-----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, LKpmXT0tRXIOs5vmDoGdRpOv093eoJ7GxcN+KL4aiXNGx7cvdGa1fQg4BneVNTcB JoT9D/DedWvy2q33tRczQg== 0001319919-09-000010.txt : 20091019 0001319919-09-000010.hdr.sgml : 20091019 20091019153443 ACCESSION NUMBER: 0001319919-09-000010 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091019 DATE AS OF CHANGE: 20091019 EFFECTIVENESS DATE: 20091019 FILER: COMPANY DATA: COMPANY CONFORMED NAME: United Financial CORP CENTRAL INDEX KEY: 0001319919 IRS NUMBER: 000000000 STATE OF INCORPORATION: A2 FISCAL YEAR END: 0531 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11426 FILM NUMBER: 091125888 BUSINESS ADDRESS: STREET 1: 2 QUEEN STREET EAST STREET 2: TWENTIETH FLOOR CITY: TORONTO STATE: A6 ZIP: M5C 3G7 BUSINESS PHONE: 416-644-5707 MAIL ADDRESS: STREET 1: 2 QUEEN STREET EAST STREET 2: TWENTIETH FLOOR CITY: TORONTO STATE: A6 ZIP: M5C 3G7 FORMER COMPANY: FORMER CONFORMED NAME: Assante Asset Management Ltd DATE OF NAME CHANGE: 20050304 13F-HR 1 ufcq32009.txt 13F FILING UFC QIII, 2009 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: SEPTEMBER 30, 2009 Check here if Amendment [ ]; Amendment Number: ____ This Amendment (Check only one.): [ ] is a restatement [ ] adds new holding entries. Institutional Investment Manager Filing this Report: Name: United Financial Corporation Address: 2 Queen Street East, Twentieth Floor Toronto, Ontario M5C 3G7 Canada Form 13F File Number: 028-11426 This 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: Name: Janet Gillies Title: Vice-President, Compliance Phone: (416) 681-1771 Signature, Place, and Date of Signing: Janet Gillies Toronto, Ontario Canada OCTOBER 19, 2009 [Signature] [City, State] [Date] Report Type: [ ] 13F HOLDING REPORT. [ ] 13F NOTICE. [x] 13F COMBINATION REPORT. Form 13F File Number Name 28-10104 Altrinsic Global Advisors, LLC. 28-12813 Tetrem Capital Partners Ltd. 28-10968 Epoch Investment Partners, Inc. 28-02405 Cohen & Steers Capital Management, Inc. 28-10163 Trilogy Advisors, LLC. 28-04557 Wellington Management Company, LLP FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 125 Form 13F Information Table Value Total: $ 61,885 (thousands) List of Other Included Mangers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] NONE UNITED FINANCIAL CORPORATION FORM 13F 09/30/2009 NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CLDSCR MGRS SOLE AK STL HLDG CORP COM 001547108 221 11,200 SHS 0SOLE NONE 11,200 AT&T INC COM 00206R102 276 10,200 SHS 0SOLE NONE 10,200 ADOBE SYS INC COM 00724F101 301 9,100 SHS 0SOLE NONE 9,100 AECOM TECHNOLOGY CORP DELAWA COM 00766T100 225 8,300 SHS 0SOLE NONE 8,300 ALBEMARLE CORP