0001683168-16-000655.txt : 20161115
0001683168-16-000655.hdr.sgml : 20161115
20161114180516
ACCESSION NUMBER: 0001683168-16-000655
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160930
FILED AS OF DATE: 20161115
DATE AS OF CHANGE: 20161114
EFFECTIVENESS DATE: 20161115
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: AFAM CAPITAL, INC.
CENTRAL INDEX KEY: 0001167495
IRS NUMBER: 954074555
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-10139
FILM NUMBER: 161996968
BUSINESS ADDRESS:
STREET 1: 12117 FM 2244 BLDG 3, SUITE 170
CITY: AUSTIN
STATE: TX
ZIP: 78738
BUSINESS PHONE: 512-354-7044
MAIL ADDRESS:
STREET 1: 12117 FM 2244 BLDG 3, SUITE 170
CITY: AUSTIN
STATE: TX
ZIP: 78738
FORMER COMPANY:
FORMER CONFORMED NAME: AL FRANK ASSET MANAGEMENT INC
DATE OF NAME CHANGE: 20020215
FORMER COMPANY:
FORMER CONFORMED NAME: FRANK AL ASSET MANAGEMENT INC
DATE OF NAME CHANGE: 20020214
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001167495
XXXXXXXX
09-30-2016
09-30-2016
false
AFAM CAPITAL, INC.
12117 Fm 2244 Bldg 3, Suite 170
Austin
TX
78738
13F HOLDINGS REPORT
028-10139
N
John Buckingham
Chief Investment officer
512-354-7044
/s/ John Buckingham
Austin
TX
11-14-2016
0
174
625907
INFORMATION TABLE
2
infotable.xml
Abbott Laboratories
COMMON
002824100
5635
133239
SH
SOLE
115571
0
17669
Aetna
COMMON
00817Y108
10326
89444
SH
SOLE
76766
0
12678
Agrium
COMMON
008916108
1436
15836
SH
SOLE
14412
0
1424
Alaska Air Group
COMMON
011659109
784
11898
SH
SOLE
11180
0
718
Allianz SE
COMMON
018805101
862
58130
SH
SOLE
55570
0
2560
Allstate
COMMON
020002101
1696
24509
SH
SOLE
23583
0
926
American Eagle Outfitters
COMMON
02553E106
7016
392846
SH
SOLE
345365
0
47482
American Railcar
COMMON
02916P103
2689
64836
SH
SOLE
58391
0
6445
Amgen Inc
COMMON
031162100
9290
55692
SH
SOLE
49079
0
6613
Anworth Mortgage Asset Corp
COMMON
037347101
1693
344076
SH
SOLE
318527
0
25549
Apple Computer
COMMON
037833100
10195
90182
SH
SOLE
80177
0
10005
Archer-Daniels-Midland
COMMON
039483102
7334
173926
SH
SOLE
153530
0
20396
AT&T Inc
COMMON
00206r102
2183
53765
SH
SOLE
47553
0
6212
AVX Corp
COMMON
002444107
1948
141237
SH
SOLE
133126
0
8111
Axis Capital
COMMON
G0692U109
5413
99630
SH
SOLE
83740
0
15889
Baker Hughes
COMMON
057224107
4104
81306
SH
SOLE
68979
0
12327
Bank of America
COMMON
060505104
4090
261365
SH
SOLE
210382
0
50983
Bank of NY Mellon Corp
COMMON
064058100
5761
144466
SH
SOLE
123930
0
20536
Barrick Gold
COMMON
067901108
3206
180923
SH
SOLE
149890
0
31033
BB&T Corporation
COMMON
054937107
4360
115594
SH
SOLE
101213
0
14381
Benchmark Electronics
