0001134687-13-000005.txt : 20131101 0001134687-13-000005.hdr.sgml : 20131101 20131101140905 ACCESSION NUMBER: 0001134687-13-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130930 FILED AS OF DATE: 20131101 DATE AS OF CHANGE: 20131101 EFFECTIVENESS DATE: 20131101 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PRENTISS SMITH & CO INC CENTRAL INDEX KEY: 0001134687 IRS NUMBER: 030292076 STATE OF INCORPORATION: VT FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06387 FILM NUMBER: 131185441 BUSINESS ADDRESS: STREET 1: 45 WALNUT STREET CITY: BRATTLEBORO STATE: VT ZIP: 05301 BUSINESS PHONE: 8022542913 MAIL ADDRESS: STREET 1: 45 WALNUT STREET CITY: BRATTLEBORO STATE: VT ZIP: 05301 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001134687 XXXXXXXX 09-30-2013 09-30-2013 PRENTISS SMITH & CO INC

45 WALNUT STREET BRATTLEBORO VT 05301

13F HOLDINGS REPORT 028-06387 N Karlie Borst 802-254-2913 Karlie Borst Brattleboro VT 11-01-2013 0 249 192792 false INFORMATION TABLE 2 sec13f0913.xml 3 D Systems Corp COMMON 88554D205 22 400 SH SOLE 400 0 0 A G L Resources Inc COMMON 001204106 49 1062 SH SOLE 1062 0 0 A T & T Corp. COMMON 00206R102 1698 50210 SH SOLE 50210 0 0 ABB AG ORD CHF COMMON 00256X991 56 2394 SH SOLE 2394 0 0 Abbott Labs COMMON 002824100 1095 33005 SH SOLE 33005 0 0 Abbvie Inc COMMON 00287Y109 2659 59446 SH SOLE 59446 0 0 Air Products & Chemica COMMON 009158106 112 1050 SH SOLE 1050 0 0 Allot Communications COMMON M0854Q105 1516 119829 SH SOLE 119829 0 0 Ameren Corp (Hldg Co) COMMON 023608102 42 1200 SH SOLE 1200 0 0 American Express COMMON 025816109 11 150 SH SOLE 150 0 0 American Intern'l Grou COMMON 026874107 5 100 SH SOLE 100 0 0 Amerisourcebergen Corp COMMON 03073E105 61 1000 SH SOLE 1000 0 0 Amgen Inc. COMMON 031162100 43 386 SH SOLE 386 0 0 Annaly Capital Mgmt COMMON 035710409 6 500 SH SOLE 500 0 0 Apache Corp COMMON 037411105 946 11110 SH SOLE 11110 0 0 Apple Computer COMMON 037833100 1163 2440 SH SOLE 2440 0 0 Automatic Data Process COMMON 053015103 479 6623 SH SOLE 6623 0 0 Avista Corporation COMMON 05379B107 3117 118083 SH SOLE 118083 0 0 Baidu Inc Adr COMMON 056752108 3 20 SH SOLE 20 0 0 Bank Montreal Quebec COMMON 063671101 1081 16180 SH SOLE 16180 0 0 Bank of America Corp COMMON 060505104 14 1000 SH SOLE 1000 0 0 Becton Dickinson COMMON 075887109 1357 13565 SH SOLE 13565 0 0 Berkshire Hathaway Cl COMMON 084670207 1059 9330 SH SOLE 9330 0 0 Best Buy Co COMMON 086516101 1 1 SH SOLE 1 0 0 BP Amoco Plc Adr COMMON 055622104 117 2780 SH SOLE 2780 0 0 Brady Corp Cl A COMMON 104674106 61 2000 SH SOLE 2000 0 0 Bristol-Myers Squibb COMMON 110122108 122 2634 SH SOLE 2634 0 0 Brookfield Infrastruct