-----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, Dr4jCEkWN1S2sZBBj8Xs0P2iirX3oRzvYn1EPX06vPLis2/z0kPoR0+iSlwS0cb7 AcqofmWNqO7os7jSB3diiA== 0001387131-09-000635.txt : 20091026 0001387131-09-000635.hdr.sgml : 20091026 20091026113302 ACCESSION NUMBER: 0001387131-09-000635 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091026 DATE AS OF CHANGE: 20091026 EFFECTIVENESS DATE: 20091026 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Mathes Company, Inc. CENTRAL INDEX KEY: 0001389223 IRS NUMBER: 200470186 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12290 FILM NUMBER: 091136092 BUSINESS ADDRESS: STREET 1: 230 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10169 BUSINESS PHONE: 917-368-4900 MAIL ADDRESS: STREET 1: 230 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10169 13F-HR 1 q09-00296_13fhr.txt MATHES COMPANY, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 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: The Mathes Company, Inc. -------------------------------------------------- Address: 230 Park Avenue -------------------------------------------------- New York, NY 10169 -------------------------------------------------- -------------------------------------------------- Form 13F File Number: 028-12290 --------- 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: Richard Mathes ------------------------------------------------------- Title: Vice President ------------------------------------------------------- Phone: (917) 368-4900 ------------------------------------------------------- Signature, Place, and Date of Signing: /s/ Richard Mathes New York, NY 10/23/09 ------------------------ ------------------------------ --------- 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).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 ------------- Form 13F Information Table Entry Total: 88 ------------- Form 13F Information Table Value Total: $77,432 ------------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name 1 028-12293 Sorrell M. Mathes - ----------- -------------------- ----------------------------
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 ------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- -------- --------- ---- 1 3Par Inc. COM 88580F109 119 10,790 SH SOLE 10,790 2 Activision Blizzard In. COM 00507V109 235 19,000 SH SOLE 19,000 3 Adobe Sys Inc COM 00724F101 283 8,580 SH SOLE 8,580 4 Airgas Inc. COM 009363102 793 16,400 SH SOLE 16,400 5 Allergan Inc. COM 018490102 834 14,700 SH SOLE 14,700 6 Alliant Techsystems COM 018804104 344 4,423 SH SOLE 4,423 7 Amazon Com Inc COM 023135106 2,897 31,032 SH SOLE 31,032 8 American Public Education COM 02913V103 250 7,200 SH SOLE 7,200 9 Amgen Inc. COM 031162100 338 5,610 SH SOLE 5,610 10 Apple Computer Inc COM 037833100 2,229 12,025 SH SOLE 12,025 11 Applied Matls Inc COM 038222105 241 18,000 SH SOLE 18,000 12 Bank New York Inc COM 064057102 254 8,773 SH SOLE 8,773 13 Bank of America Corp. COM 060505104 279 16,496 SH SOLE 16,496 14 Boeing Co COM 097023105 1,490 27,515 SH SOLE 27,515 15 BP PLC Spons. ADR 055622104 238 4,475 SH SOLE 4,475 16 Broadcom Corp Cl. A 111320107 503 16,400 SH SOLE 16,400 17 Carnival Corp Paired CTF 143658300 839 25,225 SH SOLE 25,225 18 Caterpillar Inc Del COM 149123101 1,895 36,920 SH SOLE 36,920 19 ChevronTexaco Corp COM 166764100 1,574 22,350 SH SOLE 22,350 20 China Mobile Hong Kong Spons. ADR 16941M109 383 7,800 SH SOLE 7,800 21 Chubb Corp COM 171232101 342 6,775 SH SOLE 6,775 22 Cisco Sys Inc COM 17275R102 1,003 42,589 SH SOLE 42,589 23 Cliffs Natural Resources Inc. COM 18683K101 591 18,250 SH SOLE 18,250 24 Coca Cola Co. COM 191216100 532 9,910 SH SOLE 9,910 25 Consolidated Edison Inc COM 209115104 281 6,875 SH SOLE 6,875 26 CSX Corp COM 126408103 1,387 33,140 SH SOLE 33,140 27 Deere & Co COM 244199105 1,232 28,705 SH SOLE 28,705 28 Du Pont E I De Nemours COM 263534109 1,498 46,595 