-----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, El3wkcwnGh3YguTFibFMs9tiQOCDd9zxGW/aV6QWh2w98KAubvny+/B/4MW5urRQ fREgFTX4OnYTqsPVBNj72w== 0001047469-10-005165.txt : 20100512 0001047469-10-005165.hdr.sgml : 20100512 20100512121305 ACCESSION NUMBER: 0001047469-10-005165 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100512 DATE AS OF CHANGE: 20100512 EFFECTIVENESS DATE: 20100512 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: 10823375 MAIL ADDRESS: STREET 1: 181 W MADISON STREET STREET 2: STE 3750 CITY: CHICAGO STATE: IL ZIP: 60602 13F-HR 1 a2197533z13f-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: 3/31/2010 ---------- 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) May 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: 176 -------------------- Form 13F Information Table Value Total: $1,800,508 (thousands) -------------------- List of Other Included Managers: NONE - -------------- GENEVA INVESTMENT MANAGEMENT OF CHICAGO, L.L.C. STOCK LIST 31-MAR-10
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 CO COM 88579Y101 $1,681 20,121 SH SOLE 20,121 AT&T INC COM 00206r102 $1,555 60,160 SH SOLE 60,160 ABBOTT LABS COM 002824100 $14,731 279,637 SH SOLE 279,637 ALLIANT ENERGY CORP COM 018802108 $593 17,834 SH SOLE 17,834 ALTRIA GROUP INC COM 02209s103 $9,729 474,123 SH SOLE 474,123 AMAZON COM INC COM 023135106 $51,705 380,828 SH SOLE 380,828 AMPHENOL CORP NEW CL A 032095101 $8,555 202,773 SH SOLE 202,773 ANNALY CAP MGMT INC COM 035710409 $6,880 400,450 SH SOLE 400,450 APPLE INC COM 037833100 $71,582 304,603 SH SOLE 304,603 ARCSIGHT INC COM 039666102 $422 15,005 SH SOLE 15,005 ARENA RESOURCES INC COM 040049108 $10,371 310,521 SH SOLE 310,521 BAIDU INC SPON ADR REP A 056752108 $41,222 69,049 SH SOLE 69,049 BANCO SANTANDER SA ADR 05964h105 $10,544 794,543 SH SOLE 794,543 BANK OF AMERICA CORPORATION COM 060505104 $989 55,382 SH SOLE 55,382 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 $2,031 24,985 SH SOLE 24,985 BHP BILLITON LTD SPONSORED ADR 088606108 $21,220 264,189 SH SOLE 264,189 BLACKROCK INC COM 09247x101 $36,412 167,211 SH SOLE 167,211 BLUE COAT SYSTEMS INC COM NEW 09534T508 $1,092 35,185 SH SOLE 35,185 BP PLC SPONSORED ADR 055622104 $1,912 33,498 SH SOLE 33,498 BRISTOL-MYERS SQUIBB CO COM 110122108 $504 18,873 SH SOLE 18,873 BUCKEYE PARTNERS LP UNIT LTD PARTN 118230101 $16,984 282,742 SH SOLE 282,742 BUFFALO WILD WINGS INC COM 119848109 $599 12,450 SH SOLE 12,450 C H ROBINSON WORLDWIDE INC COM NEW 12541w209 $13,288 237,929 SH SOLE 237,929 CSX CORP COM 126408103 $5,793 113,802 SH SOLE 113,802 CAPELLA EDUCATION COMPANY COM 139594105 $17,744 191,128 SH SOLE 191,128 CELGENE CORP COM 151020104 $37,178 600,030 SH SOLE 600,030 CHEVRON CORP NEW COM 166764100 $27,123 357,685 SH SOLE 357,685 CHIPOTLE MEXICAN GRILL INC COM 169656105 $22,084 196,010 SH SOLE 196,010 COMPANHIA BRASILEIRA DE DIST SPN ADR PFD CL A 20440t201 $4,989 74,215 SH SOLE 74,215 CISCO SYS INC COM 17275r102 $11,442 439,565 SH SOLE 439,565 CITIGROUP INC