0001214659-14-000936.txt : 20140207 0001214659-14-000936.hdr.sgml : 20140207 20140206202829 ACCESSION NUMBER: 0001214659-14-000936 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140207 DATE AS OF CHANGE: 20140206 EFFECTIVENESS DATE: 20140207 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Stevens First Principles Investment Advisors CENTRAL INDEX KEY: 0001388076 IRS NUMBER: 330140970 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12317 FILM NUMBER: 14581597 BUSINESS ADDRESS: STREET 1: 4100 NEWPORT PLACE DRIVE, SUITE 720 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: (949) 251-9333 MAIL ADDRESS: STREET 1: 4100 NEWPORT PLACE DRIVE, SUITE 720 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001388076 XXXXXXXX 12-31-2013 12-31-2013 false Stevens First Principles Investment Advisors

4100 Newport Place Drive, Suite 720 Newport Beach CA 92660

13F HOLDINGS REPORT 028-12317 N Steven Lee Yamshon 949-251-9333 /s/ Steven Lee Yamshon Newport Beach CA 02-06-2014 1 211 168684 1 0001418204 028-12624 FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. INFORMATION TABLE 2 infotable.xml Aar Corp COM 361105 41 1480 SH SOLE 1480 0 0 Abbott Laboratories COM 2824100 1269 33114 SH SOLE 33114 0 0 Aberdeen Asia-Pacific Income Fund COM 3009107 188 32610 SH DFND 1 24610 8000 0 Acadia Pharmaceuticals Inc COM 4225108 15 600 SH SOLE 600 0 0 Adams Express Company COM 6212104 296 22612 SH DFND 1 412 22200 0 Adobe Systems Inc COM 00724F101 78 1300 SH SOLE 1300 0 0 Aflac Inc COM 1055102 8 120 SH SOLE 120 0 0 Agco Corp COM 1084102 1317 22255 SH SOLE 22255 0 0 Alere Inc Com COM 01449J105 119 3300 SH SOLE 3300 0 0 Alexander & Baldwin Inc COM 14491104 2520 60396 SH SOLE 60396 0 0 American Airlines Group Inc Com Usd1 COM 02376R102 13 532 SH SOLE 532 0 0 American Express COM 25816109 82 900 SH SOLE 900 0 0 Annaly Mtg Mgmt Inc COM 35710409 1 100 SH SOLE 100 0 0 Apartment Investment & Management Co CL A 03748R101 2 60 SH SOLE 60 0 0 Apple Inc COM 37833100 476 848 SH SOLE 848 0 0 Archer Daniels Midland Co COM 39483102 5417 124809 SH DFND 1 118409 6400 0 Avianca Holdings Sa Spon Adr Each Repr 8 SPON ADR REP PFD 05367G100 65 4240 SH SOLE 4240 0 0 Avista Corp COM 05379B107 206 7290 SH SOLE 7290 0 0 Bank Hawaii Corp COM 62540109 1015 17160 SH DFND 1 14860 2300 0 Bank of America Corp COM 60505104 156 10000 SH SOLE 10000 0 0 Bank Of New York Co COM 64058100 1030 29490 SH SOLE 29490 0 0 Becton Dickinson Co COM 75887109 2347 21240 SH SOLE 21240 0 0 Beneficial Mut Bancorp Inc COM 08173R104 201 18445 SH SOLE 18445 0 0 Berkshire Hathaway Inc - B CL B NEW 84670702 21 180 SH SOLE 180 0 0 Big Lots Inc COM 89302103 264 8180 SH SOLE 8180 0 0 Biomarin Pharmaceutical Inc COM 09061G101 28 400 SH SOLE 400 0 0 Boardwalk Pipeline Partners LP UT LTD PARTNER 96627104 1810 70925 SH SOLE 70925 0 0 BP PLC SPONSORED ADR 55622104 1244 25583 SH SOLE 25583 