Analyst

0001441646-18-000007.txt : 20181114 0001441646-18-000007.hdr.sgml : 20181114 20181114150540 ACCESSION NUMBER: 0001441646-18-000007 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181114 DATE AS OF CHANGE: 20181114 EFFECTIVENESS DATE: 20181114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: grace capital CENTRAL INDEX KEY: 0001441646 IRS NUMBER: 141949392 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-13148 FILM NUMBER: 181183001 BUSINESS ADDRESS: STREET 1: 50 CONGRESS ST SUITE 943 CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 6172285190 MAIL ADDRESS: STREET 1: 50 CONGRESS ST SUITE 943 CITY: BOSTON STATE: MA ZIP: 02109 FORMER COMPANY: FORMER CONFORMED NAME: CT Mason DATE OF NAME CHANGE: 20080731 13F-HR/A 1 primary_doc.xml 13F-HR/A LIVE false false false 0001441646 XXXXXXXX 09-30-2018 09-30-2018 true 1 RESTATEMENT grace capital

50 CONGRESS ST SUITE 943 BOSTON MA 02109

13F HOLDINGS REPORT 028-13148 N Shawn Mikol Analyst 857-317-6642 Shawn MIkol Boston MA 11-14-2018 1 222 255582 false 1 0001570296 028-15739 Fernwood Investment Management, LLC INFORMATION TABLE 2 GCQ32018.xml AT&T Inc. COM 00206R102 498 14830 SH SOLE 0 0 14830 Altria Group, Inc. COM 02209S103 332 5500 SH SOLE 0 0 5500 Amerigas Partners LP UNIT LTD PARTNR 030975106 383 9700 SH SOLE 0 0 9700 Amgen Inc. COM 031162100 3054 14733 SH SOLE 1759 0 12974 B&G Foods Inc. COM 05508R106 522 19010 SH SOLE 0 0 19010 BP PLC COM 055622104 998 21640 SH SOLE 0 0 21640 Cisco Systems Inc. COM 17275R102 4725 97131 SH SOLE 9350 0 87781 Crown Castle International Cor REIT 228227104 445 4000 SH SOLE 0 0 4000 Digital Realty Trust REIT 253868103 681 6058 SH SOLE 10 0 6048 Enterprise Products Partners L UNIT LTD PARTNR 293792107 513 17840 SH SOLE 0 0 17840 Exxon Mobil Corp. COM 30231G102 1835 21587 SH SOLE 2380 0 19207 Foot Locker, Inc. COM 344849104 214 4190 SH SOLE 0 0 4190 Ford Motor Co. COM 345370860 139 15000 SH SOLE 0 0 15000 Gilead Sciences, Inc. COM 375558103 1523 19721 SH SOLE 1779 0 17942 GlaxoSmithKline PLC ADR ADR 37733W105 384 9570 SH SOLE 0 0 9570 Intel Corp. COM 458140100 1988 42044 SH SOLE 5840 0 36204 Johnson & Johnson COM 478160104 1603 11603 SH SOLE 210 0 11393 Macy's, Inc. COM 55616P104 1169 33673 SH SOLE 3270 0 30403 ONE Gas, Inc. COM 68235P108 1196 14541 SH SOLE 2230 0 12311 Petrofac Ord COM G7052T101 177 20850 SH SOLE 1600 0 19250 Pfizer Inc COM 717081103 4650 105514 SH SOLE 17310 0 88204 Realty Income Corp. REIT 756109104 569 10004 SH SOLE 22 0 9982 Seagate Technology PLC COM G7945M107 345 7286 SH SOLE 8 0 7278 South Jersey Industries, Inc. COM 838518108 628 17810 SH SOLE 0 0 17810 Tanger Factory Outlet Centers REIT 875465106 256 11210 SH SOLE 0 0 11210 Total SA ADR (1:1) ADR 89151E109 2032 31562 SH SOLE 5065 0 26497 Urstadt Biddle Properties A REIT 917286205 452 21240 SH SOLE 0 0 21240 Verizon Communications Inc. COM 92343V104 431 8070 SH SOLE 0 0 8070 ASGN, Inc. COM 00191U102 1570 19892 