0001507971-12-000003.txt : 20120508 0001507971-12-000003.hdr.sgml : 20120508 20120508104455 ACCESSION NUMBER: 0001507971-12-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120331 FILED AS OF DATE: 20120508 DATE AS OF CHANGE: 20120508 EFFECTIVENESS DATE: 20120508 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: 12820124 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 wsaam13f03312012.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: March 31, 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: 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 May 3, 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: 101 Form 13F Information Table Value Total: 137,770 (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 15,665.16 665,470 SH Sole 223,050 442,420 AES TR III TR PFD CONV SECS PFD 00808N202 1,318.15 26,400 SH Sole 14,900 11,500 AIR PRODS & CHEMS INC COM COM 009158106 433.94 4,727 SH Sole 0 4,727 ALTRIA GROUP INC COM COM 02209S103 236.16 7,650 SH Sole 0 7,650 AMCOL INTL CORP NEW COM 02341W103 2,406.38 81,600 SH Sole 51,200 30,400 AMERIGAS PARTNERS LTD PARTSHP COM 030975106 355.89 8,783 SH Sole 5,083 3,700 AT&T INC COM COM 00206R102 486.88 15,590 SH Sole 5,749 9,841 AVNET INC COM COM 053807103 2,832.97 77,850 SH Sole 55,450 22,400 BANK AMER CORP 7.25% DEPOSITAR PFD 060505724 327.99 13,000 SH Sole 13,000 0 BERKSHIRE HATHAWAY INC DEL CL COM 084670108 1,219.00 10 SH Sole 0 10 BERKSHIRE HATHAWAY INC DEL CL COM 084670702 933.79 11,507 SH Sole 1,750 9,757 BIOGEN IDEC INC COM COM 09062X103 252.00 2,000 SH Sole 0 2,000 BLACKROCK INC COM COM 09247X101 217.19 1,060 SH Sole 0 1,060 BOEING CO COM COM 097023105 234.27 3,150 SH Sole 1,500 1,650 BP PLC SPONS ADR COM ADR 055622104 353.29 7,850 SH Sole 4,650 3,200 BPZ RES INC COM COM 055639108 132.18 32,800 SH Sole 0 32,800 BRISTOL MYERS SQUIBB CO COM COM 110122108 407.06 12,061 SH Sole 11,581 480 CANADIAN NATURAL RES LTD ISIN# COM 136385101 3,290.39 99,434 SH Sole 53,034 46,400 CECO ENVIRONMENTAL CORP COM 125141101 757.95 97,800 SH Sole 57,000 40,800 CHESAPEAKE ENERGY CORP COM 165167107 2,421.26 104,500 SH Sole 63,300 41,200 CHEVRON CORP NEW COM COM 166764100 1,413.41 13,183 SH Sole 6,961 6,222 CHUBB CORP COM 171232101 2,626.18 38,000 SH Sole 20,000 18,000 CINCINNATI FINL CORP COM COM 172062101 2,210.75 64,061 SH Sole 39,061 25,000 CISCO SYSTEMS INC COM 17275R102 1,181.23 55,850 SH Sole 34,200 21,650 COMPLETE GENOMICS INC COM COM 20454K104 124.08 44,000 SH Sole 0 44,000 CONOCOPHILLIPS COM COM 20825C104 2,921.82 38,440 SH Sole 34,797 3,643 CYBERONICS INC COM COM 23251P102 682.53 17,900 SH Sole 17,500 400 DISNEY WALT CO DISNEY COM COM 254687106 675.22 15,423 SH Sole 15,000 423 DU PONT E I DE