0001141781-11-000006.txt : 20111028 0001141781-11-000006.hdr.sgml : 20111028 20111028120135 ACCESSION NUMBER: 0001141781-11-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111028 DATE AS OF CHANGE: 20111028 EFFECTIVENESS DATE: 20111028 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NICHOLS & PRATT ADVISERS LLP /MA CENTRAL INDEX KEY: 0001141781 IRS NUMBER: 043249229 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06593 FILM NUMBER: 111164084 BUSINESS ADDRESS: STREET 1: 50 CONGRESS STREET CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 6175236800 MAIL ADDRESS: STREET 1: 50 CONGRESS STREET CITY: BOSTON STATE: MA ZIP: 02109 13F-HR 1 complete093011.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: 9/30/2011 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: Nichols & Pratt Advisers, LLP Address: 50 Congress Street Boston, Massachusetts 02109-4017 Form 13F File number: 28-06593 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. Person Signing this Report on Behalf of Reporting Manager Name: Kimberly H. Latifi Title: Chief Compliance Officer Phone: 617-523-6800 Signature, Place, and Date of Signing: Kimberly Latifi Boston, Massachusetts 10/28/2011 [Signature] [City, State] [Date] Report Type (Check only one.): [ ] 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). [ X ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of other Managers Reporting for this Manager: Form 13F File Number Name 28-4528 Bank of America 28-271 Bank New York Mellon Corp 28-380 United States Trust Company Report Summary: Number of Other Included Managers: 4 Form 13F Information Table Entry Total : 181 Form 13F Information Table Value Total: $791,872,000 List of other Included Managers: No. 13F File Number Name 3 28-3162 James R. Nichols 4 28-3168 Harold I. Pratt 5 28-06593 Preston H. Saunders 6 28-12207 John K. Herbert FORM 13F INFORMATION TABLE TITLE OF VALUE SHS/PRN SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (X1000AMOUNT PRN CALL DISCRETION MANAGERS SOLE SHARED 3M CO COM 88579y101 420 5,850SH SOLE 5,850 3M CO COM 88579y101 3,665 51,045SH SH-SHARED 03,05,06 51,045 ABB LTD SPONSORED ADR 000375204 824 48,945SH SOLE 48,945 ABB LTD SPONSORED ADR 000375204 2,526 148,375SH SH-SHARED 03,04,05,06 148,375 ABBOTT LABORATORIES COM 002824100 3,180 62,454SH SOLE 62,454 ABBOTT LABORATORIES COM 002824100 21,676 424,048SH SH-SHARED 03,04,05,06 424,048 ABRAXAS PETE CORP COM 003830106 53 20,000SH SOLE 20,000 ABRAXAS PETE CORP COM 003830106 53 20,000SH SH-SHARED 20,000 AMGEN INC COM 031162100 143 2,600SH SOLE 2,600 AMGEN INC COM 031162100 96 1,750SH SH-SHARED 05 1,750 APPLE INC COM 037833100 1,052 2,789SH SOLE 2,789 APPLE INC COM 037833100 4,658 12,238SH SH-SHARED 03,04,05,06 12,238 APPLIED MATLS INC COM 038222105 672 65,100SH SOLE 65,100 APPLIED MATLS INC COM 038222105 3,262 315,100SH