0001507971-13-000001.txt : 20130219
0001507971-13-000001.hdr.sgml : 20130219
20130215114753
ACCESSION NUMBER: 0001507971-13-000001
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121231
FILED AS OF DATE: 20130215
DATE AS OF CHANGE: 20130215
EFFECTIVENESS DATE: 20130215
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: 13618160
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
wsaam13f12312012.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, 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 February 11, 2013
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: 94
Form 13F Information Table Value Total: 139,797 (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 22,330.71 418,570 SH Sole 129,700 288,870
ABBOTT LABS COM COM 002824100 423.06 6,459 SH Sole 5,900 559
ABTECH HLDGS INC COM COM 00400H108 195.64 225,000 SH Sole 0 225,000
AES TR III TR PFD CONV SECS PFD 00808N202 1,062.51 21,400 SH Sole 14,900 6,500
AIR PRODS & CHEMS INC COM COM 009158106 397.16 4,727 SH Sole 0 4,727
ALTRIA GROUP INC COM COM 02209S103 240.52 7,650 SH Sole 0 7,650
AMCOL INTL CORP NEW COM 02341W103 2,277.22 74,225 SH Sole 51,200 23,025
AMERICAN INTL GROUP INC COM NE COM 026874784 263.66 7,469 SH Sole 0 7,469
AMERIGAS PARTNERS LTD PARTSHP COM 030975106 340.25 8,783 SH Sole 5,083 3,700
AT&T INC COM COM 00206R102 459.80 13,640 SH Sole 5,369 8,271
AVERY DENNISON CORP COM COM 053611109 1,253.28 35,890 SH Sole 24,200 11,690
AVNET INC COM COM 053807103 1,992.72 65,100 SH Sole 47,100 18,000
BANK AMER CORP 7.25% DEPOSITAR PFD 060505724 329.81 13,000 SH Sole 13,000 0
BARRICK GOLD CORP COM ISIN#CA0 COM 067901108 1,454.67 41,550 SH Sole 31,800 9,750
BAXTER INTL INC COM COM 071813109 216.00 3,240 SH Sole 0 3,240
BERKSHIRE HATHAWAY INC DEL CL COM 084670108 1,072.48 8 SH Sole 0 8
BERKSHIRE HATHAWAY INC DEL CL COM 084670702 1,092.28 12,177 SH Sole 1,750 10,427
BIOGEN IDEC INC COM COM 09062X103 292.74 2,000 SH Sole 0 2,000
BOEING CO COM COM 097023105 229.85 3,050 SH Sole 1,500 1,550
BP PLC SPONS ADR COM ADR 055622104 306.05 7,350 SH Sole 4,650 2,700
BRISTOL MYERS SQUIBB CO COM COM 110122108 393.07 12,061 SH Sole 11,581 480
CANADIAN NATURAL RES LTD ISIN# COM 136385101 2,491.02 86,284 SH Sole 52,634 33,650
CECO ENVIRONMENTAL CORP COM 125141101 1,206.93 121,300 SH Sole 77,000 44,300
CHEVRON CORP NEW COM COM 166764100 1205.00 11,143 SH Sole 6,461 4,682
CHUBB CORP COM 171232101 2,297.26 30,500 SH Sole 20,000 10,500
CINCINNATI FINL CORP COM COM 172062101 2,012.82 51,400 SH Sole 38,900 12,500
CISCO SYSTEMS INC COM 17275R102 2,407.14 122,504 SH Sole 66,600 55,904
CONOCOPHILLIPS COM COM 20825C104 2,979.30 51,376 SH Sole 40,047 11,329
CORNING INC COM COM 219350105 418.73 33,180 SH Sole 5,000 28,180
DISNEY WALT CO DISNEY COM COM 254687106 768.12 15,427 SH Sole 15,000 427
DU PONT E I DE NEMOURS & CO CO COM 263534109 2,784.50 61,908 SH Sole 42,692 19,216
EAGLE MATERIALS INC COM COM 26969P108 4,668.30 79,800 SH Sole 53,100 26,700
ENTROPIC COMMUNICATIONS INC CO COM 29384R105 73.53 13,900 SH Sole 0 13,900
EXXON MOBIL CORP COM COM 30231G102 4,767.00 55,078 SH Sole 34,301 20,777
FIDELITY NATL FINL INC CL A CO COM 31620R105 5,102.01 216,646 SH Sole 131,865 84,781
FIDELITY NATL INFORMATION SVCS COM 31620M106 2,858.78 82,125 SH Sole 50,715 31,410
FIRSTMERIT CORP COM COM 337915102 1,123.62 79,184 SH Sole 74,212 4,972
GENERAL ELECTRIC CO COM COM 369604103 436.42 20,792 SH Sole 9,524 11,268
GOOGLE INC CL A COM 38259P508 398.96 564 SH Sole 100 464
HALLIBURTON CO COM COM 406216101 263.40 7,593 SH Sole 0 7,593
HDFC BK LTD ADR REPSTG 3 SHS COM ADR 40415F101 366.48 9,000 SH Sole 0 9,000
HEMISPHERE GPS INC COM ISIN#CA COM 423633106 8.80 12,000 SH Sole 0 12,000
INTERNATIONAL BUSINESS MACHS C COM 459200101 728.46 3,803 SH Sole 2,000 1,803
