0001105907-11-000006.txt : 20110512 0001105907-11-000006.hdr.sgml : 20110512 20110512151850 ACCESSION NUMBER: 0001105907-11-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110512 DATE AS OF CHANGE: 20110512 EFFECTIVENESS DATE: 20110512 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: 11835519 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 r13f-03312011.txt MARCH 31, 2011 HOLDINGS SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: MARCH 31,2011 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 MAY 12, 2011 [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: 177 Form 13F Information Table Value Total: $ 191,304 (thousands) List of Other Included Managers: None DISCRETIONARY OWNERSHIP FOR 13F AS OF DATE: 3/31/2011 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 1,085 37,636 x 3,000 0 34,636 ACACIA RESH CORP ACTG COMMON 003881307 1,237 36,000 x 1,500 0 34,500 ACME UTD CORP ACU COMMON 004816104 1,410 145,990 x 2,000 0 143,990 ADEONA PHARMA COMMON 00685T108 23 13,399 x 6,899 0 6,500 ADVANTAGE OIL & GAS A COMMON 00765F101 932 103,910 x 0 0 103,910 ALLIANCE RESOURCES COMMON 01877R108 3,495 42,920 x 0 0 42,920 ASHFORD 8.45% D AHT-P PREFERR 044103406 858 35,175 x 0 0 35,175 ASTROTECH CORP ASTC COMMON 046484101 623 584,061 x 60,000 0 524,061 ASURE SOFTWARE INC AS COMMON 04649U102 82 31,200 x 5,500 0 25,700 ATLAS ENERGY COMMON 04930A104 754 33,747 x 0 0 33,747 ATLAS PIPELINE COMMON 049392103 2,043 59,210 x 0 0 59,210 AUTOMATED BENEFITS CO COMMON 05280P104 19 75,000 x 0 0 75,000 BAJA MINING CORP BAJ. COMMON 05709R103 1,050 972,450 x 60,000 0 912,450 BALCHEM CORP BCPC COMMON 057665200 3,578 95,356 x 5,062 0 90,294 BERKSHIRE HATHAWAY BR COMMON 084670702 1,220 14,584 x 0 0 14,584 BOSTON BEER INC SAM COMMON 100557107 434 4,690 x 0 0 4,690 BOWL AMER INC BWL COMMON 102565108 578 46,190 x 0 0 46,190 BRIDGELINE SOFTWARE B COMMON 10807Q205 305 276,899 x 20,000 0 256,899 CAPITAL LEASING FDG L REAL ES 140288101 233 42,535 x 0 0 42,535 CARRIAGE SVCS 7.00% C PREFERR 14444T309 1,619 47,625 x 0 0 47,625 CARRIAGE SVCS INC CSV COMMON 143905107 1,216 220,650 x 3,000 0 217,650 CASUAL MALE RETAIL GR COMMON 148711302 526 107,050 x 15,000 0 92,050 CEDAR FAIR COMMON 150185106 981 51,070 x 0 0 51,070 CE FRANKLIN LTD CFK COMMON 125151100 401 40,735 x 0 0 40,735 CELADON GROUP INC CGI COMMON 150838100 493 30,359 x 2,000 0 28,359 CGX ENERGY INC OYL.V COMMON 125405100 732 644,000 x 30,000 0 614,000 COGDELL SPENCER INC C REAL ES 19238U107 370 62,295 x 0 0 62,295 CONSTELLATION ENERGY COMMON 21038E101 66 29,530 x 0 0 29,530 COMMONWEALTH REIT CWH REAL ES 203233101 1,490 57,365 x 0 0 57,365 COMMONWEALTH REIT PFD PREFERR 203233309 262 10,490 x 0 0 10,490 CORPORATE OFF PPTYS T REAL ES 22002T108 861 23,830 x 0 0 23,830 CRIMSON EXPLORATION C COMMON 22662K207 801 196,400 x 10,000 0 186,400 CUMBERLAND PHARMACEUT COMMON 230770109 408 73,850 x 0 0 73,850 CURRENCYSHS JAPAN YEN MUTUAL 23130A102 440 3,708 x 0 0 3,708 DAKTRONICS DAKT COMMON 234264109 1,620 150,670 x 9,700 0 140,970 DEER CONSUMER PRODS D COMMON 24379J200 472 65,080 x 2,000 