0001455495-12-000006.txt : 20121024 0001455495-12-000006.hdr.sgml : 20121024 20121024140840 ACCESSION NUMBER: 0001455495-12-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121024 DATE AS OF CHANGE: 20121024 EFFECTIVENESS DATE: 20121024 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TrueNorth, Inc. CENTRAL INDEX KEY: 0001455495 IRS NUMBER: 480996165 STATE OF INCORPORATION: KS FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13377 FILM NUMBER: 121158159 BUSINESS ADDRESS: STREET 1: 8200 E. 32ND ST. NORTH STREET 2: SUITE 100 CITY: WICHITA STATE: KS ZIP: 67226 BUSINESS PHONE: 316-266-6574 MAIL ADDRESS: STREET 1: 8200 E. 32ND ST. NORTH STREET 2: SUITE 100 CITY: WICHITA STATE: KS ZIP: 67226 13F-HR 1 tni13f093012.txt 13F TRUENORTH INC. Q3 2012 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, 2012 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: TrueNorth, Inc. Address: 8200 E 32nd St N Ste 100 Wichita, KS 67226 13F File Number: 028-13377 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing this 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: Margaret E. Hornbeck Title: Senior Vice President & Chief Compliance Officer Phone: 316-266-6573 Signature, Place, and Date of Signing: Margaret E. Hornbeck Wichita, KS October 22, 2012 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: NONE FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 186 Form 13F Information Table Value Total: $215,754 (thousands) List of Other Included Managers: NONE TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (X$1000)PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE -------------- -------- ----- --------------- --- ---- ------- -------- ---- ------ ---- Core Laboratories NV COM N22717107 1408 11,590 SH SOLE 11,590 0 0 AGCO Corp COM 1084102 269 5,675 SH SOLE 5,675 0 0 AT&T Inc COM 00206R102 2448 64,932 SH SOLE 64,932 0 0 Abbott Labs COM 2824100 1119 16,321 SH SOLE 16,021 0 300 Air Prod & Chemicals Inc COM 9158106 520 6,290 SH SOLE 6,290 0 0 American Capital Agency Corp. COM 02503X105 538 15,540 SH SOLE 15,540 0 0 American Express Co COM 25816109 251 4,420 SH SOLE 4,420 0 0 American Tower Corp CL A 29912201 501 7,015 SH SOLE 6,145 0 870 Annaly Capital Mgmt Inc COM 35710409 1695 100,640 SH SOLE 99,760 0 880 Apple Inc COM 37833100 6770 10,148 SH SOLE 9,618 0 530 Atlas Pipeline Part LP UNIT L P INT 49392103 235 6,890 SH SOLE 6,890 0 0 Automatic Data Processing COM 53015103 1288 21,953 SH SOLE 21,573 0 380 BP PLC ADR SPONSORED ADR 55622104 802 18,940 SH SOLE 18,480 0 460 Bank Of America Corporation COM 60505104 2729 309,097 SH SOLE 309,097 0 0 Becton Dickinson & Co COM 75887109 1119 14,250 SH SOLE 14,030 0 220 Berkshire Hathaway Inc Cl B CL B NEW 84670702 637 7,222 SH SOLE 7,072 0 150 1/100 Berkshire Htwy Cl A COM 84990175 929 700 SH SOLE 700 0 0 Biogen Idec Inc COM 09062X103 812 5,445 SH SOLE 4,885 0 560 Blackrock Limited Duration Inc COM SHS 09249W101 601 32,279 SH