SH-SHARED 03,04,05,06 315,100 APTARGROUP INC COM 038336103 67 1,500SH SOLE 1,500 APTARGROUP INC COM 038336103 150 3,350SH SH-SHARED 05,06 3,350 AT&T INC COM 00206r102 1,168 41,012SH SOLE 41,012 AT&T INC COM 00206r102 3,590 125,894SH SH-SHARED 03,04,05,06 125,894 AUTOMATIC DATA PROCESSING INC COM 053015103 3,550 75,204SH SOLE 75,204 AUTOMATIC DATA PROCESSING INC COM 053015103 32,670 692,797SH SH-SHARED 03,04,05,06 692,797 BANK OF AMERICA CORPORATION COM 060505104 7 1,070SH SOLE 1,070 BANK OF AMERICA CORPORATION COM 060505104 115 18,872SH SH-SHARED 03,05,06 18,872 BAXTER INTL INC COM 071813109 373 6,650SH SH-SHARED 6,650 BB&T CORP COM 054937107 78 3,650SH SOLE 3,650 BB&T CORP COM 054937107 155 7,276SH SH-SHARED 05,06 7,276 BECTON DICKINSON & CO COM 075887109 293 4,000SH SH-SHARED 03 4,000 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 669 9,278SH SOLE 9,278 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 10,989 154,613SH SH-SHARED 03,04,05,06 154,613 BHP BILLITON LTD SPONSORED ADR 088606108 1,515 22,730SH SOLE 22,730 BHP BILLITON LTD SPONSORED ADR 088606108 10,424 156,831SH SH-SHARED 03,04,05,06 156,831 BP PLC SPONSORED ADR 055622104 317 8,775SH SOLE 8,775 BP PLC SPONSORED ADR 055622104 616 17,078SH SH-SHARED 05,06 17,078 BRISTOL MYERS SQUIBB CO COM 110122108 464 14,799SH SOLE 14,799 BRISTOL MYERS SQUIBB CO COM 110122108 185 5,880SH SH-SHARED 05,06 5,880 CATERPILLAR INC DEL COM 149123101 1,021 13,825SH SOLE 13,825 CATERPILLAR INC DEL COM 149123101 13,574 183,835SH SH-SHARED 03,04,05,06 183,835 CHEVRON CORP NEW COM 166764100 106 1,150SH SOLE 1,150 CHEVRON CORP NEW COM 166764100 1,402 15,137SH SH-SHARED 03,05,06 15,137 CISCO SYS INC COM 17275r102 1,382 89,037SH SOLE 89,037 CISCO SYS INC COM 17275R102 8,205 529,239SH SH-SHARED 03,04,05,06 529,239 COCA COLA CO COM 191216100 4,089 61,400SH SOLE 61,400 COCA COLA CO COM 191216100 34,471 511,103SH SH-SHARED 03,04,05,06 511,103 COLGATE PALMOLIVE CO COM 194162103 2,359 26,640SH SOLE 26,640 COLGATE PALMOLIVE CO COM 194162103 19,024 214,559SH SH-SHARED 03,04,05,06 214,559 CONOCOPHILLIPS COM 20825c104 157 2,479SH SOLE 2,479 CONOCOPHILLIPS COM 20825c104 109 1,718SH SH-SHARED 06 1,718 CREE INC COM 225447101 48 1,900SH SOLE 1,900 CREE INC COM 225447101 367 14,120SH SH-SHARED 03,04,05,06 14,120 CVS CAREMARK CORPORATION COM 126650100 157 4,700SH SOLE 4,700 CVS CAREMARK CORPORATION COM 126650100 1,849 55,100SH SH-SHARED 03,04,05,06 55,100 DENTSPLY INTL INC NEW COM 249030107 211 6,875SH SOLE 6,875 DENTSPLY INTL INC NEW COM 249030107 2,271 74,095SH SH-SHARED 03,04,05,06 74,095 DIAGEO PLC SPONS ADR NEW 25243q205 53 700SH SOLE 700 DIAGEO PLC SPONS ADR NEW 25243q205 163 2,150SH SH-SHARED 03,05 2,150 DISNEY WALT CO NEW COM DISNEY 254687106 413 13,699SH SH-SHARED 05 13,699 DOMINION RES INC VA NEW COM 25746u109 61 1,198SH SOLE 1,198 DOMINION RES INC VA NEW