0 0 Bristol Myers Squibb Co COM 110122108 37 700 SH SOLE 700 0 0 Canadian National Railway Co COM 136375102 2 30 SH SOLE 30 0 0 Canadian Natural Resources Ltd COM 136385101 1 35 SH SOLE 35 0 0 Cancer Genetics Inc Com Usd0.0001 COM 13739U104 11 800 SH SOLE 800 0 0 Cardinal Health Inc COM 14149Y108 78 1170 SH SOLE 1170 0 0 Caterpillar Inc COM 149123101 82 900 SH SOLE 900 0 0 Celldex Therapeutics, Inc. COM 15117B103 15 600 SH SOLE 600 0 0 Cenovus Energy Inc COM 15135U109 3956 138068 SH DFND 1 130068 8000 0 Check Point Softwaretech Ltd ORD M22465104 171 2650 SH SOLE 2650 0 0 Chelsea Therapeutics Intl Ltd Com COM 163428105 13 3000 SH SOLE 3000 0 0 Chevron Corp COM 166764100 12 96 SH SOLE 96 0 0 China Fd Inc COM 169373107 2499 120110 SH SOLE 120110 0 0 Church & Dwight Co COM 171340102 3962 59770 SH SOLE 59770 0 0 Cisco Systems Inc COM 17275R102 269 12015 SH DFND 1 5315 6700 0 Citizens Holding Co COM 174715102 122 6580 SH SOLE 6580 0 0 Ckx Lds Inc Com COM 12562N104 12 835 SH SOLE 835 0 0 Coca Cola Co COM 191216100 587 14215 SH SOLE 14215 0 0 Comcast Corp CL A 20030N101 6 123 SH SOLE 123 0 0 Compass Minerals International Inc. COM 20451N101 4 50 SH SOLE 50 0 0 ConocoPhillips COM 20825C104 1486 21035 SH SOLE 21035 0 0 Consolidated-Tomoka Land Co COM 210226106 573 15780 SH SOLE 15780 0 0 Costco Wholesale Corp COM 22160K105 25 213 SH SOLE 213 0 0 CSX Corporation COM 126408103 4991 173465 SH SOLE 173465 0 0 Cummins Inc COM 231021106 141 1000 SH SOLE 1000 0 0 Curtiss-Wright Corp COM 231561101 69 1110 SH SOLE 1110 0 0 CVS Caremark Corp COM 126650100 38 525 SH SOLE 525 0 0 Cytrx Corp Com Par $.001 COM PAR $.001 232828509 5 750 SH SOLE 750 0 0 Deere & Co COM 244199105 1669 18275 SH DFND 1 16275 2000 0 Derma Sciences Inc COM PAR $.01 249827502 22 2000 SH SOLE 2000 0 0 Diageo Plc SPON ADR NEW 25243Q205 20 150 SH SOLE 150 0 0 DirecTV COM 25490A309 138 2000 SH SOLE 2000 0 0 Discover Financial Services COM 254709108 1800 32170 SH DFND 1 29470 2700 0 Dover Corp COM 260003108 7 70 SH SOLE 70 0 0 Dow Chemical Co COM 260543103 497 11203 SH SOLE 11203 0 0 Duke Energy Corp COM NEW 26441C204 4 63 SH SOLE 63 0 0 Eaton Corp SHS G29183103 129 1700 SH SOLE 1700 0 0 Ebay Inc Com COM 278642103 56 1015 SH SOLE 1015 0 0 Edison International COM 281020107 93 2000 SH SOLE 2000 0 0 Edwards Lifesciences COM 28176E108 148 2250 SH SOLE 2250 0 0 EI du Pont de Nemours & Co COM 263534109 1901 29260 SH SOLE 29260 0 0 EnCana Corp COM 292505104 5039 279168 SH DFND 1 269168 10000 0 Endocyte Inc COM 29269A102 9 800 SH SOLE 800 0 0 Exelis Inc COM 30162A108 70 3675 SH SOLE 3675 0 0 Exelon Corp COM 30161N101 108 3950 SH DFND 1 400 3550 0 Express Scripts Inc COM 30219G108 19 276 SH SOLE 276 0 0 Exxon Mobil Corp COM 30231G102 3371 33310 SH SOLE 33310 0 0 Facebook Inc CL A 30303M102 11 200 SH SOLE 200 0 0 FirstEnergy Corp COM 337932107 7 215 SH SOLE 215 0 0 General Electric