0000890163-13-000017.txt : 20130419 0000890163-13-000017.hdr.sgml : 20130419 20130419145351 ACCESSION NUMBER: 0000890163-13-000017 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130419 DATE AS OF CHANGE: 20130419 EFFECTIVENESS DATE: 20130419 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Concept Capital Markets, LLC CENTRAL INDEX KEY: 0001543830 IRS NUMBER: 800434378 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14944 FILM NUMBER: 13771336 BUSINESS ADDRESS: STREET 1: 1010 FRANKLIN AVENUE STREET 2: SUITE 303 CITY: GARDEN CITY STATE: NY ZIP: 11530 BUSINESS PHONE: 800-281-5984 MAIL ADDRESS: STREET 1: 1010 FRANKLIN AVENUE STREET 2: SUITE 303 CITY: GARDEN CITY STATE: NY ZIP: 11530 13F-HR 1 s22-13183_13fhr.txt 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 3/31/2013 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: Concept Capital Markets, LLC Address: 1010 Franklin Avenue, suite 303 Garden City, NY 11530 Form 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. Person Signing this Report on Behalf of Reporting Manager: Name: Rep Poppell --------------------------------- Title: Chief Compliance Officer --------------------------------- Phone: 212-702-7157 --------------------------------- Signature, Place, and Date of Signing: /s/ Rep Poppell New York, NY 4/19/2013 ------------------ ------------- ---------- [Signature] [City, State] [Date] Some of the securities covered by this report were previously covered by reports filed by Burnham Asset Management Corporation and are now managed by Concept Capital Markets, LLC. 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: Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 242 Form 13F Information Table Value Total: $215,146 --------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 -------- --------- -------- -------- -------- ---------- -------- Value SHRS OR SH/ Investment Other Voting Authority Name of Issuer Title of Class CUSIP (x1000) PRN AMT PRN Discretion Managers Sole Shared None -------------- -------------- --------- ------- ------- --- --------- -------- ---- ------ ---- ***ADVANTAGE OIL & GAS LTD Stock 00765F101 524.17 141700 YES SOLE ***AEGON NV Stock 007924103 8.46 1408 YES SOLE ***ALCATEL-LUCENT Stock 013904305 0.95 716 YES SOLE ***ALTERRA CAPITAL HOLDINGS Stock G0229R108 624.32 19826 YES SOLE ***ASML HOLDING N V Stock N07059210 -736.54 -10833 YES SOLE ***BANK OF MONTREAL Stock 063671101 47.37 753 YES SOLE ***BUNGE LTD Stock G16962105 3.69 50 YES SOLE ***CENOVUS ENERGY INC Stock 15135U109 0.12 4 YES SOLE ***CHICAGO BRIDGE & IRON CO NV Stock 167250109 93.15 1500 YES SOLE ***EDAP TMS SA-SPONSORED