-----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, MfldZuiLnql2qn5cOaycUJI1MN/V1/9Livgo36GAI0buAMe3lVrGGfVoET8GcVtM ZDkU8MMK2jiveuz7IrtDcQ== 0001425161-08-000018.txt : 20080603 0001425161-08-000018.hdr.sgml : 20080603 20080603093455 ACCESSION NUMBER: 0001425161-08-000018 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070930 FILED AS OF DATE: 20080603 DATE AS OF CHANGE: 20080603 EFFECTIVENESS DATE: 20080603 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Oaktree Asset Management, LLC CENTRAL INDEX KEY: 0001425161 IRS NUMBER: 421623695 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12731 FILM NUMBER: 08875993 BUSINESS ADDRESS: STREET 1: 30 WALL STREET, SUITE 1203 CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2122696720 MAIL ADDRESS: STREET 1: 30 WALL STREET, SUITE 1203 CITY: NEW YORK STATE: NY ZIP: 10005 13F-HR 1 q32007.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2007 Check here if Amendment [ ]; Amendment Number: ____ This Amendment (Check only one.)[ ] is a restatement [ ] adds new holdings entries Institutional Investments Manger Filing this Report: Name: Oaktree Asset Management, LLC Address: 30 Wall Street, Suite 1203 New York, N Y 10005 Form 13F File Number: 28-12731 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: Milagros Kleiner Title: Chief Compliance Officer Phone: 212 1269-6700 Signature, Place, and Date of Signing: Milagros Kleiner New York, New York June 3, 2008 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).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 576 Form 13F Information Table Value Total: 239,895 (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 reject to which this report is filed, other than the manager filing this report. None Name of Issuer Title of Cusip Value sh/ pr sh Inv vote Class (000) amt pr Dis sole shd none 3M Company COM 88579Y101 793 8473sh y 1800 0 6673 Abbott Laboratories COM 002824100 3,390 63222sh y 3766 0 59456 Abbott Labs $55 01/08 CALLS 002824900 165 30sh y 0 30 Aber Diamond Corp F COM 002893105 12 300sh y 0 300 Acadian Mining Corp. COM 004266910 25 25700sh y 0 25700 Accenture Ltd Cl A COM G1150G111 20 500sh y 0 500 Adobe Systems COM 00724F101 240 5500sh y 5500 0 0 Advantage Energy Income Fund COM 00762L101 63 5100sh y 0 5100 Aegon N.V. Ord COM 007924103 133 6990sh y 0 6990 Aetna Inc. COM 00817Y108 1,405 25880sh y 0 25880 Aflac Inc. COM 001055102 10 175sh y 0 175 Agnico Eagle Mines Ltd COM 008474108 142 2850sh y 0 2850 Agrium Inc COM 008916108 55 1000sh y 0 1000 Air Products & Chemical Inc. COM 009158106 1,922 19661sh y 1025 0 18636 Akamai Technologies COM 00971T101 69 2400sh y 2400 0 0 Alaska Commun System COM 01167P101 7 500sh y 0 500 Alcatel Lucent ADR COM 139043053 48 4701sh y 19 0 4682 Alcoa Inc. COM 222491060 47 1211sh y 1211 0 0 Alexandria R E Equity REIT COM 015271109 23 236sh y 0 236 Allegheny Energy COM 173611062 10 200sh y 200 0 0 AllianceBerstein Holding L.P. COM 01881G106 555 6300sh