0001019687-12-000380.txt : 20120208
0001019687-12-000380.hdr.sgml : 20120208
20120208125518
ACCESSION NUMBER: 0001019687-12-000380
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111231
FILED AS OF DATE: 20120208
DATE AS OF CHANGE: 20120208
EFFECTIVENESS DATE: 20120208
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: 12580788
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.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 December 31, 2011
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 8, 2012
------------------------------------------
(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: 139
Form 13F Information Table Value Total: $454,423 (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 12/31/11
FORM 13F INFORMATION TABLE
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
3M Corp. COMMON 88579Y101 $ 1,521 18,605 SH Sole 10,171 8,434
Abbott Laboratories COMMON 002824100 $ 5,438 96,706 SH Sole 65,954 30,752
Aceto Corp COMMON 004446100 $ 2,688 389,625 SH Sole 217,047 172,578
Activision Blizzard COMMON 00507V109 $ 4,248 344,803 SH Sole 235,607 109,196
Aetna COMMON 00817Y108 $ 4,504 106,745 SH Sole 71,474 35,272
Alpha & Omega Semiconductor
Inc. COMMON g6331p104 $ 522 71,360 SH Sole 70,085 1,275
American Software COMMON 029683109 $ 4,465 472,519 SH Sole 322,246 150,273
Ameriprise Financial COMMON 03076C106 $ 5,369 108,158 SH Sole 73,902 34,256
Anworth Mortgage Asset
Corp COMMON 037347101 $ 633 00,864 SH Sole 86,361 14,503
Apache COMMON 037411105 $ 4,302 47,491 SH Sole 32,866 14,625
Apple Computer COMMON 037833100 $ 3,106 7,670 SH Sole 5,238 2,432
Archer-Daniels-Midland COMMON 039483102 $ 5,658 197,824 SH Sole 134,825 62,999
Baker Hughes COMMON 057224107 $ 995 20,463 SH Sole 11,265 9,198
Bank of NY Mellon Corp. COMMON 064058100 $ 3,538 177,685 SH Sole 115,394 62,291
Barclays Capital High Yield
Bond ETF 78464a417 $10,656 277,132 SH Sole 263,440 13,692
Baxter International COMMON 071813109 $ 4,812 97,257 SH Sole 65,407 31,850
BB&T Corporation COMMON 054937107 $ 3,690 146,610 SH Sole 100,016 46,594
Benchmark Electronics COMMON 08160h101 $ 3,808 282,677 SH Sole 192,705 89,972
Best Buy COMMON 086516101 $ 480 20,558 SH Sole 13,353 7,205
BHP Billiton COMMON 088606108 $ 1,983 28,077 SH Sole 22,892 5,185
BioMed Realty COMMON 09063H107 $ 3,288 181,853 SH Sole 129,484 52,368
Black Box Corp COMMON 091826107 $ 536 19,114 SH Sole 12,484 6,630
Briggs & Stratton COMMON 109043109 $ 4,417 285,160 SH Sole 185,723 99,437
Bristow Group Inc COMMON 110394103 $ 5,737 121,063 SH Sole 83,238 37,825
Brocade Communications
Systems COMMON 111621306 $ 2,972 572,619 SH Sole 347,761 224,858
Caterpillar COMMON 149123101 $ 780 8,605 SH Sole 5,729 2,876