COM 012653101 304 8,800 SHS 0SOLE NONE 8,800 AMERICAN ELEC PWR INC COM 025537101 257 8,300 SHS 0SOLE NONE 8,300 AMERICAN SCIENCE & ENGR INC COM 029429107 1,361 20,000 SHS 0SOLE NONE 20,000 AMGEN INC COM 031162100 813 13,500 SHS 0SOLE NONE 13,500 AMYLIN PHARMACEUTICALS INC NOTE 3.000% 6/1 032346AF5 403 525,000 SHS 0SOLE NONE 525,000 ANALOG DEVICES INC COM 032654105 273 9,900 SHS 0SOLE NONE 9,900 APPLE INC COM 037833100 538 2,900 SHS 0SOLE NONE 2,900 BALLY TECHNOLOGIES INC COM 05874B107 303 7,900 SHS 0SOLE NONE 7,900 BANK OF AMERICA CORPORATION COM 060505104 1,086 64,200 SHS 0SOLE NONE 64,200 BANK OF YORK MELLON CORP COM 064058100 235 8,100 SHS 0SOLE NONE 8,100 BAXTER INTL INC COM 071813109 678 11,900 SHS 0SOLE NONE 11,900 BAYTEX ENERGY TR TRUST UNIT 073176109 271 12,300 SHS 0SOLE NONE 12,300 BECTON DICKINSON & CO COM 075887109 272 3,900 SHS 0SOLE NONE 3,900 BLACKROCK INC COM 09247X101 325 1,500 SHS 0SOLE NONE 1,500 BOSTON PROPERTIES INC COM 101121101 1,885 28,750 SHS 0SOLE NONE 28,750 BOSTON SCIENTIFIC CORP COM 101137107 280 26,400 SHS 0SOLE NONE 26,400 BROADCOM CORP CL A 111320107 316 10,300 SHS 0SOLE NONE 10,300 BROCADE COMMUNICATIONS SYS I COM 111621306 251 31,900 SHS 0SOLE NONE 31,900 BROOKFIELD PPTYS CORP COM 112900105 1,062 94,280 SHS 0SOLE NONE 94,280 CSX CORP COM 126408103 611 14,600 SHS 0SOLE NONE 14,600 CVS CAREMARK CORPORATION COM 126650100 661 18,500 SHS 0SOLE NONE 18,500 CANADIAN NAT RES LTD COM 136385101 484 7,200 SHS 0SOLE NONE 7,200 CENTURYTEL INC COM 156700106 370 11,000 SHS 0SOLE NONE 11,000 CEPHALON INC COM 156708109 594 10,200 SHS 0SOLE NONE 10,200 CHESAPEAKE ENERGY CORP COM 165167107 346 12,200 SHS 0SOLE NONE 12,200 CHEVRON CORP COM 166764100 444 6,300 SHS 0SOLE NONE 6,300 CHUBB CORP COM 171232101 423 8,400 SHS 0SOLE NONE 8,400 CISCO SYS INC COM 17275R102 699 29,700 SHS 0SOLE NONE 29,700 COSTCO WHSL CORP COM 22160K105 282 5,000 SHS 0SOLE NONE 5,000 CYPRESS SHARPRIDGE INVTS INC COM COM 23281A307 159 11,180 SHS 0SOLE NONE 11,180 DISNEY WALT CO COM DISNEY 254687106 236 8,600 SHS 0SOLE NONE 8,600 DOLLAR FINL CORP NOTE 2.875% 6/3 256664AB9 666 815,000 SHS 0SOLE NONE 815,000 DOLLAR TREE INC COM 256746108 409 8,400 SHS 0SOLE NONE 8,400 DOW CHEM CO COM 260543103 383 14,700 SHS 0SOLE NONE 14,700 DYNCORP INTL INC CL A 26817C101 400 22,200 SHS 0SOLE NONE 22,200 EBAY INC COM 278642103 276 11,700 SHS 0SOLE NONE 11,700 EMERSON ELEC CO COM 291011104 285 7,100 SHS 0SOLE NONE 7,100 ENBRIDGE ENERGY PARTNERS L P COM 29250R106 347 7,700 SHS 0SOLE NONE 7,700 ENERGIZER HLDGS INC COM 29266R108 418 6,300 SHS 0SOLE NONE 6,300 FORD MTR CO DEL COM PAR $0.01 ORD 345370860 211 29,200 SHS 0SOLE NONE 29,200 FRANKLIN RES INC