-----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, Hc568zw2MadSazMUbQW1CXgezQ1XFQW9+0J5R0STtHlt3HQZm4fqpPWZsuqTznee sW4St4yU72TvTLZTORT8Ag== 0001140361-09-016353.txt : 20090714 0001140361-09-016353.hdr.sgml : 20090714 20090714123002 ACCESSION NUMBER: 0001140361-09-016353 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090714 DATE AS OF CHANGE: 20090714 EFFECTIVENESS DATE: 20090714 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: 09943331 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 13-F 6-30-2009 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 6/30/2009 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. Persons Signing this Report on Behalf of Reporting Manager: Name: Barnes Ellis Title: Chief Compliance Officer Phone: 503-227-5778 Signature, Place, and Date of Signing: /s/ Barnes Ellis Portland, OR 7/9/2009 - --------------------------------- --------------------------------- ---------- [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: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 132 Form 13F Information Table Value Total: $100,009,933.37 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.
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------ ----------------- --------- ---------- ----------------- ---------- -------- ------------------ VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------ ----------------- --------- ---------- -------- --- ---- ---------- -------- ------ ------ ---- 3m Company Common Stock 88579Y101 384640 6400 SOLE NONE 6400 0 0 Abbott Laboratories Common Stock 2824100 3698284.8 78620 SOLE NONE 78620 0 0 Aberdeen Asia Income Fd Common Stock 3009107 563377.27 100964 SOLE NONE 100964 0 0 Albany Intl Corp Common Stock 12348108 397822.04 34958 SOLE NONE 34958 0 0 Alexander & Baldwin Inc Common Stock 14482103 687964 29350 SOLE NONE 29350 0 0 Altria Group Common Stock 718154107 319605 19500 SOLE NONE 19500 0 0 American Safety Insurance Common Stock G02995101 230689.5 16950 SOLE NONE 16950 0 0 Amerisourcebergen Corp Common Stock 03073E105 746144.4 42060 SOLE NONE 42060 0 0 Anadarko Pete Corp Common Stock 32511107 644265.66 14194 SOLE NONE 14194 0 0 Annaly Capital Management Common Stock 35710409 171082 11300 SOLE NONE 11300 0 0 AptarGroup Inc Common Stock 38336103 270160 8000 SOLE NONE 8000 0 0 AT&T Common Stock 00206R102 417038.76 16789 SOLE NONE 16789 0 0 Baldwin Technology Inc Cl A Common Stock 58264102 62000 62000 SOLE NONE 62000 0 0 Ball Corp Common Stock 58498106 485470 10750 SOLE NONE 10750 0 0 Bank of America Common Stock 60505104 262706.45 19902 SOLE NONE 19902 0 0 Bank of New York Mellon Common Stock 64058100 442405.14 15094 SOLE NONE 15094 0 0 Bank Of Nova Scotia Halifax Common Stock 64149107 596250 15900 SOLE NONE 15900 0 0 Beckman Coulter Common Stock 75811109 250273.2 4380 SOLE NONE 4380 0 0 Berkshire Hathaway Cl A Common Stock 84670108 810000 9 SOLE NONE 9 0 0 Berkshire Hathaway Cl B Common Stock 84670207 2918895.84 1008 SOLE NONE 1008 0 0 BJ Services Co Common Stock 55482103 154700.5 11350 SOLE NONE 11350 0 0 BP p.l.c. Common Stock 55622104 228959.36 4802 SOLE NONE 4802 0 0 Bristol Myers Squibb Common Stock 110122108 523754.28 25788 SOLE NONE 25788 0 0 BSD Medical Corp Common Stock 55662100 35258.08 16951 SOLE NONE 16951 0 0 Central Fd Cda Cl A Common Stock 153501101 405030 34500 SOLE NONE 34500 0 0 ChevronTexaco Common Stock 166764100 1167176.94 17618 SOLE NONE 17618 0 0 Clearwater Paper Corp Com Common Stock 18538R103 700153.65 27685 SOLE NONE 27685 0 0 Clorox Co Del Common Stock 189054109 549925.5 9850 SOLE NONE 9850 0 0 Conoco Phillips Common Stock 718507106 336480 8000 SOLE NONE 8000 0 0 Costco Wholesale Common Stock 22160K105 276923.22 6049 SOLE NONE 6049 0 0 Deutsche Telekom A Gspon Adr Common Stock 251566105 401200 34000 SOLE NONE 34000 0 0 Diamondrock Hospitality Common Stock 252784301 160443.8 25630 SOLE NONE 25630 0 0 Dominion Resources Common Stock 25746U109 401374.2 12010 