-----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, FQjUJxcSOjT78t5j/TigZOiHsHzcJF4PeS1ON+ONkKqxKHONj6AvLTQM37ezutQe tZ11bIzUoMFC3e5IJgQ1sw== 0000950159-09-001278.txt : 20090514 0000950159-09-001278.hdr.sgml : 20090514 20090514164153 ACCESSION NUMBER: 0000950159-09-001278 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090514 DATE AS OF CHANGE: 20090514 EFFECTIVENESS DATE: 20090514 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: 09827330 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: March 31, 2009 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 05/14/09 - ------------------- ------------- ------------ [Signature] [City, State] [Date] /s/ Ellen H. Adams New York, NY 05/14/09 - ------------------- -------------- ------------ [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 OF VALUE SHRS/ SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ----------------------------------------------------------- -------- -------------------------------------------------------------- AK STL HLDG CORP COM 001547108 3,041 427,079 SH SOLE N/A 427,079 APPLE INC COM 037833100 15,471 147,174 SH SOLE N/A 147,174 BANK OF AMERICA CORPORATION COM 060505104 2,799 410,478 SH SOLE N/A 410,478 BANK OF NEW YORK MELLON CORP COM 064058100 326 11,531 SH SOLE N/A 11,531 BEST BUY INC COM 086516101 8,871 233,699 SH SOLE N/A 233,699 BMC SOFTWARE INC COM 055921100 2,389 72,381 SH SOLE N/A 72,381 CA INC COM 12673P105 4,346 246,819 SH SOLE N/A 246,819 CISCO SYS INC COM NEW 17275R102 14,886 887,632 SH SOLE N/A 887,632 COOPER COS INC COM 216648402 8,045 304,289 SH SOLE N/A 304,289 CROWN CASTLE INTL CORP COM 228227104 12,060 590,880 SH SOLE N/A 590,880 CVS CAREMARK CORPORATION COM 126650100 5,504 200,233 SH SOLE N/A 200,233 DIRECTV GROUP INC COM 25459L106 12,709 557,644 SH SOLE N/A 557,644 ELECTRONIC ARTS INC COM 285512109 8,947 491,842 SH SOLE N/A 491,842 EQUINIX INC COM NEW 29444U502 8,685 154,679 SH SOLE N/A 154,679 FIDELITY NATL INFORMATION SV COM 31620M106 2,297 126,223 SH SOLE N/A 126,223 FOSTER WHEELER AG COM H27178104 6,147 351,887 SH SOLE N/A 351,887 GOODRICH CORP COM 382388106 13,534 357,202 SH SOLE N/A 357,202 GYMBOREE CORP COM 403777105 6,405 300,014 SH SOLE N/A 300,014 JPMORGAN CHASE & CO COM 46625H100 8,734 328,577 SH SOLE N/A 328,577 KB HOME COM 48666K109 5,793 439,509 SH SOLE N/A 439,509 KOHLS CORP COM 500255104 11,582 273,683 SH SOLE N/A 273,683 LOCKHEED MARTIN CORP COM 539830109 5,855 84,812 SH SOLE N/A 84,812 METROPCS COMMUNICATIONS INC COM 591708102 7,477 437,747 SH SOLE N/A 437,747 MICROSOFT CORP COM 594918104 11,720 637,982 SH SOLE N/A 637,982 MORGAN STANLEY COM NEW 617446448 8,301 364,544 SH SOLE N/A 364,544 OCCIDENTAL PETE CORP DEL COM 674599105 5,919 106,358 SH SOLE N/A 106,358 PETROHAWK ENERGY CORP COM 716495106 14,564 757,371 SH SOLE N/A 757,371 PHILLIPS VAN HEUSEN CORP COM 718592108 2,991 131,882 SH SOLE N/A 131,882 PROSHARES TR PSHS ULTSHT FINL 74347R628 2,258 23,000 SH SOLE N/A 23,000 QUALCOMM INC COM 747525103 9,939 255,432 SH SOLE N/A 255,432 SBA COMMUNICATIONS CORP COM 78388J106 59 2,553 SH SOLE N/A 2,553 SHERWIN WILLIAMS CO COM 824348106 2,229 42,896 SH SOLE N/A 42,896 UNITED STATES STL CORP NEW COM 912909108 2,059 97,427 SH SOLE N/A 97,427 URBAN OUTFITTERS INC COM 917047102 5,298 323,619 SH SOLE N/A 323,619 VISA INC COM CL A 92826C839 3,670 66,002 SH SOLE N/A 66,002 WARNACO GROUP INC COM NEW 934390402 8,530 355,412 SH SOLE N/A 355,412 36 253,439
FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 36 Form 13F Information Table Value Total: 253,439 (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-----