COMMON G16252101 42 1100 SH SOLE 1100 0 0 Canadian National Rail COMMON 136375102 71 700 SH SOLE 700 0 0 Canadian Natural Res COMMON 136385101 19 612 SH SOLE 612 0 0 Canon Inc Adr Japan COMMON 138006309 10 300 SH SOLE 300 0 0 Carefusion Corp COMMON 14170T101 28 767 SH SOLE 767 0 0 Carlsberg As Adr COMMON 142795202 2 85 SH SOLE 85 0 0 Ceco Environmental Cor COMMON 125141101 1 1019 SH SOLE 1019 0 0 Celgene Corp COMMON 151020104 1722 11174 SH SOLE 11174 0 0 Celldex Therapeutics I COMMON 15117B103 4 100 SH SOLE 100 0 0 Cerner Corp. COMMON 156782104 7642 145424 SH SOLE 145424 0 0 Chevrontexaco Corp COMMON 166764100 276 2275 SH SOLE 2275 0 0 Cigna Corp. COMMON 125509109 77 1000 SH SOLE 1000 0 0 Cisco Systems Inc. COMMON 17275R102 6965 297236 SH SOLE 297236 0 0 Citigroup COMMON 172967424 123 2532 SH SOLE 2532 0 0 Cliffs Natural Resourc COMMON 18683K101 21 1000 SH SOLE 1000 0 0 Coca Cola Company COMMON 191216100 357 9422 SH SOLE 9422 0 0 Colgate Palmolive COMMON 194162103 42 700 SH SOLE 700 0 0 Comcast CP New Cl A COMMON 20030N200 65 1500 SH SOLE 1500 0 0 Con Edison Inc COMMON 209115104 1679 30451 SH SOLE 30451 0 0 Conocophillips COMMON 20825C104 28 402 SH SOLE 402 0 0 Cons Freight "Bankrupt COMMON 209232107 1 750 SH SOLE 750 0 0 Corning Inc. COMMON 219350105 28 1920 SH SOLE 1920 0 0 Costco Wholesale COMMON 22160K105 3806 33044 SH SOLE 33044 0 0 CPFL Energia SA CPL COMMON 126153105 3 150 SH SOLE 150 0 0 Cree Inc COMMON 225447101 42 700 SH SOLE 700 0 0 Crystal Rock Holdings COMMON 22940F103 1 600 SH SOLE 600 0 0 Cullen Frost Bankers COMMON 229899109 2 28 SH SOLE 28 0 0 Cummins Inc COMMON 231021106 66 500 SH SOLE 500 0 0 CVS Caremark Corp COMMON 126650100 1411 24860 SH SOLE 24860 0 0 Daimler A G COMMON D1668R123 30 386 SH SOLE 386 0 0 Dana Holding Corporati COMMON 235825205 23 1000 SH SOLE 1000 0 0 Danaher Corp Del COMMON 235851102 10 150 SH SOLE 150 0 0 Deere & Co. COMMON 244199105 196 2410 SH SOLE 2410 0 0 Dendreon Corp COMMON 24823Q107 2 700 SH SOLE 700 0 0 Devon Energy Corp New COMMON 25179M103 70 1211 SH SOLE 1211 0 0 Diamond Foods Inc COMMON 252603105 21 900 SH SOLE 900 0 0 Du Pont De Nemours COMMON 263534109 191 3257 SH SOLE 3257 0 0 Duke Energy Corp COMMON 26441C105 79 1188 SH SOLE 1188 0 0 E M C Corp COMMON 268648102 3591 140490 SH SOLE 140490 0 0 Earthshell Corp COMMON 27032B209 1 141 SH SOLE 141 0 0 EBAY Inc COMMON 278642103 989 17720 SH SOLE 17720 0 0 El Paso Pipeline Ptnr COMMON 283702108 4 103 SH SOLE 103 0 0 Eli Lilly COMMON 532457108 151 3000 SH SOLE 3000 0 0 Encana Corp COMMON 292505104 226 13051 SH SOLE 13051 0 0 Energy Transfer Partne COMMON 29273R109 68 1300 SH SOLE 1300 0 0 Ennis Business Forms COMMON 