-----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, IQiwdXF4OaD5bGBb4F5ZtcYlqyqvHQIXltVtTQR8c1PdeXQ5hlobmVr5nL/2tjC7 0AzY9R26uzNk2W64a0azsA== 0001398344-11-000374.txt : 20110214 0001398344-11-000374.hdr.sgml : 20110214 20110214142635 ACCESSION NUMBER: 0001398344-11-000374 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110214 DATE AS OF CHANGE: 20110214 EFFECTIVENESS DATE: 20110214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Baker Avenue Asset Management, LP CENTRAL INDEX KEY: 0001432529 IRS NUMBER: 201735413 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13834 FILM NUMBER: 11605977 BUSINESS ADDRESS: STREET 1: 601 CALIFORNIA ST STREET 2: SUITE 750 CITY: SAN FRANCISCO STATE: CA ZIP: 94108 BUSINESS PHONE: 415-986-1110 MAIL ADDRESS: STREET 1: 601 CALIFORNIA ST STREET 2: SUITE 750 CITY: SAN FRANCISCO STATE: CA ZIP: 94108 13F-HR 1 fp0002542_13fhr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2010 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 Avenue Asset Management, LP Address: 301 Battery Street, 2nd Floor San Francisco, CA 94111 Form 13F File Number: 28-13834 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: Stacey Kruus Title: Chief Compliance Officer Phone: 202-275-0089 Signature, Place, and Date of Signing: /s/Stacey Kruus Mercer Island, WA 02-14-2011 --------------------- ----------------- ---------- [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: [If there are no entries in this list, omit this section.] Form 13F File Number Name 28-______________ _______________________________ [Repeat as necessary.] Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 262 Form 13F Information Table Value Total: $ 343,148 ------------- (thousands) List of Other Included Managers: Provide a numbered list of the names(s) and Form 13F file numbers(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name ______ 28-______________________ ______________________________ [Repeat as necessary.]
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------- -------------- --------- -------- ------------------- ---------- -------- ----------------- VOTING AUTHORITY SHRS OR SH/ PUT/ INVESTMENT OTHER ----------------- NAME OF ISSUER TITLE OF CLASS CUSIP VALUE PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------- -------------- --------- -------- ------- ---- ---- ---------- -------- ---- ------ ----- ADMINISTAFF INC Common Stock 007094105 1,070 36,530 SH YES YES ALEXION PHARMA INC Common Stock 015351109 24 300 SH YES YES ALLERGAN INC Common Stock 018490102 29 415 SH YES YES ALLSTATE CORP Common Stock 020002101 61 1,890 SH YES YES ALTAIR NANOTECHNOLOGIES INC Common Stock 021373204 19 7,000 SH YES YES ALTERA CORP Common Stock 02144110 8,260 232,150 SH YES YES AMERICAN CAPITAL STRATEGIES LTD Common Stock 02503Y103 324 42,889 SH YES YES AMERICAN EXPRESS CO Common Stock 025816109 43 1,000 SH YES YES AMERIGROUP CORP Common Stock 03073T102 5,588 127,220 SH YES YES AMGEN INC Common Stock 031162100 100 1,823 SH YES YES ANNALY MTG