ADR Stock 268311107 2.09 500 YES SOLE ***ENCANA CORP Stock 292505104 0.08 4 YES SOLE ***ENERGY XXI BERMUDA LIMITED Stock G10082140 35.39 1300 YES SOLE ***GLAXOSMITHKLINE PLC Stock 37733W105 93.82 2000 YES SOLE ***HSBC HOLDINGS PLC ADS Pref Stock 404280604 19.61 775 YES SOLE ***INGERSOLL RAND PLC Stock G47791101 275.05 5000 YES SOLE ***NOBLE CORPORATION Stock H5833N103 30.52 800 YES SOLE ***NOVO NORDISK A/S-ADR Stock 670100205 121.13 750 YES SOLE ***ROYAL DUTCH SHELL PLC Stock 780259206 58.51 898 YES SOLE ***SANOFI Stock 80105N105 51.08 1000 YES SOLE ***SCHLUMBERGER LTD Stock 806857108 62.53 835 YES SOLE ***SUNCOR ENERGY INC Stock 867224107 59.89 2000 YES SOLE ***SYNGENTA AG Stock 87160A100 41.88 500 YES SOLE ***TEVA PHARMACEUTICAL Stock 881624209 3858.32 97236 YES SOLE ***UNILEVER PLC Stock 904767704 69.48 1645 YES SOLE ***VALEANT PHARMACEUTICALS Stock 91911K102 1.95 26 YES SOLE ***VISTAPRINT NV Stock N93540107 38.66 1000 YES SOLE ***VODAFONE GROUP PLC Stock 92857W209 5434.83 191300 YES SOLE ***XINYUAN REAL ESTATE CO LTD Stock 98417P105 24.65 5000 YES SOLE 3-D SYSTEMS CORP-DEL Stock 88554D205 3442.3 106771 YES SOLE ABBOTT LABORATORIES Stock 002824100 70.64 2000 YES SOLE ABBVIE INC Stock 00287Y109 81.56 2000 YES SOLE ABRAXAS PETROLEUM CORP Stock 003830106 144.14 62400 YES SOLE ACCELRYS INC Stock 00430U103 16228.31 1662737 YES SOLE ACCURAY INCORPORATED Stock 004397105 131.12 28258 YES SOLE ACTAVIS INC Stock 00507K103 88.79 964 YES SOLE ACTUATE CORPORATION Stock 00508B102 712.19 118600 YES SOLE AETNA INC NEW Stock 00817Y108 -352.59 -6896 YES SOLE ALLETE INC Stock 018522300 8.14 166 YES SOLE ALPHA NATURAL RESOURCES INC Stock 02076X102 143.68 17501 YES SOLE ALTRIA GROUP INC Stock 02209S103 17.2 500 YES SOLE AMERICAN EAGLE OUTFITTERS INC Stock 02553E106 1.87 100 YES SOLE AMERICAN ELECTRIC POWER CO INC Stock 025537101 2322.08 47750 YES SOLE AMERICAN EXPRESS COMPANY Stock 025816109 15.52 230 YES SOLE AMERICAN GREETINGS CORP-CL A Stock 026375105 310.73 19300 YES SOLE AMERISTAR CASINOS INC Stock 03070Q101 567.17 21623 YES SOLE ANADARKO PETROLEUM CORP Stock 032511107 2.62 30 YES SOLE ANALOG DEVICES INC Stock 032654105 836.82 18000 YES SOLE ANNALY CAPITAL MANAGEMENT INC Stock 035710409 18.05 1136 YES SOLE APACHE CORP Stock 037411105 34.72 450 YES SOLE APPLE INC Stock 037833100 146.08 330 YES SOLE APPLIED MATERIALS INC Stock 038222105 0.16 12 YES SOLE ARBITRON INC Stock 03875Q108 660.87 14100 YES SOLE ASSISTED LIVING CONCEPTS INC Stock 04544X300 588.56 49500 YES SOLE AT&T INC Stock 00206R102 0.84 23 YES SOLE AVERY DENNISON CORP Stock 053611109 1029.37 23900 YES SOLE BANK OF AMERICA Pref Stock 060505682 