COM 172967101 $322 79,459 SH SOLE 79,459 CLEAN ENERGY FUELS CORP COM 184499101 $429 18,845 SH SOLE 18,845 CNINSURE INC SPONSORED ADR 18976m103 $558 20,985 SH SOLE 20,985 COCA COLA CO COM 191216100 $11,956 217,388 SH SOLE 217,388 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 $41,014 804,518 SH SOLE 804,518 COLGATE PALMOLIVE CO COM 194162103 $1,443 16,930 SH SOLE 16,930 CONOCOPHILLIPS COM 20825c104 $547 10,685 SH SOLE 10,685 COPANO ENERGY L L C COM UNITS 217202100 $446 18,424 SH SOLE 18,424 CTRIP COM INTL LTD AMERICAN DEP SHS 22943f100 $16,380 417,848 SH SOLE 417,848 CYBERSOURCE CORP COM 23251J106 $431 24,430 SH SOLE 24,430 DANAHER CORP DEL COM 235851102 $2,162 27,051 SH SOLE 27,051 DEVON ENERGY CORP NEW COM 25179m103 $660 10,245 SH SOLE 10,245 DIAGEO P L C SPON ADR NEW 25243q205 $4,855 71,972 SH SOLE 71,972 DIAMOND OFFSHORE INC DRILLING IN COM 25271c102 $13,352 150,340 SH SOLE 150,340 DIGITAL RLTY TR INC COM 253868103 $25,256 465,980 SH SOLE 465,980 DISNEY WALT CO COM DISNEY 254687106 $666 19,079 SH SOLE 19,079 DU PONT E I DE NEMOURS & CO COM 263534109 $589 15,808 SH SOLE 15,808 DUKE ENERGY CORP NEW COM 26441c105 $303 18,572 SH SOLE 18,572 ECHO GLOBAL LOGISTICS INC COM 27875t101 $851 65,909 SH SOLE 65,909 EMERSON ELEC CO COM 291011104 $18,194 361,424 SH SOLE 361,424 ENERGY TRANSFER PARTNERS L P UNIT LTD PARTN 29273r109 $15,545 331,743 SH SOLE 331,743 ENTERPRISE PRODS PARTNERS LP COM 293792107 $36,084 1,043,506 SH SOLE 1,043,506 EXELON CORP COM 30161n101 $501 11,441 SH SOLE 11,441 EXPRESS SCRIPTS INC COM 302182100 $16,170 158,894 SH SOLE 158,894 EXXON MOBIL CORP COM 30231G102 $3,854 57,535 SH SOLE 57,535 F5 NETWORKS INC COM 315616102 $19,633 318,556 SH SOLE 318,556 FASTENAL CO COM 311900104 $5,198 108,323 SH SOLE 108,323 FEDEX CORP COM 31428x106 $1,514 16,206 SH SOLE 16,206 FIFTH THIRD BANCORP COM 316773100 $574 42,362 SH SOLE 42,362 FIRST MIDWEST BANCORP DEL COM 320867104 $493 36,406 SH SOLE 36,406 FIRSTBANK CORP MICH COM 33761G104 $326 55,286 SH SOLE 55,286 FMC TECHNOLOGIES INC COM 30249U101 $21,090 326,305 SH SOLE 326,305 FREEPORTMCMORAN COPPER & GO COM 35671d857 $30,422 364,158 SH SOLE 364,158 GAFISA S A SPONS ADR 362607301 $229 16,650 SH SOLE 16,650 GENERAL ELECTRIC CO COM 369604103 $3,622 198,994 SH SOLE 198,994 GENERAL GROWTH PPTYS INC COM 370021107 $346 21,506 SH SOLE 21,506 GILEAD SCIENCES INC COM 375558103 $625 13,752 SH SOLE 13,752 GOLDMAN SACHS GROUP INC COM 38141g104 $9,425 55,235 SH SOLE 55,235 GOOGLE INC CL A 38259p508 $58,220 102,658 SH SOLE 102,658 GRAFTECH INTL LTD COM 384313102 $601 43,960 SH SOLE 43,960 GRAPHIC PACKAGING HLDG CO COM 388689101 $578 160,000 SH SOLE 160,000 GREEN MTN COFFEE ROASTERS INC COM 393122106 $36,054 372,188 SH SOLE 372,188 HCC INS HLDGS INC COM 404132102 $414 15,000 SH SOLE 15,000 HCP INC COM 40414L109 $7,452 225,808 SH SOLE 225,808 HALLIBURTON CO COM 406216101 $445 14,757 SH SOLE 14,757 HDFC BANK LTD ADR REPS 3 SHS 40415f101 $30,022 215,384 SH SOLE 215,384 HEWLETT-PACKARD CO COM 428236103 $542 10,203 SH SOLE 10,203 