0001356783-17-000005.txt : 20171117
0001356783-17-000005.hdr.sgml : 20171117
20171117145347
ACCESSION NUMBER: 0001356783-17-000005
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170930
FILED AS OF DATE: 20171117
DATE AS OF CHANGE: 20171117
EFFECTIVENESS DATE: 20171117
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Phocas Financial Corp.
CENTRAL INDEX KEY: 0001356783
IRS NUMBER: 202647024
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-12179
FILM NUMBER: 171210660
BUSINESS ADDRESS:
STREET 1: 980 ATLANTIC AVENUE
STREET 2: SUITE 106
CITY: ALAMEDA
STATE: CA
ZIP: 94501
BUSINESS PHONE: (510) 523-5800
MAIL ADDRESS:
STREET 1: 980 ATLANTIC AVENUE
STREET 2: SUITE 106
CITY: ALAMEDA
STATE: CA
ZIP: 94501
FORMER COMPANY:
FORMER CONFORMED NAME: Phocas Financial CORP
DATE OF NAME CHANGE: 20060320
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001356783
XXXXXXXX
09-30-2017
09-30-2017
Phocas Financial Corp.
980 ATLANTIC AVENUE
SUITE 106
ALAMEDA
CA
94501
13F HOLDINGS REPORT
028-12179
N
Frances Chiu
Chief Compliance Officer
5105235800
FRANCES CHIU
ALAMEDA
CA
09-17-2017
0
214
1215
false
INFORMATION TABLE
2
2017Q3Holdings.xml
ALEXANDRIA REAL ESTATE
COM
015271109
3
25638
SH
SOLE
0
25638
0
0
ALEXANDRIA REAL ESTATE PFD D
PFD CONV SER D
015271505
2
47591
PRN
SOLE
0
47591
0
0
ALPHABET INC CL A
COM
02079K305
1
1009
SH
SOLE
0
1009
0
0
ALPHABET INC CL C
COM
02079K107
0
304
SH
SOLE
0
304
0
0
AMERICAN EAGLE OUTFITTERS INC
COM
02553E106
7
469059
SH
SOLE
0
469059
0
0
APPLE COMPUTER INC
COM
037833100
1
8758
SH
SOLE
0
8758
0
0
ASTEC INDS INC
COM
046224101
10
172420
SH
SOLE
0
172420
0
0
AT&T INC
COM
00206R102
1
24281
SH
SOLE
0
24281
0
0
ATLANTIC CAPITAL BANCSHARES INC
COM
048269203
0
11047
SH
SOLE
0
11047
0
0
ATLAS AIR WORLDWIDE HOLDINGS, INC.
COM
049164205
12
189075
SH
SOLE
0
189075
0
0
AVALONBAY COMMUNITIES
COM
053484101
4
22605
SH
SOLE
0
22605
0
0
BANK OF THE OZARKS
COM
063904106
0
8350
SH
SOLE
0
8350
0
0
BANNER CORP
COM
06652V208
19
311152
SH
SOLE
0
311152
0
0
BASIC ENERGY SERVICES, INC.
COM
06985P209
3
164515
SH
SOLE
0
164515
0
0
BERKSHIRE HATHAWAY CLASS B
COM
084670702
0
1470
SH
SOLE
0
1470
0
0
BLACK HILLS CORP
COM
092113109
8
110040
SH
SOLE
0
110040
0
0
BOSTON PRIVATE FINANCIAL HOLDINGS
COM
101119105
5
320118
SH
SOLE
0
320118
0
0
BOSTON PROPERTIES INC
COM
101121101
2
16063
SH
SOLE
0
16063
0
0
BROOKS AUTOMATION, INC.
