-----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, PoHC5/zU4aRtwzu+6qGRFE70cLlXJA79PTAGqWwr965mlJqwQLjAvkDnCwTdEjjq 5EjjOpDCMFmeuUcQwv1FGw== 0001085146-10-000942.txt : 20101112 0001085146-10-000942.hdr.sgml : 20101111 20101112083146 ACCESSION NUMBER: 0001085146-10-000942 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101112 DATE AS OF CHANGE: 20101112 EFFECTIVENESS DATE: 20101112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BAILARD, INC. CENTRAL INDEX KEY: 0000750641 IRS NUMBER: 942149863 STATE OF INCORPORATION: CA FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-01707 FILM NUMBER: 101182887 BUSINESS ADDRESS: STREET 1: 950 TOWER LANE SUITE 1900 CITY: FOREST CITY STATE: CA ZIP: 94404 BUSINESS PHONE: 6505715800 MAIL ADDRESS: STREET 1: 950 TOWER LANE SUITE 1900 CITY: FOSTER CITY STATE: CA ZIP: 94404 FORMER COMPANY: FORMER CONFORMED NAME: BAILARD BIEHL & KAISER INC DATE OF NAME CHANGE: 19990402 13F-HR 1 bail3q10.txt BAILARD INC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: Septemer 30, 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: Bailard, Inc. Address: 950 Tower Lane, Suite 1900 Foster City, CA 94404 13F File Number: 028-01707 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: Burnie E. Sparks, Jr. Title: President Phone: 650-571-5800 Signature, Place, and Date of Signing: /s/ Burnie E. Sparks, Jr. Foster City, CA November 12, 2010 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 201 Form 13F Information Table Value Total: $447,946 (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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M CO COM 88579Y101 3259 38700 SH SOLE 38700 0 0 ABBOTT LABS COM 002824100 3955 77066 SH SOLE 77066 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 5367 120034 SH SOLE 120034 0 0 AIR TRANSPORT SERVICES GRP I COM 00922R105 71 10510 SH SOLE 10510 0 0 AK STL HLDG CORP COM 001547108 152 12100 SH SOLE 12100 0 0 ALCATEL-LUCENT SPONSORED ADR 013904305 362 104200 SH SOLE 104200 0 0 ALEXANDERS INC COM 014752109 338 900 SH SOLE 900 0 0 ALLIED HEALTHCARE INTL INC COM 01923A109 87 30600 SH SOLE 30600 0 0 AMB PROPERTY CORP COM 00163T109 1128 40000 SH SOLE 40000 0 0 AMERICAN CAMPUS CMNTYS INC COM 024835100 759 24000 SH SOLE 24000 0 0 AMERICAN EXPRESS CO COM 025816109 2352 56729 SH SOLE 56729 0 0 APPLE INC COM 037833100 2115 7028 SH SOLE 7028 0 0 APPLIED INDL TECHNOLOGIES IN COM 03820C105 359 11800 SH SOLE 11800 0 0 ASSOCIATED ESTATES RLTY CORP COM 045604105 417 30000 SH SOLE 30000 0 0 ASTRAZENECA PLC SPONSORED ADR 046353108 2066 40945 SH SOLE 40945 0 0 ASTROTECH CORP COM 046484101 12 10230 SH SOLE 10230 0 0 AT&T INC COM 00206R102 2608 91443 SH SOLE 91443 0 0 ATLAS AIR WORLDWIDE HLDGS IN COM NEW 049164205 235 4500 SH SOLE 4500 0 0 ATMEL CORP COM 049513104 178 20100 SH SOLE 20100 0 0 AVALONBAY CMNTYS INC COM 053484101 2329 21903 SH SOLE 21903 0 0 BANCOLOMBIA S A SPON ADR PREF 05968L102 216 