0000080835-11-000004.txt : 20111115 0000080835-11-000004.hdr.sgml : 20111115 20111115113213 ACCESSION NUMBER: 0000080835-11-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111115 DATE AS OF CHANGE: 20111115 EFFECTIVENESS DATE: 20111115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: 300 NORTH CAPITAL, LLC CENTRAL INDEX KEY: 0000080835 IRS NUMBER: 952989756 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-00969 FILM NUMBER: 111206131 BUSINESS ADDRESS: STREET 1: 300 N LAKE AVE PH SUITE CITY: PASADENA STATE: CA ZIP: 91101 BUSINESS PHONE: 6264498500 MAIL ADDRESS: STREET 1: 300 NORTH LAKE AVENUE CITY: PASADENA STATE: CA ZIP: 91101 FORMER COMPANY: FORMER CONFORMED NAME: PROVIDENT INVESTMENT COUNSEL DATE OF NAME CHANGE: 19940208 FORMER COMPANY: FORMER CONFORMED NAME: PROVIDENT INVESTMENT COUNSEL INC DATE OF NAME CHANGE: 19920507 13F-HR 1 nc13f-3q11.txt 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: 300 North Capital, LLC. Address: 300 North Lake Avenue Pasadena, CA 91101 Form 13F File Number: 028-00969 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: Erin Chetwood Title: Chief Compliance Officer Phone: 626-449-8500 Signature, Place, and Date of Signing: /s/ Erin Chetwood Pasadena, CA October 31, 2011 Report Type (Check only one.): (X) 13F HOLDINGS REPORT. ( ) 13F NOTICE. ( ) 13F COMBINATION REPORT. I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934 Form 13F Summary Page Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 210 (data records) Form 13F Information Table Value Total: $357,082 (x1000) List of Other Included Managers: 01 OLD MUTUAL (US) HOLDINGS INC. 028-11931
VALUE SHARES/ SH/ PUT/ INVSTMT ---VOTING AUTHORITY--- NAME OF ISSUER -TITLE OF CLASS- --CUSIP-- (X$1000) PRN AMT PRN CALL DSCRETN -MANAGERS- SOLE SHARED NONE HERBALIFE LTD COM USD SHS G4412G101 249 4646 SH Defined 01 4646 0 0 LAZARD LTD SHS A G54050102 888 42100 SH Defined 01 42100 0 0 MARVELL TECH ORD G5876H105 227 15652 SH Defined 01 15652 0 0 CHECK POINT SOFT ORD M22465104 231 4374 SH Defined 01 4374 0 0 EZCHIP SEMI ORD M4146Y108 495 14900 SH Defined 01 10000 0 4900 TORNIER N V SHS N87237108 2108 102870 SH Defined 01 80170 0 22700 AVAGO TECH SHS Y0486S104 1974 60223 SH Defined 01 60223 0 0 ACACIA RESH 003881307 4040 112240 SH Defined 01 101140 0 11100 ACME PACKET INC COM 004764106 1440 33819 SH Defined 01 28819 0 5000 ADVISORY BRD CO COM 00762W107 2103 32590 SH Defined 01 27790 0 4800 AETNA INC NEW COM 00817Y108 206 5680 SH Defined 01 5680 0 0 AFFILIATED MNGRS COM 008252108 2543 32580 SH Defined 01 32580 0 0 AGRIUM INC COM 008916108 2145 32175 SH Defined 01 32175 0 0 AIR METHODS CORP COM 009128307 726 11400 SH Defined 01 7900 0 3500 ALEXION PHARM COM 015351109 5104 79671 SH Defined 01 79671 0 0 ALLEGHENY TECH COM 01741R102 1740 47053 SH Defined 01 47053 0 0 ALLERGAN INC COM 018490102 1757 21328 SH Defined 01 21328 0 0 ALLIANCE DATA COM 018581108 3913 42212 SH Defined 01 42212 0 0 ALTRA HOLDINGS INC COM 02208R106 440 38010 SH Defined 01 26910 0 11100 AMARIN CORP NEW 