0001193125-12-470355.txt : 20121114 0001193125-12-470355.hdr.sgml : 20121114 20121114151544 ACCESSION NUMBER: 0001193125-12-470355 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121114 DATE AS OF CHANGE: 20121114 EFFECTIVENESS DATE: 20121114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PLAINSCAPITAL CORP CENTRAL INDEX KEY: 0000822083 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 752182440 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12708 FILM NUMBER: 121203852 BUSINESS ADDRESS: STREET 1: 2323 VICTORY AVENUE STREET 2: SUITE 1400 CITY: DALLAS STATE: TX ZIP: 75219-7657 BUSINESS PHONE: 214.252.4065 MAIL ADDRESS: STREET 1: 2323 VICTORY AVENUE STREET 2: SUITE 1400 CITY: DALLAS STATE: TX ZIP: 75219-7657 FORMER COMPANY: FORMER CONFORMED NAME: PLAINS CAPITAL CORP DATE OF NAME CHANGE: 19870918 13F-HR 1 d439335d13fhr.txt FORM 13F ================================================================================ 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, 2012 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: PlainsCapital Corporation Address: 2323 Victory Avenue Suite 1400 Dallas, Texas 75219 Form 13F File Number: 28- 12708 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: John A. Martin Title: Executive Vice President and Chief Financial Officer Phone: 214-525-9038 Signature, Place, and Date of Signing: /s/ JOHN A. MARTIN Dallas, TX November 14, 2012 -------------------- ------------------ ------------------- (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: NONE ================================================================================ FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ------- Form 13F Information Table Entry Total: 131 ------- Form 13F Information Table Value Total: 87,982(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. NONE Page 2 of 6 FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ----------------------- ----------------- --------- -------- --------------------- ----------- --------- -------------------------- VOTING AUTHORITY -------------------------- TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER NAME OF ISSUER CLASS CUSIP (X1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ----------------------- ----------------- --------- -------- -------- ----- ------ ----------- --------- ------- ------- ---------- 3M CO COM 88579Y101 296 3201 SH NA DEFINED -- 3101 0 100 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 462 6593 SH NA DEFINED -- 1718 0 4875 ACE LTD SHS H0023R105 200 2646 SH NA DEFINED -- 2646 0 0 AECOM TECHNOLOGY CORP DELAWARE COM 00766T100 466 22045 SH NA DEFINED -- 3695 0 18350 AFFILIATED MANAGERS GROUP COM 008252108 1410 11460 SH NA DEFINED -- 8021 0 3439 AGCO CORP COM 001084102 1126 23718 SH NA DEFINED -- 22328 0 1390 ALEXION PHARMACEUTICALS INC COM 015351109 211 1844 SH NA DEFINED -- 1420 0 424 AMAZON COM INC COM 023135106 217 855 SH NA DEFINED -- 654 0 201 AMDOCS LTD ORD G02602103 259 7840 SH NA DEFINED -- 1440 0 6400 AMERICAN ELEC PWR INC COM 025537101 226 5155 SH NA DEFINED -- 5131 0 24 APACHE CORP COM 037411105 585 6767 SH NA DEFINED -- 1117 0 5650 APPLE INC COM 037833100 860 1289 SH NA DEFINED -- 1220 0 69 AT&T INC COM 00206R102 216 5726 SH NA DEFINED -- 3796 0 1930 BAKER HUGHES INC COM 057224107 489 10815 SH NA DEFINED -- 1665 0 9150 BARCLAYS BK PLC DJUBS CMDT ETN36 06738C778 388 