0001332673-12-000004.txt : 20121115 0001332673-12-000004.hdr.sgml : 20121115 20121114205647 ACCESSION NUMBER: 0001332673-12-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121115 DATE AS OF CHANGE: 20121114 EFFECTIVENESS DATE: 20121115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Mt. Eden Investment Advisors LLC CENTRAL INDEX KEY: 0001332673 IRS NUMBER: 201454032 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11423 FILM NUMBER: 121206510 BUSINESS ADDRESS: STREET 1: TWO EMBARCADERO CENTER, SUITE 1320 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: (415) 288-3000 MAIL ADDRESS: STREET 1: TWO EMBARCADERO CENTER, SUITE 1320 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 13F-HR 1 MEIA093012final.txt MT EDEN Q3 2012 13F-HR 13F-HR 13-F Holdings Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 13F FORM 13-F COVER PAGE Report for the Calendar Year or Quarter Ended: 9/30/2012 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: Mt. Eden Investment Advisors, LLC Address: 343 Sansome Street, Suite 1600 San Francisco, CA 94104 13F File Number: 028-11423 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: Keith B. McWilliams Title: President Phone: 415-288-3000 Signature, Place and Date of Signing: Keith B. McWilliams San Francisco, CA 9/30/2012 List of Other Managers Reporting for this Manager: I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES AND EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 115 Form 13F Information Table Value Total: $291,371 List of Other Included Managers: Boston Common Asset Management Brandywine Asset Management Davis Asset Management O'Shaughnessy Asset Management Wedgewood Partners Inc Franklin Templeton Portfolio Advisors Inc 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- AFLAC Inc. COM 001055102 6121 127850 SH SOLE 126530 1320 AT&T Inc. COM 00206R102 585 15508 SH SOLE 13938 1570 Abbott Laboratories COM 002824100 1761 25683 SH SOLE 25683 American Express Co. COM 025816109 1048 18436 SH SOLE 15545 2891 Apache Corporation COM 037411105 269 3110 SH SOLE 2805 305 Apple Inc. COM 037833100 2797 4193 SH SOLE 3864 329 Applied Materials Inc. COM 038222105 230 20617 SH SOLE 20617 Automatic Data Processing Inc. COM 053015103 1425 24287 SH SOLE 24287 Baker Hughes Inc. COM 057224107 3994 88296 SH SOLE 87636 660 Berkshire Hathaway B COM 084670702 1160 13149 SH SOLE 9408 3741 Big Lots Inc COM 089302103 646 21850 SH SOLE 21850 Bristol-Myers Squibb Co. COM 110122108 419 12404 SH SOLE 3554 8850 Chevron Corp COM 166764100 11874 101868 SH SOLE 100451 1417 Church & Dwight Co. Inc. COM 171340102 4719 87406 SH SOLE 85755 1651 Cisco Systems Inc. COM 17275R102 6404 335357 SH SOLE 331714 3643 Coca-Cola Company COM 191216100 1244 32808 SH SOLE 31818 990 Coca-Cola Enterprises Inc. COM 19122T109 4198 134244 SH SOLE 132431 1813 Colgate-Palmolive Co COM 194162103 4903 45725 SH SOLE 45525 200 ConocoPhillips COM 20825C104 721 12605 SH SOLE 10636 1969 Costco Wholesale Corp COM 22160K105 5338 53291 SH SOLE 51973 1318 Covidien PLC COM G2554F113 5513 92780 SH SOLE 92155 625 Diageo PLC ADS COM 25243Q205 462 4102 SH SOLE 3485 617 Digital Realty Trust, Inc COM 253868103 319 4560 SH SOLE 4410 150 EMC Corporation COM 268648102 7634 279935 SH SOLE 275015 4920 EOG Resources Inc COM 26875P101 4174 37255 SH SOLE 36144 1111 Emerson Electric Co. COM 291011104 5010 103799 SH SOLE 102709 1090 Energy Transfer Partners LP COM 29273R109 315 7400 SH SOLE 7095 305 Exelon Corp COM 30161N101 699 19651 SH SOLE 19136 515 Expeditors Intl of WA COM 302130109 4967 136630 SH SOLE 134705 1925 Exxon Mobil Corporation COM 30231G102 12970 141829 SH SOLE 136748 5081 F5 Networks Inc COM 315616102 4837 46225 SH SOLE 46095 130 FedEx Corp COM 31428X106 270 3190 SH SOLE 3190 Franklin Resources, Inc. COM 354613101 4294 34334 SH SOLE 33964 370 General Electric Co COM 369604103 2944 129649 SH SOLE 127752 1897 325 14305 SH OTHER 14305 Gilead Sciences Inc. COM 375558103 1673 25225 SH SOLE 23465 1760 Google Inc COM 38259P508 7208 9554 SH SOLE 9255 299 Home Depot Inc. COM 437076102 2110 34947 SH SOLE 34377 570 IBM Corp COM 459200101 1414 6814 SH SOLE 6714 100 Intel Corporation COM 458140100 647 28558 SH SOLE 27878 680 Jacobs Engineering Group COM 469814107 5133 126970 SH SOLE 126645 325 Johnson & Johnson COM 478160104 