-----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, WslpFU5ktg3kXN2RG+dFeextNrIVt+4dLjoaMZqfSxmQQj64A7grAr4p6Zi/YEe8 X9Zt+zbcGqac0m8T/Os2RA== 0001019687-11-000443.txt : 20110210 0001019687-11-000443.hdr.sgml : 20110210 20110210132112 ACCESSION NUMBER: 0001019687-11-000443 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110210 DATE AS OF CHANGE: 20110210 EFFECTIVENESS DATE: 20110210 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AL FRANK ASSET MANAGEMENT INC CENTRAL INDEX KEY: 0001167495 IRS NUMBER: 954074555 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10139 FILM NUMBER: 11591093 BUSINESS ADDRESS: STREET 1: 85 ARGONAUT, SUITE 220 CITY: ALISA VIEJO STATE: CA ZIP: 92656 BUSINESS PHONE: 9494977657 MAIL ADDRESS: STREET 1: 85 ARGONAUT, SUITE 220 CITY: ALISA VIEJO STATE: CA ZIP: 92656 FORMER COMPANY: FORMER CONFORMED NAME: FRANK AL ASSET MANAGEMENT INC DATE OF NAME CHANGE: 20020214 13F-HR 1 alfrank_13fhr-123110.txt FORM 13F HOLDINGS REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13f Cover Page Report for the Calendar Year or Quarter Ended 12/31/2010 If amended report check here: |_| Amendment Number: ____ This Amendment (Check only one): |_| is a restatement |_| adds new holding entries. Al Frank Asset Management, Inc. - -------------------------------------------------------------------------------- Name of Institutional Investment Manager 85 Argonaut, Suite 220 Alisa Viejo, CA 92656 - -------------------------------------------------------------------------------- Business Address (Street) (City) (State) (Zip) 13F File Number: 28-_____________ 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, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: John Buckingham Chief Investment Officer (949) 499-3215 - -------------------------------------------------------------------------------- Name (Title) (Phone) /s/ John Buckingham ------------------------------------------ (Manual Signature of Person Duly Authorized to Submit This Report) Laguna Beach CA February 10, 2011 ------------------------------------------ (Place and Date of Signing) Report Type: [X] 13F HOLDINGS REPORT. [_] 13F NOTICE. [_] 13F COMBINATION REPORT. Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 234 Form 13F Information Table Value Total: $469,846 (thousands) List of Other Included Managers: Name and 13F file numbers of ALL Institutional Investment Managers with respect to which this schedule is filed (other than the one filing this report): (List in alphabetical order). [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] 13F File Numbers will be assigned to Institutional Investment Managers after they file their first report. 13F File No.: Name: 13F File No.: Name: ------------- --------------------- ------------- --------------------- 1. 6. ------------- --------------------- ------------- --------------------- 2. 7. ------------- --------------------- ------------- --------------------- 3. 8. ------------- --------------------- ------------- --------------------- 4. 9. ------------- --------------------- ------------- --------------------- 5. 