0001398344-14-005628.txt : 20141103 0001398344-14-005628.hdr.sgml : 20141103 20141103143909 ACCESSION NUMBER: 0001398344-14-005628 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140930 FILED AS OF DATE: 20141103 DATE AS OF CHANGE: 20141103 EFFECTIVENESS DATE: 20141103 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Highmount Capital, LLC CENTRAL INDEX KEY: 0001453819 IRS NUMBER: 753001949 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13376 FILM NUMBER: 141189022 BUSINESS ADDRESS: STREET 1: 12 EAST 49TH STREET CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 646-274-7470 MAIL ADDRESS: STREET 1: 12 EAST 49TH STREET CITY: NEW YORK STATE: NY ZIP: 10017 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001453819 XXXXXXXX 09-30-2014 09-30-2014 false Highmount Capital, LLC

12 East 49th Street New York NY 10017

13F COMBINATION REPORT 028-13376 028-01488 Delphi 025-05358 Lateef 028-11741 Westend 025-04207 Driehaus 028-02028 Cramer Rosenthal 028-01203 CS Mckee 028-03691 D.F. Dent 028-13573 Neuberger Berman Group LLC 028-14599 Cove Street N Andrew Lucich 617-326-0614 /s/ Andrew Lucich Boston MA 10-29-2014 0 140 400965 INFORMATION TABLE 2 fp0012049_13fhr-table.xml 13F INFORMATION TABLE BLACKROCK LIMITED DURATION INC COM 09249W101 4514 279155 SH SOLE 264050 0 0 ISHARES IBOXX INV GR CORP BOND COM 464287242 260 2200 SH SOLE 1200 0 0 POWERSHARES ETF II-FUND.HY COR COM 73936T557 267 14025 SH SOLE 14025 0 0 PROSHARES TR.SENIOR LOAN PTF E COM 73936Q769 1456 59975 SH SOLE 55975 0 0 VANGUARD S/T CORP BOND ETF COM 92206C409 4171 52227 SH SOLE 52227 0 0 3M COMPANY COM 88579Y101 2522 17805 SH SOLE 17140 0 0 ABBOTT LABS COM 002824100 382 9202 SH SOLE 8207 0 0 ABBVIE INC COM 00287Y109 214 3707 SH SOLE 2707 0 0 AGILENT TECHNOLOGIES INC. COM 00846U101 3449 60543 SH SOLE 57528 0 0 AIR PRODUCTS & CHEMICALS INC COM 009158106 1342 10310 SH SOLE 9515 0 0 AMERICAN CAMPUS COMMUNITIES COM 024835100 1688 46320 SH SOLE 42950 0 0 AMERICAN EXPRESS COM 025816109 205 2345 SH SOLE 2345 0 0 AMERICAN INTERNATIONAL GROUP I COM 026874784 1807 33460 SH SOLE 31870 0 0 AMGEN COM 031162100 1106 7880 SH SOLE 7100 0 0 ANADARKO PETROLEUM COM 032511107 668 6590 SH SOLE 6590 0 0 APACHE CORPORATION COM 037411105 547 5828 SH SOLE 5828 0 0 APPLE COM 037833100 8801 87357 SH SOLE 81958 0 0 ARES CAPITAL CORP COM 04010L103 13886 859310 SH SOLE 839670 0 0 AT&T INC COM 00206R102 649 18424 SH SOLE 15234 0 0 AUTODESK INC COM 052769106 2917 52947 SH SOLE 50472 0 0 AUTOMATIC DATA PROCESSING COM 053015103 2252 