0001507971-13-000002.txt : 20130514
0001507971-13-000002.hdr.sgml : 20130514
20130514143213
ACCESSION NUMBER: 0001507971-13-000002
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130331
FILED AS OF DATE: 20130514
DATE AS OF CHANGE: 20130514
EFFECTIVENESS DATE: 20130514
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: 13840875
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
wsaam13f03282013.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, 2013
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 14, 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: 98
Form 13F Information Table Value Total: 156,149 (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 16,732.05 518,705 SH Sole 180,975 337,730
ABBOTT LABS COM COM 002824100 228.13 6,459 SH Sole 5,900 559
ABBVIE INC COM COM 00287Y109 2,275.52 55,800 SH Sole 31,000 24,800
ABTECH HLDGS INC COM COM 00400H108 150.75 225,000 SH Sole 0 225,000
AERCAP HOLDINGS NV COM N00985106 154.50 10,000 SH Sole 0 10,000
AES TR III TR PFD CONV SECS PFD 00808N202 1,051.90 20,900 SH Sole 14,900 6,000
AIR PRODS & CHEMS INC COM COM 009158106 348.48 4,000 SH Sole 0 4,000
ALTRIA GROUP INC COM COM 02209S103 263.08 7,650 SH Sole 0 7,650
AMCOL INTL CORP NEW COM 02341W103 2,225.76 73,725 SH Sole 50,700 23,025
AMERICAN INTL GROUP INC COM NE COM 026874784 309.82 7,981 SH Sole 0 7,981
AMERICAN VANGUARD CORP COM COM 030371108 1,450.65 47,500 SH Sole 29,000 18,500
AMERIGAS PARTNERS LTD PARTSHP COM 030975106 394.62 8,783 SH Sole 5,083 3,700
AT&T INC COM COM 00206R102 468.82 12,778 SH Sole 5,369 7,409
AVERY DENNISON CORP COM COM 053611109 1,541.48 35,790 SH Sole 24,200 11,590
AVNET INC COM COM 053807103 2,257.07 62,350 SH Sole 46,850 15,500
BANK AMER CORP 7.25% DEPOSITAR PFD 060505724 335.53 13,000 SH Sole 13,000 0
BARRICK GOLD CORP COM ISIN#CA0 COM 067901108 2,081.52 70,800 SH Sole 48,500 22,300
BAXTER INTL INC COM COM 071813109 235.38 3,240 SH Sole 0 3,240
BERKSHIRE HATHAWAY INC DEL CL COM 084670108 1,250.24 8 SH Sole 0 8
BERKSHIRE HATHAWAY INC DEL CL COM 084670702 1,279.26 12,277 SH Sole 1,750 10,527
BIOGEN IDEC INC COM COM 09062X103 385.24 2,000 SH Sole 0 2,000
BOEING CO COM COM 097023105 236.09 2,750 SH Sole 1,400 1,350
BP PLC SPONS ADR COM ADR 055622104 311.27 7,350 SH Sole 4,650 2,700
BRISTOL MYERS SQUIBB CO COM COM 110122108 496.79 12,061 SH Sole 11,581 480
CANADIAN NATURAL RES LTD ISIN# COM 136385101 2,929.74 91,184 SH Sole 52,634 38,550
CECO ENVIRONMENTAL CORP COM 125141101 1,687.37 130,500 SH Sole 86,200 44,300
CHEVRON CORP NEW COM COM 166764100 1,324.01 11,143 SH Sole 6,461 4,682
CHUBB CORP COM 171232101 2,669.67 30,500 SH Sole 20,000 10,500