SH SOLE 2905 0 16987 Adobe Systems, Inc. COM 00724F101 4046 14988 SH SOLE 1970 0 13018 Alphabet Inc. Class C COM 02079K107 914 766 SH SOLE 275 0 491 Amazon.com, Inc. COM 023135106 4783 2388 SH SOLE 350 0 2038 Anadarko Petroleum Corp. COM 032511107 1164 17273 SH SOLE 1602 0 15671 Apple Inc. COM 037833100 8941 39606 SH SOLE 5271 0 34335 Avery Dennison Corp. COM 053611109 2548 23520 SH SOLE 2510 0 21010 Bank of America Corp. COM 060505104 4433 150476 SH SOLE 23080 0 127396 Bausch Health Companies COM 071734107 776 30237 SH SOLE 0 0 30237 Berkshire Hathaway Inc. COM 084670702 1496 6985 SH SOLE 2630 0 4355 CACI International Inc COM 127190304 1029 5586 SH SOLE 0 0 5586 CVR Energy, Inc. COM 12662P108 2201 54714 SH SOLE 3580 0 51134 Chase Corporation COM 16150R104 518 4308 SH SOLE 765 0 3543 Citigroup COM 172967424 849 11840 SH SOLE 300 0 11540 Cloudera, Inc. COM 18914U100 837 47432 SH SOLE 9320 0 38112 Delta Air Lines, Inc. COM 247361702 1350 23347 SH SOLE 4620 0 18727 Discovery Communications, Inc. COM 25470F104 3870 120930 SH SOLE 17810 0 103120 Edwards Lifesciences COM 28176E108 2712 15578 SH SOLE 1904 0 13674 Encompass Health Corporation COM 29261A100 1510 19370 SH SOLE 3180 0 16190 Expedia, Inc. COM 30212P303 1023 7838 SH SOLE 387 0 7451 Facebook, Inc COM 30303M102 1504 9145 SH SOLE 1415 0 7730 Fair Isaac Corp. COM 303250104 945 4135 SH SOLE 0 0 4135 Fifth Third Bancorp COM 316773100 3140 112450 SH SOLE 17620 0 94830 Financial Sector ETF ETF 81369Y605 551 19990 SH SOLE 6710 0 13280 Fiserv Inc. COM 337738108 3779 45878 SH SOLE 6876 0 39002 Gentex Corp. COM 371901109 2136 99541 SH SOLE 14980 0 84561 Graco, Inc. COM 384109104 2318 50028 SH SOLE 4819 0 45209 Green Dot Corporation COM 39304D102 2503 28178 SH SOLE 3849 0 24329 JPMorgan Chase & Co. COM 46625H100 6915 61282 SH SOLE 7133 0 54149 KAR Auction Services COM 48238T109 3664 61379 SH SOLE 7217 0 54162 L3 Technologies COM 502413107 2367 11131 SH SOLE 1360 0 9771 Lear Corporation COM 521865204 797 5496 SH SOLE 8 0 5488 LogMein, Inc. COM 54142L109 374 4196 SH SOLE 1270 0 2926 Lowe's Companies, Inc. COM 548661107 3021 26314 SH SOLE 3187 0 23127 Marathon Oil Corp. COM 565849106 628 26960 SH SOLE 1360 0 25600 Marathon Petroleum Corp. COM 56585A102 564 7050 SH SOLE 3000 0 4050 Matador Resources Co. COM 576485205 345 10437 SH SOLE 600 0 9837 Microsoft COM 594918104 8097 70795 SH SOLE 8938 0 61857 Moog, Inc. A COM 615394202 681 7923 SH SOLE 1500 0 6423 Nordson Corp. COM 655663102 1927 13874 SH SOLE 1820 0 12054 Okta, Inc. COM 679295105 2332 33140 SH SOLE 3750 0 29390 Omnicom Group COM 681919106 377 5540 SH SOLE 0 0 5540 Parker Hannifin Corp. COM 701094104 553 3008 SH SOLE 0 0 3008 Procter & Gamble Co. COM 742718109 304 3650 SH SOLE 930 0 2720 ResMed Inc. COM 761152107 2044 17720 SH SOLE 2650 0 15070 S&P 500 Index Fund ETF 78462F103 338 1161 SH SOLE 152 0 1009 SPDR Industrial Select Sector ETF 81369Y704 495 6310 SH SOLE 685 0 5625 Sherwin-Williams