MGMT INC Common Stock 035710409 30 1,700 SH YES YES ANNTAYLOR STORES CRP Common Stock 036115103 8,246 301,045 SH YES YES AOL TIME WARNER INC. CMN Common Stock 00184X105 123 5,180 SH YES YES APPLE COMPUTER, INC. Common Stock 037833100 8,308 25,756 SH PUT YES YES AUTOLIV INC Common Stock 052800109 4,800 60,810 SH YES YES AUTOZONE INC NEV Common Stock 05333210 7,126 26,140 SH YES YES BAIDU COM INC SPON ADR RESTG ORD SHS CL Common Stock 056752108 5,594 57,955 SH YES YES BANK NEW YORK MELLON CORP COM Common Stock 064058100 110 3,640 SH YES YES BANK OF AMERICA CORP Common Stock 060505104 37 2,738 SH YES YES BANNER CORPORATION Common Stock 06652V109 547 235,722 SH YES YES BARRICK GOLD CORP F Common Stock 067901108 53 1,000 SH YES YES BERKSHIRE HATHAWAY INC CL B Common Stock 084670702 360 4,490 SH YES YES BOEING CO Common Stock 097023105 16 250 SH YES YES BOISE INC Common Stock 09746Y105 32 4,000 SH YES YES BRIGHAM EXPL CO Common Stock 109178103 4,934 181,115 SH YES YES BROADBAND HOLDRS TR DEPOSITARY RCPT Common Stock 11130P104 11 800 SH YES YES BROCADE COMMUNICATIONS SYSTEMS INC Common Stock 111621306 71 13,460 SH YES YES CAMERON INTERNATIONAL Common Stock 13342BAB1 6 4,000 SH YES YES CARMIKE CINEMAS INC Common Stock 143436400 324 42,005 SH YES YES CHINA CERAMICS CO LTD COM USD0.001 ISIN #VGG2113X1006 Common Stock G2113X100 484 61,815 SH YES YES CHINA INTEGRATED ENERGY INC Common Stock 16948P105 520 70,880 SH YES YES CHINA XD PLASTICS COMPANY LTD COM Common Stock 16948F107 458 84,434 SH YES YES CHINACAST ED CORP Common Stock 16946T109 524 67,500 SH YES YES CIT GROUP INC NEW COM Common Stock 125581801 6 122 SH YES YES CLAYMORE EXCH TRADED FD ALPHASHARES CHINA Common Stock 18385P101 27 1,010 SH YES YES COHEN & STEERS SELECT UTIL FD INC Common Stock 19248A109 5 300 SH YES YES COINSTAR INC Common Stock 19259P300 1,123 19,891 SH YES YES COMSTOCK RES INC Common Stock 205768203 181 7,370 SH YES YES CONCHO RESOURCES Common Stock 20605P101 4,889 55,765 SH YES YES COOPER COMPANIES INC Common Stock 216648402 3,712 65,890 SH YES YES CORN PRODS INTL INC Common Stock 219023108 4,278 93,000 SH YES YES CURRENCYSHARES AUSTRALIAN DLR TR AUSTRALIAN DOLLAR Common Stock 23129U101 149 1,450 SH YES YES CURRENCYSHARESCDN DLR TR CDN DOLLARS SHS Common Stock 23129X105 217 2,185 SH YES YES CURRENCYSHARESS SWISS Common Stock 23129V109 231 2,170 SH YES YES DELTA AIR LINES INC DEL CMN Common Stock 247361702 0 12 SH YES YES DOMTAR CORP Common Stock 257559203 4,304 56,685 SH YES YES E M C CORP MASS NOTE 1.750%12/01/13 Common Stock 268648AM4 30 20,000 SH YES YES EDISON INTL Common Stock 281020107 31 800 SH YES YES EMC CORP Common Stock 268648AK8 10 7,000 SH YES YES ENERGY CONVERS 3%13 CVT BOND DUE 06/15/13 Common Stock 292659AA7 9 12,000 SH YES YES EQUINIX INC NEW Common Stock 29444U502 1,045 12,864 SH YES YES ETFS SILVER TR SILVER SHS ETF Common Stock 26922X107 141 4,600 SH YES YES FIFTH THIRD BANCORP Common Stock 316773100 0 0 SH YES YES FIRST PACTRUST BAN CORP INC Common Stock 33589V101 