0001140361-11-049902.txt : 20111020 0001140361-11-049902.hdr.sgml : 20111020 20111020060118 ACCESSION NUMBER: 0001140361-11-049902 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111020 DATE AS OF CHANGE: 20111020 EFFECTIVENESS DATE: 20111020 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CARRET ASSET MANAGEMENT CENTRAL INDEX KEY: 0000791490 IRS NUMBER: 134113321 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-01317 FILM NUMBER: 111149063 BUSINESS ADDRESS: STREET 1: 50 WEST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2125933800 MAIL ADDRESS: STREET 1: 50 WEST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: CARRET & CO LLC DATE OF NAME CHANGE: 20001010 FORMER COMPANY: FORMER CONFORMED NAME: CARRET & CO INC DATE OF NAME CHANGE: 19990326 13F-HR 1 form13fhr.txt NONE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 9/30/2011 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: Carret Asset Management Address: 40 West 57th Street New York, NY 10019 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 submission. Persons Signing this Report on Behalf of Reporting Manager: Name: Marco Vega Title: Chief Financial Officer Phone: 212-207-2304 Signature, Place, and Date of Signing: /s/ Marco Vega Carret Asset Mgmt 10/20/2011 --------------------------------- --------------------------------- ---------- [Signature] [City, State] [Date] 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: 0 Form 13F Information Table Entry Total: 283 Form 13F Information Table Value Total: $ 373,284 -------------- (In Thousands) List of Other Included Managers: Provide a numbered list of the name(s) and 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------ -------------- --------- -------- ----------------- ---------- -------- -------------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- --------- ------ --------- 3M COMPANY COM 88579y101 2467 34360 SH SOLE 21,928 0 12,432 ABBOTT LABORATORIES COM 002824100 4732 92521 SH SOLE 23,865 0 68,656 ADOBE SYSTEMS INC COM 00724F101 329 13598 SH SOLE 150 0 13,448 AETHLON MED INC COM COM 00808Y109 1 10000 SH SOLE 0 0 10,000 AETNA INC NEW COM 00817Y108 343 9450 SH SOLE 7,050 0 2,400 AFLAC INC COM 001055102 834 23874 SH SOLE 8,665 0 15,209 ALCOA INC COM 013817101 1925 201102 SH SOLE 51,300 0 149,802 ALLERGAN INC COM 018490102 293 3560 SH SOLE 0 0 3,560 ALLSTATE CORP COM 020002101 2215 93490 SH SOLE 32,279 0 61,211 ALTRIA GROUP INC COM 02209s103 767 28624 SH SOLE 2,300 0 26,324 AMERICAN ELEC PWR COM 025537101 2856 75126 SH SOLE 30,388 0 44,738 AMERICAN EXPRESS CO COM 025816109 4055 90305 SH SOLE 45,860 0 44,445 AMERICAN WATER WORKS INC COM 030420103 1434 47500 SH SOLE 36,080 0 11,420 AMERIPRISE FINANCIAL INC COM 03076C106 540 