0001214659-14-005683.txt : 20140807 0001214659-14-005683.hdr.sgml : 20140807 20140807121824 ACCESSION NUMBER: 0001214659-14-005683 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140630 FILED AS OF DATE: 20140807 DATE AS OF CHANGE: 20140807 EFFECTIVENESS DATE: 20140807 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: 141022656 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 06-30-2014 06-30-2014 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 08-06-2014 1 222 181931 1 0001418204 028-12624 FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. INFORMATION TABLE 2 infotable.xml 3M Co COM 88579Y101 158 1100 SH SOLE 1100 0 0 Aar Corp COM 000361105 45 1620 SH SOLE 1620 0 0 Abbott Laboratories COM 002824100 0 650 SH SOLE 650 0 0 Aberdeen Asia-Pacific Income Fund COM 003009107 205 32610 SH DFND 1 24610 8000 0 Adams Express Company COM 006212104 307 22315 SH DFND 1 115 22200 0 Aflac Inc COM 001055102 7 120 SH SOLE 120 0 0 Agco Corp COM 001084102 1535 27310 SH SOLE 27310 0 0 Agios Pharmaceuticals Inc Com Usd0.001 COM 00847X104 11 250 SH SOLE 250 0 0 Alexander & Baldwin Inc COM 014491104 2487 60006 SH SOLE 60006 0 0 Anadarko Pete Corp COM 032511107 77 700 SH SOLE 700 0 0 Annaly Mtg Mgmt Inc COM 035710409 1 100 SH SOLE 100 0 0 Apartment Investment & Management Co CL A 03748R101 2 60 SH SOLE 60 0 0 Apple Inc COM 037833100 472 5082 SH SOLE 5082 0 0 Archer Daniels Midland Co COM 039483102 5441 123358 SH DFND 1 116958 6400 0 Arrowhead Resh Corp Com New COM NEW 042797209 6 400 SH SOLE 400 0 0 AT&T Inc COM 00206R102 12 335 SH SOLE 335 0 0 Avianca Holdings Sa Spon Adr Each Repr 8 SPON ADR REP PFD 05367G100 1254 78160 SH SOLE 78160 0 0 Avista Corp COM 05379B107 173 5170 SH SOLE 5170 0 0 Bank Hawaii Corp COM 062540109 978 16665 SH DFND 1 14365 2300 0 Bank of America Corp COM 060505104 85 5500 SH SOLE 5500 0 0 Bank Of New York Co COM 064058100 1130 30140 SH SOLE 30140 0 0 Bb & T Corp Com COM 054937107 35 885 SH SOLE 885 0 0 Becton Dickinson Co COM 075887109 2498 21120 SH SOLE 21120 0 0 Beneficial Mut Bancorp Inc COM 08173R104 214 15795 SH SOLE 15795 0 0 Berkshire Hathaway Inc - B CL B NEW 084670702 23 180 SH SOLE 180 0 0 Big 5 Sporting Goods Corp Com COM 08915P101 2 150 SH SOLE 150 0 0 Big Lots Inc COM 089302103 325 7115 SH SOLE 7115 0 0 Bind Therapeutics Com Usd0.0001 COM 05548N107 7 500 SH SOLE 500 0 0 Biomarin Pharmaceutical Inc COM 09061G101 19 300 SH SOLE 300 0 0 Boardwalk Pipeline Partners LP UT LTD PARTNER 096627104 0 35 SH SOLE 35 0 0 Boeing Co COM 097023105 127 1000 SH SOLE 1000 0 0 BP PLC SPONSORED ADR 055622104 1299 24623 SH SOLE 24623 0 0 Bristol Myers Squibb Co COM 110122108 34 700 SH SOLE 700 0 0 Canadian National Railway Co COM 136375102 2 30 SH SOLE 30 0 0 Cardinal Health Inc COM 14149Y108 80 1170 SH SOLE 1170 0 0 Celgene Corp COM 151020104 69 800 SH SOLE 800 0 0 Cenovus Energy Inc