-----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, VzIdPUJ2NPYvH531ze7i67DRQq56ZhWH2kVDYNyWo/VZeDZTnj225PFs5y5hl/m7 TxGEpiVkEb8bX1SLLsF+gw== 0001105907-10-000012.txt : 20101112 0001105907-10-000012.hdr.sgml : 20101111 20101112153828 ACCESSION NUMBER: 0001105907-10-000012 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101112 DATE AS OF CHANGE: 20101112 EFFECTIVENESS DATE: 20101112 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: 101186214 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 r13f09302010.txt SEPTEMBER 30, 2010 HOLDINGS SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: SEPTEMBER 30, 2010 Check here if Amendment [ ]; Amendment Number: 1 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 12, 2010 [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: 179 Form 13F Information Table Value Total: $ 151,681 (thousands) List of Other Included Managers: None DISCRETIONARY OWNERSHIP FOR 13F AS OF DATE: 09/30/2010 VOTING VOTING VOTING 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 860 37,236 x 3,800 0 33,436 ACACIA RESH CORP ACTG COMMON 003881307 677 38,485 x 2,000 0 36,485 ADEONA PHARMA COMMON 00685T108 10 13,399 x 6,899 0 6,500 ADVANTAGE OIL & GAS A COMMON 00765F101 651 103,160 x 1,200 0 101,960 AERO GROW INTL AERO COMMON 00768M103 5 61,019 x 20,369 0 40,650 ALLIANCE RESOURCES COMMON 01877R108 2,664 45,660 x 400 0 45,260 APPLIED SIGNAL TECH A COMMON 038237103 1,323 53,185 x 2,100 0 51,085 ASHFORD 8.45% D AHT-P PREFERR 044103406 802 35,375 x 0 0 35,375 ASTROTECH CORP ASTC COMMON 046484101 687 567,811 x 73,000 0 494,811 ASURE SOFTWARE INC AS COMMON 04649U102 66 25,325 x 5,500 0 19,825 ATLAS ENERGY ATLS COMMON 049298102 2,518 87,932 x 6,100 0 81,832 ATLAS PIPELINE COMMON 049392103 1,020 58,135 x 0 0 58,135 BAJA MINING CORP BAJ. COMMON 05709R103 966 952,950 x 68,000 0 884,950 BALCHEM CORP BCPC COMMON 057665200 3,113 100,886 x 6,662 0 94,224 IPATH NATGAS ETN GAZ MUTUAL 06739H644 323 39,240 x 1,000 0 38,240 BERKSHIRE HATHAWAY BR COMMON 084670702 1,072 12,968 x 0 0 12,968 BOSTON BEER INC SAM COMMON 100557107 314 4,690 x 0 0 4,690 BOWL AMER INC BWL COMMON 102565108 515 41,190 x 0 0 41,190 BRIDGELINE SOFTWARE B COMMON 10807Q205 282 235,349 x 10,000 0 225,349 CAPITAL LEASING FDG L REAL ES 140288101 243 43,535 x 0 0 43,535 CARRIAGE SVCS 7.00% C PREFERR 14444T309 1,560 47,625 x 300 0 47,325 CARRIAGE SVCS INC CSV COMMON 143905107 372 74,345 x 4,000 0 70,345 CASUAL MALE RETAIL GR COMMON 148711302 390 95,650 x 15,000 0 80,650 CEDAR FAIR COMMON 150185106 659 49,720 x 500 0 