-----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, OLnMKo2UIGM3hC/vyuVuS3IlDchPzQ3Wy12BKX6+SXygPFkdTKmoCav9JL62Npmr YVgxY2LjLRUamJFxbQ+cIQ== 0000950159-09-001820.txt : 20090813 0000950159-09-001820.hdr.sgml : 20090813 20090813165148 ACCESSION NUMBER: 0000950159-09-001820 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090813 DATE AS OF CHANGE: 20090813 EFFECTIVENESS DATE: 20090813 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: 091011081 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: June 30, 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 8/13/09 - ------------------- ------------- ------------ [Signature] [City, State] [Date] /s/ Ellen H. Adams New York, NY 8/13/09 - ------------------- -------------- ------------ [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 9,838 512,682 SH SOLE N/A 512,682 ANADARKO PETE CORP COM 032511107 4,520 99,575 SH SOLE N/A 99,575 APPLE INC COM 037833100 18,336 128,739 SH SOLE N/A 128,739 BANK OF AMERICA CORPORATION COM 060505104 21,903 1,659,344 SH SOLE N/A 1,659,344 BANK OF NEW YORK MELLON CORP COM 064058100 352 12,024 SH SOLE N/A 12,024 BEST BUY INC COM 086516101 8,175 244,114 SH SOLE N/A 244,114 CA INC COM 12673P105 5,650 324,130 SH SOLE N/A 324,130 CISCO SYS INC COM 17275R102 16,675 894,080 SH SOLE N/A 894,080 CROWN CASTLE INTL CORP COM 228227104 14,798 616,056 SH SOLE N/A 616,056 DIRECTV GROUP INC COM 25459L106 14,380 581,943 SH SOLE N/A 581,943 ELECTRONIC ARTS INC COM 285512109 11,152 513,449 SH SOLE N/A 513,449 EQUINIX INC COM NEW 29444U502 11,734 161,321 SH SOLE N/A 161,321 FIDELITY NATL INFORMATION SV COM 31620M106 10,068 504,415 SH SOLE N/A 504,415 GOODRICH CORP COM 382388106 15,406 308,308 SH SOLE N/A 308,308 GOODYEAR TIRE & RUBR CO COM 382550101 3,916 347,767 SH SOLE N/A 347,767 GYMBOREE CORP COM 403777105 10,199 287,467 SH SOLE N/A 287,467 HARTFORD FINL SVCS GROUP INC COM 416515104 3,518 296,350 SH SOLE N/A 296,350 JPMORGAN CHASE & CO COM 46625H100 11,712 343,366 SH SOLE N/A 343,366 KOHLS CORP COM 500255104 8,416 196,873 SH SOLE N/A 196,873 LIBERTY MEDIA CORP NEW ENT COM SER A 53071M500 12,581 471,198 SH SOLE N/A 471,198 LINCOLN NATL CORP IND COM 534187109 7,374 428,464 SH SOLE N/A 428,464 METLIFE INC COM 59156R108 22,694 756,227 SH SOLE N/A 756,227 METROPCS COMMUNICATIONS INC COM 591708102 7,251 544,809 SH SOLE N/A 544,809 MICROSOFT CORP COM 594918104 15,845 666,608 SH SOLE N/A 666,608 MORGAN STANLEY COM NEW 617446448 11,978 420,125 SH SOLE N/A 420,125 PETROHAWK ENERGY CORP COM 716495106 15,419 691,445 SH SOLE N/A 691,445 PHILLIPS VAN HEUSEN CORP COM 718592108 5,245 182,816 SH SOLE N/A 182,816 QUALCOMM INC COM 747525103 12,041 266,398 SH SOLE N/A 266,398 URBAN OUTFITTERS INC COM 917047102 8,217 393,328 SH SOLE N/A 393,328 VISA INC COM CL A 92826C839 4,287 68,861 SH SOLE N/A 68,861 WARNACO GROUP INC COM NEW 934390402 10,701 330,276 SH SOLE N/A 330,276 WELLS FARGO & CO NEW COM 949746101 9,239 380,852 SH SOLE N/A 380,852 32 343,623
FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 32 Form 13F Information Table Value Total: 343,623 (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-----