023111206 374 40600 SH Defined 01 27300 0 13300 AMAZON COM INC COM 023135106 237 1096 SH Defined 01 1096 0 0 AMEREN CORP COM 023608102 225 7546 SH Defined 01 7546 0 0 AMERICAN EXPRESS CO COM 025816109 216 4810 SH Defined 01 4810 0 0 AMERISOURCEBERGEN CORP COM 03073E105 2760 74062 SH Defined 01 74062 0 0 ANALOG DEVICES INC COM 032654105 2645 84636 SH Defined 01 84636 0 0 ANSYS INC COM 03662Q105 4349 88688 SH Defined 01 88688 0 0 APPLE INC COM 037833100 233 612 SH Defined 01 612 0 0 APPROACH RES COM 03834A103 1243 73180 SH Defined 01 58980 0 14200 ARIBA INC COM 04033V203 1437 51851 SH Defined 01 46751 0 5100 ARUBA NTWRKS COM 043176106 2258 108004 SH Defined 01 90404 0 17600 ASPEN TECH COM 045327103 473 30950 SH Defined 01 21550 0 9400 ATHENAHEALTH COM 04685W103 3869 64970 SH Defined 01 54870 0 10100 AVALONBAY CMNTYS COM 053484101 2465 21614 SH Defined 01 21614 0 0 BED BATH & BEYOND COM 075896100 3006 52453 SH Defined 01 52453 0 0 BIO-REFERENCE COM 09057G602 687 37300 SH Defined 01 25900 0 11400 BIOMARIN PHARMA COM 09061G101 3420 107321 SH Defined 01 107321 0 0 BJS RESTAURANTS INC COM 9180C106 2651 60110 SH Defined 01 49210 0 10900 BORGWARNER INC COM 099724106 2152 35556 SH Defined 01 35556 0 0 BOSTON BEER INC CL A 100557107 2427 33380 SH Defined 01 26380 0 7000 BRIGHAM EXPLO COM 109178103 6275 248425 SH Defined 01 230025 0 18400 BRISTOL MYERS COM 110122108 232 7387 SH Defined 01 7387 0 0 BUFFALO WLD COM 119848109 1627 27200 SH Defined 01 18900 0 8300 CB RICHARD GRP CL A 12497T101 1768 131377 SH Defined 01 131377 0 0 CF INDS HLDGS INC COM 125269100 626 5070 SH Defined 01 5070 0 0 CAMERON INT COM 13342B105 2047 49288 SH Defined 01 49288 0 0 CAPITALSOURCE INC COM 14055X102 218 35440 SH Defined 01 35440 0 0 CAVIUM INC COM 14964U108 2343 86741 SH Defined 01 73341 0 13400 CEPHEID COM 15670R107 249 6401 SH Defined 01 6401 0 0 CERNER CORP COM 156782104 3790 55306 SH Defined 01 55306 0 0 CHIPOTLE MEX COM 169656105 5407 17847 SH Defined 01 17847 0 0 CHURCH & DWIGHT INC COM 171340102 236 5338 SH Defined 01 5338 0 0 CIENA CORP COM 171779309 1147 102399 SH Defined 01 89699 0 12700 CISCO SYS INC COM 17275R102 221 14265 SH Defined 01 14265 0 0 CITRIX SYS INC COM 177376100 976 17907 SH Defined 01 17907 0 0 CLIFFS NAT COM 18683K101 1271 24840 SH Defined 01 24840 0 0 COACH INC COM 189754104 1915 36950 SH Defined 01 36950 0 0 COHEN & STEERS INC COM 19247A100 2251 78302 SH Defined 01 65802 0 12500 CONCHO RES INC COM 20605P101 2344 32951 SH Defined 01 32951 0 0 CONTINENTAL RES COM 212015101 817 16895 SH Defined 01 16895 0 0 CYPRESS SEMI COM 232806109 641 42800 SH Defined 01 29700 0 13100 DECKERS OUTDR COM 243537107 215 2306 SH Defined 01 2306 0 0 DEXCOM INC COM 252131107 2166 180500 SH Defined 01 150600 0 29900 DICKS SPORTING COM 253393102 4633 138453 SH Defined 01 138453 0 0 DISCOVER FINL COM 254709108 249 10855 SH Defined 01 10855 0 0 EMBRAER S A COM 29082A107 227 8964 SH Defined 01 8964 0 0 ENCORE CAP GRP COM 292554102 1265 57898 SH Defined 01 40198 0 17700 EVERCORE PART CLs A 29977A105 