COM
114340102
10
336677
SH
SOLE
0
336677
0
0
BRYN MAWR BK CORP
COM
117665109
13
297285
SH
SOLE
0
297285
0
0
CACI INTERNATIONAL INC CLASS A
COM
127190304
12
85267
SH
SOLE
0
85267
0
0
CALLON PETE CO DEL
COM
13123X102
8
741759
SH
SOLE
0
741759
0
0
CALPINE
COM
131347304
9
611906
SH
SOLE
0
611906
0
0
CAMDEN PROPERTY TRUST
SH BEN INT
133131102
1
13150
PRN
SOLE
0
13150
0
0
CAROLINA FINANC
COM
143873107
6
155173
SH
SOLE
0
155173
0
0
CARRIZO OIL & GAS
COM
144577103
4
217224
SH
SOLE
0
217224
0
0
CASS INFORMATION SYSTEMS
COM
14808P109
5
71427
SH
SOLE
0
71427
0
0
CBIZ INC
COM
124805102
15
934503
SH
SOLE
0
934503
0
0
CENTERSTATE BANKS INC
COM
15201P109
19
694353
SH
SOLE
0
694353
0
0
CHATHAM LODGING TRUST
COM
16208T102
6
270158
SH
SOLE
0
270158
0
0
CHEMBIO DIAGNOSTICS
COM
163572209
0
20000
SH
SOLE
0
20000
0
0
CHESAPEAKE UTILITIES CORP.
COM
165303108
12
152820
SH
SOLE
0
152820
0
0
CHEVRON CORP NEW
COM
166764100
1
7512
SH
SOLE
0
7512
0
0
CIGNA CORP
COM
125509109
1
3440
SH
SOLE
0
3440
0
0
CITIGROUP INC
COM
172967424
1
7597
SH
SOLE
0
7597
0
0
CLAYMORE EXCHANGE TRD FD TR
GUGG S&P SPINOFF
18383M605
1
29096
PRN
SOLE
0
29096
0
0
CNO FINANCIAL INC
COM
12621E103
23
1003714
SH
SOLE
0
1003714
0
0
COLGATE PALMOLIVE CO
COM
194162103
1
7140
SH
SOLE
0
7140
0
0
COLONY NORTHSTA
CL A COM
19625W104
0
31737
PRN
SOLE
0
31737
0
0
CONDUENT INC
COM
206787103
6
355293
SH
SOLE
0
355293
0
0
CORENERGY INFRASTRUCTURE
COM NEW
21870U502
1
15038
PRN
SOLE
0
15038
0
0
CORESITE REALTY CORP
COM
21870Q105
14
125635
SH
SOLE
0
125635
0
0
CORPORATE OFFICE PROPERTIES TRUST
SH BEN INT
22002T108
1
28004
PRN
SOLE
0
28004
0
0
COWEN GROUP, INC. CLASS A
COM
223622606
6
344526
SH
SOLE
0
344526
0
0
CUBESMART
COM
229663109
1
25800
SH
SOLE
0
25800
0
0
CVS HEALTH CORP
COM
126650100
1
8310
SH
SOLE
0
8310
0
0
CYPRESS SEMICONDUCTOR
COM
232806109
14
950471
SH
SOLE
0
950471
0
0
DELUXE CORP
COM
248019101
8
115337
SH
SOLE
0
115337
0
0
DIME COMMUNITY BANCSHARES, INC.
COM
253922108
1
56689
SH
SOLE
0
56689
0
0
DIPLOMAT PHARMACY, INC
COM
25456K101
6
273019
SH
SOLE
0
273019
0
0
DOVER CORP
COM
260003108
1
8582
SH
SOLE
0
8582
0
0
DOWDUPONT INC
COM
26078J100
0
6715
SH
SOLE
0
6715
0
0
DUKE ENERGY CORP
COM
26441C204
1
7700
SH
SOLE
0
7700
0
0
EASTGROUP
COM
277276101
1
9721
SH
SOLE
0
9721
0
0
EATON CORP
SHS
G29183103
1
7920
PRN
SOLE
0
7920
0
0
EDUCATION RLTY TR INC
COM NEW
28140H203
5
140232
PRN
SOLE
0
140232
0
0
EMCOR GROUP INC
COM
29084Q100
9
128450
SH
SOLE
0
128450
0
0
ENTERCOM COMM CORP CL A
COM
293639100
7
569343
SH
SOLE
0
569343
0
0