SOLE NONE 12010 0 0 Du Pont Common Stock 263534109 516755.4 20170 SOLE NONE 20170 0 0 Encana Common Stock 292505104 1110797.2 22454 SOLE NONE 22454 0 0 Ensco International Inc Common Stock 26874Q100 751448.5 21550 SOLE NONE 21550 0 0 EOG Resources Common Stock 26875P101 373560 5500 SOLE NONE 5500 0 0 Exxon Mobil Common Stock 30231G102 1129296.78 16154 SOLE NONE 16154 0 0 Fedex Corp. Common Stock 31428X106 273372.3 4915 SOLE NONE 4915 0 0 Flextronics Common Stock Y2573F102 321728.75 77525 SOLE NONE 77525 0 0 Fomento Economico Mexicano Common Stock 344419106 1843483.2 57180 SOLE NONE 57180 0 0 Fourstar Real Estate Grp Common Stock 346233109 122364 10300 SOLE NONE 10300 0 0 General Mills Common Stock 370334104 1799642.5 32125 SOLE NONE 32125 0 0 Genuine Parts Common Stock 372460105 251700 7500 SOLE NONE 7500 0 0 Gold Miners ETF Common Stock 57060U100 531867.98 14065 SOLE NONE 14065 0 0 H.J. Heinz Common Stock 423074103 976395 27350 SOLE NONE 27350 0 0 Hawkins Common Stock 420261109 730756.54 32363 SOLE NONE 32363 0 0 Hewlett-Packard Common Stock 428236103 904928.37 23413 SOLE NONE 23413 0 0 Honda Motors Common Stock 438128308 501555.25 18325 SOLE NONE 18325 0 0 Honeywell International Common Stock 438516106 307092 9780 SOLE NONE 9780 0 0 Hospira Inc Common Stock 441060100 331464.6 8605 SOLE NONE 8605 0 0 Imperial Oil Ltd Com New Common Stock 453038408 1324666.24 34443 SOLE NONE 34443 0 0 Ingram Micro Inc Common Stock 457153104 319812.5 18275 SOLE NONE 18275 0 0 Intel Common Stock 458140100 1879252.5 113550 SOLE NONE 113550 0 0 Investors Title Common Stock 461804106 298460.02 11099 SOLE NONE 11099 0 0 Ishares 1-3 Yr Treas Index Fd 464287457 2245018.49 26819 SOLE NONE 26819 0 0 Ishares Global Telecom Fd 464287275 698656.4 14690 SOLE NONE 14690 0 0 Ishares Hong Kong Index Fd 464286871 342469.5 24925 SOLE NONE 24925 0 0 Ishares Japan Index Fd 464286848 348674.25 36975 SOLE NONE 36975 0 0 Ishares Msci Germany Index Fd 464286806 205601.3 11435 SOLE NONE 11435 0 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------ ----------------- --------- ---------- ----------------- ---------- -------- ------------------ VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------ ----------------- --------- ---------- -------- --- ---- ---------- -------- ------ ------ ---- Ishares Singapore Index Fd 464286673 4248645.5 471025 SOLE NONE 471025 0 0 Ishares Taiwan Index Fd 464286731 171035.37 16951 SOLE NONE 16951 0 0 ITT Inds Inc Common Stock 450911102 558519.5 12551 SOLE NONE 12551 0 0 JM Smucker Common Stock 832696405 1649963.28 33908 SOLE NONE 33908 0 0 John BeanTechnologies Corp Common Stock 477839104 497169.2 39710 SOLE NONE 39710 0 0 Johnson & Johnson Common Stock 478160104 891192 15690 SOLE NONE 15690 0 0 K Tron Int'l Common Stock 482730108 697200 8715 SOLE NONE 8715 0 0 Kellogg Common Stock 487836108 218879 4700 SOLE NONE 4700 0 0 Khd Humboldt Wedag Intl Common Stock 482462108 223929 26850 SOLE NONE 26850 0 0 Kimberly Clark Common Stock 494368103 426780.2 8140 SOLE NONE 8140 0 0 Kraft Foods Inc Cl A Common Stock 50075N104 332790.22 13133 SOLE NONE 13133 0 0 Kroger Common Stock 501044101 1913499 86780 SOLE NONE 86780 0 0 Macy's Inc Common Stock 55616P104 162052.8 13780 SOLE NONE 13780 0 0 Marathon Oil Corp Common Stock 565849106 558308.9 18530 SOLE NONE 18530 0 0 MDU Resources Group Inc Common Stock 552690109 476147 25100 SOLE NONE 25100 0 0 Mercer Ins Group Common Stock 587902107 366844.8 23072 SOLE NONE 23072 0 0 Merck Common Stock 589331107 268388.04 9599 SOLE NONE 9599 0 0 Mfri Inc Common Stock 552721102 389142.24 62968 SOLE NONE 62968 0 0 Microsoft Common Stock 594918104 1038156.68 43675 SOLE NONE 43675 0 0 Molson Coors Co Cl B Common Stock 60871R209 503727 11900 SOLE NONE 11900 0 0 Monsanto Co New Common Stock 61166W101 334530 4500 SOLE NONE 4500 0 0 Multi Color Corp. Common Stock 625383104 195247.6 15926 SOLE NONE 15926 0 0 Natco Group Inc Cl A Common Stock 63227W203 357182 10850 SOLE