IAMGOLD CORP COM 450913108 $212 16,000 SH SOLE 16,000 ILLINOIS TOOL WKS INC COM 452308109 $789 16,661 SH SOLE 16,661 INERGY HLDGS L P COM 456615103 $9,080 240,223 SH SOLE 240,223 INTEL CORP COM 458140100 $1,288 57,768 SH SOLE 57,768 INTERNATIONAL BUSINESS MACHS COM 459200101 $3,400 26,515 SH SOLE 26,515 INTUITIVE SURGICAL INC COM NEW 46120e602 $31,016 89,094 SH SOLE 89,094 IRIDIUM COMMUNICATIONS INC COM 46269c102 $284 35,000 SH SOLE 35,000 ITC HLDGS CORP COM 465685105 $11,666 212,106 SH SOLE 212,106 JOHNSON & JOHNSON COM 478160104 $2,996 45,949 SH SOLE 45,949 JOHNSON CTLS INC COM 478366107 $624 18,911 SH SOLE 18,911 JONES LANG LASALLE INC COM 48020Q107 $8,441 115,801 SH SOLE 115,801 JPMORGAN CHASE & CO COM 46625h100 $20,165 450,614 SH SOLE 450,614 KAYNE ANDERSON MLP INVSMNT COM 486606106 $307 11,425 SH SOLE 11,425 KINDER MORGAN MANAGEMENT LLC SHS 49455u100 $1,243 21,199 SH SOLE 21,199 KRAFT FOODS INC CL A 50075N104 $8,541 282,431 SH SOLE 282,431 LAS VEGAS SANDS CORP COM 517834107 $660 31,210 SH SOLE 31,210 LIFE TECHNOLOGIES CORP COM 53217v109 $7,609 145,574 SH SOLE 145,574 LILLY ELI & CO COM 532457108 $389 10,750 SH SOLE 10,750 LONGTOP FINL TECHNOLOGIES LT ADR 54318p108 $11,445 355,330 SH SOLE 355,330 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 $41,050 863,661 SH SOLE 863,661 MARSH & MCLENNAN COS INC COM 571748102 $995 40,746 SH SOLE 40,746 MASTERCARD INC CL A 57636q104 $59,007 232,311 SH SOLE 232,311 MAXIM INTEGRATED PRODS COM 57772k101 $6,622 341,525 SH SOLE 341,525 MCDONALDS CORP COM 580135101 $24,203 362,760 SH SOLE 362,760 MEDCO HEALTH SOLUTIONS INC COM 58405u102 $17,199 266,400 SH SOLE 266,400 MEDTRONIC INC COM 585055106 $665 14,771 SH SOLE 14,771 MERCK & CO INC NEW COM 58933Y105 $534 14,285 SH SOLE 14,285 MICROCHIP TECHNOLOGY INC COM 595017104 $11,536 409,659 SH SOLE 409,659 MICROSOFT CORP COM 594918104 $4,029 137,563 SH SOLE 137,563 MINDRAY MEDICAL INTL LTD SPON ADR 602675100 $1,115 30,621 SH SOLE 30,621 MORNINGSTAR INC COM 617700109 $9,001 187,175 SH SOLE 187,175 MOSAIC CO COM 61945a107 $41,970 690,628 SH SOLE 690,628 MSCI INC CL A 55354g100 $14,380 398,345 SH SOLE 398,345 NATIONAL PRESTO INDS INC COM 637215104 $11,730 98,638 SH SOLE 98,638 NETAPP INC COM 64110d104 $23,112 710,255 SH SOLE 710,255 NORDSTROM INC COM 655664100 $4,875 119,341 SH SOLE 119,341 NORFOLK SOUTHERN CORP COM 655844108 $648 11,600 SH SOLE 11,600 NORTHERN TR CORP COM 665859104 $1,375 24,878 SH SOLE 24,878 NOVAMED INC DEL COM 66986W108 $4,552 1,338,687 SH SOLE 1,338,687 ORACLE CORP COM 68389x105 $543 21,107 SH SOLE 21,107 PENN WEST ENERGY TR TR UNIT 707885109 $280 13,249 SH SOLE 13,249 PEPSICO INC COM 713448108 $1,645 24,863 SH SOLE 24,863 PETROCHINA CO LTD SPON ADR 71646E100 $2,262 19,300 SH SOLE 19,300 PETROLEO BRASILEIRO SA PETRO SP ADR NON VTG 71654v408 $876 19,694 SH SOLE 19,694 PFIZER INC DEL COM 717081103 $1,524 88,867 SH SOLE 88,867 PHILIP MORRIS INTL INC COM 718172109 $48,720 934,053 SH SOLE 934,053 PIEDMONT NAT GAS INC COM 720186105 $714 25,900 SH SOLE 25,900 