INC STRZ COMMON 855086104 250 62,510 x 7,000 0 55,510 STERICYCLE INC SRCL COMMON 858912108 3,741 63,500 x 4,400 0 59,100 STORM CAT ENERGY CORP COMMON 862168101 245 790,650 x 35,000 0 755,650 STRATEGIC HOTEL8.25% PREFERR 86272T502 501 40,105 x 400 0 39,705 SUNOPTA INC STKL COMMON 8676EP108 626 101,665 x 6,400 0 95,265 SYNOVIS LIFE TECH SYN COMMON 87162G105 791 42,025 x 3,100 0 38,925 TARGA RESOURCES COMMON 87611X105 858 50,410 x 1,000 0 49,410 TEAM INC TISI COMMON 878155100 2,787 77,160 x 6,000 0 71,160 TECK COMINCO LTD COMMON 878742204 204 7,300 x 2,378 0 4,922 TEVA PHARMACEUTICALS COMMON 881624209 215 4,686 x 0 0 4,686 THINKENGINE NETWORKS COMMON 88409U105 4 60,975 x 0 0 60,975 TORTOISE ENERGY INFRA MUTUAL 89147L100 437 19,296 x 600 0 18,696 TRAN LUX NC 8.25% 03/ CONVERT 893247AE6 1,320 1,885,000 x 20,000 0 1,865,000 TRINITY BIOTECH PLC T COMMON 896438306 30 10,525 x 1,150 0 9,375 TYLER TECHNOLOGIES TY COMMON 902252105 1,570 103,500 x 4,500 0 99,000 U M H PROPERTIES UMH REAL ES 903002103 172 24,750 x 0 0 24,750 UROPLASTY INC UPI COMMON 917277204 388 161,556 x 8,000 0 153,556 UTEK CORP UTK COMMON 91759P106 320 31,540 x 2,500 0 29,040 VANGUARD NAT RES COMMON 92205F106 490 41,770 x 600 0 41,170 VASCO DATA SEC INTL I COMMON 92230Y104 112 10,810 x 2,500 0 8,310 WAVE SYSTEMS CORP WAV COMMON 943526301 181 420,125 x 50,000 0 370,125 WCA WASTE CORP WCAA COMMON 92926K103 543 115,785 x 8,400 0 107,385 WESTPORT INNOVATIONS COMMON 960908309 668 73,070 x 4,050 0 69,020 WILLDAN GROUP INC WLD COMMON 96924N100 280 96,285 x 3,475 0 92,810 YAMANA GOLD INC AUY COMMON 98462Y100 670 80,423 x 5,364 0 75,059 YELLOW PAGES INCOME F COMMON 985569102 537 57,370 x 900 0 56,470 100,965 -----END PRIVACY-ENHANCED MESSAGE-----