293389102 43 2400 SH SOLE 2400 0 0 Enterprise Prods Partn COMMON 293792107 67 1100 SH SOLE 1100 0 0 Epiq Systems COMMON 26882D109 1096 83096 SH SOLE 83096 0 0 Etfs Physical Silver S COMMON 26922X107 1 47 SH SOLE 47 0 0 Express Scripts Hldgs COMMON 302182100 25 400 SH SOLE 400 0 0 Exxon Mobil Corporatio COMMON 30231G102 2084 24217 SH SOLE 24217 0 0 F E I Company COMMON 30241L109 18 200 SH SOLE 200 0 0 F5 Networks Inc COMMON 315616102 1097 12785 SH SOLE 12785 0 0 Facebook Inc Class A COMMON 30303M102 80 1600 SH SOLE 1600 0 0 Federal Mogul Corp COMMON 313549404 3 167 SH SOLE 167 0 0 Fifth Street Finance C COMMON 31678A103 31 3000 SH SOLE 3000 0 0 First Solar Inc COMMON 336433107 2 60 SH SOLE 60 0 0 Fiserv Inc. COMMON 337738108 214 2115 SH SOLE 2115 0 0 Flow International COMMON 343468104 11 2850 SH SOLE 2850 0 0 Ford Motor Company COMMON 345370860 1569 93028 SH SOLE 93028 0 0 Frontline Capital Grox COMMON 35921N101 1 1000 SH SOLE 1000 0 0 General Electric COMMON 369604103 1882 78766 SH SOLE 78766 0 0 General Mills COMMON 370334104 1155 24107 SH SOLE 24107 0 0 General Motors Corp. COMMON 370442105 36 1000 SH SOLE 1000 0 0 Genesis Energy Lp COMMON 371927104 85 1700 SH SOLE 1700 0 0 Genuine Parts COMMON 372460105 404 5000 SH SOLE 5000 0 0 Gilead Sciences Inc COMMON 375558103 16 250 SH SOLE 250 0 0 Glaxosmithkline Plc Ad COMMON 832378301 33 667 SH SOLE 667 0 0 Global PVQ COMMON D623R103 1 285 SH SOLE 285 0 0 Google Inc Class A COMMON 38259P508 1301 1485 SH SOLE 1485 0 0 Gorman Rupp Company COMMON 383082104 181 4516 SH SOLE 4516 0 0 Hatteras Financial Cor COMMON 41902R103 9 500 SH SOLE 500 0 0 HCA Holdings Inc COMMON 40412C101 43 1000 SH SOLE 1000 0 0 Heineken Hldg New Ord COMMON N39338194 109 1726 SH SOLE 1726 0 0 Hercules Tech Growth COMMON 427096508 46 3000 SH SOLE 3000 0 0 Hess Corporation COMMON 42809H107 17 225 SH SOLE 225 0 0 Hewlett-Packard Compan COMMON 428236103 23 1098 SH SOLE 1098 0 0 Honda Motor Co Ltd Adr COMMON 438128308 735 19276 SH SOLE 19276 0 0 Honeywell Inc. COMMON 438506107 7 85 SH SOLE 85 0 0 Hydrogenics Corp COMMON 448882100 8 631 SH SOLE 631 0 0 Hyster-Yale Mh Cl A COMMON 449172105 29 325 SH SOLE 325 0 0 Hyster-Yale Mh Cl B COMMON 449172998 29 325 SH SOLE 325 0 0 Id Systems Inc COMMON 449489103 1 100 SH SOLE 100 0 0 IDEX Corp. COMMON 45167R104 16 250 SH SOLE 250 0 0 Immunogen Inc. COMMON 45253H101 17 1000 SH SOLE 1000 0 0 Immunovaccine Inc COMMON 45254B103 1 360 SH SOLE 360 0 0 Intel Corp. COMMON 458140100 4391 191581 SH SOLE 191581 0 0 International Business COMMON 459200101 4060 21926 SH SOLE 21926 0 0 Intuit Inc. COMMON 461202103 1921 28975 SH SOLE 28975 0 0 Ishares Australian Ind COMMON 464286103 15 