2033 89183 SH Defined 01 75083 0 14100 F M C CORP COM NEW 302491303 1990 28772 SH Defined 01 28772 0 0 FMC TECH COM 30249U101 1976 52544 SH Defined 01 52544 0 0 FASTENAL CO COM 311900104 3209 96410 SH Defined 01 96410 0 0 F5 NTWRKS COM 315616102 2394 33694 SH Defined 01 33694 0 0 FINANCIAL ENGIN COM 317485100 481 26550 SH Defined 01 18450 0 8100 FINISAR CORP COM NEW 31787A507 2489 141880 SH Defined 01 118580 0 23300 FORTINET INC COM 34959E109 4422 263223 SH Defined 01 237423 0 25800 FRESH MKT INC COM 35804H106 7450 195223 SH Defined 01 180223 0 15000 GARTNER INC COM 366651107 221 6325 SH Defined 01 6325 0 0 GILEAD SCI COM 375558103 230 5938 SH Defined 01 5938 0 0 GLOBE SPCLTY COM 37954N206 1124 77420 SH Defined 01 53920 0 23500 GREEN MTN COFF COM 393122106 2379 25597 SH Defined 01 25597 0 0 HMS HLDGS CORP COM 40425J101 1050 43050 SH Defined 01 30750 0 12300 HANSEN NAT CORP COM 411310105 253 2903 SH Defined 01 2903 0 0 HAYNES INTl COM NEW 420877201 1841 42370 SH Defined 01 34470 0 7900 HEXCEL CORP NEW COM 428291108 239 10782 SH Defined 01 10782 0 0 HIBBETT SPORTS INC COM 428567101 1029 30350 SH Defined 01 21150 0 9200 HOUSTON AMERN COM 44183U100 1313 95390 SH Defined 01 80990 0 14400 HOUSTON WIRE COM 44244K109 3585 312030 SH Defined 01 254630 0 57400 HUNT J B TRANS COM 445658107 3839 106281 SH Defined 01 106281 0 0 IAC INTERACT COM 44919P508 251 6348 SH Defined 01 6348 0 0 IPC THE HOSP COM 44984A105 1509 42270 SH Defined 01 35370 0 6900 ICONIX BRAND COM 451055107 807 51050 SH Defined 01 35450 0 15600 IMPAX LABS COM 45256B101 2574 143740 SH Defined 01 116540 0 27200 INCYTE CORP COM 45337C102 1268 90780 SH Defined 01 77880 0 12900 INTEL CORP COM 458140100 227 10629 SH Defined 01 10629 0 0 INTUIT COM 461202103 2458 51805 SH Defined 01 51805 0 0 INTUITIVE SURG COM NEW 46120E602 3286 9020 SH Defined 01 9020 0 0 INTREPID POT COM 46121Y102 1380 55480 SH Defined 01 38580 0 16900 ISHARES USAGG 464287226 207 1882 SH Defined 01 1882 0 0 ISHARES 20+ YR 464287432 208 1719 SH Defined 01 1719 0 0 ISHARES 7-10 YR 464287440 207 1974 SH Defined 01 1974 0 0 ISHARES 1-3 YR 464287457 207 2452 SH Defined 01 2452 0 0 ISHARES S&P NTL 464288414 207 1943 SH Defined 01 1943 0 0 JABIL CIR COM 466313103 255 14336 SH Defined 01 14336 0 0 JAZZ PHARM COM 472147107 211 5076 SH Defined 01 5076 0 0 JOY GLOB COM 481165108 2535 40635 SH Defined 01 40635 0 0 KLA-TENCOR COM 482480100 4045 105671 SH Defined 01 105671 0 0 KIOR INC CL A 497217109 2202 106160 SH Defined 01 90060 0 16100 KIRBY CORP COM 497266106 217 4130 SH Defined 01 4130 0 0 LAM RESH COM 512807108 2828 74467 SH Defined 01 74467 0 0 LIMITED BRAN COM 532716107 239 6202 SH Defined 01 6202 0 0 LUFKIN INDS INC COM 549764108 1975 37120 SH Defined 01 30720 0 6400 LULULEMON ATHL COM 550021109 4614 94848 SH Defined 01 94848 0 0 MSCI INC CL A 55354G100 2029 66890 SH Defined 01 66890 0 0 MYR GROUP INC COM 55405W104 960 54450 SH Defined 01 37850 0 16600 MACYS INC COM 55616P104 224 8509 SH Defined 01 8509 0 0 MADDEN STVN COM 556269108 2645 87890 SH Defined 