SOLE 32,279 0 0 Blackrock Defined Opportunity COM 09255Q105 456 32,470 SH SOLE 32,470 0 0 Blkrck Floatng Rate Incm COM 09255X100 213 14,120 SH SOLE 14,120 0 0 Blkrck Floatng Rate Incm COM SHS 09255Y108 295 21,490 SH SOLE 21,490 0 0 Boardwalk Pipeline Partners LP UT LTD PARTNER 96627104 387 13,870 SH SOLE 13,870 0 0 Boeing Co COM 97023105 378 5,430 SH SOLE 5,280 0 150 Borg Warner Inc COM 99724106 397 5,740 SH SOLE 5,140 0 600 Breitburn Energy Ptnr LP COM UT LTD PTN 106776107 208 10,700 SH SOLE 10,700 0 0 Bristol-Myers Squibb Co COM 110122108 683 20,228 SH SOLE 20,228 0 0 Buckeye Partners LP UNIT LTD PARTN 118230101 293 6,110 SH SOLE 6,110 0 0 CF Industries Holdings Inc COM 125269100 1371 6,170 SH SOLE 5,510 0 660 CSX Corp COM 126408103 570 27,490 SH SOLE 27,490 0 0 Calamos Convertible & High Inc COM SHS 12811P108 332 26,210 SH SOLE 26,210 0 0 Cambrex Corp COM 132011107 297 25,340 SH SOLE 25,340 0 0 Celgene Corp COM 151020104 939 12,295 SH SOLE 10,775 0 1520 CenturyLink Inc COM 156700106 1789 44,285 SH SOLE 44,285 0 0 Cerner Corp COM 156782104 907 11,725 SH SOLE 10,885 0 840 Chevron Corp New COM 166764100 1083 9,294 SH SOLE 9,114 0 180 Chimera Investment Corp COM 16934Q109 75 27,730 SH SOLE 27,730 0 0 Chubb Corporation COM 171232101 1274 16,705 SH SOLE 16,345 0 360 Church & Dwight Inc COM 171340102 587 10,865 SH SOLE 9,665 0 1200 Clean Harbors Inc COM 184496107 386 7,900 SH SOLE 7,000 0 900 Cognizant Technology Solutions CL A 192446102 250 3,575 SH SOLE 3,575 0 0 Computer Sciences Corp COM 205363104 301 9,360 SH SOLE 9,360 0 0 Concho Resources Inc. COM 20605P101 565 5,965 SH SOLE 5,265 0 700 Continental Resources Inc. COM 212015101 934 12,140 SH SOLE 10,720 0 1420 Crosstex Energy LP COM 22765U102 285 18,500 SH SOLE 18,500 0 0 Cummins Inc COM 231021106 277 3,000 SH SOLE 3,000 0 0 DCP Midstream Partners LP COM UT LTD PTN 23311P100 231 4,980 SH SOLE 4,980 0 0 Deere & Company COM 244199105 715 8,668 SH SOLE 8,668 0 0 Eagle Rock Engy Partners UNIT 26985R104 121 12,700 SH SOLE 12,700 0 0 Eastman Chemical Co COM 277432100 608 10,670 SH SOLE 10,400 0 270 Eaton Corp COM 278058102 554 11,720 SH SOLE 11,720 0 0 Eaton Vance Senior Income Trus SH BEN INT 27826S103 319 42,000 SH SOLE 42,000 0 0 Eaton Vance Ltd Duration COM 27828H105 2060 121,325 SH SOLE 121,325 0 0 Eaton Vance SR Fl Rt Tr COM 27828Q105 317 19,080 SH SOLE 19,080 0 0 Eaton Vance Short Duration Div COM 27828V104 318 18,054 SH SOLE 18,054 0 0 Ebay Inc COM 278642103 660 13,640 SH SOLE 12,240 0 1400 El Paso Pipeline Partners LP COM UNIT LPI 283702108 322 8,640 SH SOLE 8,640 0 0 Enbridge Energy Partners LP COM 29250R106 308 10,450 SH SOLE 10,450 0 0 Exelon Corporation COM 30161N101 213 6,000 SH SOLE 6,000 0 0 Exxon Mobil Corporation COM 30231G102 4657 50,927 SH SOLE 50,687 0 240 Family Dollar Stores Inc COM 307000109 206 3,114 SH SOLE 3,114 0 0 Fastenal Co COM 311900104 600 13,960 SH SOLE 12,360 0 1600 Fiduciary/Claymore MLP Opportu COM 