600 SH SOLE 600 0 0 IShares FTSE Xinhau HK COMMON 464287184 12 333 SH SOLE 333 0 0 Ishares Msci Brazil In COMMON 464286400 5 100 SH SOLE 100 0 0 Ishares Msci Korea Idx COMMON 464286772 62 1000 SH SOLE 1000 0 0 Ishares Tr Msci Eafe F COMMON 464287465 29 455 SH SOLE 455 0 0 Ishares Tr S&P Global COMMON 464287275 82 1280 SH SOLE 1280 0 0 Isis Pharmaceuticals COMMON 464330109 8 200 SH SOLE 200 0 0 Itron Inc New COMMON 465741106 30 695 SH SOLE 695 0 0 J.P. Morgan Chase & Co COMMON 46625H100 270 5228 SH SOLE 5228 0 0 Johnson & Johnson COMMON 478160104 6524 75253 SH SOLE 75253 0 0 Kadant Inc COMMON 48282T104 7 200 SH SOLE 200 0 0 Kellogg Co. COMMON 487836108 5 79 SH SOLE 79 0 0 Kyocera Ltd Adr COMMON 501556203 9513 89164 SH SOLE 89164 0 0 Lionbridge Tech Inc COMMON 536252109 4 1000 SH SOLE 1000 0 0 Lowe's Cos. COMMON 548661107 96 2020 SH SOLE 2020 0 0 Magellan Midstream Ptn COMMON 559080106 90 1600 SH SOLE 1600 0 0 Magnum Hunter Res COMMON 55973B300 32 700 SH SOLE 700 0 0 MannKind Corp COMMON 56400P201 20 3500 SH SOLE 3500 0 0 Market Vectors Etf TRU COMMON 57060U100 25 1000 SH SOLE 1000 0 0 Markwest Energy Ptnr L COMMON 570759100 181 2500 SH SOLE 2500 0 0 McDonald's Corp. COMMON 580135101 164 1700 SH SOLE 1700 0 0 Merchant's Bancshares COMMON 588448100 1282 44309 SH SOLE 44309 0 0 Merck & Co. COMMON 589331107 242 5091 SH SOLE 5091 0 0 Meridian Bioscience, I COMMON 589584101 9 400 SH SOLE 400 0 0 Metabolix, Inc. COMMON 591018809 1 650 SH SOLE 650 0 0 Metlife Inc COMMON 59156R108 5 100 SH SOLE 100 0 0 Microsoft Corp. COMMON 594918104 20 590 SH SOLE 590 0 0 Mondelez Intl Inc Cl A COMMON 609207105 5 167 SH SOLE 167 0 0 Mosaic Co New COMMON 61945C103 1 28 SH SOLE 28 0 0 Motorola Solutions Inc COMMON 620076307 32 540 SH SOLE 540 0 0 MTS Systems COMMON 553777103 173 2690 SH SOLE 2690 0 0 Nestle S A Reg B Adr COMMON 641069406 112 1615 SH SOLE 1615 0 0 Newcrest Mining Adr COMMON 651191108 1 122 SH SOLE 122 0 0 Newmont Mining Corp. COMMON 651639106 22 800 SH SOLE 800 0 0 Newpark Resources Inc COMMON 651718504 25 2000 SH SOLE 2000 0 0 Northeast Utilities COMMON 664397106 17 413 SH SOLE 413 0 0 Northwest Natural Gas COMMON 667655104 4 100 SH SOLE 100 0 0 Novartis A G Spon Adr COMMON 66987V109 11999 156421 SH SOLE 156421 0 0 Nustar Energy LP COMMON 67056H102 46 1150 SH SOLE 1150 0 0 Nuveen NY Div Adv Munu COMMON 67070A101 36 2820 SH SOLE 2820 0 0 Nvidia Corp COMMON 67066G104 5422 348444 SH SOLE 348444 0 0 Oneok Partners Lp COMMON 68268N103 80 1500 SH SOLE 1500 0 0 Oracle Systems Corp. COMMON 68389X105 1159 34941 SH SOLE 34941 0 0 Orange Adr COMMON 684060106 750 59970 SH SOLE 59970 0 0 Owens & Minor Inc. COMMON 690730106 117 3375 SH