PLAINS ALL AMERN PIPELINE LP UNIT LTD PARTN 726503105 $35,675 626,982 SH SOLE 626,982 POLYMET MINING CORP COM 731916102 $357 160,000 SH SOLE 160,000 POTASH CORP SASK INC COM 73755l107 $1,318 11,046 SH SOLE 11,046 PRAXAIR INC COM 74005p104 $27,510 331,440 SH SOLE 331,440 PRICELINE COM INC COM NEW 741503403 $26,920 105,569 SH SOLE 105,569 PRIVATEBANCORP INC COM 742962103 $370 26,976 SH SOLE 26,976 PROCTER & GAMBLE CO COM 742718109 $7,514 118,753 SH SOLE 118,753 QUALCOMM INC COM 747525103 $29,224 696,479 SH SOLE 696,479 QUALITY SYS INC COM 747582104 $16,667 271,276 SH SOLE 271,276 RIVERBED TECHNOLOGY INC COM 768573107 $743 26,165 SH SOLE 26,165 PRICE T ROWE GROUP INC COM 74144t108 $43,812 797,015 SH SOLE 797,015 SALESFORCE COM INC COM 79466l302 $32,866 441,454 SH SOLE 441,454 SCHLUMBERGER LTD COM 806857108 $1,046 16,483 SH SOLE 16,483 SILICON LABORATORIES INC COM 826919102 $17,329 363,525 SH SOLE 363,525 SILVER WHEATON CORP COM 828336107 $351 22,400 SH SOLE 22,400 SIMON PPTY GROUP INC NEW COM 828806109 $17,866 212,943 SH SOLE 212,943 SOTHEBYS COM 835898107 $456 14,655 SH SOLE 14,655 SOUTHERN COPPER CORP COM 84265v105 $870 27,467 SH SOLE 27,467 SOUTHWESTERN ENERGY CO COM 845467109 $6,666 163,690 SH SOLE 163,690 SPECTRA ENERGY PARTNERS LP COM 84756N109 $919 30,215 SH SOLE 30,215 STARBUCKS CORP COM 855244109 $5,618 231,468 SH SOLE 231,468 STERICYCLE INC COM 858912108 $27,406 502,855 SH SOLE 502,855 STRAYER ED INC COM 863236105 $16,561 68,008 SH SOLE 68,008 STRYKER CORP COM 863667101 $590 10,318 SH SOLE 10,318 SUNCOR ENERGY INC NEW COM 867224107 $9,445 290,259 SH SOLE 290,259 SUNOCO LOGISTICS PRTNRS L P COM UNITS 86764l108 $1,372 20,029 SH SOLE 20,029 SXC HEALTH SOLUTIONS CORP COM 78505p100 $25,038 372,149 SH SOLE 372,149 TAUBMAN CTRS INC COM 876664103 $2,374 59,480 SH SOLE 59,480 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 $10,777 170,845 SH SOLE 170,845 SCHWAB CHARLES CORP NEW COM 808513105 $377 20,161 SH SOLE 20,161 US BANCORP DEL COM NEW 902973304 $603 23,300 SH SOLE 23,300 UNIFIRST CORP MASS COM 904708104 $773 15,000 SH SOLE 15,000 UNITED TECHNOLOGIES CORP COM 913017109 $15,898 215,973 SH SOLE 215,973 URBAN OUTFITTERS INC COM 917047102 $11,081 291,068 SH SOLE 291,068 VANCEINFO TECHNOLOGIES INC ADR 921564100 $12,275 550,682 SH SOLE 550,682 VERIZON COMMUNICATIONS INC COM 92343v104 $754 24,310 SH SOLE 24,310 VMWARE INC CL A COM 928563402 $7,891 148,055 SH SOLE 148,055 VORNADO RLTY TR SHBEN INT 929042109 $14,490 191,408 SH SOLE 191,408 WMS INDS INC COM 929297109 $8,786 209,482 SH SOLE 209,482 WALGREEN CO COM 931422109 $3,950 106,501 SH SOLE 106,501 WALMART STORES INC COM 931142103 $1,747 31,424 SH SOLE 31,424 WELLS FARGO & CO NEW COM 949746101 $457 14,677 SH SOLE 14,677 WILLIAMS PARTNERS L P COM UNIT L P 96950F104 $4,677 116,265 SH SOLE 116,265 WISCONSIN ENERGY CORP COM 976657106 $1,829 37,014 SH SOLE 37,014 ZIMMER HLDGS INC COM 98956p102 $596 10,061 SH SOLE 10,061 TOTAL $1,800,508 31,426,002 31,426,002
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