CINCINNATI FINL CORP COM COM 172062101 2,427.11 51,400 SH Sole 38,900 12,500
CISCO SYSTEMS INC COM 17275R102 2,514.80 120,354 SH Sole 66,600 53,754
CONOCOPHILLIPS COM COM 20825C104 3,165.83 52,676 SH Sole 43,547 9,129
CORNING INC COM COM 219350105 465.62 34,930 SH Sole 5,000 29,930
DISNEY WALT CO DISNEY COM COM 254687106 876.26 15,427 SH Sole 15,000 427
DU PONT E I DE NEMOURS & CO CO COM 263534109 3,126.97 63,608 SH Sole 42,692 20,916
EAGLE MATERIALS INC COM COM 26969P108 5,080.54 76,250 SH Sole 50,350 25,900
ENBRIDGE ENERGY PARTNERS LP CO COM 29250R106 230.57 7,650 SH Sole 0 7,650
ENTROPIC COMMUNICATIONS INC CO COM 29384R105 56.50 13,900 SH Sole 0 13,900
EOG RES INC COM COM 26875P101 211.32 1,650 SH Sole 1,500 150
EXXON MOBIL CORP COM COM 30231G102 4,836.92 53,678 SH Sole 34,101 19,577
FIDELITY NATL FINL INC CL A CO COM 31620R105 5,461.64 216,474 SH Sole 131,865 84,609
FIDELITY NATL INFORMATION SVCS COM 31620M106 3,253.79 82,125 SH Sole 50,715 31,410
FIRSTMERIT CORP COM COM 337915102 1,309.70 79,184 SH Sole 74,212 4,972
GENERAL ELECTRIC CO COM COM 369604103 492.27 21,292 SH Sole 9,524 11,768
GOOGLE INC CL A COM 38259P508 424.89 535 SH Sole 100 435
HALLIBURTON CO COM COM 406216101 242.18 5,993 SH Sole 0 5,993
HDFC BK LTD ADR REPSTG 3 SHS COM ADR 40415F101 336.78 9,000 SH Sole 0 9,000
HEMISPHERE GPS INC COM ISIN#CA COM 423633106 12.58 17,500 SH Sole 0 17,500
INTERNATIONAL BUSINESS MACHS C COM 459200101 811.18 3,803 SH Sole 2,000 1,803
ISHARES TR BARCLAYS 1-3 YR CR COM 464288646 847.80 8,033 SH Sole 0 8,033
ISHARES TR BARCLAYS TIPS BD FD COM 464287176 606.34 5,000 SH Sole 0 5,000
ISHARES TR RUSSELL 2000 VALUE COM 464287630 491.29 5,862 SH Sole 0 5,862
ISHARES TR S&P MIDCAP 400 GROW COM 464287606 267.04 2,084 SH Sole 0 2,084
ISHARES TR S&P U S PFD STK IND COM 464288687 511.97 12,635 SH Sole 0 12,635
JOHNSON & JOHNSON COM COM 478160104 1,176.56 14,431 SH Sole 14,041 390
JP MORGAN CHASE & CO COM ISIN# COM 46625H100 262.98 5,541 SH Sole 1,075 4,466
KINDER MORGAN INC DEL COM COM 49456B101 5,738.64 148,362 SH Sole 98,025 50,337
KINDER MORGAN INC DEL WT EXP P Warrants 49456B119 1,896.99 395,464 SH Sole 241,632 153,832
KRAFT FOODS GROUP INC COM COM 50076Q106 247.65 4,806 SH Sole 2,500 2,306
LENDER PROCESSING SVCS INC COM COM 52602E102 944.52 37,098 SH Sole 20,336 16,762
LUMINEX CORP DEL COM COM 55027E102 3,533.63 213,900 SH Sole 68,600 145,300
MAIN STR CAP CORP COM COM 56035L104 3,873.26 120,700 SH Sole 84,700 36,000
MANULIFE FINL CORP COM ISIN#CA COM 56501R106 1,354.24 92,000 SH Sole 83,000 9,000
MARSH & MCLENNAN COS INC COM COM 571748102 265.56 6,994 SH Sole 0 6,994