NEMOURS & CO CO COM 263534109 3,396.60 64,208 SH Sole 42,692 21,516 EAGLE MATERIALS INC COM COM 26969P108 3,061.47 88,100 SH Sole 60,700 27,400 EL PASO CORP COM COM 28336L109 6,106.51 206,650 SH Sole 124,850 81,800 ENTROPIC COMMUNICATIONS INC CO COM 29384R105 81.04 13,900 SH Sole 0 13,900 EXXON MOBIL CORP COM COM 30231G102 6,420.45 74,028 SH Sole 34,501 39,527 FIDELITY NATL FINL INC CL A CO COM 31620R105 4,338.43 240,623 SH Sole 132,865 107,758 FIDELITY NATL INFORMATION SVCS COM 31620M106 3,101.06 91,125 SH Sole 50,715 40,410 FIRSTMERIT CORP COM COM 337915102 1,424.40 84,484 SH Sole 78,212 6,272 GABELLI MULTIMEDIA TR INC COM COM 36239Q109 152.04 21,000 SH Sole 0 21,000 GENERAL ELECTRIC CO COM COM 369604103 462.45 23,042 SH Sole 9,524 13,518 GLOBAL SHIP LEASE INC NEW COM COM Y27183105 315.00 90,000 SH Sole 40,000 50,000 GOOGLE INC CL A COM 38259P508 355.25 554 SH Sole 100 454 HDFC BK LTD ADR REPSTG 3 SHS COM ADR 40415F101 341.00 10,000 SH Sole 0 10,000 HEMISPHERE GPS INC COM ISIN#CA COM 423633106 9.85 12,000 SH Sole 0 12,000 HUDSON CITY BANCORP INC COM 443683107 955.31 130,600 SH Sole 103,400 27,200 INTEL CORP COM COM 458140100 286.47 10,189 SH Sole 4,380 5,809 INTERNATIONAL BUSINESS MACHS C COM 459200101 850.67 4,077 SH Sole 2,000 2,077 ISHARES TR BARCLAYS 1-3 YR CR COM 464288646 1,149.79 10,941 SH Sole 0 10,941 ISHARES TR BARCLAYS TIPS BD FD COM 464287176 588.25 5,000 SH Sole 0 5,000 ISHARES TR DOW JONES SELECT DI COM 464287168 319.36 5,707 SH Sole 0 5,707 ISHARES TR DOW JONES US OIL EQ COM 464288844 266.43 4,980 SH Sole 0 4,980 ISHARES TR RUSSELL 2000 VALUE COM 464287630 477.52 6,544 SH Sole 0 6,544 ISHARES TR S&P GLOBAL 100 INDE COM 464287572 422.87 6,650 SH Sole 0 6,650 ISHARES TR S&P MIDCAP 400 GROW COM 464287606 211.39 1,880 SH Sole 0 1,880 ISHARES TR S&P NATL MUN BD FD COM 464288414 218.80 2,000 SH Sole 0 2,000 ISHARES TR S&P U S PFD STK IND COM 464288687 295.81 7,577 SH Sole 0 7,577 IXIA COM COM 45071R109 140.68 11,250 SH Sole 0 11,250 JOHNSON & JOHNSON COM COM 478160104 951.87 14,431 SH Sole 14,041 390 JP MORGAN CHASE & CO COM ISIN# COM 46625H100 254.78 5,541 SH Sole 1,075 4,466 KRAFT FOODS INC CL A COM 50075N104 263.03 6,920 SH Sole 0 6,920 LENDER PROCESSING SVCS INC COM COM 52602E102 1,081.55 41,598 SH Sole 20,336 21,262 LUMINEX CORP DEL COM COM 55027E102 5,291.11 226,600 SH Sole 68,100 158,500 MAIN STR CAP CORP COM COM 56035L104 3,295.49 133,800 SH Sole 87,200 46,600 MANULIFE FINL CORP COM ISIN#CA COM 56501R106 1,244.14 92,000 SH Sole 83,000 9,000 MARSH & MCLENNAN COS INC COM COM 571748102 229.33 6,994 SH Sole 0 6,994 MERCK & CO INC NEW COM COM 58933Y105 493.06 12,840 SH Sole 5,010 7,830 MICROSOFT CORP COM COM 594918104 1,801.33 58,346 SH