0001527198-11-000005.txt : 20111117 0001527198-11-000005.hdr.sgml : 20111117 20111117153949 ACCESSION NUMBER: 0001527198-11-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111117 DATE AS OF CHANGE: 20111117 EFFECTIVENESS DATE: 20111117 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Gerstein, Fisher & Associates, Inc. CENTRAL INDEX KEY: 0001527198 IRS NUMBER: 113321766 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14572 FILM NUMBER: 111213015 BUSINESS ADDRESS: STREET 1: 100 WILLIAM STREET STREET 2: SUITE 1825 CITY: NEW YORK STATE: NY ZIP: 10038 BUSINESS PHONE: 212-968-0707 MAIL ADDRESS: STREET 1: 100 WILLIAM STREET STREET 2: SUITE 1825 CITY: NEW YORK STATE: NY ZIP: 10038 13F-HR 1 gerstein13f3q2011.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: September 30, 2011 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: Gerstein Fisher 100 William St. , Suite 1825 New York, NY 10038 Form 13F File Number: 28- 14572 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: Robert Martz Title:Chief Compliance Officer Phone:212-968-0707 Signature, Place, and Date of Signing: Robert Martz New York, NY 11/17/2011 --------------------- --------------------- ------------------- [Signature] [City, State] [Date] Correction of values. 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).) List of Other Managers Reporting for this Manager: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 ----------------------- Form 13F Information Table Entry Total: 296 ----------------------- Form 13F Information Table Value Total: 150936 (x thousand) ----------------------- List of Other Included Managers: 28-11973 Lockwood Capital Management (1) Name of Reporting Manager Form 13F Information Table FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE --------------------------------------------------------------------------------------------------------------------------------- 3M COMPANY COM 88579Y101 532 6958SH Sole 6958 0 AT&T INC NEW COM 00206R102 7 225SH Defined Lockwood 0 225 AT&T INC NEW COM 00206R102 497 16904SH Sole 11622 5282 ABBOTT LABORATORIES COM 002824100 1339 25792SH Sole 24788 1004 ABOVENET INC COM 00374N107 393 7341SH Sole 7341 0 ACCENTURE LTD COM G1150G111 739 13768SH Sole 13314 454 ADOBE SYSTEMS INC COM 00724F101 341 13792SH Sole 13286 506 ADVANCED AUTO PARTS COM 00751Y106 309 5301SH Sole 5243 58 ALASKA AIR GROUP INC DE COM 11659109 291 5136SH Sole 5107 29 ALEXANDERS INC COM 14752109 299 826SH Sole 826 0 ALLIANT TECH SYSTEMS INC COM 018804104 331 6007SH Sole 6007 0 ALTRIA GROUP INC COM 02209S103 459 16801SH Sole 14382 2419 AMAZON COM INC COM 023135106 1232 5688SH Sole 5443 245 AMERICAN EXPRESS COMPANY COM 025816109 0 8SH Defined Lockwood 0 8 AMERICAN EXPRESS COMPANY COM 025816109 839 17708SH Sole 17292 416 AMERICAN HOME MTG COM 02660R107 0 