3200 SH SOLE 3200 0 0 BARRY R G CORP OHIO COM 068798107 116 11260 SH SOLE 11260 0 0 BIOMED REALTY TRUST INC COM 09063H107 440 24000 SH SOLE 24000 0 0 BOSTON PROPERTIES INC COM 101121101 2092 24275 SH SOLE 24275 0 0 BP PLC SPONSORED ADR 055622104 3896 95478 SH SOLE 95478 0 0 BROOKFIELD PPTYS CORP COM 112900105 1736 99824 SH SOLE 99824 0 0 BT GROUP PLC ADR 05577E101 2983 120884 SH SOLE 120884 0 0 CARDIOME PHARMA CORP COM NEW 14159U202 202 40000 SH SOLE 40000 0 0 CATO CORP NEW CL A 149205106 376 14200 SH SOLE 14200 0 0 CCA INDS INC COM 124867102 50 11150 SH SOLE 11150 0 0 CERADYNE INC COM 156710105 288 12100 SH SOLE 12100 0 0 CHELSEA THERAPEUTICS INTL LT COM 163428105 1796 350000 SH SOLE 350000 0 0 CHEVRON CORP NEW COM 166764100 4936 59758 SH SOLE 59758 0 0 CHINA DIGITAL TV HLDG CO LTD SPONSORED ADR 16938G107 269 40900 SH SOLE 40900 0 0 CHINA MARINE FOOD GROUP LTD COM 16943R106 59 10100 SH SOLE 10100 0 0 CHINA MEDIAEXPRESS HLDGS INC COM 169442100 362 23400 SH SOLE 23400 0 0 CISCO SYS INC COM 17275R102 772 33790 SH SOLE 33790 0 0 CLOUD PEAK ENERGY INC COM 18911Q102 335 19300 SH SOLE 19300 0 0 COMCAST CORP NEW CL A 20030N101 2136 103575 SH SOLE 103575 0 0 CONOCOPHILLIPS COM 20825C104 4548 76587 SH SOLE 76587 0 0 CONSOL ENERGY INC COM 20854P109 213 5800 SH SOLE 5800 0 0 CONTINUCARE CORP COM 212172100 70 15510 SH SOLE 15510 0 0 CORPORATE EXECUTIVE BRD CO COM 21988R102 322 10300 SH SOLE 10300 0 0 COURIER CORP COM 222660102 291 19690 SH SOLE 19690 0 0 CSG SYS INTL INC COM 126349109 418 21500 SH SOLE 21500 0 0 CVS CAREMARK CORPORATION COM 126650100 249 8256 SH SOLE 8256 0 0 CYPRESS BIOSCIENCES INC COM PAR $.02 232674507 440 110400 SH SOLE 110400 0 0 DANAHER CORP DEL COM 235851102 269 6200 SH SOLE 6200 0 0 DANAOS CORPORATION SHS Y1968P105 55 12100 SH SOLE 12100 0 0 DELL INC COM 24702R101 1650 114639 SH SOLE 114639 0 0 DEVELOPERS DIVERSIFIED RLTY COM 251591103 1240 96000 SH SOLE 96000 0 0 DIGIRAD CORP COM 253827109 102 53030 SH SOLE 53030 0 0 DIGITAL RLTY TR INC COM 253868103 2013 33700 SH SOLE 33700 0 0 DISH NETWORK CORP CL A 25470M109 2541 127869 SH SOLE 127869 0 0 DOMINOS PIZZA INC COM 25754A201 359 24200 SH SOLE 24200 0 0 DSW INC CL A 23334L102 319 9600 SH SOLE 9600 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 5031 106415 SH SOLE 106415 0 0 EMCORE CORP COM 290846104 96 76500 SH SOLE 76500 0 0 EMERSON RADIO CORP COM NEW 291087203 172 83990 SH SOLE 83990 0 0 EQUITY LIFESTYLE PPTYS INC COM 29472R108 1025 18000 SH SOLE 18000 0 0 EQUITY RESIDENTIAL SH BEN INT 29476L107 973 20000 SH SOLE 20000 0 0 ESSEX PPTY TR INC COM 297178105 1017 9000 SH SOLE 9000 0 0 EXTRA SPACE STORAGE INC COM 30225T102 486 30000 SH SOLE 30000 0 0 EXXON MOBIL CORP COM 30231G102 5672 85305 SH SOLE 85305 0 0 FEDERAL REALTY INVT TR SH BEN INT NEW 313747206 779 9500 SH SOLE 9500 0 0 FEI CO COM 30241L109 455 20900 SH SOLE 20900 0 0 FIRST POTOMAC RLTY TR COM 33610F109 626 38000 SH SOLE 38000 0 0 