COMMON
08160h101
5999
240441
SH
SOLE
211055
0
29386
BHP Billiton
COMMON
088606108
757
21849
SH
SOLE
21132
0
717
Biogen Idec
COMMON
09062X103
5209
16642
SH
SOLE
14017
0
2625
Boeing Co
COMMON
097023105
1304
9900
SH
SOLE
9498
0
402
Bristow Group Inc
COMMON
110394103
953
67944
SH
SOLE
54562
0
13382
Brocade Communications Systems
COMMON
111621306
5217
565255
SH
SOLE
484576
0
80679
CA Inc
COMMON
12673P105
6683
202035
SH
SOLE
176141
0
25894
Canadian Imperial Bank of Commerce (CIBC)
COMMON
136069101
3427
44198
SH
SOLE
37835
0
6363
Capital One Financial
COMMON
14040H105
5208
72509
SH
SOLE
62668
0
9841
Cardinal Health
COMMON
14149Y108
1204
15490
SH
SOLE
14557
0
933
Carnival Corp
COMMON
143658300
1122
22978
SH
SOLE
22730
0
248
Caterpillar
COMMON
149123101
5378
60584
SH
SOLE
53655
0
6929
Celanese Corp
COMMON
150870103
7092
106554
SH
SOLE
92240
0
14314
Cisco Systems
COMMON
17275R102
9504
299626
SH
SOLE
262901
0
36725
Coach
COMMON
189754104
6446
176311
SH
SOLE
153195
0
23117
Comcast Corp CL A
COMMON
20030N101
8170
123149
SH
SOLE
105285
0
17864
Corning
COMMON
219350105
8606
363878
SH
SOLE
320264
0
43615
Credit Suisse Group
COMMON
225401108
948
72139
SH
SOLE
60012
0
12127
CSX
COMMON
126408103
1060
34764
SH
SOLE
34134
0
630
Cummins Inc
COMMON
231021106
5618
43839
SH
SOLE
37561
0
6278
CVS Health
COMMON
126650100
3823
42964
SH
SOLE
36534
0
6430
Deere & Co.
COMMON
244199105
5495
64382
SH
SOLE
56614
0
7768
Delta Air Lines
COMMON
247361702
3731
94794
SH
SOLE
80023
0
14771
Diodes
COMMON
254543101
358
16768
SH
SOLE
11003
0
5765
DSW Inc
COMMON
23334L102
2109
102994
SH
SOLE
93433
0
9561
Eaton Corp PLC
COMMON
G29183103
7592
115536
SH
SOLE
103160
0
12376
ENI SPA ADR
COMMON
26874r108
840
29109
SH
SOLE
25204
0
3905
Ensco PLC
COMMON
G3157S106
771
90662
SH
SOLE
77654
0
13008
Entergy
COMMON
29364G103
3801
49532
SH
SOLE
46053
0
3479
Ericsson
COMMON
294821608
2813
390158
SH
SOLE
338225
0
51933
Exxon Mobil
COMMON
30231G102
5280
60499
SH
SOLE
54065
0
6435
FedEx Corp
COMMON
31428X106
5212
29836
SH
SOLE
24585
0
5251
Fifth Third Bancorp
COMMON
316773100
4531
221470
SH
SOLE
184839
0
36631
Fluor
COMMON
343412102
3627
70676
SH
SOLE
61724
0
8952
Foot Locker
COMMON
344849104
1220
18008
SH
SOLE
17574
0
434
General Electric Co.
COMMON
369604103
1567
52899
SH
SOLE
48242
0
4657
General Motors
COMMON
37045V100
4867
153197
SH
SOLE
130171
0
23026
Gilead Sciences
COMMON
375558103
4984
62994
SH
SOLE
55307
0
7686
Goldman Sachs Group
COMMON
38141G104
2877
17839
SH
SOLE
14991
0
2849
Goodyear Tire
COMMON
382550101
6822
211208
SH
SOLE
182817
0
28391
Halliburton Co.