COM 354613101 272 2,700 SHS 0SOLE NONE 2,700 GAP INC DEL COM 364760108 244 11,400 SHS 0SOLE NONE 11,400 GENERAL ELECTRIC CO COM 369604103 238 14,500 SHS 0SOLE NONE 14,500 GENOPTIX INC COM 37243V100 870 25,000 SHS 0SOLE NONE 25,000 GOLD FIELDS LTD SPONSORED ADR 38059T106 299 21,700 SHS 0SOLE NONE 21,700 GOLDMAN SACHS GROUP INC COM 38141G104 774 4,200 SHS 0SOLE NONE 4,200 GRAINGER W W INC COM 384802104 179 2,000 SHS 0SOLE NONE 2,000 HEWLETT PACKARD CO COM 428236103 562 11,900 SHS 0SOLE NONE 11,900 HUDSON CITY BANCORP COM 443683107 291 22,100 SHS 0SOLE NONE 22,100 HURON CONSULTING GROUP INC COM 447462102 904 35,000 SHS 0SOLE NONE 35,000 ITT EDUCATIONAL SERVICES INC COM 45068B109 1,104 10,000 SHS 0SOLE NONE 10,000 INTERNATIONAL BUSINESS MACHS COM 459200101 2,392 20,000 SHS 0SOLE NONE 20,000 INVESCO MORTGAGE CAPITAL INC COM 46131B100 194 8,900 SHS 0SOLE NONE 8,900 JP MORGAN CHASE & CO COM 46625H100 1,494 34,100 SHS 0SOLE NONE 34,100 JOHNSON & JOHNSON COM 478160104 256 4,200 SHS 0SOLE NONE 4,200 KELLOGG CO COM 487836108 418 8,500 SHS 0SOLE NONE 8,500 KIMCO REALTY CORP COM 49446R109 771 59,100 SHS 0SOLE NONE 59,100 LKQ CORP COM 501889208 300 16,200 SHS 0SOLE NONE 16,200 LAM RESEARCH CORP COM 512807108 304 8,900 SHS 0SOLE NONE 8,900 LIBERTY MEDIA CORP NEW ENT COM 53071M500 429 13,800 SHS 0SOLE NONE 13,800 LILLY ELI & CO COM 532457108 433 13,100 SHS 0SOLE NONE 13,100 LINCOLN NATL CORP IND COM 534187109 306 11,800 SHS 0SOLE NONE 11,800 LOCKHEED MARTIN CORP COM 539830109 281 3,600 SHS 0SOLE NONE 3,600 LORILLARD INC COM 544147101 498 6,700 SHS 0SOLE NONE 6,700 LOWES COS INC COM 548661107 255 12,200 SHS 0SOLE NONE 12,200 MSCI INC CL A 55354G100 255 8,600 SHS 0SOLE NONE 8,600 MASTERCARD INC CL A 57636Q104 303 1,500 SHS 0SOLE NONE 1,500 MCDONALDS CORP COM 580135101 531 9,300 SHS 0SOLE NONE 9,300 MEDCO HEALTH SOLUTIONS INC COM 58405U102 321 5,800 SHS 0SOLE NONE 5,800 MICROSOFT CORP COM 594918104 689 26,600 SHS 0SOLE NONE 26,600 MICRON TECHNOLOGY INC COM 595112103 383 46,700 SHS 0SOLE NONE 46,700 MORGAN STANLEY COM 617446448 281 9,100 SHS 0SOLE NONE 9,100 NII HLDGS INC NOTE 3.125% 6/1 62913FAJ1 697 798,000 SHS 0SOLE NONE 798,000 NRG ENERGY INC COM 629377508 445 15,800 SHS 0SOLE NONE 15,800 NOBLE ENERGY INC COM 655044105 857 13,000 SHS 0SOLE NONE 13,000 NORTHERN TR CORP COM 665859104 262 4,500 SHS 0SOLE NONE 4,500 NVIDIA CORP COM 67066G104 752 50,000 SHS 0SOLE NONE 50,000 OCCIDENTAL PETE CORP DEL COM 674599105 447 5,700 SHS 0SOLE NONE 5,700 ON SEMICONDUCTOR CORP COM 682189105 345 41,800 SHS 0SOLE NONE 41,800 ORBITAL SCIENCES CORP COM 685564106 524 35,000 SHS 0SOLE NONE 35,000 OTELCO INC INCME DEP SECS 688823202 946 74,400 SHS 0SOLE NONE 