0001507971-12-000002.txt : 20120131 0001507971-12-000002.hdr.sgml : 20120131 20120131135904 ACCESSION NUMBER: 0001507971-12-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120131 DATE AS OF CHANGE: 20120131 EFFECTIVENESS DATE: 20120131 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Wall Street Access Asset Management, LLC CENTRAL INDEX KEY: 0001507971 IRS NUMBER: 134152843 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14077 FILM NUMBER: 12558575 BUSINESS ADDRESS: STREET 1: 17 BATTERY PLACE STREET 2: 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 212 709-9400 MAIL ADDRESS: STREET 1: 17 BATTERY PLACE STREET 2: 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10004 13F-HR 1 wsaam13f12312011.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, 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: Wall Street Access Asset Management Address: 17 Battery Place New York, NY 10004 13F File Number: 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. Signing of Person Duly Authorized to Submit this Report: Name: Arthur Goetchius Title: Authorized Signatory Phone: 212 709-9400 Signature, Place, and Date of Signing: Arthur Goetchius New York, NY January 27, 2012 Report Type (Check only one.); [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: None Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 95 Form 13F Information Table Value Total: 121,249.69 (THOUSANDS) List of Other Included Managers: 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- ------- ---- 3D SYS CORP DEL COM NEW COM 88554D205 9,496.80 659,500 SH Sole 223,050 436,450 AES TR III TR PFD CONV SECS PFD 00808N202 1,467.79 29,900 SH Sole 18,400 11,500 AIR PRODS & CHEMS INC COM COM 009158106 402.69 4,727 SH Sole 0 4,727 ALTRIA GROUP INC COM COM 02209S103 226.82 7,650 SH Sole 0 7,650 AMCOL INTL CORP NEW COM 02341W103 2,258.09 84,100 SH Sole 53,700 30,400 AMERICAN INTL GROUP INC 7.7% E PFD 026874859 225.34 9,634 SH Sole 9,634 0 AMERIGAS PARTNERS LTD PARTSHP COM 030975106 403.23 8,783 SH Sole 5,083 3,700 AT&T INC COM COM 00206R102 455.87 15,075 SH Sole 5,749 9,326 AVNET INC COM COM 053807103 2,465.44 79,300 SH Sole 56,550 22,750 BANK AMER CORP 7.25% DEPOSITAR PFD 060505724 358.20 18,000 SH Sole 18,000 0 BERKSHIRE HATHAWAY INC DEL CL COM 084670108 1,147.55 10 SH Sole 0 10 BERKSHIRE HATHAWAY INC DEL CL COM 084670702 843.65 11,057 SH Sole 1,750 9,307 BIOGEN IDEC INC COM COM 09062X103 220.10 2,000 SH Sole 0 2,000 BLACKROCK MUNI INCOME INVESTME COM 09250G102 153.93 10,100 SH Sole 0 10,100 BOEING CO COM COM 097023105 231.05 3,150 SH Sole 1,500 1,650 BP PLC SPONS ADR COM ADR 055622104 335.51 7,850 SH Sole 4,650 3,200 BPZ RES INC COM COM 055639108 101.67 35,800 SH Sole 0 35,800 BRISTOL MYERS SQUIBB CO COM COM 110122108 381.05 10,813 SH Sole 10,333 480 CANADIAN NATURAL RES LTD ISIN# COM 136385101 3,715.85 99,434 