Co. COM 824348106 2259 4962 SH SOLE 557 0 4405 Shutterfly, Inc. COM 82568P304 528 8011 SH SOLE 1150 0 6861 Sirius XM Holdings Inc. COM 82968B103 2914 461012 SH SOLE 76250 0 384762 Sony Corp ADR (1:1) ADR 835699307 1568 25855 SH SOLE 850 0 25005 Stamps.com Inc COM 852857200 3132 13845 SH SOLE 1462 0 12383 SunTrust Banks, Inc. COM 867914103 3100 46417 SH SOLE 1710 0 44707 TCF Financial Corp. COM 872275102 754 31664 SH SOLE 180 0 31484 Teladoc Health, Inc. COM 87918A105 1033 11966 SH SOLE 2940 0 9026 Texas Intstruments COM 882508104 2437 22711 SH SOLE 2890 0 19821 The Boeing Company COM 097023105 3035 8161 SH SOLE 1000 0 7161 U.S. Bancorp COM 902973304 849 16080 SH SOLE 400 0 15680 US Physical Therapy Inc. COM 90337L108 1977 16673 SH SOLE 2430 0 14243 UnitedHealth Group Inc COM 91324P102 2108 7925 SH SOLE 1180 0 6745 Vanguard Consumer Discretionar eTF 92204A108 944 5234 SH SOLE 0 0 5234 VeriSign, Inc. COM 92343E102 3551 22177 SH SOLE 2506 0 19671 Visa Inc. COM 92826C839 3492 23265 SH SOLE 2155 0 21110 Wal-Mart Stores Inc. COM 931142103 3909 41621 SH SOLE 5602 0 36019 Wayfair Inc. COM 94419L101 1291 8744 SH SOLE 1950 0 6794 Whiting Petroleum Corp COM 966387409 3186 60071 SH SOLE 7935 0 52136 Zions Bancorporation COM 989701107 3395 67705 SH SOLE 8005 0 59700 iShares Core S&P Mid-Cap ETF ETF 464287505 2101 10440 SH SOLE 3530 0 6910 iShares Russell 2000 ETF ETF 464287655 6439 38204 SH SOLE 5476 0 32728 ALPS TRUST ETF ALERIAN MLP ETF 00162Q866 194 18191 SH DFND 0 0 18191 INVESCO SENIOR LOAN ETF ETF 46138G508 257 11115 SH DFND 0 0 11115 ISHARES DJ SELECT DIVIDEND ETF 464287168 1381 13847 SH DFND 0 0 13847 ISHARES TIPS BOND ETF ETF 464287176 254 2305 SH DFND 0 0 2305 EMQQ EM Internet AND ECOMM ETF 301505889 64 2000 SH DFND 0 0 2000 ISHARES INC MSCI GERMANY ETF 464286806 267 9000 SH DFND 0 0 9000 ABBVIE INC COM COM 00287Y109 284 3000 SH DFND 0 0 3000 AGIOS PHARMACEUTICALS COM 00847X104 731 9500 SH DFND 0 0 9500 ALTRIA GROUP INC COM COM 02209S103 655 10000 SH DFND 0 0 10000 AMERISOURCEBERGEN CORP COM 03073E105 710 7700 SH DFND 0 0 7700 ARES CAPITAL COM 04010L103 172 10000 SH DFND 0 0 10000 AVAYA HLDGS CORP COM COM 05351X101 944 42600 SH DFND 0 0 42600 BIOGEN IDEC INC COM 09062X103 973 2750 SH DFND 0 0 2750 CORE LABORATORIES NV COM N22717107 197 1700 SH DFND 0 0 1700 CTRIP.COM ADR ADR 22943F100 450 12100 SH DFND 0 0 12100 CVS HEALTH CORP COM COM 126650100 591 7500 SH DFND 0 0 7500 EBAY INC COM 278642103 66 2000 SH DFND 0 0 2000 EXXON MOBIL CORP COM COM 30231G102 515 6050 SH DFND 0 0 6050 FACEBOOK INC CL A COM 30303M102 1068 6500 SH DFND 0 0 6500 FOAMIX PHARMACEUTICALS COM M46135105 228 40000 SH DFND 0 0 40000 GENERAC HLDGS INC COM 368736104 243 4300 SH DFND 0 0 4300 GENTHERM INC COM COM 37253A103 182 4000 SH DFND 0 0 4000 Gilead Sciences, Inc. COM 375558103 994 12900 SH DFND 0 0 12900 GLOBAL BLOOD THERAPEUTICS COM 37890U108 11876 312514 SH DFND 0 0 312514 GOLAR LNG COM G9456A100 584 21000 SH