Co COM 369604103 2221 79226 SH DFND 1 74341 4885 0 Geron Corp Com COM 374163103 7 1500 SH SOLE 1500 0 0 Glatfelter Com COM 377316104 779 28200 SH DFND 1 22330 5870 0 GlaxoSmithKline Plc ADR SPONSORED ADR 37733W105 1329 24885 SH SOLE 24885 0 0 Global Cash Access Hldgs Inc Com COM 378967103 100 10000 SH SOLE 10000 0 0 Google Inc CL A 38259P508 226 202 SH SOLE 202 0 0 Gorman Rupp Co COM 383082104 7 195 SH SOLE 195 0 0 Government Pptys Income COM SHS BEN INT 38376A103 1116 44890 SH SOLE 44890 0 0 GUESS INC COM 401617105 57 1825 SH SOLE 1825 0 0 Hartford Financial Services COM 416515104 116 3200 SH SOLE 3200 0 0 Hasbro Inc COM 418056107 470 8540 SH SOLE 8540 0 0 Hess Corporation COM 42809H107 42 500 SH SOLE 500 0 0 Hollyfrontier Corporation COM 436106108 388 7815 SH SOLE 7815 0 0 Home Depot Inc COM 437076102 12 150 SH SOLE 150 0 0 Honeywell International Inc COM 438516106 252 2755 SH SOLE 2755 0 0 Imperial Oil Ltd COM NEW 453038408 3971 89780 SH DFND 1 84880 4900 0 Industrias Bachoco SPON ADR B 456463108 183 4540 SH SOLE 4540 0 0 Intel Corp COM 458140100 4119 158688 SH DFND 1 155188 3500 0 International Game Technology COM 459902102 1240 68255 SH SOLE 68255 0 0 iShares FTSE China 25 Index Fund CHINA LG-CAP ETF 464287184 242 6315 SH DFND 1 3715 2600 0 iShares Lehman 1-3 Year Treasury Bond Fund 1-3 YR TR BD ETF 464287457 48 569 SH SOLE 569 0 0 iShares MSCI Emerging Markets Index MSCI EMG MKT ETF 464287234 5 122 SH SOLE 122 0 0 iShares MSCI Taiwan Index MSCI TAIWAN ETF 464286731 139 9620 SH SOLE 9620 0 0 ITT Corp COM NEW 450911201 80 1837 SH SOLE 1837 0 0 J2 Global Inc COM 48123V102 1531 30604 SH SOLE 30604 0 0 John Wiley and Sons Inc CL A 968223206 1927 34910 SH DFND 1 32260 2650 0 Johnson & Johnson COM 478160104 128 1400 SH SOLE 1400 0 0 Johnson Controls Inc COM 478366107 154 3000 SH SOLE 3000 0 0 JP Morgan Chase & Co COM 46625H100 135 2300 SH SOLE 2300 0 0 Keycorp New COM 493267108 94 7000 SH SOLE 7000 0 0 KIMBERLY CLARK CORP COM COM 494368103 167 1600 SH DFND 1 0 1600 0 Kraft Foods Group Inc COM 50076Q106 148 2740 SH DFND 1 490 2250 0 Kythera Biopharmaceuticals Inc COM 501570105 11 300 SH SOLE 300 0 0 Lam Research Corp COM 512807108 98 1800 SH SOLE 1800 0 0 Leidos Holdings Inc Com Usd0.0001 COM 525327102 12 259 SH SOLE 259 0 0 Leucadia National Corp COM 527288104 107 3775 SH SOLE 3775 0 0 Liberty Interactive Corp Ventures Com US LBT VENT COM A 53071M880 184 1500 SH SOLE 1500 0 0 Liberty Media Corp - Interactive INT COM SER A 53071M104 59 2000 SH SOLE 2000 0 0 Liberty Media Corp New Com Ser A CL A 531229102 146 1000 SH SOLE 1000 0 0 Linn Energy LLC UNIT LTD LIAB 536020100 83 2700 SH SOLE 2700 0 0 Lyondellbasell Industries N V Com Usd0.0 SHS -A- N53745100 19 240 SH SOLE 240 0 0 Madden Steven Ltd COM 556269108 1 37 SH SOLE 37 0 0 MannKind Corp COM 56400P201 3 590 SH SOLE 590 0 0 Marathon Oil Corp COM 565849106 6 160 SH