0001140361-11-049774.txt : 20111019 0001140361-11-049774.hdr.sgml : 20111019 20111018181545 ACCESSION NUMBER: 0001140361-11-049774 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111019 DATE AS OF CHANGE: 20111018 EFFECTIVENESS DATE: 20111019 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Family Capital Trust Co CENTRAL INDEX KEY: 0001123320 IRS NUMBER: 043581018 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06719 FILM NUMBER: 111146608 BUSINESS ADDRESS: STREET 1: 33 BROAD STREET CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 7818963656 MAIL ADDRESS: STREET 1: 33 BROAD STREET CITY: BOSTON STATE: MA ZIP: 002109 FORMER COMPANY: FORMER CONFORMED NAME: FAMILY CAPITAL TRUST CO., NA DATE OF NAME CHANGE: 20050211 FORMER COMPANY: FORMER CONFORMED NAME: FAMILY CAPITAL FIDUCIARY LLC DATE OF NAME CHANGE: 20000905 13F-HR 1 form13fhr.txt NONE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 9/30/2011 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: Family Capital Trust Company Address: 3 Centennial Drive Peabody, MA 01960 Form 13F File Number: 28-06719 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 submission. Persons Signing this Report on Behalf of Reporting Manager: Name: Carolyn B. Bergen Title: CCO Phone: 978-278-9305 Signature, Place, and Date of Signing: /s/ Carolyn B. Bergen Boston, MA 10/18/2011 --------------------------------- --------------------------------- ---------- [Signature] [City, State] [Date] 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).) List of Other Managers Reporting for this Manager: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 112 Form 13F Information Table Value Total: $ 138,241 -------------- (In Thousands) List of Other Included Managers: Provide a numbered list of the name(s) and 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------------------- -------------- --------- -------- ----------------- ---------- -------- ---------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ---- ------ ---- INVESCO LTD G491BT108 759 48940 SH SOLE 48390 0 0 550 NAVIOS MARITIME PARTNERS L P Y62267102 42 3131 SH SOLE 3131 0 0 0 ABBOTT LABS COM 002824100 2521 49297 SH SOLE 48892 0 0 405 ADOBE SYS INC COM 00724F101 27815 1151289 SH SOLE 1151289 0 0 0 AIR PRODUCTS & CHEMICALS INC COM 009158106 78 1020 SH SOLE 1020 0 0 0 ALTRIA GROUP INC COM 02209S103 135 5041 SH SOLE 5041 0 0 0 AMERICAN EXPRESS CO COM 025816109 826 18404 SH SOLE 18404 0 0 0 AMERIGAS PARTNERS LP 030975106 483 10971 SH SOLE 10971 0 0 0 ANADARKO PETE INC COM 032511107 171 2720 SH SOLE 2720 0 0 0 APPLE INCORPORATED COM 037833100 2066 5418 SH SOLE 5383 0 0 35 ARGAN, INC COM 04010E109 341 33480 SH SOLE 33480 0 0 0 AUTOMATIC DATA PROCESSING INC COM 053015103 457 9701 SH SOLE 9701 0 0 0 BP PRUDHOE BAY ROYALTY TRUST 055630107 409 3880 SH SOLE 3880 0 0 0 BANK OF AMERICA CORP COM 060505104 461 75300 SH SOLE 74200 0 0 1100 BANK OF AMER WARRANT 13.30 060505146 13 4940 SH SOLE 4940 0 0 0 BAXTER INTL INC 071813109 2037 36287 SH SOLE 35987 0 