0001085146-11-001040.txt : 20111024
0001085146-11-001040.hdr.sgml : 20111024
20111024170636
ACCESSION NUMBER: 0001085146-11-001040
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110930
FILED AS OF DATE: 20111024
DATE AS OF CHANGE: 20111024
EFFECTIVENESS DATE: 20111024
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Narwhal Capital Management
CENTRAL INDEX KEY: 0001461287
IRS NUMBER: 202969572
STATE OF INCORPORATION: GA
FISCAL YEAR END: 1208
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-13509
FILM NUMBER: 111154977
BUSINESS ADDRESS:
STREET 1: 531 ROSELANE STREET
STREET 2: SUITE 420
CITY: MARIETTA
STATE: GA
ZIP: 30060
BUSINESS PHONE: 770-344-0172
MAIL ADDRESS:
STREET 1: 531 ROSELANE STREET
STREET 2: SUITE 420
CITY: MARIETTA
STATE: GA
ZIP: 30060
13F-HR
1
narw3q2011.txt
NARWHAL CAPITAL MANAGEMENT
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, 2011
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: Narwhal Capital Management
Address: 531 Roselane Street, Suite 420
Marietta, GA 30060
13F File Number: 028-13509
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: Matt Burton
Title: Chief Compliance Officer
Phone: 770-344-0172
Signature, Place, and Date of Signing:
/s/ Matt Burton Marietta, GA October 20, 2011
Report Type (Check only one.):
[ X] 13F HOLDINGS REPORT.
[ ] 13F NOTICE.
[ ] 13F COMBINATION REPORT.
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 133
Form 13F Information Table Value Total: $167,805 (thousands)
List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all
institutional managers with respect to which this report is filed, other
than the manager filing this report.
NONE
FORM 13F INFORMATION TABLE
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
3M CO COM 88579Y101 1091 15200 SH SOLE 15200 0 0
ABBOTT LABS COM 002824100 606 11850 SH SOLE 11850 0 0
ACTIVISION BLIZZARD INC COM 00507V109 565 47500 SH SOLE 47500 0 0
ADECOAGRO S A COM L00849106 604 70100 SH SOLE 70100 0 0
ADOBE SYS INC COM 00724F101 596 24650 SH SOLE 24650 0 0
AES CORP COM 00130H105 888 90950 SH SOLE 90950 0 0
ALLIANCE RES PARTNER L P UT LTD PART 01877R108 918 14000 SH SOLE 14000 0 0
ALTRIA GROUP INC COM 02209S103 1313 48985 SH SOLE 48985 0 0
AMAZON COM INC COM 023135106 1654 7650 SH SOLE 7650 0 0
AMGEN INC COM 031162100 1014 18455 SH SOLE 18455 0 0
ANNALY CAP MGMT INC COM 035710409 1277 76800 SH SOLE 76800 0 0
APPLE INC COM 037833100 3692 9682 SH SOLE 9682 0 0
ARCHER DANIELS MIDLAND CO COM 039483102 1007 40575 SH SOLE 40575 0 0
ASSURED GUARANTY LTD COM G0585R106 618 56200 SH SOLE 56200 0 0
AT&T INC COM 00206R102 1754 61512 SH SOLE 61512 0 0
BANK OF AMERICA CORPORATION COM 060505104 657 107392 SH SOLE 107392 0 0
BHP BILLITON LTD SPONSORED ADR 088606108 500 7520 SH SOLE 7520 0 0
BOEING CO COM 097023105 772 12750 SH SOLE 12750 0 0
BP PLC SPONSORED ADR 055622104 1439 39900 SH SOLE 39900 0 0
BT GROUP PLC ADR 05577E101 842 31600 SH SOLE 31600 0 0
BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 1677 26825 SH SOLE 26825 0 0
CATERPILLAR INC DEL COM 149123101 1019 13800 SH SOLE 13800 0 0
CEMEX SAB DE CV SPON ADR NEW 151290889 205 64943 SH SOLE 64943 0 0
CENTRAL FD CDA LTD CL A 153501101 414 20000 SH SOLE 20000 0 0
CENTURYLINK INC COM 156700106 476 14375 SH SOLE 14375 0 0
CHESAPEAKE ENERGY CORP COM 165167107 332 13000 SH SOLE 13000 0 0
CHEVRON CORP NEW COM 166764100 2499 26993 SH SOLE 26993 0 0
