0001325187-11-000009.txt : 20110825
0001325187-11-000009.hdr.sgml : 20110825
20110825160901
ACCESSION NUMBER: 0001325187-11-000009
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110630
FILED AS OF DATE: 20110825
DATE AS OF CHANGE: 20110825
EFFECTIVENESS DATE: 20110825
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Herndon Plant Oakley Ltd
CENTRAL INDEX KEY: 0001325187
IRS NUMBER: 742863988
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-11388
FILM NUMBER: 111056735
BUSINESS ADDRESS:
STREET 1: 800 N SHORELINE
STREET 2: SUITE 2200 SOUTH
CITY: CORPUS CHRISTI
STATE: TX
ZIP: 78401
BUSINESS PHONE: 361-888-7611
MAIL ADDRESS:
STREET 1: 800 N SHORELINE
STREET 2: SUITE 2200 SOUTH
CITY: CORPUS CHRISTI
STATE: TX
ZIP: 78401
13F-HR
1
june11edgarfiling.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarterly Ended: June 30, 2011
Check here is Amendment [ ]; Amendment Number:
This Amendment (Check only one.): [ ] is a restatement.
[ ] adds new holdings entries.
Institutional Investment Manager Filing This Report:
Name: Herndon Plant Oakley Ltd.
Address: 800 North Shoreline, Ste. 2200-South
Corpus Christi, Texas 78401
13F File Number:
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:
Name: Beth Deubel-Ragan
Title: Managing Director
Phone: 361-888-7611
Signature, Place and Date of Signing:
NAME OF SIGNATORY, CITY/STATE DATE
Report Type (Check only one):
[X] 13F HOLDINGS REPORT.
[ ] 13F NOTICE.
[ ] 13F COMBINATION REPORT.
List of Other Managers Reporting for this Manager:
I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE
ACT OF 1934.
Report Summary:
Number of Other Included Managers:
Form 13F Information Table Entry Total: 148
Form 13F Information Table Value Total: $333,787,000
List of Other Included Managers:
No. 13F File Number Name
01 N/A N/A
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
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
***TELSTRA CORPORATION LIMITED COM 87969n204 547 35070 SH Sole
3M COMPANY COM 88579y101 1720 18138 SH Sole
ABBOTT LABORATORIES COM 002824100 7336 139409 SH Sole
ABERDEEN ASIA PACIFIC INCOME F COM 003009107 129 17535 SH Sole
ADVENT CLAYMORE CONV SECS & IN COM 00764c109 2711 144177 SH Sole
AGIC CONV & INCOME FD COM 001190107 2713 265418 SH Sole
ALLIANCEBERNSTEIN HOLDING LP U COM 01881g106 5361 275760 SH Sole
ALLIANCEBERNSTEIN INCOME FUND COM 01881e101 1671 211798 SH Sole
ANNALY CAPITAL MANAGEMENT INC COM 035710409 3547 196630 SH Sole
AT&T INC COM 00206r102 2312 73614 SH Sole
BASIN WATER INC COM 07011t306 0 18000 SH Sole
BLACKROCK INCOME TRUST INC COM 09247f100 164 23316 SH Sole