COM 25746u109 478 9,417SH SH-SHARED 05,06 9,417 DU PONT E I DE NEMOURS & CO COM 263534109 60 1,500SH SOLE 1,500 DU PONT E I DE NEMOURS & CO COM 263534109 520 13,002SH SH-SHARED 04,05,06 13,002 EATON VANCE CORP COM NON VTG 278265103 223 10,000SH SOLE 10,000 EATON VANCE CORP COM NON VTG 278265103 28 1,260SH SH-SHARED 06 1,260 EMC CORP MASS COM 268648102 1,181 56,340SH SOLE 56,340 EMC CORP MASS COM 268648102 5,759 274,390SH SH-SHARED 03,04,05,06 274,390 EMERSON ELEC CO COM 291011104 3,973 116,910SH SOLE 116,910 EMERSON ELEC CO COM 291011104 23,221 561,765SH SH-SHARED 03,04,05,06 561,765 ENTERGY CORP NEW COM 29364g103 269 4,059SH SH-SHARED 03 4,059 EXELON CORP COM 30161n101 69 1,625SH SOLE 1,625 EXELON CORP COM 30161n101 175 4,100SH SH-SHARED 05,06 4,100 EXPEDITORS INTL WASH INC COM 302130109 1,454 36,010SH SOLE 36,010 EXPEDITORS INTL WASH INC COM 302130109 7,716 190,410SH SH-SHARED 03,04,05,06 190,410 EXXON MOBIL CORP COM 30231G102 5,301 72,938SH SOLE 72,938 EXXON MOBIL CORP COM 30231G102 47,388 652,416SH SH-SHARED 03,04,05,06 652,416 FASTENAL CO COM 311900104 708 21,220SH SOLE 21,220 FASTENAL CO COM 311900104 2,306 69,281SH SH-SHARED 03,04,05,06 69,281 FIRST SOLAR INC COM 336433107 117 1,920SH SOLE 1,920 FIRST SOLAR INC COM 336433107 429 6,785SH SH-SHARED 03,04,05,06 6,785 FISERV INC COM 337738108 1,860 36,075SH SOLE 36,075 FISERV INC COM 337738108 7,426 145,980SH SH-SHARED 03,04,05,06 145,980 GENERAL ELECTRIC CORP COM 369604103 3,271 216,513SH SOLE 216,513 GENERAL ELECTRIC CORP COM 369604103 34,8052,288,16SH SH-SHARED 03,04,05,06 2,288,166 GENERAL MLS INC COM 370334104 293 7,600SH SOLE 7,600 GENERAL MLS INC COM 370334104 821 21,325SH SH-SHARED 03,06 21,325 HEWLETT PACKARD CO COM 428236103 234 10,425SH SH-SHARED 03,05,06 10,425 INTEL CORP COM 458140100 2,606 122,405SH SOLE 122,405 INTEL CORP COM 458140100 9,906 464,509SH SH-SHARED 03,04,05,06 464,509 INTERNATIONAL. BUSINESS MACHS COM 459200101 1,987 11,362SH SOLE 11,362 INTERNATIONAL. BUSINESS MACHS COM 459200101 2,008 11,484SH SH-SHARED 03,05,06 11,484 INTUIT COM 461202103 598 12,605SH SOLE 12,605 INTUIT COM 461202103 1,488 31,375SH SH-SHARED 03,05,06 31,375 ISHARES TR MSCI EAFE INDEX 464287465 1,153 24,310SH SOLE 24,310 ISHARES TR MSCI EAFE INDEX 464287465 4,110 86,150SH SH-SHARED 03,04,05,06 86,150 ISHARES TR MSCI EMERGING MKT 464287234 572 16,345SH SOLE 16,345 ISHARES TR MSCI EMERGING MKT 464287234 1,861 53,071SH SH-SHARED 03,04,05,06 53,071 ISHARES TR MSCI PAC J IDX 464286665 327 8,935SH SOLE 8,935 ISHARES TR MSCI PAC J IDX 464286665 1,268 34,600SH SH-SHARED 03,04,05,06 34,600 ISHARES TR RUSSELL 2000 464287655 546 8,460SH SOLE 8,460 ISHARES TR RUSSELL 2000 464287655 1,506 23,410SH SH-SHARED 03,04,05,06 23,410 JOHNSON & JOHNSON COM 478160104 6,213 98,369SH SOLE 98,369 JOHNSON & JOHNSON COM 478160104 56,379 886,076SH SH-SHARED 03,04,05,06 