ENTERPRISE FINANCIAL SERVICES
COM
293712105
11
248922
SH
SOLE
0
248922
0
0
EQUITY LIFESTYLE PPTYS
COM
29472R108
2
20065
SH
SOLE
0
20065
0
0
ESSEX PROPERTY TRUST
COM
297178105
1
4251
SH
SOLE
0
4251
0
0
ESTERLINE TECHNOLOGIES
COM
297425100
5
60312
SH
SOLE
0
60312
0
0
EXTRA SPACE STORAGE
COM
29472R108
1
17050
SH
SOLE
0
17050
0
0
EXXON MOBIL CORP
COM
30231G102
1
6872
SH
SOLE
0
6872
0
0
FEDERAL REALTY INVT TR
SH BEN INT NEW
313747206
1
5443
PRN
SOLE
0
5443
0
0
FERRO CORP
COM
315405100
14
634835
SH
SOLE
0
634835
0
0
FIRST AMERICAN FINANCIAL
COM
31847R102
13
260485
SH
SOLE
0
260485
0
0
FIRST INDUSTRIAL RLTY
COM
32054K103
1
18874
SH
SOLE
0
18874
0
0
FIRST INTERSTATE BANCSYSTEM
COM
32055Y201
11
283580
SH
SOLE
0
283580
0
0
FIRST REPUBLIC BANK
COM
33616C100
1
9934
SH
SOLE
0
9934
0
0
FIRST TR EXCH TRADED FD III
INSTL PFD SECS
33739P855
5
260364
PRN
SOLE
0
260364
0
0
FNB CORP
COM
302520101
17
1184373
SH
SOLE
0
1184373
0
0
FORWARD AIR CORPORATION
COM
349853101
6
99286
SH
SOLE
0
99286
0
0
FRANKLIN FINANCIAL NETWORK, INC.
COM
35352P104
14
397201
SH
SOLE
0
397201
0
0
GALLAGHER ARTHUR J &CO
COM
363576109
0
4520
SH
SOLE
0
4520
0
0
GENERAL CABLE CORPORATION
COM
369300108
6
298978
SH
SOLE
0
298978
0
0
GENERAL ELEC CO
COM
369604103
1
28449
SH
SOLE
0
28449
0
0
GGP INC
COM
36174X101
0
19048
SH
SOLE
0
19048
0
0
GIBRALTAR INDS INC
COM
374689107
11
369093
SH
SOLE
0
369093
0
0
G-III APPAREL GROUP, LTD.
COM
36237H101
17
599938
SH
SOLE
0
599938
0
0
GREEN BANCORP, INC.
COM
39260X100
13
533736
SH
SOLE
0
533736
0
0
GUARANTY BANCORP
COM
40075T607
7
244920
SH
SOLE
0
244920
0
0
H.B. FULLER COMPANY
COM
359694106
9
153763
SH
SOLE
0
153763
0
0
HALYARD HEALTH INC
COM
40650V100
11
233576
SH
SOLE
0
233576
0
0
HANESBRANDS
COM
410345102
0
17400
SH
SOLE
0
17400
0
0
HD SUPPLY HOLDINGS INC
COM
40416M105
1
19070
SH
SOLE
0
19070
0
0
HEARTLAND FINL USA INC
COM
42234Q102
5
107925
SH
SOLE
0
107925
0
0
HERITAGE COMMERCE CORP
COM
426927109
2
142202
SH
SOLE
0
142202
0
0
HERITAGE FINANCIAL CORP
COM
42722X106
5
179894
SH
SOLE
0
179894
0
0
HERITAGE INSURANCE HOLDINGS, INC
COM
42727J102
6
432047
SH
SOLE
0
432047
0
0
HOPE BANCORP, INC.
COM
43940T109
10
559962
SH
SOLE
0
559962
0
0
HUDSON PACIFIC PROPERTIES, INC.
COM
444097109
12
361397
SH
SOLE
0
361397
0
0
IBERIABANK CORP
COM
450828108
18
216951
SH
SOLE
0
216951
0
0
IDACORP INC
COM
451107106
11
123481
SH
SOLE
0
123481
0
0
INDEPENDENCE REALTY TRUST, INC.
COM
45378A106
12
1137279
SH
SOLE
0
1137279
0
0
INTEL CORP
COM
458140100
1
15907
SH
SOLE
0
15907
0
0
INVITATION HOMES, INC.
