-----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, L8eA9ba+lTTVVIpDSgHNarG4JICKnoK/OrPd9QBHP9ZYIny0zpIQ+WVSbTSMmnAA 5EJvbo+c72tNDb7/Iisq1w== 0001047469-10-000787.txt : 20100212 0001047469-10-000787.hdr.sgml : 20100212 20100212114225 ACCESSION NUMBER: 0001047469-10-000787 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100212 DATE AS OF CHANGE: 20100212 EFFECTIVENESS DATE: 20100212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GENEVA INVESTMENT MANAGEMENT OF CHICAGO LLC CENTRAL INDEX KEY: 0001269932 IRS NUMBER: 043689735 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10799 FILM NUMBER: 10596239 MAIL ADDRESS: STREET 1: 181 W MADISON STREET STREET 2: STE 3750 CITY: CHICAGO STATE: IL ZIP: 60602 13F-HR 1 a2196034z13f-hr.txt 13F-HR OMB APPROVAL OMB Number: 3235-0006 Expires: August 31, 2012 Estimated average burden hours per form . . . . . . . 23.5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 12/31/2009 ---------- 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: GENEVA INVESTMENT MANAGEMENT OF CHICAGO, LLC ------------------------------------------------------- Address: 181 WEST MADISON, SUITE 3575, CHICAGO, IL 60602 ------------------------------------------------------- Form 13F File Number 28- 10799 --------------------------------------- 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: Reporting Manager: Name: Thomas W. Ulrich ------------------------ Title: Principal ------------------------ Phone: 312-422-1720 ------------------------ Signature, Place, and Date of Signing: /s/ Thomas W. Ulrich - ------------------------ (Signature) Chicago, Illinois - ------------------------ (City, State) February 12, 2010 - ------------------------ (Date) Report Type (Check only one): [x] 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).) [ ] 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. (If there are no entries in this list, omit this section.) NONE - ----------------------- Form 13F Summary Page Report Summary: Number of Other Included Managers: 0 -------------------- Form 13F Information Table Entry Total: 168 -------------------- Form 13F Information Table Value Total: $1,628,968 (thousands) -------------------- List of Other Included Managers: NONE - -------------- GENEVA INVESTMENT MANAGEMENT OF CHICAGO, L.L.C. STOCK LIST 31-DEC-09