13727 SH SOLE 10,092 0 3,635 AMETEK INC NEW COM 031100100 412 12502 SH SOLE 12,502 0 0 ANADARKO PETROLEUM CORP COM 032511107 3466 54975 SH SOLE 8,000 0 46,975 APACHE CORP COM 037411105 2608 32500 SH SOLE 6,000 0 26,500 APPLE INC COM 037833100 5758 15101 SH SOLE 2,982 0 12,119 APPLIED MATERIALS INC DELAWARE COM 038222105 1593 153849 SH SOLE 69,110 0 84,739 AQUA AMERICA INC COM 03836w103 327 15154 SH SOLE 0 0 15,154 AT&T INC COM 00206r102 4498 157723 SH SOLE 66,190 0 91,533 AUTOMATIC DATA PROCESSING INC. COM 053015103 954 20242 SH SOLE 4,400 0 15,842 AVNET INC COM 053807103 559 21450 SH SOLE 19,000 0 2,450 BANK NEW YORK MELLON CORP COM 064058100 932 50147 SH SOLE 32,963 0 17,184 BANK OF AMERICA CORP COM 060505104 1095 178929 SH SOLE 141,824 0 37,105 BAXTER INTL INC COM 071813109 591 10535 SH SOLE 5,913 0 4,622 BECTON DICKINSON & CO COM 075887109 558 7616 SH SOLE 530 0 7,086 BED BATH & BEYOND INC COM 075896100 404 7050 SH SOLE 850 0 6,200 BERKSHIRE HATHAWAY - A COM 084670108 2777 26 SH SOLE 1 0 25 BERKSHIRE HATHAWAY INC CL B COM 084670702 5058 71194 SH SOLE 18,175 0 53,019 BION ENVIRNMNTL TECH COM NEW COM 09061Q307 3148 1093124 SH SOLE 9,950 0 1,083,174 BOEING CO COM 097023105 957 15810 SH SOLE 5,550 0 10,260 BRISTOL MYERS SQUIBB CO COM 110122108 1845 58810 SH SOLE 16,030 0 42,780 CALPINE CORP COM 131347304 325 23100 SH SOLE 18,000 0 5,100 CALUMET SPECIALTY PRODUCTS COM 131476103 190 11200 SH SOLE 300 0 10,900 CAMDEN PROPERTY TRUST COM 133131102 647 11711 SH SOLE 7,891 0 3,820 CARPENTER TECHNOLOGY COM 144285103 3356 74753 SH SOLE 15,000 0 59,753 CENOVUS ENERGY INC COM 15135U109 374 12175 SH SOLE 6,825 0 5,350 CERNER CORP COM 156782104 212 3100 SH SOLE 0 0 3,100 CHESAPEAKE ENERGY CORP COM 165167107 1084 42445 SH SOLE 21,700 0 20,745 CHEVRON CORP COM 166764100 8728 94265 SH SOLE 37,024 0 57,241 CHUBB CORP COM 171232101 457 7625 SH SOLE 4,150 0 3,475 CHURCH & DWIGHT CO INC COM 171340102 3258 73701 SH SOLE 16,000 0 57,701 CISCO SYS INC COM 17275r102 3837 247580 SH SOLE 88,775 0 158,805 CITIGROUP INC COM 172967424 452 17658 SH SOLE 7,145 0 10,513 COCA-COLA CO COM 191216100 860 12737 SH SOLE 6,749 0 5,988 COLGATE PALMOLIVE CO COM 194162103 912 10286 SH SOLE 500 0 9,786 COMCAST CORP CL A COM 20030n101 1454 69498 SH SOLE 21,653 0 47,845 COMCAST CORP CL A - SPL COM 20030n200 2253 108754 SH SOLE 72,360 0 36,394 CONOCOPHILLIPS COM 20825c104 7815 123422 SH SOLE 42,032 0 81,390 CONSOLIDATED EDISON INC COM 209115104 371 6510 SH SOLE 2,087 0 4,423 CORNING INC COM 219350105 1955 158159 SH SOLE 54,000 0 104,159 CVS CAREMARK CORP COM 126650100 4304 128142 SH SOLE 45,448 0 82,694 DEERE & CO COM 244199105 814 12604 SH SOLE 4,500 0 8,104 DENTSPLY INTERNATIONAL INC NEW COM 249030107 717 23360 SH SOLE 11,700 0 11,660 DOMINION RES INC VA NEW COM 25746U109 5727 112799 SH SOLE 49,125 0 63,674 DOW CHEM CO COM COM 260543103 385 17134 SH SOLE 11,985 0 5,148 DR PEPPER SNAPPLE GROUP INC COM 26138E109 377 9731 SH SOLE 0 0 9,731 DU PONT E I DE NEMOURS COM 263534109 5916 148021 SH SOLE 54,818 0 93,203 DUKE ENERGY CORP COM 26441c105 321 16052 SH SOLE 3,818 0 12,234