583 43,610 SH YES YES FISHER SCIENTIFIC INTL INC 3.25% 3/1/2024 Common Stock 338032AX3 10 7,000 SH YES YES FLUOR CORP (NEW) COM Common Stock 343412102 15 225 SH YES YES FOSSIL INC Common Stock 349882100 4,931 69,960 SH YES YES GILEAD SCIENCES INC SR CV 0.625% 5/1/2013 Common Stock 375558AH6 3 3,000 SH YES YES GOODYEAR TIRE & RUBBER CO Common Stock 382550101 118 9,940 SH YES YES GRUPO TELEVISA, S.A. GDS REP 20 CPO'S REP 1 L SHARE, 1 A SHARE AND 1 D SHAR Common Stock 40049J206 18 703 SH YES YES HEWLETT-PACKARD CO Common Stock 428236103 42 1,000 SH YES YES HUMANA INC Common Stock 444859102 36 660 SH YES YES IGATE CORP Common Stock 45169U105 510 25,885 SH YES YES INFINERA CORP Common Stock 45667G103 9 902 SH YES YES INTUIT INC Common Stock 461202103 6,139 124,525 SH YES YES IPATH S&P 500 VIX S/T FU ETN Common Stock 06740C261 59 1,561 SH YES YES ISHARES BARCLAYS TIPS BOND Mutual Fund 464287176 5,658 52,620 SH YES YES ISHARES COMEX GOLD TRUST Common Stock 464285105 56 4,000 SH YES YES ISHARES DJ US PHARMA INDEX F Common Stock 464288836 52 810 SH YES YES ISHARES IBOXX $ INVEST GRADE CORP BOND Common Stock 464287242 7,175 66,168 SH YES YES ISHARES INC MSCI SINGAPORE INDEX FD Common Stock 464286673 53 3,860 SH YES YES ISHARES INC MSCI SOUTH AFRICA INDEX FD Common Stock 464286780 3,832 51,308 SH YES YES ISHARES INC MSCI SWEDEN INDEX FD Common Stock 464286756 3,539 113,305 SH YES YES ISHARES INCORPORATED MSCI THAILAND Common Stock 464286624 2,153 33,327 SH YES YES ISHARES MSCI CHILE INDEX Common Stock 464286640 14 170 SH YES YES ISHARES MSCI TURKEY IDX TURKEY INDEX FUND ETF Common Stock 464286715 44 660 SH YES YES ISHARES OIL EQUIP & SVC INDEX FUND Mutual Fund 464288844 3,921 69,584 SH YES YES ISHARES SILVER TR ISHARES Mutual Fund 46428Q109 3,134 103,855 SH YES YES ISHARES TR BARCLAYS CAPITAL 1-3 YR CR BD FD Common Stock 464288646 11,643 111,650 SH YES YES ISHARES TR COHEN & ST RLTY ETF Common Stock 464287564 1,231 18,734 SH YES YES ISHARES TR DOW JONES US TELECOM Common Stock 464287713 1,567 67,038 SH YES YES ISHARES TR IBOXX HIGH YIELD CORP BD FD Mutual Fund 464288513 1,947 21,565 SH YES YES ISHARES TR JPMORGAN USD EMERGING MKTS BDFD Common Stock 464288281 583 5,440 SH YES YES ISHARES TR LEHMAN INTER CR BD FD Common Stock 464288638 397 3,770 SH YES YES ISHARES TR MSCI EAFESMALL CAP INDEX FD Common Stock 464288273 77 1,820 SH YES YES ISHARES TR RUSSELL 2000 GROWTH INDEX FD Mutual Fund 464287648 52 600 SH YES YES ISHARES TR RUSSELL 2000 VALUE Mutual Fund 464287630 1,829 25,724 SH YES YES ISHARES TR S&P U S PFD STK INDEX FD Common Stock 464288687 1,491 38,420 SH YES YES ISHARES TRUST BARCLAYS AGGREGATE BOND FUND Common Stock 464287226 1,518 14,351 SH YES YES ISHARES TRUST DOW JONES US REAL ESTATE INDEX FUND Mutual Fund 464287739 752 13,430 SH YES YES ISTAR FINL INC FRNT 10/01/12 0% Common Stock 45031UBF7 4 5,000 SH YES YES JA SOLAR HLDGS CO LTD ADS Common Stock 466090107 3,539 511,480 SH YES YES JA SOLAR HOLDINGS CO LTD 4.50000% 05/15/2013JA SOLAR HOLDINGS CO LTD Common