MERCK & CO INC NEW COM COM 58933Y105 567.53 12,840 SH Sole 5,010 7,830
MICROSOFT CORP COM COM 594918104 2,553.15 89,255 SH Sole 44,900 44,355
MONDELEZ INTL INC CL A COM 609207105 441.47 14,420 SH Sole 7,500 6,920
NEW YORK CMNTY BANCORP INC COM COM 649445103 303.50 21,150 SH Sole 0 21,150
NORTHEAST UTILITIES COM 664397106 2,925.94 67,325 SH Sole 53,400 13,925
NORTHFIELD BANCORP INC DEL COM COM 66611T108 427.09 37,596 SH Sole 0 37,596
NYSE EURONEXT COM COM 629491101 1,352.75 35,009 SH Sole 0 35,009
OMEGA HEALTHCARE INVS INC COM COM 681936100 713.46 23,500 SH Sole 22,500 1,000
OPKO HEALTH INC COM COM 68375N103 95.38 12,500 SH Sole 10,000 2,500
OXFORD LANE CAP CORP COM COM 691543102 2,543.62 165,425 SH Sole 128,350 37,075
PARK-OHIO HLDGS CORP COM COM 700666100 9,762.58 294,675 SH Sole 183,825 110,850
PEOPLES UTD FINL INC COM COM 712704105 559.18 41,668 SH Sole 37,268 4,400
PFIZER INC COM COM 717081103 2,108.86 73,072 SH Sole 53,806 19,266
PHILLIPS 66 COM COM 718546104 1,344.75 19,219 SH Sole 17,398 1,821
PLUM CREEK TIMBER CO INC COM COM 729251108 3,954.99 75,766 SH Sole 52,684 23,082
PROCTER & GAMBLE CO COM COM 742718109 248.31 3,222 SH Sole 2,650 572
PSYCHEMEDICS CORP COM NEW COM 744375205 1,808.89 151,625 SH Sole 105,700 45,925
PURE CYCLE CORP COM COM 746228303 2,333.65 444,505 SH Sole 247,000 197,505
REDWOOD TR INC COM COM 758075402 735.59 31,734 SH Sole 20,834 10,900
ROYAL DUTCH SHELL PLC SPONSORE COM ADR 780259206 312.77 4,800 SH Sole 3,300 1,500
SPDR S&P 500 ETF TR TR UNIT COM 78462F103 247.07 1,577 SH Sole 0 1,577
SPECTRA ENERGY CORP COM COM 847560109 2,552.25 83,000 SH Sole 66,450 16,550
SUBURBAN PROPANE PARTNERS L P COM 864482104 3,362.29 75,557 SH Sole 44,600 30,957
TEVA PHARMACEUTICAL INDUSTRIES COM ADR 881624209 2,287.55 57,650 SH Sole 37,850 19,800
THERMO FISHER SCIENTIFIC INC COM 883556102 382.45 5,000 SH Sole 0 5,000
TICC CAP CORP COM COM 87244T109 3,287.82 330,600 SH Sole 224,100 106,500
TIME WARNER CABLE INC COM COM 88732J207 361.86 3,767 SH Sole 1,673 2,094
TIME WARNER INC NEW COM NEW COM 887317303 816.99 14,179 SH Sole 6,666 7,513
TORTOISE MLP FD INC COM COM 89148B101 1,126.00 40,000 SH Sole 38,000 2,000
VERIZON COMMUNICATIONS INC COM COM 92343V104 358.94 7,303 SH Sole 1,738 5,565
VODAFONE GROUP PLC SPON ADR NE COM ADR 92857W209 498.48 17,552 SH Sole 2,412 15,140
WAL MART STORES INC COM COM 931142103 215.73 2,883 SH Sole 2,283 600
WATTS WATER TECHNOLOGIES INC C COM 942749102 2,221.97 46,300 SH Sole 36,300 10,000
WELLS FARGO & CO NEW COM COM 949746101 246.61 6,667 SH Sole 6,167 500
WEYERHAEUSER CO COM 962166104 659.67 21,022 SH Sole 7,400 13,622