0001144204-14-054671.txt : 20140908 0001144204-14-054671.hdr.sgml : 20140908 20140908100815 ACCESSION NUMBER: 0001144204-14-054671 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140630 FILED AS OF DATE: 20140908 DATE AS OF CHANGE: 20140908 EFFECTIVENESS DATE: 20140908 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FCA CORP /TX CENTRAL INDEX KEY: 0001166402 IRS NUMBER: 760076528 STATE OF INCORPORATION: TX FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-10019 FILM NUMBER: 141089459 BUSINESS ADDRESS: STREET 1: 791 TOWN & COUNTRY BLVD, SUITE 250 CITY: HOUSTON STATE: TX ZIP: 77057 BUSINESS PHONE: 7137812856 MAIL ADDRESS: STREET 1: 791 TOWN & COUNTRY BLVD, SUITE 250 CITY: HOUSTON STATE: TX ZIP: 77024 13F-HR/A 1 primary_doc.xml 13F-HR/A LIVE false false false 0001166402 XXXXXXXX 06-30-2014 06-30-2014 true 2 RESTATEMENT false FCA CORP /TX
791 Town & Country Blvd, Suite 250 Houston TX 77024
13F HOLDINGS REPORT 028-10019 N
William Levay Chief Compliance Officer 713-781-2856 /s/ William Levay Houston TX 09-05-2014 0 143 182097
INFORMATION TABLE 2 infotable.xml 1ST CENTURY BANCSHARES INC COM 31943X102 210 27700 SH SOLE 0 0 27700 GRUPO TELEVISA SA-SPON ADR ADR 40049J206 515 15000 SH DFND 15000 0 0 NESTLE SA-SPONS ADR ADR 641069406 601 7750 SH DFND 7750 0 0 NICE SYSTEMS LTD-SPONS ADR ADR 653656108 408 10000 SH DFND 10000 0 0 NIDEC CORPORATION-ADR ADR 654090109 431 28000 SH DFND 28000 0 0 OLD MUTUAL PLC-UNSPON ADR ADR 680031309 356 13125 SH DFND 13125 0 0 ROCHE HOLDINGS LTD-SPONS ADR ADR 771195104 596 16000 SH DFND 16000 0 0 SIEMENS AG-SPONS ADR ADR 826197501 397 3000 SH DFND 3000 0 0 TEVA PHARMACEUTICAL-SP ADR ADR 881624209 315 6000 SH DFND 6000 0 0 UNILEVER N V -NY SHARES COM 904784709 394 9000 SH DFND 9000 0 0 3M CO COM 88579Y101 1839 12838 SH SOLE 0 0 12838 AGCO CORP COM 001084102 281 5000 SH DFND 5000 0 0 ALMOST FAMILY INC COM 020409108 1185 53656 SH SOLE 0 0 53656 ALTO PALERMO S.A.-ADR ADR 02151P107 240 11500 SH DFND 11500 0 0 AMAZON.COM INC COM 023135106 292 900 SH DFND 900 0 0 AMERICAN BUSINESS BANK ADR 02475L105 1055 35646 SH SOLE 0 0 35646 AMERICAN TOWER CORP COM 03027X100 225 2500 SH DFND 2500 0 0 AMGEN INC COM 031162100 2147 18138 SH SOLE 0 0 18138 ANALOG DEVICES INC COM 032654105 1874 34650 SH SOLE 0 0 34650 ARKEMA ADR 41232109 403 4130 SH DFND 4130 0 0 ARTESIAN RESOURCES CORP-CL A COM 043113208 1258 55953 SH SOLE 0 0 55953 BANCO SANTANDER SA-SPON ADR 05964H105 364 34930 SH DFND 34930 0 0 BG GROUP PLC COM 055434203 214 10000 SH DFND 10000 0 0 BHP BILLITON LTD-SPON ADR ADR 088606108 1816 26535 SH