10000SH Sole 0 10000 AMERICAN INTL GR FRAC WTS EXP COM ACG874152 0 57810SH Sole 57810 0 AMTRUST FINANCIAL SERVICE COM 032359309 197 8566SH Sole 7915 651 ANIXTER INTL INC COM 035290105 3 53SH Defined Lockwood 0 53 ANIXTER INTL INC COM 035290105 306 6321SH Sole 6049 272 AON CORPORATION COM 037389103 323 6719SH Sole 6478 241 APACHE CORP COM 037411105 351 4000SH Sole 3953 47 APPLE COMPUTER INC COM 037833100 5189 13572SH Sole 12500 1072 APPLIED MATERIALS COM 038222105 393 37541SH Sole 36589 952 ARMSTRON WORLD WIDE COM 04247X102 202 5812SH Sole 5788 24 ARROW ELECTRS INC COM 042735100 299 10175SH Sole 9365 810 ATRION CORP COM 049904105 455 2189SH Sole 2189 0 AUTO DATA PROCESSING COM 053015103 734 15418SH Sole 15090 328 AUTOZONE INC COM 053332102 1 4SH Defined Lockwood 0 4 AUTOZONE INC COM 053332102 683 2116SH Sole 2043 73 BANK OF AMERICA CORP COM 060505104 164 26476SH Sole 17255 9221 BARCLAYS BK PLC IPATH INDEX LK COM 06738C778 205 4580SH Sole 0 4580 BARD C R INC COM 067383109 328 3740SH Sole 3740 0 BECTON DICKINSON & CO COM 075887109 459 6249SH Sole 6007 242 BERKSHIRE HATHAWAY CL B COM 084670207 0 4SH Defined Lockwood 0 4 BERKSHIRE HATHAWAY CL B COM 084670207 234 3036SH Sole 1320 1716 BGC PARTNERS INC COM 05541T101 66 10956SH Sole 10956 0 BIOGEN IDEC INC COM 09062X103 1 8SH Defined Lockwood 0 8 BIOGEN IDEC INC COM 09062X103 390 4024SH Sole 3598 426 BIOVEST INTL INC COM COM 09069L102 17 46000SH Sole 0 46000 BLACKROCK INC COM 09247X101 426 2863SH Sole 2863 0 BORG-WARNER INC COM 099724106 335 5461SH Sole 5163 298 BRAVO BRANDS INC COM 105666101 0 32000SH Sole 0 32000 BRITISH POUND CURRENCY COM GBP999997 92 57343SH Sole 0 57343 BROADCOM CORP CL A COM 111320107 394 11710SH Sole 11529 181 BROADCOM CORP CL A COM 111320107 6 180SH Defined Lockwood 0 180 BUNGE LIMITED COM G1696210 1015 17361SH Sole 17270 91 CVS CORP DEL COM 126650100 244 6221SH Sole 4757 1464 CACI INTL INC CL A COM 127190304 451 8987SH Sole 8881 106 CASEYS GEN STORES INC COM 147528103 379 8676SH Sole 8676 0 CASH AMERICA INTL INC COM 14754D100 263 5132SH Sole 5106 26 CATERPILLAR INC COM 149123101 516 6372SH Sole 6213 159 CELGENE CORP COM 151020104 246 3917SH Sole 3458 459 CELGENE CORP COM 151020104 5 79SH Defined Lockwood 0 79 CF INDUSTRIES HOLDINGS IN COM 125269100 674 5363SH Sole 5295 68 CHART INDUSTIRES CORP COM 16115Q308 238 5505SH Sole 5368 137 CHEVRON CORP COM 166764100 2374 23973SH Sole 22314 1659 CHIMERA IVT CORP COM COM 16934Q109 41 15854SH Sole 7641 8213 CHIPOTLE MEXICICAN GRILL- COM 169656105 478 1562SH Sole 1511 51 CISCO SYSTEMS INC COM 17275R102 0 18SH Defined Lockwood 0 18 CISCO SYSTEMS INC COM 17275R102 366 19238SH Sole 10602 8636 CITIGROUP INC COM 172967424 214 7309SH Sole 3699 3610 CITIGROUP INC COM 172967424 1 30SH Defined Lockwood 0 30 CLEVELAND CLIFFS INC COM 18683K101 389 7355SH Sole 7355 0 COACH