FRANKLIN RES INC COM 354613101 3302 28790 SH SOLE 28790 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 2432 25656 SH SOLE 25656 0 0 FULL HOUSE RESORTS INC COM 359678109 62 17670 SH SOLE 17670 0 0 FURNITURE BRANDS INTL INC COM 360921100 165 33000 SH SOLE 33000 0 0 GENERAL ELECTRIC CO COM 369604103 2096 130816 SH SOLE 130816 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 1866 11578 SH SOLE 11578 0 0 GOOGLE INC CL A 38259P508 749 1220 SH SOLE 1220 0 0 GREEN PLAINS RENEWABLE ENERG COM 393222104 141 12700 SH SOLE 12700 0 0 GSI TECHNOLOGY COM 36241U106 193 27800 SH SOLE 27800 0 0 GT SOLAR INTL INC COM 3623E0209 329 40000 SH SOLE 40000 0 0 HEWLETT PACKARD CO COM 428236103 1943 46215 SH SOLE 46215 0 0 HOT TOPIC INC COM 441339108 80 14030 SH SOLE 14030 0 0 HUNT J B TRANS SVCS INC COM 445658107 385 10700 SH SOLE 10700 0 0 IDENIX PHARMACEUTICALS INC COM 45166R204 2212 510761 SH SOLE 510761 0 0 INSPIRE PHARMACEUTICALS INC COM 457733103 3542 506000 SH SOLE 506000 0 0 INSULET CORP COM 45784P101 2552 160000 SH SOLE 160000 0 0 INTEGRATED SILICON SOLUTION COM 45812P107 117 15530 SH SOLE 15530 0 0 INTEL CORP COM 458140100 4612 230021 SH SOLE 230021 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 7058 49152 SH SOLE 49152 0 0 INTERSECTIONS INC COM 460981301 234 24230 SH SOLE 24230 0 0 INTUIT COM 461202103 2431 50665 SH SOLE 50665 0 0 ISHARES TR S&P 500 INDEX 464287200 204 1718 SH SOLE 1718 0 0 ISHARES TR BARCLY USAGG B 464287226 30272 278876 SH SOLE 278876 0 0 ISHARES TR MSCI EMERG MKT 464287234 36807 798067 SH SOLE 798067 0 0 ISHARES TR IBOXX INV CPBD 464287242 824 7330 SH SOLE 7330 0 0 ISHARES TR BARCLYS 20+ YR 464287432 1453 14735 SH SOLE 14735 0 0 ISHARES TR MSCI EAFE IDX 464287465 2528 44346 SH SOLE 44346 0 0 ISHARES TR COHEN&ST RLTY 464287564 417 6467 SH SOLE 6467 0 0 ISHARES TR RUSL 2000 VALU 464287630 3641 56561 SH SOLE 56561 0 0 ISHARES TR DJ US REAL EST 464287739 24333 442737 SH SOLE 442737 0 0 ISHARES TR DJ US ENERGY 464287796 205 6035 SH SOLE 6035 0 0 ISHARES TR S&P SMLCP VALU 464287879 2490 38491 SH SOLE 38491 0 0 ISHARES TR S&P NTL AMTFREE 464288414 5569 52740 SH SOLE 52740 0 0 ISHARES TR HIGH YLD CORP 464288513 268 2949 SH SOLE 2949 0 0 ISHARES TR BARCLYS MBS BD 464288588 255 2320 SH SOLE 2320 0 0 JOHNSON & JOHNSON COM 478160104 4898 76847 SH SOLE 76847 0 0 JPMORGAN CHASE & CO COM 46625H100 2342 62225 SH SOLE 62225 0 0 KERYX BIOPHARMACEUTICALS INC COM 492515101 2141 415000 SH SOLE 415000 0 0 KIMBERLY CLARK CORP COM 494368103 4736 74777 SH SOLE 74777 0 0 LATTICE SEMICONDUCTOR CORP COM 518415104 149 30720 SH SOLE 30720 0 0 LEXINGTON REALTY TRUST COM 529043101 389 50000 SH SOLE 50000 0 0 LIBERTY PPTY TR SH BEN INT 531172104 335 10000 SH SOLE 10000 0 0 MACK CALI RLTY CORP COM 554489104 1188 35380 SH SOLE 35380 0 0 MCDONALDS CORP COM 580135101 4186 53826 SH SOLE 53826 0 0 MCKESSON CORP COM 58155Q103 3402 51557 SH SOLE 51557 0 0 MEDCO HEALTH SOLUTIONS