BLACKROCK STRATEGIC BOND TRUST COM 09249g106 158 11762 SH Sole
BOEING CO COM 097023105 307 4152 SH Sole
BOLIVAR ENERGY CORP COM 097613103 1 10000 SH Sole
BRISTOL MYERS SQUIBB CO COM 110122108 316 10920 SH Sole
CALAMOS CONV & HIGH INCOME FD COM 12811p108 3290 251362 SH Sole
CALAMOS CONVERTIBLE OPPORTUNIT COM 128117108 2458 187090 SH Sole
CALAMOS STRATEGIC TOTAL RETURN COM 128125101 2139 223514 SH Sole
CELGENE CORP COM 151020104 1095 18160 SH Sole
CERNER CORP COM 156782104 3516 57528 SH Sole
CHEVRON CORPORATION COM 166764100 523 5087 SH Sole
CISCO SYSTEMS INC COM 17275r102 1195 76563 SH Sole
CITIGROUP INC NEW COM 172967424 3434 82474 SH Sole
CLOUGH GLOBAL OPPORTUNITIES FD COM 18914e106 6309 469105 SH Sole
COCA COLA CO COM 191216100 1422 21127 SH Sole
COLDWATER CREEK INC COM 193068103 33 23600 SH Sole
COMMERCE FINANCIAL CORP ****RE COM 1561219 0 20000 SH Sole
COPANO ENERGY LLC COM UNITS COM 217202100 478 13967 SH Sole
DELL INC COM 24702r101 5178 310588 SH Sole
DREYFUS STRATEGIC MUNICIPAL BO COM 26202f107 101 12625 SH Sole
E I DU PONT DE NEMOURS & CO COM 263534109 4670 86402 SH Sole
EAGLE ROCK ENERGY PARTNERS COM 26985r104 6659 600495 SH Sole
EATON VANCE SENIOR FLOATING RA COM 27828q105 471 29363 SH Sole
EMC CORP-MASS COM 268648102 5742 208415 SH Sole
ENBRIDGE ENERGY MANAGEMENT LLC COM 29250x103 964 31206 SH Sole
ENBRIDGE ENERGY PARTNERS L P COM 29250r106 3313 110191 SH Sole
ENERGY TRANSFER PARTNERS L P U COM 29273r109 2276 46577 SH Sole
ENTERPRISE PRODUCTS PARTNERS L COM 293792107 1789 41410 SH Sole
EXXON MOBIL CORP COM 30231g102 10144 124653 SH Sole
FLAHERTY & CRUMRINE / CLAYMORE COM 338478100 2740 153953 SH Sole
FORD MOTOR CO PAR $0.01 COM 345370860 223 16200 SH Sole
GABELLI DIVIDEND & INCOME FUND COM 36242h104 260 15627 SH Sole
GALLAGHER ARTHUR J & CO COM 363576109 338 11838 SH Sole
GENERAL ELECTRIC COM 369604103 1818 96395 SH Sole
GENERAL MILLS INC COM 370334104 316 8480 SH Sole
GENEREX BIOTECHNOLOGY CORP DEL COM 371485103 2 10400 SH Sole
GOODYEAR TIRE & RUBBER CO COM 382550101 3480 207490 SH Sole
HALLIBURTON CO COM 406216101 257 5047 SH Sole
HARLEY DAVIDSON COM 412822108 239 5840 SH Sole
HATTERAS FINANCIAL CORP COM 41902r103 2908 103000 SH Sole
HCC INSURANCE COM 404132102 853 27064 SH Sole
HESS CORPORATION COM 42809h107 3532 47248 SH Sole
HEWLETT PACKARD CO COM 428236103 659 18097 SH Sole
HOME DEPOT INC COM 437076102 240 6620 SH Sole
HUGOTON ROYALTY TRUST TEXAS UN COM 444717102 3319 145958 SH Sole
INERGY L P UNIT LTD PARTNERSHI COM 456615103 223 6300 SH Sole
INTEL CORP COM 458140100 5030 226978 SH Sole
INTERNATIONAL BUSINESS MACHINE COM 459200101 399 2327 SH Sole