COM
46187W107
0
10401
SH
SOLE
0
10401
0
0
ISHARES TR
RUS 2000 VAL ETF
464287630
0
1780
PRN
SOLE
0
1780
0
0
ISHARES TR
RUS 2000 GRW ETF
464287648
0
1250
PRN
SOLE
0
1250
0
0
ISHARES TR
U.S. REAL ES ETF
464287739
1
10699
PRN
SOLE
0
10699
0
0
ISHARES TR
INTL DEV RE ETF
464288489
1
26025
PRN
SOLE
0
26025
0
0
ISHARES TR
S&P US PFD STK
464288687
1
13935
PRN
SOLE
0
13935
0
0
JERNIGAN CAPITAL, INC.
COM
476405105
1
24926
SH
SOLE
0
24926
0
0
JOHNSON & JOHNSON
COM
478160104
2
12991
SH
SOLE
0
12991
0
0
JPMORGAN CHASE & CO
COM
46625H100
1
10317
SH
SOLE
0
10317
0
0
KADANT INC
COM
48282T104
17
171207
SH
SOLE
0
171207
0
0
KAISER ALUMINUM CORP
COM
483007704
9
87528
SH
SOLE
0
87528
0
0
KAPSTONE PAPER & PACKAGING CORP
COM
48562P103
10
488073
SH
SOLE
0
488073
0
0
KILROY REALTY CORP
COM
49427F108
1
13392
SH
SOLE
0
13392
0
0
KIMCO REALTY CORP
COM
49446R109
1
38489
SH
SOLE
0
38489
0
0
LABORATORY CORP OF AMERICA
COM
50540R409
0
1835
SH
SOLE
0
1835
0
0
LAMB WESTON HOLDINGS
COM
513272104
0
4550
SH
SOLE
0
4550
0
0
LASALLE HOTEL PROPERTIES
COM SH BEN INT
517942108
0
7200
PRN
SOLE
0
7200
0
0
LEGACYTEXAS FINANCIAL GROUP, INC.
COM
52471Y106
11
275269
SH
SOLE
0
275269
0
0
LOWES COMPANIES INC
COM
548661107
0
3460
SH
SOLE
0
3460
0
0
MACERICH CO
COM
554382101
1
12299
SH
SOLE
0
12299
0
0
MAGELLAN MIDSTREAM
COM
559080106
0
3700
SH
SOLE
0
3700
0
0
MATERION CORP
COM
576690101
12
275542
SH
SOLE
0
275542
0
0
MEREDITH CORP
COM
589433101
9
161931
SH
SOLE
0
161931
0
0
METLIFE INC
COM
59156R108
0
4474
SH
SOLE
0
4474
0
0
MICROSOFT CORP
COM
594918104
0
3620
SH
SOLE
0
3620
0
0
MKS INSTRUMENT INC
COM
55306N104
18
191304
SH
SOLE
0
191304
0
0
MODINE MANUFACTURING CO
COM
607828100
13
660593
SH
SOLE
0
660593
0
0
MYR GROUP INC
COM
55405W104
6
213318
SH
SOLE
0
213318
0
0
NATIONAL STORAGE AFFILIATES TRUST
COM SHS BEN IN
637870106
13
516133
PRN
SOLE
0
516133
0
0
NATUS MEDICAL INCORPORATED
COM
639050103
5
142881
SH
SOLE
0
142881
0
0
NCR CORP NEW
COM
62886E108
19
513261
SH
SOLE
0
513261
0
0
NEOGENOMICS INC.
COM
64049M209
6
514143
SH
SOLE
0
514143
0
0
NEWELL RUBBERMAID INC
COM
651229106
1
18769
SH
SOLE
0
18769
0
0
NEXSTAR BROADCASTING
COM
65336K103
10
158365
SH
SOLE
0
158365
0
0
NORTHSTAR RLTY EUROPE CORP
COM
66706L101
6
436330
SH
SOLE
0
436330
0
0
NORWEGIAN CRUISE LINE HOLDINGS
SHS
G66721104
1
10099
PRN
SOLE
0
10099
0
0
NXP SEMICONDUCTORS
COM
N6596X109
0
3645
SH
SOLE
0
3645
0
0
OFFICE DEPOT INC
COM
676220106
12
2586150
SH
SOLE
0
2586150
0
0
ON ASSIGNMENT INC
COM
682159108
6
115065
SH
SOLE
0
115065
0
0
ONE MAIN HOLDINGS
COM
68268W103
11
381847
SH
SOLE
0
381847
0
0
PACIFIC PREMIER BANCORP
COM
69478X105
19
506427
SH
SOLE
0
506427
0
0
PAREXEL INTL CORP
COM
699462107
6
70780
SH
SOLE
0
70780
0
0
PDC ENERGY
COM
69327R101
13
258543
SH
SOLE
0
258543
0
0
PEBBLEBROOK HOTEL
COM
70509V100
7
181248
SH
SOLE
0
181248
0
0
PENSKE AUTOMOTIVE GROUP, INC.