y 0 6300 Allied Cap Corp COM 01903Q108 97 3300sh y 0 3300 Altria $70 01/08 CALLS 022095903 140 20sh y 0 20 Altria Group Inc COM 718154107 3,762 54110sh y 1900 0 52210 AMB Property COM 00163T109 404 6750sh y 0 6750 America Movil SA COM 02364W105 2,851 44550sh y 0 44550 American Capital Strategies COM 024937104 77 1800sh y 0 1800 American Electric Power Co COM 255371015 230 5000sh y 1200 0 3800 American Express COM 258161090 815 13725sh y 900 0 12825 American Express $65 10/07 CALLS 025816109 65 10sh y 0 10 American Financial Group Inc. COM 025932104 86 3000sh y 0 3000 American Intl Group COM 026874107 2,020 29853sh y 3500 0 26353 Amerigo Resources COM 03074G109 8 3200sh y 0 3200 Ameriprise Financial Inc COM 03076C106 2,401 38040sh y 180 0 37860 Amgen Inc COM 031162100 140 2470sh y 1500 0 970 Anadarko Petroleum Corp COM 032511107 167 3100sh y 500 0 2600 Anglogold LTD ADR 035128206 14 300sh y 0 300 Anheuser Busch Co COM 352291033 1,120 22397sh y 4400 0 17997 Apache Corp. COM 374111052 180 2000sh y 2000 0 0 Apex Silver Mines COM G04074103 12 600sh y 600 0 0 Apple Inc COM 037833100 2,774 18075sh y 0 18075 Apple Inc 01-08 @150 CALLS 37833900 150 10sh y 0 10 Applied Materials Inc. COM 038222105 55 2640sh y 0 2640 Archon Corp. COM 03957p101 9 200sh y 0 200 Arizona Star Resource Corp. COM 04059g106 7 500sh y 0 500 Arkema COM 041232109 5 79sh y 75 0 4 AT&T Inc COM 00206R102 919 21721sh y 592 0 21129 Autodesk Inc. COM 052769106 35 700sh y 700 0 0 Automatic Data $50 01/08 CALLS 053015103 150 30sh y 0 30 Automatic Data Proc COM 053015103 4,068 88565sh y 7800 0 80765 Avon Products COM 543031025 4 100sh y 0 100 Baidu Com Inc. ADR 056752108 2,462 8500sh y 0 8500 Baker Hughes Inc COM 057224107 45 500sh y 0 500 Ballard Power System COM 05858H104 8 1700sh y 0 1700 Banco Bilbao Vizcaya ADR 05946k101 73 3150sh y 0 3150 Bank of America Corp COM 605051044 2,851 56704sh y 850 0 55854 Barnes & Noble COM 677741092 71 2000sh y 0 2000 Barr Laboratories COM 683061097 26 450sh y 300 0 150 Baxter International COM 718131097 458 8130sh y 560 0 7570 Baytex Energy Trust COM 073176109 416 20475sh y 1100 0 19375 Becton Dickinson COM 758871099 476 5800sh y 0 5800 Bed Bath & Beyond COM 758961007 20 600sh y 600 0 0 Berkshire Hathaway Inc Cl B COM 084670207 134 34sh y 23 0 11 Berkshire Hathwaway Cl A COM 084670108 119 1sh y 0 1 Best Buy COM 865161012 28 600sh y 600 0 0 BF Goodrich COM 382388106 48 700sh y 700 0 0 BHP Billiton Ltd COM 886061084 3,575 45485sh y 0 45485 Bill Barrett Corp COM 06846n104 16 400sh y 0 400 Biotech Holders Trust Dep Rcpts COM 09067D201 176 1000sh y 0 1000 Birch Mountain Resources COM 09066X109 12 7800sh y 0 7800 BJ Services COM 055482103 47 1760sh y 1000 0 760 Black & Decker Corp COM 091797100 42 500sh y 0 500 Blackrock Pfd Income PFD 09255H105 32 1800sh y 0 1800 BMC Software COM 055921100 12 400sh y 0 400 Boeing Co. COM 097023105 925 8809sh y 0 8809 Boston Properties COM 101121101 31 300sh y 300 0 0 Boston Scientific Corp