SOLE 3375 0 0 Pembina Pipeline Corp COMMON 706327103 10 297 SH SOLE 297 0 0 Pennantpark Invt Corp COMMON 708062104 15 1300 SH SOLE 1300 0 0 Pepsico Inc. COMMON 713448108 293 3686 SH SOLE 3686 0 0 Perkinelmer Inc COMMON 714046109 76 2000 SH SOLE 2000 0 0 Pfizer Inc. COMMON 717081103 609 21184 SH SOLE 21184 0 0 Piedmont Natural Gas COMMON 720186105 26 800 SH SOLE 800 0 0 Pimco Canada Bond Inde COMMON 72201R759 54 564 SH SOLE 564 0 0 Plains All Amern Ppln COMMON 726503105 7 140 SH SOLE 140 0 0 Plum Creek Timber L.P. COMMON 729237107 15 312 SH SOLE 312 0 0 PNC Financial Services COMMON 693475105 4800 66252 SH SOLE 66252 0 0 Portland General Elect COMMON 736508847 1284 45470 SH SOLE 45470 0 0 Posco Adr COMMON 693483109 5 70 SH SOLE 70 0 0 Potash Corp of Saskatc COMMON 73755L107 48 1533 SH SOLE 1533 0 0 Powershs DB Multi Sect COMMON 73936B507 3 100 SH SOLE 100 0 0 Powershs Exch Trad Fd COMMON 73935X575 2 100 SH SOLE 100 0 0 Powershs Exch Trad Fd COMMON 73935X500 8 1250 SH SOLE 1250 0 0 Powershs Global ETF Cl COMMON 73936T615 4 340 SH SOLE 340 0 0 PPL Corp Com COMMON 68351T106 36 1200 SH SOLE 1200 0 0 Procera Networks Inc N COMMON 74269U203 4 275 SH SOLE 275 0 0 Procter & Gamble COMMON 742718109 13391 177159 SH SOLE 177159 0 0 Progressive Corp Ohio COMMON 743315103 124 4560 SH SOLE 4560 0 0 Proshs Ultrashort Lehm COMMON 74347R297 1 6 SH SOLE 6 0 0 Prospect Capital Corp COMMON 74348T102 51 4600 SH SOLE 4600 0 0 Public Serv. Enterpris COMMON 744573106 72 2200 SH SOLE 2200 0 0 Qualcomm Inc COMMON 747525103 227 3370 SH SOLE 3370 0 0 Regency Energy Partner COMMON 75885Y107 57 2000 SH SOLE 2000 0 0 Republic First Bancorp COMMON 760416107 131 41110 SH SOLE 41110 0 0 Rio Tinto Plc COMMON 767204100 59 1200 SH SOLE 1200 0 0 Rite Aid Corp COMMON 767754104 20 4268 SH SOLE 4268 0 0 Riverbed Technology In COMMON 768573107 4 300 SH SOLE 300 0 0 Rowan Co. COMMON 779382100 5 140 SH SOLE 140 0 0 Royal Dutch Shell A Ad COMMON 780259206 243 3703 SH SOLE 3703 0 0 Royal Dutch Shell B Ad COMMON 780259107 48 700 SH SOLE 700 0 0 Sandridge Permian Trus COMMON 714265105 40 2850 SH SOLE 2850 0 0 Sapient Corporation COMMON 803062108 7934 508605 SH SOLE 508605 0 0 Savient Pharmaceutical COMMON 80517Q100 1 100 SH SOLE 100 0 0 Schlumberger Ltd. COMMON 806857108 133 1500 SH SOLE 1500 0 0 Senior Housing Pptys T COMMON 81721M109 12 500 SH SOLE 500 0 0 Silver Wheaton Corp COMMON 828336107 27 1100 SH SOLE 1100 0 0 Sma Solar Tech Ord COMMON D7008K108 60 1750 SH SOLE 1750 0 0 Smuckers, J.M. COMMON 832696207 383 3650 SH SOLE 3650 0 0 Solarworld COMMON D7045Y103 1 425 SH SOLE 425 0 0 Spectra Energy Corp COMMON 847560109 34 1000 SH SOLE 1000 0 0 Starbucks COMMON 