42.77 35 YES SOLE BANK OF AMERICA CORP Stock 060505104 70.17 5761 YES SOLE BERKSHIRE HATHAWAY INC DEL Stock 084670702 208.4 2000 YES SOLE BILL BARRETT CORPORATION Stock 06846N104 79.05 3900 YES SOLE BLACKROCK CREDIT ALLOCATION Stock 092508100 364 26000 YES SOLE BLACKROCK INCOME TRUST INC Stock 09247F100 180.25 25000 YES SOLE BLACKROCK KELSO CAP Stock 092533108 20.68 2068 YES SOLE BLACKROCK MUNIENHANCED FD INC Stock 09253Y100 76.02 6000 YES SOLE BLUEGREEN CORP Stock 096231105 177.12 18000 YES SOLE BOARDWALK PIPELINE PARTNERS LP Stock 096627104 1927.13 65750 YES SOLE BRISTOL MYERS SQUIBB CO Stock 110122108 370.71 9000 YES SOLE BROADVISION INC Stock 111412706 0.04 4 YES SOLE BROCADE COMMUNICATIONS SYS INC Stock 111621306 489.73 84875 YES SOLE BRT REALTY TRUST SBI-NEW Stock 055645303 11.26 1604 YES SOLE CALL CTL 04/20/13 44 CALL 156700906 -0.05 -20 YES SOLE CALL CVS 01/18/14 55 CALL 126650900 -6.6 -20 YES SOLE CALL CVX 01/18/14 120 CALL 166764900 -3.87 -7 YES SOLE CALL DOW 01/18/14 40 CALL 260543903 -4.05 -100 YES SOLE CALL PFE 01/18/14 30 CALL 717081903 -3.34 -35 YES SOLE CATERPILLAR INC Stock 149123101 121.76 1400 YES SOLE CBIZ INC Stock 124805102 6.38 1000 YES SOLE CENTURYLINK INC Stock 156700106 87.83 2500 YES SOLE CEVA INC Stock 157210105 374.35 23997 YES SOLE CHEVRON CORPORATION Stock 166764100 1128.79 9500 YES SOLE CHYRON CORPORATION Stock 171605306 134.12 86239 YES SOLE CITIGROUP INC Stock 172967424 40.3 911 YES SOLE CLAYTON WILLIAMS ENERGY INC Stock 969490101 555.37 12700 YES SOLE COCA COLA COMPANY Stock 191216100 299.26 7400 YES SOLE COLGATE PALMOLIVE CO Stock 194162103 291.77 2472 YES SOLE COMCAST CORP Stock 20030N101 326.27 7772 YES SOLE CONOCOPHILLIPS Stock 20825C104 204.34 3400 YES SOLE COPANO ENERGY LLC Stock 217202100 1103.76 27240 YES SOLE CORNING INC Stock 219350105 53.32 4000 YES SOLE COVENTRY HEALTH CARE INC Stock 222862104 835.44 17764 YES SOLE CVS CAREMARK CORPORATION Stock 126650100 109.98 2000 YES SOLE CYMER INC Stock 232572107 1176.9 12240 YES SOLE DCP MIDSTREAM PARTNERS LP Stock 23311P100 284.32 6100 YES SOLE DEERE & CO Stock 244199105 240.74 2800 YES SOLE DEVON ENERGY CORPORATION NEW Stock 25179M103 81.81 1450 YES SOLE DIGIMARC CORPORATION Stock 25381B101 17733.17 807154 YES SOLE DOMINION RESOURCES INC VA NEW Stock 25746U109 145.45 2500 YES SOLE DOW CHEMICAL CO. Stock 260543103 477.6 15000 YES SOLE DTS INC Stock 23335C101 448.26 26955 YES SOLE DUKE ENERGY CORPORATION Stock 26441C204 573.32 7898 YES SOLE DURECT CORP Stock 266605104 33.92 25500 YES SOLE DYNAVOX INC Stock 26817F104 2.75 5000 YES SOLE E TRADE FINANCIAL CORPORATION Stock 269246401 21.42 2000 YES SOLE EAGLE ROCK