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - -------------------------------- -------------- --------- ---------- ------------------- ---------- -------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------------------------- -------------- --------- ---------- ---------- --- ---- ---------- -------- ---------- ------ ---- 3M COM 88579Y101 $ 1,203 14,557 SH SOLE 14,557 AT& T INC COM 00206r102 $ 1,539 54,896 SH SOLE 54,896 ABBOTT LABS COM 002824100 $ 1,408 26,071 SH SOLE 26,071 ALCON INC COM SHS h01301102 $ 19,558 119,004 SH SOLE 119,004 ALLIANT ENERGY CORP COM 018802108 $ 533 17,613 SH SOLE 17,613 ALTRIA GROUP INC COM 02209s103 $ 9,613 489,728 SH SOLE 489,728 AMAZON COM INC COM 023135106 $ 56,006 416,340 SH SOLE 416,340 AMPHENOL CORP NEW CL A 032095101 $ 9,230 199,868 SH SOLE 199,868 ANNALY CAP MGNT INC COM 035710409 $ 203 11,720 SH SOLE 11,720 APPLE INC COM 037833100 $ 69,371 329,190 SH SOLE 329,190 ARCSIGHT INC COM 039666102 $ 381 14,900 SH SOLE 14,900 ARENA RESOURCES INC COM 040049108 $ 12,103 280,673 SH SOLE 280,673 BAIDU INC SPON ADR REP A 056752108 $ 27,079 65,848 SH SOLE 65,848 BANCO SANTANDER SA ADR 05964h105 $ 11,994 729,578 SH SOLE 729,578 BANK OF AMERICA CORPORATION COM 060505104 $ 1,010 67,076 SH SOLE 67,076 BHP BILLITON LTD SPONSORED ADR 088606108 $ 19,677 256,945 SH SOLE 256,945 BLACKROCK INC COM 09247x101 $ 35,640 153,487 SH SOLE 153,487 BP PLC SPONSORED ADR 055622104 $ 11,168 192,653 SH SOLE 192,653 BROADCOM CORP CL A 111320107 $ 22,932 728,688 SH SOLE 728,688 BUCKEYE PARTNERS LP UNIT LTD PARTN 118230101 $ 12,991 238,580 SH SOLE 238,580 C H ROBINSON WORLDWIDE INC COM NEW 12541w209 $ 15,274 260,066 SH SOLE 260,066 CSX CORP COM 126408103 $ 5,822 120,061 SH SOLE 120,061 CAPELLA EDUCATION COMPANY COM 139594105 $ 12,411 164,824 SH SOLE 164,824 CELGENE CORP COM 151020104 $ 23,054 414,046 SH SOLE 414,046 CHEVRON CORP NEW COM 166764100 $ 25,608 332,615 SH SOLE 332,615 CHIPOTLE MEXICAN GRILL INC CL A 169656105 $ 15,779 178,978 SH SOLE 178,978 CISCO SYS INC COM 17275r102 $ 10,022 418,636 SH SOLE 418,636 CITIGROUP INC COM 172967101 $ 239 72,055 SH SOLE 72,055 CNINSURE INC SPONSORED ADR 18976m103 $ 698 34,740 SH SOLE 34,740 COCA COLA CO COM 191216100 $ 12,153 213,219 SH SOLE 213,219 COGNIZANT NEW TECHNOLOGY SOLUTIO CL A 192446102 $ 27,820 613,717 SH SOLE 613,717 COLGATE PALMOLIVE CO COM 194162103 $ 1,395 16,980 SH SOLE 16,980 CONOCOPHILLIPS COM 20825c104 $ 514 10,074 SH SOLE 10,074 COPANO ENERGY L L C COM UNITS 217202100 $ 293 12,239 SH SOLE 12,239 CTRIP COM INTL LTD ADR 22943F100 $ 13,126 182,658 SH SOLE 182,658 CYBERSOURCE CORP COM 23251J106 $ 582 28,940 SH SOLE 28,940 DANAHER CORP DEL COM 235851102 $ 2,194 29,174 SH SOLE 29,174 DEVON ENERGY CORP NEW COM 25179m103 $ 1,621 22,050 SH SOLE 22,050 DIAGEO P L C SPON ADR NEW 25243Q205 $ 5,975 86,085 SH SOLE 86,085 DIAMOND OFFSHORE INC DRILLING IN COM 25271c102 $ 13,866 140,890 SH SOLE 140,890 DIGITAL RLTY TR INC COM 253868103 $ 21,601 429,623 SH SOLE 429,623 DISNEY WALT CO COM DISNEY 254687106 $ 537 16,664 SH SOLE 16,664 DU PONT E I DE NEMOURS & CO COM 263534109 $ 539 16,011 SH SOLE 16,011 DUKE ENERGY CORP NEW COM 