COM 101137107 6 450sh y 0 450 BP Amoco PLC COM 055622104 1,086 15664sh y 101 0 15563 BP Prudhoe Bay Rty Trust COM 055630107 270 3600sh y 0 3600 Bristol Myers Squibb Co. COM 110122108 866 30064sh y 0 30064 Broadridge Financial Solutions COM 11133T103 342 18069sh y 0 18069 Brookfield Asset Mgmt Inc. COM 112585104 3,688 95800sh y 400 0 95400 Brown & Brown Inc. COM 115236101 53 2000sh y 0 2000 Bunge Ltd COM G16962105 86 800sh y 500 0 300 Burlington Northern COM 12189T104 528 6500sh y 300 0 6200 Cabelas Inc. COM 126804301 7 300sh y 0 300 Campbell Soup COM 134429109 148 4000sh y 0 4000 Canadian Oil Sands Trust COM 13642L100 339 10200sh y 0 10200 Canetic Resources Trust COM 137513107 139 9100sh y 0 9100 Canon Inc. COM 138006309 318 5850sh y 0 5850 Capital One Financial COM 14040H105 168 2522sh y 2459 0 63 CapitalSource COM 14055X102 152 7500sh y 0 7500 Cardinal Health COM 14149Y108 782 12508sh y 0 12508 Cardiovascular Biotherapeutics COM 141607101 1 1050sh y 0 1050 Carnival Corp. COM 143658300 19 400sh y 400 0 0 Caterpillar, Inc. COM 149123101 663 8450sh y 4000 0 4450 CBS Corp COM 673961017 21 667sh y 667 0 0 Celgene Corp COM 151020104 1,134 15900sh y 0 15900 Centex Corporation COM 152312104 58 2200sh y 2200 0 0 Cephalon Inc COM 156708109 29 400sh y 400 0 0 Ceva Inc COM 157210105 1 75sh y 0 75 Charles Schwab Corp COM 808513105 11 500sh y 0 500 Checkfree COM 162813109 93 2000sh y 2000 0 0 Chemical & Mining Co. of Chile COM 833635105 35 200sh y 0 200 Chesapeake Energy Corp COM 165167107 102 2900sh y 2900 0 0 ChevronTexaco Corp COM 166764100 951 10161sh y 4532 0 5629 Chicago Bridge & Iron COM 167250109 131 3050sh y 0 3050 China Mobile 10/07 @60 CALLS 16941M909 84 14sh y 0 14 China Mobile Ltd COM 16941M109 205 2500sh y 0 2500 China Yuchai Intl LTD COM G21082105 40 4000sh y 0 4000 Chipotle Mexican Grill Cl B COM 169656204 13 124sh y 0 124 Chubb Corp. COM 171232101 43 800sh y 0 800 Cimarex Energy Corp. COM 171798101 216 5800sh y 300 0 5500 Cintas Corp Com COM 172908105 329 8860sh y 0 8860 Cisco Systems Inc. COM 17275R102 3,451 104171sh y 8000 0 96171 Citadel Broadcasting COM 17285T106 1 215sh y 22 0 193 Citigroup Inc. COM 172967101 1,506 32277sh y 7400 0 24877 Citizens Communications Co. COM 191098102 21 1500sh y 0 1500 Clorox Co. COM 189054109 44 720sh y 0 720 CME Group Inc COM 12572Q105 235 400sh y 0 400 CMGI COM 125750109 1 704sh y 600 0 104 Coach Inc COM 189754104 28 600sh y 400 0 200 Coca-Cola COM 191216100 776 13500sh y 700 0 12800 Coca-Cola FEMSA COM 191241108 129 3000sh y 0 3000 Cognizant Tech Sol A COM 192446102 585 7330sh y 100 0 7230 Cognos Inc COM 19244C109 6 150sh y 150 0 0 Cohen & Steers REIT/Pfd Inc Fd COM 19247X100 53 2100sh y 1100 0 1000 Colgate Palmolive Co. COM 194162103 108 1520sh y 600 0 920 Compagnie Generale De ADR 204386106 3,957 60800sh y 0 60800 Companhia Vale Do Rio Doce ADR 204412209 2,066 60900sh y 0 60900 Compass Diversified COM 20451Q104 21 1300sh y 1300 0 0 ConAgra COM 205887102 303 