COMMON
406216101
3161
70443
SH
SOLE
59458
0
10985
HollyFrontier Corp
COMMON
436106108
3460
141235
SH
SOLE
123170
0
18065
Honda Motor
COMMON
438128308
1467
50731
SH
SOLE
46776
0
3955
HSBC Holdings PLC
COMMON
404280406
1491
39638
SH
SOLE
36626
0
3012
ING Groep NV
COMMON
456837103
4169
337846
SH
SOLE
275780
0
62066
Ingram Micro
COMMON
457153104
5655
158573
SH
SOLE
132406
0
26167
Intel
COMMON
458140100
9252
245088
SH
SOLE
218699
0
26389
Int'l Business Machines
COMMON
459200101
5749
36194
SH
SOLE
32324
0
3871
Jabil Circuit
COMMON
466313103
2329
106741
SH
SOLE
97638
0
9103
Johnson & Johnson
COMMON
478160104
7375
62429
SH
SOLE
56146
0
6283
JP Morgan Chase
COMMON
46625H100
8426
126539
SH
SOLE
111728
0
14811
Keycorp
COMMON
493267108
1494
122760
SH
SOLE
110393
0
12367
Kimberly Clark
COMMON
494368103
1825
14468
SH
SOLE
13169
0
1299
Kohl's
COMMON
500255104
4019
91858
SH
SOLE
78140
0
13717
Lexmark Int'l
COMMON
529771107
4638
116070
SH
SOLE
104473
0
11597
Manpower Inc
COMMON
56418H100
7968
110265
SH
SOLE
95935
0
14329
Marvell Tech
COMMON
g5876h105
3234
243727
SH
SOLE
209213
0
34513
McKesson
COMMON
58155Q103
3692
22140
SH
SOLE
18272
0
3868
MDC Holdings
COMMON
552676108
6481
251199
SH
SOLE
219532
0
31667
Medtronic PLC
COMMON
G5960L103
1385
16032
SH
SOLE
15392
0
640
Merck & Co.
COMMON
58933Y105
1595
25560
SH
SOLE
25234
0
326
Metlife
COMMON
59156r108
4764
107231
SH
SOLE
92730
0
14500
Microsoft
COMMON
594918104
10346
179611
SH
SOLE
158484
0
21127
Mosaic Company New
COMMON
61945c103
2901
118603
SH
SOLE
102917
0
15686
National Oilwell
COMMON
637071101
5045
137330
SH
SOLE
120471
0
16859
Navios Maritime Holdings Inc
COMMON
Y62196103
643
531549
SH
SOLE
438978
0
92571
Newmont Mining Corp Holding Co.
COMMON
651639106
2677
68131
SH
SOLE
63452
0
4679
Nippon Telegraph and Telephone
COMMON
654624105
3495
76289
SH
SOLE
62117
0
14172
Norfolk Southern
COMMON
655844108
7529
77567
SH
SOLE
67428
0
10139
Old National Bancorp
COMMON
680033107
4724
336020
SH
SOLE
292319
0
43700
Oracle
COMMON
68389X105
5792
147451
SH
SOLE
125894
0
21557
PetMed Express
COMMON
716382106
2032
100190
SH
SOLE
94186
0
6004
Pfizer
COMMON
717081103
2464
72763
SH
SOLE
63156
0
9607
PNC Bank
COMMON
693475105
5133
56979
SH
SOLE
48926
0
8053
Prudential
COMMON
744320102
7383
90427
SH
SOLE
80310
0
10116
Qualcomm
COMMON
747525103
2453
35814
SH
SOLE
33093
0
2721
Rayonier
COMMON
754907103
829
31225
SH
SOLE
27513
0
3712
Royal Caribbean Cruises
COMMON
v7780t103
6564
87584
SH
SOLE
73883
0
13701
Royal Dutch Shell A
COMMON
780259206
2160
43140
SH
SOLE
36653
0
6488
Sanofi
COMMON
80105n105
4586
120078
SH
SOLE
107048
0
13030
Seagate Tech
COMMON
g7945m107
8078
209544
SH
SOLE
183282
0
26263
Ship Finance Int'l
COMMON
G81075106
2763
187579