SH Sole 53,034 46,400 CECO ENVIRONMENTAL CORP COM 125141101 550.88 97,500 SH Sole 57,000 40,500 CENTRAL EUROPEAN DISTR CORP CO COM 153435102 538.79 123,150 SH Sole 72,050 51,100 CHESAPEAKE ENERGY CORP COM 165167107 2,563.35 115,000 SH Sole 73,300 41,700 CHEVRON CORP NEW COM COM 166764100 1,402.67 13,183 SH Sole 6,961 6,222 CHUBB CORP COM 171232101 2,630.36 38,000 SH Sole 20,000 18,000 CINCINNATI FINL CORP COM COM 172062101 1,996.99 65,561 SH Sole 40,561 25,000 CISCO SYSTEMS INC COM 17275R102 302.81 16,748 SH Sole 11,700 5,048 CONOCOPHILLIPS COM COM 20825C104 2,801.12 38,440 SH Sole 34,797 3,643 CREDIT SUISSE HIGH YIELD BD FD COM 22544F103 43.20 15,000 SH Sole 5,000 10,000 CYBERONICS INC COM COM 23251P102 599.65 17,900 SH Sole 17,500 400 DISNEY WALT CO DISNEY COM COM 254687106 574.46 15,318 SH Sole 15,000 318 DU PONT E I DE NEMOURS & CO CO COM 263534109 3,010.40 65,758 SH Sole 44,192 21,566 EAGLE MATERIALS INC COM COM 26969P108 2,260.65 88,100 SH Sole 60,700 27,400 EL PASO CORP COM COM 28336L109 5,490.69 206,650 SH Sole 124,850 81,800 ENTROPIC COMMUNICATIONS INC CO COM 29384R105 71.03 13,900 SH Sole 0 13,900 EXXON MOBIL CORP COM COM 30231G102 6,295.80 74,278 SH Sole 34,501 39,777 FIDELITY NATL FINL INC CL A CO COM 31620R105 3,959.61 248,563 SH Sole 140,805 107,758 FIDELITY NATL INFORMATION SVCS COM 31620M106 2,361.86 91,325 SH Sole 50,915 40,410 FIRST COMWLTH FINL CORP PA COM COM 319829107 76.50 14,544 SH Sole 0 14,544 FIRSTMERIT CORP COM COM 337915102 1,278.24 84,484 SH Sole 78,212 6,272 GENERAL ELECTRIC CO COM COM 369604103 381.34 21,292 SH Sole 9,524 11,768 GLOBAL SHIP LEASE INC NEW COM COM Y27183105 230.78 127,500 SH Sole 77,500 50,000 GOOGLE INC CL A COM 38259P508 293.24 454 SH Sole 0 454 HDFC BK LTD ADR REPSTG 3 SHS COM ADR 40415F101 262.80 10,000 SH Sole 0 10,000 HEMISPHERE GPS INC COM ISIN#CA COM 423633106 7.70 12,000 SH Sole 0 12,000 HSBC HLDGS PLC 8.125% PERPETUA PFD 404280703 283.25 11,000 SH Sole 10,500 500 HUDSON CITY BANCORP INC COM 443683107 819.38 131,100 SH Sole 103,400 27,700 INTEL CORP COM COM 458140100 230.65 9,511 SH Sole 4,380 5,131 INTERNATIONAL BUSINESS MACHS C COM 459200101 580.33 3,156 SH Sole 1,000 2,156 ISHARES TR BARCLAYS 1-3 YR CR COM 464288646 973.23 9,340 SH Sole 0 9,340 ISHARES TR BARCLAYS TIPS BD FD COM 464287176 2,359.66 20,221 SH Sole 0 20,221 ISHARES TR DOW JONES SELECT DI COM 464287168 251.37 4,675 SH Sole 0 4,675 ISHARES TR RUSSELL 2000 VALUE COM 464287630 369.03 5,622 SH Sole 0 5,622 ISHARES TR S&P GLOBAL 100 INDE COM 464287572 333.15 5,750 SH Sole 0 5,750 ISHARES TR S&P NATL MUN BD FD COM 464288414 216.50 2,000 SH Sole 0 2,000 ISHARES TR S&P U S PFD STK IND COM 464288687 258.74 7,264 SH Sole 0 7,264 JOHNSON & JOHNSON COM COM 478160104 946.38 14,431 SH Sole 14,041 390 KRAFT FOODS INC CL A COM 50075N104 258.53 6,920 SH Sole 0 6,920 LENDER PROCESSING