CISCO SYS INC COM 17275R102 1472 94983 SH SOLE 94983 0 0
CITIGROUP INC COM NEW 172967424 633 24700 SH SOLE 24700 0 0
COCA COLA CO COM 191216100 2424 35881 SH SOLE 35881 0 0
COCA COLA FEMSA S A B DE C V SPON ADR REP L 191241108 1171 13200 SH SOLE 13200 0 0
COLGATE PALMOLIVE CO COM 194162103 266 3000 SH SOLE 3000 0 0
COMCAST CORP NEW CL A 20030N101 272 13000 SH SOLE 13000 0 0
CONOCOPHILLIPS COM 20825C104 1564 24700 SH SOLE 24700 0 0
CONSTELLATION ENERGY GROUP I COM 210371100 723 19000 SH SOLE 19000 0 0
COPANO ENERGY L L C COM UNITS 217202100 537 18000 SH SOLE 18000 0 0
CORNING INC COM 219350105 555 44900 SH SOLE 44900 0 0
COVIDIEN PLC SHS G2554F113 1109 25150 SH SOLE 25150 0 0
DELL INC COM 24702R101 436 30800 SH SOLE 30800 0 0
DIAGEO P L C SPON ADR NEW 25243Q205 793 10450 SH SOLE 10450 0 0
E M C CORP MASS COM 268648102 1215 57900 SH SOLE 57900 0 0
EBAY INC COM 278642103 1550 52550 SH SOLE 52550 0 0
EL PASO PIPELINE PARTNERS L COM UNIT LPI 283702108 291 8200 SH SOLE 8200 0 0
ENI S P A SPONSORED ADR 26874R108 940 26750 SH SOLE 26750 0 0
ENTERPRISE PRODS PARTNERS L COM 293792107 1012 25216 SH SOLE 25216 0 0
ETFS GOLD TR SHS 26922Y105 902 5600 SH SOLE 5600 0 0
EXELON CORP COM 30161N101 2497 58612 SH SOLE 58612 0 0
EXXON MOBIL CORP COM 30231G102 3813 52498 SH SOLE 52498 0 0
EZCHIP SEMICONDUCTOR LIMITED ORD M4146Y108 339 10200 SH SOLE 10200 0 0
FEDERATED INVS INC PA CL B 314211103 490 27975 SH SOLE 27975 0 0
FIDUS INVT CORP COM 316500107 151 12000 SH SOLE 12000 0 0
FIRST SOLAR INC COM 336433107 734 11605 SH SOLE 11605 0 0
FORD MTR CO DEL COM PAR $0.01 345370860 789 81600 SH SOLE 81600 0 0
GENERAL DYNAMICS CORP COM 369550108 1529 26871 SH SOLE 26871 0 0
GENERAL ELECTRIC CO COM 369604103 1832 120350 SH SOLE 120350 0 0
GENERAL MLS INC COM 370334104 889 23100 SH SOLE 23100 0 0
GENERAL MTRS CO COM 37045V100 1101 54550 SH SOLE 54550 0 0
GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 888 21500 SH SOLE 21500 0 0
GOLDMAN SACHS GROUP INC COM 38141G104 1685 17822 SH SOLE 17822 0 0
GOOGLE INC CL A 38259P508 1577 3062 SH SOLE 3062 0 0
HCP INC COM 40414L109 954 27200 SH SOLE 27200 0 0
HEWLETT PACKARD CO COM 428236103 466 20750 SH SOLE 20750 0 0
HOME DEPOT INC COM 437076102 2036 61946 SH SOLE 61946 0 0
HONDA MOTOR LTD AMERN SHS 438128308 437 15000 SH SOLE 15000 0 0
INTEL CORP COM 458140100 2110 98879 SH SOLE 98879 0 0
INTERNATIONAL BUSINESS MACHS COM 459200101 3028 17316 SH SOLE 17316 0 0
ISHARES GOLD TRUST ISHARES 464285105 301 19000 SH SOLE 19000 0 0
ISHARES INC MSCI CDA INDEX 464286509 933 36600 SH SOLE 36600 0 0
ISHARES INC MSCI JAPAN 464286848 151 16000 SH SOLE 16000 0 0
ISHARES SILVER TRUST ISHARES 46428Q109 2411 83400 SH SOLE 83400 0 0
ISHARES TR S&P 500 INDEX 464287200 841 7400 SH SOLE 7400 0 0
ISHARES TR DJ US FINL SEC 464287788 278 6300 SH SOLE 6300 0 0
ISHARES TR DJ INTL SEL DIVD 464288448 848 29950 SH SOLE 29950 0 0
ITT CORP NEW COM 450911102 649 15450 SH SOLE 15450 0 0
JDS UNIPHASE CORP COM PAR $0.001 46612J507 207 20800 SH SOLE 20800 0 0
JOHNSON & JOHNSON COM 478160104 3257 51131 SH SOLE 51131 0 0
JPMORGAN CHASE & CO COM 46625H100 2292 76091 SH SOLE 76091 0 0
KIMBERLY CLARK CORP COM 494368103 1040 14650 SH SOLE 14650 0 0
KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 1426 20850 SH SOLE 20850 0 0
KRAFT FOODS INC CL A 50075N104 1125 33500 SH SOLE 33500 0 0
L-3 COMMUNICATIONS HLDGS INC COM 502424104 2063 33283 SH SOLE 33283 0 0