ENERGY PARTNERS LP Stock 26985R104 19.64 2000 YES SOLE EATON VANCE LIMITED DURATION Stock 27828H105 0.03 2 YES SOLE EATON VANCE TAX ADVANTAGED Stock 27828G107 279.9 15000 YES SOLE EBAY INC Stock 278642103 81.55 1504 YES SOLE ECOLAB INC Stock 278865100 64.14 800 YES SOLE EMERSON ELECTRIC CO Stock 291011104 78.22 1400 YES SOLE ENTERPRISE PRODUCTS PARTNERS Stock 293792107 1229.92 20400 YES SOLE ENZO BIOCHEM INC Stock 294100102 0.61 242 YES SOLE EOG RES INC Stock 26875P101 64.04 500 YES SOLE EXAR CORPORATION Stock 300645108 295.18 28112 YES SOLE EXXON MOBIL CORP Stock 30231G102 1065.1 11820 YES SOLE FAIR ISAAC INC Stock 303250104 0.14 3 YES SOLE FALCONSTOR SOFTWARE INC Stock 306137100 462.76 172670 YES SOLE FIRSTCITY FINANCIAL CORP Stock 33761X107 9.87 1000 YES SOLE FRONTIER COMMUNICATIONS CORP Stock 35906A108 1.75 439 YES SOLE GABELLI DIVIDEND & INCOME FUND Stock 36242H104 284.4 15000 YES SOLE GAP INC Stock 364760108 36.18 1022 YES SOLE GARDNER DENVER INC Stock 365558105 1224.29 16300 YES SOLE GENERAL ELECTRIC CO Stock 369604103 2399.28 103775 YES SOLE GENERAL MILLS INC Stock 370334104 138.07 2800 YES SOLE GOLDMAN SACHS GROUP INC Stock 38141G104 147.15 1000 YES SOLE GOOGLE INC Stock 38259P508 31.77 40 YES SOLE GT ADVANCED TECHNOLOGIES INC Stock 36191U106 210.54 63800 YES SOLE H J HEINZ CO Stock 423074103 1459.85 20200 YES SOLE HALCON RESOURCES CORPORATION Stock 40537Q209 167.49 21500 YES SOLE HCP INC Stock 40414L109 3928.97 78800 YES SOLE HELMERICH & PAYNE INC Stock 423452101 48.56 800 YES SOLE HEWLETT PACKARD CO Stock 428236103 4.77 200 YES SOLE HOT TOPIC INC Stock 441339108 384.48 27700 YES SOLE ILLUMINA INC Stock 452327109 26.99 500 YES SOLE INTEL CORP Stock 458140100 65.51 3000 YES SOLE INTERNATIONAL BUSINESS Stock 459200101 343.84 1612 YES SOLE INTERSIL CORPORATION CL A Stock 46069S109 0.01 1 YES SOLE JOHNSON & JOHNSON Stock 478160104 1213.82 14888 YES SOLE JPMORGAN CHASE & CO Stock 46625H100 383.19 8074 YES SOLE JUNIPER NETWORKS Stock 48203R104 0.07 4 YES SOLE KIMBERLY CLARK CORP Stock 494368103 146.97 1500 YES SOLE KINDER MORGAN ENERGY PARTNERS Stock 494550106 -951.74 -10602 YES SOLE KRAFT FOODS GROUP INC Stock 50076Q106 4372.32 84850 YES SOLE LABORATORY CORP AMER HLDGS Stock 50540R409 0.09 1 YES SOLE LEAPFROG ENTERPRISES INC Stock 52186N106 0.04 5 YES SOLE LEGACY RESERVES LP Stock 524707304 138.08 5000 YES SOLE LIBERTY GLOBAL INC Stock 530555101 -256.83 -3500 YES SOLE LIBERTY GLOBAL INC Stock 530555309 -179.06 -2609 YES SOLE LIFE TECHNOLOGIES CORPORATION Stock 53217V109 581.67 9000 YES SOLE LIONBRIDGE TECHNOLOGIES INC Stock 536252109 9992.48 2582035 YES SOLE LMP CAPITAL AND INCOME FUND