855244109 38 500 SH SOLE 500 0 0 Starwood Htls & Resort COMMON 85590A401 19 279 SH SOLE 279 0 0 State Street Corp COMMON 857477103 11 167 SH SOLE 167 0 0 Statoil Asa Adr COMMON 85771P102 12 525 SH SOLE 525 0 0 Stillwater Mining Corp COMMON 86074Q102 11 1000 SH SOLE 1000 0 0 Stratasys Ltd COMMON M85548101 20 200 SH SOLE 200 0 0 Stryker Corp COMMON 863667101 1512 22365 SH SOLE 22365 0 0 Student Transportation COMMON 86388A108 31 5000 SH SOLE 5000 0 0 Suffolk Bancorp COMMON 864739107 25 1400 SH SOLE 1400 0 0 Suncor Energy Inc COMMON 867229106 14 384 SH SOLE 384 0 0 Sunopta Inc COMMON 8676EP108 73 7500 SH SOLE 7500 0 0 Superior Energy Servic COMMON 868157108 19 750 SH SOLE 750 0 0 Sysco Corp COMMON 871829107 82 2567 SH SOLE 2567 0 0 T J X Cos Inc COMMON 872540109 113 2000 SH SOLE 2000 0 0 Telefonica SA COMMON 879382208 6099 393981 SH SOLE 393981 0 0 Texas Instruments COMMON 882508104 2 40 SH SOLE 40 0 0 Total S A ADS COMMON 89151E109 35 600 SH SOLE 600 0 0 Tractor Supply Company COMMON 892356106 47 700 SH SOLE 700 0 0 Tronox Ltd Class A COMMON Q9235V101 17 700 SH SOLE 700 0 0 TrustCo Bank Corp COMMON 898349105 2 354 SH SOLE 354 0 0 U S Bancorp Del New COMMON 902973304 8709 238083 SH SOLE 238083 0 0 Ultralife Batteries In COMMON 903899102 3 700 SH SOLE 700 0 0 Unilever N.V. COMMON 904784501 48 1284 SH SOLE 1284 0 0 Unilever Plc Adr New COMMON 904767704 1541 39945 SH SOLE 39945 0 0 Union Pacific COMMON 907818108 221 1420 SH SOLE 1420 0 0 United Natural Foods COMMON 911163103 1192 17718 SH SOLE 17718 0 0 United Parcel Service COMMON 911312106 4 45 SH SOLE 45 0 0 United States Nat Gas COMMON 912318102 1 46 SH SOLE 46 0 0 Unitedhealth Group Inc COMMON 91324P102 30 415 SH SOLE 415 0 0 Vanguard European COMMON 922042874 12 226 SH SOLE 226 0 0 Vector Group Ltd COMMON 92240M108 37 2315 SH SOLE 2315 0 0 Verizon Communications COMMON 92343V104 89 1905 SH SOLE 1905 0 0 Vodafone Group PLC COMMON 92857W209 15191 431798 SH SOLE 431798 0 0 Vulcan Materials COMMON 929160109 65 1250 SH SOLE 1250 0 0 W P Carey & Co L L C COMMON 92930Y107 65 1000 SH SOLE 1000 0 0 Walgreen Co. COMMON 931422109 710 13200 SH SOLE 13200 0 0 Warren Resources Inc COMMON 93564A100 1 400 SH SOLE 400 0 0 Waters Corp COMMON 941848103 24 225 SH SOLE 225 0 0 Wells Fargo COMMON 949746101 10808 261572 SH SOLE 261572 0 0 WGL Holdings COMMON 92924F106 19 450 SH SOLE 450 0 0 Whole Foods Market Inc COMMON 966837106 29 500 SH SOLE 500 0 0 Williams Companies In COMMON 969457100 73 2000 SH SOLE 2000 0 0 Wisdomtree Emerging ET COMMON 97717X867 73 1544 SH SOLE 1544 0 0 WPX Energy Inc COMMON 98212B103 13 666 SH SOLE 666 0 0 Xerox Corp. COMMON 984121103 6582 639682 SH SOLE 639682 0 0