LABORATORY CORP AMER HLDGS COM NEW 50540R409 729 9225 SH SOLE 9225 0 0
LILLY ELI & CO COM 532457108 396 10700 SH SOLE 10700 0 0
LOCKHEED MARTIN CORP COM 539830109 1264 17400 SH SOLE 17400 0 0
LORILLARD INC COM 544147101 1489 13450 SH SOLE 13450 0 0
MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 1622 26850 SH SOLE 26850 0 0
MANITOWOC INC COM 563571108 101 15000 SH SOLE 15000 0 0
MEDTRONIC INC COM 585055106 894 26900 SH SOLE 26900 0 0
MICROSOFT CORP COM 594918104 2811 112931 SH SOLE 112931 0 0
MOLSON COORS BREWING CO CL B 60871R209 1242 31350 SH SOLE 31350 0 0
NEXTERA ENERGY INC COM 65339F101 1788 33097 SH SOLE 33097 0 0
NOKIA CORP SPONSORED ADR 654902204 351 62000 SH SOLE 62000 0 0
NORTHROP GRUMMAN CORP COM 666807102 1603 30719 SH SOLE 30719 0 0
NOVARTIS A G SPONSORED ADR 66987V109 1154 20700 SH SOLE 20700 0 0
OMNICOM GROUP INC COM 681919106 266 7221 SH SOLE 7221 0 0
OPLINK COMMUNICATIONS INC COM NEW 68375Q403 227 15000 SH SOLE 15000 0 0
PEPSICO INC COM 713448108 291 4700 SH SOLE 4700 0 0
PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 740 32950 SH SOLE 32950 0 0
PFIZER INC COM 717081103 2331 131833 SH SOLE 131833 0 0
PHILIP MORRIS INTL INC COM 718172109 3128 50142 SH SOLE 50142 0 0
PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 1021 17325 SH SOLE 17325 0 0
PROCTER & GAMBLE CO COM 742718109 2869 45404 SH SOLE 45404 0 0
PROGRESS ENERGY INC COM 743263105 310 6000 SH SOLE 6000 0 0
QUEST DIAGNOSTICS INC COM 74834L100 365 7400 SH SOLE 7400 0 0
RAYTHEON CO COM NEW 755111507 1406 34400 SH SOLE 34400 0 0
REYNOLDS AMERICAN INC COM 761713106 915 24400 SH SOLE 24400 0 0
RIO TINTO PLC SPONSORED ADR 767204100 692 15700 SH SOLE 15700 0 0
ROYAL BK CDA MONTREAL QUE COM 780087102 263 5750 SH SOLE 5750 0 0
SANOFI SPONSORED ADR 80105N105 579 17650 SH SOLE 17650 0 0
SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 2440 22400 SH SOLE 22400 0 0
SPDR GOLD TRUST GOLD SHS 78463V107 5969 37765 SH SOLE 37765 0 0
SPRINT NEXTEL CORP COM SER 1 852061100 471 155000 SH CALL SOLE 155000 0 0
SUNOCO LOGISTICS PRTNRS L P COM UNITS 86764L108 885 10000 SH SOLE 10000 0 0
TC PIPELINES LP UT COM LTD PRT 87233Q108 1323 30175 SH SOLE 30175 0 0
TE CONNECTIVITY LTD REG SHS H84989104 1252 44500 SH SOLE 44500 0 0
TELECOM CORP NEW ZEALAND LTD SPONSORED ADR 879278208 375 38000 SH SOLE 38000 0 0
TELEFONICA S A SPONSORED ADR 879382208 398 20800 SH SOLE 20800 0 0
TEVA PHARMACEUTICAL INDS LTD ADR 881624209 999 26850 SH SOLE 26850 0 0
TRANSCANADA CORP COM 89353D107 917 22650 SH SOLE 22650 0 0
TUPPERWARE BRANDS CORP COM 899896104 1703 31690 SH SOLE 31690 0 0
TYCO INTERNATIONAL LTD SHS H89128104 1138 27925 SH SOLE 27925 0 0
UNITEDHEALTH GROUP INC COM 91324P102 2862 62050 SH SOLE 62050 0 0
VALE S A ADR 91912E105 319 14000 SH SOLE 14000 0 0
VEOLIA ENVIRONNEMENT SPONSORED ADR 92334N103 278 19100 SH SOLE 19100 0 0
VERIZON COMMUNICATIONS INC COM 92343V104 806 21900 SH SOLE 21900 0 0
VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 582 22700 SH SOLE 22700 0 0
VULCAN MATLS CO COM 929160109 16824 610434 SH SOLE 610434 0 0
WAL MART STORES INC COM 931142103 1193 22978 SH SOLE 22978 0 0
WASTE MGMT INC DEL COM 94106L109 1692 51975 SH SOLE 51975 0 0
WELLPOINT INC COM 94973V107 1204 18450 SH SOLE 18450 0 0
WELLS FARGO & CO NEW COM 949746101 594 24625 SH SOLE 24625 0 0
WHIRLPOOL CORP COM 963320106 711 14250 SH SOLE 14250 0 0
ZIMMER HLDGS INC COM 98956P102 562 10500 SH SOLE 10500 0 0