886,076 JOHNSON CTLS INC COM 478366107 403 15,275SH SOLE 15,275 JOHNSON CTLS INC COM 478366107 3,909 148,235SH SH-SHARED 03,04,05,06 148,235 JP MORGAN CHASE & CO COM 46625h100 140 4,654SH SOLE 4,654 JP MORGAN CHASE & CO COM 46625h100 1,461 48,509SH SH-SHARED 03,04,05,06 48,509 KIMBERLY CLARK CORP COM 494368103 78 1,100SH SOLE 1,100 KIMBERLY CLARK CORP COM 494368103 149 2,100SH SH-SHARED 06 2,100 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 1,520 22,375SH SOLE 22,375 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 8,405 122,994SH SH-SHARED 03,04,05,06 122,994 KRAFT FOODS INC CL A 50075n104 285 8,473SH SH-SHARED 05,06 8,473 LINEAR TECHNOLOGY CORP COM 535678106 600 21,702SH SOLE 21,702 LINEAR TECHNOLOGY CORP COM 535678106 7,109 257,115SH SH-SHARED 03,04,05,06 257,115 MACY'S INC COM 55616p104 211 8,000SH SH-SHARED 06 8,000 MCDONALDS CORP COM 580135101 47 536SH SOLE 536 MCDONALDS CORP COM 580135101 653 7,439SH SH-SHARED 03,04,05,06 7,439 MCGRAW HILL COS INC COM 580645109 57 1,400SH SOLE 1,400 MCGRAW HILL COS INC COM 580645109 5,223 127,400SH SH-SHARED 03 127,400 MEDCO HEALTH SOLUTIONS INC COM 58405u102 204 4,340SH SH-SHARED 03,06 4,340 MEDTRONIC INC COM 585055106 1,526 46,758SH SOLE 46,758 MEDTRONIC INC COM 585055106 11,058 333,191SH SH-SHARED 03,04,05,06 333,191 MERCK & CO INC NEW COM 58933y105 2,858 88,725SH SOLE 88,725 MERCK & CO INC NEW COM 58933y105 24,458 748,537SH SH-SHARED 03,04,05,06 748,537 MICROSOFT CORP COM 594918104 1,500 59,773SH SOLE 59,773 MICROSOFT CORP COM 594918104 8,448 338,911SH SH-SHARED 03,04,05,06 338,911 MONSANTO CO NEW COM 61166W101 591 9,545SH SOLE 9,545 MONSANTO CO NEW COM 61166w101 5,185 86,029SH SH-SHARED 03,04,05,06 86,029 NORTHERN TR CORP COM 665859104 1,073 30,170SH SOLE 30,170 NORTHERN TR CORP COM 665859104 6,180 176,355SH SH-SHARED 03,04,05,06 176,355 NOVARTIS A G SPONS ADR 66987V109 3,256 58,487SH SOLE 58,487 NOVARTIS A G SPONS ADR 66987V109 21,757 390,186SH SH-SHARED 03,04,05,06 390,186 PEPSICO INC COM 713448108 3,418 55,767SH SOLE 55,767 PEPSICO INC COM 713448108 32,148 519,715SH SH-SHARED 03,04,05,06 519,715 PFIZER INC COM 717081103 643 36,351SH SOLE 36,351 PFIZER INC COM 717081103 2,128 120,380SH SH-SHARED 03,04,05,06 120,380 PHILIP MORRIS INC COM 718172109 225 3,600SH SH-SHARED 05 3,600 PRAXAIR INC COM 74005p104 1,769 18,835SH SOLE 18,835 PRAXAIR INC COM 74005P104 14,373 153,685SH SH-SHARED 03,04,05,06 153,685 PROCTER & GAMBLE CO COM 742718109 6,328 100,039SH SOLE 100,039 PROCTER & GAMBLE CO COM 742718109 52,713 834,235SH SH-SHARED 03,04,05,06 834,235 RAYTHEON CO COM NEW 755111507 12 300SH SOLE 300 RAYTHEON CO COM NEW 755111507 712 17,417SH SH-SHARED 05 17,417 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 185 3,000SH SOLE 3,000 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 895 14,550SH SH-SHARED 03,06 14,550 SCHLUMBERGER LTD