INC COM 189754104 0 6SH Defined Lockwood 0 6 COACH INC COM 189754104 1191 18494SH Sole 1208 17286 COCACOLA COMPANY COM 191216100 1567 23125SH Sole 21216 1909 COGNIZANT TECHNOLOGY SOLU COM 192446102 341 5272SH Sole 5001 271 COGNIZANT TECHNOLOGY SOLU COM 192446102 5 84SH Defined Lockwood 0 84 COLGATE PALMOLIVE CO COM 194162103 748 8420SH Sole 7181 1239 COLGATE PALMOLIVE CO COM 194162103 1 16SH Defined Lockwood 0 16 COMCAST CORP NEW CLA COM 20030N101 219 9732SH Sole 6601 3131 COMCAST CORP NEW CLA COM 20030N101 0 18SH Defined Lockwood 0 18 CONOCOPHILLIPS COM 20825C104 19 264SH Defined Lockwood 0 264 CONOCOPHILLIPS COM 20825C104 440 6098SH Sole 4353 1745 CONSOLIDATED EDISON INC COM 209115104 205 3436SH Sole 292 3144 CONTANGO OIL & GAS CO COM NEW COM 21075N204 1 14SH Defined Lockwood 0 14 CONTANGO OIL & GAS CO COM NEW COM 21075N204 429 7700SH Sole 7301 399 COOPER COS INC COM 216648402 414 5256SH Sole 5256 0 CORN PRODS INTL INC COM 219023108 392 9742SH Sole 9373 369 COSTCO WHSL CORP NEW COM 22160K105 222 2679SH Sole 2397 282 COVIDIEN PLC COM G2554F113 695 15569SH Sole 14913 656 COVIDIEN PLC COM G2554F113 1 18SH Defined Lockwood 0 18 CREDIT ACCEP CORP MICH COM 225310101 213 3317SH Sole 3317 0 CUMMINS INC COM 231021106 386 4512SH Sole 4386 126 DECKERS OUTDOOR CORP COM 243537107 393 4170SH Sole 4024 146 DEERE & CO COM 244199105 202 2982SH Sole 2837 145 DIME BANCORP 00 WT COM 25429Q110 9 13548SH Sole 0 13548 DIRECTV COM 25490A101 570 13343SH Sole 13343 0 DISCOVERY HOLDING SER A COM 25468Y107 204 5358SH Sole 5021 337 DISNEY WALT CO COM 254687106 334 9107SH Sole 6750 2357 DOLLAR TREE STORES COM 256747106 268 3549SH Sole 3369 180 DST SYS INC DEL COM 233326107 287 6483SH Sole 6200 283 DSW INC-CLA COM 23334L102 232 5008SH Sole 5008 0 DU PONT E I DE NEMOUR & CO COM 263534109 235 4850SH Sole 3891 959 DU PONT E I DE NEMOUR & CO COM 263534109 1 18SH Defined Lockwood 0 18 DUKE ENERGY CORP NEW COM 26441C105 257 12252SH Sole 9194 3058 EMC CORP MASS COM 268648102 832 38023SH Sole 36042 1981 EMC CORP MASS COM 268648102 5 225SH Defined Lockwood 0 225 EASTMAN CHEMICAL CO COM 277432100 527 8009SH Sole 7782 227 EATON CORPORATION COM 278058102 406 11150SH Sole 10581 569 EMERSON ELECTRIC CO COM 291011104 535 12180SH Sole 12180 0 EMERSON ELECTRIC CO COM 291011104 10 222SH Defined Lockwood 0 222 ENVIRONMENTAL WASTE INTL COM 29411G106 30 114570SH Sole 0 114570 EQUIFIN INC COM COM 29442V106 1 49580SH Sole 0 49580 ERIE INDEMNITY CO COM 29530P102 1381 19398SH Sole 19395 3 EXPRESS SCRIPTS INC COM 302182100 324 8363SH Sole 8363 0 EXXONMOBIL CORPORATION COM 30231G102 4649 61653SH Sole 55543 6110 EXXONMOBIL CORPORATION COM 30231G102 42 552SH Defined Lockwood 0 552 FLOWSERVE CORP COM 34354P105 245 3251SH Sole 3237 14 FORD MTR CO DEL COM 345370860 405 40177SH Sole 37726 2451 FOSSIL INC COM 349882100 306 