11600sh y 1400 0 10200 Connacher Oil & Gas Ltd COM 20588y103 61 15100sh y 0 15100 Conocophillips Com COM 20825C104 635 7231sh y 0 7231 Consolidated Edison COM 209115104 16 352sh y 352 0 0 Constellation Brands COM 21036P108 122 5042sh y 42 0 5000 Consumer Staples Sector Spdr Fd COM 81369Y308 7 260sh y 260 0 0 Con-way Inc. COM 205944101 156 3400sh y 2400 0 1000 Cooper Industries COM G24182100 204 4000sh y 4000 0 0 Core Laboratories COM N22717107 31 240sh y 0 240 Corn Products Intl COM 219023108 34 750sh y 750 0 0 Cornerstone Ttl RET COM 21924U102 82 5516sh y 0 5516 Corning Inc. COM 219350105 170 6900sh y 500 0 6400 Costco Wholesale COM 22160K105 221 3600sh y 3600 0 0 Coueur D Alene Mines Corp Idaho COM 192108108 7 1800sh y 0 1800 Coventry Health Care Inc COM 222862104 140 2250sh y 0 2250 Covidien COM G2552X108 70 1675sh y 1675 0 0 Covista Communications COM 223574104 8 8640sh y 8640 0 0 CR Bard COM 673831095 86 978sh y 0 978 Cree Inc. COM 225447101 124 4000sh y 4000 0 0 Crown Holdings Inc. COM 228255105 165 7250sh y 0 7250 Crystallex Intl Corp COM 22942f101 94 30000sh y 0 30000 CSX Corp. COM 126408103 27 632sh y 0 632 Cummins Inc. COM 231021106 1,739 13600sh y 0 13600 CVS Corp COM 126650100 392 9900sh y 0 9900 Danaher Corp COM 235851102 165 2000sh y 2000 0 0 Darden Restaurants Inc. COM 237194105 4 100sh y 0 100 Dawson Geophysical Company COM 239359102 58 750sh y 0 750 Dean Foods Co. COM 242370104 10 400sh y 0 400 Deere & Company COM 244199105 252 1700sh y 1550 0 150 Dell Inc. COM 24702R101 549 19900sh y 0 19900 DeLuxe Corp COM 248019101 9 240sh y 0 240 Developers Diversified Rlty Cor COM 251591103 118 2112sh y 0 2112 Devon Energy Corporation New COM 25179M103 76 914sh y 0 914 Diageo PLC Spon ADR New ADR 25243Q205 20 230sh y 0 230 Diamonds Foods Inc. COM 252603105 84 4050sh y 0 4050 Diodes Inc COM 254543101 58 1800sh y 1800 0 0 Discover Financial Services COM 254709108 6 312sh y 312 0 0 Discovery Holdings COM 25468Y107 3 120sh y 120 0 0 Disney Company COM 254687106 97 2820sh y 300 0 2520 DNP Select Income Fund COM 264324104 22 2000sh y 0 2000 Dominion Res Inc. VA New COM 25746U109 679 8050sh y 0 8050 Dow Chemical COM 260543103 41 951sh y 0 951 Du Pont de Nemours COM 263534109 47 947sh y 0 947 Duke Energy Holding COM 26441c105 82 4383sh y 0 4383 Duke Realty COM 264411505 7 200sh y 200 0 0 Dun and Bradstreet COM 26483E100 273 2765sh y 0 2765 Eagle Materials COM 26969P108 279 7800sh y 0 7800 Eastman Kodak Co COM 277461109 24 888sh y 0 888 Ebay Inc. COM 278642103 636 16300sh y 3300 0 13000 E-House China Holding ADR ADR 26852w103 252 11000sh y 0 11000 Eldorado Gold Corp. COM 284902103 3 450sh y 0 450 Eli Lilly COM 532457108 140 2465sh y 0 2465 Embarq COM 29078e105 6 99sh y 6 0 93 EMC Corporation COM 268648102 205 9877sh y 5377 0 4500 Emerson Electric COM 291011104 1,219 22900sh y 3300 0 19600 Enbridge Energy Partners COM 29250R106 59 1200sh y 0 1200 Enbridge Inc. COM 29250R105 44 1200sh y 0 1200 Encana Corp COM 