SOLE 160 0 0 Masco Corp COM 574599106 52 2300 SH SOLE 2300 0 0 Matson Inc COM 57686G105 1557 59636 SH SOLE 59636 0 0 McDonald's Corp COM 580135101 289 2980 SH SOLE 2980 0 0 Medivation Inc. COM 58501N101 13 200 SH SOLE 200 0 0 MEDTRONIC INC COM COM 585055106 143 2500 SH DFND 1 0 2500 0 Mei Pharma Inc Com Usd0.00000002 (post R COM NEW 55279B202 8 1000 SH SOLE 1000 0 0 Melco Crown Entertainment Ltd ADR 585464100 2 45 SH SOLE 45 0 0 Merck & Co Inc COM 58933Y105 23 450 SH SOLE 450 0 0 Metlife Inc COM 59156R108 94 1735 SH SOLE 1735 0 0 Microsoft Corp COM 594918104 85 2264 SH SOLE 2264 0 0 Mondelez Intl Inc CL A 609207105 7 200 SH SOLE 200 0 0 MOOG INC CL A 615394202 1914 28165 SH SOLE 28165 0 0 Morgan Stanley COM NEW 617446448 125 4000 SH SOLE 4000 0 0 Mosaic Co COM 61945C103 342 7240 SH DFND 1 5940 1300 0 National-Oilwell Varco Inc COM 637071101 4198 52790 SH SOLE 52790 0 0 NextEra Energy Inc COM 65339F101 3176 37089 SH DFND 1 34969 2120 0 Nike Inc CL B 654106103 67 850 SH SOLE 850 0 0 Noble Energy Inc COM 655044105 82 1200 SH SOLE 1200 0 0 Norfolk Southern Corp COM 655844108 4007 43167 SH SOLE 43167 0 0 Novadaq Technologies Inc Com Npv Isin #c COM 66987G102 25 1500 SH SOLE 1500 0 0 Novartis AG ADR SPONSORED ADR 66987V109 4036 50210 SH SOLE 50210 0 0 Nuveen Amt Free Mun Income Fd COM 670657105 2 130 SH SOLE 130 0 0 Nuveen Municipal Value Fund COM 670928100 1549 171375 SH DFND 1 150175 21200 0 Occidental Petroleum Corp COM 674599105 114 1200 SH SOLE 1200 0 0 Orbital Sciences Corp COM 685564106 55 2370 SH SOLE 2370 0 0 Peoples United Financials COM 712704105 1049 69375 SH SOLE 69375 0 0 Pepco Hldgs Inc Com COM 713291102 1632 85315 SH SOLE 85315 0 0 PepsiCo Inc COM 713448108 2382 28715 SH DFND 1 25515 3200 0 Petroleo Brasileiro SA SPONSORED ADR 71654V408 3 200 SH SOLE 200 0 0 Pfizer Inc COM 717081103 919 29995 SH SOLE 29995 0 0 Phillips 66 Com COM 718546104 4 50 SH SOLE 50 0 0 Pico Holdings Inc COM NEW 693366205 35 1500 SH SOLE 1500 0 0 Pimco Etf TRUST Total Return Exchg-Trade TOTL RETN ETF 72201R775 383 3655 SH SOLE 3655 0 0 Pinnacle West Capital Corp COM 723484101 1867 35275 SH SOLE 35275 0 0 Plum Creek Timber Company Inc COM 729251108 2832 60882 SH DFND 1 49382 11500 0 Potash Corp Of Saskatchewan Inc COM 73755L107 1839 55800 SH DFND 1 51700 4100 0 Potlatch Corp COM 737630103 6032 144515 SH DFND 1 133015 11500 0 Ppl Corp COM 69351T106 50 1660 SH SOLE 1660 0 0 Procter & Gamble Co COM 742718109 57 700 SH SOLE 700 0 0 Prudential Finl Inc COM 744320102 103 1120 SH SOLE 1120 0 0 Psivida Corp Com COM 74440J101 12 3000 SH SOLE 3000 0 0 Qualcomm Inc COM 747525103 4644 62540 SH DFND 1 60790 1750 0 Rayonier Inc COM 754907103 2616 62143 SH SOLE 62143 0 0 Relypsa Inc Com Usd0.001 COM 759531106 25 1000 SH SOLE 1000 0 0 Royal Dutch Shell SPONS ADR A 780259206 52 735 SH SOLE 735 0 0 Royal Dutch Shell Plc ADR SPON ADR B 780259107 952 12680 