3760SH Sole 3749 11 FREEPORT MCMORAN COM 35671D857 245 7100SH Sole 7020 80 FREEPORT MCMORAN COM 35671D857 11 320SH Defined Lockwood 0 320 GENERAL ELECTRIC COMPANY COM 369604103 881 54060SH Sole 42173 11887 GENERAL ELECTRIC COMPANY COM 369604103 37 2259SH Defined Lockwood 0 2259 GENERAL MILLS INC COM 370334104 182 4595SH Sole 4348 247 GENERAL MILLS INC COM 370334104 11 277SH Defined Lockwood 0 277 GLOBAL iTECHNOLOGY COM 378951107 0 90000SH Sole 0 90000 GOLDMAN SACHS GROUP COM 38141G104 208 2043SH Sole 1137 906 GOLDMAN SACHS GROUP COM 38141G104 39 388SH Defined Lockwood 0 388 GOOGLE INC CLASS A COM 38259P508 1946 3558SH Sole 3251 307 GRAINGER WW INC COM 384802104 386 2481SH Sole 2476 5 GREENMTN COFFEE ROASTERS INC COM 393122106 341 3701SH Sole 3701 0 HALLIBURTON CO COM 406216101 505 15710SH Sole 15710 0 HARRIS CORPORATION COM 413875105 373 10789SH Sole 10254 535 HEALTHSPRING INC COM 42224N101 227 6022SH Sole 5806 216 HERBALIFE LTD COM G4412G101 395 7359SH Sole 7359 0 HEWLETT-PACKARD COMPANY COM 428236103 197 7154SH Sole 7154 0 HOME DEPOT INC COM 437076102 876 25799SH Sole 24422 1377 HOME DEPOT INC COM 437076102 5 136SH Defined Lockwood 0 136 HONEYWELL INTERNATIONAL COM 438516106 827 17778SH Sole 17013 765 HONEYWELL INTERNATIONAL COM 438516106 1 15SH Defined Lockwood 0 15 IMMUNOCELLULAR THERAPUTICS LTD COM 452536105 25 17500SH Sole 0 17500 INNOPHOS HOLDINGS INC COM 45774N108 269 6683SH Sole 6683 0 INTEL CORP COM 458140100 497 20002SH Sole 15651 4351 INTER CONTINENTAL EXCHANGE COM 45865V100 436 3489SH Sole 1448 2041 INTER CONTINENTAL EXCHANGE COM 45865V100 78 624SH Defined Lockwood 0 624 INTL BUSINESS MACHINES COM 459200101 6306 34862SH Sole 22949 11913 IRIS INTERNATIONAL INC COM 46270W105 124 13370SH Sole 0 13370 ISHARES COMEX GOLD TRUST ETF 464285105 317 18194SH Sole 0 18194 ISHARES FTSE NAREIT RES ETF 464288562 16 365SH Sole 0 365 ISHARES LEHMAN TRES INFL ETF 464287176 26 225SH Defined Lockwood 0 225 ISHARES LEHMAN TRES INFL ETF 464287176 92 782SH Defined Lockwood 3 779 ISHARES MSCI EMRG MKT FD ETF 464287234 2455 60196SH Sole 60196 0 ISHARES MSCI JPN IDX FD ETF 464286848 47 5000SH Sole 0 5000 ISHARES NASDAQ BIOTECH IN ETF 464287556 5 50SH Sole 50 0 ISHARES RUSSELL 1000 VAL ETF 464287598 625 9847SH Sole 9847 0 ISHARES RUSSELL 1000 VAL ETF 464287598 14 225SH Defined Lockwood 0 225 ISHARES SILVER TRUST ETF 46428Q109 44 1300SH Sole 0 1300 ISHARES S&P AGGRSV ALLCTN FD ETF 464289859 0 372SH Sole 0 372 ISHARES S&P GROWTH ALLCTN FD ETF 464289867 0 2014SH Sole 0 2014 ISHARES S&P MODERATE ALLCTN FD ETF 464289875 0 5728SH Sole 0 5728 ISHARES TR LEHMAN 1-3 YR CR BD ETF 464288646 113 1079SH Sole 0 1079 ISHARES TR MISC ACWI IDX FD ETF 464288257 117 2688SH Sole 2688 0 ISHARES TR MSCI EAFE FD ETF 464287465 717 13843SH Sole 13843 0 ISHARES TR MSCI EAFE SMALL CAP ETF 464288273 115 