0 300 BERKSHIRE HATHAWAY INC COM 084670702 110 1550 SH SOLE 1550 0 0 0 BHP BILLITON LIMITED 088606108 105 1575 SH SOLE 1575 0 0 0 BLACKROCK MUNIVEST FUND 09253R105 46 4550 SH SOLE 4550 0 0 0 BRIDGELINE DIGITAL, INC COM 10807Q205 204 385385 SH SOLE 385385 0 0 0 BUCKEYE PARTNERS LP 118230101 14 220 SH SOLE 220 0 0 0 CPFL ENERGIA S A ADR 126153105 101 4558 SH SOLE 4558 0 0 0 CHEVRON CORP 166764100 94 1020 SH SOLE 1020 0 0 0 CITIGROUP INC COM 172967424 957 37356 SH SOLE 36926 0 0 430 COCA COLA CO COM 191216100 314 4655 SH SOLE 4655 0 0 0 COLGATE PALMOLIVE CO COM 194162103 19 210 SH SOLE 210 0 0 0 CONOCOPHILLIPS COM 20825C104 357 5640 SH SOLE 5640 0 0 0 CREE INC COM 225447101 172 6630 SH SOLE 6630 0 0 0 CUMMINS INC COM 231021106 1448 17737 SH SOLE 17697 0 0 40 DANAHER CORPORATION COM 235851102 887 21155 SH SOLE 21155 0 0 0 DISNEY (WALT) COMPANY COM 254687106 1241 41165 SH SOLE 40665 0 0 500 DOMINION RES INC VA NEW COM 25746U109 366 7210 SH SOLE 7210 0 0 0 DUKE ENERGY HLDG CORP COM 26441C105 21 1060 SH SOLE 1060 0 0 0 EBAY INC COM 278642103 1092 37030 SH SOLE 37030 0 0 0 EL PASO PIPELINE, LP 283702108 1430 40308 SH SOLE 39648 0 0 660 ENTERPRISE PRODUCTS LP 293792107 3896 97047 SH SOLE 96067 0 0 980 EXELON CORP COM 30161N101 549 12886 SH SOLE 12886 0 0 0 EXPEDITORS INTL OF WASH 302130109 1014 25007 SH SOLE 25007 0 0 0 EXXON MOBIL CORP COM 30231G102 2368 32609 SH SOLE 32229 0 0 380 FORD MOTOR CREDIT COMPANY COM 345370860 713 73702 SH SOLE 73702 0 0 0 GASTAR EXPLORATION LTD 367299203 2 800 SH SOLE 800 0 0 0 GENERAL ELEC CO COM 369604103 2501 164297 SH SOLE 163297 0 0 1000 GENERAL MLS INC COM 370334104 59 1540 SH SOLE 1540 0 0 0 GOLDCORP INC COM 380956409 144 3150 SH SOLE 3150 0 0 0 GOOGLE INC COM 38259P508 1882 3655 SH SOLE 3617 0 0 38 H J HEINZ CO COM 423074103 138 2725 SH SOLE 2725 0 0 0 HEWLETT PACKARD CO COM 428236103 61 2720 SH SOLE 2720 0 0 0 INERGY LP 456615103 99 3964 SH SOLE 3964 0 0 0 INTEL CORP COM 458140100 622 29158 SH SOLE 29158 0 0 0 INTERNATIONAL BUSINESS MACHINE COM 459200101 4816 27541 SH SOLE 27186 0 0 355 INTUITIVE SURGICAL INC COM 46120E602 481 1320 SH SOLE 1320 0 0 0 ISHARES MSCI SINGAPORE INDEX 464286673 114 10350 SH SOLE 10350 0 0 0 ISHARES S&P 500 INDEX FUND 464287200 84 735 SH SOLE 735 0 0 0 ISHARES EMERGING MKTS 464287234 58 1665 SH SOLE 1665 0 0 0 ISHARES S&P GLOBAL HEALTHCAR 464287325 105 2025 SH SOLE 2025 0 0 0 ISHARES LATIN AMERICA 464287390 52 1350 SH SOLE 1350 0 0 0 ISHARES BARCLAYS 1-3 YEAR TREASURY BOND 464287457 26734 316152 SH SOLE 316152 0 0 0 FUND ISHARES TRUST ETF 464287465 5 100 SH SOLE 100 0 0 0 ISHARES 1-3 YR CREDIT BOND FUND 464288646 729 7015 SH SOLE 7015 0 0 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------------------- -------------- --------- -------- ----------------- ---------- -------- ---------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ---- ------ ---- JPMORGAN CHASE & CO COM 46625H100 1885 62612 SH SOLE 62092 0 0 520 JP MORGAN ALERIAN MLP INDEX FUND 46625H365 9 275 SH SOLE 275 0 0 0 J P MORGAN