0001507971-12-000005.txt : 20121114
0001507971-12-000005.hdr.sgml : 20121114
20121114130226
ACCESSION NUMBER: 0001507971-12-000005
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120930
FILED AS OF DATE: 20121114
DATE AS OF CHANGE: 20121114
EFFECTIVENESS DATE: 20121114
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: 121202724
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
wsaam13f09302012.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: 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: 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 November 14, 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: 93
Form 13F Information Table Value Total: 136,858 (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 17,784.14 541,374 SH Sole 176,254 365,120
ABBOTT LABS COM COM 002824100 442.83 6,459 SH Sole 5,900 559
AES TR III TR PFD CONV SECS PFD 00808N202 1,067.22 21,400 SH Sole 14,900 6,500
AIR PRODS & CHEMS INC COM COM 009158106 390.92 4,727 SH Sole 0 4,727
ALTRIA GROUP INC COM COM 02209S103 255.43 7,650 SH Sole 0 7,650
AMCOL INTL CORP NEW COM 02341W103 2,578.27 76,100 SH Sole 51,200 24,900
AMERIGAS PARTNERS LTD PARTSHP COM 030975106 383.47 8,783 SH Sole 5,083 3,700
AT&T INC COM COM 00206R102 514.23 13,640 SH Sole 5,749 7,891
AVNET INC COM COM 053807103 2,149.76 73,900 SH Sole 53,200 20,700
BANK AMER CORP 7.25% DEPOSITAR PFD 060505724 331.50 13,000 SH Sole 13,000 0
BARRICK GOLD CORP COM ISIN#CA0 COM 067901108 2,326.03 55,700 SH Sole 41,000 14,700
BERKSHIRE HATHAWAY INC DEL CL COM 084670108 1,061.60 8 SH Sole 0 8
BERKSHIRE HATHAWAY INC DEL CL COM 084670702 1,076.39 12,204 SH Sole 1,750 10,454
BIOGEN IDEC INC COM COM 09062X103 298.42 2,000 SH Sole 0 2,000
BOEING CO COM COM 097023105 219.22 3,150 SH Sole 1,500 1,650
BP PLC SPONS ADR COM ADR 055622104 311.35 7,350 SH Sole 4,650 2,700
BRISTOL MYERS SQUIBB CO COM COM 110122108 407.06 12,061 SH Sole 11,581 480
CANADIAN NATURAL RES LTD ISIN# COM 136385101 2,926.10 95,034 SH Sole 52,634 42,400
CECO ENVIRONMENTAL CORP COM 125141101 955.50 97,800 SH Sole 57,000 40,800
CHEVRON CORP NEW COM COM 166764100 1,333.80 11,443 SH Sole 6,761 4,682
CHUBB CORP COM 171232101 2,326.54 30,500 SH Sole 20,000 10,500
CINCINNATI FINL CORP COM COM 172062101 1,952.62 51,561 SH Sole 39,061 12,500
CISCO SYSTEMS INC COM 17275R102 2,388.68 125,095 SH Sole 66,600 58,495
CONCUR TECHNOLOGIES INC COM COM 206708109 213.82 2,900 SH Sole 0 2,900
CONOCOPHILLIPS COM COM 20825C104 2,251.52 39,376 SH Sole 35,547 3,829
CORNING INC COM COM 219350105 388.98 29,580 SH Sole 5,000 24,580
DISNEY WALT CO DISNEY COM COM 254687106 806.31 15,423 SH Sole 15,000 423
DU PONT E I DE NEMOURS & CO CO COM 263534109 3,021.63 60,108 SH Sole 42,692 17,416
EAGLE MATERIALS INC COM COM 26969P108 3,737.81 80,800 SH Sole 53,900 26,900
ENTROPIC COMMUNICATIONS INC CO COM 29384R105 80.90 13,900 SH Sole 0 13,900
EXXON MOBIL CORP COM COM 30231G102 5,059.75 55,328 SH Sole 34,401 20,927
FIDELITY NATL FINL INC CL A CO COM 31620R105 4,741.01 221,646 SH Sole 131,865 89,781
FIDELITY NATL INFORMATION SVCS COM 31620M106 2,626.38 84,125 SH Sole 50,715 33,410
FIRSTMERIT CORP COM COM 337915102 1,164.80 79,184 SH Sole 74,212 4,972
FORD MOTOR CO DEL COM PAR COM 345370860 141.26 14,327 SH Sole 1,827 12,500
GENERAL ELECTRIC CO COM COM 369604103 472.19 20,792 SH Sole 9,524 11,268
GLOBAL SHIP LEASE INC NEW COM COM Y27183105 221.65 65,000 SH Sole 40,000 25,000
GOOGLE INC CL A COM 38259P508 425.54 564 SH Sole 100 464
HDFC BK LTD ADR REPSTG 3 SHS COM ADR 40415F101 375.80 10,000 SH Sole 0 10,000
HEMISPHERE GPS INC COM ISIN#CA COM 423633106 8.42 12,000 SH Sole 0 12,000
INTEL CORP COM COM 458140100 215.48 9,511 SH Sole 4,380 5,131
INTERNATIONAL BUSINESS MACHS C COM 459200101 845.77 4,077 SH Sole 2,000 2,077