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------ -------------- --------- -------- ----------------- ---------- -------- -------------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- --------- ------ --------- EASYLINK SVCS INTL COR CL A COM 277858106 1737 400200 SH SOLE 8,900 0 391,300 EMC CORP-MASS COM 268648102 2845 135555 SH SOLE 76,315 0 59,240 EMERSON ELECTRIC CO COM 291011104 1364 33030 SH SOLE 3,585 0 29,445 EXELON CORP COM 30161n101 1332 31260 SH SOLE 1,400 0 29,860 EXXON MOBIL CORP COM 30231g102 15058 207320 SH SOLE 35,095 0 172,225 FALCONSTOR SOFTWARE COM COM 306137100 77 26500 SH SOLE 3,000 0 23,500 FEDEX CORPORATION COM 31428X106 973 14370 SH SOLE 2,125 0 12,245 FIRST CONNECTICUT BANCORP COM 319850103 113 10000 SH SOLE 0 0 10,000 FIRSTMERIT CORP COM 337915102 305 26838 SH SOLE 0 0 26,838 FLEXTRONICS INTL LTD COM y2573f102 331 58845 SH SOLE 33,645 0 25,200 FNB CORP COM COM 302520101 349 40758 SH SOLE 36,503 0 4,255 FORD MTR CO COM 345370860 144 14917 SH SOLE 0 0 14,917 FORTRESS INVT GRP LLC CL A COM 34958B106 32 10500 SH SOLE 8,500 0 2,000 FORTUNE BRANDS INC COM 349631101 285 5275 SH SOLE 2,000 0 3,275 FULTON FINL CORP PA COM COM 360271100 242 31651 SH SOLE 31,651 0 0 GEN-PROBE INC NEW COM COM 36866T103 576 10055 SH SOLE 0 0 10,055 GENERAL ELECTRIC CO COM 369604103 8083 531078 SH SOLE 187,941 0 343,137 GENERAL MILLS INC COM 370334104 532 13825 SH SOLE 0 0 13,825 GENL DYNAMICS CORP COM COM 369550108 562 9870 SH SOLE 950 0 8,920 GILEAD SCIENCES COM 375558103 1265 32615 SH SOLE 2,930 0 29,685 GOLDMAN SACHS GROUP INC COM 38141G104 1175 12426 SH SOLE 4,000 0 8,426 GREIF BROS CORP CLASS A COM 397624107 592 13800 SH SOLE 0 0 13,800 HARLEY-DAVIDSON INC COM 412822108 273 7941 SH SOLE 5,400 0 2,541 HARRIS CORP DEL COM 413875105 1131 33100 SH SOLE 6,075 0 27,025 HARTFORD FINANCIAL SERVICES GR COM 416515104 983 60911 SH SOLE 20,000 0 40,911 HEALTH CARE REIT INC COM 42217K106 741 15835 SH SOLE 900 0 14,935 HERSHEY COMPANY COM 427866108 663 11200 SH SOLE 0 0 11,200 HEWLETT PACKARD CO COM 428236103 4259 189695 SH SOLE 60,701 0 128,994 HOME DEPOT INC COM 437076102 2983 90744 SH SOLE 42,155 0 48,589 HONEYWELL INTL INC COM 438516106 875 19927 SH SOLE 13,352 0 6,575 HORMEL FOODS CORP COM 440452100 778 28800 SH SOLE 5,000 0 23,800 ILLINOIS TOOL WORKS INC COM 452308109 741 17824 SH SOLE 4,600 0 13,224 INTEL CORP COM 458140100 