Stock 466090AA5 26 27,000 SH YES YES JOY GLOBAL INC Common Stock 481165108 9,388 108,219 SH YES YES JP MORGAN EXCH TRAD NOTE ALERIAN MLP Common Stock 46625H365 1,509 41,520 SH YES YES KKR FINL CORP Common Stock 48248A306 82 8,840 SH YES YES L-3 COMMUNICATIONS CORP DEBT 3.000% 8/01/35 Common Stock 502413AW7 6 6,000 SH YES YES LIHUA INTERNATIONAL INC Common Stock 532352101 473 42,077 SH YES YES M & T BANK CORPORATION Common Stock 55261F104 8 90 SH YES YES MARKET VECTORS BRAZIL SMALL CAP ETF Common Stock 57060U613 3,505 60,769 SH YES YES MARKET VECTORS ETF TR COAL ETF Common Stock 57060U837 3,469 73,431 SH YES YES MARKET VECTORS ETF TR INDONESIA ETF Common Stock 57060U753 12 140 SH YES YES MARKET VECTORS ETF TR JR GOLD MINES ETF Common Stock 57060U589 301 7,550 SH YES YES MARKET VECTORS ETF TR RUSSIA ETF Common Stock 57060U506 3,883 102,415 SH YES YES MARKET VECTORS ETF TR RVE HARD ASSETS PRODUCERS RTF Common Stock 57060U795 29 741 SH YES YES MARKET VECTORS ETF TRUST NUCLEAR ENERGY ETF Common Stock 57060U704 3,765 148,509 SH YES YES MARKET VECTORS GOLD MINERS Common Stock 57060U100 58 948 SH YES YES MARRIOTT INTL INC Common Stock 571903202 0 1 SH YES YES MARSHALL & ILSLEY CORP Common Stock 571837103 187 27,090 SH YES YES MASSEY ENERGY CO SR NT CONV Common Stock 576203AJ2 12 12,000 SH YES YES MASTEC INC Common Stock 576323109 77 5,280 SH YES YES MASTERCARD INC Common Stock 57636Q104 13 57 SH YES YES MERCK & CO INC Common Stock 58933Y105 5 126 SH YES YES METROPCS COMMUNICATIONS INC Common Stock 591708102 6,143 486,395 SH YES YES MOLSON COORS BREWING Common Stock 60871RAA8 8 7,000 SH YES YES MOLSON COORS BREWING CO CL B Common Stock 60871R209 153 3,040 SH YES YES MOLYCORP INC DEL Common Stock 608753109 50 1,000 SH YES YES NABORS INDS 0.940% 5/15/11 Common Stock 629568AP1 7 7,000 SH YES YES NALCO HOLDING CO Common Stock 62985Q101 98 3,060 SH YES YES NATUS MEDICAL INC. Common Stock 639050103 526 37,100 SH YES YES NII HLDGS INC NOTE 3.125% 6/15/12 Common Stock 62913FAJ1 32 33,000 SH YES YES NOVOGEN LIMITED SPONSORED ADR Common Stock 67010F103 1 1,800 SH YES YES OCZ TECHNOLOGY GROUPINC COM Common Stock 67086E303 902 187,158 SH YES YES OIL SVC HOLDRS TR OIL SVC HOLDERS Common Stock 678002106 28 200 SH YES YES ORBITAL SCIENCES CORP Common Stock 685564106 533 31,110 SH YES YES POWERSHARES DB AGRICULTURE FUND Mutual Fund 73936B408 129 3,980 SH YES YES POWERSHARES DB COMMODITY INDEX FUND Common Stock 73935S105 55 2,000 SH YES YES POWERSHARES DWA EMERGING MARKETS Common Stock 73936Q207 67 3,650 SH YES YES POWERSHARES DYNAMIC BIOTECH Common Stock 73935X856 3,828 174,860 SH YES YES POWERSHARES EXCHANGETRADED FD TR II DWA DEVELOPED MKTSPORT Common Stock 73936Q108 44 1,970 SH YES YES POWERSHARES QQQ TR UNIT SER 1 Mutual Fund 73935A104 279 5,132 SH YES YES POWERSHARES S&P 500 BUYWRITE Common Stock 73936G308 8 360 SH YES YES POWERSHARES WILDERHILL CLEAN ENERGY Mutual Fund 73935X500 56 5,400 SH YES YES POWERSHS EXCH TRAD FD TR POWERSHARES DWA TECH Common Stock 73935X153 597 