26441C105 $ 256 14,888 SH SOLE 14,888 ECHO GLOBAL LOGISTICS INC COM 27875t101 $ 686 54,079 SH SOLE 54,079 ELDORADO GOLD CORP NEW COM 284902103 $ 283 20,000 SH SOLE 20,000 EMERSON ELEC CO COM 291011104 $ 14,078 330,461 SH SOLE 330,461 ENERGY TRANSFER PARTNERS L P UNIT LTD PARTN 29273r109 $ 13,929 309,742 SH SOLE 309,742 ENTERPRISE PRODS PARTNERS LP COM 293792107 $ 31,888 1,015,221 SH SOLE 1,015,221 EXELON CORP COM 30161n101 $ 15,851 324,357 SH SOLE 324,357 EXPRESS SCRIPTS INC COM 302182100 $ 13,970 161,658 SH SOLE 161,658 EXXON MOBIL CORP COM 30231G102 $ 3,547 52,021 SH SOLE 52,021 FPL GROUP INC COM 302571104 $ 7,748 146,694 SH SOLE 146,694 F5 NETWORKS INC COM 315616102 $ 12,596 237,803 SH SOLE 237,803 FASTENAL COM 311900104 $ 5,253 126,148 SH SOLE 126,148 FEDEX CORP COM 31428x106 $ 1,069 12,806 SH SOLE 12,806 FIFTH THIRD BANCORP COM 316773100 $ 422 43,252 SH SOLE 43,252 FIRST MIDWEST BANCRP DEL COM 320867104 $ 396 36,406 SH SOLE 36,406 FIRSTBANK CORP MICH COM 33761G104 $ 513 60,963 SH SOLE 60,963 FREEPORTMCMORAN COPPER & GO COM 35671D857 $ 27,596 343,700 SH SOLE 343,700 GAFISA S A SPONS ADR 362607301 $ 864 26,710 SH SOLE 26,710 GENERAL ELECTRIC CO COM 369604103 $ 3,123 206,397 SH SOLE 206,397 GILEAD SCIENCES INC COM 375558103 $ 7,142 165,062 SH SOLE 165,062 GOLDMAN SACHS GROUP INC COM 38141g104 $ 9,298 55,070 SH SOLE 55,070 GOOGLE INC CL A 38259p508 $ 61,682 99,490 SH SOLE 99,490 GRAFTECH INTL LTD COM 384313102 $ 386 24,850 SH SOLE 24,850 GRAPHIC PACKAGING HLDG CO COM 388689101 $ 729 210,000 SH SOLE 210,000 GREEN MTN COFFEE ROASTERS INC COM 393122106 $ 27,608 338,869 SH SOLE 338,869 HCC INS HLDGS INC COM 404132102 $ 421 15,043 SH SOLE 15,043 HALLIBURTON CO COM 406216101 $ 438 14,540 SH SOLE 14,540 HDFC BANK LTD ADR REPS 3 SHS 40415F101 $ 24,945 191,769 SH SOLE 191,769 IAMGOLD CORP COM 450913108 $ 313 20,000 SH SOLE 20,000 ILLINOIS TOOL WKS INC COM 452308109 $ 800 16,676 SH SOLE 16,676 INERGY L P UNIT LTD PTNR 456615103 $ 7,165 200,815 SH SOLE 200,815 INTEL CORP COM 458140100 $ 587 28,791 SH SOLE 28,791 INTERNATIONAL BUSINESS MACHS COM 459200101 $ 3,416 26,096 SH SOLE 26,096 INTUITIVE SURGICAL INC COM NEW 46120E602 $ 19,555 64,447 SH SOLE 64,447 IRIDIUM COMMUNICATIONS COM 46269C102 $ 281 35,000 SH SOLE 35,000 ITC HLDGS CORP COM 465685105 $ 10,310 197,927 SH SOLE 197,927 JOHNSON & JOHNSON COM 478160104 $ 2,632 40,866 SH SOLE 40,866 JOHNSON CTLS INC COM 478366107 $ 534 19,621 SH SOLE 19,621 JPMORGAN CHASE & CO COM 46625h100 $ 17,488 419,679 SH SOLE 419,679 KANYE ANDERSON MLP INVSMNT COM 486606106 $ 283 11,285 SH SOLE 11,285 KINDER MORGAN ENERGY PARTNERS UT LTD PARTNER 494550106 $ 626 10,268 SH SOLE 10,268 KINDER MORGAN MANAGEMENT LLC SHS 49455U100 $ 1,141 20,889 SH SOLE 20,889 KRAFT FOODS