Sole 28,400 29,946 NEW YORK CMNTY BANCORP INC COM COM 649445103 272.64 19,600 SH Sole 0 19,600 NORTHEAST UTILITIES COM 664397106 2,677.28 72,125 SH Sole 53,600 18,525 NORTHFIELD BANCORP INC NEW COM COM 66611L105 147.46 10,370 SH Sole 0 10,370 NYSE EURONEXT COM COM 629491101 1,050.62 35,009 SH Sole 0 35,009 OMEGA HEALTHCARE INVS INC COM COM 681936100 499.61 23,500 SH Sole 22,500 1,000 OXFORD LANE CAP CORP COM COM 691543102 2,323.99 159,150 SH Sole 112,450 46,700 PARK-OHIO HLDGS CORP COM COM 700666100 5,912.91 294,908 SH Sole 175,655 119,253 PEOPLES UTD FINL INC COM COM 712704105 460.01 34,768 SH Sole 31,268 3,500 PERMIAN BASIN RTY TR UNIT BEN COM 714236106 208.12 9,100 SH Sole 7,800 1,300 PFIZER INC COM COM 717081103 1,869.84 82,572 SH Sole 53,806 28,766 PHILIP MORRIS INTL INC COM COM 718172109 235.70 2,660 SH Sole 0 2,660 PLUM CREEK TIMBER CO INC COM COM 729251108 3,500.02 84,216 SH Sole 53,434 30,782 POWERSHARES DB U S DLR INDEX T COM 73936D107 394.38 18,000 SH Sole 0 18,000 PROCTER & GAMBLE CO COM COM 742718109 203.13 3,022 SH Sole 2,650 372 PSYCHEMEDICS CORP COM NEW COM 744375205 1,632.08 166,200 SH Sole 105,700 60,500 PURE CYCLE CORP COM COM 746228303 977.98 436,600 SH Sole 248,300 188,300 REDWOOD TR INC COM COM 758075402 341.98 30,534 SH Sole 21,334 9,200 ROYAL DUTCH SHELL PLC SPONSORE COM ADR 780259206 336.62 4,800 SH Sole 3,300 1,500 SPDR GOLD TR GOLD SHS COM 78463V107 242.05 1,493 SH Sole 563 930 SPDR S&P 500 ETF TR TR UNIT COM 78462F103 224.31 1,593 SH Sole 0 1,593 SPECTRA ENERGY CORP COM COM 847560109 2,729.07 86,500 SH Sole 66,450 20,050 SUBURBAN PROPANE PARTNERS L P COM 864482104 1,258.83 29,275 SH Sole 15,600 13,675 TEVA PHARMACEUTICAL INDUSTRIES COM ADR 881624209 2,228.22 49,450 SH Sole 35,150 14,300 THERMO FISHER SCIENTIFIC INC COM 883556102 281.90 5,000 SH Sole 0 5,000 TICC CAP CORP COM COM 87244T109 3,942.75 404,800 SH Sole 268,600 136,200 TIME WARNER CABLE INC COM COM 88732J207 307.66 3,775 SH Sole 1,673 2,102 TIME WARNER INC NEW COM NEW COM 887317303 536.50 14,212 SH Sole 6,666 7,546 TITANIUM METALS CORP COM NEW COM 888339207 1,613.64 119,000 SH Sole 85,000 34,000 TORTOISE MLP FD INC COM COM 89148B101 888.73 34,689 SH Sole 32,689 2,000 UNIVERSAL DISPLAY CORP COM COM 91347P105 248.40 6,800 SH Sole 0 6,800 VERIZON COMMUNICATIONS COM COM 92343V104 317.42 8,303 SH Sole 1,738 6,565 VODAFONE GROUP PLC SPON ADR NE COM ADR 92857W209 252.13 9,112 SH Sole 2,412 6,700 WATTS WATER TECHNOLOGIES INC C COM 942749102 2,110.85 51,800 SH Sole 37,500 14,300 WELLS FARGO & CO NEW COM COM 949746101 241.27 7,067 SH Sole 6,167 900 WEYERHAEUSER CO COM 962166104 328.19 14,972 SH Sole 7,400 7,572 XEROX CORPORATION COM 984121103 202.28 25,050 SH Sole 300 24,750