DFND 0 0 21000 ILLUMINA INC COM 452327109 552 1500 SH DFND 0 0 1500 MASTERCARD INC COM CL A COM 57636Q104 223 1000 SH DFND 0 0 1000 OCCIDENTAL PETE CORP COM 674599105 206 2500 SH DFND 0 0 2500 PAYPAL HLDGS COM 70450Y103 178 2000 SH DFND 0 0 2000 PORTOLA PHARMACEUTICALS COM 737010108 4095 153729 SH DFND 0 0 153729 PRAXAIR INC COM COM 74005P104 80 500 SH DFND 0 0 500 PROCTER AND GAMBLE COM 742718109 32 383 SH DFND 0 0 383 SKYWORKS SOLUTIONS INC COM COM 83088M102 408 4500 SH DFND 0 0 4500 SYNAPTICS INC COM 87157D109 365 8000 SH DFND 0 0 8000 HERSHEY CO COM 427866108 143 1400 SH DFND 0 0 1400 UNIVERSAL DISPLAY CORP COM 91347P105 590 5000 SH DFND 0 0 5000 YUM CHINA HLDGS INC COM COM 98850P109 492 14000 SH DFND 0 0 14000 YUM BRANDS INC COM COM 988498101 455 5000 SH DFND 0 0 5000 iShares US Consumer Goods ETF 464287812 510 4300 SH DFND 0 0 4300 ABBOTT LABS COM COM 002824100 11 150 SH DFND 0 0 150 ALIBABA GROUP HLDG LTD ADR 01609W102 495 3000 SH DFND 0 0 3000 CHEMOCENTRYX INC COM 16383L106 126 10000 SH DFND 0 0 10000 DOLLAR TREE STORES INC COM 256746108 147 1800 SH DFND 0 0 1800 JOHNSON & JOHNSON COM 478160104 276 2000 SH DFND 0 0 2000 MCCORMICK & CO INC COM 579780206 395 3000 SH DFND 0 0 3000 MCDONALDS CORP COM 580135101 211 1262 SH DFND 0 0 1262 MYOKARDIA INC COM 62857M105 7909 121304 SH DFND 0 0 121304 NORFOLK SOUTHER CORP COM COM 655844108 90 500 SH DFND 0 0 500 UNITED PARCEL SERVICE COM 911312106 316 2700 SH DFND 0 0 2700 VISA INC COM 92826C839 1140 7600 SH DFND 0 0 7600 WATERS CP COM 941848103 97 500 SH DFND 0 0 500 WEYERHAEUSER CO COM 962166104 5058 3200 SH DFND 0 0 3200 FIRST TRUST NA ENER INF FUND ETF 33738D101 305 13000 SH DFND 0 0 13000 ALPHABET INC CLASS A COM 02079K305 361 300 SH DFND 0 0 300 ANTERO RES CORP COM 03674X106 407 23000 SH DFND 0 0 23000 AXON ENTERPRISE INC COM 04564C101 650 9500 SH DFND 0 0 9500 BRUNSWICK CORP COM 117043109 67 1000 SH DFND 0 0 1000 CBOE GLOBAL MARKETS COM 12503M108 269 2800 SH DFND 0 0 2800 CELGENE CORP COM 151020104 72 800 SH DFND 0 0 800 IMMUNOGEN INC COM 45253H101 375 39500 SH DFND 0 0 39500 JAZZ PHARMACEUTICALS INC COM G50871105 84 500 SH DFND 0 0 500 MONSTER BEVERAGE CORP COM 61174X109 524 9000 SH DFND 0 0 9000 O REILLY AUTOMOTIVE INC COM 67103H107 486 1400 SH DFND 0 0 1400 PHILIP MORRIS INTL INC COM 718172109 816 10000 SH DFND 0 0 10000 SOUTHWEST AIRLS CO COM 844741108 249 4000 SH DFND 0 0 4000 TEVA PHARMACEUTICALS ADR ADR 881624209 32 1500 SH DFND 0 0 1500 TEXAS PAC LD TR SUB CTF COM 882610108 1467 1700 SH DFND 0 0 1700 UBIQUITI NETWORKS INC COM 90347A100 198 2000 SH DFND 0 0 2000 ENERGY SELECT SECTOR SPDR ETF 81369Y506 38 500 SH DFND 0 0 500 VANGUARD MEGA CAP GROWTH ETF 921910816 384 3000 SH DFND 0 0 3000 ADVANCE AUTO PARTS INC COM 00751Y106 118 700 SH DFND 0 0 700 ALLEGHENY TECHNOLOGIES COM 01741R102 24 800 SH DFND 0 0 800 ARRIS INTL INC COM G0551A103 119 4000 SH DFND 0 0 4000 AT&T INC COM 00206R102 26 1000 SH DFND 0 0 1000 CATERPILLAR INC COM 