NONE 10850 0 0 New York Times Common Stock 650111107 281561 51100 SOLE NONE 51100 0 0 Nexen Common Stock 65334H102 1492984 68960 SOLE NONE 68960 0 0 Norfolk Southern Crp Common Stock 655844108 233554 6200 SOLE NONE 6200 0 0 Northrop Grumman Corp. Common Stock 666807102 329992.32 7224 SOLE NONE 7224 0 0 Northwest Natural Gas Common Stock 667655104 240967.84 5437 SOLE NONE 5437 0 0 Novartis Ag Adr Common Stock 66987V109 1429403.97 35043 SOLE NONE 35043 0 0 Nstar Common Stock 67019E107 272935 8500 SOLE NONE 8500 0 0 Pepsico Common Stock 713448108 335256 6100 SOLE NONE 6100 0 0 Petroleo Brasileiro Common Stock 71654V408 973070.1 23745 SOLE NONE 23745 0 0 Petroleo Brasileiro Cl A Common Stock 71654V101 1115886.13 33450 SOLE NONE 33450 0 0 Pfizer Common Stock 717081103 564495.75 37633 SOLE NONE 37633 0 0 Philip Morris Intl Common Stock 718172109 850590 19500 SOLE NONE 19500 0 0 Potlatch Corp Common Stock 737630103 302410.5 12450 SOLE NONE 12450 0 0 Powershares Db Multisector Com 73936B408 417380 16400 SOLE NONE 16400 0 0 Powershares Ftse Rafi US1000 73935X583 434590.8 11670 SOLE NONE 11670 0 0 Procter & Gamble Common Stock 742718109 340377.1 6661 SOLE NONE 6661 0 0 Rayonier Common Stock 754907103 1538278.93 42319 SOLE NONE 42319 0 0 Rush Enterprises Cl B Common Stock 781846308 220497.5 22250 SOLE NONE 22250 0 0 S & P 500 Index Fund 78462F103 226748.7 2466 SOLE NONE 2466 0 0 Schering Plough Common Stock 806605101 1202745.6 47880 SOLE NONE 47880 0 0 Schlumberger Limited Common Stock 806857108 398682.48 7368 SOLE NONE 7368 0 0 Southern Co Common Stock 842587107 285487.92 9162 SOLE NONE 9162 0 0 Southern Union Co Common Stock 844030106 527682.66 28694 SOLE NONE 28694 0 0 Stancorp Financial Common Stock 852891100 1547142.6 53945 SOLE NONE 53945 0 0 Starbucks Common Stock 855244109 243075 17500 SOLE NONE 17500 0 0 Streettracks Gold Shrs 78463V107 2848007.3 31235 SOLE NONE 31235 0 0 Swiss Helvetia Fund Inc Common Stock 870875101 497521.5 51450 SOLE NONE 51450 0 0 Syngenta AG Common Stock 87160A100 2775848.4 59670 SOLE NONE 59670 0 0 Tidewater Common Stock 886423102 194208.39 4530 SOLE NONE 4530 0 0 Transocean Inc Common Stock G90073100 306074.8 4120 SOLE NONE 4120 0 0 UGI Corp Common Stock 902681105 678441.84 26616 SOLE NONE 26616 0 0 Union Pacific Common Stock 907818108 932134.3 17905 SOLE NONE 17905 0 0 United Parcel Svc Common Stock 911312106 481403.7 9630 SOLE NONE 9630 0 0 United Technologies Common Stock 913017109 2029765.44 39064 SOLE NONE 39064 0 0 URS Common Stock 903236107 447512.24 9037 SOLE NONE 9037 0 0 Urstadt Biddle Pptys Common Stock 917286106 431653.12 32504 SOLE NONE 32504 0 0 Urstadt Biddle Pptys CL A Common Stock 917286205 192283 14850 SOLE NONE 14850 0 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------ ----------------- --------- ---------- ----------------- ---------- -------- ------------------ VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------ ----------------- --------- ---------- -------- --- ---- ---------- -------- ------ ------ ---- US Bancorp Common Stock 902973304 1439191.04 80312 SOLE NONE 80312 0 0 Vanguard Energy ETF 92204A306 2702591.25 38625 SOLE NONE 38625 0 0 Vanguard Extended Mkt ETF 922908652 1200248.8 34810 SOLE NONE 34810 0 0 Vanguard Short Term Bond ETF 921937827 978491.25 12375 SOLE NONE 12375 0 0 Vanguard Total Stk Mkt ETF 922908769 5788839.7 125110 SOLE NONE 125110 0 0 Vanguard Utilities ETF 92204A876 811008.4 13880 SOLE NONE 13880 0 0 Verizon Communications Common Stock 92343V104 661336.77 21521 SOLE NONE 21521 0 0 Walt Disney Common Stock 254687106 279960 12000 SOLE NONE 12000 0 0 Waste Management Common Stock 94106L109 423244.8 15030 SOLE NONE 15030 0 0 Wells Fargo & Co Common Stock 949746101 1019380.94 42019 SOLE NONE 42019 0 0 Wisdomtree Tree India Fd Common Stock 97717W422 263720 15200 SOLE NONE 15200 0 0 Yamana Gold Inc Common Stock 98462Y100 200668 22700 SOLE NONE 22700 0 0
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