0 63,080 PS AGRI LG ETN AGF MUTUAL 25154H533 713 33,150 x 0 0 33,150 DHX MEDIA LTD DHX.T COMMON 252406103 554 599,300 x 40,000 0 559,300 DORCHESTER MINERALS COMMON 25820R105 2,667 91,220 x 0 0 91,220 DOUBLE EAGLE 9.25% A PREFERR 258570407 1,121 42,965 x 0 0 42,965 DYNAVOX INC DVOX COMMON 26817F104 673 121,875 x 4,000 0 117,875 ENERGYCONNECT GROUP E COMMON 292748100 202 942,366 x 59,000 0 883,366 ENSIGN GROUP INC ENSG COMMON 29358P101 2,199 68,870 x 5,625 0 63,245 ENVIROSTAR INC EVI COMMON 29414M100 431 314,800 x 30,000 0 284,800 EVOLUTION PETROLEUM E COMMON 30049A107 3,758 481,775 x 30,400 0 451,375 EXCEL MARITIME CARRIE COMMON V3267N107 197 45,916 x 4,500 0 41,416 FID/CLAY MLP FMO COMMON 31647Q106 339 4,940 x 0 0 4,940 FID/CLAY PFD FFC PREFERR 338478100 685 40,080 x 0 0 40,080 FIRST MAJESTIC SILVER COMMON 32076V103 3,911 184,575 x 13,650 0 170,925 FIRST POTOMAC RLTY TR REAL ES 33610F109 674 42,765 x 0 0 42,765 FLEXIBLE SOLUTIONS FS COMMON 33938T104 683 461,475 x 10,000 0 451,475 GENERAL FINANCE CORP COMMON 369822101 695 205,724 x 4,000 0 201,724 GLACIER WATER 9.06% A PREFERR 376398202 649 26,050 x 0 0 26,050 GLADSTONE COML CORP G REAL ES 376536108 1,268 69,544 x 0 0 69,544 GLOBAL AIRCRAFT SOL G COMMON 378964100 0 55,650 x 0 0 55,650 GMX BONDS 18.75 4.50% CONVERT 38011MAJ7 659 796,000 x 0 0 796,000 GMX BONDS 32.50 5.00% CONVERT 38011MAB4 402 420,000 x 0 0 420,000 GMX RES INC 9.25% B G PREFERR 38011M405 472 19,650 x 0 0 19,650 GOLDCORP INC NEW GG COMMON 380956409 2,563 51,458 x 4,300 0 47,158 GRACE ACQUI 8.75% WGC PREFERR 982568206 18 27,080 x 0 0 27,080 GRAMERCY 8.125%A GKK- PREFERR 384871307 519 24,735 x 0 0 24,735 GRAN TIERRA ENERGY IN COMMON 38500T101 409 50,628 x 0 0 50,628 GSE SYS INC GVP COMMON 36227K106 358 158,390 x 14,000 0 144,390 H & Q LIFE SCIENCES H MUTUAL 404053100 661 54,989 x 0 0 54,989 HAIN CELESTIAL GROUP COMMON 405217100 838 25,961 x 2,000 0 23,961 HALLADOR ENERGY HNRG COMMON 40609P105 2,246 193,640 x 4,000 0 189,640 HAMPSHIRE GROUP LTD H COMMON 408859106 236 64,655 x 3,000 0 61,655 HARD CREEK NICKEL COR COMMON 411637101 114 246,450 x 0 0 246,450 HARVARD BIOSCIENCE HB COMMON 416906105 2,009 353,675 x 6,000 0 347,675 HEALTH CARE REIT INC REAL ES 42217K106 1,810 34,523 x 0 0 34,523 HEARX LTD EAR COMMON 422360305 219 430,250 x 30,000 0 400,250 HENRY JACK & ASSOC JK COMMON 426281101 636 18,770 x 0 0 18,770 HUDSON TECHNOLOGIES I COMMON 444144109 1,153 591,200 x 20,000 0 571,200 ICON PUB LTD CO ICLR COMMON 45103T107 298 13,800 x 0 0 13,800 IDEX CORP IEX COMMON 45167R104 893 20,467 x 0 0 20,467 II-VI INC IIVI COMMON 902104108 6,076 122,137 x 3,900 0 118,237 IMAGE SENSING SYS INC COMMON 45244C104 1,152 83,870 x 4,000 0 79,870 INDIA FD INC IFN FOREIGN 454089103 373 11,330 x 0 0 11,330 INTERNATIONAL COAL GR COMMON 45928H106 2,262 200,155 x 9,000 0 191,155 INTEST CORP INTT COMMON 461147100 1,231 334,635 x 10,000 0 324,635 INTL COAL 6.10 9.00% CONVERT 45928HAD8 1,278 710,000 x 0 0 710,000 INVENTURE FOODS INC S COMMON 461212102 90 23,500 x 0 0 23,500 ISHARES SILVER TRUST MUTUAL 46428Q109 1,267 34,465 x 0 0 