COM 15135U109 4271 131953 SH DFND 1 123953 8000 0 Check Point Softwaretech Ltd ORD M22465104 173 2585 SH SOLE 2585 0 0 Chemocentryx Inc COM 16383L106 6 1000 SH SOLE 1000 0 0 Chevron Corp COM 166764100 37 282 SH SOLE 282 0 0 China Fd Inc COM 169373107 2519 118979 SH SOLE 118979 0 0 Church & Dwight Co COM 171340102 4005 57255 SH SOLE 57255 0 0 Cigna Corp COM 125509109 83 900 SH SOLE 900 0 0 Cisco Systems Inc COM 17275R102 305 12290 SH DFND 1 5590 6700 0 Citizens Holding Co COM 174715102 125 6580 SH SOLE 6580 0 0 Coca Cola Co COM 191216100 1456 34361 SH SOLE 34361 0 0 Colgate-Palmolive Co COM 194162103 0 2 SH SOLE 2 0 0 Comcast Corp CL A 20030N101 7 123 SH SOLE 123 0 0 Compass Minerals International Inc. COM 20451N101 5 50 SH SOLE 50 0 0 ConocoPhillips COM 20825C104 1820 21225 SH SOLE 21225 0 0 Consolidated Edison Inc COM 209115104 87 1500 SH SOLE 1500 0 0 Consolidated-Tomoka Land Co COM 210226106 724 15780 SH SOLE 15780 0 0 Costco Wholesale Corp COM 22160K105 105 913 SH SOLE 913 0 0 CSX Corporation COM 126408103 5323 172766 SH SOLE 172766 0 0 Cummins Inc COM 231021106 62 400 SH SOLE 400 0 0 Curtiss-Wright Corp COM 231561101 73 1110 SH SOLE 1110 0 0 CVS Caremark Corp COM 126650100 40 525 SH SOLE 525 0 0 Deere & Co COM 244199105 182 2005 SH DFND 1 5 2000 0 Derma Sciences Inc COM PAR $.01 249827502 23 2000 SH SOLE 2000 0 0 Diageo Plc SPON ADR NEW 25243Q205 11 90 SH SOLE 90 0 0 DirecTV COM 25490A309 170 2000 SH SOLE 2000 0 0 Discover Financial Services COM 254709108 1991 32126 SH DFND 1 29426 2700 0 Dover Corp COM 260003108 6 70 SH SOLE 70 0 0 Dow Chemical Co COM 260543103 1829 35538 SH SOLE 35538 0 0 Ebay Inc Com COM 278642103 51 1015 SH SOLE 1015 0 0 Edison International COM 281020107 116 2000 SH SOLE 2000 0 0 Edwards Lifesciences COM 28176E108 165 1925 SH SOLE 1925 0 0 EI du Pont de Nemours & Co COM 263534109 1923 29390 SH SOLE 29390 0 0 Elbit Systems Ltd ORD M3760D101 1720 27960 SH SOLE 27960 0 0 EnCana Corp COM 292505104 6066 255843 SH DFND 1 245843 10000 0 Ensco PLC SHS CLASS A G3157S106 590 10620 SH SOLE 10620 0 0 Exelis Inc COM 30162A108 50 2955 SH SOLE 2955 0 0 Exelon Corp COM 30161N101 144 3950 SH DFND 1 400 3550 0 Express Scripts Inc COM 30219G108 17 238 SH SOLE 238 0 0 Exxon Mobil Corp COM 30231G102 3330 33078 SH SOLE 33078 0 0 Facebook Inc CL A 30303M102 215 3200 SH SOLE 3200 0 0 FirstEnergy Corp COM 337932107 7 215 SH SOLE 215 0 0 General Electric Co COM 369604103 2479 94346 SH DFND 1 89461 4885 0 Gilead Sciences Inc COM 375558103 41 500 SH SOLE 500 0 0 Glatfelter Com COM 377316104 748 28200 SH DFND 1 22330 5870 0 GlaxoSmithKline Plc ADR SPONSORED ADR 37733W105 1555 29085 SH SOLE 29085 0 0 Goldman Sachs Group Inc COM 38141G104 167 1000 SH SOLE 1000 0 0 Google Inc CL A 38259P508 7 12 SH SOLE 12 0 0 Google Inc Cl A CL A 38259P508 416 712 SH SOLE 712 0 0 Gorman Rupp Co COM 383082104 7 195 SH