8795 SH NA DEFINED -- 8090 0 705 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 364 4131 SH NA DEFINED -- 4081 0 50 BRISTOL MYERS SQUIBB CO COM 110122108 333 9870 SH NA DEFINED -- 9815 0 55 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 809 34676 SH NA DEFINED -- 32466 0 2210 CENTENE CORP DEL COM 15135B101 1035 27687 SH NA DEFINED -- 26047 0 1640 CHEVRON CORP NEW COM 166764100 720 6177 SH NA DEFINED -- 5769 0 408 CHICAGO BRIDGE & IRON CO N V N Y REGISTRY SH 167250109 991 26003 SH NA DEFINED -- 24753 0 1250 CISCO SYS INC COM 17275R102 533 27922 SH NA DEFINED -- 9897 0 18025 COCA COLA CO COM 191216100 852 22467 SH NA DEFINED -- 11495 0 10972 COGNIZANT TECHNOLOGY SOLUTIONS CL A 192446102 351 5020 SH NA DEFINED -- 4424 0 596 COLUMBIA SPORTSWEAR CO COM 198516106 819 15213 SH NA DEFINED -- 14303 0 910 CONOCOPHILLIPS COM 20825C104 278 4860 SH NA DEFINED -- 4479 0 381 COVIDIEN PLC SHS G2554F113 605 10169 SH NA DEFINED -- 2594 0 7575 CVS CAREMARK CORPORATION COM 126650100 527 10871 SH NA DEFINED -- 2746 0 8125 DARDEN RESTAURANTS INC COM 237194105 428 7671 SH NA DEFINED -- 7655 0 16 DARLING INTL INC COM 237266101 935 51153 SH NA DEFINED -- 48263 0 2890 DEVON ENERGY CORP NEW COM 25179M103 240 3970 SH NA DEFINED -- 3720 0 250 DOLLAR TREE INC COM 256746108 299 6184 SH NA DEFINED -- 5458 0 726 EASTMAN CHEM CO COM 277432100 268 4693 SH NA DEFINED -- 4693 0 0 EBAY INC COM 278642103 233 4824 SH NA DEFINED -- 3404 0 1420 EMERSON ELEC CO COM 291011104 451 9340 SH NA DEFINED -- 4981 0 4359 EQT CORP COM 26884L109 511 8665 SH NA DEFINED -- 1690 0 6975 EXELON CORP COM 30161N101 206 5791 SH NA DEFINED -- 5507 0 284 EXPRESS SCRIPTS HLDG CO COM 30219G108 366 5850 SH NA DEFINED -- 5022 0 828 EXXON MOBIL CORP COM 30231G102 804 8791 SH NA DEFINED -- 4291 0 4500 FLOWSERVE CORP COM 34354P105 996 7799 SH NA DEFINED -- 7363 0 436 FREEPORT-MCMORAN COPPER & GO COM 35671D857 272 6874 SH NA DEFINED -- 6069 0 805 GENERAL DYNAMICS CORP COM 369550108 284 4295 SH NA DEFINED -- 3919 0 376
Page 3 of 6 FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ----------------------- ----------------- --------- -------- --------------------- ----------- --------- -------------------------- VOTING AUTHORITY -------------------------- TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER NAME OF ISSUER CLASS CUSIP (X1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ----------------------- ----------------- --------- -------- -------- ----- ------ ----------- --------- ------- ------- ---------- GENERAL ELECTRIC CO COM 369604103 822 36187 SH NA DEFINED -- 9772 0 26415 GENERAL MLS INC COM 370334104 279 7002 SH NA DEFINED -- 6952 0 50 GENTEX CORP COM 371901109 282 16650 SH NA DEFINED -- 2225 0 14425 GOOGLE INC CL A 38259P508 269 356 SH NA DEFINED -- 356 0 0 HANESBRANDS INC COM 410345102 279 8750 SH NA DEFINED -- 1200 0 7550 HOME DEPOT INC COM 437076102 224 3715 SH NA DEFINED -- 3703 0 12 HONEYWELL INTL INC COM 438516106 229 3828 SH NA DEFINED -- 3486 0 342 HSBC HLDGS PLC SPON ADR NEW 404280406 446 9595 SH NA DEFINED -- 1420 0 8175 HUBBELL INC CL B 443510201 209 2582 SH NA DEFINED -- 2568 0 14 IDEX CORP COM 45167R104 809 19366 SH NA DEFINED -- 18176 0 1190 ILLINOIS TOOL WKS INC COM 452308109 415 6977 SH NA DEFINED -- 1632 0 5345 INTEL CORP COM 458140100 468 20623 SH NA DEFINED -- 6958 0 13665 INTERNATIONAL BUSINESS MACHS COM 459200101 403 1940 