-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Igh3XQ0eZ2SxnkOUIDCjg8uVGRlQ1V2jqIwU+UVSEKIz+6fgjg+XKX2Eq8XFVKww PhecOprJN9kI2eJABij3/g== 0001085146-11-000159.txt : 20110209 0001085146-11-000159.hdr.sgml : 20110209 20110209171749 ACCESSION NUMBER: 0001085146-11-000159 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110209 DATE AS OF CHANGE: 20110209 EFFECTIVENESS DATE: 20110209 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Pathstone Family Office, LLC CENTRAL INDEX KEY: 0001511137 IRS NUMBER: 271957427 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14122 FILM NUMBER: 11588146 BUSINESS ADDRESS: STREET 1: 285 GRAND AVE STREET 2: FIVE PATRIOT CENTRE CITY: ENGLEWOOD STATE: NJ ZIP: 07631 BUSINESS PHONE: 201-731-7112 MAIL ADDRESS: STREET 1: 285 GRAND AVE STREET 2: FIVE PATRIOT CENTRE CITY: ENGLEWOOD STATE: NJ ZIP: 07631 13F-HR 1 path4q10.txt PATHSTONE FAMILY OFFICE LLC 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, 2010 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: Pathstone Family Office, LLC Address: Five Patriot Centre 285 Grand Ave Englewood, NJ 07631 13F File Number: 028-NEW 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. Person Signing this Report on Behalf of Reporting Manager: Name: Matthew Sher Title: Director of Operations and CCO Phone: 201-731-7112 Signature, Place, and Date of Signing: /s/ Matthew Sher Englewood, NJ February 08, 2011 Report Type (Check only one.): [ ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ X] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: Form 13F File Number Name 028-04558 Parametric Portfolio Associates 028-05505 Sawgrass Asset Management, L.L.C. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 144 Form 13F Information Table Value Total: $68,617 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. 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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ADVANCED MICRO DEVICES INC COM 007903107 33 4000 SH SOLE 4000 0 0 AES CORP COM 00130H105 61 5000 SH SOLE 5000 0 0 ALCOA INC COM 013817101 123 8000 SH SOLE 8000 0 0 ALEXANDRIA REAL ESTATE EQ IN COM 015271109 73 1000 SH SOLE 1000 0 0 ALEXCO RESOURCE CORP COM 01535P106 12685 1548899 SH SOLE 1548899 0 0 ALTRIA GROUP INC COM 02209s103 8 345 SH SOLE 345 0 0 ALUMINUM CORP CHINA LTD SPON ADR H SHS 022276109 23 1000 SH SOLE 1000 0 0 AMEREN CORP COM 023608102 8 300 SH SOLE 300 0 0 AMERICAN ELEC PWR INC COM 025537101 18 500 SH SOLE 500 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 2 40 SH SOLE 40 0 0 AMGEN INC COM 031162100 5 100 SH SOLE 100 0 0 ANNALY CAP MGMT INC COM 035710409 90 5000 SH SOLE 5000 0 0 APACHE CORP COM 037411105 60 500 SH SOLE 500 0 0 APPLE INC COM 037833100 415 1284 SH SOLE 1284 0 0 APPLIED MATLS INC COM 038222105 3 200 SH SOLE 200 0 0 AT&T INC COM 00206R102 47 1600 SH SOLE 1600 0 0 AUTOCHINA INTERNATIONAL LIMI SHS g06750106 78 3000 SH SOLE 3000 0 0 BANK OF AMERICA CORPORATION COM 060505104 673 50400 SH SOLE 50400 0 0 BARRICK GOLD CORP COM 067901108 53 1000 SH SOLE 1000 0 0 BAXTER INTL INC COM 071813109 5 100 SH SOLE 100 0 0 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 28 2000 SH SOLE 2000 0 0 BOEING CO COM 097023105 151 2300 SH SOLE 2300 0 0 BPZ RESOURCES INC COM 055639108 48 10000 SH SOLE 10000 0 0 BRIGHAM EXPLORATION CO COM 109178103 27 1000 SH SOLE 1000 0 0 BROOKDALE SR LIVING INC COM 112463104 43 2000 SH SOLE 2000 0 0 BROOKFIELD PPTYS CORP COM 112900105 88 5000 SH SOLE 