Stock 50208A102 234.15 15000 YES SOLE LOCKHEED MARTIN CORP Stock 539830109 48.26 500 YES SOLE LSI CORPORATION Stock 502161102 0.05 8 YES SOLE LUMINEX CORP DEL Stock 55027E102 2515.58 152275 YES SOLE MAGNUM HUNTER RESOURCES Stock 55973B102 232.58 58000 YES SOLE MARKEL CORP HOLDING CO Stock 570535104 -278.44 -553 YES SOLE MARKET VECTORS ETF TR JR Stock 57060U589 7.37 440 YES SOLE MCDONALDS CORP Stock 580135101 63.8 640 YES SOLE MERCK & CO INC Stock 58933Y105 17.68 400 YES SOLE METLIFE INC Stock 59156R108 169.19 4450 YES SOLE MICROSOFT CORP Stock 594918104 1646.13 57547 YES SOLE MINDSPEED TECHNOLOGIES INC Stock 602682205 115.87 34900 YES SOLE MONDELEZ INTERNATIONAL INC Stock 609207105 143.89 4700 YES SOLE MOTOROLA SOLUTIONS INC Stock 620076307 17.61 275 YES SOLE NATIONAL RESEARCH CORP Stock 637372103 312.15 5400 YES SOLE NEOGEN CORP Stock 640491106 297.42 6000 YES SOLE NEWFIELD EXPLORATION CO Stock 651290108 280.25 12500 YES SOLE NEWMONT MINING CORP Stock 651639106 4989.1 119100 YES SOLE NIC INC Stock 62914B100 1515.56 79100 YES SOLE NORFOLK SOUTHERN CORP Stock 655844108 154.16 2000 YES SOLE NORTHERN OIL & GAS INC Stock 665531109 335.05 23300 YES SOLE NORTHROP GRUMMAN CORP Stock 666807102 56.12 800 YES SOLE NUVEEN CREDIT STRATEGIES Stock 67073D102 209 20000 YES SOLE NUVEEN EQUITY PREM ADVANTAGE Stock 6706ET107 12.43 1000 YES SOLE NUVEEN MARYLAND PREMIUM INCOME Stock 67061Q107 72.55 5000 YES SOLE NUVEEN MUNICIPAL OPPORTUNITY Stock 670984103 75.1 5000 YES SOLE NUVEEN PREFERRED INCOME Stock 67073B106 10.27 1000 YES SOLE NVE CORPORATION Stock 629445206 251.07 4450 YES SOLE OCCIDENTAL PETE CORP Stock 674599105 43.1 550 YES SOLE OFFICIAL PAYMENTS HOLDINGS Stock 67623R106 2759.87 486750 YES SOLE ONVIA INC Stock 68338T403 489.57 127826 YES SOLE OPKO HEALTH INC Stock 68375N103 114.45 15000 YES SOLE ORACLE CORP Stock 68389X105 12.74 394 YES SOLE PALL CORP Stock 696429307 2799.07 40940 YES SOLE PARKERVISION INC Stock 701354102 7.3 2000 YES SOLE PAYCHEX INC Stock 704326107 122.71 3500 YES SOLE PDF SOLUTIONS INC Stock 693282105 51547.17 3217676 YES SOLE PENN VIRGINIA CORP Stock 707882106 577.72 143000 YES SOLE PEPSICO INC Stock 713448108 79.11 1000 YES SOLE PERVASIVE SOFTWARE INC Stock 715710109 397.98 43400 YES SOLE PETROQUEST ENERGY INC Stock 716748108 186.48 42000 YES SOLE PFIZER INC Stock 717081103 6564.21 227450 YES SOLE PHILIP MORRIS INTERNATIONAL Stock 718172109 129.79 1400 YES SOLE PLUM CREEK TIMBER CO INC Stock 729251108 4832.05 92568 YES SOLE PPG INDUSTRIES INC Stock 693506107 521.83 3896 YES SOLE PRGX GLOBAL INC Stock 69357C503 8322.97 1197550 YES SOLE PROCTER & GAMBLE CO Stock 742718109 215.92 