7019 328980 SH SOLE 97,141 0 231,838 INTL BUSINESS MACHINES CORP COM 459200101 12202 69780 SH SOLE 27,268 0 42,512 ITT CORP COM 450911102 378 9000 SH SOLE 6,100 0 2,900 JOHNSON & JOHNSON COM 478160104 10000 157013 SH SOLE 64,152 0 92,861 JOHNSON CONTROLS INC COM 478366107 651 24687 SH SOLE 22,487 0 2,200 JPMORGAN CHASE & CO COM 46625h100 5885 195398 SH SOLE 65,705 0 129,693 KBR INC COM 48242W106 347 14680 SH SOLE 8,770 0 5,910 KIMBERLY CLARK CORP COM 494368103 1606 22621 SH SOLE 17,050 0 5,571 KOPPERS HOLDINGS INC. COM 50060P106 292 11400 SH SOLE 6,600 0 4,800 KRAFT FOODS INC CLASS A COM 50075N104 4722 140619 SH SOLE 50,375 0 90,244 L & L ENERGY INC. COM 50162D100 94 35000 SH SOLE 0 0 35,000 L-3 COMMNCTNS HLDGS COM 502424104 912 14715 SH SOLE 2,725 0 11,990 LAM RESEARCH CORP COM COM 512807108 365 9600 SH SOLE 0 0 9,600 LANDAUER INC. COM 51476K103 213 4290 SH SOLE 550 0 3,740 LIGHTBRIDGE CORPORATION COM 53224K104 44 17086 SH SOLE 0 0 17,086 LOCKHEED MARTIN CORP COM 539830109 340 4675 SH SOLE 0 0 4,675 LOWES COS INC COM 548661107 453 23432 SH SOLE 10,400 0 13,032 MACQUARIE INFRASTRUCTURE CO LL COM 55608B105 1137 50650 SH SOLE 46,000 0 4,650 MARATHON OIL CORP COM 565849106 964 44663 SH SOLE 35,230 0 9,433 MARATHON PETROLEUM CORP COM 56585A102 591 21823 SH SOLE 17,565 0 4,258 MARRIOTT INTL INC NEW CL A COM 571903202 535 19630 SH SOLE 18,621 0 1,009 MASTERCARD INC CL A COM COM 57636Q104 576 1816 SH SOLE 0 0 1,816 MCDONALDS CORP COM 580135101 4891 55691 SH SOLE 11,957 0 43,735 MEDTRONIC INC COM 585055106 1323 39793 SH SOLE 3,325 0 36,468 MERCK & CO INC COM 58933Y105 1100 33626 SH SOLE 21,863 0 11,763 METLIFE COM 59156R108 1089 38867 SH SOLE 29,650 0 9,217 METRO BANCORP INC COM 59161r101 131 15150 SH SOLE 0 0 15,150 MICROSOFT CORP COM 594918104 6249 251076 SH SOLE 82,515 0 168,561
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------ -------------- --------- -------- ----------------- ---------- -------- -------------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- --------- ------ --------- MYLAN, INC COM 628530107 237 13925 SH SOLE 12,225 0 1,700 NEWELL RUBBERMAID INC COM 651229106 608 51220 SH SOLE 43,070 0 8,150 NEXTERA ENERGY INC COM 65339F101 487 9009 SH SOLE 0 0 9,009 NORFOLK SOUTHERN CORP COM 655844108 927 15190 SH SOLE 7,125 0 8,065 NORTHWEST NAT GAS CO COM 667655104 201 4556 SH SOLE 0 0 4,556 OCCIDENTAL PETE COM 674599105 237 3310 SH SOLE 2,160 0 1,150 ORACLE CORP COM 68389X105 5188 180523 SH SOLE 38,400 0 142,123 PARKER HANNIFIN CORP COM 701094104 1165 18450 SH SOLE 2,800 0 15,650 PEOPLES UTD FINL INC COM COM 712704105 159 13910 SH SOLE 0 0 13,910 PEPSICO INC COM 713448108 6092 98415 SH SOLE 32,415 0 66,000 PFIZER INC COM 717081103 1377 77867 SH SOLE 50,513 0 