SH
SOLE
173996
0
13583
Shire Pharmaceuticals
COMMON
82481R106
3781
19504
SH
SOLE
16582
0
2922
Stage Stores
COMMON
85254c305
611
108830
SH
SOLE
106533
0
2297
Staples
COMMON
855030102
1898
222043
SH
SOLE
189476
0
32567
Symantec
COMMON
871503108
6211
247439
SH
SOLE
219794
0
27645
Synchrony Financial
COMMON
87165B103
685
24466
SH
SOLE
22204
0
2262
Target
COMMON
87612E106
5034
73295
SH
SOLE
62360
0
10935
TeeKay Shipping
COMMON
Y8564W103
1331
172618
SH
SOLE
142885
0
29733
The Travelers Companies
COMMON
89417e109
2138
18666
SH
SOLE
17023
0
1643
Total SA ADR
COMMON
89151e109
2969
62253
SH
SOLE
57140
0
5113
Trinity Industries
COMMON
896522109
3078
127281
SH
SOLE
110623
0
16658
Tsakos Energy
COMMON
G9108L108
1561
323825
SH
SOLE
273176
0
50649
Tutor Perini Corp
COMMON
901109108
4642
216217
SH
SOLE
185293
0
30924
Tyson Foods
COMMON
902494103
5188
69482
SH
SOLE
59477
0
10005
Universal Corp
COMMON
913456109
1074
18448
SH
SOLE
17840
0
608
Wal-Mart Stores
COMMON
931142103
5601
77659
SH
SOLE
69836
0
7823
Walt Disney
COMMON
254687106
9912
106740
SH
SOLE
93275
0
13466
Wells Fargo & Co.
COMMON
949746101
4783
108019
SH
SOLE
94994
0
13025
Whirpool
COMMON
963320106
5437
33528
SH
SOLE
29447
0
4082
Yamana Gold
COMMON
98462Y100
3560
825993
SH
SOLE
733039
0
92954
Consumer Discret Select Sector SPDR
ETF
81369Y407
3482
43501
SH
SOLE
42889
0
612
Consumer Staples Select Sector SPDR
ETF
81369Y308
1022
19198
SH
SOLE
18519
0
679
Direxion Daily Dev Mkts Bull 3X Shrs
ETF
25459W789
415
8679
SH
SOLE
8679
0
0
Direxion Daily S&P500 Bull 3X Shares
ETF
25459W862
360
3703
SH
SOLE
3703
0
0
Direxion Daily Small Cap Bull 3X Shares
ETF
25459W847
210
2627
SH
SOLE
2627
0
0
Energy Select Sector SPDR
ETF
81369Y506
3025
42845
SH
SOLE
42143
0
702
Financials Select Sector SPDR
ETF
81369Y605
4034
209002
SH
SOLE
206991
0
2011
Health Care Select Sector SPDR
ETF
81369Y209
4085
56647
SH
SOLE
55976
0
671
iShares Barclays 3-7 Year Treasury Bond ETF
ETF
464288661
951
7513
SH
SOLE
7436
0
77
iShares Barclays 7-10 Year Treasury
ETF
464287440
1432
12803
SH
SOLE
12615
0
188
iShares Barclays Agency Bond
ETF
464288166
1130
9775
SH
SOLE
9346
0
429
iShares Barclays MBS Bond ETF
ETF
464288588
2684
24377
SH
SOLE
23326
0
1051
iShares iBoxx Invest Grade Corp Bond
ETF
464287242
2421
19650
SH
SOLE
19443
0
207
iShares JPMorgan USD Emerg Markets Bond
ETF
464288281
599
5113
SH
SOLE
5113
0
0
iShares MSCI All Peru Capped Index Fund
ETF
464289842
1451
43693
SH
SOLE
43693
0
0
iShares MSCI Australia Index
ETF
464286103
3821
182808
SH
SOLE
176273
0
6535
iShares MSCI Austria Index
ETF
464286202
1459
89391
SH
SOLE
89391
0
0
iShares MSCI Belgium Capped Index
ETF
464286301
1871
99210
SH
SOLE
92237
0
6973
iShares MSCI Brazil Capped Index Fund
