0000950159-11-000518.txt : 20110812 0000950159-11-000518.hdr.sgml : 20110812 20110812104549 ACCESSION NUMBER: 0000950159-11-000518 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 FILED AS OF DATE: 20110812 DATE AS OF CHANGE: 20110812 EFFECTIVENESS DATE: 20110812 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: 111029682 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: June 30, 2011 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 8/12/11 ------------------ ------------ ------------ [Signature] [City, State] [Date] /s/ Ellen H. Adams New York, NY 8/12/11 ------------------ ------------ ------------ [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: 51 Form 13F Information Table Value Total: 956,605 (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 ------------------------------------------------------------ --------------------------------------- ---------- ------ ---- ALTERA CORP COM 021441100 21,805 470,446 SH SOLE N/A 470,446 AMAZON COM INC COM 023135106 15,467 75,639 SH SOLE N/A 75,639 ANADARKO PETE CORP COM 032511107 18,709 243,732 SH SOLE N/A 243,732 APPLE INC COM 037833100 20,953 62,420 SH SOLE N/A 62,420 AUTOLIV INC COM 052800109 14,358 183,027 SH SOLE N/A 183,027 AVIS BUDGET GROUP COM 053774105 13,445 786,696 SH SOLE N/A 786,696 BAKER HUGHES INC COM 057224107 21,622 297,990 SH SOLE N/A 297,990 BOEING CO COM 097023105 20,699 279,975 SH SOLE N/A 279,975 CALIX INC COM 13100M509 13,543 650,479 SH SOLE N/A 650,479 CBS CORP NEW CL B 124857202 48,003 1,684,920 SH SOLE N/A 1,684,920 CHEMTURA CORP COM NEW 163893209 8,897 488,829 SH SOLE N/A 488,829 CHILDRENS PL RETAIL STORES I COM 168905107 8,319 186,997 SH SOLE N/A 186,997 CIENA CORP COM NEW 171779309 12,446 677,170 SH SOLE N/A 677,170 CLIFFS NATURAL RESOURCES INC COM 18683K101 7,566 81,839 SH SOLE N/A 81,839 COMMERCIAL METALS CO COM 201723103 9,704 676,250 SH SOLE N/A 676,250 CYTEC INDS INC COM 232820100 38,022 664,845 SH SOLE N/A 664,845 DANA HLDG CORP COM 235825205 35,310 1,929,497 SH SOLE N/A 1,929,497 DISNEY WALT CO COM DISNEY 254687106 6,943 177,839 SH SOLE N/A 177,839 EDWARDS LIFESCIENCES CORP COM 28176E108 22,654 259,857 SH SOLE N/A 259,857 FINISAR CORP COM NEW 31787A507 12,760 707,731 SH SOLE N/A 707,731 FOSSIL INC COM 349882100 8,167 69,374 SH SOLE N/A 69,374 GAYLORD ENTMT CO NEW COM 367905106 3,372 112,398 SH SOLE N/A 112,398 GOODYEAR TIRE & RUBR CO COM 382550101 22,761 1,357,270 SH SOLE N/A 1,357,270 HALLIBURTON CO COM 406216101 23,643 463,579 SH SOLE N/A 463,579 HERTZ GLOBAL HOLDINGS INC COM 42805T105 31,794 2,002,120 SH SOLE N/A 2,002,120 HUMAN GENOME SCIENCES INC COM 444903108 21,089 859,389 SH SOLE N/A 859,389 IMPERIAL HLDGS INC COM 452834104 7,670 754,890 SH SOLE N/A 754,890 INCYTE CORP COM 45337C102 20,894 1,103,161 SH SOLE N/A 1,103,161 INTL PAPER CO COM 460146103 14,265 478,386 SH SOLE N/A 478,386 KINDRED HEALTHCARE INC COM 494580103 5,071 236,194 SH SOLE N/A 236,194 KOSMOS ENERGY LTD SHS G5315B107 9,915 583,945 SH SOLE N/A 583,945 LAS VEGAS SANDS CORP COM 517834107 29,055 688,348 SH SOLE N/A 688,348 LAZARD LTD SHS A G54050102 17,998 485,131 SH SOLE N/A 485,131 LEAR CORP COM NEW 521865204 30,887 577,551 SH SOLE N/A 577,551 MARATHON OIL CORP COM 565849106 49,371 937,188 SH SOLE N/A 937,188 MERITOR INC COM 59001K100 13,244 825,665 SH SOLE N/A 825,665 METLIFE INC COM 59156R108 30,124 686,673 SH SOLE N/A 686,673 MGM RESORTS INTERNATIONAL COM 552953101 18,778 1,421,514 SH SOLE N/A 1,421,514 NATIONAL OILWELL VARCO INC COM 637071101 12,585 160,916 SH SOLE N/A 160,916 ONYX PHARMACEUTICALS INC COM 683399109 24,744 700,973 SH SOLE N/A 700,973 PFIZER INC COM 717081103 6,724 326,423 SH SOLE N/A 326,423 PRECISION CASTPARTS CORP COM 740189105 11,614 70,536 SH SOLE N/A 70,536 QUALCOMM INC COM 747525103 17,142 301,841 SH SOLE N/A 301,841 SEAGATE TECHNOLOGY PLC SHS G7945M107 31,232 1,932,655 SH SOLE N/A 1,932,655 STARWOOD HOTELS&RESORTS WRLD COM 85590A401 32,372 577,651 SH SOLE N/A 577,651 THORATEC CORP COM NEW 885175307 14,710 448,196 SH SOLE N/A 448,196 TRANSATLANTIC PETROLEUM LTD SHS G89982105 7,419 4,364,389 SH SOLE N/A 4,364,389 UNION PAC CORP COM 907818108 16,560 158,624 SH SOLE N/A 158,624 UNITED CONTL HLDGS INC COM 910047109 20,010 884,215 SH SOLE N/A 884,215 UNITED PARCEL SERVICE INC CL B 911312106 11,364 155,814 SH SOLE N/A 155,814 WEATHERFORD INTERNATIONAL LT REG SHS H27013103 20,803 1,109,510 SH SOLE N/A 1,109,510 51 956,605