ISHARES TR BARCLAYS 1-3 YR CR COM 464288646 937.09 8,860 SH Sole 0 8,860
ISHARES TR BARCLAYS TIPS BD FD COM 464287176 608.80 5,000 SH Sole 0 5,000
ISHARES TR RUSSELL 2000 VALUE COM 464287630 473.88 6,409 SH Sole 0 6,409
ISHARES TR S&P MIDCAP 400 GROW COM 464287606 233.32 2,084 SH Sole 0 2,084
ISHARES TR S&P NATL MUN BD FD COM 464288414 224.00 2,000 SH Sole 0 2,000
ISHARES TR S&P U S PFD STK IND COM 464288687 355.31 8,914 SH Sole 0 8,914
JOHNSON & JOHNSON COM COM 478160104 994.44 14,431 SH Sole 14,041 390
JP MORGAN CHASE & CO COM ISIN# COM 46625H100 224.30 5,541 SH Sole 1,075 4,466
KINDER MORGAN INC DEL COM COM 49456B101 4,749.13 133,703 SH Sole 88,067 45,636
KINDER MORGAN INC DEL WT EXP P Warrants 49456B119 1,241.69 355,784 SH Sole 225,032 130,752
KRAFT FOODS INC CL A COM 50075N104 596.27 14,420 SH Sole 7,500 6,920
LENDER PROCESSING SVCS INC COM COM 52602E102 1,062.55 38,098 SH Sole 20,336 17,762
LUMINEX CORP DEL COM COM 55027E102 4,375.94 225,100 SH Sole 69,100 156,000
MAIN STR CAP CORP COM COM 56035L104 3,623.83 122,800 SH Sole 86,200 36,600
MANULIFE FINL CORP COM ISIN#CA COM 56501R106 1,107.68 93,000 SH Sole 83,000 9,000
MARSH & MCLENNAN COS INC COM COM 571748102 237.31 6,994 SH Sole 0 6,994
MERCK & CO INC NEW COM COM 58933Y105 579.02 12,840 SH Sole 5,010 7,830
MICROSOFT CORP COM COM 594918104 2,583.56 86,811 SH Sole 44,900 41,911
NEW YORK CMNTY BANCORP INC COM COM 649445103 264.08 18,650 SH Sole 0 18,650
NORTHEAST UTILITIES COM 664397106 2,577.66 67,425 SH Sole 53,400 14,025
NORTHFIELD BANCORP INC NEW COM COM 66611L105 166.13 10,370 SH Sole 0 10,370
NYSE EURONEXT COM COM 629491101 862.97 35,009 SH Sole 0 35,009
OMEGA HEALTHCARE INVS INC COM COM 681936100 534.15 23,500 SH Sole 22,500 1,000
OXFORD LANE CAP CORP COM COM 691543102 2,211.61 144,550 SH Sole 112,450 32,100
PARK-OHIO HLDGS CORP COM COM 700666100 6,282.25 289,905 SH Sole 178,255 111,650
PEOPLES UTD FINL INC COM COM 712704105 508.28 41,868 SH Sole 37,268 4,600
PFIZER INC COM COM 717081103 1,870.51 75,272 SH Sole 53,806 21,466
PHILIP MORRIS INTL INC COM COM 718172109 239.24 2,660 SH Sole 0 2,660
PHILLIPS 66 COM COM 718546104 891.18 19,219 SH Sole 17,398 1,821
PLUM CREEK TIMBER CO INC COM COM 729251108 3,330.70 75,966 SH Sole 52,684 23,282
PROCTER & GAMBLE CO COM COM 742718109 209.63 3,022 SH Sole 2,650 372
PSYCHEMEDICS CORP COM NEW COM 744375205 1,883.76 156,000 SH Sole 105,700 50,300
PURE CYCLE CORP COM COM 746228303 836.62 365,605 SH Sole 221,300 144,305
REDWOOD TR INC COM COM 758075402 403.93 27,934 SH Sole 18,834 9,100
ROYAL DUTCH SHELL PLC SPONSORE COM ADR 780259206 333.17 4,800 SH Sole 3,300 1,500
SPDR S&P 500 ETF TR TR UNIT COM 78462F103 234.82 1,631 SH Sole 0 1,631
SPECTRA ENERGY CORP COM COM 847560109 2,441.28 83,150 SH Sole 66,450 16,700
SUBURBAN PROPANE PARTNERS L P COM 864482104 2,742.04 66,297 SH Sole 39,600 26,697
TEVA PHARMACEUTICAL INDUSTRIES COM ADR 881624209 2,138.83 51,650 SH Sole 37,150 14,500
THERMO FISHER SCIENTIFIC INC COM 883556102 294.15 5,000 SH Sole 0 5,000
TICC CAP CORP COM COM 87244T109 3,932.24 378,100 SH Sole 266,600 115,500
TIME WARNER CABLE INC COM COM 88732J207 358.09 3,767 SH Sole 1,673 2,094
TIME WARNER INC NEW COM NEW COM 887317303 642.80 14,179 SH Sole 6,666 7,513
TITANIUM METALS CORP COM NEW COM 888339207 1,865.49 130,400 SH Sole 95,500 34,900
TORTOISE MLP FD INC COM COM 89148B101 879.37 34,689 SH Sole 32,689 2,000
VERIZON COMMUNICATIONS COM COM 92343V104 355.58 7,803 SH Sole 1,738 6,065
VODAFONE GROUP PLC SPON ADR NE COM ADR 92857W209 259.69 9,112 SH Sole 2,412 6,700
WAL MART STORES INC COM COM 931142103 212.77 2,883 SH Sole 2,283 600
WATTS WATER TECHNOLOGIES INC C COM 942749102 1,808.27 47,800 SH Sole 37,500 10,300
WELLS FARGO & CO NEW COM COM 949746101 230.21 6,667 SH Sole 6,167 500
WEYERHAEUSER CO COM 962166104 567.81 21,722 SH Sole 8,400 13,322