-----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, IC496OsSNd7GKoSeH3E9kkfsxoSbOWSdTmfh6NCPXDMaT554HcrN612jsd5w4oga D3anHyxa55Bivmx0We49/g== 0001140361-09-010164.txt : 20090423 0001140361-09-010164.hdr.sgml : 20090423 20090423133321 ACCESSION NUMBER: 0001140361-09-010164 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090423 DATE AS OF CHANGE: 20090423 EFFECTIVENESS DATE: 20090423 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Baker Ellis Asset Management LLC CENTRAL INDEX KEY: 0001365559 IRS NUMBER: 752997594 STATE OF INCORPORATION: OR FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12091 FILM NUMBER: 09765951 BUSINESS ADDRESS: STREET 1: 1211 SW FIFTH AVE. STREET 2: SUITE 2910 CITY: PORTLAND STATE: OR ZIP: 97204 BUSINESS PHONE: 503-227-5778 MAIL ADDRESS: STREET 1: 1211 SW FIFTH AVE. STREET 2: SUITE 2910 CITY: PORTLAND STATE: OR ZIP: 97204 13F-HR 1 form13f.txt BAKER ELLIS ASSET MANAGEMENT 13F 3-31-2009 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2009 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: Baker Ellis Asset Management ----------------------------------------------------- Address: 1211 Southwest Fifth Avenue, Suite 2910 Portland, OR 97204 ----------------------------------------------------- Form 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: /s/ Barnes Ellis ------------------------- Title: Chief Compliance Officer ------------------------- Phone: 503-227-5778 ------------------------- Signature, Place, and Date of Signing: /s/ Barnes Ellis Portland, OR 4/21/2009 - ---------------- ------------ ---------- [Signature] [City, State] [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.] 13F File Number Name 28-____________ ________________________________________ [Repeat as necessary.] 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: $81,519,817 ----------- List of Other Included Managers: Provide a numbered list of the name(s) and 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
Shares/ SH/ PUT/ Investment Other Voting Authority Name of Issuer Title of Class Cusip Value PRN Amt PRN CALL Discretion Managers Sole Shared None - -------------------------- -------------- --------- ---------- ------- --- ---- ---------- -------- ------ ------ ----- 3m Company Common Stock 88579Y101 318208 6400 Sole None 6400 0 0 Abbott Laboratories Common Stock 2824100 3752559 78670 Sole None 78670 0 0 Aberdeen Asia Income Fd 3009107 486366.71 101964 Sole None 101964 0 0 Albany Intl Corp Common Stock 12348108 325727.6 35992 Sole None 35992 0 0 Alexander & Baldwin Inc Common Stock 14482103 508101 26700 Sole None 26700 0 0 Altria Group Common Stock 718154107 318798 19900 Sole None 19900 0 0 American Safety Insurance Common Stock G02995101 197396.5 17150 Sole None 17150 0 0 Amerisourcebergen Corp Common Stock 3.07E+108 477815.8 14630 Sole None 14630 0 0 Anadarko Pete Corp Common Stock 32511107 552004.66 14194 Sole None 14194 0 0 Annaly Capital Management Common Stock 35710409 198341 14300 Sole None 14300 0 0 AptarGroup Inc Common Stock 38336103 249120 8000 Sole None 8000 0 0 AT&T Common Stock 00206R102 436564.8 17324 Sole None 17324 0 0 Baldwin Technology Inc Cl A Common Stock 58264102 57960 63000 Sole None 63000 0 0 Ball Corp Common Stock 58498106 438340 10100 Sole None 10100 0 0 Bank of America Common Stock 60505104 139462.21 20449 Sole None 20449 0 0 Bank of New York Mellon Common Stock 64058100 426405.5 15094 Sole None 15094 0 0 Beckman Coulter Common Stock 75811109 223423 4380 Sole None 4380 0 0 Berkshire Hathaway Cl A Common Stock 84670108 780300 9 Sole None 9 0 0 Berkshire Hathaway Cl B Common Stock 84670207 2808720 996 Sole None 996 0 0 BJ Services Co Common Stock 55482103 129847.5 13050 Sole None 13050 0 0 Bristol Myers Squibb Common Stock 110122108 563080.96 25688 Sole None 25688 0 0 BSD Medical Corp