INVESCO VAN KAMPEN SR INCOME T COM 46131h107 1676 332504 SH Sole
ISHARES BARCLAYS 1-3 YR CREDIT COM 464288646 896 8535 SH Sole
ISHARES TRUST BARCLAYS 20+YEAR COM 464287432 61000 648245 SH Sole
ISHARES TRUST S&P SMALLCAP 600 COM 464287804 560 7637 SH Sole
JACK HENRY & ASSOCIATES COM 426281101 1162 38725 SH Sole
JOHN HANCOCK PREFERRED INCOME COM 41013w108 287 13835 SH Sole
JOHN HANCOCK PREFERRED INCOME COM 41013x106 2330 112831 SH Sole
JOHNSON & JOHNSON COM 478160104 2044 30731 SH Sole
JPMORGAN CHASE & CO FORMERLY J COM 46625h100 4307 105207 SH Sole
KAYNE ANDERSON MLP INVT CO COM 486606106 220 7284 SH Sole
KIMBERLY CLARK CORP COM 494368103 330 4952 SH Sole
KINDER MORGAN ENERGY PARTNERS COM 494550106 7744 106664 SH Sole
KINDER MORGAN MGMT LLC SHS COM 49455u100 5061 77155 SH Sole
KULABYTE CORPORATION COM 2399554 0 76688 SH Sole
LEAR CORP COM 521865105 0 10200 SH Sole
LEGG MASON INC COM 524901105 3078 93961 SH Sole
LIBERTY ALL STAR EQUITY FUND COM 530158104 93 17938 SH Sole
LSI CORPORATION COM 502161102 4177 586592 SH Sole
MASCO CORP COM 574599106 368 30560 SH Sole
MCCAMPBELL MINERALS XXX (REST COM 2562978 0 827925 SH Sole
MFS INTERMEDIATE INCOME TRUST COM 55273c107 248 39254 SH Sole
MICROSOFT CORP COM 594918104 4565 175581 SH Sole
NATIONAL PATENT DEVELOPMENT CO COM 637132101 24 15000 SH Sole
NATIONWIDE HEALTH PROPERTIES I COM 638620104 555 13400 SH Sole
NEW AMERICA HIGH INCOME FUND I COM 641876800 677 62357 SH Sole
NICHOLAS-APPLEGATE CONVERTIBLE COM 65370g109 236 24880 SH Sole
NUVEEN BUILD AMERICA BOND OPPT COM 67074q102 528 26247 SH Sole
NUVEEN EQUITY PREM OPPORTUNITY COM 6706em102 446 35930 SH Sole
NUVEEN INSURED MUNICIPAL OPPOR COM 670984103 509 37679 SH Sole
NUVEEN INSURED PREMIUM INCOME COM 6706d8104 229 18675 SH Sole
NUVEEN INSURED TAX FREE ADVANT COM 670657105 160 11667 SH Sole
NUVEEN INVESTMENT QUALITY MUNI COM 67062e103 450 31883 SH Sole
NUVEEN MULTI-STRATEGY INCOME A COM 67073d102 3354 366964 SH Sole
NUVEEN MULTI-STRATEGY INCOME A COM 67073b106 244 27685 SH Sole
NUVEEN MUNICIPAL VALUE FUND IN COM 670928100 859 92720 SH Sole
NUVEEN PERFORMANCE PLUS MUNICI COM 67062p108 799 57710 SH Sole
NUVEEN PREMIER MUNICIPAL INCOM COM 670988104 430 32107 SH Sole
NUVEEN PREMIUM INCOME MUNICIPA COM 6706k4105 201 16240 SH Sole
NUVEEN PREMIUM INCOME MUNICIPA COM 67062t100 280 21119 SH Sole
NUVEEN QUALITY INCOME MUNICIPA COM 670977107 443 32794 SH Sole
NUVEEN TAX-ADVANTAGED FLOATING COM 6706ev102 26 10288 SH Sole
oFFICE DEPOT INC COM 676220106 77 18350 SH Sole
ONEOK PARTNERS L P UNIT LTD PA COM 68268n103 1332 15620 SH Sole
ORACLE CORP COM 68389x105 5200 158003 SH Sole