292505104 201 3250sh y 0 3250 Energy East Corp. COM 29266M109 27 1000sh y 0 1000 Energy Select Sector Spdr Fd COM 81369Y506 34 450sh y 450 0 0 Energy Transfer Part LP Unit Ltd COM 29273R109 98 2000sh y 0 2000 Enerplus Resource Fund UTS COM 29274D604 4,062 86050sh y 900 0 85150 ENI S.p.A. ADS COM 26874r108 7 100sh y 0 100 Ennis Inc. COM 293389102 15 700sh y 0 700 Ensco International Inc. COM 26874Q100 775 13820sh y 0 13820 Entegris Inc. COM 29362U104 5 619sh y 0 619 Enterprise Products Partners LP COM 293792107 48 1600sh y 1600 0 0 Equifax, Inc. COM 294429105 273 7160sh y 0 7160 Equity Residential Property COM 29476L107 67 1590sh y 0 1590 Ericsson Telephone Co COM 294821610 12 300sh y 0 300 Evergreen Solar Inc. COM 30033R108 15 1680sh y 0 1680 Exar Corp. COM 300645108 88 6700sh y 6700 0 0 Express Scripts COM 302182100 229 4100sh y 0 4100 Exxon Mobil Corp COM 30231G102 5,608 60583sh y 5188 0 55395 Exxon Mobil Corp 10-07 @90 CALLS 30231g902 270 30sh y 0 30 Fedex Corp COM 31428X106 3,695 35278sh y 2000 0 33278 FedEx Corp 10-07 @125 CALLS 31428X906 250 20sh y 0 20 Ferrellgas Partners L.P. LTD 315293100 6 250sh y 0 250 Fidelity National Info Svcs COM 31620m106 112 2520sh y 0 2520 Financial Select Sector Spdr Fd COM 81369Y605 3 100sh y 100 0 0 First Energy COM 337932107 6 100sh y 0 100 Flir Sys Inc COM 302445101 111 2000sh y 0 2000 Fording Canadian Coal Trust COM 345425102 176 4550sh y 0 4550 FPL Group COM 302571104 55 900sh y 900 0 0 Franklin Electric Co. Inc. COM 353514102 21 500sh y 0 500 Franklin Resources COM 354613101 3,570 28000sh y 28000 0 0 Freeport McMoran Copper & Gold COM 35671D857 145 1387sh y 0 1387 Friedman Billings Ramsey COM 358434108 9 2000sh y 2000 0 0 Fronteer Development COM 35903Q106 2 185sh y 0 185 Frontier Airlines New Com COM 359065109 2 400sh y 0 400 Frontier Oil Corpoaration COM 35914P105 25 600sh y 0 600 Fuel-Tech COM 359523107 75 3400sh y 3400 0 0 Galway Resources COM 36458V102 9 7500sh y 0 7500 Gammon Gold Inc. 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COM 38259P508 2,604 4590sh y 0 4590 Green Mountain Coffee COM 393122106 9 270sh y 0 270 H C Select Sector Spdr Fd COM 81369Y209 300 8500sh y 2900 0 5600 Halliburton Company COM 406216101 2,166 56415sh y 36 0 56379 Hanesbrand Inc. COM 410345102 80 2865sh y 0 2865 Hansen Medical Inc. COM 411307101 5 200sh y 0 200 Harley Davidson Inc 10-07 @60 CALLS 412822108 90 15sh y 0 15 Harley-Davidson Inc. COM 412822108 162 3500sh y 0 3500 Harvest Energy Trust COM 41752x101 49 1800sh y 0 1800 Health Care Property Investors COM 421915109 7 200sh y 200 0 0 Health Management COM 421933102 20 2850sh y 2500 0 350 Healthways Inc. COM 422245100 38 700sh y 700 0 0 Hecla Mining COM 422704106 13 1500sh y 0 1500 Heinz (H.J.) & Company COM 423074103 1,232 26658sh y 0 26658 Helix Energy Solutions COM 42330P107 72 1700sh y 0 1700 Hewlett Packard COM 428236103 2,128 42736sh y 0 42736 Home Depot, Inc. 