25,395 SH YES YES PROLOGIS CONV NOTES Common Stock 743410AS1 6 6,000 SH YES YES PROSHARES TR SHORT S&P 500 PROSHARES Mutual Fund 74347R503 115 2,620 SH YES YES PROSHARES TR ULTRA Common Stock 74347R404 13 200 SH YES YES PROSHARES TR ULTRA SHORT 100 FD Common Stock 74347R875 1,921 165,112 SH YES YES PROSHARES TR ULTRASHORT LEHMAN BROS 20 YR PROSHARES Common Stock 74347R297 18 490 SH YES YES PROSHARES TR ULTRASHT Common Stock 74347R859 1 60 SH YES YES PROSHARES ULTRA SHORT FINANCIALS Common Stock 74347R628 2 100 SH YES YES QUANTUM CORP DLT & STORAGE Common Stock 747906204 541 145,315 SH YES YES R F MICRO DEVICES INC Common Stock 749941100 4,220 574,090 SH YES YES REDHAT INC Common Stock 756577102 4,320 94,630 SH YES YES RESEARCH IN MOTION LTD Common Stock 760975102 28 475 SH YES YES RIO TINTO PLC Common Stock 767204100 5 76 SH YES YES ROYAL DUTCH SHELL PLC SPONSORED ADR REPSTG B SHS Common Stock 780259107 23 344 SH YES YES SAN JUAN BASIN ROYALTY TR-UBI Common Stock 798241105 71 3,000 SH YES YES SANDISK CORP SR NT CV 1.00000% 05/15/2013 Common Stock 80004CAC5 41 43,000 SH YES YES SEACOR HOLDINGS INC Common Stock 811904101 73 720 SH YES YES SEASPAN CORP SHS ISIN #MHY756381098 Common Stock Y75638109 446 35,940 SH YES YES SILVER WHEATON CORP COM ISIN #CA8283361076 Common Stock 828336107 10 260 SH YES YES SIMPSON MANUFACTURING CO INC Common Stock 829073105 2,071 67,000 SH YES YES SMART MODULAR TECH INC Common Stock G82245104 545 94,595 SH YES YES SPDR BARCLAYS CAPITAL CONV BOND Common Stock 78464A359 39 940 SH YES YES SPDR BARCLAYS CAPITAL INTL TREASURY BOND Common Stock 78464A516 2,553 43,675 SH YES YES SPDR BIOTECH ETF Common Stock 78464A870 10 165 SH YES YES SPDR DJ WILSHIRE INTL REAL EST Common Stock 78463X863 3 70 SH YES YES SPDR GOLD TRUST Mutual Fund 78463V107 1,945 14,020 SH YES YES SPDR INDEX SHS FDS S&P EMERGING MKTS SM CAP ETF Common Stock 78463X756 50 870 SH YES YES SPDR S&P DEP RCPT Mutual Fund 78462F103 4,204 33,430 SH YES YES SPDR S&P METALS & MNG ETF Common Stock 78464A755 3,945 57,350 SH YES YES SPDR SER TR LEHMAN SHORT TERM INTL TREAS BD ETF Common Stock 78464A334 120 3,240 SH YES YES SPDR SER TR S&P DIVID ETF Common Stock 78464A763 453 8,710 SH YES YES SPROTT PHYSICAL GOLDT TRUST Common Stock 85207H104 3,973 321,845 SH YES YES SPROTT PHYSICAL SILVER TRUST TRUST UNIT ISIN #CA85207K1075SEDOL #B5THDS5 Common Stock 85207K107 231 16,450 SH YES YES SUNPOWER CORP COM CL A Common Stock 867652109 145 11,270 SH YES YES TECH DATA CORP SR DB CV Common Stock 878237AE6 9 9,000 SH YES YES TEEKAY SHIPPING CORPISIN #MHY8564W1030 Common Stock Y8564W103 60 1,810 SH YES YES TEVA PHARM FINL CO BV Common Stock 88165FAA0 8 7,000 SH YES YES TITANIUM METALS CORPCOM NEW Common Stock 888339207 34 2,000 SH YES YES TRIANGLE PETROLEUM CORPORATION COM STK USD0.01 ISIN #US89600B2016SEDOL #B3K Common Stock 89600B201 598 92,015 SH YES YES U S AIRWAYS GROUP INC Common Stock 90341W108 6,106 610,005 SH YES YES UNITED AUTO GROUP INC 3.50000% 04/01/2026INTO PENSKE AUTO GROUP INC