01 71490 0 16400 MARTEN TRANS COM 573075108 1017 59000 SH Defined 01 40900 0 18100 MAXIM INTEGRA COM 57772K101 219 9382 SH Defined 01 9382 0 0 MEDNAX INC COM 58502B106 2848 45460 SH Defined 01 45460 0 0 MICROS SYS COM 594901100 227 5167 SH Defined 01 5167 0 0 MOLYCORP INC COM 608753109 1063 32325 SH Defined 01 32325 0 0 MOTOROLA SOL COM NEW 620076307 226 5402 SH Defined 01 5402 0 0 MYLAN INC COM 628530107 2230 131180 SH Defined 01 131180 0 0 NPS PHARM COM 62936P103 506 77800 SH Defined 01 54000 0 23800 NASDAQ OMX COM 631103108 222 9603 SH Defined 01 9603 0 0 NAVISTAR INTL COM 63934E108 662 20625 SH Defined 01 20625 0 0 NETSUITE INC COM 64118Q107 3285 121634 SH Defined 01 102434 0 19200 NEWCASTLE COM 65105M108 249 61203 SH Defined 01 61203 0 0 NIKE INC CL B 654106103 224 2617 SH Defined 01 2617 0 0 NISOURCE INC COM 65473P105 265 12408 SH Defined 01 12408 0 0 NORDSTROM INC COM 655664100 3861 84512 SH Defined 01 84512 0 0 NORTHERN OIL COM 665531109 780 40220 SH Defined 01 28620 0 11600 NU SKIN ENTER CL A 67018T105 270 6654 SH Defined 01 6654 0 0 NUANCE COMM COM 67020Y100 247 12141 SH Defined 01 12141 0 0 NVIDIA CORP COM 67066G104 2084 166729 SH Defined 01 166729 0 0 OASIS PETE COM 674215108 5439 243556 SH Defined 01 222056 0 21500 OLD DOMINION COM 679580100 5229 180512 SH Defined 01 172712 0 7800 OPENTABLE INC COM 68372A104 701 15230 SH Defined 01 10630 0 4600 PACCAR INC COM 693718108 1246 36841 SH Defined 01 36841 0 0 PANERA BREAD CO CL A 69840W108 2985 28723 SH Defined 01 28723 0 0 PARKER HANN COM 701094104 1529 24213 SH Defined 01 24213 0 0 PATRIOT COAL COM 70336T104 902 106590 SH Defined 01 74390 0 32200 PEABODY ENERGY COM 704549104 528 15590 SH Defined 01 15590 0 0 PERRIGO CO COM 714290103 5941 61183 SH Defined 01 61183 0 0 PETSMART INC COM 716768106 1852 43415 SH Defined 01 43415 0 0 PHARMASSET INC COM 71715N106 6056 73525 SH Defined 01 66125 0 7400 POLARIS INDS COM 731068102 228 4560 SH Defined 01 4560 0 0 POLYPORE INTL COM 73179V103 8061 142614 SH Defined 01 129114 0 13500 POWERSHS DB 73936D107 208 9312 SH Defined 01 9312 0 0 PRAXAIR INC COM 74005P104 219 2338 SH Defined 01 2338 0 0 PRECISION CAST COM 740189105 233 1497 SH Defined 01 1497 0 0 QLIK TECH COM 74733T105 1456 67210 SH Defined 01 55310 0 11900 QUALITY SYS COM 747582104 1141 11760 SH Defined 01 8160 0 3600 RTI INTL COM 74973W107 477 20450 SH Defined 01 14250 0 6200 RF MICRO COM 749941100 1128 177840 SH Defined 01 124140 0 53700 RACKSPACE HOST COM 750086100 3612 105794 SH Defined 01 105794 0 0 RANGE RES CORP COM 75281A109 207 3539 SH Defined 01 3539 0 0 RAYMOND JAMES FIN COM 754730109 1053 40551 SH Defined 01 40551 0 0 REALPAGE INC COM 75606N109 749 36635 SH Defined 01 25435 0 11200 ROBBINS & MYERS COM 770196103 2714 78180 SH Defined 01 66580 0 11600 ROCKWELL AUTO COM 773903109 1317 23523 SH Defined 01 23523 0 0 ROCKWOOD HLDGS COM 774415103 1736 51528 SH Defined 01 51528 0 0 ROWAN COS INC COM 779382100 1545 51163 SH Defined 01 51163 0 0 RUE21 INC COM 781295100 857 37750 SH Defined 01 26250 0 11500 RUSH