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