3082SH Sole 3082 0 ISHARES TR MSCI EAFE VALUE IND ETF 464288877 809 18126SH Sole 3510 14616 ISHARES TR RUSSELL ETF 464287622 478 6823SH Sole 6823 0 ISHARES TR RUSSELL ETF 464287689 98 1310SH Sole 1310 0 ISHARES TR RUSSELL 1000G ETF 464287614 115 1948SH Sole 1948 0 ISHARES TR RUSSELL 2000 ETF 464287655 364 4888SH Sole 4888 0 ISHARES TR RUSSELL 2000 GROWTH ETF 464287648 74 860SH Sole 860 0 ISHARES TR RUSSELL 2000 VALUE ETF 464287630 206 3141SH Sole 3141 0 ISHARES TR RUSSELL 3000 GROWTH ETF 464287671 82 1700SH Sole 1700 0 ISHARES TR S&P ETF 464287804 420 6191SH Sole 0 6191 ISHARES TR S&P500 ETF 464287200 2215 17429SH Sole 1849 17429 ISHARES TR S&P SHORT TERM NATL ETF 464288158 21 193SH Sole 0 193 ISHARES TR S&P US PFD STK IND ETF 464288687 51 1375SH Sole 0 1375 ISHARES TRUST US FIN SVC ETF 462470105 45 980SH Sole 0 980 ITC HOLDINGS CORP COM 465685105 594 7681SH Sole 7681 0 ITC HOLDINGS CORP COM 465685105 42 545SH Defined Lockwood 0 545 JOHNSON & JOHNSON COM 478160104 1229 19005SH Sole 13486 5519 JOHNSON & JOHNSON COM 478160104 40 624SH Defined Lockwood 0 624 JPMORGANCHASE & CO COM 46625H100 673 20233SH Sole 10836 9397 KANSAS CITY SOUTHERN COM NEW COM 485170302 222 4295SH Sole 4157 138 KIMBERLY CLARK CORP COM 494368103 229 3219SH Sole 2166 1053 KINETIC CONCEPTS COM 49460W208 602 9130SH Sole 9130 0 KRAFT FOODS INC COM 50075N104 250 7041SH Sole 6284 757 KRAFT FOODS INC COM 50075N104 15 415SH Defined Lockwood 0 415 KRATON PERFORMANCE POLYMERS IN COM 50077C106 256 15788SH Sole 15590 190 LAM RESEARCH CORP COM 512807108 329 8589SH Sole 8446 143 LOCKHEED MARTIN CORP COM 539830109 300 4071SH Sole 3930 141 LORAL SPACE & COMMUNICATI COM 543881106 429 8480SH Sole 8213 267 LYONDELLBASELL INDUSTRIES NV O COM N53745100 245 9230SH Sole 8540 690 M&F WORLDWIDE CORP COM 552541104 380 15407SH Sole 14636 771 MACYS INC COM 55616P104 260 9800SH Sole 9800 0 MASTERCARD INC COM 57636Q104 651 1983SH Sole 1908 75 MASTERCARD INC COM 57636Q104 9 28SH Defined 0 28 MCDONALDS CORP COM 580135101 1408 15728SH Sole 15239 489 MCKENZI EBAY INT COM 581531100 0 10000SH Sole 0 10000 MCKESSON CORP COM 58155Q103 248 3346SH Sole 3121 225 MEDCO HEALTH SOLUTIONS COM 58405U102 315 6350SH Sole 6307 43 MERCK & CO INC COM 58933Y105 23 645SH Defined Lockwood 0 645 MERCK & CO INC COM 58933Y105 481 13379SH Sole 10124 3255 METLIFE INC COM COM 59156R108 111 3350SH Defined Lockwood 0 3350 METLIFE INC COM COM 59156R108 117 3533SH Sole 2235 1298 MICROSOFT CORP COM 594918104 1568 60851SH Sole 54461 6390 MICROSOFT CORP COM 594918104 1 24SH Defined Lockwood 0 24 MONSANTO CO NEWDEL COM 61166W101 254 3582SH Sole 2394 1188 MONSANTO CO NEWDEL COM 61166W101 12 163SH Defined Lockwood 0 163 MOSAIC CO THE COM 61945C103 249 4944SH Sole 4802 142 NATIONAL FINL PTNRS CORP COM 63607P208 46 3350SH Defined Lockwood 0 3350 NATIONAL FINL