27,354 PHILIP MORRIS INTERNATIONAL COM 718172109 583 9340 SH SOLE 1,700 0 7,640 PLUM CREEK TIMBER CO INC COM 729251108 405 11672 SH SOLE 5,000 0 6,672 PNC FINANCIAL SERVICES GROUP COM 693475105 998 20718 SH SOLE 10,770 0 9,948 PRINCIPAL FINANCIAL GROUP INC COM 74251V102 475 20945 SH SOLE 15,150 0 5,795 PROCTER & GAMBLE CO COM 742718109 8757 138597 SH SOLE 39,604 0 98,993 PROGRESS ENERGY INC. COM 743263105 212 4100 SH SOLE 0 0 4,100 PROGRESSIVE CORP-OHIO- COM 743315103 426 24000 SH SOLE 0 0 24,000 PUBLIC SVC ENTERPRISE GROUP IN COM 744573106 221 6628 SH SOLE 2,050 0 4,578 QUALCOMM INC COM 747525103 863 17745 SH SOLE 0 0 17,745 QUEST DIAGNOSTICS INC COM 74834l100 405 8198 SH SOLE 1,648 0 6,550 READING INTERNATIONAL INC - A COM 755408101 197 45700 SH SOLE 2,100 0 43,600 RYDER SYS INC COM COM 783549108 208 5550 SH SOLE 0 0 5,550 SAN DISK CORP COM 80004C101 258 6400 SH SOLE 200 0 6,200 SCHLUMBERGER LTD COM 806857108 1122 18791 SH SOLE 7,016 0 11,775 SHIP FINANCE INT'L LTD COM g81075106 234 18000 SH SOLE 10,500 0 7,500 SIONIX CORPORATION COM 829400100 1 20000 SH SOLE 0 0 20,000 SOUTHERN CO COM 842587107 4592 108375 SH SOLE 49,025 0 59,350 SPECTRA ENERGY CORP COM COM 847560109 383 15618 SH SOLE 10,133 0 5,485 STANLEY BLACK & DECKER INC COM 854502101 376 7656 SH SOLE 6,322 0 1,334 SUNCOR ENERGY INC COM 867224107 480 18850 SH SOLE 3,000 0 15,850 SYSCO CORP COM 871829107 2349 90687 SH SOLE 13,000 0 77,687 TARGET CORP COM 87612E106 3630 74025 SH SOLE 21,550 0 52,475 TELECOMMUNICATION SYS CL A COM 87929J103 34 10000 SH SOLE 10,000 0 0 TEXAS INSTRUMENTS INC COM 882508104 304 11400 SH SOLE 9,050 0 2,350 THERMO FISHER SCIENTIFIC INC COM 883556102 1291 25500 SH SOLE 15,650 0 9,850 TICC CAPITAL CORP COM 87244T109 927 113404 SH SOLE 65,727 0 47,677 TIFFANY & CO NEW COM 886547108 443 7277 SH SOLE 0 0 7,277 TRANSOCEAN LTD NEW COM H8817H100 229 4795 SH SOLE 0 0 4,795 TRAVELERS COMPANIES INC COM 89417E109 3474 71284 SH SOLE 35,540 0 35,744 UNITED TECHNOLOGIES CORP COM 913017109 3465 49249 SH SOLE 10,025 0 39,224 UNUMPROVIDENT CORP COM 91529y106 216 10325 SH SOLE 9,800 0 525 US BANCORP DEL NEW COM 902973304 1653 70220 SH SOLE 32,775 0 37,445 VALERO ENERGY CORP-NEW COM 91913Y100 189 10644 SH SOLE 6,482 0 4,162 VERIZON COMMUNICATIONS COM 92343V104 4762 129408 SH SOLE 80,344 0 49,064 VORNADO RLTY TR COM 929042109 291 3906 SH SOLE 3,256 0 650 WAL-MART STORES INC COM 931142103 3804 73300 SH SOLE 27,239 0 46,061 WALT DISNEY CO COM 254687106 2743 90950 SH SOLE 44,531 0 46,419 WASHINGTON REAL EST INV TR SBI COM 939653101 2435 86420 SH SOLE 19,925 0 66,495 WASTE MGMT INC COM 94106L109 410 12578 SH SOLE 0 0 12,578 WELLS FARGO & CO NEW COM 949746101 986 40876 SH SOLE 2,450 0 38,426 WESTERN UNION COMPANY (THE) COM 