SOLE 195 0 0 Government Pptys Income COM SHS BEN INT 38376A103 1139 44870 SH SOLE 44870 0 0 GUESS INC COM 401617105 43 1580 SH SOLE 1580 0 0 Hartford Financial Services COM 416515104 100 2800 SH SOLE 2800 0 0 Hasbro Inc COM 418056107 451 8495 SH SOLE 8495 0 0 Hess Corporation COM 42809H107 35 355 SH SOLE 355 0 0 Hollyfrontier Corporation COM 436106108 899 20585 SH SOLE 20585 0 0 Home Depot Inc COM 437076102 12 150 SH SOLE 150 0 0 Honda Motor Co Ltd ADR AMERN SHS 438128308 1756 50200 SH SOLE 50200 0 0 Honeywell International Inc COM 438516106 112 1200 SH SOLE 1200 0 0 Imperial Oil Ltd COM NEW 453038408 4714 89571 SH DFND 1 84671 4900 0 Intel Corp COM 458140100 4794 155143 SH DFND 1 151643 3500 0 Intercept Pharmaceuticals Inc Com Usd0.0 COM 45845P108 35 150 SH SOLE 150 0 0 Intermune Inc COM 45884X103 38 850 SH SOLE 850 0 0 International Game Technology COM 459902102 1750 109975 SH SOLE 109975 0 0 iShares FTSE China 25 Index Fund CHINA LG-CAP ETF 464287184 209 5630 SH DFND 1 3030 2600 0 iShares Lehman 1-3 Year Treasury Bond Fund 1-3 YR TR BD ETF 464287457 40 476 SH SOLE 476 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 106 6735 SH SOLE 6735 0 0 ITT Corp COM NEW 450911201 29 607 SH SOLE 607 0 0 J2 Global Inc COM 48123V102 1554 30549 SH SOLE 30549 0 0 John Wiley and Sons Inc CL A 968223206 1948 32151 SH SOLE 32151 0 0 Johnson & Johnson COM 478160104 104 991 SH SOLE 991 0 0 Johnson Controls Inc COM 478366107 115 2300 SH SOLE 2300 0 0 JP Morgan Chase & Co COM 46625H100 52 900 SH SOLE 900 0 0 Kimberly Clark Group COM 494368103 178 1600 SH DFND 1 0 1600 0 Knowles Corp Com COM 49926D109 0 12 SH SOLE 12 0 0 Kraft Foods Group Inc COM 50076Q106 175 2925 SH DFND 1 675 2250 0 Leucadia National Corp COM 527288104 99 3775 SH SOLE 3775 0 0 Liberty Interactive Corp Ventures Com US LBT VENT COM A 53071M880 221 3000 SH SOLE 3000 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 137 1000 SH SOLE 1000 0 0 Lyondellbasell Industries N V Com Usd0.0 SHS -A- N53745100 17 179 SH SOLE 179 0 0 Macrogenics Inc Com Usd0.01 COM 556099109 9 400 SH SOLE 400 0 0 Macys Inc COM 55616P104 58 1000 SH SOLE 1000 0 0 Madden Steven Ltd COM 556269108 1 37 SH SOLE 37 0 0 MannKind Corp COM 56400P201 6 590 SH SOLE 590 0 0 Marathon Oil Corp COM 565849106 135 3388 SH SOLE 3388 0 0 Market Vectors Gold Miners ETF GOLD MINER ETF 57060U100 167 6300 SH SOLE 6300 0 0 Matson Inc COM 57686G105 1335 49724 SH SOLE 49724 0 0 McDonald's Corp COM 580135101 316 3132 SH SOLE 3132 0 0 Medivation Inc. COM 58501N101 27 350 SH SOLE 350 0 0 Mediwound Ltd Com Ils0.01 ORD SHS M68830104 34 3000 SH SOLE 3000 0 0 Medtronic Inc COM 585055106 177 2771 SH DFND 1 271 2500 0 Mei Pharma Inc Com Usd0.00000002 (post R COM NEW 55279B202 10 1500 SH SOLE 1500 0 0 Melco Crown Entertainment Ltd ADR 585464100 2 45 SH SOLE 45 0 0 Merck & Co Inc COM 58933Y105 26 450 SH SOLE 450 