0001512395-13-000002.txt : 20130208 0001512395-13-000002.hdr.sgml : 20130208 20130208151842 ACCESSION NUMBER: 0001512395-13-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130208 DATE AS OF CHANGE: 20130208 EFFECTIVENESS DATE: 20130208 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Oppenheimer & Close, Inc. CENTRAL INDEX KEY: 0001512395 IRS NUMBER: 133211335 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14102 FILM NUMBER: 13586511 BUSINESS ADDRESS: STREET 1: 119 WEST 57TH STREET STREET 2: SUITE 1515 CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-489-7527 MAIL ADDRESS: STREET 1: 119 WEST 57TH STREET STREET 2: SUITE 1515 CITY: NEW YORK STATE: NY ZIP: 10019 13F-HR 1 r13fhr4q2012.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F COVER PAGE REPORT FOR THE CALENDAR QUARTER ENDED December 31, 2012 Check here if Amendment [ ] This Amendment No. (check only one) [ ] is a restatement [ ] adds new holdings entries Institutional Investment Manager Filing this Report: Name: Oppenheimer + Close, Inc. Address: 119 West 57th Street, Suite 1515, New York, New York 10019 Form 13F File Number: 28-14102 =============================================================================== 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: Carl K Oppenheimer Title: President of Oppenheimer + Close, Inc. Phone: (212) 489-7527 for Carl K. Oppenheimer Signature, Place, and Date of Signing: Oppenheimer + Close, Inc. By: Mr. Carl K. Oppenheimer, President By: /s/ Carl K Oppenheimer New York, New York February 8, 2013 Report Type (Check only one): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Managers: 0 Form 13F Information Table Entry Total: 64 Form 13F Information Table Value Total: 126,826 (thousands) List of Other Included Managers: NONE ------------------------------------------------------------------------------------------------------------------------------------ FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------ -------------- --------- -------- ------------------ -------- -------- ------------------------ TITLE OF VALUE SHARES OR SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRTN MANAGERS SOLE SHARED NONE ------------------------------ -------------- --------- -------- --------- --- ---- -------- -------- ------- ------- -------- 3M CO COM COM 88579Y101 4455 47978 SH SOLE 6170 41808 ALLIED HEALTHCARE PRODS INC 019222108 772 293671 SH SOLE 293671 0 AVX CORP NEW COM COM 002444107 438 40676 SH SOLE 40676 0 BARRICK GOLD CORP COM 067901108 1869 53388 SH SOLE 2908 50480 BCSB BANCORP INC COM COM 055367106 559 39400 SH SOLE 39400 0 BOLT TECH CORP COM 097698104 1431 100300 SH SOLE 100300 0 BRT REALTY TRUST SH BEN INT NEW 055645303 1017 156405 SH SOLE 156405 0 CHEVRON CORP NEW COM COM 166764100 263 2435 SH SOLE 0 2435 CISCO SYSTEMS INC COM 17275R102 5927 301660 SH SOLE 127590 174070 CMS BANCORP INC COM COM 12600U102 127 16218 SH SOLE 16218 0 COLONIAL FINL SVCS COM 19566B101 1044 79699 SH SOLE 79699 0 CONS TOMOKA LAND CO COM 210226106 820 26455 SH SOLE 26455 0 CORE MARK HLDG CO COM 218681104 1421 30000 SH SOLE 30000 0 CORNING INC COM COM 219350105 6259 495945 SH SOLE 241975 253970 EAGLE BANCORP MONT COM 26942G100 1667 161100 SH SOLE 161100 0 ELECTRO SCIENTIFIC COM 