959802109 294 19216 SH SOLE 10,550 0 8,666 XCEL ENERGY INC COM 98389B100 343 13899 SH SOLE 2,200 0 11,699 YUM BRANDS INC COM 988498101 700 14180 SH SOLE 3,250 0 10,930 7 DAYS GROUP HOLDINGS LTD ADR 81783j101 428 33825 SH SOLE 13,500 0 20,325 AXA-SPONS ADR ADR 054536107 294 22355 SH SOLE 20,405 0 1,950 CANADIAN NATL RAILWAY CO ADR 136375102 3133 47051 SH SOLE 9,000 0 38,051 CANON INC ADR ADR 138006309 204 4500 SH SOLE 1,500 0 3,000 DIAGEO PLC NEW ADR 25243Q205 372 4894 SH SOLE 3,894 0 1,000 ENSCO PLC ADR 29358q109 223 5519 SH SOLE 2,100 0 3,419
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------ -------------- --------- -------- ----------------- ---------- -------- -------------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- --------- ------ --------- GLAXOSMITHKLINE PLC SP ADR ADR 37733w105 280 6786 SH SOLE 400 0 6,386 ING GROEP NV SPONS ADR ADR 456837103 96 13606 SH SOLE 1,484 0 12,122 KONINKLIJKE PHILIPS ELECTRS SP ADR 500472303 361 20100 SH SOLE 13,688 0 6,412 NESTLE SA-SPONS ADR ADR 641069406 3427 62194 SH SOLE 43,362 0 18,832 NOKIA CORP SPONSORED ADR ADR 654902204 541 95550 SH SOLE 74,450 0 21,100 NOVARTIS AG ADR ADR 66987v109 833 14931 SH SOLE 10,279 0 4,652 PETROBRAS ARGENTINA-SPONSORED ADR 71646J109 309 22500 SH SOLE 14,050 0 8,450 PETROLEO BRASILEIRO S.A. ADR ADR 71654V408 1433 63846 SH SOLE 16,050 0 47,796 ROYAL DUTCH SHELL ADR A ADR 780259206 596 9690 SH SOLE 6,150 0 3,540 ROYAL DUTCH SHELL ADR B ADR 780259107 1098 17697 SH SOLE 9,308 0 8,389 SAP AG SPONSORED ADR ADR 803054204 271 5350 SH SOLE 0 0 5,350 TELEFONICA BRASIL SA ADR 87936R106 743 28075 SH SOLE 15,440 0 12,635 TELEFONICA SA ADR ADR 879382208 657 34383 SH SOLE 27,720 0 6,663 TEVA PHARMACEUTICAL INDS ADR 881624209 2256 60610 SH SOLE 23,870 0 36,740 VALE S.A. ADR 91912E105 621 27250 SH SOLE 17,510 0 9,740 VODAFONE GROUP PLC NEW ADR 92857w209 3524 137317 SH SOLE 70,123 0 67,194 BLACKROCK EQUITY DIVIDEND TRUS 09250N107 461 53082 SH SOLE 33,667 0 19,415 EATON VANCE TXMG GL BU COM 27829C105 149 15300 SH SOLE 10,900 0 4,400 GABELLI DIVIDEND & INCOME TR 36242H104 565 41275 SH SOLE 30,850 0 10,425 H&Q HEALTHCARE INVESTORS 404052102 251 19050 SH SOLE 11,597 0 7,453 INDIA FUND INC 454089103 278 12135 SH SOLE 950 0 11,185 MFS INTERMEDIATE INCOME TRUST 55273C107 86 14300 SH SOLE 0 0 14,300 NEUBERGER BERMAN REAL ESTATE 64190A103 120 34075 SH SOLE 9,817 0 24,257 BARRICK GOLD CORP CAD 067901108 303 6500 SH SOLE 3,500 0 3,000 CAPITAL PRODUCT PARTNERS LP Y11082107 396 61950 SH SOLE 1,700 0 60,250 CHINA MINZHONG FOOD CORPORATIO COM B51VJ76 445 662000 SH SOLE 560,000 0 102,000 EZION HOLDINGS LIMITED COM 6286064 934 2099000 SH SOLE 1,250,000 0 849,000 SINGAPORE AIRPORT TERMINAL SER COM 6243586 387 230300 SH SOLE 169,000 