SH SOLE 46,595 29 EBAY Inc COM 278642103 853 36,156 SH SOLE 36,156 30 Electronic Arts Inc COM 285512109 547 28,690 SH SOLE 28,690 31 Emerson Elec Co COM 291011104 1,410 35,190 SH SOLE 35,190 32 Enbridge Energy Partners COM 29250R106 207 4,600 SH SOLE 4,600 33 Enterprise Products Partners LP COM 293792107 210 7,410 SH SOLE 7,410 34 Exxon Mobil Corp COM 30231G102 2,168 31,603 SH SOLE 31,603 35 Fedex Corp COM 31428X106 1,330 17,675 SH SOLE 17,675 36 Frontline LTD COM G3682E127 639 27,600 SH SOLE 27,600 37 General Electric Co COM 369604103 402 24,495 SH SOLE 24,495 38 General Mills Inc. COM 370334104 1,536 23,855 SH SOLE 23,855 39 Gilead Sciences Inc COM 375558103 1,188 25,500 SH SOLE 25,500 40 Google Inc Cl. A 38259P508 2,786 5,619 SH SOLE 5,619 41 Harley Davidson Inc COM 412822108 533 23,178 SH SOLE 23,178 42 HDFC Bank Ltd. Spons. ADR 40415F101 545 4,600 SH SOLE 4,600 43 Hershey Co. COM 427866108 225 5,799 SH SOLE 5,799 44 Hess Corp COM 42809H107 756 14,145 SH SOLE 14,145 45 Hewlett Packard Co. COM 428236103 1,046 22,160 SH SOLE 22,160 46 Illinois Tool Wks Inc. COM 452308109 408 9,550 SH SOLE 9,550 47 Interclick Inc. COM 458483104 43 20,500 SH SOLE 20,500 48 International Business Machines COM 459200101 1,612 13,480 SH SOLE 13,480 49 J P Morgan Chase & Co. COM 46625H100 1,862 42,485 SH SOLE 42,485 50 Johnson & Johnson COM 478160104 2,415 39,663 SH SOLE 39,663 51 Juniper Networks Inc. COM 48203R104 288 10,675 SH SOLE 10,675 52 Kellogg Co COM 487836108 256 5,200 SH SOLE 5,200 53 Kinder Morgan Energy UT LP COM 494550106 354 6,550 SH SOLE 6,550 54 L-3 Communications Hldgs Inc COM 502424104 594 7,393 SH SOLE 7,393 55 Merck & Co Inc. COM 589331107 845 26,715 SH SOLE 26,715 56 Microchip Technology COM 595017104 259 9,787 SH SOLE 9,787 57 Microsoft Corp COM 594918104 1,991 77,410 SH SOLE 77,410 58 Monsanto Co NEW COM 61166W101 938 12,125 SH SOLE 12,125 59 Murphy Oil Corp COM 626717102 397 6,900 SH SOLE 6,900 60 Nordic American Tanker COM G65773106 441 14,950 SH SOLE 14,950 61 Northern Trust Corp. COM 665859104 1,163 20,005 SH SOLE 20,005 62 Nucor Corp. COM 670346105 774 16,475 SH SOLE 16,475 63 Oceaneering Int'l. Inc. COM 675232102 692 12,200 SH SOLE 12,200 64 OGE Energy Corp COM 670837103 1,132 34,230 SH SOLE 34,230 65 Oracle Corp COM 68389X105 1,269 60,905 SH SOLE 60,905 66 Pan American Silver Corp COM 697900108 280 12,300 SH SOLE 12,300 67 Pepsico Inc COM 713448108 1,237 21,082 SH SOLE 21,082 68 Permian Basin Rlty Trst COM 714236106 230 17,980 SH SOLE 17,980 69 PG & E Corp. COM 69331C108 959 23,675 SH SOLE 23,675 70 Potash Corp. Sask. Inc. COM 73755L107 379 4,200 SH SOLE 4,200 71 Procter & Gamble Co. COM 742718109 1,945 33,583 SH SOLE 33,583 72 Qualcomm Inc COM 747525103 1,478 32,870 SH SOLE 32,870 73 Research In Motion Ltd. COM 760975102 587 8,675 SH SOLE 8,675 74 Salesforce Com Inc COM 79466L302 974 17,100 SH SOLE 17,100 75 Schlumberger Ltd COM 806857108 1,999 33,542 SH SOLE 33,542 76 Smith Intl Inc. COM 832110100 771 26,875 SH SOLE 26,875 77 Southern Copper Corp COM 84265V105 1,486 48,420 SH SOLE 48,420 78 State Street Corp. COM 857477103 1,313 24,965 SH SOLE 24,965 79 SVB Finl Group COM 78486Q101 938 21,681 SH SOLE 21,681 80 Tata Motors Ltd. Spons. ADR 876568502 146 11,300 SH SOLE 11,300 81 Toronto Dominion Bank COM 891160509 458 7,100 SH SOLE 7,100 82 Transocean Inc. New COM H8817H100 945 11,050 SH SOLE 11,050 83 United Technologies Corp. COM 913017109 445 7,310 SH SOLE 7,310 84 Urban Outfitters Inc. COM 917047102 567 18,800 SH SOLE 18,800 85 Wells Fargo & Co New COM 949746101 1,422 50,470 SH SOLE 50,470 86 Yahoo Inc COM 984332106 827 46,445 SH SOLE 46,445 87 Ishares Inc. MSCI Malaysia COM 464286830 349 34,400 SH SOLE 34,400 88 Ishares Inc. FTSE XNHUA IDX COM 464287184 699 17,070 SH SOLE 17,070 totals: 88 77,432
Note: Issues can be omitted if less than 10,000 shares and value less than $200,000.00 -----END PRIVACY-ENHANCED MESSAGE-----