Celanese Corp COMMON 150870103 $ 5,087 114,906 SH Sole 76,916 37,990
Chesapeake Energy COMMON 165167107 $ 4,179 187,481 SH Sole 128,012 59,469
Cisco Systems COMMON 17275R102 $ 6,154 340,370 SH Sole 226,002 114,368
Comcast Corp CL A COMMON 20030N101 $ 4,910 207,079 SH Sole 136,510 70,569
Compuware COMMON 205638109 $ 985 118,415 SH Sole 99,615 18,800
Cooper Tire COMMON 216831107 $ 5,682 405,595 SH Sole 279,823 125,772
Covidien PLC COMMON G2554F113 $ 4,120 91,534 SH Sole 62,027 29,507
Credit Suisse Group COMMON 225401108 $ 4,086 174,022 SH Sole 117,092 56,930
DDi Corp. COMMON 233162502 $ 916 98,167 SH Sole 63,578 34,589
Delta Apparel COMMON 247368103 $ 764 40,000 SH Sole 40,000 -
Diamond Offshore COMMON 25271c102 $ 3,350 60,629 SH Sole 39,664 20,965
Diodes COMMON 254543101 $ 1,550 72,761 SH Sole 54,209 18,552
Direxion Daily Devel Mkts
Bull 3X Shares ETF 25459W789 $ 435 14,341 SH Sole 14,341 -
Direxion Daily Emerg Mkts
Bull 3X Shares ETF 25459W300 $ 372 4,984 SH Sole 4,984 -
Direxion Daily Large Cap
Bull 3X Shares ETF 25459W862 $ 361 5,940 SH Sole 5,940 -
Direxion Daily Real Estate
Bull 3x ETF 25459w755 $ 203 3,927 SH Sole 3,927 -
Disney, Walt COMMON 254687106 $ 5,656 150,820 SH Sole 105,618 45,202
DTE Energy Co. COMMON 233331107 $ 7,005 128,648 SH Sole 85,521 43,128
DuPont COMMON 263534109 $ 2,461 53,764 SH Sole 36,437 17,327
Eaton COMMON 278058102 $ 5,772 132,604 SH Sole 91,123 41,481
ENI SPA ADR COMMON 26874r108 $ 1,878 45,509 SH Sole 34,083 11,426
Ericsson COMMON 294821608 $ 3,548 350,215 SH Sole 212,335 137,879
Exelon COMMON 30161N101 $ 549 12,650 SH Sole 6,941 5,709
Exxon Mobil COMMON 30231G102 $ 5,733 67,641 SH Sole 48,376 19,265
Foot Locker COMMON 344849104 $ 331 13,870 SH Sole 10,125 3,745
Freeport McMoran Copper &
Gold COMMON 35671D857 $ 5,276 143,409 SH Sole 93,630 49,779
General Dynamics COMMON 369550108 $ 4,590 69,115 SH Sole 46,665 22,450
Goldman Sachs Group COMMON 38141G104 $ 1,909 21,115 SH Sole 11,861 9,254
Hasbro COMMON 418056107 $ 2,017 63,262 SH Sole 47,683 15,579
Heartland Payment Systems COMMON 42235N108 $ 2,607 107,008 SH Sole 66,467 40,541
Hewlett-Packard COMMON 428236103 $ 990 38,441 SH Sole 29,146 9,295
Home Depot COMMON 437076102 $ 6,017 143,123 SH Sole 97,069 46,054
Hudson City Bancorp COMMON 443683107 $ 2,828 452,441 SH Sole 245,424 207,017
Ingram Micro COMMON 457153104 $ 4,374 240,489 SH Sole 160,885 79,604
Intel COMMON 458140100 $ 6,185 255,049 SH Sole 168,013 87,037
Int'l Business Machines COMMON 459200101 $ 5,548 30,175 SH Sole 21,312 8,863
iShares 10+ Year Credit
Bond Fund ETF 464289511 $ 1,900 32,196 SH Sole 30,325 1,871
iShares Barclays 1-3 Year
Credit Bond Fund ETF 464288646 $ 3,690 35,413 SH Sole 33,354 2,059
iShares Barclays 7-10 Year