COM
70959W103
6
118630
SH
SOLE
0
118630
0
0
PEPSICO INC
COM
713448108
1
8616
SH
SOLE
0
8616
0
0
PFIZER INC
COM
717081103
0
5961
SH
SOLE
0
5961
0
0
PHOTRONICS INC
COM
719405102
4
459021
SH
SOLE
0
459021
0
0
PHYSICIANS REALTY TRUST
COM
71943U104
0
18175
SH
SOLE
0
18175
0
0
PLEXUS CORP
COM
729132100
5
97896
SH
SOLE
0
97896
0
0
PORTLAND GENERAL
COM
736508847
7
162611
SH
SOLE
0
162611
0
0
POWERSHARES ETF TR II
PFD PORTFOLIO
73936T565
0
10000
PRN
SOLE
0
10000
0
0
PREFERRED BANK
COM
740367404
16
267462
SH
SOLE
0
267462
0
0
PRIMERICA
COM
74164M108
8
94811
SH
SOLE
0
94811
0
0
PROCTER & GAMBLE CO
COM
742718109
1
7114
SH
SOLE
0
7114
0
0
PROGENICS PHARMA INC
COM
743187106
11
1500285
SH
SOLE
0
1500285
0
0
PROGRESS SOFTWARE CORP
COM
743312100
7
186394
SH
SOLE
0
186394
0
0
PROLOGIS
COM
74340W103
2
26314
SH
SOLE
0
26314
0
0
PUBLIC STORAGE INC
COM
74460D109
2
7255
SH
SOLE
0
7255
0
0
QTS REALTY TRUST INC
COM CL A
74736A103
1
13998
PRN
SOLE
0
13998
0
0
RED ROBIN GOURMET BURGERS
COM
75689M101
6
96987
SH
SOLE
0
96987
0
0
REGENCY CTRS CORP
CPM
758849103
1
13418
PRN
SOLE
0
13418
0
0
RESOLUTE ENERGY CORP
COM
76116A306
4
126513
SH
SOLE
0
126513
0
0
RETAIL OPPORTUNITY INVESTMENTS
COM
76131N101
0
25004
SH
SOLE
0
25004
0
0
REXFORD INDUSTRIAL REALTY
COM
76169C100
15
540171
SH
SOLE
0
540171
0
0
RING ENERGY, INC.