27107 SH SOLE 24642 0 0 BECTON DICKINSON & CO COM 075887109 405 3560 SH SOLE 3560 0 0 BERKSHIRE HATHAWAY INC.CL B COM 084670702 431 3120 SH SOLE 3120 0 0 BFC FINANCIAL CORP COM 055384200 197 50088 SH SOLE 50088 0 0 BRISTOL-MYERS SQUIBB CORP COM 110122108 1696 33143 SH SOLE 28698 0 0 CAMDEN PROPERTY TRUST COM 133131102 1899 27715 SH SOLE 25815 0 0 CANTEL MEDICAL CORP COM 138098108 821 23902 SH SOLE 23632 0 0 CAPITAL SOUTHWEST CORP COM 140501107 524 14648 SH SOLE 14648 0 0 CATERPILLAR INC COM 149123101 1254 12664 SH SOLE 11764 0 0 CELGENE CORP COM 151020104 891 9400 SH SOLE 9400 0 0 CENTRAL FUND CANADA COM 153501101 447 36300 SH SOLE 36300 0 0 CHEVRON CORPORATION COM 166764100 395 3313 SH SOLE 3313 0 0 CHURCH & DWIGHT CO INC. COM 171340102 505 7205 SH SOLE 6615 0 0 CISCO SYSTEMS COM 17275R102 331 13133 SH SOLE 13133 0 0 CITIGROUP INC COM 172967424 2877 55523 SH SOLE 52783 0 0 COCA-COLA COM 191216100 1000 23441 SH SOLE 23441 0 0 COLGATE PALMOLIVE CO COM 194162103 313 4805 SH SOLE 4805 0 0 COMCAST CORP NEW COM 20030N200 407 7600 SH SOLE 7600 0 0 COMMERCE BANCSHARES INC. COM 200525103 2012 45063 SH SOLE 45063 0 0 CONOCO PHILLIPS COM 20825C104 1429 18680 SH SOLE 17445 0 0 CONTINENTAL RESOURCES COM 212015101 219 3300 SH SOLE 3300 0 0 CORNING INC COM 219350105 1631 84365 SH SOLE 78620 0 0 COSTCO WHOLESALE COM 22160K105 213 1697 SH SOLE 1697 0 0 CVS CAREMARK CORP COM 126650100 424 5335 SH SOLE 4485 0 0 DU PONT ( E. I. ) DE NEMOURS & COM 263534109 2148 29940 SH SOLE 28560 0 0 ECOLAB INC COM 278865100 315 2750 SH SOLE 2455 0 0 EMC COM 268648102 3566 121886 SH SOLE 115026 0 0 EMERSON ELECTRIC CO COM 291011104 2242 35830 SH SOLE 33595 0 0 ESSEX PROPERTY TRUST COM 297178105 1455 8140 SH SOLE 7615 0 0 EXPRESS SCRIPTS HOLDING CO COM 30219G108 654 9256 SH SOLE 9256 0 0 EXXON MOBIL CORP COM 30231G102 4743 50431 SH SOLE 47986 0 0 FLOWSERVE CP COM 34354P105 222 3150 SH SOLE 3150 0 0 FLUOR COM 343412102 1255 18800 SH SOLE 17925 0 0 FRESENIUS MEDICAL CARE ADR COM 358029106 2965 85460 SH SOLE 81435 0 0 GENERAL ELECTRIC CO COM 369604103 1224 47785 SH SOLE 46881 0 0 GILEAD SCIENCES INC. COM 375558103 424 3980 SH SOLE 3980 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 691 3766 SH SOLE 3566 0 0 GOLUB CAPITAL BDC COM 38173M102 5987 375407 SH SOLE 365227 0 0 HEALTHCARE SERVICES COM 421906108 272 9515 SH SOLE 9515 0 0 HOME DEPOT COM 437076102 4885 53253 SH SOLE 51533 0 0 HONEYWELL INTL COM 438516106 1180 12672 SH SOLE 11677 0 0 ILLINOIS TOOL WORKS INC. COM 452308109 510 6045 SH SOLE 6045 0 0 