49,220 CE FRANKLIN LTD CFK COMMON 125151100 260 38,810 x 0 0 38,810 CELADON GROUP INC CGI COMMON 150838100 350 25,319 x 2,000 0 23,319 CGX ENERGY INC CGXEF COMMON 125405100 465 644,000 x 30,000 0 614,000 COGDELL SPENCER INC C REAL ES 19238U107 412 65,120 x 700 0 64,420 CONSTELLATION ENERGY COMMON 21038E101 138 48,055 x 1,500 0 46,555 COMMONWEALTH REIT CWH REAL ES 203233101 1,473 57,526 x 500 0 57,026 COMMONWEALTH REIT PFD PREFERR 203233309 259 10,490 x 0 0 10,490 CORPORATE OFF PPTYS T REAL ES 22002T108 848 22,740 x 400 0 22,340 CRIMSON EXPLORATION C COMMON 22662K207 592 207,850 x 11,000 0 196,850 CUMBERLAND PHARMACEUT COMMON 230770109 391 67,230 x 600 0 66,630 CURRENCYSHS JAPAN YEN MUTUAL 23130A102 460 3,878 x 50 0 3,828 DAKTRONICS DAKT COMMON 234264109 1,438 146,420 x 11,300 0 135,120 DEER CONSUMER PRODS D COMMON 24379J200 579 60,205 x 3,200 0 57,005 PS AGRI LG ETN AGF MUTUAL 25154H533 545 31,825 x 800 0 31,025 DHX MEDIA LTD DHX.T COMMON 252406103 543 580,300 x 40,000 0 540,300 DORCHESTER MINERALS COMMON 25820R105 2,427 90,270 x 1,000 0 89,270 DOUBLE EAGLE 9.25% A PREFERR 258570407 1,057 41,765 x 400 0 41,365 DYNAMEX INC DDMX COMMON 26784F103 897 58,810 x 2,100 0 56,710 DYNAVOX INC DVOX COMMON 26817F104 279 34,405 x 1,500 0 32,905 ENERGYCONNECT GROUP E COMMON 292748100 155 942,366 x 59,000 0 883,366 ENSIGN GROUP INC ENSG COMMON 29358P101 1,193 66,450 x 6,225 0 60,225 ENVIROSTAR INC EVI COMMON 29414M100 311 288,050 x 37,000 0 251,050 EVOLUTION PETROLEUM E COMMON 30049A107 2,907 483,775 x 34,400 0 449,375 EXCEL MARITIME CARRIE COMMON V3267N107 328 58,445 x 4,976 0 53,469 FID/CLAY MLP FMO COMMON 31647Q106 282 14,579 x 0 0 14,579 FID/CLAY PFD FFC PREFERR 338478100 533 31,580 x 0 0 31,580 FIRST MAJESTIC SILVER COMMON 32076V103 1,504 218,600 x 9,100 0 209,500 FIRST POTOMAC RLTY TR REAL ES 33610F109 599 39,965 x 0 0 39,965 FLEXIBLE SOLUTIONS FS COMMON 33938T104 582 450,975 x 14,000 0 436,975 GENERAL FINANCE CORP COMMON 369822101 264 202,974 x 6,000 0 196,974 GLACIER WATER 9.06% A PREFERR 376398202 578 24,950 x 0 0 24,950 GLADSTONE COML CORP G REAL ES 376536108 1,144 66,669 x 600 0 66,069 GLOBAL AIRCRAFT SOL G COMMON 378964100 0 55,650 x 0 0 55,650 GMX BONDS 18.75 4.50% CONVERT 38011MAJ7 509 796,000 x 0 0 796,000 GMX BONDS 32.50 5.00% CONVERT 38011MAB4 560 700,000 x 0 0 700,000 GMX RES INC 9.25% B G PREFERR 38011M405 429 18,650 x 0 0 18,650 GOLDCORP INC NEW GG COMMON 380956409 2,261 51,943 x 4,300 0 47,643 GRACE ACQUI 8.75% WGC PREFERR 982568206 1 27,080 x 0 0 27,080 GRAMERCY 8.125%A GKK- PREFERR 384871307 324 