INC COM 58405U102 2659 50617 SH SOLE 50617 0 0 MICROSOFT CORP COM 594918104 7057 264643 SH SOLE 264643 0 0 MILLER INDS INC TENN COM NEW 600551204 355 26400 SH SOLE 26400 0 0 MIND C T I LTD ORD M70240102 66 29464 SH SOLE 29464 0 0 MOTORCAR PTS AMER INC COM 620071100 284 28100 SH SOLE 28100 0 0 NATIONAL OILWELL VARCO INC COM 637071101 424 7880 SH SOLE 7880 0 0 NAVIGANT CONSULTING INC COM 63935N107 283 30900 SH SOLE 30900 0 0 NESS TECHNOLOGIES INC COM 64104X108 201 41700 SH SOLE 41700 0 0 NETAPP INC COM 64110D104 1908 35835 SH SOLE 35835 0 0 NETWORK ENGINES INC COM 64121A107 112 67110 SH SOLE 67110 0 0 NN INC COM 629337106 196 23600 SH SOLE 23600 0 0 NOAH ED HLDGS LTD ADR 65487R303 37 18700 SH SOLE 18700 0 0 NORFOLK SOUTHERN CORP COM 655844108 4192 68180 SH SOLE 68180 0 0 NU HORIZONS ELECTRS CORP COM 669908105 87 12490 SH SOLE 12490 0 0 O2MICRO INTERNATIONAL LTD SPONS ADR 67107W100 157 25100 SH SOLE 25100 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 2082 26481 SH SOLE 26481 0 0 OCLARO INC COM NEW 67555N206 111 13200 SH SOLE 13200 0 0 OMEGA NAVIGATION ENTERPRISES CLASS A Y6476R105 30 24642 SH SOLE 24642 0 0 OMNI ENERGY SERVICES COM NEW 68210T208 131 47980 SH SOLE 47980 0 0 OPLINK COMMUNICATIONS INC COM NEW 68375Q403 353 20210 SH SOLE 20210 0 0 OPTIMER PHARMACEUTICALS INC COM 68401H104 1763 187700 SH SOLE 187700 0 0 ORACLE CORP COM 68389X105 2586 88006 SH SOLE 88006 0 0 OREXIGEN THERAPEUTICS INC COM 686164104 265 50000 SH SOLE 50000 0 0 OREXIGEN THERAPEUTICS INC COM 686164104 133 79400 SH CALL SOLE 79400 0 0 ORTHOVITA INC COM 68750U102 1809 830000 SH SOLE 830000 0 0 PARAGON SHIPPING INC CL A 69913R309 164 43900 SH SOLE 43900 0 0 PENNSYLVANIA RL ESTATE INVT SH BEN INT 709102107 956 67000 SH SOLE 67000 0 0 PERVASIVE SOFTWARE INC COM 715710109 71 14070 SH SOLE 14070 0 0 PFIZER INC COM 717081103 235 13500 SH SOLE 13500 0 0 PHARMASSET INC COM 71715N106 1800 48000 SH SOLE 48000 0 0 PIONEER SOUTHWST ENRG PRTNR UNIT LP INT 72388B106 408 14100 SH SOLE 14100 0 0 PNC FINL SVCS GROUP INC COM 693475105 237 4393 SH SOLE 4393 0 0 POWERSHARES GLOBAL ETF TRUST WK VRDO TX FR 73936T433 235 9384 SH SOLE 9384 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 17056 326869 SH SOLE 326869 0 0 PPL CORP COM 69351T106 4254 158367 SH SOLE 158367 0 0 PROCTER & GAMBLE CO COM 742718109 1043 16405 SH SOLE 16405 0 0 PUBLIC SVC ENTERPRISE GROUP COM 744573106 2143 66257 SH SOLE 66257 0 0 QIAO XING MOBILE COMM CO LTD SHS G73031109 80 21660 SH SOLE 21660 0 0 QLT INC COM 746927102 62 11060 SH SOLE 11060 0 0 RAYONIER INC COM 754907103 444 8500 SH SOLE 8500 0 0 RAYTHEON CO COM NEW 755111507 3567 77402 SH SOLE 77402 0 0 REGENCY CTRS CORP COM 758849103 1265 30000 SH SOLE 30000 0 0 RENAISSANCE LEARNING INC COM 75968L105 159 11371 SH SOLE 11371 0 0 REPUBLIC AWYS HLDGS INC COM 760276105 134 14390 SH SOLE 14390 0 0 REYNOLDS AMERICAN INC COM 761713106 3044 46886 SH SOLE 46886 0 0 ROCKWELL MEDICAL