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COM 494368103 135 1920sh y 1500 0 420 Kimco Realty Corp COM 49446R109 9 196sh y 0 196 Kinder Morgan Energy LP COM 494550106 54 1100sh y 0 1100 Kinross Gold CP COM 496902404 42 2808sh y 0 2808 Kirkland Lake Gold COM 49740P106 16 1350sh y 0 1350 Kish Bancorp Inc CDT Shs COM 49771a101 80 1000sh y 0 1000 Knight Transportation COM 499064103 6 375sh y 375 0 0 Kon Philips Electronics COM 500472303 4 100sh y 100 0 0 Kraft Foods Inc COM 50075N104 263 7627sh y 1314 0 6313 L-3 Communications COM 502424104 240 2350sh y 0 2350 Laborabory Corp Amer Hldgs COM 50540R409 902 11530sh y 200 0 11330 Lam Research Corp COM 512807108 136 2550sh y 2550 0 0 Landauer Inc. COM 51476K103 87 1700sh y 0 1700 LDK Solar Co Ltd Spon Adr ADR 50183L107 2,343 34000sh y 0 34000 Legg Mason COM 524901105 615 7300sh y 0 7300 Lehman Brothers Holdings Inc. COM 524908100 59 960sh y 0 960 Liberty Interactive COM 53071M104 6 300sh y 300 0 0 Liberty Media Capital COM 53071M302 7 60sh y 60 0 0 Lihir Gold Ltd. COM 532349407 4 100sh y 0 100 Lincoln National Corp. COM 534187109 247 3750sh y 300 0 3450 Lowe's COM 548661107 22 800sh y 800 0 0 Lundin Mining COM 550372106 29 2300sh y 0 2300 Lyondell Chemical Co Com COM 552078107 436 9400sh y 0 9400 Macerich Company REIT COM 554382101 4 50sh y 0 50 Macquarie Infrastructure COM 55608B105 58 1500sh y 1500 0 0 Macy's Inc. COM 55616P104 5 160sh y 0 160 Malaga Inc. COM 561047101 19 32000sh y 0 32000 Marathon Oil COM 565849106 6 100sh y 0 100 MarkWest Energy Partners, L.P. COM 570759100 92 3000sh y 0 3000 Marsh & McClennan Cos. Inc. COM 571748102 729 28591sh y 0 28591 Martha Stewart Living Omni COM 573083102 1 100sh y 0 100 Massey Energy COM 576206106 11 500sh y 500 0 0 MBIA Inc COM 55262C100 62 1013sh y 0 1013 McClatchy Co. COM 579489105 2 102sh y 102 0 0 McDonalds Corp. COM 580135101 1,245 22860sh y 1500 0 21360 MCG Capital Corp COM 58047P107 65 4500sh y 0 4500 McGraw-Hill Companies COM 580645109 667 13100sh y 0 13100 McMoran Exploration Co. COM 582411104 32 2350sh y 0 2350 Medco Health Solutions COM 58405U102 1,241 13734sh y 0 13734 Medtronic COM 585055106 319 5650sh y 4400 0 1250 Merck & Co COM 589331107 10 198sh y 0 198 Metabolix Inc. COM 591018809 3 120sh y 0 120 MetroPCS Communications Inc. COM 72765M105 37 1350sh y 0 1350 MGM Mirage COM 552953101 277 3100sh y 0 3100 Microsoft Corp. COM 594918104 1,438 48797sh y 2200 0 46597 Millipore Corp. COM 601073109 353 4660sh y 0 4660 Mitsubishi UFJ Financial ADRF COM 606822104 5 562sh y 0 562 Mocon Inc COM 607494101 131 11137sh y 11137 0 0 Molex COM 608554200 29 1141sh y 0 1141 Molex COM 608554200 50 1848sh y 0 1848 Monsanto COM 61166W101 1,097 12790sh y 0 12790 Moodys Corp COM 615369105 649 12880sh y 0 12880 Morgan Stanley COM 617446448 55 874sh y 724 0 150 Motorola Inc. COM 620076109 130 7001sh y 0 7001 Muni Mtg & Equity COM 62624B101 16 700sh y 700 0 0 MVC Capital Inc COM 553829102 56 3000sh y 0 3000 National City Corp. 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