SVCS INC COM COM 52602E102 626.88 41,598 SH Sole 20,336 21,262 LUMINEX CORP DEL COM COM 55027E102 4,812.84 229,700 SH Sole 68,100 158,600 MAIN STR CAP CORP COM COM 56035L104 2,895.01 136,300 SH Sole 89,700 46,600 MANULIFE FINL CORP COM ISIN#CA COM 56501R106 977.04 92,000 SH Sole 83,000 9,000 MARSH & MCLENNAN COS INC COM COM 571748102 221.15 6,994 SH Sole 0 6,994 MERCK & CO INC NEW COM COM 58933Y105 411.31 10,910 SH Sole 5,010 5,900 MGT CAPITAL INVESTMENTS INC CO COM 55302P103 6.39 72,000 SH Sole 0 72,000 MICROSOFT CORP COM COM 594918104 861.16 33,172 SH Sole 9,945 23,227 NORTHEAST UTILITIES COM 664397106 2,787.31 77,275 SH Sole 58,650 18,625 NYSE EURONEXT COM COM 629491101 913.73 35,009 SH Sole 0 35,009 OMEGA HEALTHCARE INVS INC COM COM 681936100 454.73 23,500 SH Sole 22,500 1,000 OXFORD LANE CAP CORP COM COM 691543102 2,119.88 159,150 SH Sole 112,450 46,700 PARK-OHIO HLDGS CORP COM COM 700666100 5,015.77 281,153 SH Sole 166,000 115,153 PARTNERRE LTD SHS ISIN#BMG6852 COM G6852T105 1,040.20 16,200 SH Sole 16,200 0 PEOPLES UTD FINL INC COM COM 712704105 478.90 37,268 SH Sole 33,768 3,500 PERMIAN BASIN RTY TR UNIT BEN COM 714236106 236.29 11,600 SH Sole 10,300 1,300 PFIZER INC COM COM 717081103 1,884.24 87,072 SH Sole 58,806 28,266 PHILIP MORRIS INTL INC COM COM 718172109 208.76 2,660 SH Sole 0 2,660 PLUM CREEK TIMBER CO INC COM COM 729251108 3,114.33 85,184 SH Sole 54,434 30,750 PROCTER & GAMBLE CO COM COM 742718109 201.62 3,022 SH Sole 2,650 372 PSYCHEMEDICS CORP COM NEW COM 744375205 1,557.92 171,200 SH Sole 110,700 60,500 PURE CYCLE CORP COM COM 746228303 776.63 413,100 SH Sole 248,300 164,800 REDWOOD TR INC COM COM 758075402 311.85 30,634 SH Sole 21,334 9,300 ROYAL DUTCH SHELL PLC SPONSORE COM ADR 780259206 350.83 4,800 SH Sole 3,300 1,500 SPDR GOLD TR GOLD SHS COM 78463V107 211.72 1,393 SH Sole 563 830 SPECTRA ENERGY CORP COM COM 847560109 2,661.41 86,550 SH Sole 66,450 20,100 STATE AUTO FINANCIAL CORP COM 855707105 1,134.77 83,500 SH Sole 57,000 26,500 SUBURBAN PROPANE PARTNERS L P COM 864482104 1,399.97 29,405 SH Sole 17,100 12,305 TEVA PHARMACEUTICAL INDUSTRIES COM ADR 881624209 1,947.37 50,750 SH Sole 36,650 14,100 THERMO FISHER SCIENTIFIC INC COM 883556102 224.85 5,000 SH Sole 0 5,000 TICC CAP CORP COM COM 87244T109 3,632.13 419,900 SH Sole 283,600 136,300 TIME WARNER CABLE INC COM COM 88732J207 239.47 3,767 SH Sole 1,673 2,094 TIME WARNER INC NEW COM NEW COM 887317303 512.43 14,179 SH Sole 6,666 7,513 TITANIUM METALS CORP COM NEW COM 888339207 888.31 59,300 SH Sole 44,500 14,800 TORTOISE MLP FD INC COM COM 89148B101 958.36 37,189 SH Sole 35,189 2,000 VERIZON COMMUNICATIONS COM COM 92343V104 390.89 9,743 SH Sole 1,738 8,005 VODAFONE GROUP PLC SPON ADR NE COM ADR 92857W209 255.41 9,112 SH Sole 2,412 6,700 WATTS WATER TECHNOLOGIES INC C COM 942749102 1,772.08 51,800 SH Sole 37,500 14,300