10. ------------- --------------------- ------------- --------------------- AL FRANK ASSET MANAGEMENT QUARTER END 9/30/10 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 FAIR INVESTMENT DISCRETION VOTING AUTHORITY TITLE MARKET SHARES OF SHARED NAME OF ISSUER OF CUSIP VALUE PRINCIPAL SOLE SHARED OTHER MANA- SOLE SHARED NONE CLASS NUMBER (x$1000) AMOUNT (A) (B) (C) GERS (A) B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ 3M Corp. COMMON 88579Y101 $ 1,260 14,605 7,317 7,288 A.O. Smith COMMON 831865209 240 6,314 1,446 4,868 Abbott Laboratories COMMON 002824100 3,937 82,176 55,721 26,455 Accenture COMMON G1151C101 542 11,173 6,968 4,205 Aceto Corp COMMON 004446100 2,173 241,476 143,361 98,115 Activision Blizzard COMMON 00507V109 3,617 290,717 182,984 107,733 Aetna COMMON 00817Y108 3,041 99,685 68,661 31,024 Aetrium COMMON 00817R103 456 194,243 169,060 25,183 America Movil SA COMMON 02364W105 1,435 25,019 15,871 9,148 American Eagle Outfitters COMMON 02553E106 2,378 162,574 114,893 47,681 American Financial COMMON 025932104 1,977 61,213 34,318 26,895 American Science & Engineering Inc COMMON 029429107 1,958 22,974 15,237 7,737 American Software COMMON 029683109 3,756 554,817 373,250 181,567 Ameriprise Financial COMMON 03076C106 4,750 82,542 57,978 24,564 Anadarko Petroleum COMMON 032511107 6,500 85,346 59,292 26,054 Apache COMMON 037411105 4,858 40,748 27,587 13,161 Apple Computer COMMON 037833100 2,896 8,978 6,266 2,712 Archer-Daniels-Midland COMMON 039483102 3,776 125,546 89,518 36,028 Arkansas Best COMMON 040790107 1,124 40,997 30,381 10,616 AuthenTec COMMON 052660107 179 71,545 54,640 16,905 Automatic Data Processing COMMON 053015103 1,048 22,650 12,397 10,253 Avnet COMMON 053807103 1,388 42,013 36,840 5,173 AVX Corp COMMON 002444107 1,342 86,973 64,387 22,586 Axis Capital COMMON G0692U109 1,534 42,741 27,472 15,269 Bank of America COMMON 060505104 909 68,110 47,735 20,375 Bank of NY Mellon Corp. COMMON 064058100 2,672 88,482 57,239 31,243 Barclays Capital High Yield Bond COMMON 78464a417 2,889 72,756 62,706 10,050 Baxter International COMMON 071813109 3,776 74,588 49,442 25,146 BB&T Corporation COMMON 054937107 3,085 117,338 79,644 37,694 BE Aerospace COMMON 073302101 1,422 38,402 30,145 8,257 Benchmark Electronics COMMON 08160h101 747 41,132 24,510 16,622 Berkshire Hathaway CL B COMMON 084670702 373 4,650 3,400 1,250 Best Buy COMMON 086516101 1,094 31,901 17,948 13,953 BHP Billiton COMMON 088606108 2,325 25,019 20,059 4,960 BioMed Realty COMMON 09063H107 3,128 167,735 116,548 51,187 Black Box Corp COMMON 091826107 809 21,126 14,771 6,355 Boeing Co. COMMON 097023105 1,482 22,715 13,135 9,580 Brightpoint COMMON 109473405 1,101 126,089 111,603 14,486 Bristol Myers COMMON 110122108 3,385 127,819 86,400 41,419 Brocade Communications Systems COMMON 111621306 2,493 471,269 278,131 193,138 Cabela's COMMON 126804301 573 26,355 17,210 9,145 Cal-Maine Foods COMMON 128030202 1,982 62,753 41,687 21,066 Carnival COMMON 143658300 728 15,792 14,463 1,329 Carpenter Technology COMMON 144285103 1,082 26,891 18,896 7,995 Caterpillar COMMON 149123101 1,128 12,048 6,630 5,418 Celanese Corp COMMON 150870103 3,685 89,517 53,912 35,605 Cephalon COMMON 156708109 4,782 77,485 52,331 25,154 Cheesecake Factory COMMON 163072101 441 14,395 7,255 7,140 Chesapeake Energy COMMON 165167107 4,669 180,198 121,212 58,986 Chevron COMMON 166764100 2,287 25,067 17,513 7,554 Chubb Corporation COMMON 171232101 1,777 29,794 16,032 13,762 Cisco Systems COMMON 17275R102 2,911 143,894 105,134 38,760 Coach COMMON 189754104 919 16,622 10,525 6,097 Coca Cola Co. COMMON 191216100 3,431 52,164 35,132 17,032 Comcast Corp CL A COMMON 20030N101 4,457 202,867 134,209 68,658 Communication Systems COMMON 203900105 175 12,460 6,325 6,135 Compuware COMMON 205638109 1,425 122,082 101,032 21,050 Cooper Tire COMMON 216831107 