PEPSICO INC COM 713448108 406 5760 SH Sole
PEYTO EXPLORATION & DEVELOPMEN COM 717046106 809 36200 SH Sole
PFIZER INC COM 717081103 712 34573 SH Sole
PHILIP MORRIS INTERNATIONAL IN COM 718172109 247 3698 SH Sole
PLAINS ALL AMERICAN PIPELINE L COM 726503105 2158 33721 SH Sole
POWERSHARES GLOBAL EXCHANGE TR COM 73936t565 850 59274 SH Sole
POWERSHARES QQQ TRUST SERIES 1 COM 73935a104 988 17310 SH Sole
PROCTER & GAMBLE CO COM 742718109 389 6120 SH Sole
PROSHARES SHORT S&P 500 NON-TR COM 74347r503 12862 314390 SH Sole
PROSHARES ULTRASHORT ETF EURO COM 74347w882 283 16880 SH Sole
PUTNAM MANAGED MUNICIPAL INCOM COM 746823103 78 10570 SH Sole
REDWOOD TR INC COM 758075402 1089 72049 SH Sole
REPUBLIC SERVICES INC COM 760759100 232 7517 SH Sole
S&P 500 EQUAL WGT RYDEX ETF COM 78355w106 4239 83750 SH Sole
S&P 500 EQWT ENERGY RYDEX ETF COM 78355W866 949 13475 SH Sole
S&P 500 EQWT FINANCIAL RYDEX E COM 78355W858 1092 39300 SH Sole
SAN JUAN BASIN ROYALTY TR-UBI COM 798241105 3091 128274 SH Sole
SOUTHWEST AIRLINES CO COM 844741108 120 10505 SH Sole
SPDR GOLD TRUST ETF COM 78463v107 1542 10560 SH Sole
SPDR SER TR S&P DIVIDEND ETF COM 78464a763 351 6498 SH Sole
STRYKER CORP COM 863667101 3917 66732 SH Sole
TARGA RESOURCES PARTNERS LP UN COM 87611x105 712 20005 SH Sole
TELLABS INC COM 879664100 4535 983811 SH Sole
TEVA PHARMACEUTICAL ADR COM 881624209 1076 22306 SH Sole
TEXAS CAPITAL BANCSHARES COM 88224q107 705 27286 SH Sole
TOOTIE PIE COMPANY INC COM 890515109 9 17300 SH Sole
TOWERSTREAM CORP COM 892000100 64 12900 SH Sole
US AUTO PARTS NETWRK INC COM 90343c100 80 10380 SH Sole
VANGUARD INDEX FUND VANGUARD S COM 922908751 425 5450 SH Sole
VANGUARD INDEX FUNDS VANGUARD COM 922908629 306 3800 SH Sole
VANGUARD INDEX FUNDS VANGUARD COM 922908769 550 8035 SH Sole
VANGUARD WORLD FD MEGA CAP 300 COM 921910816 257 5200 SH Sole
VERIZON COMMUNICATIONS COM 92343v104 490 13162 SH Sole
VODAFONE GROUP PLC SPONSORED A COM 92857w209 3855 144282 SH Sole
VULCAN MATERIALS COM 929160109 717 18600 SH Sole
WAL-MART STORES INC COM 931142103 4128 77682 SH Sole
WELLS FARGO ADVANTAGE UTIL & H COM 94987e109 209 17737 SH Sole
WESTERN ASSET HIGH INCOME OPPO COM 95766k109 729 115500 SH Sole
XL GROUP PLC SHS COM g98290102 2395 108947 SH Sole
ZIX CORPORATION COM 98974p100 140 36350 SH Sole
BANK OF AMERICA NON-CUM PERP P 060505765 1035 39548 SH Sole
CITIGROUP PFD MANDATORY CONVER 172967416 5555 46238 SH Sole
GOODYEAR TIRE CONVERTIBLE PFD 382550309 10115 181855 SH Sole
HARTFORD GROUP PFD 7.250% MAND 416515708 11482 441958 SH Sole
XL COMPANY SWITZERLAND GMBH-EQ h9709y102 7586 254890 SH Sole