149123101 198 1300 SH DFND 0 0 1300 COCA COLA CO COM 191216100 70 1520 SH DFND 0 0 1520 DANAHER CORP COM 235851102 109 1000 SH DFND 0 0 1000 DOCTOR REDDY'S LABS ADR ADR 256135203 52 1500 SH DFND 0 0 1500 ECOLAB INC COM 278865100 157 1000 SH DFND 0 0 1000 EQT CORPORTION COM 26884L109 46 1050 SH DFND 0 0 1050 FORTIVE CORP COM 34959J108 42 500 SH DFND 0 0 500 HCP INC COM 40414L109 65 2476 SH DFND 0 0 2476 HOSPITALITY PROPERTIES COM 44106M102 20 700 SH DFND 0 0 700 LIVANOVA PLC SHS COM G5509L101 124 1000 SH DFND 0 0 1000 NUCOR CORP COM 670346105 22 300 SH DFND 0 0 300 PEPSICO INC COM 713448108 73 650 SH DFND 0 0 650 PFIZER INC COM 717081103 88 2000 SH DFND 0 0 2000 TARGA RESOURCES CORP COM 87612G101 23 403 SH DFND 0 0 403 UNITEDHEALTH GROUP COM 91324P102 160 600 SH DFND 0 0 600 WILLIAMS COS INC COM 969457100 326 12000 SH DFND 0 0 12000 ISHARES S&P 500 INDEX ETF 464287200 1388 4740 SH DFND 0 0 4740 ISHARES MSCI EMERGING EEM ETF 464287234 265 6180 SH DFND 0 0 6180 ISHARES CORE MSCI EAFE ETF 46432F842 243 3580 SH DFND 0 0 3580 ISHARES S&P MIDCAP FUND ETF 464287507 811 4030 SH DFND 0 0 4030 ISHARES RUSSELL 2000 ETF 464287655 882 5230 SH DFND 0 0 5230 ISHARES CORE DIVIDEND GROWTH ETF 46434V621 27 730 SH DFND 0 0 730 ALPHABET INC CAP STK CL C COM 02079K107 239 200 SH DFND 0 0 200 CONOCOPHILLIPS COM 20825C104 310 4000 SH DFND 0 0 4000 EXPRESS SCRIPTS INC COM 30219G108 190 2000 SH DFND 0 0 2000 IPG PHOTONICS CORP COM 44980X109 266 1700 SH DFND 0 0 1700 IRON MOUNTAIN INC REIT 46284V101 506 14670 SH DFND 0 0 14670 JEFFERIES FINL GROUP INC COM 47233W109 352 16000 SH DFND 0 0 16000 MPLX LP COM 55336V100 79 2289 SH DFND 0 0 2289 PHILLIPS 66 COM 718546104 226 2000 SH DFND 0 0 2000 SBA COMMUNICATIONS CP REIT 78410G104 482 3000 SH DFND 0 0 3000 COLUMBIA EMERGING MARKETS ETF ETF 19762B509 111 5000 SH DFND 0 0 5000 ACCENTURE PLC COM G1151C101 603 10000 SH DFND 0 0 10000 AMAZON.COM INC COM 023135106 920 541 SH DFND 0 0 541 BLUEPRINT MEDICINES CORP COM 09627Y109 210 2969 SH DFND 0 0 2969 CHEVRON CORP NEW COM 166764100 61 500 SH DFND 0 0 500 CHIPOTLE MEXICAN GRILL INC COM 169656105 273 600 SH DFND 0 0 600 COLGATE PALMOLIVE CO COM 194162103 60 900 SH DFND 0 0 900 CYPRESS SEMICONDUCTOR CORP COM 232806109 145 10000 SH DFND 0 0 10000 CYTOMX THERAPEUTICS COM 23284F105 35 1888 SH DFND 0 0 1888 DOWDUPONT INC COM 26078J100 386 6000 SH DFND 0 0 6000 GERON CORP COM 374163103 28 16000 SH DFND 0 0 16000 MEDTRONIC PLC COM G5960L103 295 3000 SH DFND 0 0 3000 SAFETY INSURANCE GROUP COM 78648T100 448 5000 SH DFND 0 0 5000 SAGE THERAPEUTICS INC COM 78667J108 683 4837 SH DFND 0 0 4837 SCHLUMBERGER LTD COM 806857108 73 1200 SH DFND 0 0 1200 TRACTOR SUPPLY CO COM 892356106 454 5000 SH DFND 0 0 5000 BERKSHIRE HATHAWAY INC A COM 084670108 1920 6 SH DFND 0 0 6 BERKSHIRE HATHAWAY INC B COM 084670702 75 349 SH DFND 0 0 349 CISCO SYS INC COM 17275R102 243 5000 SH DFND 0 0 5000 LYONDELLBASELL IND COM N53745100 154 1500 SH DFND 0 0 1500