SH DFND 1 9380 3300 0 S&P 500 Depository Receipt TR UNIT 78462F103 1010 5470 SH SOLE 5470 0 0 Sarepta Therapeutics Inc COM 803607100 31 1500 SH SOLE 1500 0 0 Science Application Intl Corp Usd0.0001 COM 808625107 5 148 SH SOLE 148 0 0 Seaboard Corp COM 811543107 246 88 SH SOLE 88 0 0 Sempra Energy COM 816851109 27 300 SH SOLE 300 0 0 Sensient Technologies Corp COM 81725T100 315 6500 SH DFND 1 0 6500 0 Sirius XM Radio Inc COM 82967N108 12 3500 SH SOLE 3500 0 0 Solta Med Inc Com COM 83438K103 15 5000 SH SOLE 5000 0 0 Spdr Index Shs Fds Euro Stoxx 50 Etf EURO STOXX 50 78463X202 2329 55186 SH SOLE 55186 0 0 Spectra Energy Corp COM 847560109 2556 71755 SH SOLE 71755 0 0 Spirit Aerosystems Inc COM CL A 848574109 31 915 SH SOLE 915 0 0 Starz Liberty Cap Com Ser A COM SER A 85571Q102 58 2000 SH SOLE 2000 0 0 Suncor Energy, Inc COM 867224107 23 670 SH SOLE 670 0 0 Sunshine Heart Inc COM 86782U106 29 3000 SH SOLE 3000 0 0 Suntrust Banks Inc COM 867914103 3749 101835 SH SOLE 101835 0 0 SYNGENTA SPONSORED ADR 87160A100 148 1850 SH DFND 1 0 1850 0 Sysco Corp COM 871829107 3476 96285 SH SOLE 96285 0 0 TECO Energy Inc COM 872375100 4290 248605 SH SOLE 248605 0 0 Tenaris S.A. Spons Adr Each Rep 2 Ord Sh SPONSORED ADR 88031M109 4093 93690 SH SOLE 93690 0 0 Tesla Motors Inc Com Usd0.001 COM 88160R101 3 20 SH SOLE 20 0 0 Teva Pharmaceutical ADR 881624209 18 440 SH SOLE 440 0 0 Textron Inc COM 883203101 76 2075 SH SOLE 2075 0 0 Thermo Electron Corp COM 883556102 11 100 SH SOLE 100 0 0 Timken Co Com COM 887389104 116 2100 SH SOLE 2100 0 0 Tjx Companies Inc COM 872540109 153 2400 SH SOLE 2400 0 0 Tootsie Roll Industries COM 890516107 216 6649 SH SOLE 6649 0 0 Total SA SPONSORED ADR 89151E109 1537 25090 SH DFND 1 21390 3700 0 Trinity Industries Inc COM 896522109 33 610 SH SOLE 610 0 0 Union Pacific Corp COM 907818108 101 600 SH SOLE 600 0 0 US SPDR S&P Dividend ETF S&P DIVID ETF 78464A763 27 367 SH SOLE 367 0 0 Vale SA ADR ADR 91912E105 122 8000 SH SOLE 8000 0 0 Valero Energy Corp COM 91913Y100 310 6145 SH SOLE 6145 0 0 Vanguard Value ETF VALUE ETF 922908744 4 50 SH SOLE 50 0 0 Verizon Communications COM 92343V104 45 921 SH SOLE 921 0 0 Vertex Pharmaceuticals Inc COM 92532F100 59 800 SH SOLE 800 0 0 Viacom Inc - B CL B 92553P201 673 7705 SH DFND 1 4905 2800 0 Vodafone Group Plc SPONS ADR NEW 92857W209 165 4210 SH DFND 1 145 4065 0 Walgreen Co COM 931422109 319 5550 SH SOLE 5550 0 0 Walt Disney Co COM DISNEY 254687106 128 1680 SH SOLE 1680 0 0 Western Union Co COM 959802109 7400 429000 SH DFND 1 423110 5890 0 Weyerhaeuser Co COM 962166104 4907 155419 SH SOLE 155419 0 0 Wisdomtree Tr Europe Hedged Eq EUROPE HEDGED EQ 97717X701 144 2560 SH SOLE 2560 0 0 Wisdomtree TRUST Japan Hedge Eqt JAPAN HEDGE EQT 97717W851 2828 55620 SH SOLE 55620 0 0 Xilinx Inc COM 983919101 83 1800 SH SOLE 1800 0 0 Xylem Inc COM 98419M100 634 18310 SH DFND 1 14395 3915 0