WARRANTS 10282018 46634E114 16 1720 SH SOLE 1720 0 0 0 JOHNSON & JOHNSON COM 478160104 863 13552 SH SOLE 12892 0 0 660 JUNIPER NETWORKS 48203R104 488 28310 SH SOLE 28310 0 0 0 KINDERMORGAN ENERGY LP 494550106 103 1500 SH SOLE 1500 0 0 0 LILLY ELI & CO COM 532457108 118 3200 SH SOLE 3200 0 0 0 LINN ENERGY LLC 536020100 120 3380 SH SOLE 3380 0 0 0 LOCKHEED MARTIN CORP COM 539830109 198 2721 SH SOLE 2721 0 0 0 LORILLARD, INC COM 544147101 149 1350 SH SOLE 1350 0 0 0 MARKET VECTORS GOLD 57060U100 52 950 SH SOLE 950 0 0 0 MARKET VECTORS BRAZIL 57060U613 666 16991 SH SOLE 16841 0 0 150 MCDONALDS CORP COM 580135101 260 2958 SH SOLE 2958 0 0 0 MEDCO HEALTH SOLUTIONS 58405U102 229 4878 SH SOLE 4878 0 0 0 MERCK & CO NEW 58933Y105 1668 51012 SH SOLE 51012 0 0 0 METHANEX CORP COM 59151K108 2 100 SH SOLE 100 0 0 0 MICROCHIP TECH INC COM 595017104 131 4219 SH SOLE 4219 0 0 0 NEXTERA ENERGY INC COM 65339F101 261 4830 SH SOLE 4830 0 0 0 NOVO NORDISK ADR 670100205 1297 13032 SH SOLE 12857 0 0 175 NU SKIN ENTERPRISES 67018T105 36 900 SH SOLE 900 0 0 0 OCCIDENTAL PETROLEUM CORP COM 674599105 2084 29152 SH SOLE 29152 0 0 0 ORACLE CORP COM 68389X105 987 34348 SH SOLE 34048 0 0 300 PEPSICO INC COM 713448108 478 7725 SH SOLE 7725 0 0 0 PETROCHINA CO LTD 71646E100 87 725 SH SOLE 725 0 0 0 PFIZER INC COM 717081103 470 26610 SH SOLE 26610 0 0 0 POWERSHARES QQQQ TRUST 73935A104 528 10059 SH SOLE 10059 0 0 0 POWERSHARES INDIA 73935L100 253 13890 SH SOLE 13890 0 0 0 POWERSHARES DB USD FUND 73936D206 173 6360 SH SOLE 6360 0 0 0 PROCTER & GAMBLE CO COM 742718109 210 3320 SH SOLE 3320 0 0 0 QUALCOMM INC COM 747525103 1419 29181 SH SOLE 29181 0 0 0 QUICKSILVER RESOURCES 74837R104 1 100 SH SOLE 100 0 0 0 ROYAL DUTCH SHELL ADR 780259107 3335 53755 SH SOLE 53145 0 0 610 SPDR S & P DEPOSIT RCPTS 78462F103 1131 9995 SH SOLE 9995 0 0 0 SPDR GOLD TRUST 78463V107 6681 42268 SH SOLE 41993 0 0 275 SPDR INDEX SH S&P BRIC 40 78463X798 911 44657 SH SOLE 44657 0 0 0 SPDR S&P 500 DIV 78464A763 421 8670 SH SOLE 8670 0 0 0 SCHLUMBERGER LTD COM 806857108 1128 18883 SH SOLE 18883 0 0 0 SELECT SPDR ENERGY 81369Y506 399 6815 SH SOLE 6815 0 0 0 SOUTHERN CO 842587107 767 18096 SH SOLE 18096 0 0 0 SYSCO CORP COM 871829107 538 20770 SH SOLE 20770 0 0 0 TEVA PHARMACEUTICAL IND 881624209 1592 42763 SH SOLE 42388 0 0 375 3M CO COM 88579Y101 52 730 SH SOLE 730 0 0 0 ULTRA PETROLEUM 903914109 54 1939 SH SOLE 1939 0 0 0 UNITED TECHNOLOGIES CORP COM 913017109 1584 22512 SH SOLE 22512 0 0 0 VANGUARD CONSUMER STAPLES EFT 92204A207 95 1240 SH SOLE 1240 0 0 0 VENTAS INC 92276F100 74 1500 SH SOLE 1500 0 0 0 VERTEX PHARMACEUTICALS INC 92532F100 110 2480 SH SOLE 2480 0 0 0 VISA INC 92826C839 3081 35943 SH SOLE 35618 0 0 325 VODAFONE GROUP PLC ADR 92857W209 2725 106222 SH SOLE 105542 0 0 680 WAL MART STORES INC COM 931142103 12 232 SH SOLE 232 0 0 0 WESTERN GAS PARTNERS LP 958254104 1856 54969 SH SOLE 53939 0 0 1030 WILLIAMS CO INC 969457100 2 100 SH SOLE 100 0 0 0 WISDOM TREE EMERGING MKTS 97717W315 1634 34519 SH SOLE 34519 0 0 0