ETF
464286400
1833
54331
SH
SOLE
50467
0
3864
iShares MSCI France Index Fund
ETF
464286707
1296
53644
SH
SOLE
53644
0
0
iShares MSCI Germany Index Fund
ETF
464286806
4838
184167
SH
SOLE
179258
0
4909
iShares MSCI Hong Kong Index
ETF
464286871
1808
82148
SH
SOLE
82148
0
0
iShares MSCI Indonesia Index
ETF
46429B309
1934
73147
SH
SOLE
67958
0
5189
iShares MSCI Ireland Index
ETF
46429B507
1796
47256
SH
SOLE
47256
0
0
iShares MSCI Italy Capped Inde
ETF
46434G830
1174
106527
SH
SOLE
106527
0
0
iShares MSCI Japan Index
ETF
46434G822
7129
568517
SH
SOLE
557872
0
10645
iShares MSCI Netherlands Inves
ETF
464286814
3310
132068
SH
SOLE
126860
0
5208
iShares MSCI New Zealand Index
ETF
464289123
2092
44662
SH
SOLE
43268
0
1394
iShares MSCI Philippines Index
ETF
46429B408
939
25203
SH
SOLE
23500
0
1703
iShares MSCI South Korea Index
ETF
464286772
3943
67838
SH
SOLE
65490
0
2348
iShares MSCI Spain Capped Index
ETF
464286764
1249
46572
SH
SOLE
46572
0
0
iShares MSCI Switzerland Index
ETF
464286749
4022
131644
SH
SOLE
127648
0
3996
iShares MSCI Taiwan Index
ETF
46434G772
4273
272156
SH
SOLE
263581
0
8575
iShares MSCI Thailand Capped ETF
ETF
464286624
1770
24072
SH
SOLE
23156
0
916
iShares MSCI Turkey Investable Market Index Fund
ETF
464286715
1399
36949
SH
SOLE
35238
0
1711
iShares MSCI United Kingdom Index
ETF
46435G334
5101
322045
SH
SOLE
314140
0
7905
iShares National Muni Bond
ETF
464288414
862
7647
SH
SOLE
7566
0
81
iShares Russell 2000 Value Index Fund
ETF
464287630
1423
13584
SH
SOLE
13348
0
236
Materials Select Sector SPDR
ETF
81369Y100
569
11917
SH
SOLE
11917
0
0
PIMCO 0-5 Year High Yield Corporate Bond Index ETF
ETF
72201R783
2848
28627
SH
SOLE
28243
0
384
Powershares DB Optimum Yield
ETF
73937V106
588
33725
SH
SOLE
33725
0
0
Powershares Senior Loan Portfolio
ETF
73936Q769
468
20147
SH
SOLE
19427
0
720
Real Estate Select SPDR
ETF
81369Y860
953
29090
SH
SOLE
28811
0
279
SPDR S&P Emerging Markets Small Cap ETF
ETF
78463X756
2102
48692
SH
SOLE
48692
0
0
Technology Select Sector SPDR
ETF
81369Y803
5637
117987
SH
SOLE
116956
0
1031
Vaneck Vectors Emerging Markets High Yield Bond ETF
ETF
92189F353
7695
311794
SH
SOLE
302277
0
9517
Vaneck Vectors Russia ETF
ETF
92189F403
2264
120666
SH
SOLE
113674
0
6992
Vanguard Interm-Tm Corp Bond Index ETF
ETF
92206C870
4525
50513
SH
SOLE
47715
0
2798
Vanguard Mortgage-Backed Securities ETF
ETF
92206c771
3438
63707
SH
SOLE
62177
0
1530
Vanguard Short-Term Bond ETF
ETF
921937827
987
12210
SH
SOLE
11571
0
639
Vanguard Short-Term Corp Bond Index ETF
ETF
92206C409
615
7631
SH
SOLE
7355
0
276
Vanguard Telecom Services ETF
ETF
92204A884
601
6362
SH
SOLE
6233
0
129
Vanguard Total Bond Market ETF
ETF
921937835
3008
35745
SH
SOLE
33691
0
2054