Common Stock 909440AH2 4 4,000 SH YES YES UNITED STS OIL FD LPUNITS Common Stock 91232N108 70 1,800 SH YES YES VANGUARD BD INDEX FDINC SHORT TERM BD Common Stock 921937827 3,253 40,430 SH YES YES VANGUARD INDEX TR VANGUARD TOTAL STK Common Stock 922908769 975 15,020 SH YES YES VANGUARD INTL EQUITYINDEX FDS TOTAL WORLD STK INDEX FD Common Stock 922042742 668 13,968 SH YES YES VANGUARD MID CAP Common Stock 922908629 11 150 SH YES YES VANGUARD SMALL CAP VALUE Common Stock 922908611 52 780 SH YES YES VANGUARD SPECIALIZED FDS VANGUARD REIT VIPERS Common Stock 922908553 1,011 18,250 SH YES YES VANGUARD SPECIALIZEDPORTFOLIOS DIVIDEND APPRECIATION INDEX FD ETF Common Stock 921908844 2 45 SH YES YES VANGUARD TOTAL BOND MARKET ETF Common Stock 921937835 1,607 20,015 SH YES YES WILLAMETTE VALLEY VINEYARDS INC Common Stock 969136100 1 300 SH YES YES WISDOMTREE DREYFUS CHINESE YUAN FD Common Stock 97717W182 233 9,190 SH YES YES WISDOMTREE TR BRAZILIAN REAL FD Common Stock 97717W240 196 7,375 SH YES YES WISDOMTREE TR INDIA EARNINGS FD Common Stock 97717W422 22 850 SH YES YES YUHE INTL INC COM Common Stock 988432100 1,010 112,843 SH YES YES ZIX CORP COM Common Stock 98974P100 1,078 252,388 SH YES YES WALTER INVT MGMT CORP COM Common Stock 93317W102 1 35 SH YES YES A D C TELECOMMUNICATIONS 01.12113% 06/15/2013TENDEREDFROM 000886AB7 Common Stock 00099AGQ 16 16,000 SH YES YES ABBOTT LABORATORIES Common Stock 2824100 62 1,300 SH YES YES ADOBE SYS INC Common Stock 00724F101 31 1,000 SH YES YES AES CORP Common Stock 00130H105 185 15,180 SH YES YES AGCO CORP NOTE 1.250%12/15/36 Common Stock 001084AM4 27 20,000 SH YES YES AGRIUM INC Common Stock 8916108 6,650 72,480 SH YES YES ALTRIA GROUP INC Common Stock 02209S103 12 500 SH YES YES AMERIPRISE FINL INC Common Stock 03076C106 7,454 129,515 SH YES YES AT&T INC COM Common Stock 00206R102 37 1,245 SH YES YES CHESAPEAKE ENERGY CORPORATION Common Stock 165167107 20 770 SH YES YES CHEVRONTEXACO CORP Common Stock 166764100 23 250 SH YES YES CISCO SYS INC Common Stock 17275R102 16 775 SH YES YES CITIGROUP INC Common Stock 172967101 193 40,800 SH YES YES CONSOLIDATED EDISON INC Common Stock 209115104 25 500 SH YES YES CORNING INC COM Common Stock 219350105 13 650 SH YES YES DANAHER CORP Common Stock 235851AF9 5 4,000 SH YES YES DEERE & COMPANY Common Stock 244199105 6,554 78,915 SH YES YES DIAGEO PLC Common Stock 25243Q205 37 500 SH YES YES DOMINION RESOURCES INC VA NEW Common Stock 25746U109 21 500 SH YES YES DU PONT E I DE NEMOURS & CO Common Stock 263534109 8,362 167,640 SH YES YES E M C CORP MASS Common Stock 268648102 9 405 SH YES YES EL PASO CORP COM Common Stock 28336L109 123 8,934 SH YES YES ELECTRONICS ARTS Common Stock 285512109 11,725 715,834 SH YES YES EMERSON ELECTRIC CO Common Stock 291011104 148 2,585 SH YES YES ENI S P A SPON ADR F SPONSORED ADR Common Stock 26874R108 26 600 SH YES YES ETFS GOLD TRUST ETF Common Stock 26922Y105 282 1,998 SH YES YES EXELON CORP Common Stock 30161N101 175 4,200 SH YES YES FORD MOTOR COMPANY