24,735 x 0 0 24,735 GRAN TIERRA ENERGY IN COMMON 38500T101 399 51,728 x 0 0 51,728 GSE SYS INC GVP COMMON 36227K106 455 135,790 x 5,000 0 130,790 H & Q LIFE SCIENCES H MUTUAL 404053100 531 55,319 x 580 0 54,739 HAIN CELESTIAL GROUP COMMON 405217100 602 25,111 x 2,300 0 22,811 HALLADOR ENERGY COMPA COMMON 40609P105 1,256 107,996 x 0 0 107,996 HAMPSHIRE GROUP LTD H COMMON 408859106 231 60,055 x 4,600 0 55,455 HARD CREEK NICKEL COR COMMON 411637101 90 294,450 x 0 0 294,450 HEALTH CARE REIT INC REAL ES 42217K106 1,634 34,523 x 540 0 33,983 HEARX LTD EAR COMMON 422360305 378 444,750 x 35,000 0 409,750 HENRY JACK & ASSOC JK COMMON 426281101 496 19,470 x 0 0 19,470 HUDSON TECHNOLOGIES I COMMON 444144109 973 579,200 x 23,000 0 556,200 ICON PUB LTD CO ICLR COMMON 45103T107 298 13,800 x 0 0 13,800 IDEX CORP IEX COMMON 45167R104 748 21,067 x 800 0 20,267 II-VI INC IIVI COMMON 902104108 4,656 124,737 x 5,500 0 119,237 IMAGE SENSING SYS INC COMMON 45244C104 882 78,725 x 4,700 0 74,025 INDIA FD INC IFN FOREIGN 454089103 413 11,350 x 0 0 11,350 INTERNATIONAL COAL GR COMMON 45928H106 1,095 205,855 x 11,000 0 194,855 INTL COAL 6.10 9.00% CONVERT 45928HAD8 792 720,000 x 0 0 720,000 ISHARES SILVER TRUST MUTUAL 46428Q109 682 31,990 x 0 0 31,990 INVENTURE FOODS INC S COMMON 461212102 83 21,900 x 0 0 21,900 ITERIS INC ITI COMMON 46564T107 21 14,600 x 2,400 0 12,200 J ALEXANDER CORP JAX COMMON 466096104 388 94,112 x 10,000 0 84,112 JAGUAR MNG INC JAG COMMON 47009M103 651 100,125 x 4,525 0 95,600 KAYNE ANDERSON MLP KY MUTUAL 486606106 870 33,185 x 0 0 33,185 KENSEY NASH CORP KNSY COMMON 490057106 1,020 35,320 x 2,400 0 32,920 KIMCO PFD H 7.90% H K PREFERR 49446R828 885 35,800 x 800 0 35,000 KMG CHEMICALS INC KMG COMMON 482564101 1,730 122,785 x 6,500 0 116,285 KRATOS DEFENSE & SEC COMMON 50077B207 723 67,865 x 4,123 0 63,742 LASALLE HOTEL PPTY LH REAL ES 517942108 206 8,800 x 0 0 8,800 LAYNE CHRISTENSEN CO COMMON 521050104 511 19,750 x 2,100 0 17,650 LEXINGTON CORP 8.05% PREFERR 529043200 672 26,665 x 0 0 26,665 LEXINGTON PPTYS LXP REAL ES 529043101 347 48,433 x 782 0 47,651 LIME ENERGY CO LIME COMMON 53261U205 702 195,681 x 8,570 0 187,111 LINN ENERGY LLC LINE COMMON 536020100 335 10,475 x 0 0 10,475 LUMINA COPPER LCC.V COMMON 55025N104 1,051 472,800 x 44,000 0 428,800 MAC-GRAY CORP TUC COMMON 554153106 660 54,420 x 5,000 0 49,420 MAGNUM HUN RE 10.25% PREFERR 55973B201 897 35,870 x 0 0 35,870 MAGNUM HUNTER MHR COMMON 55973B102 84 20,400 x 0 0 20,400 MARTEN TRANS LTD MRTN COMMON 573075108 876 37,775 x 0 0 37,775 MARTIN MIDSTREAM