285229100 740 74355 SH SOLE 74355 0 ESSA BANCORP INC COM COM 29667D104 1630 149700 SH SOLE 149700 0 EVOLUTION PETE CORP COM 30049A107 214 26284 SH SOLE 26284 0 EXXON MOBIL CORP COM COM 30231G102 545 6300 SH SOLE 0 6300 FEDFIRST FINL CORP COM 31429C101 1631 100347 SH SOLE 100347 0 FIRST CONN BANCORP COM 319850103 459 33418 SH SOLE 33418 0 GENCOR INDS INC COM 368678108 101 13350 SH SOLE 13350 0 GEORGETOWN BANCORP COM 372591107 1034 95315 SH SOLE 95315 0 GREENLIGHT CAPITAL CLASS A G4095J109 250 10830 SH SOLE 10830 0 HAMILTON BANCORP INC COM 407015106 115 10123 SH SOLE 10123 0 HAMPDEN BANCORP INC COM 40867E107 449 29900 SH SOLE 29900 0 HARDINGE INC COM 412324303 1314 132210 SH SOLE 132210 0 HARRIS & HARRIS COM 413833104 102 30900 SH SOLE 30900 0 HELMERICH & PAYNE COM 423452101 6482 115730 SH SOLE 27835 87895 HOME BANCORP INC COM 43689E107 1124 61591 SH SOLE 61591 0 HOME FED BANCORP INC COM 43708L108 1852 105861 SH SOLE 105861 0 HOMETRUST BANSHARES COM 437872104 2163 160100 SH SOLE 160100 0 HOPFED BANCORP INC COM 439734104 1700 197188 SH SOLE 197188 0 HURCO CO COM 447324104 549 23851 SH SOLE 23851 0 IF BANCORP INC COM COM 44951J105 1398 101279 SH SOLE 101279 0 INSTEEL INDS INC COM COM 45774W108 1523 122012 SH SOLE 122012 0 INTEL CORP COM COM 458140100 809 39246 SH SOLE 39246 0 JOHNSON & JOHNSON COM 478160104 5540 79026 SH SOLE 24985 54041 LOUISIANA BANCORP COM 54619P104 170 10400 SH SOLE 10400 0 MALVERN BANCORP INC COM 561409103 2295 205852 SH SOLE 205852 0 MARKET VECTORS ETF GOLD MINER ETF 57060U100 9848 212280 SH SOLE 165170 47110 MARKET VECTORS ETF JR GOLD MINERS 57060U589 940 47500 SH SOLE 47500 0 MATERIAL SCIENCES COM 576674105 1176 130200 SH SOLE 130200 0 MICROSOFT CORP COM 594918104 4492 168160 SH SOLE 69350 98810 NAUGATUCK VY FINL COM 63906P107 1390 209078 SH SOLE 209078 0 NEWMONT MNG CORP COM COM 651639106 2094 45085 SH SOLE 755 44330 NEWPORT BANCORP INC COM 651754103 267 16200 SH SOLE 16200 0 NORTHEAST CMNTY COM 664112109 631 119815 SH SOLE 119815 0 NUCOR CORP COM COM 670346105 924 21400 SH SOLE 21400 0 OBA FINL SVCS INC COM 67424G101 1521 86495 SH SOLE 86495 0 OCEAN SHORE HLDG CO COM 67501R103 3177 214663 SH SOLE 214663 0 OCONEE FED FINL CORP COM 675607105 779 53600 SH SOLE 53600 0 PEOPLES FEDERAL COM 711037101 470 27000 SH SOLE 27000 0 PFIZER INC COM COM 717081103 2893 115365 SH SOLE 22745 92620 POLONIA BANCORP INC COM 73158Q109 360 44674 SH SOLE 44674 0 PROVIDENCE & COM 743737108 1611 115396 SH SOLE 115396 0 QUANEX BLDG PRODS COM 747619104 1345 65886 SH SOLE 65886 0 SEACOR HOLDINGS INC COM 811904101 6414 76545 SH SOLE 24710 51835 SI FINL GROUP INC MD COM 78425V104 3104 269900 SH SOLE 269900 0 SOUND FINL BANCORP COM 83607A100 616 59200 SH SOLE 59200 0 SP BANCORP INC COM COM 78468K106 1712 110474 SH SOLE 110474 0 SPDR GOLD TR GOLD GOLD SHS 78463V107 8993 55503 SH SOLE 38238 17265 STATE INVS BANCORP COM 857030100 1073 76186 SH SOLE 76186 0 SUPERIOR INDUSTRIES COM 868168105 8738 428340 SH SOLE 224185 204155 Certain holdings reported as "Sole" under Column 6 are managed by Oppvest, LLC and Oppvest II, LLC, which are managed by the same individuals as Oppenheimer + Close, Inc. and are considered to be part of the registered investment adviser.
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