COM 806857108 847 14,186SH SOLE 14,186 SCHLUMBERGER LTD COM 806857108 10,022 167,794SH SH-SHARED 03,04,05,06 167,794 SHERWIN WILLIAMS CO COM 824348106 223 3,000SH SH-SHARED 3,000 SIGMA ALDRICH CORP COM 826552101 838 13,560SH SOLE 13,560 SIGMA ALDRICH CORP COM 826552101 5,631 91,131SH SH-SHARED 03,04,05,06 91,131 SOUTHERN CO COM 842587107 831 19,605SH SOLE 19,605 SOUTHERN CO COM 842587107 3,914 92,381SH SH-SHARED 03,05,06 92,381 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467y107 43 300SH SOLE 300 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467y107 187 1,315SH SH-SHARED 05 1,315 STATE STR CORP COM 857477103 2,167 67,439SH SOLE 67,439 STATE STR CORP COM 857477103 14,836 461,406SH SH-SHARED 03,04,05,06 461,406 STRYKER CORP COM 863667101 1,155 24,605SH SOLE 24,605 STRYKER CORP COM 863667101 3,025 64,215SH SH-SHARED 03,04,05,06 64,215 SUBURBAN PROPANE PARTNERS LP UNIT LTD PARTN 864482104 186 4,000SH SOLE 4,000 SUBURBAN PROPANE PARTNERS LP UNIT LTD PARTN 864482104 172 3,700SH SH-SHARED 05 3,700 SYSCO CORP COM 871829107 1,946 75,430SH SOLE 75,430 SYSCO CORP COM 871829107 16,924 653,788SH SH-SHARED 03,04,05,06 653,788 TECO ENERGY INC COM 872375100 278 16,200SH SH-SHARED 16,200 TORONTO DOMINION BANK COM NEW 891160509 915 12,900SH SH-SHARED 12,900 UDR INC COM 902653104 13 594SH SOLE 594 UDR INC COM 902653104 433 19,557SH SH-SHARED 03,05,06 19,557 UNILEVER PLC SPONS ADR NEW 904767704 1,928 61,865SH SOLE 61,865 UNILEVER PLC SPONS ADR NEW 904767704 6,550 210,055SH SH-SHARED 03,04,05,06 210,055 UNITED TECHNOLOGIES CORP COM 913017109 1,930 27,535SH SOLE 27,535 UNITED TECHNOLOGIES CORP COM 913017109 13,695 194,734SH SH-SHARED 03,04,05,06 194,734 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 26 720SH SOLE 720 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 774 21,610SH SH-SHARED 03,04,05,06 21,610 VERIZON COMMUNICATIONS INC COM 92343v104 609 16,537SH SOLE 16,537 VERIZON COMMUNICATIONS INC COM 92343v104 2,833 76,979SH SH-SHARED 03,04,05,06 76,979 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857w209 100 3,905SH SOLE 3,905 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857w209 184 7,174SH SH-SHARED 05 7,174 WAL MART STORES INC COM 931142103 229 4,420SH SOLE 4,420 WAL MART STORES INC COM 931142103 3,482 67,100SH SH-SHARED 03,04,05,06 67,100 WALGREEN CO COM 931422109 1,457 44,325SH SOLE 44,325 WALGREEN CO COM 931422109 13,178 400,686SH SH-SHARED 03,04,05,06 400,686 WEINGARTEN RLTY INVS REIT SH BEN INT 948741103 57 2,712SH SOLE 2,712 WEINGARTEN RLTY INVS REIT SH BEN INT 948741103 280 13,209SH SH-SHARED 03,05,06 13,209 WELLS FARGO & CO NEW COM 949746101 143 5,920SH SOLE 5,920 WELLS FARGO & CO NEW COM 949746101 521 21,619SH SH-SHARED 05,06 21,619 WESTERN UN CO COM 959802109 329 21,517SH SOLE 21,517 WESTERN UN CO COM 959802109 1,309 85,680SH SH-SHARED 03,04,05,06 85,680