74,400 PNC FINL SVCS GROUP INC COM 693475105 190 3,900 SHS 0SOLE NONE 3,900 PALM INC COM 696643105 30 1,700 SHS 0SOLE NONE 1,700 PEABODY ENERGY CORP COM 704549104 313 8,400 SHS 0SOLE NONE 8,400 PEPSICO INC COM 713448108 422 7,200 SHS 0SOLE NONE 7,200 PETROHAWK ENERGY CORP COM 716495106 300 12,400 SHS 0SOLE NONE 12,400 PHILIP MORRIS INTL INC COM 718172109 692 14,200 SHS 0SOLE NONE 14,200 PRAXAIR INC COM 74005P104 449 5,500 SHS 0SOLE NONE 5,500 PRINCIPAL FINANCIAL GROUP IN COM 74251V102 597 21,800 SHS 0SOLE NONE 21,800 PROCTER & GAMBLE CO COM 742718109 98 1,700 SHS 0SOLE NONE 1,700 QLOGIC CORP COM 747277101 200 11,600 SHS 0SOLE NONE 11,600 QUALCOMM INC COM 747525103 2,240 49,800 SHS 0SOLE NONE 49,800 RAYTHEON CO COM 755111507 1,199 25,000 SHS 0SOLE NONE 25,000 REINSURANCE GROUP AMER INC CL A 759351604 366 8,215 SHS 0SOLE NONE 8,215 REPUBLIC SVCS INC COM 760759100 321 12,100 SHS 0SOLE NONE 12,100 SBA COMMUNICATIONS CORP COM 78388J106 716 26,500 SHS 0SOLE NONE 26,500 STEC INC COM 784774101 735 25,000 SHS 0SOLE NONE 25,000 SHAW GROUP INC COM 820280105 366 11,400 SHS 0SOLE NONE 11,400 SMUCKER J M CO COM 832696405 302 5,700 SHS 0SOLE NONE 5,700 SOUTHWESTERN ENERGY CO COM 845467109 546 12,800 SHS 0SOLE NONE 12,800 SPECTRA ENERGY CORP COM 847560109 566 29,900 SHS 0SOLE NONE 29,900 STATE STR CORP COM 857477103 589 11,200 SHS 0SOLE NONE 11,200 SUNCOR ENERGY INC NEW 867224107 770 22,272 SHS 0SOLE NONE 22,272 TJX COS INC COM 872540109 301 8,100 SHS 0SOLE NONE 8,100 TARGET CORP COM 87612E106 313 6,700 SHS 0SOLE NONE 6,700 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 253 5,000 SHS 0SOLE NONE 5,000 TESSERA TECHNOLOGIES INC COM 88164L100 240 8,600 SHS 0SOLE NONE 8,600 THERMO FISHER SCIENTIFIC INC COM 883556102 969 22,200 SHS 0SOLE NONE 22,200 TIME WARNER CABLE INC COM 88732J207 306 7,100 SHS 0SOLE NONE 7,100 TUPPERWARE BRANDS CORP COM 899896104 343 8,600 SHS 0SOLE NONE 8,600 UNION PAC CORP COM 907818108 817 14,000 SHS 0SOLE NONE 14,000 UNITED PARCEL SERVICE INC CL B 911312106 328 5,800 SHS 0SOLE NONE 5,800 UNUM GROUP COM 91529Y106 212 9,900 SHS 0SOLE NONE 9,900 WAL MART STORES INC COM 931142103 290 5,900 SHS 0SOLE NONE 5,900 WASTE MGMT INC DEL COM 94106L109 236 7,900 SHS 0SOLE NONE 7,900 WELLS FARGO & CO COM 949746101 242 8,600 SHS 0SOLE NONE 8,600 LAZARD LTD SHS A G54050102 223 5,400 SHS 0SOLE NONE 5,400 SEAGATE TECHNOLOGY SHS G7945J104 458 30,100 SHS 0SOLE NONE 30,100 FOSTER WHEELER AG COM COM H27178104 412 12,900 SHS 0SOLE NONE 12,900 TRANSOCEAN LTD REG SHS H8817H100 566 6,617 SHS 0SOLE NONE 6,617 TYCO INTERNATIONAL LTD SHS H89128104 624 18,100 SHS 0SOLE NONE 18,100
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