34,465 ITERIS INC ITI COMMON 46564T107 21 14,600 x 0 0 14,600 J ALEXANDER CORP JAX COMMON 466096104 635 103,237 x 10,000 0 93,237 JAGUAR MNG INC JAG COMMON 47009M103 542 103,925 x 3,125 0 100,800 KAYNE ANDERSON MLP KY MUTUAL 486606106 1,099 33,635 x 0 0 33,635 KENSEY NASH CORP KNSY COMMON 490057106 940 37,745 x 2,000 0 35,745 KIMCO PFD H 7.90% H K PREFERR 49446R828 886 35,600 x 0 0 35,600 KMG CHEMICALS INC KMG COMMON 482564101 2,461 125,185 x 5,000 0 120,185 KRATOS DEFENSE & SEC COMMON 50077B207 1,476 103,768 x 4,275 0 99,493 LASALLE HOTEL PPTY LH REAL ES 517942108 252 9,350 x 0 0 9,350 LAYNE CHRISTENSEN CO COMMON 521050104 726 21,050 x 2,100 0 18,950 LEXINGTON CORP 8.05% PREFERR 529043200 708 28,265 x 0 0 28,265 LEXINGTON PPTYS LXP REAL ES 529043101 446 47,752 x 0 0 47,752 LIME ENERGY CO LIME COMMON 53261U205 935 192,717 x 7,142 0 185,575 LINN ENERGY LLC LINE COMMON 536020100 437 11,235 x 0 0 11,235 LUMINA COPPER LCC.V COMMON 55025N104 3,297 460,850 x 30,000 0 430,850 MAC-GRAY CORP TUC COMMON 554153106 925 57,345 x 5,000 0 52,345 MAGNUM HUN RE 10.25% PREFERR 55973B201 913 35,670 x 0 0 35,670 MAGNUM HUNTER MHR COMMON 55973B102 175 20,400 x 0 0 20,400 MARTEN TRANS LTD MRTN COMMON 573075108 833 37,375 x 0 0 37,375 MARTIN MIDSTREAM COMMON 573331105 1,620 40,472 x 0 0 40,472 MEDICAL PPTYS TRUST I REAL ES 58463J304 1,199 103,595 x 0 0 103,595 MEDICIS PHARMACEUTICA COMMON 584690309 1,185 36,990 x 0 0 36,990 MILLER INDS INC TENN COMMON 600551204 1,037 63,885 x 0 0 63,885 MOCON INC MOCO COMMON 607494101 1,547 108,587 x 5,000 0 103,587 MONMOUTH REAL ESTATE REAL ES 609720107 1,320 160,725 x 0 0 160,725 MPG OFFICE 7.625% MPG PREFERR 553274200 473 27,420 x 0 0 27,420 MTS SYS CORP MTSC COMMON 553777103 1,015 22,275 x 2,500 0 19,775 MV GOLD STX ETF GDX MUTUAL 57060U100 651 10,825 x 0 0 10,825 MV JR GOLD MINERS GDXJ MUTUAL 57060U589 951 24,260 x 0 0 24,260 NATURAL RES PTNRS COMMON 63900P103 1,262 35,980 x 0 0 35,980 NCI INC NCIT COMMON 62886K104 1,471 60,355 x 3,000 0 57,355 NEOGENOMICS INC NGNM COMMON 64049M209 867 632,750 x 50,000 0 582,750 NEOSTEM INC NBS COMMON 640650305 96 55,625 x 4,000 0 51,625 NEWMONT MNG CORP NEM COMMON 651639106 516 9,450 x 1,600 0 7,850 NGAS RESOURCES INC NG COMMON 62912T103 236 342,100 x 0 0 342,100 NGP CAP RES CO NGPC MUTUAL 62912R107 245 25,425 x 0 0 25,425 NORTHERN OIL & GAS NO COMMON 665531109 2,364 88,550 x 3,000 0 85,550 OMEGA NAVIGATION CL A COMMON Y6476R105 47 47,455 x 0 0 47,455 OPHTHALMIC IMAGING SY COMMON 683737209 577 712,150 x 50,000 0 662,150 PARAMOUNT GOLD & SILV COMMON 69924P102 1,568 404,200 x 20,000 0 384,200 PETMED EXPRESS INC PE COMMON 716382106 1,113 70,205 x 3,000 0 67,205 PICO HLDGS INC PICO COMMON 693366205 2,523 83,942 x 5,000 0 78,942 POWERSHS DB AG DBA MUTUAL 73936B408 858 25,054 x 0 0 25,054 POWERSHS SMCAP UTIL COMMON 73937B837 1,375 48,040 x 0 0 48,040 PRIVATEBANC 10.00% A PREFERR 74272L208 1,025 39,030 x 0 0 39,030 PSIVIDA CORP PSDV COMMON 74440J101 370 94,409 x 20,000 0 74,409 PURE TECHNOLOGIES LTD COMMON 745915108 1,483 302,425 x 20,000 0 282,425 PURECYCLE CORP PCYO COMMON 