INC CL A 50075N104 $ 7,678 282,479 SH SOLE 282,479 LIFE TECHNOLOGIES CORP COM 53217v109 $ 7,868 150,662 SH SOLE 150,662 LILLY ELI & COM COM 532457108 $ 372 10,422 SH SOLE 10,422 LONGTOP FINL TECHNOLOGIES LT ADR 54318P108 $ 10,461 282,586 SH SOLE 282,586 MAGELLAN MIDSTREAM PRTNRS LP COM UNI RP LP 559080106 $ 36,912 851,884 SH SOLE 851,884 MARSH & MCLENNAN COS INC COM 571748102 $ 882 39,946 SH SOLE 39,946 MASTERCARD INC CL A 57636q104 $ 57,189 223,410 SH SOLE 223,410 MAXIM INTEGRATED PRODS COM 57772K101 $ 6,604 325,020 SH SOLE 325,020 MCDONALDS CORP COM 580135101 $ 18,072 289,429 SH SOLE 289,429 MEDCO HEALTH SOLUTIONS INC COM 58405U102 $ 14,562 227,853 SH SOLE 227,853 MEDTRONIC INC COM 585055106 $ 642 14,587 SH SOLE 14,587 MERCADOLIBRE INC COM 58733R102 $ 5,193 100,108 SH SOLE 100,108 MERCK & CO INC NEW COM 58933Y105 $ 395 10,817 SH SOLE 10,817 MICROCHIP TECHNOLOGY INC COM 595017104 $ 11,071 381,102 SH SOLE 381,102 MICROSOFT CORP COM 594918104 $ 3,967 130,137 SH SOLE 130,137 MINDRAY MEDICAL INTL LTD SPON ADR 602675100 $ 1,092 32,186 SH SOLE 32,186 MORNINGSTAR INC COM 617700109 $ 8,059 166,720 SH SOLE 166,720 MOSAIC CO COM 61945A107 $ 39,257 657,235 SH SOLE 657,235 MSCI INC CL A 55354G100 $ 11,200 352,191 SH SOLE 352,191 NATIONAL OILWELL VARCO COM 637071101 $ 8,597 194,991 SH SOLE 194,991 NATIONAL PRESTO INDS INC COM 637215104 $ 7,429 68,010 SH SOLE 68,010 NEOGEN CORP COM 640491106 $ 412 17,436 SH SOLE 17,436 NETAPP INC COM 64110d104 $ 15,483 450,621 SH SOLE 450,621 NETSUITE INC COM 64118Q107 $ 224 14,010 SH SOLE 14,010 NORDSTROM INC COM 655664100 $ 4,994 132,901 SH SOLE 132,901 NORFOLK SOUTHERN CORP COM 655844108 $ 562 10,720 SH SOLE 10,720 NORTHERN TR CORP COM 665859104 $ 1,304 24,890 SH SOLE 24,890 NOVAMED INC DEL COM 66986W108 $ 5,699 1,468,687 SH SOLE 1,468,687 ORACLE CORP COM 68389x105 $ 252 10,267 SH SOLE 10,267 PENN WEST ENERGY TR TR UNIT 707885109 $ 233 13,249 SH SOLE 13,249 PEPSICO INC COM 713448108 $ 1,259 20,710 SH SOLE 20,710 PETRO-CDA COM 71646E100 $ 2,295 19,295 SH SOLE 19,295 PETROLEO BRASILEIRO SA PETRO SP ADR NON UTG 71654V408 $ 20,041 420,317 SH SOLE 420,317 PFIZER INC DEL COM 717081103 $ 1,679 92,286 SH SOLE 92,286 PHILIP MORRIS INTL INC COM 718172109 $ 40,415 838,660 SH SOLE 838,660 PIEDMONT NAT GAS INC COM 720186105 $ 693 25,900 SH SOLE 25,900 PLAINS ALL AMERN PIPELINE LP UNIT LTD PARTN 726503105 $ 32,748 619,632 SH SOLE 619,632 POLYMET MINING CORP COM 731916102 $ 459 150,000 SH SOLE 150,000 POTASH CORP SASK INC COM 73755l107 $ 1,202 11,078 SH SOLE 11,078 PRAXAIR INC COM 74005P104 $ 25,083 312,325 SH SOLE 312,325 PRICELINE COM INC COM NEW 741503403 $ 20,496 93,840 SH SOLE 93,840 PRIVATEBANCORP INC COM 742962103 $ 250 27,830 SH SOLE 27,830 PROCTER & GAMBLE CO COM 