Common Stock 55662100 37655.1 17931 Sole None 17931 0 0 Central Fd Cda Cl A 153501101 411240 34500 Sole None 34500 0 0 ChevronTexaco Common Stock 166764100 1298926.51 19318 Sole None 19318 0 0 Clearwater Paper Corp Com Common Stock 18538R103 271855.65 33855 Sole None 33855 0 0 Clorox Co Del Common Stock 189054109 471042 9150 Sole None 9150 0 0 Conoco Phillips Common Stock 718507106 314454.8 8030 Sole None 8030 0 0 Costco Wholesale Common Stock 22160K105 276020.88 5959 Sole None 5959 0 0 Deutsche Telekom A Gspon Adr Common Stock 251566105 418665 33900 Sole None 33900 0 0 Diamondrock Hospitality Common Stock 252784301 85533.3 21330 Sole None 21330 0 0 Dominion Resources Common Stock 25746U109 345848.4 11160 Sole None 11160 0 0 Du Pont Common Stock 263534109 450396.1 20170 Sole None 20170 0 0 Encana Common Stock 292505104 921601.55 22694 Sole None 22694 0 0 EOG Resources Common Stock 26875P101 301180 5500 Sole None 5500 0 0 Exxon Mobil Common Stock 30231G102 1031958.8 15154 Sole None 15154 0 0 Fedex Corp. Common Stock 31428X106 224585.52 5048 Sole None 5048 0 0 Flextronics Common Stock Y2573F102 229249.25 79325 Sole None 79325 0 0 Fomento Economico Mexicano Common Stock 344419106 1425121.3 56530 Sole None 56530 0 0 General Mills Common Stock 370334104 1005979.84 20168 Sole None 20168 0 0 Gold Miners ETF 57060U100 468929.2 12715 Sole None 12715 0 0 H.J. Heinz Common Stock 423074103 499867.2 15120 Sole None 15120 0 0 Hawkins Common Stock 420261109 470044.09 30463 Sole None 30463 0 0 Hewlett-Packard Common Stock 428236103 812670.09 25348 Sole None 25348 0 0 Honda Motors Common Stock 438128308 436672.5 18425 Sole None 18425 0 0 Honeywell International Common Stock 438516106 289186.8 10380 Sole None 10380 0 0 Hospira Inc Common Stock 441060100 265550.3 8605 Sole None 8605 0 0 Imperial Oil Ltd Com New Common Stock 453038408 1261268.37 34648 Sole None 34648 0 0 Ingram Micro Inc Common Stock 457153104 225624 17850 Sole None 17850 0 0 Intel Common Stock 458140100 1713420 114000 Sole None 114000 0 0 Investors Title Common Stock 461804106 321855.5 11102 Sole None 11102 0 0 Ishares 1-3 Yr Treas Index Fd 464287457 2843186.08 33719 Sole None 33719 0 0 Ishares Global Telecom Fd 464287275 448819.2 10240 Sole None 10240 0 0 Ishares Hong Kong Index Fd 464286871 253487.25 24925 Sole None 24925 0 0 Ishares Japan Index Fd 464286848 292102.5 36975 Sole None 36975 0 0 Ishares Msci Germany Index Fd 464286806 171181.95 11435 Sole None 11435 0 0 Ishares Singapore Index Fd 464286673 2936272.5 466075 Sole None 466075 0 0 Ishares Taiwan Index Fd 464286731 136794.39 16951 Sole None 16951 0 0 ITT Inds Inc Common Stock 450911102 461678.47 12001 Sole None 12001 0 0 JM Smucker Common Stock 832696405 1137331.32 30516 Sole None 30516 0 0 John BeanTechnologies Corp Common Stock 477839104 507414.6 48510 Sole None 48510 0 0 Johnson & Johnson Common Stock 478160104 801361 15235 Sole None 15235 0 0 K Tron Int'l Common Stock 482730108 531772.55 8765 Sole None 8765 0 0 Khd Humboldt Wedag Intl Common Stock 482462108 458105.36 66296 Sole None 66296 0 0 Kimberly Clark Common Stock 494368103 283115.4 6140 Sole None 6140 0 0 Kraft Foods Inc Cl A Common Stock 50075N104 310566.57 13933 Sole None 13933 0 0 Kroger Common Stock 501044101 1696114.6 79930 Sole None 79930 0 0 Macy's Inc Common Stock 55616P104 122642 13780 Sole None 13780 0 0 Marathon Oil Corp Common Stock 565849106 500298.7 19030 Sole None 19030 0 0 MDU Resources Group Inc Common Stock 552690109 393816 24400 Sole None 24400 0 0 Mercer Ins Group Common Stock 587902107 325639.6 22772 Sole None 22772 0 0 Merck Common Stock 589331107 254767 9524 Sole None 9524 0 0 Mfri Inc Common Stock 552721102 381237.58 60418 Sole None 60418 0 0 Microsoft Common Stock 594918104 758223.24 41275 Sole None 41275 0 0 Molson Coors Co Cl B Common Stock 60871R209 397648 