31647Q106 692 30,160 SH SOLE 30,160 0 0 First Trust Dow Jones Internet DJ INTERNT IDX 33733E302 2357 62,150 SH SOLE 60,850 0 1300 First Trust/Four Corners Senio COM 33733U108 364 23,080 SH SOLE 23,080 0 0 First Trust Materials ETF MATERIALS ALPH 33734X168 2156 88,500 SH SOLE 86,490 0 2010 Firstenergy Corp COM 337932107 221 5,000 SH SOLE 5,000 0 0 Freeport-McMoRan Copper & Gold COM 35671D857 252 6,370 SH SOLE 6,370 0 0 Fresh Market Inc. COM 35804H106 552 9,210 SH SOLE 8,040 0 1170 Frontier Communications COM 35906A108 164 33,400 SH SOLE 33,400 0 0 General Electric Company COM 369604103 380 16,719 SH SOLE 16,719 0 0 Genesis Energy LP UNIT LTD PARTN 371927104 247 7,340 SH SOLE 7,340 0 0 Gladstone Commercial Corp COM 376536108 554 30,355 SH SOLE 30,355 0 0 Google Inc CL A 38259P508 1261 1,671 SH SOLE 1,501 0 170 Hatteras Financial Corp COM 41902R103 523 18,565 SH SOLE 18,565 0 0 Holly Energy Partners LP COM UT LTD PTN 435763107 205 3,085 SH SOLE 3,085 0 0 HollyFrontier Corp COM 436106108 745 18,044 SH SOLE 16,244 0 1800 Home Depot Inc COM 437076102 545 9,035 SH SOLE 9,035 0 0 Honeywell Intl Inc COM 438516106 1289 21,565 SH SOLE 21,325 0 240 ING Prime Rate Trust SH BEN INT 44977W106 916 148,050 SH SOLE 148,050 0 0 Inergy LP COM 456615103 449 23,620 SH SOLE 23,620 0 0 Intel Corp COM 458140100 334 14,764 SH SOLE 14,514 0 250 International Business Machine COM 459200101 2910 14,026 SH SOLE 13,886 0 140 Invesco Van Kampen Senior Inco COM 46131H107 2063 411,680 SH SOLE 411,680 0 0 Invesco VK Dynamic Credit Oppo COM 46132R104 896 70,670 SH SOLE 70,670 0 0 iShares MSCI South Africa Inde MSCI STH AFRCA 464286780 317 4,750 SH SOLE 4,750 0 0 iShares MSCI Mexico Investable MSCI MEX INVEST 464286822 3426 52,390 SH SOLE 51,580 0 810 iShares MSCI Malaysia Index MSCI MALAYSIA 464286830 303 20,820 SH SOLE 20,820 0 0 iShares Tr DJ Sel Div Inx DJ SEL DIV INX 464287168 3693 64,034.26SH SOLE 63,154 0 880 iShares Tr IBOXX Corp Bond Fd IBOXX INV CPBD 464287242 17570 144,292 SH SOLE 144,292 0 0 iShares Cohen & Steer Realty M COHEN&ST RLTY 464287564 1571 20,180 SH SOLE 20,015 0 165 iShares Tr Russell 3000 Index RUSSELL 3000 464287689 3837 45,226 SH SOLE 37,876 0 7350 iShares Tr S&P Smallcap 600 Id S&P SMLCAP 600 464287804 3433 44,550 SH SOLE 43,870 0 680 iShares iBoxx High Yield Corp HIGH YLD CORP 464288513 3612 39,135 SH SOLE 39,135 0 0 iShares Tr Barclays MBS Bond F BARCLYS MBS BD 464288588 948 8,680 SH SOLE 8,680 0 0 iShares Tr Barclays Bond BARCLYS 1-3YR CR 464288646 252 2,385 SH SOLE 2,385 0 0 iShares Tr S&P US Pfd Stk Inde US PFD STK IDX 464288687 11161 279,999 SH SOLE 279,999 0 0 JPMorgan Chase & Co. COM 46625H100 1637 40,430 SH SOLE 39,910 0 520 JPMorgan Alerian MLP Index ETN ALERIAN ML ETN 46625H365 2879 71,173 SH SOLE 71,173 0 0 Johnson & Johnson COM 478160104 233 3,387 SH SOLE 3,387 0 0 KLA-Tencor Corp COM 482480100 564 11,825 SH SOLE 11,825 0 0 Kansas City Southern COM NEW 485170302 699 9,220 SH SOLE 