0 0 Metlife Inc COM 59156R108 117 2097 SH SOLE 2097 0 0 Microsoft Corp COM 594918104 82 1959 SH SOLE 1959 0 0 Mondelez Intl Inc CL A 609207105 8 200 SH SOLE 200 0 0 Monsanto Co New Com COM 61166W101 23 182 SH SOLE 182 0 0 MOOG INC CL A 615394202 1931 26489 SH SOLE 26489 0 0 Mosaic Co COM 61945C103 407 8230 SH DFND 1 6930 1300 0 National-Oilwell Varco Inc COM 637071101 4152 50415 SH SOLE 50415 0 0 NextEra Energy Inc COM 65339F101 3735 36442 SH DFND 1 34322 2120 0 Nike Inc CL B 654106103 70 900 SH SOLE 900 0 0 Norfolk Southern Corp COM 655844108 4424 42935 SH SOLE 42935 0 0 Northeast Utilities COM 664397106 0 4 SH SOLE 4 0 0 Novadaq Technologies Inc Com Npv Isin #c COM 66987G102 16 1000 SH SOLE 1000 0 0 Novartis AG ADR SPONSORED ADR 66987V109 4510 49816 SH SOLE 49816 0 0 Now Inc Com Usd0.01 Wi COM 67011P100 455 12574 SH SOLE 12574 0 0 Nps Pharmaceuticals COM 62936P103 3 100 SH SOLE 100 0 0 Nuveen Municipal Value Fund COM 670928100 1548 160560 SH DFND 1 139360 21200 0 Occidental Petroleum Corp COM 674599105 51 500 SH SOLE 500 0 0 Oracle Corp COM 68389X105 85 2100 SH SOLE 2100 0 0 Orbital Sciences Corp COM 685564106 70 2370 SH SOLE 2370 0 0 Peoples United Financials COM 712704105 1045 68915 SH SOLE 68915 0 0 Pepco Hldgs Inc Com COM 713291102 2296 83550 SH SOLE 83550 0 0 PepsiCo Inc COM 713448108 2534 28359 SH DFND 1 25159 3200 0 Petroleo Brasileiro SA SPONSORED ADR 71654V408 3 200 SH SOLE 200 0 0 Pfizer Inc COM 717081103 895 30170 SH SOLE 30170 0 0 Phillips 66 Com COM 718546104 4 50 SH SOLE 50 0 0 Pico Holdings Inc COM NEW 693366205 36 1500 SH SOLE 1500 0 0 Pimco Etf TRUST Total Return Exchg-Trade TOTL RETN ETF 72201R775 150 1380 SH SOLE 1380 0 0 Pinnacle West Capital Corp COM 723484101 1962 33925 SH SOLE 33925 0 0 Plum Creek Timber Company Inc COM 729251108 2746 60897 SH DFND 1 51777 9120 0 Potash Corp Of Saskatchewan Inc COM 73755L107 2140 56365 SH DFND 1 52265 4100 0 Potlatch Corp COM 737630103 6000 144935 SH DFND 1 133435 11500 0 Ppl Corp COM 69351T106 66 1869 SH SOLE 1869 0 0 Procter & Gamble Co COM 742718109 16 201 SH SOLE 201 0 0 Prudential Finl Inc COM 744320102 99 1120 SH SOLE 1120 0 0 Psivida Corp Com COM 74440J101 13 3000 SH SOLE 3000 0 0 Qualcomm Inc COM 747525103 4895 61801 SH DFND 1 60051 1750 0 Rayonier Inc COM 754907103 2865 80593 SH SOLE 80593 0 0 Relypsa Inc Com Usd0.001 COM 759531106 12 500 SH SOLE 500 0 0 Retrophin Inc Com COM 761299106 8 700 SH SOLE 700 0 0 Rigel Pharmaceutical Inc Com New COM NEW 766559603 7 2000 SH SOLE 2000 0 0 Royal Dutch Shell SPONS ADR A 780259206 61 735 SH SOLE 735 0 0 Royal Dutch Shell Plc ADR SPONS ADR B 780259107 1095 12580 SH DFND 1 9280 3300 0 S&P 500 Depository Receipt TR UNIT 78462F103 955 4880 SH SOLE 4880 0 0 Sarepta Therapeutics Inc COM 803607100 74 2500 SH SOLE 2500 0 0 Seaboard Corp COM 811543107 266 88 SH SOLE 88 0 0 Sempra Energy COM 816851109 31 