5000 0 0 CABOT OIL & GAS CORP COM 127097103 76 2000 SH SOLE 2000 0 0 CANADIAN NAT RES LTD COM 136385101 133 3000 SH SOLE 3000 0 0 CHARLES & COLVARD LTD COM 159765106 30 10000 SH SOLE 10000 0 0 CHESAPEAKE ENERGY CORP COM 165167107 130 5000 SH SOLE 5000 0 0 CHINA CABLECOM HOLDINGS LTD SHS G21176303 9 16320 SH SOLE 16320 0 0 CISCO SYS INC COM 17275r102 155 7700 SH SOLE 7700 0 0 CIT GROUP INC COM NEW 125581801 7 154 SH SOLE 154 0 0 CITIGROUP INC COM 172967101 251 53000 SH SOLE 53000 0 0 COCA COLA CO COM 191216100 7 100 SH SOLE 100 0 0 COLONIAL PPTYS TR COM SH BEN INT 195872106 45648 2528970 SH SOLE 2528970 0 0 CONSOLIDATED EDISON INC COM 209115104 5 100 SH SOLE 100 0 0 CONTINENTAL RESOURCES INC COM 212015101 59 1000 SH SOLE 1000 0 0 CORNING INC COM 219350105 319 16500 SH SOLE 16500 0 0 CROSS CTRY HEALTHCARE INC COM 227483104 2 200 SH SOLE 200 0 0 DANAHER CORP DEL COM 235851102 9 200 SH SOLE 200 0 0 DARA BIOSCIENCES INC COM NEW 23703p205 112 33100 SH SOLE 33100 0 0 DELL INC COM 24702R101 1 100 SH SOLE 100 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 1 100 SH SOLE 100 0 0 DOW CHEM CO COM 260543103 75 2200 SH SOLE 2200 0 0 DRYSHIPS INC SHS Y2109Q101 55 10000 SH SOLE 10000 0 0 DUKE ENERGY CORP NEW COM 26441C105 18 1000 SH SOLE 1000 0 0 E M C CORP MASS COM 268648102 7 300 SH SOLE 300 0 0 EBAY INC COM 278642103 14 500 SH SOLE 500 0 0 ENERGEN CORP COM 29265N108 48 1000 SH SOLE 1000 0 0 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 104 2000 SH SOLE 2000 0 0 ENSTAR GROUP LIMITED SHS G3075P101 169 2000 SH SOLE 2000 0 0 EOG RES INC COM 26875P101 46 500 SH SOLE 500 0 0 FEDEX CORP COM 31428x106 47 500 SH SOLE 500 0 0 FEI CO COM 30241L109 29 1100 SH SOLE 1100 0 0 FERRELLGAS PARTNERS L.P. UNIT LTD PART 315293100 26 1000 SH SOLE 1000 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 445 26500 SH SOLE 26500 0 0 GENERAL ELECTRIC CO COM 369604103 103 5635 SH SOLE 5635 0 0 GENERAL MLS INC COM 370334104 7 200 SH SOLE 200 0 0 GENERAL MTRS CO COM 37045v100 37 1000 SH SOLE 1000 0 0 GEO GROUP INC COM 36159r103 25 1000 SH SOLE 1000 0 0 GEOKINETICS INC COM PAR $0.01 372910307 46 5000 SH SOLE 5000 0 0 GERON CORP COM 374163103 104 20000 SH SOLE 20000 0 0 GOOGLE INC CL A 38259p508 1039 1750 SH SOLE 1750 0 0 GREAT PLAINS ENERGY INC COM 391164100 8 400 SH SOLE 400 0 0 HALLIBURTON CO COM 406216101 20 500 SH SOLE 500 0 0 HASBRO INC COM 418056107 0 5 SH SOLE 5 0 0 HAWAIIAN ELEC INDUSTRIES COM 419870100 11 500 SH SOLE 500 0 0 HELIX ENERGY SOLUTIONS GRP I COM 42330P107 36 3000 SH SOLE 3000 0 0 HEWLETT PACKARD CO COM 428236103 4 100 SH SOLE 100 0 0 HOME DEPOT INC COM 437076102 53 1500 SH SOLE 1500 0 0 INTEL CORP COM 458140100 31 1500 SH SOLE 1500 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 73 500 SH SOLE 500 0 0 JOHNSON & JOHNSON COM 478160104 31 500 SH SOLE 500 0 0 JPMORGAN CHASE & CO COM 46625h100 42 1000 SH SOLE 1000 0 0 KINROSS GOLD CORP COM NO PAR 496902404 190 10000 SH SOLE 10000 0 0 KNOT INC COM 499184109 3 304 SH SOLE 304 0 0 KODIAK OIL & GAS CORP COM 50015Q100 66 10000 SH SOLE 10000 0 0 KRISPY KREME DOUGHNUTS INC COM 501014104 1 200 SH SOLE 200 0 0 LENNAR CORP CL A 526057104 38 2000 SH SOLE 2000 0 0 LILLY ELI & CO COM 532457108 7 200 SH SOLE 200 0 0 LOWES COS INC COM 548661107 18 700 SH SOLE 700 0 0 MERCK & CO INC NEW COM 58933Y105 7 200 SH SOLE 200 0 0 METALLINE MINING INC COM 591257100 245 195390 SH SOLE 195390 0 0 METLIFE INC COM 59156r108 9 200 SH SOLE 200 0 0 MICROSOFT CORP COM 594918104 163 5800 