SOLE 0 0 26535 BIG 5 SPORTING GOODS CORP COM 08915P101 196 16000 SH DFND 16000 0 0 BLACKROCK INTERNATIONAL GROW COM 092524107 1519 184375 SH SOLE 0 0 184375 BOK FINANCIAL CORPORATION COM 05561Q201 250 3751 SH SOLE 0 0 3751 BOSTON PROPERTIES COM 101121101 295 2500 SH DFND 2500 0 0 BRITISH SKY BROADCAST-SP ADR 111013108 251 4000 SH DFND 4000 0 0 C.H. ROBINSON WORLDWIDE INC COM 12541W209 255 4000 SH DFND 4000 0 0 CALPINE CORP COM 131347304 238 10000 SH DFND 10000 0 0 CAMPUS CREST COMMUNITIES INC COM 13466Y105 95 11000 SH DFND 11000 0 0 CEMEX SAB-ADR ADR 151290889 338 25582 SH DFND 25582 0 0 CENTRICA PLC COM 15639K300 301 14000 SH DFND 14000 0 0 CHASE CORP COM 16150R104 1956 57285 SH SOLE 0 0 57285 CIA CERVECERIAS UNIDAS ADR 204429104 234 10000 SH DFND 10000 0 0 CIMAREX ENERGY CO COM 171798101 3879 27038 SH SOLE 0 0 27038 CLOUD PEAK ENERGY INC COM 18911Q102 225 12200 SH DFND 12200 0 0 COCA-COLA CO/THE COM 191216100 325 7668 SH SOLE 0 0 7668 CONMED CORP COM 207410101 562 12720 SH DFND 12720 0 0 CONSUMER DISCRETIONARY SELT COM 81369Y407 2988 44764 SH SOLE 0 0 44764 CONSUMER STAPLES SPDR COM 81369Y308 4816 107935 SH SOLE 0 0 107935 DBS GROUP HOLDINGS-SPON ADR 23304Y100 270 5000 SH DFND 5000 0 0 DENTSPLY INTERNATIONAL INC COM 249030107 412 8700 SH DFND 8700 0 0 DIAGEO PLC-SPONSORED ADR 25243Q205 255 2000 SH DFND 2000 0 0 EATON VANCE SHORT DUR DIV IN COM 27828V104 2965 193293 SH SOLE 0 0 193293 EBAY INC COM 278642103 200 4000 SH DFND 4000 0 0 ENERGY SELECT SECTOR SPDR COM 81369Y506 3779 37750 SH SOLE 0 0 37750 ENTERPRISE PRODUCTS PARTNERS COM 293792107 3032 38732 SH SOLE 0 0 38732 EQUITY RESIDENTIAL COM 29476L107 359 5700 SH DFND 5700 0 0 EVEREST RE GROUP LTD COM G3223R108 2623 16342 SH SOLE 0 0 16342 EXTRA SPACE STORAGE INC COM 30225T102 341 6400 SH DFND 6400 0 0 EXXON MOBIL CORP COM 30231G102 3104 30831 SH SOLE 0 0 30831 FIRST FINANCIAL BANKSHARES COM 32020R109 298 9500 SH SOLE 0 0 9500 GAFISA SA-ADR ADR 362607301 37 12000 SH DFND 12000 0 0 GUGGENHEIM BULLETSHARES 2018 COM 18383M530 499 23449 SH SOLE 0 0 23449 GUGGENHEIM BULLETSHARES 2020 COM 18383M514 372 17513 SH SOLE 0 0 17513 GUGGENHEIM S&P 500 EQUAL WEI COM 78355W106 4135 53906 SH SOLE 0 0 53906 GUGGENHEIM S&P 500 EQUAL WEI COM 78355W841 3173 25697 SH SOLE 0 0 25697 HDFC BANK LTD ADR 40415F101 281 6000 SH DFND 6000 0 0 HOST HOTELS & RESORTS INC COM 44107P104 337 15317 SH DFND 15317 0 0 HUNTINGTON BANCSHARES INC COM 446150104 191 20000 SH DFND 20000 0 0 INGLES MARKETS INC-CLASS A COM 457030104 3537 134243 SH SOLE 0 0 134243 INTEGRATED SILICON SOLUTION COM 45812P107 325 