COMMON 573331105 1,299 39,772 x 400 0 39,372 MEDICAL PPTYS TRUST I REAL ES 58463J304 1,017 100,345 x 1,500 0 98,845 MEDICIS PHARMACEUTICA COMMON 584690309 1,040 35,070 x 700 0 34,370 MILLER INDS INC TENN COMMON 600551204 856 63,260 x 1,000 0 62,260 MOCON INC MOCO COMMON 607494101 1,319 105,437 x 6,000 0 99,437 MONMOUTH REAL ESTATE REAL ES 609720107 1,198 153,225 x 1,000 0 152,225 MPG OFFICE 7.625% MPG PREFERR 553274200 295 27,770 x 0 0 27,770 MTS SYS CORP MTSC COMMON 553777103 691 22,275 x 2,850 0 19,425 MV GOLD STX ETF GDX MUTUAL 57060U100 640 11,450 x 0 0 11,450 MV JR GOLD MINERS GDXJ MUTUAL 57060U589 1,406 42,095 x 400 0 41,695 NATURAL RES PTNRS COMMON 63900P103 966 36,080 x 0 0 36,080 NCI INC NCIT COMMON 62886K104 1,137 60,105 x 3,700 0 56,405 NEOGENOMICS INC NGNM COMMON 64049M209 662 607,200 x 55,000 0 552,200 NEOSTEM INC NBS COMMON 640650305 101 49,625 x 4,000 0 45,625 NEWMONT MNG CORP NEM COMMON 651639106 619 9,850 x 1,600 0 8,250 NGAS RESOURCES INC NG COMMON 62912T103 398 468,150 x 31,500 0 436,650 NGP CAP RES CO NGPC MUTUAL 62912R107 312 34,400 x 0 0 34,400 NORTHERN OIL & GAS NO COMMON 665531109 1,553 91,675 x 4,600 0 87,075 OMEGA NAVIGATION CL A COMMON Y6476R105 89 74,755 x 1,800 0 72,955 OPHTHALMIC IMAGING SY COMMON 683737209 332 663,550 x 53,000 0 610,550 PACIFIC OFFICE PPTY P REAL ES 694714106 751 153,019 x 2,000 0 151,019 PARAMOUNT GOLD & SILV COMMON 69924P102 603 394,050 x 26,000 0 368,050 PATRICK INDS INC PATK COMMON 703343103 81 37,991 x 0 0 37,991 PETMED EXPRESS INC PE COMMON 716382106 1,100 62,880 x 3,800 0 59,080 PICO HLDGS INC PICO COMMON 693366205 2,375 79,537 x 5,500 0 74,037 POWERSHS DB AG DBA MUTUAL 73936B408 691 25,145 x 0 0 25,145 POWERSHS SMCAP UTIL COMMON 73937B837 1,214 45,520 x 800 0 44,720 PRIVATEBANC 10.00% A PREFERR 74272L208 995 38,130 x 500 0 37,630 PROSHARES RUSS2000 2X COMMON 74347R842 531 16,720 x 0 0 16,720 PSIVIDA CORP PSDV COMMON 74440J101 407 93,009 x 20,000 0 73,009 PURE TECHNOLOGIES LTD COMMON 745915108 1,204 295,550 x 24,000 0 271,550 QUAKER CHEM CORP KWR COMMON 747316107 1,313 40,325 x 2,400 0 37,925 QUALSTAR CORP QBAK COMMON 74758R109 454 266,885 x 13,000 0 253,885 RAND LOGISTICS CORP R COMMON 752182105 553 111,689 x 18,592 0 93,097 RCM TECHNOLOGIES INC COMMON 749360400 548 108,885 x 12,000 0 96,885 ROYCE MICRO TRUST COMMON 780915104 1,638 198,034 x 0 0 198,034 ROYAL GOLD INC RGLD COMMON 780287108 1,129 22,650 x 1,900 0 20,750 SPDR GOLD TRUST COMMON 78463V107 224 1,748 x 0 0 1,748 SAN JUAN COMMON 798241105 2,055 83,150 x 800 0 82,350 SAUL CENTERS 8.00% A