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