22000 SH DFND 22000 0 0 INTEL CORP COM 458140100 2354 76184 SH SOLE 0 0 76184 INTERCONTINENTAL HOTELS ADR 45857P400 631 15199 SH DFND 15199 0 0 INTL BUSINESS MACHINES CORP COM 459200101 248 1369 SH SOLE 0 0 1369 ISHARES -3 YEAR INTERNATIONA COM 464288125 3063 31822 SH SOLE 0 0 31822 ISHARES CALIFORNIA AMT-FREE COM 464288356 302 2610 SH SOLE 0 0 2610 ISHARES COHEN & STEERS REIT COM 464287564 2190 25080 SH SOLE 0 0 25080 ISHARES CORE S&P MIDCAP ETF COM 464287507 2378 16621 SH SOLE 0 0 16621 ISHARES FLOATING RATE BOND E COM 46429B655 3280 64559 SH SOLE 0 0 64559 ISHARES GLOBAL HEALTHCARE ET COM 464287325 3430 36360 SH SOLE 0 0 36360 ISHARES IBOXX INVESTMENT GRA COM 464287242 576 4827 SH SOLE 0 0 4827 ISHARES INTERNATIONAL TREASU COM 464288117 4107 39015 SH SOLE 0 0 39015 ISHARES MSCI EAFE ETF COM 464287465 6656 97356 SH SOLE 0 0 97356 ISHARES MSCI EAFE SMALL-CAP COM 464288273 2488 47020 SH SOLE 0 0 47020 ISHARES MSCI EMERGING MARKET COM 464287234 2773 64135 SH SOLE 0 0 64135 ISHARES MSCI EMU ETF COM 464286608 403 9518 SH SOLE 0 0 9518 ISHARES MSCI JAPAN ETF COM 464286848 132 11000 SH DFND 11000 0 0 ISHARES MSCI SOUTH AFRICA ET COM 464286780 254 3700 SH DFND 3700 0 0 ISHARES RUSSELL 1000 ETF COM 464287622 826 7500 SH SOLE 0 0 7500 ISHARES RUSSELL 2000 ETF COM 464287655 822 6922 SH SOLE 0 0 6922 ISHARES RUSSELL MID-CAP ETF COM 464287499 924 5683 SH SOLE 0 0 5683 ISHARES SELECT DIVIDEND ETF COM 464287168 2863 37195 SH SOLE 0 0 37195 ITC HOLDINGS CORP COM 465685105 219 6000 SH DFND 6000 0 0 J.C PENNEY CO COM 708160106 199 22000 SH DFND 22000 0 0 JAMES HARDIE IND PLC-SP ADR ADR 47030M106 327 5000 SH DFND 5000 0 0 JOHN HANCOCK FINANCIAL OPPOR COM 409735206 2476 106996 SH SOLE 0 0 106996 JOHNSON & JOHNSON COM 478160104 2595 24805 SH SOLE 0 0 24805 JOHNSON CONTROLS INC COM 478366107 300 6000 SH DFND 6000 0 0 KINGFISHER PLC-SPONS ADR ADR 495724403 246 20000 SH DFND 20000 0 0 KMG CHEMICALS INC COM 482564101 2036 113249 SH SOLE 0 0 113249 KVH INDUSTRIES INC COM 482738101 391 30000 SH DFND 30000 0 0 LASALLE HOTEL PROPERTIES COM 517942108 388 11000 SH DFND 11000 0 0 LIFEPOINT HOSPITALS INC COM 53219L109 279 4500 SH DFND 4500 0 0 LLOYDS BANKING GROUP PLC ADR 539439109 108 21000 SH DFND 21000 0 0 MARKET VECTORS AFRICA INDEX COM 57060U787 341 10340 SH DFND 10340 0 0 MARRIOTT INTERNATIONAL -CL A COM 571903202 323 5035 SH DFND 5035 0 0 METLIFE INC COM 59156R108 2537 45668 SH SOLE 0 0 45668 MICROFINANCIAL INC COM 595072109 2349 303927 SH SOLE 0 0 303927 MILLER INDUSTRIES INC/TENN COM 600551204 288 14000 SH DFND 14000 0 0 NATIONAL