INDEXIQ GLOBAL AGRIBUSINESS SM COM 45409B834 257 10000 SH SOLE 10000 0 0 INTERNATIONAL BUSINESS MACHINE COM 459200101 1423 7501 SH SOLE 7376 0 0 INVESCO LTD COM G491BT108 2380 60292 SH SOLE 58407 0 0 ISHARES KLD 400 SOCIAL INDEX COM 464288570 294 4000 SH SOLE 4000 0 0 ISHARES MSCI ALL COUNTRY ASIA COM 464288182 9514 155158 SH SOLE 152623 0 0 ISHARES MSCI INDONESIA INVSTBL COM 46429B309 544 20000 SH SOLE 20000 0 0 ISHARES MSCI PHILIPPINES INVST COM 46429B408 571 15000 SH SOLE 15000 0 0 ISHARES RESID REAL ESTATE CAPP COM 464288562 13429 262652 SH SOLE 258587 0 0 ISHARES RUSSELL 2000 ETF COM 464287655 1147 10490 SH SOLE 10490 0 0 ISHARES RUSSELL 2000 GROWTH ET COM 464287648 14937 115175 SH SOLE 113840 0 0 ISHARES RUSSELL 3000 ETF COM 464287689 9803 83943 SH SOLE 81828 0 0 ISHARES S&P 500 INDEX COM 464287200 3791 19125 SH SOLE 18635 0 0 ISHARES S&P MIDCAP 400 COM 464287507 3979 29100 SH SOLE 27740 0 0 ISHARES S&P SMALLCAP 600 INDEX COM 464287804 1282 12296 SH SOLE 12296 0 0 ISHARES SELECT DIVIDEND ETF COM 464287168 388 5250 SH SOLE 5250 0 0 JOHNSON & JOHNSON COM 478160104 3651 34258 SH SOLE 32383 0 0 JPMORGAN CHASE COM 46625H100 5576 92575 SH SOLE 88990 0 0 KAYNE ANDERSON MLP INVESTMENT COM 486606106 20428 500201 SH SOLE 491296 0 0 KIMBERLY-CLARK COM 494368103 1991 18513 SH SOLE 17663 0 0 LOCKHEED MARTIN CORPORATION COM 539830109 1523 8336 SH SOLE 7756 0 0 MARKET VECTORS - AGRIBUSINESS COM 57060U605 850 16075 SH SOLE 14775 0 0 MASTERCARD COM 57636Q104 255 3450 SH SOLE 3450 0 0 MC DONALDS CORP COM 580135101 217 2293 SH SOLE 2293 0 0 MERCK & CO COM 58933Y105 553 9325 SH SOLE 9325 0 0 MICROSOFT CORP COM 594918104 6433 138770 SH SOLE 131115 0 0 MONDELEZ INTERNATIONAL INC COM 609207105 216 6314 SH SOLE 6314 0 0 MONSANTO COM 61166W101 4055 36047 SH SOLE 34657 0 0 OCCIDENTAL PETROLEUM COM 674599105 4816 50089 SH SOLE 47919 0 0 ORACLE COM 68389X105 1608 42015 SH SOLE 40340 0 0 PARKER HANNIFIN CORP COM 701094104 200 1755 SH SOLE 1755 0 0 PEPSICO INC COM 713448108 4820 51780 SH SOLE 48720 0 0 PFIZER COM 717081103 4867 164609 SH SOLE 157168 0 0 PINNACLE FOODS INC COM 72348P104 2218 67940 SH SOLE 65425 0 0 PNC FINANCIAL SERVICES GROUP COM 693475105 260 3039 SH SOLE 3039 0 0 POLARIS INDUSTRIES INC. COM 731068102 210 1400 SH SOLE 1400 0 0 POTASH CORPORATION OF SASKATCH COM 73755L107 1261 36495 SH SOLE 32890 0 0 POWERSHARES CLEANTECH PORTFOLI COM 73935X278 611 20850 SH SOLE 20850 0 0 POWERSHARES GLOBAL CLEAN ENERG COM 73936T615 391 30300 SH SOLE 30300 0 0 POWERSHARES WATER RESOURCES COM 73935X575 