PTNRS CORP COM 63607P208 368 26809SH Sole 0 26809 NATIONAL PRESTO INDS INC COM 637215104 398 4567SH Sole 4567 0 NEW MARKET CORPORATION COM 651587107 500 3227SH Sole 3157 70 NEWS CORP LTD CL A COM 65248E108 251 14628SH Sole 12495 2133 NIKE INC CLASS B COM 654106103 547 6229SH Sole 6229 0 NIKE INC CLASS B COM 654106103 57 645SH Defined Lockwood 0 645 NVIDIA CORP COM 67066G104 150 11793SH Sole 11403 390 NW BIOTHERAPEUTICS NEW COM 66737P501 21 50000SH Sole 0 50000 OCCIDENTAL PETROLEUM COM 674599105 568 6812SH Sole 5906 906 OCCIDENTAL PETROLEUM COM 674599105 14 163SH Defined Lockwood 0 163 OILSTATES INTERNATIONAL COM 678026105 276 5239SH Sole 5187 52 ORACLE CORPORATION COM 68389X105 1766 59040SH Sole 58763 277 ORACLE CORPORATION COM 68389X105 100 3350SH Defined Lockwood 0 3350 PARADIGM ADV TECHNOLOGIES COM 699004107 0 19000SH Sole 0 19000 PAX MSCI EAFE ESG ETF COM 70422P206 196 8800SH Sole 0 8800 PEPSICO INCORPORATED COM 713448108 1178 18876SH Sole 18398 478 PFIZER INCORPORATED COM 717081103 779 38949SH Sole 26295 12654 PFIZER INCORPORATED COM 717081103 1 63SH Defined Lockwood 0 63 PHARMASSET INC COM 71715N106 250 3076SH Sole 2956 120 PHILIPMORRIS INTL INC COM COM 718172109 1920 29347SH Sole 28262 1085 PLATFORMS WIRE COM 72765A101 0 20000SH Sole 0 20000 POPULAR INC COM 733174106 39 23094SH Sole 1366 21728 POWER SHS DB MULTISECTOR COM 73936B507 280 9973SH Sole 0 9973 PRAXAIR INC COM 74005P104 311 3188SH Sole 2878 310 PRECISION CASTPARTS CORP COM 740189105 410 2565SH Sole 2454 111 PRICELINE COM INC COM NEW COM 741503403 802 1740SH Sole 1701 39 PRICESMART INC COM 741511109 200 3195SH Sole 3109 86 PROCTER & GAMBLE COM 742718109 883 13817SH Sole 8882 4935 PROCTER & GAMBLE COM 742718109 6 100SH Defined Lockwood 0 100 PROTECTIVE LIFE CORP COM 743674103 202 9431SH Sole 997 8434 PRUDENTIAL FINL INC COM 744320102 234 4320SH Sole 3102 1218 PRUDENTIAL FINL INC COM 744320102 5 100SH Defined Lockwood 0 100 QUALCOMM INC COM 747525103 1037 20439SH Sole 20439 0 QUALCOMM INC COM 747525103 170 3350SH Defined Lockwood 0 3350 QUEPASA CORP COM 74833W206 48 10000SH Sole 0 10000 RALPH LAUREN CORP COM 751212101 339 2475SH Sole 2400 75 REYNOLDS AMERICA COM 761713106 307 8147SH Sole 8116 31 ROCK-TENN CO CL A COM 772739207 437 8860SH Sole 8673 187 ROCK-TENN CO CL A COM 772739207 3 61SH Defined Lockwood 0 61 ROSS STORES INC COM 778296103 521 6560SH Sole 6393 167 ROYAL DUTCH SHELL A ADR ADR 000QDCXG9 231 3261SH Sole 3135 126 RSTK EQUIFIN INC COM 29442V908 1 50000SH Sole 0 50000 RSTK ETHANEX ENERGY INC COM 297612913 0 10000SH Sole 0 10000 S P D R TRUST UNIT SR ETF 78462F103 78 612SH Defined Lockwood 0 612 S P D R TRUST UNIT SR ETF 78462F103 679 5405SH Sole 515 4842 SCHEINHENRY INC COM 806407102 379 6096SH Sole 6096 0 SCHLUMBERGER LTD COM 806857108 334 4991SH Sole 4991 298 SCHLUMBERGER LTD COM 806857108 