742718109 $ 7,156 118,020 SH SOLE 118,020 QUALCOMM INC COM 747525103 $ 29,841 645,078 SH SOLE 645,078 QUALITY SYS INC COM 747582104 $ 15,001 238,873 SH SOLE 238,873 RANGE RES CORP COM 75281A109 $ 13,497 270,760 SH SOLE 270,760 PRICE T ROWE GROUP INC COM 74144t108 $ 20,848 391,513 SH SOLE 391,513 SALESFORCE COM INC COM 79466I302 $ 30,560 414,261 SH SOLE 414,261 SCHLUMBERGER LTD COM 806857108 $ 1,494 22,950 SH SOLE 22,950 SILICON LABORATORIES INC COM 826919102 $ 15,320 316,665 SH SOLE 316,665 SILVER WHEATON CORP COM 828336107 $ 607 40,400 SH SOLE 40,400 SIMON PPT GROUP INC NEW NEW COM 828806109 $ 16,489 206,634 SH SOLE 206,634 SMARTHEAT INC COM 83172F104 $ 267 18,420 SH SOLE 18,420 SOCIEDAD QUIMICA MINER DE C SPON ADR 833635105 $ 956 25,450 SH SOLE 25,450 SOTHEBYS COM 835898107 $ 338 15,050 SH SOLE 15,050 SOUTHERN COPPER CORP COM 84265v105 $ 978 29,727 SH SOLE 29,727 SOUTHWESTERN ENERGY CO COM 845467109 $ 1,718 35,645 SH SOLE 35,645 STARBUCKS CORP COM 855244109 $ 5,704 247,363 SH SOLE 247,363 STERICYCLE INC COM 858912108 $ 25,126 455,436 SH SOLE 455,436 STRYKER CORP COM 863667101 $ 536 10,643 SH SOLE 10,643 SUNCOR ENERGY INC NEW COM 867224107 $ 25,069 709,960 SH SOLE 709,960 SUNOCO LOGISTICS PRTNRS COM UNITS 86764L108 $ 1,223 18,284 SH SOLE 18,284 SXC HEALTH SOLUTIONS CORP COM 78505P100 $ 16,486 305,579 SH SOLE 305,579 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 $ 1,425 25,372 SH SOLE 25,372 CHARLES SCHWAB CORP COM 808513105 $ 456 24,245 SH SOLE 24,245 TRANSOCEAN LTD REG SHS H8817H100 $ 15,462 186,744 SH SOLE 186,744 TYLER TECHNOLOGIES INC COM 902252105 $ 360 18,066 SH SOLE 18,066 US BANCORP DEL COM NEW 902973304 $ 489 21,735 SH SOLE 21,735 UNIFIRST CORP MASS COM 904708104 $ 722 15,000 SH SOLE 15,000 UNITED TECHNOLOGIES CORP COM 913017109 $ 14,457 208,291 SH SOLE 208,291 UNITEDHEALTH GROUP INC COM 91324p102 $ 518 16,990 SH SOLE 16,990 URBAN OUTFITTERS INC COM 917047102 $ 8,536 243,955 SH SOLE 243,955 VANCEINFO TECHNOLOGIES INC ADR 921564100 $ 9,230 480,477 SH SOLE 480,477 VERIZON COMMUNICATIONS INC COM 92343v104 $ 690 20,820 SH SOLE 20,820 VORNADO RLTY TR BEN INT 929042109 $ 12,755 182,376 SH SOLE 182,376 WMS INDS INC COM 929297109 $ 6,019 150,485 SH SOLE 150,485 WADDELL & REED FINL INC CL A 930059100 $ 559 18,315 SH SOLE 18,315 WALGREEN CO COM 931422109 $ 3,678 100,174 SH SOLE 100,174 WALMART STORES INC COM 931142103 $ 1,551 29,011 SH SOLE 29,011 WELLS FARGO & CO NEW COM 949746101 $ 336 12,467 SH SOLE 12,467 WESTERN UN CO COM 959802109 $ 226 12,003 SH SOLE 12,003 WISCONSIN ENERGY CORP COM 976657106 $ 1,844 37,014 SH SOLE 37,014 XTO ENERGY INC COM 98385X106 $ 546 11,724 SH SOLE 11,724 TOTAL $1,628,968 29,890,523 29,890,523
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