TECH COM 774374102 786 92000 SH SOLE 92000 0 0 SARA LEE CORP COM 803111103 3744 261270 SH SOLE 261270 0 0 SAUL CTRS INC COM 804395101 811 19000 SH SOLE 19000 0 0 SCHLUMBERGER LTD COM 806857108 516 7390 SH SOLE 7390 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 6172 423955 SH SOLE 423955 0 0 SENOMYX INC COM 81724Q107 288 57600 SH SOLE 57600 0 0 SILICON MOTION TECHNOLOGY CO SPONSORED ADR 82706C108 220 40700 SH SOLE 40700 0 0 SIMON PPTY GROUP INC NEW COM 828806109 2080 21665 SH SOLE 21665 0 0 SPARTON CORP COM 847235108 122 16710 SH SOLE 16710 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 50924 383987 SH SOLE 383987 0 0 SPDR INDEX SHS FDS MSCI ACWI EXUS 78463X848 933 28460 SH SOLE 28460 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 8870 74856 SH SOLE 74856 0 0 SPDR SERIES TRUST NUVN BR SHT MUNI 78464A425 11649 479975 SH SOLE 479975 0 0 STARBUCKS CORP COM 855244109 256 8975 SH SOLE 8975 0 0 STONERIDGE INC COM 86183P102 165 15000 SH SOLE 15000 0 0 SUPERIOR ENERGY SVCS INC COM 868157108 385 13950 SH SOLE 13950 0 0 SYSCO CORP COM 871829107 266 9046 SH SOLE 9046 0 0 TAUBMAN CTRS INC COM 876664103 928 20000 SH SOLE 20000 0 0 TECHNOLOGY RESH CORP COM NEW 878727304 80 22050 SH SOLE 22050 0 0 TELULAR CORP COM NEW 87970T208 58 16010 SH SOLE 16010 0 0 TENARIS S A SPONSORED ADR 88031M109 1806 43590 SH SOLE 43590 0 0 TJX COS INC NEW COM 872540109 5579 121577 SH SOLE 121577 0 0 TRANSPORTADORA DE GAS SUR SPON ADR B 893870204 65 15800 SH SOLE 15800 0 0 TRAVELERS COMPANIES INC COM 89417E109 3575 64764 SH SOLE 64764 0 0 TYCO ELECTRONICS LTD SWITZER SHS H8912P106 2343 73950 SH SOLE 73950 0 0 UDR INC COM 902653104 1281 57000 SH SOLE 57000 0 0 UNILEVER PLC SPON ADR NEW 904767704 1908 65745 SH SOLE 65745 0 0 UNITED TECHNOLOGIES CORP COM 913017109 7275 97302 SH SOLE 97302 0 0 URSTADT BIDDLE PPTYS INS CL A 917286205 277 14400 SH SOLE 14400 0 0 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 246 2999 SH SOLE 2999 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 389 4700 SH SOLE 4700 0 0 VANGUARD INDEX FDS LARGE CAP ETF 922908637 801 14800 SH SOLE 14800 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 209 4178 SH SOLE 4178 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1550 32948 SH SOLE 32948 0 0 VICON INDS INC COM 925811101 55 12720 SH SOLE 12720 0 0 VORNADO RLTY TR SH BEN INT 929042109 372 4252 SH SOLE 4252 0 0 WAL MART STORES INC COM 931142103 3876 71562 SH SOLE 71562 0 0 WELLPOINT INC COM 94973V107 2652 48812 SH SOLE 48812 0 0 WELLS FARGO & CO NEW COM 949746101 3991 153142 SH SOLE 153142 0 0 WEST MARINE INC COM 954235107 100 10160 SH SOLE 10160 0 0 WESTELL TECHNOLOGIES INC CL A 957541105 61 20740 SH SOLE 20740 0 0 WHIRLPOOL CORP COM 963320106 2189 28870 SH SOLE 28870 0 0 WINTHROP RLTY TR SH BEN INT NEW 976391300 476 35000 SH SOLE 35000 0 0 ZIOPHARM ONCOLOGY INC COM 98973P101 806 187000 SH SOLE 187000 0 0
-----END PRIVACY-ENHANCED MESSAGE-----