SH NA DEFINED -- 440 0 1500 INTERNATIONAL FLAVORS & FRAGRA COM 459506101 781 13106 SH NA DEFINED -- 7634 0 5472 ISHARES GOLD TRUST ISHARES 464285105 228 13224 SH NA DEFINED -- 12774 0 450 ISHARES TR AGENCY BD FD 464288166 603 5288 SH NA DEFINED -- 3446 0 1842 ISHARES TR BARCLYS 3-7 YR 464288661 761 6150 SH NA DEFINED -- 6150 0 0 ISHARES TR DJ INTL SEL DIVD 464288448 415 13122 SH NA DEFINED -- 13122 0 0 ISHARES TR MRTG PLS CAP IDX 464288539 1441 95858 SH NA DEFINED -- 89938 0 5920 ISHARES TR FLTG RATE NT 46429B655 480 9508 SH NA DEFINED -- 6121 0 3387 ISHARES TR DJ SEL DIV INX 464287168 1602 27770 SH NA DEFINED -- 26200 0 1570 ISHARES TR HIGH YLD CORP 464288513 2080 22534 SH NA DEFINED -- 20477 0 2057 ISHARES TR IBOXX INV CPBD 464287242 2444 20072 SH NA DEFINED -- 18757 0 1315 ISHARES TR BARCLYS 1-3YR 464287457 1318 15600 SH NA DEFINED -- 9989 0 5611 ISHARES TR MSCI EMERG MKT 464287234 341 8264 SH NA DEFINED -- 7939 0 325 ISHARES TR MSCI KLD400 SOC 464288570 362 6956 SH NA DEFINED -- 6956 0 0 ISHARES TR RUSSELL1000GRW 464287614 1059 15885 SH NA DEFINED -- 15885 0 0 ISHARES TR RUSSELL 2000 464287655 221 2640 SH NA DEFINED -- 2170 0 470 ISHARES TR RUSL 2000 GROW 464287648 247 2590 SH NA DEFINED -- 2540 0 50 ISHARES TR S&P MIDCAP 400 464287507 380 3847 SH NA DEFINED -- 2972 0 875 ISHARES TR US PFD STK IDX 464288687 1372 34418 SH NA DEFINED -- 32128 0 2290 ISHARES TR JP MORGAN USD 464288281 2505 20657 SH NA DEFINED -- 19397 0 1260 ISHARES TR BARCLYS MBS BD 464288588 3682 33724 SH NA DEFINED -- 28955 0 4769 ISHARES TR BARCLYS 1-3YR CR 464288646 4028 38081 SH NA DEFINED -- 34285 0 3796 KAYNE ANDERSON MLP INVSMNT C COM 486606106 3769 120669 SH NA DEFINED -- 117679 0 2990 KIMBERLY CLARK CORP COM 494368103 1155 13469 SH NA DEFINED -- 10711 0 2758 MCDONALDS CORP COM 580135101 535 5834 SH NA DEFINED -- 3488 0 2346 MCGRAW HILL COS INC COM 580645109 393 7193 SH NA DEFINED -- 7169 0 24 MDU RES GROUP INC COM 552690109 375 17030 SH NA DEFINED -- 3755 0 13275 MEADWESTVACO CORP COM 583334107 882 28811 SH NA DEFINED -- 27151 0 1660 MICROSOFT CORP COM 594918104 716 24064 SH NA DEFINED -- 9704 0 14360 NEWFIELD EXPL CO COM 651290108 859 27430 SH NA DEFINED -- 25845 0 1585
Page 4 of 6 FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ----------------------- ----------------- --------- -------- --------------------- ----------- --------- -------------------------- VOTING AUTHORITY -------------------------- TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER NAME OF ISSUER CLASS CUSIP (X1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ----------------------- ----------------- --------- -------- -------- ----- ------ ----------- --------- ------- ------- ---------- NEWS CORP CL A 65248E104 534 21816 SH NA DEFINED -- 4341 0 17475 NEXTERA ENERGY INC COM 65339F101 372 5293 SH NA DEFINED -- 4898 0 395 NOBLE CORPORATION BAAR NAMEM-AKT H5833N103 583 16300 SH NA DEFINED -- 2025 0 14275 NORDSON CORP COM 655663102 652 11135 SH NA DEFINED -- 10487 0 648 NORTHROP GRUMMAN CORP COM 666807102 245 3682 SH NA DEFINED -- 3652 0 30 NOVO-NORDISK A S ADR 670100205 404 2559 SH NA DEFINED -- 2559 0 0 OGE ENERGY CORP COM 670837103 913 16469 SH NA DEFINED -- 15529 0 940 ORACLE CORP COM 68389X105 325 10346 SH NA DEFINED -- 9776 0 570 PENTAIR INC COM 709631105 922 20704 SH NA DEFINED -- 19549 0 1155 PEPSICO INC COM 713448108 348 4910 SH NA