Treasury Bond ETF 464287440 $ 4,956 46,943 SH Sole 44,145 2,798
iShares Barclays
Intermediate Credit Bond ETF 464288638 $ 3,700 34,526 SH Sole 32,508 2,018
iShares Barclays Lehman
1-3 Year Treasury Bond ETF 464287457 $ 1,850 21,888 SH Sole 20,604 1,284
iShares Barclays Tip ETF 464287176 $ 1,134 9,722 SH Sole 9,722 -
iShares IBOXX $ High Yield
Corp Bond Fund ETF 464288513 $ 1,428 15,967 SH Sole 15,967 -
iShares Trust Comex Gold ETF ETF 464285105 $ 671 44,069 SH Sole 44,069 -
JP Morgan Chase COMMON 46625H100 $ 4,888 147,002 SH Sole 99,038 47,964
Kraft Foods CL A COMMON 50075N104 $ 3,682 98,546 SH Sole 68,700 29,847
L-3 Communications Holdings COMMON 502424104 $ 4,575 68,616 SH Sole 45,451 23,165
Lockheed Martin COMMON 539830109 $ 5,304 65,566 SH Sole 43,076 22,490
LTC Properties COMMON 502175102 $ 1,127 36,517 SH Sole 17,679 18,838
Manpower Inc. COMMON 56418H100 $ 4,647 129,994 SH Sole 88,740 41,254
Marathon Oil COMMON 565849106 $ 4,609 157,459 SH Sole 109,540 47,919
Marathon Petroleum COMMON 56585A102 $ 3,786 113,741 SH Sole 75,658 38,084
Market Vectors Emerging
Markets Local Currency Bond ETF 57060u522 $ 2,140 87,303 SH Sole 83,208 4,095
McKesson COMMON 58155Q103 $ 5,347 68,629 SH Sole 47,252 21,377
MDC Holdings COMMON 552676108 $ 4,628 262,533 SH Sole 182,087 80,446
Merck & Co. COMMON 58933Y105 $ 844 22,383 SH Sole 13,618 8,765
Microchip Tech COMMON 595017104 $ 2,970 81,077 SH Sole 56,890 24,187
Microsoft COMMON 594918104 $ 5,613 216,201 SH Sole 152,265 63,936
Navios Maritime Holdings Inc. COMMON Y62196103 $ 4,273 196,814 SH Sole 795,251 401,563
New York Community COMMON 649445103 $ 1,056 85,366 SH Sole 53,124 32,242
Nexen COMMON 65334H102 $ 4,781 300,528 SH Sole 206,096 94,432
Nippon Telegraph and
Telephone COMMON 654624105 $ 6,286 248,149 SH Sole 163,337 84,812
Norfolk Southern COMMON 655844108 $ 7,155 98,207 SH Sole 67,141 31,066
Novartis COMMON 66987V109 $ 4,732 82,765 SH Sole 57,623 25,142
Nucor COMMON 670346105 $ 1,490 37,664 SH Sole 22,606 15,058
OM Group COMMON 670872100 $ 839 37,454 SH Sole 29,979 7,475
Palomar Med Tech COMMON 697529303 $ 4,135 444,658 SH Sole 300,983 143,675
Pepsico COMMON 713448108 $ 1,309 19,735 SH Sole 13,819 5,916
Petroleo Brasileiro SA COMMON 71654V408 $ 1,979 79,646 SH Sole 53,206 26,440
Philip Morris Int'l COMMON 718172109 $ 6,646 84,679 SH Sole 56,653 28,025
Portugal Telecom Spons ADR COMMON 737273102 $ 1,431 248,072 SH Sole 179,188 68,884
Protective Life COMMON 743674103 $ 5,812 257,639 SH Sole 174,539 83,100
Prudential COMMON 744320102 $ 4,525 90,283 SH Sole 60,344 29,939
Radio Shack COMMON 750438103 $ 1,144 117,867 SH Sole 67,271 50,596
Raytheon Co. COMMON 755111507 $ 1,729 35,735 SH Sole 29,262 6,473