Common Stock 345370860 41 2,420 SH YES YES FREEPORT MCMORAN COPPER & GOLD INC. Common Stock 35671D857 8,926 74,325 SH YES YES GENERAL DYNAMICS Common Stock 369550108 109 1,532 SH YES YES GENERAL ELECTRIC CO Common Stock 369604103 22 1,200 SH YES YES GENOMIC HEALTH INC COM Common Stock 37244C101 7 332 SH YES YES GLAXOSMITHKLINE PLC SPONSORED ADR Common Stock 37733W105 20 500 SH YES YES HEADWATERS INC Common Stock 42210P102 625 136,500 SH YES YES ILLINOIS TOOL WORKS Common Stock 452308109 87 1,630 SH YES YES INTEL Common Stock 458140100 110 5,250 SH YES YES INTERPUBLIC GROUP COS INC DEL Common Stock 460690100 6,189 582,735 SH YES YES INTL BUSINESS MACHINES COM Common Stock 459200101 296 2,020 SH YES YES ISHARES DOW JONES SELECT DIVIDEND INDEX Common Stock 464287168 306 6,130 SH YES YES ISHARES MSCI EAFE INDEX Mutual Fund 464287465 55 950 SH YES YES ISHARES MSCI EMERGING MKTS Mutual Fund 464287234 38 790 SH YES YES ISHARES TR 1-3 YR TREAS INDEX FD Mutual Fund 464287457 1,473 17,541 SH YES YES ISHARES TR NASDAQ BIOTECHNOLOGY INDEX Common Stock 464287556 28 300 SH YES YES ISHARES TR RUSSELL 1000 VALUE INDEX FD Mutual Fund 464287598 1,108 17,080 SH YES YES ISHARES TR RUSSELL 2000 INDEX FD Mutual Fund 464287655 62 795 SH YES YES JUNIPER NETWORKS INC Common Stock 48203R104 6,486 175,685 SH YES YES KEYCORP NEW Common Stock 493267108 38 4,310 SH YES YES KIMBERLY CLARK CORP Common Stock 494368103 9 150 SH YES YES KOHLS CORP Common Stock 500255104 30 560 SH YES YES LCA-VISION INC Common Stock 501803308 0 52 SH YES YES LENNAR CORP Common Stock 526057104 213 11,360 SH YES YES LINCOLN NATIONAL CORP IND Common Stock 534187109 49 1,768 SH YES YES MCDONALDS CORP Common Stock 580135101 11 140 SH YES YES MICROSOFT Common Stock 594918104 61 2,200 SH YES YES NETWORK APPLICATION INC Common Stock 64110D104 6,237 113,480 SH YES YES NEWMONT MINING CORP HOLDING CO NEW Common Stock 651639106 7 120 SH YES YES OFFICE DEPOT INC Common Stock 676220106 198 36,620 SH YES YES ORACLE CORPORATION Common Stock 68389X105 1,583 50,566 SH YES YES PEABODY ENERGY CORP Common Stock 704549104 8,191 128,030 SH YES YES PFIZER INC Common Stock 717081103 39 2,250 SH YES YES PRAXAIR INC Common Stock 74005P104 235 2,462 SH YES YES QUALCOMM INC Common Stock 747525103 25 500 SH YES YES SCHLUMBERGER LTD Common Stock 806857108 129 1,550 SH YES YES SECTOR SPDR TR SHS BEN INT UTILITIES Mutual Fund 81369Y886 1,549 49,420 SH YES YES TIMKEN CO Common Stock 887389104 6,689 140,140 SH YES YES TYCO INTL LTD Common Stock H89128104 0 6 SH YES YES UNILEVER N V NY SHS NEWF N Y REGISTRY SHARES Common Stock 904784709 11 350 SH YES YES UNION PACIFIC CORP Common Stock 907818108 6,546 70,630 SH YES YES VERIZON COMMUNICATIONS Common Stock 92343V104 161 4,490 SH YES YES WELLCARE HEALTH PLANS INC FORMERLY Common Stock 94946T106 40 1,310 SH YES YES WHOLE FOODS MARKET INC Common Stock 966837106 2 36 SH YES YES YUM! BRANDS INC Common Stock 988498101 6,027 122,869 SH YES YES
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