0 61,300 YANGZIJIANG SHIPBUILDING COM B1VT035 340 500000 SH SOLE 450,000 0 50,000 AIRASIA BERHAD COM B03J9L7 989 791500 SH SOLE 444,500 0 347,000 LINGKARAN TRANS KOTA HOLDINGS COM 6505491 491 435000 SH SOLE 215,000 0 220,000 MALAYSIA AIRPORTS HOLDINGS BER COM 6188193 421 254000 SH SOLE 190,000 0 64,000 YTL POWER INTERNATIONAL BHD COM B01GQS6 117 220000 SH SOLE 125,000 0 95,000 BOMBARDIER INC COM 2109723 785 224100 SH SOLE 125,000 0 99,100 MAP GROUP COM 6543628 986 333273 SH SOLE 181,273 0 152,000 ROLLS ROYCE ORD GBP0.20 NON CU COM 0 240000 SH SOLE 0 0 240,000 KERRY GROUP PLC-A COM 4519579 1351 38500 SH SOLE 22,000 0 16,500 VIVENDI COM 4834777 958 46630 SH SOLE 27,000 0 19,630 AGRICULTURAL BANK OF CHINA LIM COM B60LZR6 815 2459000 SH SOLE 1,430,000 0 1,029,000 BEIJING ENTERPRISES WATER GROU COM B01YCG0 756 4148500 SH SOLE 2,400,000 0 1,748,500 CENTRAL CHINA REAL ESTATE COM B2RDS34 826 4149000 SH SOLE 2,800,000 0 1,349,000 CHINA AUTOMATION GROUP COM B1Z98B5 452 1768000 SH SOLE 1,025,000 0 743,000 CHINA COMMUNICATIONS CONSTRUCT COM B1JKTQ6 102 155000 SH SOLE 140,000 0 15,000 CHINA LILANG LTD COM B4JMX94 636 652000 SH SOLE 335,000 0 317,000 CHINA RAILWAY CONSTRUCTION-H COM B2PFVH7 138 325000 SH SOLE 50,000 0 275,000 DALIAN PORT (PDS) COMPANY LTD COM B12YMD3 280 1300000 SH SOLE 850,000 0 450,000 FORTUNE REAL ESTATE INVESTMENT COM 6677174 54 125000 SH SOLE 75,000 0 50,000 LIANHUA SUPERMARKET HOLDINGS L COM 6633563 699 490500 SH SOLE 268,200 0 222,300 PACIFIC BASIN SHIPPING COM B01RQM3 88 225000 SH SOLE 225,000 0 0 WEST CHINA CEMENT LTD COM B4N6NB4 501 3075000 SH SOLE 1,700,000 0 1,375,000 WUMART STORES INC - H COM B0PR2N2 812 420500 SH SOLE 320,000 0 100,500 ZTE CORPORATION COM B04KP88 1011 351500 SH SOLE 207,500 0 144,000 XL AXIATA TBK PT COM B0LD0W9 827 1465000 SH SOLE 850,000 0 615,000 CORPORACION GEO SAB de CV COM 2229342 293 227000 SH SOLE 150,000 0 77,000 ADVANCED INFO SERVICES PUBLIC COM 6412568 1369 348300 SH SOLE 198,000 0 150,300 ASIAN PROPERTY DEVELOPMENT PUB COM 6612670 323 1850000 SH SOLE 1,129,500 0 720,500 ELECTRICITY GENERATING PUBLIC COM 6304643 525 186000 SH SOLE 134,000 0 52,000 SUPALAI PUBLIC COMPANY NVDR COM 6554749 526 1253000 SH SOLE 805,000 0 448,000 THAI TAP WATER SUPPLY - NVDR COM B297425 981 6056000 SH SOLE 2,600,000 0 3,456,000 ISHARES FTSE CHINA 25 INDEX FU 464287184 1736 56311 SH SOLE 26,261 0 30,050
