-----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, GcwwCc85NzzKgpatiX9Et4gF1Dh+XAemV2WrpIxaMyxRnFNbwKHes2hgdrCgPYte JExB3JPPPNhT74jZwsIRtA== 0000950159-11-000108.txt : 20110214 0000950159-11-000108.hdr.sgml : 20110214 20110214133810 ACCESSION NUMBER: 0000950159-11-000108 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110214 DATE AS OF CHANGE: 20110214 EFFECTIVENESS DATE: 20110214 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: 11604798 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 castlerock13f.txt CASTLEROCK FORM 13F-HR 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, 2010 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 2/14/11 - ------------------ ------------ ------------ [Signature] [City, State] [Date] /s/ Ellen H. Adams New York, NY 2/14/11 - ------------------ ------------ ------------ [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).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 55 Form 13F Information Table Value Total: 829,217 (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
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 - ---------------------------- ----------------------- ------- --------- -------- ---------- -------- ---------- ------ ------ ALCOA INC COM 013817101 9,859 640,588 SH SOLE N/A 640,588 APPLE INC COM 037833100 27,721 85,940 SH SOLE N/A 85,940 AVIS BUDGET GROUP COM 053774105 11,384 731,641 SH SOLE N/A 731,641 BANK OF NEW YORK MELLON CORP COM 064058100 405 13,424 SH SOLE N/A 13,424 BOEING CO COM 097023105 12,059 184,786 SH SOLE N/A 184,786 CALIX INC COM 13100M509 10,545 623,989 SH SOLE N/A 623,989 CAPITALSOURCE INC COM 14055X102 13,409 1,888,651 SH SOLE N/A 1,888,651 CHEMTURA CORP COM NEW 163893209 9,802 613,408 SH SOLE N/A 613,408 CIT GROUP INC COM NEW 125581801 20,185 428,552 SH SOLE N/A 428,552 CITIGROUP INC COM 172967101 32,652 6,903,241 SH SOLE N/A 6,903,241 CLOUD PEAK ENERGY INC COM 18911Q102 581 25,000 SH SOLE N/A 25,000 COMERICA INC COM 200340107 6,503 153,950 SH SOLE N/A 153,950 CROWN CASTLE INTL CORP COM 228227104 6,016 137,259 SH SOLE N/A 137,259 DANA HLDG CORP COM 235825205 34,474 2,003,118 SH SOLE N/A 2,003,118 EDWARDS LIFESCIENCES CORP COM 28176E108 17,369 214,862 SH SOLE N/A 214,862 EQUINIX INC COM NEW 29444U502 8,931 109,902 SH SOLE N/A 109,902 FINISAR CORP COM NEW 31787A507 30,950 1,042,439 SH SOLE N/A 1,042,439 FORD MTR CO DEL COM PAR $0.01 345370860 9,223 549,290 SH SOLE N/A 549,290 GENERAL MTRS CO COM 37045V100 3,734 101,296 SH SOLE N/A 101,296 HALLIBURTON CO COM 406216101 30,118 737,649 SH SOLE N/A 737,649 HERTZ GLOBAL HOLDINGS INC COM 42805T105 20,930 1,444,421 SH SOLE N/A 1,444,421 HEXCEL CORP NEW COM 428291108 6,679 369,191 SH SOLE N/A 369,191 HUMAN GENOME SCIENCES INC COM 444903108 17,990 753,021 SH SOLE N/A 753,021 INCYTE CORP COM 45337C102 12,509 755,402 SH SOLE N/A 755,402 INTEROIL CORP COM 460951106 17,454 242,182 SH SOLE N/A 242,182 KANSAS CITY SOUTHERN COM NEW 485170302 14,742 308,014 SH SOLE N/A 308,014 LAM RESEARCH CORP COM 512807108 15,625 301,762 SH SOLE N/A 301,762 LAS VEGAS SANDS CORP COM 517834107 8,392 182,632 SH SOLE N/A 182,632 LAZARD LTD SHS A G54050102 13,132 332,532 SH SOLE N/A 332,532 LEAR CORP COM NEW 521865204 16,142 163,531 SH SOLE N/A 163,531 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 8,604 463,854 SH SOLE N/A 463,854 MASSEY ENERGY COMPANY COM 576206106 16,735 311,926 SH SOLE N/A 311,926 MICRON TECHNOLOGY INC COM 595112103 6,471 806,836 SH SOLE N/A 806,836 MORGAN STANLEY COM NEW 617446448 13,958 512,985 SH SOLE N/A 512,985 NOVELLUS SYS INC COM 670008101 18,407 569,520 SH SOLE N/A 569,520 OCLARO INC COM NEW 67555N206 8,159 620,448 SH SOLE N/A 620,448 ONYX PHARMACEUTICALS INC COM 683399109 23,238 630,280 SH SOLE N/A 630,280 PETROHAWK ENERGY CORP COM 716495106 4,240 232,327 SH SOLE N/A 232,327 PLAINS EXPL & PRODTN CO COM 726505100 16,573 515,655 SH SOLE N/A 515,655 PRECISION CASTPARTS CORP COM 740189105 12,307 88,406 SH SOLE N/A 88,406 SALIX PHARMACEUTICALS INC COM 795435106 20,565 437,936 SH SOLE N/A 437,936 SAVIENT PHARMACEUTICALS INC COM 80517Q100 8,921 800,848 SH SOLE N/A 800,848 SEAGATE TECHNOLOGY PLC SHS G7945M107 26,863 1,787,322 SH SOLE N/A 1,787,322 STERLING FINL CORP WASH COM NEW 859319303 16,579 873,946 SH SOLE N/A 873,946 TEXAS INSTRS INC COM 882508104 9,551 293,889 SH SOLE N/A 293,889 TIFFANY & CO NEW COM 886547108 8,335 133,849 SH SOLE N/A 133,849 TRANSATLANTIC PETROLEUM LTD SHS G89982105 5,437 1,632,771 SH SOLE N/A 1,632,771 TRANSOCEAN LTD REG SHS H8817H100 26,929 387,408 SH SOLE N/A 387,408 UNION PAC CORP COM 907818108 14,043 151,557 SH SOLE N/A 151,557 UNITED PARCEL SERVICE INC CL B 911312106 14,176 195,311 SH SOLE N/A 195,311 URBAN OUTFITTERS INC COM 917047102 10,506 293,376 SH SOLE N/A 293,376 WALTER ENERGY INC COM 93317Q105 21,638 169,258 SH SOLE N/A 169,258 WARNER CHILCOTT PLC IRELAND SHS A G94368100 29,214 1,294,967 SH SOLE N/A 1,294,967 WEATHERFORD INTERNATIONAL LT REG H27013103 31,072 1,362,823 SH SOLE N/A 1,362,823 WILLIAMS COS INC DEL COM 969457100 17,179 694,959 SH SOLE N/A 694,959 55 829,217
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