OILWELL VARCO INC COM 637071101 247 3000 SH DFND 3000 0 0 NEW YORK COMMUNITY BANCORP COM 649445103 160 10000 SH DFND 10000 0 0 NORFOLK SOUTHERN CORP COM 655844108 412 4000 SH DFND 4000 0 0 NORTHWEST NATURAL GAS CO COM 667655104 236 5000 SH DFND 5000 0 0 NOVARTIS AG-ADR ADR 66987V109 2252 24878 SH SOLE 0 0 24878 PENTAIR PLC COM G7S00T104 560 7760 SH DFND 7760 0 0 PIMCO ENHANCED SHORT MATURIT COM 72201R833 3729 36779 SH SOLE 0 0 36779 POSCO ADR 693483109 357 4800 SH DFND 4800 0 0 POWERSHARES GLOBAL WATER COM 73936T623 3002 122267 SH SOLE 0 0 122267 PPC LTD-UNSPON ADR ADR 69354A104 74 12500 SH DFND 12500 0 0 PROTECTIVE LIFE CORP COM 743674103 4530 65338 SH SOLE 0 0 65338 RGC RESOURCES INC COM 74955L103 546 28284 SH SOLE 0 0 28284 ROYCE MICRO-CAP TRUST INC COM 780915104 1657 131326 SH SOLE 0 0 131326 ROYCE VALUE TRUST COM 780910105 3637 227332 SH SOLE 0 0 227332 SAMSUNG ELECTR GDR 4942818 258 400 SH DFND 400 0 0 SBA COMMUNICATIONS CORP-CL COM 78388J106 205 2000 SH DFND 2000 0 0 SHOPRITE HOLDINGS COM 82510E209 146 10000 SH DFND 10000 0 0 SL GREEN REALTY CORP COM 78440X101 328 3000 SH DFND 3000 0 0 SOUTHERN CO COM 842587107 1464 32260 SH SOLE 0 0 32260 SPDR BARCLAYS SHORT TERM COR COM 78464A474 4413 143238 SH SOLE 0 0 143238 SPDR MORGAN STANLEY TECHNOLO COM 78464A102 2587 27082 SH SOLE 0 0 27082 SPDR S&P EMER MKTS DIVIDEND COM 78463X533 2233 55700 SH SOLE 0 0 55700 SPDR S&P MIDCAP 400 ETF TRST COM 78467Y107 430 1650 SH SOLE 0 0 1650 SPDR S&P OIL & GAS EXP & PR COM 78464A730 3689 44835 SH SOLE 0 0 44835 STARWOOD HOTELS & RESORTS COM 85590A401 404 5000 SH DFND 5000 0 0 STRYKER CORP COM 863667101 1519 18015 SH SOLE 0 0 18015 TORTOISE ENERGY INFRASTRUCTU COM 89147L100 267 5409 SH SOLE 0 0 5409 UDR INC COM 902653104 285 9951 SH SOLE 0 0 9951 ULTRA PETROLEUM CORP COM 903914109 297 10000 SH DFND 10000 0 0 UNITED FIRE GROUP INC COM 910340108 1771 60396 SH SOLE 0 0 60396 VALE US COM 91912E105 291 22000 SH DFND 22000 0 0 VALMONT INDUSTRIES COM 920253101 2694 17730 SH SOLE 0 0 17730 VANGUARD FTSE EUROPE ETF COM 922042874 1749 29170 SH SOLE 0 0 29170 VODAFONE GROUP PLC-SP ADR 92857W308 210 6295 SH DFND 6295 0 0 VOYA ASIA PACIFIC HIGH DIVID COM 92912J102 1195 89500 SH SOLE 0 0 89500 WELLS FARGO & CO COM 949746101 210 4000 SH DFND 4000 0 0 WESTERN ASSET GL CORP DEF OP COM 95790C107 3841 205485 SH SOLE 0 0 205485 WGL HOLDINGS INC COM 92924F106 1730 40147 SH SOLE 0 0 40147 WILLIAMS COS INC COM 969457100 4845 83233 SH SOLE 0 0 83233 WP CAREY INC COM 92936U109 322 5000 SH DFND 5000 0 0 WPX ENERGY INC COM 98212B103 549 22944 SH SOLE 0 0 22944