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