1,529 64,830 47,170 17,660 Corning COMMON 219350105 1,998 103,393 79,524 23,869 Covidien PLC COMMON G2554F105 3,804 83,307 55,303 28,004 CSX COMMON 126408103 3,750 58,045 40,096 17,949 D R Horton COMMON 23331A109 2,099 175,946 120,923 55,023 Darden Restaurants COMMON 237194105 459 9,873 6,788 3,085 Delta Apparel COMMON 247368103 555 41,145 40,670 475 Devon Energy COMMON 25179M103 1,769 22,530 16,709 5,821 Diamond Offshore COMMON 25271c102 4,561 68,201 46,892 21,309 Digi International COMMON 253798102 894 80,539 73,156 7,383 Diodes COMMON 254543101 2,168 80,323 59,360 20,963 Disney, Walt COMMON 254687106 5,592 149,079 103,697 45,382 DTE Energy Co. COMMON 233331107 4,504 99,381 61,098 38,283 Ducommun COMMON 264147109 1,036 47,559 45,326 2,233 DuPont COMMON 263534109 2,674 53,618 35,664 17,954 Eaton COMMON 278058102 6,143 60,519 41,817 18,702 E-Bay COMMON 278642103 1,047 37,605 24,790 12,815 Edison International COMMON 281020107 2,334 60,467 44,772 15,695 EMC Corp COMMON 268648102 1,883 82,243 47,299 34,944 Endurance Specialty COMMON g30397106 1,283 27,852 21,622 6,230 Ericsson COMMON 294821608 2,983 258,681 150,127 108,554 Exelon COMMON 30161N101 330 7,936 2,747 5,189 Exxon Mobil COMMON 30231G102 4,823 65,960 46,378 19,582 FDX COMMON 31428X106 229 2,465 1,917 548 Fifth Third Bancorp COMMON 316773100 200 13,615 7,220 6,395 Flextronics COMMON Y2573F102 457 58,211 33,466 24,745 Forest Oil COMMON 346091705 633 16,675 11,040 5,635 Fortune Brands COMMON 349631101 756 12,550 6,388 6,162 Freeport McMoran Copper & Gold COMMON 35671D857 7,378 61,437 39,703 21,734 Gap (The) COMMON 364760108 337 15,234 3,335 11,899 General Dynamics COMMON 369550108 1,075 15,143 12,130 3,013 Genuine Parts COMMON 372460105 496 9,668 5,378 4,290 Goldman Sachs Group COMMON 38141G104 3,047 18,122 10,678 7,444 Goodyear Tire COMMON 382550101 681 57,483 45,740 11,743 Graftech Intl Ltd COMMON 384313102 2,246 113,213 69,918 43,295 Guess ? COMMON 401617105 891 18,831 12,955 5,876 Harbin Electric COMMON 41145W109 3,856 222,261 157,675 64,586 Hasbro COMMON 418056107 3,494 74,062 54,726 19,336 Healthstream COMMON 42222N103 996 123,928 120,000 3,928 Heartland Payment Systems COMMON 42235N108 1,542 100,011 59,053 40,958 Helen of Troy Ltd. COMMON G4388N106 785 26,410 19,405 7,005 Hewlett-Packard COMMON 428236103 1,854 44,042 30,201 13,841 Home Depot COMMON 437076102 4,437 126,550 86,594 39,957 HSBC Holdings ADR COMMON 404280406 259 5,074 2,728 2,346 Hudson City Bancorp COMMON 443683107 1,312 102,985 57,665 45,320 Ingersoll-Rand PLC COMMON G47791101 231 4,895 1,485 3,410 Insteel Industries COMMON 45774w108 426 34,079 15,895 18,184 Integrated Device COMMON 458118106 695 104,395 85,781 18,614 Intel COMMON 458140100 4,345 206,618 136,087 70,531 Intevac Inc COMMON 461148108 413 29,453 15,348 14,105 Int'l Business Machines COMMON 459200101 4,122 28,084 19,022 9,062 Int'l Game Technology COMMON 459902102 1,403 79,334 55,357 23,977 iShares Barclays 20+ Year Treasury Bond ETF 464287432 812 8,629 7,094 1,535 iShares Barclays 7-10 Year Treasury Bond ETF 464287440 1,792 19,101 16,801 2,300 iShares Barclays Lehman 1-3 Year Treasury Bond ETF 464287457 1,271 15,133 12,400 2,733 iShares Barclays Tip ETF 464287176 617 5,743 5,743 - iShares FTSE/Xinhua China 25 Index ETF 464287184 282 6,541 5,198 1,343 iShares GS & Investo ETF 464287242 275 2,535 2,535 - iShares IBOXX $ High Yield Corp Bond Fund ETF 464288513 663 7,340 7,340 - iShares MSCI Switzerland ETF 464286749 296 11,812 