224 3350SH Defined Lockwood 0 3350 SIGNATURE BANK COM 82669G104 198 4089SH Sole 3830 259 SINOFOREST SUBVTG SH COM 82934H101 0 25000SH Sole 0 25000 SIRIUS XM RADIO INC COM 82967N108 197 115769SH Sole 64639 51130 SIX FLAGS INC COM 83001A102 227 8108SH Sole 8108 0 SOLUCORP INDS LTD COM 83437C102 8 204000SH Sole 0 204000 SPDR BARCLAYS SHORT TERM MUNI ETF 78464A425 587 24201SH Sole 0 24201 SPDR SER TR LEHMAN INTL TRES B ETF 78464A516 1189 19604SH Sole 0 19604 STREET TRACKS GOLD TRUST ETF 863307104 38735 222668SH Sole 219973 2695 STREET TRACKS GOLD TRUST ETF 863307104 24 136SH Defined Lockwood 0 136 SWISHER HYGIENE COM 870808102 51 12440SH Sole 12440 0 TARGET CORPORATION COM 87612E106 177 3510SH Defined Lockwood 0 3510 TARGET CORPORATION COM 87612E106 289 5736SH Sole 5736 0 TARRAGON RLTY INVS INC COM 876287103 0 14312SH Sole 0 14312 TILDEN ASSOCS INC RES COM 886749209 1 50000SH Sole 0 50000 TIMKEN CO COM 887389104 330 9984SH Sole 9984 0 TOTALLY GREEN INC COM 89154K102 16 300000SH Sole 0 300000 TRAVELERS COMPANIES INC COM 89417E113 222 3793SH Sole 2950 843 TRIUMPH APPAREL CORP COM COM 896787108 0 67500SH Sole 0 67500 TRIUMPH GROUP INC NEW COM 896818101 173 3510SH Defined Lockwood 0 3510 TRIUMPH GROUP INC NEW COM 896818101 63 1269SH Sole 1269 0 TUPPERWARE BRANDS CORP COM 899896104 257 4785SH Sole 4785 0 UNION PACIFIC CORP COM 907818108 222 2157SH Sole 1993 164 UNITED PARCEL SERVICE B COM 911312106 404 6218SH Sole 6218 0 UNITED TECHNOLOGIES CORP COM 913017109 93 1165SH Sole 1165 0 UNITED TECHNOLOGIES CORP COM 913017109 280 3510SH Defined Lockwood 0 3510 UNITEDHEALTH GROUP COM 91324P102 165 3510SH Defined Lockwood 0 3510 UNITEDHEALTH GROUP COM 91324P102 34 711SH Sole 711 0 UNIVESAL EXPRESS COM 91349P103 0 23333SH Sole 0 23333 VALID US HOLDINGS COM G9319H102 540 21134SH Sole 18697 2437 VANGUARD BD INDEX FD INC TOTAL COM 921937835 201 2407SH Sole 0 2407 VERITAS SOFTWARE CO COM 92828Q109 215 3982SH Sole 3982 0 VERIZON COMMUNICATIONS COM 92343V104 132 3510SH Defined Lockwood 0 3510 VERIZON COMMUNICATIONS COM 92343V104 252 6709SH Sole 6287 422 VIACOM INC B W/I COM 92553P201 716 18411SH Sole 18037 374 VISA INC CL A COM 92826C839 361 3975SH Sole 3745 230 WAL-MART STORES INC COM 931142103 937 17384SH Sole 16084 1300 WELLS FARGO & CO NEW COM 949746101 162 6306SH Sole 6306 0 WELLS FARGO & CO NEW COM 949746101 150 5832SH Defined Lockwood 0 5832 WHITING PETROLEUM CORP COM 966387102 229 6381SH Sole 6381 0 WORLD ACCEP CORP SC NEW COM 981419104 295 5240SH Sole 5240 0 YUMBRANDS INC COM 988498101 388 7754SH Sole 7754 0 YUMBRANDS INC COM 988498101 292 5832SH Defined Lockwood 0 5832 100000THS ENBRIDGE ENERGY MGM COM CKC50X106 0 479410SH Sole 0 479410 100000THS FIRST HORIZON NATIO COM DCA517101 0 212098SH Sole 212098 0 100000THS KINDER MORGAN MGMT COM EKE55U103 0 868955SH Sole 155395 713560