ENTER CL A 781846209 2439 172280 SH Defined 01 147580 0 24700 SXC HEALTH SOL COM 78505P100 4016 72105 SH Defined 01 72105 0 0 SAKS INC COM 79377W108 2377 271602 SH Defined 01 240902 0 30700 SALESFORCE COM 79466L302 4549 39804 SH Defined 01 39804 0 0 SALIX PHARM COM 795435106 1320 44580 SH Defined 01 37380 0 7200 SANDISK CORP COM 80004C101 219 5435 SH Defined 01 5435 0 0 SELECT HEALTHCARE 81369Y209 205 6464 SH Defined 01 6464 0 0 SELECT CONS STPLS 81369Y308 206 6945 SH Defined 01 6945 0 0 SELECT SECTOR 81369Y886 206 6126 SH Defined 01 6126 0 0 SILICON MOTION ADR 82706C108 447 38700 SH Defined 01 26000 0 12700 SKYWORKS SOL COM 83088M102 2024 112810 SH Defined 01 112810 0 0 SOTHEBYS COM 835898107 1893 68675 SH Defined 01 55875 0 12800 SOURCEFIRE INC COM 83616T108 1110 41480 SH Defined 01 29380 0 12100 STARBUCKS CORP COM 855244109 231 6201 SH Defined 01 6201 0 0 STIFEL FINL CORP COM 860630102 920 34643 SH Defined 01 23693 0 10950 SUCCESSFACTORS INC COM 864596101 5722 248883 SH Defined 01 219983 0 28900 SWIFT TRANSN CO CL A 87074U101 577 89650 SH Defined 01 62250 0 27400 TARGACEPT INC COM 87611R306 319 21250 SH Defined 01 14750 0 6500 TENNECO INC COM 880349105 915 35740 SH Defined 01 24940 0 10800 TERADYNE INC COM 880770102 853 77450 SH Defined 01 53750 0 23700 THOMPSON CREEK COM 884768102 1308 215425 SH Defined 01 172725 0 42700 TIBCO SOFTWARE INC COM 88632Q103 1670 74570 SH Defined 01 74570 0 0 TITAN INTL INC ILL COM 88830M102 1655 110300 SH Defined 01 91000 0 19300 TITAN MACHY INC COM 88830R101 1030 57540 SH Defined 01 40140 0 17400 TITANIUM METALS COM 888339207 2063 137741 SH Defined 01 137741 0 0 TRANSDIGM GRP COM 893641100 5012 61364 SH Defined 01 61364 0 0 TRIQUINT SEMI COM 89674K103 762 151740 SH Defined 01 132040 0 19700 ULTA SALON COS COM 90384S303 3064 49229 SH Defined 01 49229 0 0 ULTIMATE SOFT COM 90385D107 535 11450 SH Defined 01 8050 0 3400 UNDER ARMOUR CL A 904311107 4057 61097 SH Defined 01 58897 0 2200 UNITEDHEALTH COM 91324P102 214 4645 SH Defined 01 4645 0 0 UNIVERSAL STAINLESS COM 913837100 766 30150 SH Defined 01 20950 0 9200 V F CORP COM 918204108 248 2041 SH Defined 01 2041 0 0 VECTREN CORP COM 92240G101 233 8593 SH Defined 01 8593 0 0 VERA BRADLEY INC COM 92335C106 2504 69470 SH Defined 01 57370 0 12100 VERISK ANALYTICS INC CL A 92345Y106 1839 52880 SH Defined 01 52880 0 0 VISA INC COM 92826C839 216 2520 SH Defined 01 2520 0 0 VITAMIN SHOPPE COM 92849E101 2419 64600 SH Defined 01 52600 0 12000 VOCUS INC COM 92858J108 1851 110437 SH Defined 01 93837 0 16600 WALTER ENRGY COM 93317Q105 1924 32055 SH Defined 01 32055 0 0 WATERS CORP COM 941848103 1990 26363 SH Defined 01 26363 0 0 WATSON PHARM COM 942683103 239 3509 SH Defined 01 3509 0 0 WESTPORT INNO COM 960908309 3087 106700 SH Defined 01 91600 0 15100 WHOLE FOODS COM 966837106 3946 60421 SH Defined 01 60421 0 0 WILLIAMS SON COM 969904101 2336 75854 SH Defined 01 75854 0 0 WYNN RESORTS COM 983134107 1963 17059 SH Defined 01 17059 0 0 ZOLL MED CORP COM 989922109 1835 48617 SH Defined 01 33017 0 15600