949 38600 SH SOLE 35500 0 0 POWERSHARES WILDERHILL CLEAN E COM 73935x500 304 48000 SH SOLE 48000 0 0 PROCTER & GAMBLE CO COM 742718109 1761 21031 SH SOLE 19971 0 0 PROSHARES ULTRASHORT 20+ YR TR COM 74347r297 328 5816 SH SOLE 5816 0 0 QUALCOMM COM 747525103 2430 32507 SH SOLE 31632 0 0 SCHLUMBERGER COM 806857108 5618 55248 SH SOLE 46313 0 0 SPDR S&P 500 ETF TRUST COM 78462f103 44502 225880 SH SOLE 221840 0 0 SPDR S&P MIDCAP 400 ETF TRUST COM 78467Y107 13572 54440 SH SOLE 54195 0 0 STARBUCKS CORP. COM 855244109 422 5592 SH SOLE 5592 0 0 STERICYCLE INC COM 858912108 279 2395 SH SOLE 2395 0 0 TARGET COM 87612E106 3384 54000 SH SOLE 50655 0 0 TEREX CORPORATION COM 880779103 2124 66867 SH SOLE 63442 0 0 THE TRAVELERS COMPANIES INC COM 89417E109 1514 16120 SH SOLE 15145 0 0 TORTOISE ENERGY INFRASTRUCTURE COM 89147L100 12313 255991 SH SOLE 248606 0 0 TRIANGLE CAPITAL COM 895848109 1209 47770 SH SOLE 43900 0 0 TYLER TECHNOLOGIES INC COM COM 902252105 289 3269 SH SOLE 3269 0 0 UNITED PARCEL SVC INC CL B COM 911312106 1416 14415 SH SOLE 13430 0 0 UNITED TECHNOLOGIES COM 913017109 4864 46062 SH SOLE 44797 0 0 VANGUARD DIVIDEND APPRECIATION COM 921908844 447 5820 SH SOLE 3570 0 0 VANGUARD FTSE DEVELOPED MARKET COM 921943858 5652 142210 SH SOLE 141935 0 0 VANGUARD FTSE EMERGING MARKETS COM 922042858 4749 113859 SH SOLE 112363 0 0 VANGUARD TOTAL WORLD STOCK IND COM 922042742 2858 47335 SH SOLE 47335 0 0 VANGUARD TOTL SM ETF COM 922908769 11760 116158 SH SOLE 116158 0 0 VERIZON COMMUNICATIONS COM 92343V104 691 13839 SH SOLE 10918 0 0 WAL MART STORES COM 931142103 435 5690 SH SOLE 4870 0 0 WALGREEN COM 931422109 388 6550 SH SOLE 6550 0 0 WALT DISNEY COMPANY COM 254687106 292 3283 SH SOLE 3283 0 0 WASTE MANAGEMENT INC. COM 94106l109 1641 34535 SH SOLE 32525 0 0 WELLS FARGO & CO COM 949746101 423 8151 SH SOLE 8151 0 0 WISDOMTREE EMERGING MARKETS EQ COM 97717W315 4939 103380 SH SOLE 94915 0 0 WISDOMTREE EUROPE HEDGED EQUIT COM 97717X701 17667 305770 SH SOLE 300340 0 0 WYNDHAM WORLDWIDE CORP COM 98310W108 3253 40033 SH SOLE 38178 0 0 XENITH CORP COM 98410X105 551 87000 SH SOLE 87000 0 0 XYLEM INC COM 98419M100 203 5737 SH SOLE 5137 0 0 YAHOO! INC. COM 984332106 3223 79089 SH SOLE 75064 0 0 ZIMMER HOLDINGS INC COM 98956P102 307 3052 SH SOLE 3052 0 0 ZOETIS INC. COM 98978V103 3745 101347 SH SOLE 97097 0 0 AMBEV ADR ADR 02319V103 524 80000 SH SOLE 80000 0 0 ENERSIS S.A. SPONS ADR ADR 29274F104 537 34000 SH SOLE 34000 0 0 ROYAL DUTCH SHELL PLC SPONS AD ADR 780259206 491 6456 SH SOLE 6456 0 0