2802 YES SOLE PROSHARES SHORT RUSSELL2000 Stock 74347R826 21.47 1000 YES SOLE PROSHARES TR Stock 74347B201 16.43 250 YES SOLE PROSHARES ULTRA S&P500 Stock 74347R107 -72.98 -1000 YES SOLE PTC INC Stock 69370C100 1604.6 62950 YES SOLE QUICKLOGIC CORP Stock 74837P108 172.27 70030 YES SOLE R R DONNELLEY & SONS CO Stock 257867101 0.04 3 YES SOLE REGENERON PHARMACEUTICALS INC Stock 75886F107 88.2 500 YES SOLE REIS INC Stock 75936P105 5177.93 333200 YES SOLE SANDRIDGE ENERGY INC Stock 80007P307 84.32 16000 YES SOLE SELECTICA INC Stock 816288203 6.34 700 YES SOLE SEMPRA ENERGY Stock 816851109 63.95 800 YES SOLE SENOMYX INC Stock 81724Q107 1587.32 752286 YES SOLE SIRIUS XM RADIO INC Stock 82967N108 0.03 9 YES SOLE SMITH MICRO SOFTWARE INC Stock 832154108 203.25 153978 YES SOLE SONUS NETWORKS INC Stock 835916107 679.36 262300 YES SOLE SPDR GOLD TR Stock 78463V107 47.89 310 YES SOLE STEEL PARTNERS HOLDINGS Stock 85814R107 681 50000 YES SOLE STRATUS PROPERTIES INC Stock 863167201 0.8 50 YES SOLE SUPERVALU INC Stock 868536103 25.2 5000 YES SOLE SWIFT ENERGY CO Stock 870738101 133.29 9000 YES SOLE SYMANTEC CORPORATION Stock 871503108 0.02 1 YES SOLE SYSCO CORP Stock 871829107 63.31 1800 YES SOLE TARGA RESOURCES PARTNERS LP Stock 87611X105 170.27 3700 YES SOLE TENNECO INC Stock 880349105 0.79 20 YES SOLE TEXAS INSTRUMENTS INCORPORATED Stock 882508104 106.87 3012 YES SOLE TICC CAPITAL CORP Stock 87244T109 41.77 4200 YES SOLE TRANSACT TECHNOLOGIES INC Stock 892918103 6498.87 818498 YES SOLE TRIANGLE PETROLEUM CORP Stock 89600B201 696.96 105600 YES SOLE UNITED BANKSHARES INC-W VA Stock 909907107 -376.37 -14144 YES SOLE UNITED PARCEL SVC INC Stock 911312106 137.44 1600 YES SOLE UNITEDHEALTH GROUP INC Stock 91324P102 0.11 2 YES SOLE VERIZON COMMUNICATIONS Stock 92343V104 365.77 7442 YES SOLE VERMILLION INC Stock 92407M206 2.88 2400 YES SOLE VIRGIN MEDIA INC Stock 92769L101 664.08 13561 YES SOLE VIRGINIA COMM BANCORP INC Stock 92778Q109 365.3 26000 YES SOLE WAL-MART STORES INC Stock 931142103 129.31 1728 YES SOLE WALT DISNEY CO Stock 254687106 1.14 20 YES SOLE WALTER ENERGY INC NEW Stock 93317Q105 116.85 4100 YES SOLE WASTE MANAGEMENT INC DEL Stock 94106L109 1925.21 49100 YES SOLE WESTERN ASSET/CLAYMORE Stock 95766R104 278.25 21000 YES SOLE WILLIAMS PARTNERS L P Stock 96950F104 0.05 1 YES SOLE WISCONSIN ENERGY CORP Stock 976657106 193.01 4500 YES SOLE WMS INDUSTRIES INC Stock 929297109 592.44 23500 YES SOLE XEROX CORP Stock 984121103 -0.02 -2 YES SOLE YAHOO INC Stock 984332106 78.96 3356 YES SOLE ZAZA ENERGY CORP Stock 98919T100 295.32 162261 YES SOLE ZHONGPIN INC Stock 98952K107 64.45 5000 YES SOLE Total 215,146