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