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------ -------------- --------- -------- ----------------- ---------- -------- -------------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- --------- ------ --------- ISHARES INC MSCI AUSTRALIA 464286103 257 12790 SH SOLE 0 0 12,790 ISHARES MSCI HONG KONG INDEX F 464286871 483 33700 SH SOLE 0 0 33,700 ISHARES RUSSELL 1000 GROWTH 464287614 269 5115 SH SOLE 0 0 5,115 ISHARES RUSSELL MIDCAP INDEX 464287499 676 7655 SH SOLE 0 0 7,655 ISHARES S&P INDIA NIFTY 50 i 464289529 673 30130 SH SOLE 0 0 30,130 ISHARES TR MSCI EMERG MKT 464287234 774 22058 SH SOLE 7,942 0 14,116 ISHARES TR RUSSELL 2000 464287655 617 9595 SH SOLE 300 0 9,295 ISHARES TR S&P 100 IDX FD 464287101 987 19190 SH SOLE 400 0 18,790 ISHARES TR S&P 500 INDEX 464287200 653 5740 SH SOLE 0 0 5,740 KAYNE ANDERSON ENRGY COM 48660P104 204 8450 SH SOLE 0 0 8,450 SPDR GOLD TRUST 78463V107 2914 18435 SH SOLE 10,047 0 8,388 SPDR S&P 500 ETF TR SERIES 78462F103 303 2676 SH SOLE 200 0 2,476 VANGUARD FTSE ALL WORLD EX-U 922042775 204 5264 SH SOLE 920 0 4,344 VANGUARD INDEX FDS VALUE ETF 922908744 213 4527 SH SOLE 0 0 4,527 WEBS INDEX FUND INC-JAPAN WEBS 464286848 240 25350 SH SOLE 18,450 0 6,900 WISDOMTREE TRUST CHINESE YUAN 97717W182 329 13000 SH SOLE 11,600 0 1,400 ENTERPRISE PRODS PARTNERS L P 293792107 440 10970 SH SOLE 0 0 10,970 KINDER MORGAN ENERGY PARTNE 494550106 614 8977 SH SOLE 2,100 0 6,877 MARKWEST ENERGY PARTNERS LP 570759100 513 11175 SH SOLE 300 0 10,875 ONEOK PARTNERS L.P 68268N103 2738 58740 SH SOLE 9,590 0 49,150 TARGA RESOURCES PARTNERS LP 87611x105 552 16800 SH SOLE 450 0 16,350 SANDRIDGE PERMIAN TRUST 80007A102 464 27525 SH SOLE 750 0 26,775 SANDRIGE MISSISSIPPIAN TRUST 80007T101 434 19300 SH SOLE 525 0 18,775 ACORN INTERNATIONAL FUND 004851200 230 6842 SH SOLE 0 0 6,842 ARTIO INT'L EQUITY FUND II 04315J837 147 15286 SH SOLE 0 0 15,286 DODGE & COX FDS INTL STK FD 256206103 222 7701 SH SOLE 0 0 7,701 FIRST EAGLE GLOBAL FUND 32008F507 203 4631 SH SOLE 0 0 4,631 IVA INTERNATIONAL FUND-I 45070A404 195 12507 SH SOLE 0 0 12,507 JANUS FUND INC 471023101 202 7951 SH SOLE 2,325 0 5,626 JPMORGAN NY T/F BOND FND-SL 4812a0789 412 55463 SH SOLE 0 0 55,463 JPMORGAN TR I INTERM TF BD S 4812a0441 434 38969 SH SOLE 0 0 38,969 MUTUAL QUEST FD CL Z 628380206 178 11278 SH SOLE 8,601 0 2,677 NEUBERGER BERMAN LARGE CAP DIS 641224373 182 26698 SH SOLE 0 0 26,698 OAKMARK INTERNATIONAL FD - I 413838202 162 10023 SH SOLE 0 0 10,023 PRUDENTIAL JENN EQTY OPPOR-Z 74437E800 180 14439 SH SOLE 0 0 14,439 SCHWAB SMALL-CAP INDEX 808509848 263 14716 SH SOLE 6,039 0 8,676 TEMPLETON GLOBAL BOND FUND 880208400 1180 93251 SH SOLE 3,623 0 89,628 THIRD AVE TR VALUE TR 884116104 286 7220 SH SOLE 3,432 0 3,788 THIRD AVENUE INTL VALUE FD- IN 884116500 175 12147 SH SOLE 0 0 12,147 TWEEDY BROWNE GLOBAL VALUE FUN 901165100 564 26105 SH SOLE 12,101 0 14,004 WELLS FARGO ADVANTAGE TOT RET 94975J631 154 11515 SH SOLE 0 0 11,515 WINTERGREEN FUND 97607W102 187 14483 SH SOLE 0 0 14,483 BANK OF AMERICA CORP - EXP 1/1 WT 060505146 128 47400 SH SOLE 1,300 0 46,100