-----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, GOGZL59VsdhxkfqRc1KaQBDCrJ8RljozEcC9GiepYh3yXnPjhaz9JcQBDrXUBJIs H4Xnhmr43qijklElIgP00g== 0000950159-09-000574.txt : 20090217 0000950159-09-000574.hdr.sgml : 20090216 20090217141505 ACCESSION NUMBER: 0000950159-09-000574 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081231 FILED AS OF DATE: 20090217 DATE AS OF CHANGE: 20090217 EFFECTIVENESS DATE: 20090217 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CASTLEROCK ASSET MANAGEMENT INC CENTRAL INDEX KEY: 0001134576 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06185 FILM NUMBER: 09610192 BUSINESS ADDRESS: STREET 1: 101 PARK AVENUE 6TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10178 BUSINESS PHONE: 2128787654 MAIL ADDRESS: STREET 1: 101 PARK AVENUE 6TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10178 13F-HR 1 castlerock13fhr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 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: CastleRock Asset Management, Inc. Address: 101 Park Avenue, 23rd Floor New York, NY 10178 Form 13F File Number: 028-6185 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. Persons Signing this Report on Behalf of Reporting Manager: Name: Paul P. Tanico and Ellen H. Adams Title: Principals Phone: 212-251-3300 Signature, Place, and Date of Signing: /s/ Paul P. Tanico New York, NY 02/17/09 - ------------------- ------------- ------------ [Signature] [City, State] [Date] /s/ Ellen H. Adams New York, NY 02/17/09 - ------------------- -------------- ------------ [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 is reported in this report and a portion is reported by other reporting manager(s).)
TITLE VALUE SHRS/ SH/ PUT INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER OF CLASS CUSIP (X$1,000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ----------------------------------------------------------------------------------------------------------------------------------- APPLE INC COM 037833100 9,246 108,331 SH SOLE N/A 108,331 BANK OF NEW YORK MELLON CORP COM 064058100 258 9,114 SH SOLE N/A 9,114 BED BATH & BEYOND INC COM 075896100 8,313 327,021 SH SOLE N/A 327,021 CISCO SYS INC COM 17275R102 9,078 556,911 SH SOLE N/A 556,911 CROWN CASTLE INTL CORP COM 228227104 14,888 846,881 SH SOLE N/A 846,881 DIRECTV GROUP INC COM 25459L106 7,899 344,766 SH SOLE N/A 344,766 ELECTRONIC ARTS INC COM 285512109 7,754 483,437 SH SOLE N/A 483,437 EQUINIX INC COM NEW 29444U502 9,624 180,928 SH SOLE N/A 180,928 GOODRICH CORP COM 382388106 10,172 274,768 SH SOLE N/A 274,768 JPMORGAN & CHASE & CO COM 46625H100 5,044 159,980 SH SOLE N/A 159,980 KOHLS CORP COM 500255104 11,496 317,580 SH SOLE N/A 317,580 MASTERCARD INC CL A 57636Q104 5,181 36,251 SH SOLE N/A 36,251 METROPCS COMMUNICATIONS INC COM 591708102 6,389 430,263 SH SOLE N/A 430,263 MORGAN STANLEY COM NEW 617446448 7,884 491,520 SH SOLE N/A 491,520 NASDAQ OMX GROUP INC COM 631103108 8,389 339,487 SH SOLE N/A 339,487 PETROHAWK ENERGY CORP COM 716495106 10,077 644,743 SH SOLE N/A 644,743 PRECISION CASTPARTS CORP COM 740189105 5,320 89,439 SH SOLE N/A 89,439 PROSHARES TR PSHS ULTSH 20YRS 74347R297 2,569 68,099 SH SOLE N/A 68,099 QUALCOMM INC COM 747525103 10,628 296,615 SH SOLE N/A 296,615 SBA COMMUNICATIONS CORP COM 78388J106 48 2,963 SH SOLE N/A 2,963 SLM CORP COM 78442P106 15,747 1,769,283 SH SOLE N/A 1,769,283 VISA INC COM CL A 92826C839 2,566 48,930 SH SOLE N/A 48,930 WARNACO GROUP INC COM NEW 934390402 5,618 286,198 SH SOLE N/A 286,198 WELLS FARGO & CO NEW COM 949746101 9,616 326,192 SH SOLE N/A 326,192 24 183,804
FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 24 Form 13F Information Table Value Total: 183,804 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] NONE -----END PRIVACY-ENHANCED MESSAGE-----