300 SH SOLE 300 0 0 Senomyx Inc COM 81724Q107 4 500 SH SOLE 500 0 0 Sensient Technologies Corp COM 81725T100 362 6500 SH DFND 1 0 6500 0 Southern Co COM 842587107 23 500 SH SOLE 500 0 0 Spectra Energy Corp COM 847560109 2978 70111 SH SOLE 70111 0 0 Spirit Aerosystems Inc COM CL A 848574109 15 440 SH SOLE 440 0 0 Stanley Black & Decker Inc COM 854502101 105 1200 SH SOLE 1200 0 0 Starz Liberty Cap Com Ser A COM SER A 85571Q102 60 2000 SH SOLE 2000 0 0 Suncor Energy, Inc COM 867224107 29 670 SH SOLE 670 0 0 Suntrust Banks Inc COM 867914103 4146 103505 SH SOLE 103505 0 0 Synageva Biopharma Corp Com COM 87159A103 63 600 SH SOLE 600 0 0 Syngenta AG ADR SPONSORED ADR 87160A100 138 1850 SH DFND 1 0 1850 0 Sysco Corp COM 871829107 3580 95581 SH SOLE 95581 0 0 Taiwan Semiconductor Manufacturing Co Ltd SPONSORED ADR 874039100 438 20490 SH SOLE 20490 0 0 TECO Energy Inc COM 872375100 4555 246461 SH SOLE 246461 0 0 Tenaris S.A. Spons Adr Each Rep 2 Ord Sh SPONSORED ADR 88031M109 4361 92485 SH SOLE 92485 0 0 Teva Pharmaceutical ADR 881624209 48 925 SH SOLE 925 0 0 Textron Inc COM 883203101 71 1855 SH SOLE 1855 0 0 The Brink's Co COM 109696104 4 130 SH SOLE 130 0 0 Thermo Electron Corp COM 883556102 12 100 SH SOLE 100 0 0 Time Inc Com Usd0.01 COM 887228104 7 272 SH SOLE 272 0 0 Time Warner Inc COM NEW 887317303 153 2177 SH SOLE 2177 0 0 Tootsie Roll Industries COM 890516107 202 6848 SH SOLE 6848 0 0 Total SA SPONSORED ADR 89151E905 1805 24994 SH DFND 1 21294 3700 0 Trinity Industries Inc COM 896522109 53 1220 SH SOLE 1220 0 0 Triumph Group Inc COM 896818101 578 8285 SH SOLE 8285 0 0 Union Pacific Corp COM 907818108 108 1080 SH SOLE 1080 0 0 United Technologies Corp COM 913017109 139 1200 SH SOLE 1200 0 0 US Bancorp Del Com New COM NEW 902973304 95 2200 SH SOLE 2200 0 0 US SPDR S&P Dividend ETF S&P DIVID ETF 78464A763 28 367 SH SOLE 367 0 0 Valero Energy Corp COM 91913Y100 322 6432 SH SOLE 6432 0 0 Vanguard Value ETF VALUE ETF 922908744 4 50 SH SOLE 50 0 0 Verizon Communications COM 92343V104 98 2007 SH DFND 1 938 1069 0 Vertex Pharmaceuticals Inc COM 92532F100 95 1000 SH SOLE 1000 0 0 Viacom Inc - B CL B 92553P201 668 7705 SH DFND 1 4905 2800 0 Vodafone Group Plc SPNSR ADR NO PAR 92857W308 75 2252 SH DFND 1 35 2217 0 Walgreen Co COM 931422109 393 5305 SH SOLE 5305 0 0 Walt Disney Co COM DISNEY 254687106 144 1680 SH SOLE 1680 0 0 Westar Energy Inc COM 95709T100 0 4 SH SOLE 4 0 0 Western Union Co COM 959802109 7066 407514 SH DFND 1 401624 5890 0 Weyerhaeuser Co COM 962166104 5162 156013 SH SOLE 156013 0 0 Wiley John & Sons Inc Cl A CL A 968223206 161 2650 SH DFND 1 0 2650 0 Wisdomtree Tr Europe Hedged Eq EUROPE HEDGED EQ 97717X701 3209 54925 SH SOLE 54925 0 0 Xilinx Inc COM 983919101 80 1700 SH SOLE 1700 0 0 Xylem Inc COM 98419M100 667 17075 SH DFND 1 13160 3915 0 Yum Brands Inc COM 988498101 65 800 SH SOLE 800 0 0