Seagate Tech COMMON g7945m107 $ 5,564 339,244 SH Sole 226,457 112,787
Ship Finance Int'l COMMON G81075106 $ 1,879 201,196 SH Sole 135,515 65,681
Smith Midland Corp. COMMON 832156103 $ 405 289,000 SH Sole 287,000 2,000
Stage Stores COMMON 85254c305 $ 4,604 331,445 SH Sole 216,312 115,133
Standard & Poor's
Depository Receipt ETF 78462F103 $ 289 2,301 SH Sole 2,301 -
Stanley Works COMMON 854502101 $ 784 11,605 SH Sole 6,859 4,746
Staples COMMON 855030102 $ 4,455 320,752 SH Sole 216,892 103,860
STMicroelectronics N.V. COMMON 861012102 $ 2,871 484,086 SH Sole 287,920 196,166
Symantec COMMON 871503108 $ 295 18,858 SH Sole 9,670 9,188
Synovus Fin'l COMMON 87161C105 $ 48 34,050 SH Sole 34,050 -
TCF Financial COMMON 872275102 $ 2,773 268,667 SH Sole 198,237 70,430
The Travelers Companies COMMON 89417e109 $ 1,685 28,471 SH Sole 15,494 12,977
Thermo Fisher Scientific COMMON 883556102 $ 3,901 86,751 SH Sole 59,627 27,124
Total SA ADR COMMON 89151e109 $ 2,115 41,389 SH Sole 33,412 7,977
Tsakos Energy COMMON G9108L108 $ 1,510 315,971 SH Sole 199,239 116,733
Tutor Perini Corp COMMON 901109108 $ 3,095 250,828 SH Sole 176,151 74,677
Tyson Foods COMMON 902494103 $ 5,786 280,340 SH Sole 187,146 93,194
U R S COMMON 903236107 $ 3,838 109,285 SH Sole 74,792 34,493
United Online COMMON 911268100 $ 4,564 838,953 SH Sole 560,465 278,488
UnitedHealth Group, Inc COMMON 91324p102 $ 3,784 74,664 SH Sole 52,207 22,457
Vanguard Emerging Markets ETF ETF 922042858 $ 330 8,630 SH Sole 8,630 -
Vanguard Intermediate Term
Corporate Bond ETF 92206c870 $ 871 10,579 SH Sole 10,579 -
Vanguard Long-Term
Corporate Bond ETF 92206c813 $ 3,543 40,860 SH Sole 39,592 1,268
Vanguard Short-Term Corporate
Bond ETF 92206c409 $ 347 4,457 SH Sole 4,457 -
Vanguard Total Bond Market ETF 921937835 $ 8,621 103,194 SH Sole 97,950 5,244
Verizon Communications COMMON 92343V104 $ 6,061 151,065 SH Sole 100,091 50,974
Walgreen COMMON 931422109 $ 4,982 150,683 SH Sole 100,516 50,167
Wal-Mart Stores COMMON 931142103 $ 5,079 84,982 SH Sole 57,493 27,490
Waste Management COMMON 94106L109 $ 5,299 162,008 SH Sole 109,937 52,071
Wayside Technology Group COMMON 946760105 $ 1,179 96,642 SH Sole 71,715 24,927
Weatherford Intl COMMON H27013103 $ 4,069 277,919 SH Sole 190,208 87,711
Wells Fargo & Co. COMMON 949746101 $ 1,016 36,867 SH Sole 35,887 980
Wesco Intl COMMON 95082P105 $ 1,586 29,910 SH Sole 17,007 12,903
Western Digital COMMON 958102105 $ 1,178 38,057 SH Sole 24,893 13,164
Whirpool COMMON 963320106 $ 4,312 90,866 SH Sole 58,224 32,642
World Wrestling Ent COMMON 98156Q108 $ 487 52,302 SH Sole 24,221 28,081
Xyratex COMMON G98268108 $ 4,615 346,484 SH Sole 222,069 124,415
Yamana Gold COMMON 98462Y100 $ 5,027 342,180 SH Sole 230,571 111,608