8,220 0 1000 Kinder Morgan Mgmt LLC SHS 49455U100 214 2,805.80 SH SOLE 2,806 0 0 LMP Corporate Loan COM 50208B100 334 24,925 SH SOLE 24,925 0 0 Lennar Corp CL A 526057104 1093 31,440 SH SOLE 27,820 0 3620 Linn Energy LLC UNIT LTD LIAB 536020100 226 5,490 SH SOLE 5,490 0 0 Mkt Vectors Jr Gold Miners ETF JR GOLD MINERS E 57060U589 710 28,720 SH SOLE 25,520 0 3200 Markwest Energy Partners LP UNIT LTD PARTN 570759100 209 3,840 SH SOLE 3,840 0 0 Mastercard Inc CL A 57636Q104 1001 2,218 SH SOLE 1,923 0 295 McDonalds Corp COM 580135101 1373 14,970.01SH SOLE 14,810 0 160 Microsoft Corp COM 594918104 549 18,456 SH SOLE 18,456 0 0 Monsanto Co COM 61166W101 867 9,520 SH SOLE 8,400 0 1120 NewMarket Corporation COM 651587107 812 3,295 SH SOLE 2,965 0 330 NextEra Energy Inc COM 65339F101 961 13,670 SH SOLE 13,400 0 270 Nike Inc CL B 654106103 351 3,700 SH SOLE 3,700 0 0 Northrop Grumman Corp COM 666807102 201 3,026 SH SOLE 3,000 0 26 Northstar Realty Fin Corp COM 66704R100 613 96,430 SH SOLE 96,430 0 0 Novartis A G Spon Adr SPONSORED ADR 66987V109 641 10,470 SH SOLE 10,470 0 0 Nuveen Floating Rate Income COM 67072T108 1030 82,370 SH SOLE 82,370 0 0 OGE Energy Corp Hldg Co COM 670837103 444 8,000 SH SOLE 8,000 0 0 Oneok Partners LP UNIT LTD PARTN 68268N103 359 6,040 SH SOLE 6,040 0 0 Panera Bread Co CL A 69840W108 483 2,825 SH SOLE 2,545 0 280 Peabody Energy Corp COM 704549104 401 17,970 SH SOLE 17,550 0 420 Pepsico Incorporated COM 713448108 965 13,642 SH SOLE 13,502 0 140 Perrigo Co COM 714290103 788 6,785 SH SOLE 5,945 0 840 Pfizer Incorporated COM 717081103 1354 54,475 SH SOLE 53,695 0 780 Phillips 66 COM 718546104 385 8,292 SH SOLE 8,292 0 0 Pimco Municipal Income Fund COM 72200R107 314 19,000 SH SOLE 19,000 0 0 Pimco Floating Rate Strategy COM 72201J104 328 28,720 SH SOLE 28,720 0 0 Plum Creek Timber Co COM 729251108 1316 30,025 SH SOLE 30,025 0 0 Portugal Telecm Spn Adrf SPONSORED ADR 737273102 109 22,000 SH SOLE 22,000 0 0 Powershares Financial Preferre FINL PFD PTFL 73935X229 1093 59,195 SH SOLE 59,195 0 0 Powershares Hi-Yield Eq Div Ac HI YLD EQ DVDN 73935X302 2703 279,485 SH SOLE 279,485 0 0 Priceline.Com Inc COM NEW 741503403 540 873 SH SOLE 765 0 108 Procter & Gamble Co COM 742718109 1247 17,980 SH SOLE 17,780 0 200 Putnam Premier Inc Tr SH BEN INT 746853100 455 79,375 SH SOLE 79,375 0 0 Qualcomm Inc COM 747525103 1729 27,670 SH SOLE 25,970 0 1700 Rayonier Inc COM 754907103 2003 40,862 SH SOLE 40,862 0 0 Regency Energy Partners LP COM UNITS L P 75885Y107 330 14,160 SH SOLE 14,160 0 0 Rogers Communications Inc CL B 775109200 1203 29,780 SH SOLE 29,280 0 500 Royal Dutch Shell PLC ADR A SPON ADR A 780259206 885 12,750 SH SOLE 12,470 0 280 Royal Gold Inc COM 780287108 1226 12,280 SH SOLE 10,840 0 1440 SPDR S&P Biotech ETF S&P BIOTECH 78464A870 885 9,470 SH SOLE 8,260 0 1210 ALPS Alerian MLP ETF ALERIAN MLP 78467Y107 5101 307,845 SH SOLE 307,845 0 0 SandRidge Energy Inc. COM 80007P307 