PREFERR 804095200 711 27,925 x 0 0 27,925 SCIENTIFIC LEARNING S COMMON 808760102 588 124,900 x 8,000 0 116,900 SEABRIDGE GOLD INC SA COMMON 811916105 2,907 101,370 x 5,200 0 96,170 SEASPAN CORP SSW COMMON Y75638109 856 69,360 x 3,500 0 65,860 SILVER WHEATON CORP S COMMON 828336107 2,914 109,355 x 5,860 0 103,495 SMARTPROS LTD SPRO COMMON 83171G103 510 212,325 x 7,000 0 205,325 SPACEHAB 15.0 5.50% 1 CONVERT 846243AD5 1,827 1,845,000 x 12,000 0 1,833,000 SPARTON CORP SPA COMMON 847235108 872 143,225 x 6,400 0 136,825 STANDARD PARKING CORP COMMON 853790103 1,341 78,400 x 3,300 0 75,100 STAR BUFFET INC STRZ COMMON 855086104 198 129,685 x 12,000 0 117,685 STERICYCLE INC SRCL COMMON 858912108 4,096 58,950 x 4,400 0 54,550 STORM CAT ENERGY CORP COMMON 862168101 0 207,450 x 0 0 207,450 STRATEGIC HOTEL8.25% PREFERR 86272T502 832 36,730 x 400 0 36,330 SUNOPTA INC STKL COMMON 8676EP108 1,115 183,115 x 11,400 0 171,715 SYNOVIS LIFE TECH SYN COMMON 87162G105 1,672 111,820 x 5,000 0 106,820 T-3 ENERGY SVCS TTES COMMON 87306E107 214 8,200 x 2,000 0 6,200 TARGA RESOURCES COMMON 87611X105 1,584 57,015 x 1,000 0 56,015 TEAM INC TISI COMMON 878155100 1,814 105,380 x 6,000 0 99,380 TEVA PHARMACEUTICALS COMMON 881624209 209 3,960 x 0 0 3,960 TORTOISE ENERGY TYG MUTUAL 89147L100 634 18,511 x 600 0 17,911 TORTOISE CAP RES TTO MUTUAL 89147N304 1,025 183,045 x 4,000 0 179,045 TSAKOS ENERGY NAVIGAT COMMON G9108L108 146 10,985 x 0 0 10,985 TYLER TECHNOLOGIES TY COMMON 902252105 2,027 100,550 x 4,500 0 96,050 U M H PROPERTIES UMH REAL ES 903002103 460 42,800 x 0 0 42,800 U S PHYSICAL THERAPY COMMON 90337L108 978 58,498 x 2,780 0 55,718 UROPLASTY INC UPI COMMON 917277204 1,495 314,781 x 19,000 0 295,781 US NATL GAS UNG MUTUAL 912318102 360 58,315 x 0 0 58,315 VANGUARD NAT RES COMMON 92205F106 1,413 55,500 x 600 0 54,900 VASCO DATA SEC INTL I COMMON 92230Y104 55 8,510 x 0 0 8,510 WAVE SYSTEMS CORP WAV COMMON 943526301 911 406,625 x 25,000 0 381,625 WCA WASTE CORP WCAA COMMON 92926K103 559 116,550 x 9,400 0 107,150 WESCORP ENERGY INC WS COMMON 95083L103 130 858,200 x 106,000 0 752,200 WESDOME GOLD MINES WD COMMON 95083R100 1,181 450,500 x 15,600 0 434,900 WESTPORT INNOVATIONS COMMON 960908309 1,519 86,300 x 4,200 0 82,100 WILLDAN GROUP INC WLD COMMON 96924N100 461 135,560 x 11,200 0 124,360 WORLDWIDE ENERGY WEMU COMMON 98158R104 455 116,875 x 1,400 0 115,475 YAMANA GOLD INC AUY COMMON 98462Y100 1,000 87,760 x 5,364 0 82,396 YELLOW PAGES INCOME F COMMON 985569102 519 96,045 x 900 0 95,145 151,681 -----END PRIVACY-ENHANCED MESSAGE-----