9,390 2,422 iShares MSCI Taiwan ETF 464286731 306 19,583 15,584 3,999 iShares Trust Comex Gold ETF 464285105 332 23,901 23,901 - Jack in the Box COMMON 466367109 1,334 63,145 38,425 24,720 JC Penney Co. COMMON 708160106 1,559 48,239 37,168 11,071 Jetblue Airways COMMON 477143101 150 22,725 11,790 10,935 Johnson & Johnson COMMON 478160104 2,636 42,615 30,484 12,131 JP Morgan Chase COMMON 46625H100 4,394 103,582 69,023 34,559 Kraft Foods CL A COMMON 50075N104 1,708 54,197 35,459 18,738 L-3 Communications Holdings COMMON 502424104 4,821 68,397 44,990 23,407 Lam Research COMMON 512807108 1,549 29,921 25,024 4,897 LifePartners COMMON 53215T106 544 28,425 20,205 8,220 Lithia Motors COMMON 536797103 694 48,559 40,295 8,264 LMI Aerospace COMMON 502079106 1,224 76,518 69,349 7,169 Lockheed Martin COMMON 539830109 3,556 50,872 31,726 19,146 LTC Properties COMMON 502175102 866 30,846 12,611 18,235 Manitowoc COMMON 563571108 1,274 97,140 77,630 19,510 Marathon Oil COMMON 565849106 5,438 146,849 101,037 45,812 Market Vectors Emerging Markets Local Currency Bond ETF 57060u522 432 16,199 13,164 3,035 Mattel COMMON 577081102 2,254 88,650 61,634 27,016 McDonalds COMMON 580135101 1,601 20,853 11,826 9,027 McKesson COMMON 58155Q103 4,725 67,142 45,134 22,008 MDC Holdings COMMON 552676108 1,865 64,813 43,204 21,609 Medtronic COMMON 585055106 600 16,177 8,775 7,402 Methanex COMMON 59151K108 4,168 137,113 81,098 56,015 Metlife COMMON 59156r108 1,117 25,129 20,088 5,041 Microchip Tech COMMON 595017104 840 24,558 12,439 12,119 Microsoft COMMON 594918104 4,717 169,023 113,523 55,500 Mosaic COMMON 61945a107 5,254 68,807 47,948 20,859 Nabors Industries Ltd. COMMON G6359F103 1,125 47,960 41,052 6,908 NASDAQ Stock Market COMMON 631103108 1,283 54,075 40,930 13,145 National Semiconductor COMMON 637640103 700 50,855 40,668 10,187 Navios Maritime Holdings Inc. COMMON Y62196103 2,537 480,567 276,418 204,149 Navistar International COMMON 63934E108 1,275 22,018 18,439 3,579 New York Community COMMON 649445103 662 35,108 13,788 21,320 Newell Rubbermaid COMMON 651229106 344 18,926 14,666 4,260 Nike CL B COMMON 654106103 278 3,255 790 2,465 Nippon Telegraph and Telephone COMMON 654624105 3,362 146,543 80,813 65,730 Nordic American COMMON g65773106 674 25,915 23,947 1,968 Nordstrom COMMON 655664100 4,197 99,021 67,069 31,952 Norfolk Southern COMMON 655844108 3,375 53,728 38,100 15,628 Novartis COMMON 66987V109 3,498 59,343 36,549 22,794 Nucor COMMON 670346105 1,319 30,093 18,457 11,636 Nutrisystem COMMON 67069D108 490 23,300 15,205 8,095 Occidental Petroleum COMMON 674599105 3,054 31,133 19,787 11,346 Oceaneering International COMMON 675232102 1,432 19,452 16,989 2,463 Olin COMMON 680665205 2,356 114,809 84,875 29,934 OM Group COMMON 670872100 1,662 43,151 34,961 8,190 Oracle COMMON 68389X105 401 12,801 4,301 8,500 Palomar Med Tech COMMON 697529303 4,946 348,050 239,501 108,549 Parker-Hannifin COMMON 701094104 393 4,551 3,321 1,230 Pepsico COMMON 713448108 1,007 15,408 10,847 4,561 Pericom Semiconductor COMMON 713831105 1,505 137,045 109,340 27,705 Petroleo Brasileiro SA COMMON 71654V408 4,082 107,870 73,249 34,621 Philip Morris Int'l COMMON 718172109 4,933 84,274 56,225 28,049 Phillips Van Heusen COMMON 718592108 1,704 27,040 16,427 10,613 Proctor & Gamble COMMON 742718109 246 3,824 2,117 1,707 Progress Software COMMON 743312100 382 9,000 3,150 5,850 Prudential COMMON 744320102 3,765 64,124 43,062 21,062 Raymond James COMMON 754730109 448 13,688 7,960 