-----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, E+3A/JD//nI6lJsc6/VrenJ1J/ziJ81cfll5jRhDUeoLYl2SebBgXcMRs2+z/NIC X11Hg+/lTQSzvny1NWdLYw== 0000950159-09-002038.txt : 20091112 0000950159-09-002038.hdr.sgml : 20091111 20091112102442 ACCESSION NUMBER: 0000950159-09-002038 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091112 DATE AS OF CHANGE: 20091112 EFFECTIVENESS DATE: 20091112 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: 091174938 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: September 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 11/12/09 - ------------------- ------------- ------------ [Signature] [City, State] [Date] /s/ Ellen H. Adams New York, NY 11/12/09 - ------------------- -------------- ------------ [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 - ------------------------------------------------------------------------------------------------------------------------------------ AMR CORP COM 001765106 7,157 900,195 SH SOLE N/A 900,195 APPLE INC COM 037833100 23,654 127,618 SH SOLE N/A 127,618 BANK OF AMERICA CORPORATION COM 060505104 27,819 1,644,134 SH SOLE N/A 1,644,134 BANK OF NEW YORK MELLON CORP COM 064058100 345 11,917 SH SOLE N/A 11,917 CA INC COM 12673P105 16,118 732,967 SH SOLE N/A 732,967 CISCO SYS INC COM 17275R102 20,872 886,670 SH SOLE N/A 886,670 CITIGROUP INC COM 172967101 5,378 1,111,106 SH SOLE N/A 1,111,106 CROWN CASTLE INTL CORP COM 228227104 13,999 446,386 SH SOLE N/A 446,386 DIRECTV GROUP INC COM 25459L106 15,910 576,883 SH SOLE N/A 576,883 DOMTAR CORP COM NEW 257559203 6,226 176,767 SH SOLE N/A 176,767 EQUINIX INC COM NEW 29444U502 23,015 250,163 SH SOLE N/A 250,163 FIDELITY NATL INFORMATION SV COM 31620M106 12,737 499,286 SH SOLE N/A 499,286 GAP INC DEL COM 364760108 7,153 334,264 SH SOLE N/A 334,264 GOODRICH CORP COM 382388106 11,971 220,298 SH SOLE N/A 220,298 GOODYEAR TIRE & RUBR CO COM 382550101 6,157 361,539 SH SOLE N/A 361,539 GYMBOREE CORP COM 403777105 11,539 238,506 SH SOLE N/A 238,506 INTEL CORP COM 458140100 12,079 617,212 SH SOLE N/A 617,212 INTL PAPER CO COM 460146103 7,693 346,084 SH SOLE N/A 346,084 INTEROIL CORP COM 460951106 8,361 212,861 SH SOLE N/A 212,861 JPMORGAN CHASE & CO COM 46625H100 14,914 340,337 SH SOLE N/A 340,337 KOHLS CORP COM 500255104 10,939 191,750 SH SOLE N/A 191,750 LIBERTY MEDIA CORP NEW ENT COM SER A 53071M500 14,545 467,527 SH SOLE N/A 467,527 LINCOLN NATL CORP IND COM 534187109 11,008 424,871 SH SOLE N/A 424,871 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 1,245 76,901 SH SOLE N/A 76,901 METLIFE INC COM 59156R108 23,036 605,104 SH SOLE N/A 605,104 MICROSOFT CORP COM 594918104 13,373 519,961 SH SOLE N/A 519,961 MORGAN STANLEY COM NEW 617446448 14,189 459,476 SH SOLE N/A 459,476 PETROHAWK ENERGY CORP COM 716495106 22,436 926,711 SH SOLE N/A 926,711 PHILLIPS VAN HEUSEN CORP COM 718592108 7,003 163,649 SH SOLE N/A 163,649 PRECISION CASTPARTS CORP COM 740189105 5,300 52,027 SH SOLE N/A 52,027 QUALCOMM INC COM 747525103 13,091 291,050 SH SOLE N/A 291,050 SPIRIT AEROSYSTEMS HLDGS INC COM CL A 848574109 2,382 131,884 SH SOLE N/A 131,884 SYNIVERSE HLDGS INC COM 87163F106 12,674 724,223 SH SOLE N/A 724,223 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 9,371 835,920 SH SOLE N/A 835,920 URBAN OUTFITTERS INC COM 917047102 12,974 430,026 SH SOLE N/A 430,026 VISA INC COM CL A 92826C839 4,717 68,254 SH SOLE N/A 68,254 WARNACO GROUP INC COM NEW 934390402 11,718 267,170 SH SOLE N/A 267,170 WARNER CHILCOTT PLC IRELAND SHS A G94368100 5,209 240,946 SH SOLE N/A 240,946 WARNER MUSIC GROUP CORP COM 934550104 1,484 268,413 SH SOLE N/A 268,413 WELLS FARGO & CO NEW COM 949746101 11,983 425,241 SH SOLE N/A 425,241 YAHOO INC COM 984332106 33,930 1,905,101 SH SOLE N/A 1,905,101 41 495,704
FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 41 Form 13F Information Table Value Total: 495,704 (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-----