1020 14798 SH SOLE 14258 540 165 2400 SH OTHER 2400 Linear Technology Corp COM 535678106 3204 100695 SH SOLE 100395 300 LinkedIn Corporation Class A COM 53578a108 323 2682 SH SOLE 2682 Lowes Companies Inc. COM 548661107 4779 158029 SH SOLE 152905 5124 MSC Industrial Direct Co. COM 553530106 758 11230 SH SOLE 11230 McDonald's Corp. COM 580135101 3622 39476 SH SOLE 39326 150 McGraw-Hill Companies COM 580645109 14 261 SH SOLE 261 196 3590 SH OTHER 3590 Medtronic Inc. COM 585055106 221 5135 SH SOLE 4675 460 Merck & Co. Inc. COM 58933Y105 251 5566 SH SOLE 4316 1250 Mettler-Toledo Intl COM 592688105 4324 25325 SH SOLE 25130 195 Microsoft Corporation COM 594918104 5450 183125 SH SOLE 180000 3125 71 2400 SH OTHER 2400 Monsanto Co COM 61166W101 313 3442 SH SOLE 3141 301 NextEra Energy, Inc. COM 65339F101 1062 15100 SH SOLE 15100 Novartis AG COM 66987V109 3928 64113 SH SOLE 63056 1057 Oracle Corporation COM 68389X105 881 28018 SH SOLE 26737 1281 PPG Industries Inc. COM 693506107 236 2057 SH SOLE 2057 PepsiCo, Inc. COM 713448108 7166 101255 SH SOLE 100535 720 Pfizer Inc. COM 717081103 800 32176 SH SOLE 29386 2790 Philip Morris Intl COM 718172109 763 8479 SH SOLE 7655 824 Praxair, Inc. COM 74005P104 512 4924 SH SOLE 4669 255 Procter & Gamble Co. COM 742718109 1741 25104 SH SOLE 24208 896 406 5850 SH OTHER 5850 Progressive Corp. COM 743315103 4705 226851 SH SOLE 223620 3231 Public Storage, Inc. COM 74460D109 46 330 SH SOLE 330 218 1570 SH OTHER 1570 Qualcomm Inc. COM 747525103 6266 100311 SH SOLE 97875 2436 Royal Dutch Shell ADR COM 780259206 238 3430 SH SOLE 3430 SPDR Energy Sector COM 81369Y506 237 3230 SH SOLE 3230 SPDR Materials Select COM 81369Y100 5042 137020 SH SOLE 136695 325 SPDR Select Technology COM 81369Y803 427 13850 SH SOLE 13850 Salesforce.com Inc COM 79466L302 1516 9925 SH SOLE 9925 Schlumberger Ltd. COM 806857108 6098 84304 SH SOLE 82779 1525 59 820 SH OTHER 820 Sirona Dental Systems COM 82966c103 5024 88200 SH SOLE 87750 450 Staples Inc. COM 855030102 123 10670 SH SOLE 10670 State Street Corp COM 857477103 4858 115775 SH SOLE 115200 575 TJX Companies Inc. COM 872540109 4773 106565 SH SOLE 104209 2356 Total SA ADR COM 89151E109 820 16370 SH SOLE 15670 700 U.S. Bancorp COM 902973304 2092 60995 SH SOLE 60050 945 Union Pacific Corp. COM 907818108 311 2620 SH SOLE 2270 350 United Parcel Service Inc. COM 911312106 4487 62695 SH SOLE 62470 225 United Technologies Corp COM 913017109 378 4825 SH SOLE 4825 105 1340 SH OTHER 1340 Vodafone Group plc ADS COM 92857W209 795 27881 SH SOLE 26351 1530 Wal-Mart Stores, Inc. COM 931142103 306 4150 SH SOLE 4150 Walt Disney Company COM 254687106 5567 106488 SH SOLE 104428 2060 Wells Fargo & Co COM 949746101 5007 145012 SH SOLE 141302 3710 Western Union COM 959802109 5461 299751 SH SOLE 298176 1575 Xylem Inc. COM 98419M100 4749 188835 SH SOLE 187985 850 S&P 500 SPDRs ETF 78462F103 1429 9923 SH SOLE 9923 S&P Midcap SPDRs ETF 78467Y107 4704 26147 SH SOLE 26117 30 Vanguard Index Fds Total Stock ETF 922908769 353 4790 SH SOLE 4790 iShares KLD Sel Soc Sm Index ETF 464288802 334 5575 SH SOLE 5575 iShares Russell 1000 Growth In ETF 464287614 2841 42590 SH SOLE 42290 300 iShares Russell 1000 Value Ind ETF 464287598 729 10100 SH SOLE 9900 200 iShares Russell 2000 Value Ind ETF 464287630 1959 26500 SH SOLE 26470 30 iShares S&P Midcap 400 ETF 464287507 3339 33841 SH SOLE 33841 Vanguard Emerging Market ETF ETF 922042858 1251 29995 SH SOLE 29835 160 iShares MSCI EAFE Index Fund ETF 464287465 2034 38385 SH SOLE 37735 650 iShares MSCI Emerging Market F ETF 464287234 3317 80260 SH SOLE 77660 2600 Spdr Barclays Muni Bond ETF ETF 78464A458 716 29125 SH SOLE 29125 iShares Barclays 1-3 Year Bond ETF 464287457 364 4310 SH SOLE 4310 iShares Barclays 3-7 Year Bond ETF 464288661 337 2720 SH SOLE 1995 725 iShares Barclays Agency Bond ETF 464288166 499 4375 SH SOLE 3075 1300 iShares Barclays Interm Credit ETF 464288638 11181 100340 SH SOLE 99290 1050 238 2140 SH OTHER 2140 iShares Barclays MBS Bond Fund ETF 464288588 221 2025 SH SOLE 750 1275 iShares High Yield Corp Bond ETF 464288513 353 3825 SH SOLE 3825 GreenHaven Continuous Commodit ETF 395258106 8617 282510 SH SOLE 280710 1800 Powershares DB Commodity Index ETF 73935s105 975 34000 SH SOLE 34000 SPDR Gold Trust ETF 78463V107 891 5185 SH SOLE 4950 235