11600 Sole None 11600 0 0 Monsanto Co New Common Stock 61166W101 373950 4500 Sole None 4500 0 0 Multi Color Corp. Common Stock 625383104 195687.08 16001 Sole None 16001 0 0 Natco Group Inc Cl A Common Stock 63227W203 211069.5 11150 Sole None 11150 0 0 New York Times Common Stock 650111107 244984 54200 Sole None 54200 0 0 Nexen Common Stock 65334H102 1147513.6 67660 Sole None 67660 0 0 Norfolk Southern Crp Common Stock 655844108 209250 6200 Sole None 6200 0 0 Northrop Grumman Corp. Common Stock 666807102 261141.76 5984 Sole None 5984 0 0 Northwest Natural Gas Common Stock 667655104 257784.54 5937 Sole None 5937 0 0 Novartis Ag Adr Common Stock 66987V109 1305513.3 34510 Sole None 34510 0 0 Pepsico Common Stock 713448108 303732 5900 Sole None 5900 0 0 Petroleo Brasileiro Common Stock 71654V408 723510.15 23745 Sole None 23745 0 0 Petroleo Brasileiro Cl A Common Stock 71654V101 819520.69 33450 Sole None 33450 0 0 Pfizer Common Stock 717081103 519372.14 38133 Sole None 38133 0 0 Philip Morris Intl Common Stock 718172109 708042 19900 Sole None 19900 0 0 Plum Creek Timber Common Stock 729251108 210030 7225 Sole None 7225 0 0 Potlatch Corp Common Stock 737630103 277120 11950 Sole None 11950 0 0 Powershares Ftse Rafi US1000 73935X583 326164 11170 Sole None 11170 0 0 Procter & Gamble Common Stock 742718109 224525.12 4768 Sole None 4768 0 0 Rayonier Common Stock 754907103 1215222.96 40213 Sole None 40213 0 0 Rush Enterprises Cl B Common Stock 781846308 175783.5 22450 Sole None 22450 0 0 Schering Plough Common Stock 806605101 1174674 49880 Sole None 49880 0 0 Schlumberger Limited Common Stock 806857108 307412.16 7568 Sole None 7568 0 0 Southern Co Common Stock 842587107 262719.6 8580 Sole None 8580 0 0 Southern Union Co Common Stock 844030106 418458.68 27494 Sole None 27494 0 0 Stancorp Financial Common Stock 852891100 1067584.7 46865 Sole None 46865 0 0 Starbucks Common Stock 855244109 198869 17900 Sole None 17900 0 0 Streettracks Gold Shrs 78463V107 2831180.8 31360 Sole None 31360 0 0 Swiss Helvetia Fund Inc 870875101 410273.5 46150 Sole None 46150 0 0 Syngenta AG Common Stock 87160A100 2254984.2 56220 Sole None 56220 0 0 Texas Instruments Common Stock 882508104 151974.55 9205 Sole None 9205 0 0 Transocean Inc Common Stock G90073100 236536.8 4020 Sole None 4020 0 0 UGI Corp Common Stock 902681105 572046.69 24229 Sole None 24229 0 0 Union Pacific Common Stock 907818108 662282.1 16110 Sole None 16110 0 0 United Parcel Svc Common Stock 911312106 476449.6 9680 Sole None 9680 0 0 United Technologies Common Stock 913017109 1695947.82 39459 Sole None 39459 0 0 URS Common Stock 903236107 371650.77 9197 Sole None 9197 0 0 Urstadt Biddle Pptys Common Stock 917286106 215123.6 16054 Sole None 16054 0 0 Urstadt Biddle Pptys Inc Cl A Common Stock 917286205 138897 10350 Sole None 10350 0 0 US Bancorp Common Stock 902973304 1030180.32 70512 Sole None 70512 0 0 Vanguard Energy ETF 92204A306 1947258 32325 Sole None 32325 0 0 Vanguard Extended Mkt ETF 922908652 895490.4 31710 Sole None 31710 0 0 Vanguard Short Term Bond ETF 921937827 630400 8000 Sole None 8000 0 0 Vanguard Total Stk Mkt ETF 922908769 4831530.6 122070 Sole None 122070 0 0 Vanguard Utilities ETF 92204A876 652804.8 12280 Sole None 12280 0 0 Verizon Communications Common Stock 92343V104 655970.7 21721 Sole None 21721 0 0 Walt Disney Common Stock 254687106 217920 12000 Sole None 12000 0 0 Waste Management Common Stock 94106L109 272128 10630 Sole None 10630 0 0 Weatherford Bermuda Common Stock G95089101 160293.6 14480 Sole None 14480 0 0 Wells Fargo & Co Common Stock 949746101 598350.56 42019 Sole None 42019 0 0 Wisdomtree Tree India Erngs Fd Common Stock 97717W422 166288 15200 Sole None 15200 0 0 Yamana Gold Inc Common Stock 98462Y100 225700 24400 Sole None 24400 0 0
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