COM
76680V108
19
1341287
SH
SOLE
0
1341287
0
0
SABRA HEALTH CARE REIT
COM
78573L106
12
537069
SH
SOLE
0
537069
0
0
SCHLUMBERGER LTD
COM
806857108
0
3852
SH
SOLE
0
3852
0
0
SCHWAB STRATEGIC TR
US BRD MKT ETF
808524102
1
22860
PRN
SOLE
0
22860
0
0
SCHWAB STRATEGIC TR
US LRG CAP ETF
808524201
5
91540
PRN
SOLE
0
91540
0
0
SCHWAB STRATEGIC TR
US SML CAP ETF
808524607
0
3735
PRN
SOLE
0
3735
0
0
SCHWAB STRATEGIC TR
US REIT ETF
808524847
1
31813
PRN
SOLE
0
31813
0
0
SELECTIVE INS GROUP
COM
816300107
12
228029
SH
SOLE
0
228029
0
0
SERITAGE GROWTH PROPERTIES
CL A
81752R100
5
112024
PRN
SOLE
0
112024
0
0
SHIRE PLC
SPONSORED ADR
82481R106
0
1313
PRN
SOLE
0
1313
0
0
SIMON PROPERTY GROUP
COM
828806109
3
20532
SH
SOLE
0
20532
0
0
SINCLAIR BROADCAST GRP CL A
COM
829226109
12
388955
SH
SOLE
0
388955
0
0
SKYWEST INC
COM
830879102
13
291746
SH
SOLE
0
291746
0
0
SKYWORKS SOLUTIONS INC
COM
83088M102
0
2790
SH
SOLE
0
2790
0
0
SL GREEN REALTY
COM
78440X101
1
13077
SH
SOLE
0
13077
0
0
SNYDERS LANCE INC
COM
833551104
8
212721
SH
SOLE
0
212721
0
0
SOUTH JERSEY INDS INC
COM
838518108
10
279004
SH
SOLE
0
279004
0
0
SPDR INDEX SHS FDS
DJ INTL RL ETF
78463X863
0
7315
PRN
SOLE
0
7315
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
1
4564
PRN
SOLE
0
4564
0
0
SPIRE, INC
COM
84857L101
9
117299
SH
SOLE
0
117299
0
0
STAG INDUSTRIAL
COM
85254J102
1
23594
SH
SOLE
0
23594
0
0
STARWOOD PROPERTIES
COM
85571B105
0
17900
SH
SOLE
0
17900
0
0
STARWOOD WAYPOINT HOMES
COM
85572F105
6
155658
SH
SOLE
0
155658
0
0
STATE BANK & TRUST
COM
856190103
13
467578
SH
SOLE
0
467578
0
0
STIFEL FINANCIAL CORP
COM
860630102
5
102417
SH
SOLE
0
102417
0
0
STORE CAPITAL CORPORATION
COM
862121100
1
36791
SH
SOLE
0
36791
0
0
SUN COMMUNITIES INC
COM
866674104
1
7363
SH
SOLE
0
7363
0
0
SUPERIOR ENERGY SERVICES
COM
868157108
6
608360
SH
SOLE
0
608360
0
0
TETRA TECH INC NEW
COM
88162G103
12
250204
SH
SOLE
0
250204
0
0
TIMKEN CO
COM
887389104
6
115078
SH
SOLE
0
115078
0
0
TIMKEN STEEL
COM
887399103
6
377592
SH
SOLE
0
377592
0
0
TOPBUILD CORP
COM
89055F103
18
270735
SH
SOLE
0
270735
0
0
TOWER INTERNATIONAL, INC
COM
891826109
7
240433
SH
SOLE
0
240433
0
0
TRIUMPH BANCORP, INC.
COM
89679E300
5
159953
SH
SOLE
0
159953
0
0
UDR INC
COM
902653104
0
10140
SH
SOLE
0
10140
0
0
UMPQUA HOLDINGS CORP
COM
904214103
6
310860
SH
SOLE
0
310860
0
0
UNILEVER NV
N Y SHS NEW
904784709
0
6000
PRN
SOLE
0
6000
0
0
UNITED CMNTY BKS GA CAP STK
COM
90984P303
20
703019
SH
SOLE
0
703019
0
0
USANA HEALTH SCIENCES
COM
90328M107
7
127943
SH
SOLE
0
127943
0
0
VENTAS INC
COM
92276F100
1
16929
SH
SOLE
0
16929
0
0
VERINT SYS INC
COM
92343X100
8
201248
SH
SOLE
0
201248
0
0
VERIZON COMMUNICATIONS
COM
92343V104
1
10602
SH
SOLE
0
10602
0
0
VORNADO REALTY TRUST
SH BEN INT
929042109
2
20131
PRN
SOLE
0
20131
0
0
WALT DISNEY CO
COM
254687106
1
6951
SH
SOLE
0
6951
0
0
WEB.COM GROUP INC
COM
94733A104
8
336547
SH
SOLE
0
336547
0
0
WELLTOWER INC
COM
95040Q104
2
26638
SH
SOLE
0
26638
0
0
WINTRUST FINL CORP
COM
97650W108
16
200688
SH
SOLE
0
200688
0
0
WOLVERINE WORLD WIDE, INC.
COM
978097103
6
200744
SH
SOLE
0
200744
0
0