DEFINED -- 4910 0 0 PG&E CORP COM 69331C108 213 4986 SH NA DEFINED -- 4956 0 30 POLARIS INDS INC COM 731068102 683 8457 SH NA DEFINED -- 7992 0 465 PRICELINE COM INC COM NEW 741503403 307 496 SH NA DEFINED -- 450 0 46 PROSHARES TR SHRT 20+YR TRE 74347X849 218 7500 SH NA DEFINED -- 0 0 7500 QUALCOMM INC COM 747525103 411 6575 SH NA DEFINED -- 5249 0 1326 REPUBLIC SVCS INC COM 760759100 612 22258 SH NA DEFINED -- 7708 0 14550 SAFEWAY INC COM NEW 786514208 675 41983 SH NA DEFINED -- 39313 0 2670 SCANA CORP NEW COM 80589M102 213 4416 SH NA DEFINED -- 4378 0 38 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 230 7469 SH NA DEFINED -- 2480 0 4989 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 1590 43696 SH NA DEFINED -- 37031 0 6665 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 1270 81443 SH NA DEFINED -- 71280 0 10163 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 372 7943 SH NA DEFINED -- 4639 0 3304 SEMPRA ENERGY COM 816851109 258 3999 SH NA DEFINED -- 3975 0 24 SMITHFIELD FOODS INC COM 832248108 767 39036 SH NA DEFINED -- 36696 0 2340 SPDR GOLD TRUST GOLD SHS 78463V107 922 5363 SH NA DEFINED -- 4950 0 413 SPDR SERIES TRUST S&P DIVID ETF 78464A763 1101 18944 SH NA DEFINED -- 18944 0 0 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 238 5746 SH NA DEFINED -- 5746 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 664 11295 SH NA DEFINED -- 2045 0 9250 THOR INDS INC COM 885160101 936 25802 SH NA DEFINED -- 24317 0 1485 TIMKEN CO COM 887389104 854 22972 SH NA DEFINED -- 21512 0 1460 TORTOISE ENERGY INFRSTRCTR C COM 89147L100 221 5467 SH NA DEFINED -- 5467 0 0 TRACTOR SUPPLY CO COM 892356106 278 2807 SH NA DEFINED -- 2513 0 294 TRINITY INDS INC COM 896522109 996 33247 SH NA DEFINED -- 31247 0 2000 TUPPERWARE BRANDS CORP COM 899896104 476 8874 SH NA DEFINED -- 8834 0 40 UNITED TECHNOLOGIES CORP COM 913017109 312 3987 SH NA DEFINED -- 3714 0 273 UNS ENERGY CORP COM 903119105 217 5201 SH NA DEFINED -- 5169 0 32 URS CORP NEW COM 903236107 999 28310 SH NA DEFINED -- 26580 0 1730 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 782 9600 SH NA DEFINED -- 9600 0 0 VANGUARD INDEX FDS REIT ETF 922908553 486 7483 SH NA DEFINED -- 6558 0 925 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 513 12297 SH NA DEFINED -- 11142 0 1155 VIACOM INC NEW CL B 92553P201 321 5995 SH NA DEFINED -- 1345 0 4650 VISA INC COM CL A 92826C839 406 3027 SH NA DEFINED -- 2728 0 299
Page 5 of 6 FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ----------------------- ----------------- --------- -------- --------------------- ----------- --------- -------------------------- VOTING AUTHORITY -------------------------- TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER NAME OF ISSUER CLASS CUSIP (X1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ----------------------- ----------------- --------- -------- -------- ----- ------ ----------- --------- ------- ------- ---------- VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 618 21705 SH NA DEFINED -- 5830 0 15875 WAL-MART STORES INC COM 931142103 277 3761 SH NA DEFINED -- 3306 0 455 WELLS FARGO & CO NEW COM 949746101 318 9202 SH NA DEFINED -- 8277 0 925 WESCO INTL INC COM 95082P105 293 5125 SH NA DEFINED -- 865 0 4260 WESTERN UN CO COM 959802109 548 30080 SH NA DEFINED -- 7630 0 22450
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