SH SOLE 5800 0 0 MORGAN STANLEY COM NEW 617446448 3 100 SH SOLE 100 0 0 MOSAIC CO COM 61945a107 382 5000 SH SOLE 5000 0 0 MOTOROLA INC COM 620076109 111 12100 SH SOLE 12100 0 0 NOBEL LEARNING CMNTYS INC COM 654889104 53 7225 SH SOLE 7225 0 0 NORFOLK SOUTHERN CORP COM 655844108 2 38 SH SOLE 38 0 0 NORTHROP GRUMMAN CORP COM 666807102 6 100 SH SOLE 100 0 0 NOVAGOLD RES INC COM NEW 66987e206 29 2000 SH SOLE 2000 0 0 NYSE EURONEXT COM 629491101 243 8100 SH SOLE 8100 0 0 OLIN CORP COM PAR $1 680665205 6 300 SH SOLE 300 0 0 OPKO HEALTH INC COM 68375N103 367 100000 SH SOLE 100000 0 0 ORACLE CORP COM 68389x105 6 200 SH SOLE 200 0 0 PEPCO HOLDINGS INC COM 713291102 22 1195 SH SOLE 1195 0 0 PFIZER INC COM 717081103 91 5140 SH SOLE 5140 0 0 PHILIP MORRIS INTL INC COM 718172109 8 132 SH SOLE 132 0 0 PILGRIMS PRIDE CORP NEW COM 72147K108 1 100 SH SOLE 100 0 0 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 63 1000 SH SOLE 1000 0 0 PROCTER & GAMBLE CO COM 742718109 38 600 SH SOLE 600 0 0 PROLOGIS SH BEN INT 743410102 29 2000 SH SOLE 2000 0 0 RAILAMERICA INC COM 750753402 10 800 SH SOLE 800 0 0 RAYTHEON CO COM NEW 755111507 19 400 SH SOLE 400 0 0 REPUBLIC SVCS INC COM 760759100 224 7500 SH SOLE 7500 0 0 RESOLUTE ENERGY CORP COM 76116A108 37 2500 SH SOLE 2500 0 0 REYNOLDS AMERICAN INC COM 761713106 20 600 SH SOLE 600 0 0 SBA COMMUNICATIONS CORP COM 78388J106 41 1000 SH SOLE 1000 0 0 SEADRILL LIMITED SHS G7945E105 34 1000 SH SOLE 1000 0 0 SEANERGY MARITIME HLDGS CORP SHS Y73760103 37 40000 SH SOLE 40000 0 0 SEMICONDUCTOR MFG INTL CORP SPONSORED ADR 81663n206 18 5000 SH SOLE 5000 0 0 SENOMYX INC COM 81724q107 78 11000 SH SOLE 11000 0 0 SINA CORP ORD G81477104 206 3000 SH SOLE 3000 0 0 SIRIUS XM RADIO INC COM 82967N108 36 22000 SH SOLE 22000 0 0 SMITHFIELD FOODS INC COM 832248108 41 2000 SH SOLE 2000 0 0 SONDE RES CORP COM 835426107 18 5000 SH SOLE 5000 0 0 SOUTHWESTERN ENERGY CO COM 845467109 75 2000 SH SOLE 2000 0 0 ST JOE CO COM 790148100 66 3000 SH SOLE 3000 0 0 STARBUCKS CORP COM 855244109 48 1500 SH SOLE 1500 0 0 SYMANTEC CORP COM 871503108 67 4000 SH SOLE 4000 0 0 SYNERON MEDICAL LTD ORD SHS M87245102 41 4000 SH SOLE 4000 0 0 SYNOVUS FINL CORP COM 87161C105 49 18500 SH SOLE 18500 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 2 122 SH SOLE 122 0 0 TARGA RESOURCES PARTNERS LP COM UNIT 87611X105 34 1000 SH SOLE 1000 0 0 TECO ENERGY INC COM 872375100 7 400 SH SOLE 400 0 0 TEEKAY OFFSHORE PARTNERS L P PARTNERSHIP UN y8565j101 55 2000 SH SOLE 2000 0 0 TEJON RANCH CO COM 879080109 28 1000 SH SOLE 1000 0 0 TEMPLETON DRAGON FD INC COM 88018T101 123 4000 SH SOLE 4000 0 0 TEXAS INSTRS INC COM 882508104 16 500 SH SOLE 500 0 0 TOLL BROTHERS INC COM 889478103 19 1000 SH SOLE 1000 0 0 ULTRA PETROLEUM CORP COM 903914109 48 1000 SH SOLE 1000 0 0 ULTRALIFE CORP COM 903899102 66 10000 SH SOLE 10000 0 0 UNITED PARCEL SERVICE INC CL B 911312106 7 100 SH SOLE 100 0 0 UNITED STATES STL CORP NEW COM 912909108 23 400 SH SOLE 400 0 0 VALERO ENERGY CORP NEW COM 91913y100 12 500 SH SOLE 500 0 0 VERIZON COMMUNICATIONS INC COM 92343v104 36 1000 SH SOLE 1000 0 0 VISA INC COM CL A 92826C839 18 250 SH SOLE 250 0 0 WABCO HLDGS INC COM 92927K102 4 66 SH SOLE 66 0 0 WAL MART STORES INC COM 931142103 59 1100 SH SOLE 1100 0 0 WELLS FARGO & CO NEW COM 949746101 124 4000 SH SOLE 4000 0 0 XEROX CORP COM 984121103 5 400 SH SOLE 400 0 0 YAHOO INC COM 984332106 4 200 SH SOLE 200 0 0
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