746228303 397 102,000 x 0 0 102,000 QUAKER CHEM CORP KWR COMMON 747316107 1,580 39,325 x 2,000 0 37,325 QUALSTAR CORP QBAK COMMON 74758R109 476 266,110 x 10,000 0 256,110 RAND LOGISTICS CORP R COMMON 752182105 812 111,081 x 16,000 0 95,081 RCM TECHNOLOGIES INC COMMON 749360400 563 110,677 x 10,000 0 100,677 ROYCE MICRO TRUST COMMON 780915104 2,224 217,169 x 0 0 217,169 ROBBINS & MYERS INC R COMMON 770196103 323 7,030 x 1,788 0 5,242 ROYAL GOLD INC RGLD COMMON 780287108 1,182 22,550 x 1,500 0 21,050 SPDR GOLD TRUST COMMON 78463V107 243 1,740 x 0 0 1,740 SAN JUAN ROYALTY COMMON 798241105 2,378 86,305 x 0 0 86,305 SAUL CENTERS 8.00% A PREFERR 804095200 729 28,825 x 0 0 28,825 SCIENTIFIC LEARNING S COMMON 808760102 400 128,850 x 6,000 0 122,850 SEABRIDGE GOLD INC SA COMMON 811916105 3,108 97,670 x 4,000 0 93,670 SEASPAN CORP SSW COMMON Y75638109 1,335 68,635 x 3,000 0 65,635 SENIOR HSG PPTYS SNH REAL ES 81721M109 218 9,475 x 0 0 9,475 SILVER WHEATON CORP S COMMON 828336107 3,577 82,489 x 1,850 0 80,639 SMARTPROS LTD SPRO COMMON 83171G103 518 228,200 x 5,000 0 223,200 SPARTON CORP SPA COMMON 847235108 1,150 147,975 x 5,000 0 142,975 STANDARD PARKING CORP COMMON 853790103 1,491 83,925 x 2,500 0 81,425 STAR BUFFET INC STRZ COMMON 855086104 133 86,560 x 9,500 0 77,060 STERICYCLE INC SRCL COMMON 858912108 4,994 56,320 x 3,200 0 53,120 STORM CAT ENERGY CORP COMMON 862168101 0 207,450 x 0 0 207,450 STRATEGIC HOTEL8.25% PREFERR 86272T502 982 36,730 x 0 0 36,730 SUNOPTA INC STKL COMMON 8676EP108 1,376 185,165 x 10,000 0 175,165 SYNOVIS LIFE TECH SYN COMMON 87162G105 2,202 114,945 x 4,000 0 110,945 TARGA RESOURCES COMMON 87611X105 1,997 57,590 x 0 0 57,590 TEAM INC TISI COMMON 878155100 2,797 106,530 x 6,000 0 100,530 TORTOISE ENERGY TYG MUTUAL 89147L100 744 18,511 x 0 0 18,511 TORTOISE CAP RES TTO MUTUAL 89147N304 1,723 196,420 x 4,000 0 192,420 TORTOISE MLP FD NTG MUTUAL 89148B101 2,782 105,787 x 0 0 105,787 TRIANGLE PETROLEUM TP COMMON 89600B201 1,773 213,660 x 9,283 0 204,377 TSAKOS ENERGY NAVIGAT COMMON G9108L108 167 15,235 x 0 0 15,235 TYLER TECHNOLOGIES TY COMMON 902252105 2,359 99,500 x 3,000 0 96,500 U M H PROPERTIES UMH REAL ES 903002103 460 46,300 x 0 0 46,300 U S PHYSICAL THERAPY COMMON 90337L108 1,582 70,808 x 2,580 0 68,228 UROPLASTY INC UPI COMMON 917277204 2,083 315,181 x 15,000 0 300,181 US NATL GAS UNG MUTUAL 912318102 323 28,108 x 0 0 28,108 VANGUARD NAT RES COMMON 92205F106 1,807 56,850 x 0 0 56,850 VASCO DATA SEC INTL I COMMON 92230Y104 161 11,760 x 2,500 0 9,260 WAVE SYSTEMS CORP WAV COMMON 943526301 1,160 370,625 x 20,000 0 350,625 WCA WASTE CORP WCAA COMMON 92926K103 694 115,600 x 7,000 0 108,600 WESCORP ENERGY INC WS COMMON 95083L103 89 805,200 x 100,000 0 705,200 WESDOME GOLD MINES WD COMMON 95083R100 1,338 474,850 x 15,600 0 459,250 WILLDAN GROUP INC WLD COMMON 96924N100 1,325 328,760 x 10,000 0 318,760 WORLDWIDE ENERGY WEMU COMMON 98158R104 833 266,175 x 0 0 266,175 YAMANA GOLD INC AUY COMMON 98462Y100 1,062 86,297 x 4,470 0 81,827 YELLOW MEDIA INC YLO. COMMON 985521103 569 99,570 x 0 0 99,570 191,304