ISHARES TR BARCLAYS 1-3 YR CR COM 464288646 906.13 8,590 SH Sole 0 8,590
ISHARES TR BARCLAYS TIPS BD FD COM 464287176 607.05 5,000 SH Sole 0 5,000
ISHARES TR RUSSELL 2000 VALUE COM 464287630 479.41 6,349 SH Sole 0 6,349
ISHARES TR S&P MIDCAP 400 GROW COM 464287606 238.43 2,084 SH Sole 0 2,084
ISHARES TR S&P NATL MUN BD FD COM 464288414 221.28 2,000 SH Sole 0 2,000
ISHARES TR S&P U S PFD STK IND COM 464288687 351.39 8,869 SH Sole 0 8,869
JOHNSON & JOHNSON COM COM 478160104 1,011.61 14,431 SH Sole 14,041 390
JP MORGAN CHASE & CO COM ISIN# COM 46625H100 243.63 5,541 SH Sole 1,075 4,466
KINDER MORGAN INC DEL COM COM 49456B101 5,231.37 147,562 SH Sole 98,025 49,537
KINDER MORGAN INC DEL WT EXP P Warrants 49456B119 1,327.02 351,064 SH Sole 241,632 109,432
KRAFT FOODS GROUP INC COM COM 50076Q106 218.53 4,806 SH Sole 2,500 2,306
LENDER PROCESSING SVCS INC COM COM 52602E102 913.36 37,098 SH Sole 20,336 16,762
LUMINEX CORP DEL COM COM 55027E102 3,593.01 213,900 SH Sole 68,600 145,300
MAIN STR CAP CORP COM COM 56035L104 3,697.81 121,200 SH Sole 84,700 36,500
MANULIFE FINL CORP COM ISIN#CA COM 56501R106 1,148.36 84,500 SH Sole 83,000 1,500
MARSH & MCLENNAN COS INC COM COM 571748102 241.08 6,994 SH Sole 0 6,994
MERCK & CO INC NEW COM COM 58933Y105 525.67 12,840 SH Sole 5,010 7,830
MICROSOFT CORP COM COM 594918104 2,265.66 87,325 SH Sole 44,900 42,425
MONDELEZ INTL INC CL A COM 609207105 367.04 14,420 SH Sole 7,500 6,920
NEW YORK CMNTY BANCORP INC COM COM 649445103 278.38 21,250 SH Sole 0 21,250
NORTHEAST UTILITIES COM 664397106 2,631.06 67,325 SH Sole 53,400 13,925
NORTHFIELD BANCORP INC NEW COM COM 66611L105 158.14 10,370 SH Sole 0 10,370
NORTHFIELD BANCORP INC PRIVATE COM 666994116 107.00 10,700 SH Sole 0 10,700
NYSE EURONEXT COM COM 629491101 1,104.18 35,009 SH Sole 0 35,009
OMEGA HEALTHCARE INVS INC COM COM 681936100 560.48 23,500 SH Sole 22,500 1,000
OXFORD LANE CAP CORP COM COM 691543102 2,123.81 138,000 SH Sole 112,150 25,850
PARK-OHIO HLDGS CORP COM COM 700666100 6,178.84 289,950 SH Sole 180,700 109,250
PEOPLES UTD FINL INC COM COM 712704105 503.77 41,668 SH Sole 37,268 4,400
PFIZER INC COM COM 717081103 1,832.59 73,072 SH Sole 53,806 19,266
PHILIP MORRIS INTL INC COM COM 718172109 222.48 2,660 SH Sole 0 2,660
PHILLIPS 66 COM COM 718546104 1,020.53 19,219 SH Sole 17,398 1,821
PLUM CREEK TIMBER CO INC COM COM 729251108 3,361.74 75,766 SH Sole 52,684 23,082
PROCTER & GAMBLE CO COM COM 742718109 205.19 3,022 SH Sole 2,650 372
PSYCHEMEDICS CORP COM NEW COM 744375205 1,629.97 151,625 SH Sole 105,700 45,925
PURE CYCLE CORP COM COM 746228303 1,197.10 423,005 SH Sole 243,500 179,505
REDWOOD TR INC COM COM 758075402 426.20 25,234 SH Sole 16,334 8,900
ROYAL DUTCH SHELL PLC SPONSORE COM ADR 780259206 330.96 4,800 SH Sole 3,300 1,500
SPDR S&P 500 ETF TR TR UNIT COM 78462F103 232.27 1,631 SH Sole 0 1,631
SPECTRA ENERGY CORP COM COM 847560109 2,272.54 83,000 SH Sole 66,450 16,550
SUBURBAN PROPANE PARTNERS L P COM 864482104 2,908.94 74,857 SH Sole 44,600 30,257
TEVA PHARMACEUTICAL INDUSTRIES COM ADR 881624209 1,984.62 53,150 SH Sole 37,650 15,500
THERMO FISHER SCIENTIFIC INC COM 883556102 318.90 5,000 SH Sole 0 5,000
TICC CAP CORP COM COM 87244T109 3,345.67 330,600 SH Sole 224,100 106,500
TIME WARNER CABLE INC COM COM 88732J207 366.11 3,767 SH Sole 1,673 2,094
TIME WARNER INC NEW COM NEW COM 887317303 678.18 14,179 SH Sole 6,666 7,513
TORTOISE MLP FD INC COM COM 89148B101 850.23 34,689 SH Sole 32,689 2,000
VERIZON COMMUNICATIONS COM COM 92343V104 337.64 7,803 SH Sole 1,738 6,065
VODAFONE GROUP PLC SPON ADR NE COM ADR 92857W209 229.53 9,112 SH Sole 2,412 6,700
WATTS WATER TECHNOLOGIES INC C COM 942749102 1,990.44 46,300 SH Sole 36,300 10,000
WELLS FARGO & CO NEW COM COM 949746101 227.88 6,667 SH Sole 6,167 500
WEYERHAEUSER CO COM 962166104 604.31 21,722 SH Sole 7,400 14,322