349 50,000 SH SOLE 50,000 0 0 Schlumberger Ltd COM 806857108 265 3,670 SH SOLE 3,670 0 0 Schwab US Large-Cap Val ETF US LCAP VA ETF 808524409 2713 84,863 SH SOLE 66,934 0 17929 Seaboard Corp COM 811543107 472 209 SH SOLE 209 0 0 SPDR Consumer Staples Select S SBI CONS STPLS 81369Y308 246 6,880 SH SOLE 6,880 0 0 SPDR Financial Select Sector SBI INT-FINL 81369Y605 2050 131,500 SH SOLE 116,240 0 15260 Silver Wheaton Corp COM 828336107 756 19,050 SH SOLE 16,670 0 2380 Skyworks Solutions Inc COM 83088M102 782 33,180 SH SOLE 29,260 0 3920 Southern Copper Corp COM 84265V105 568 16,524 SH SOLE 16,524 0 0 Starbucks Corp COM 855244109 1785 35,210 SH SOLE 32,150 0 3060 Sunoco Logistics Partners LP COM UNITS 86764L108 232 4,980 SH SOLE 4,980 0 0 Sysco Corp COM 871829107 661 21,145 SH SOLE 21,145 0 0 TJX Companies Inc COM 872540109 1298 28,970 SH SOLE 28,490 0 480 Targa Resources Partners LP COM UNIT 87611X105 224 5,225 SH SOLE 5,225 0 0 Target Corporation COM 87612E106 1297 20,440 SH SOLE 20,130 0 310 Tortoise Energy Infrastructure COM 89147L100 625 15,440 SH SOLE 15,440 0 0 Travelers Companies Inc COM 89417E109 1540 22,560 SH SOLE 22,160 0 400 Tupperware Brands Corp COM 899896104 1860 34,715 SH SOLE 32,815 0 1900 UMB Financial Corp COM 902788108 1003 20,598 SH SOLE 20,598 0 0 Under Armour Inc Cl A CL A 904311107 841 15,070 SH SOLE 13,250 0 1820 United Parcel Service Inc Cl B CL B 911312106 545 7,610 SH SOLE 7,610 0 0 United Technologies Corp COM 913017109 1224 15,628 SH SOLE 15,338 0 290 VF Corp COM 918204108 1355 8,500 SH SOLE 8,340 0 160 Valeant Pharmaceuticals Intl COM 91911K102 529 9,570 SH SOLE 8,580 0 990 Valmont Inds Inc COM 920253101 309 2,350 SH SOLE 2,350 0 0 Vanguard Bond Index Fund INTERMED TERM 921937819 1008 11,165 SH SOLE 0 0 11165 Vanguard Total Bond Market ETF TOTAL BND MRKT 921937835 2444 28,705 SH SOLE 28,705 0 0 Vanguard Health Care ETF HEALTH CAR ETF 92204A504 3533 48,260 SH SOLE 47,540 0 720 Vanguard All-World Ex-US ETF ALLWRLD EX US 922042775 1515 35,260 SH SOLE 0 0 35260 Vanguard REIT Index ETF REIT ETF 922908553 3272 50,360 SH SOLE 49,610 0 750 Vanguard Mid Cap ETF MID CAP ETF 922908629 1057 13,020 SH SOLE 11,620 0 1400 Vanguard Total Stock Mkt STK MRK ETF 922908769 3696 50,185 SH SOLE 0 0 50185 Verizon Communications Inc COM 92343V104 2001 43,902 SH SOLE 43,902 0 0 Viacom Inc Cl B CL B 92553P201 245 4,575 SH SOLE 4,575 0 0 VMware Inc CL A COM 928563402 494 5,110 SH SOLE 4,570 0 540 Vodafone Airtouch Adr SPONS ADR NEW 92857W209 2028 71,156 SH SOLE 71,156 0 0 Wells Fargo & Co COM 949746101 397 11,500 SH SOLE 11,420 0 80 Wells Fargo Advantage Multi-Se COM SHS 94987D101 295 18,060 SH SOLE 18,060 0 0 Western Asset/Claymore Inflati COM 95766R104 625 46,500 SH SOLE 46,500 0 0 Western Asset Variable Rate St COM 957667108 288 15,625 SH SOLE 15,625 0 0 Windstream Corp Com COM 97381W104 1887 187,025 SH SOLE 187,025 0 0 Wynn Resorts Ltd COM 983134107 981 8,500 SH SOLE 7,495 0 1005