5,728 Raytheon Co. COMMON 755111507 864 18,654 16,670 1,984 Rowan Companies COMMON 779382100 2,198 62,966 46,147 16,819 Seagate Tech COMMON g7945m107 3,299 219,474 140,182 79,292 Ship Finance Int'l COMMON G81075106 365 16,951 7,119 9,832 Smith Midland Corp. COMMON 832156103 506 289,000 287,000 2,000 Spectra Energy COMMON 847560109 943 37,724 24,254 13,470 Stage Stores COMMON 85254c305 5,741 331,071 225,430 105,641 Stanley Works COMMON 854502101 1,224 18,298 11,556 6,742 Starbucks COMMON 855244109 1,901 59,155 44,226 14,929 Symantec COMMON 871503108 1,312 78,351 63,320 15,031 Synaptics COMMON 87157D109 344 11,700 7,720 3,980 Sysco COMMON 871829107 664 22,597 13,192 9,405 Taiwan Semiconductor COMMON 874039100 1,290 102,835 80,286 22,549 TCF Financial COMMON 872275102 2,873 193,977 134,137 59,840 Terex Corp COMMON 880779103 653 21,037 20,103 934 Texas Instruments COMMON 882508104 1,281 39,407 22,137 17,270 The Travelers Companies COMMON 89417e109 3,179 57,069 39,044 18,025 Thermo Fisher Scientific COMMON 883556102 2,871 51,865 36,945 14,920 Tidewater COMMON 886423102 1,648 30,600 23,116 7,484 Toll Brothers COMMON 889478103 1,324 69,660 51,360 18,300 Toronto Dominion COMMON 891160509 334 4,492 2,170 2,322 Total SA ADR COMMON 89151e109 543 10,159 3,854 6,305 Trident Micro COMMON 895919108 274 153,775 111,980 41,795 Triquint Semiconductor COMMON 89674K103 1,034 88,475 88,200 275 Tsakos Energy COMMON G9108L108 2,108 210,836 122,035 88,801 TTM Technologies COMMON 87305R109 577 38,679 31,164 7,515 Tutor Perini Corp COMMON 901109108 4,602 214,952 145,398 69,554 Tyson Foods COMMON 902494103 3,492 202,807 136,152 66,655 U.S. Ecology COMMON 91732J102 550 31,658 24,108 7,550 Ultratech COMMON 904034105 1,536 77,266 57,336 19,930 Union Pacific COMMON 907818108 1,083 11,688 10,021 1,667 United Online COMMON 911268100 2,955 447,679 295,497 152,182 United Technologies COMMON 913017109 2,960 37,606 21,967 15,639 UnitedHealth Group, Inc COMMON 91324p102 3,438 95,209 66,787 28,422 Unumprovident COMMON 91529Y106 1,315 54,285 46,340 7,945 US Bancorp COMMON 902973304 726 26,932 17,786 9,146 Vanguard SF REIT ETF ETF 922908553 617 11,142 11,142 - Vanguard Total Bond Market COMMON 921937835 3,078 38,350 32,415 5,935 Varian Semiconductor COMMON 922207105 3,641 98,495 58,790 39,705 Vascular Solutions COMMON 92231M109 791 67,509 66,259 1,250 Verizon Communications COMMON 92343V104 4,717 131,838 85,506 46,332 VF Corp COMMON 918204108 1,188 13,790 7,638 6,152 Vishay Intertechnology COMMON 928298108 1,745 118,863 84,774 34,089 W.R. Berkley COMMON 084423102 285 10,425 3,105 7,320 Walgreen COMMON 931422109 4,726 121,310 85,921 35,389 Wal-Mart Stores COMMON 931142103 4,278 79,316 52,098 27,217 Waste Management COMMON 94106L109 2,494 67,652 40,039 27,613 Wayside Technology Group COMMON 946760105 1,772 157,395 116,123 41,272 Weatherford Intl COMMON H27013103 4,360 191,214 114,390 76,824 Wells Fargo & Co. COMMON 949746101 1,134 36,593 34,968 1,625 Wesco Intl COMMON 95082P105 1,910 36,168 22,381 13,787 Western Digital COMMON 958102105 2,426 71,555 56,605 14,950 Western Union COMMON 959802109 324 17,454 14,039 3,415 Whirpool COMMON 963320106 5,709 64,264 42,181 22,083 Williams Companies COMMON 969457100 1,032 41,731 20,293 21,438 Williams Sonoma COMMON 969904101 1,365 38,236 31,325 6,911 World Wrestling Ent COMMON 98156Q108 482 33,841 18,346 15,495 Yamana Gold COMMON 98462Y100 5,244 409,706 274,828 134,878
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