0000837286-11-000008.txt : 20111019 0000837286-11-000008.hdr.sgml : 20111019 20111019152409 ACCESSION NUMBER: 0000837286-11-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111019 DATE AS OF CHANGE: 20111019 EFFECTIVENESS DATE: 20111019 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RAY GERALD L & ASSOCIATES LTD CENTRAL INDEX KEY: 0000837286 IRS NUMBER: 751567129 STATE OF INCORPORATION: TX FISCAL YEAR END: 0531 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-02345 FILM NUMBER: 111148008 BUSINESS ADDRESS: STREET 1: 1445 ROSS AVE STREET 2: SUITE 5600 CITY: DALLAS STATE: TX ZIP: 75202 BUSINESS PHONE: 2149541900 MAIL ADDRESS: STREET 1: 1445 ROSS AVE STREET 2: SUITE 5600 CITY: DALLAS STATE: TX ZIP: 75202 FORMER COMPANY: FORMER CONFORMED NAME: RAY GERALD L & ASSOCIATES INC DATE OF NAME CHANGE: 19990407 13F-HR 1 o13f093011.txt U.S.SECURITIES AND EXCHANGE COMMISSION FORM 13F-HR FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2011 Check here if Amendment ( ) This Amendment (Check only one.): ( ) is a restatement. ( ) adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Gerald L. Ray & Associates, Ltd. Address: 1445 Ross Ave. Suite 5600 Dallas, TX 75202 13F File Number: 028-02345 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. Person signing this Report on Behalf of Reporting Manager: Name: Joseph H. Ray Title: President Phone: 214-954-1900 Signature, Place, and Date of Signing: Gerald L. Ray Dallas, TX October 19, 2011 Report Type (Check only one.): (X) 13F HOLDINGS REPORT. ( ) 13F NOTICE. ( ) 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: N/A 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 COM 88579y101 364 5066 SH Sole 2866 2200 ABBOTT LABS COM 002824100 325 6352 SH Sole 4752 1600 1023 20000 SH Defined 16000 4000 ALLOS THERAPEUTICS INC COM COM 019777101 304 166050 SH Sole 152800 13250 46 25000 SH Defined 25000 ALLSTATE CORP COM 020002101 56 2374 SH Sole 1034 1340 253 10662 SH Defined 9862 800 ALTRIA GROUP INC COM COM 02209S103 1656 61756 SH Sole 39647 22109 737 27500 SH Defined 22500 5000 AMERICAN CAMPUS CMNTYS COM COM 024835100 454 12200 SH Sole 12200 93 2500 SH Defined 2500 AMERICAN EXPRESS CO COM 025816109 670 14930 SH Sole 13420 1510 455 10125 SH Defined 10125 AMGEN COM 031162100 6527 118758 SH Sole 102583 16175 1250 22740 SH Defined 22740 ANADARKO PETE CORP COM COM 032511107 386 6115 SH Sole 5815 300 APACHE CORP COM COM 037411105 2275 28350 SH Sole 23600 4750 241 3000 SH Defined 3000 APPLE INC COM COM 037833100 6759 17726 SH Sole 15636 2090 1754 4600 SH Defined 4600 AT&T INC COM COM 00206R102 1891 66306 SH Sole 54722 11584 BANK OF AMERICA CORP COM COM 060505104 1819 297206 SH Sole 268894 28312 424 69245 SH Defined 67048 2197 BAXTER INTL INC COM 071813109 118 2100 SH Sole 2100 449 8000 SH Defined 8000 BELO CORP COM SER B COM 080555204 60 12000 SH Defined 8000 4000 BLACKSTONE GROUP L P COM UNIT COM 09253U108 144 12000 SH Sole 12000 64 5350 SH Defined 3850 1500 BOEING CO COM 097023105 1651 27283 SH Sole 24158 3125 457 7560 SH Defined 7560 BOSTON PROPERTIES INC COM COM 101121101 392 4400 SH Sole 2900 1500 1381 15500 SH Defined 11000 4500 BRISTOL MYERS SQUIBB COM 110122108 2415 76965 SH Sole 59857 17108 1732 55200 SH Defined 48400 6800 BUCKEYE PARTNERS L P UNIT LTD COM 118230101 288 4600 SH Sole 1300 3300 BUILD A BEAR WORKSHOP COM COM 120076104 105 20500 SH Sole 20500 CAMPBELL SOUP CO COM 134429109 2 53 SH Sole 53 388 12000 SH Defined 9400 2600 CAPITAL & COUNTIES PROPERTIES COM 9EQ2DO0I4 46 27200 SH Sole 27200 CAPITAL SHOPPING CENTRES GROUP COM 486799000 89 27200 SH Sole 27200 CARNIVAL CORP PAIRED CTF COM 143658300 97 3200 SH Sole 3200 309 10200 SH Defined 7200 3000 CATERPILLAR INC DEL COM COM 149123101 3768 51027 SH Sole 43927 7100 15 200 SH Defined 200 CBL & ASSOC PPTYS INC COM 124830100 112 9879 SH Sole 8779 1100 1693 149018 SH Defined 121336 27682 CELGENE CORP COM COM 151020104 8103 130880 SH Sole 115480 15400 1288 20800 SH Defined 20800 CENTURYLINK INC COM COM 156700106 700 21131 SH Sole 15581 5550 CHEVRON CORP COM COM 166764100 2190 23650 SH Sole 14992 8658 783 8454 SH Defined 8146 308 CIENA CORP COM COM 171779309 160 14242 SH Sole 14242 CIGNA CORP COM COM 125509109 745 17775 SH Defined 17775 CISCO SYS INC COM 17275R102 2690 173538 SH Sole 155138 18400 93 6000 SH Defined 6000 CITIGROUP INC COM NEW COM 172967424 2176 84962 SH Sole 78069 6893 195 7596 SH Defined 7538 58 COCA COLA CO COM 191216100 2419 35804 SH Sole 26942 8862 3378 50000 SH Defined 41000 9000 COLGATE PALMOLIVE CO COM 194162103 5650 63709 SH Sole 50530 13179 3042 34300 SH Defined 27500 6800 COMMERCIAL METALS CO COM COM 201723103 346 36432 SH Sole 32432 4000 209 22000 SH Defined 22000 CONOCOPHILLIPS COM COM 20825C104 587 9275 SH Sole 5250 4025 323 5100 SH Defined 3300 1800 CORNING INC COM 219350105 602 48700 SH Sole 42000 6700 COVIDIEN PLC SHS COM G2554F113 51 1163 SH Sole 1163 374 8485 SH Defined 7205 1280 CSX CORP COM COM 126408103 349 18700 SH Sole 15100 3600 CVS CAREMARK CORP COM COM 126650100 981 29199 SH Sole 17167 12032 67 2000 SH Defined 2000 DANAHER CORP DEL COM COM 235851102 257 6134 SH Sole 6134 DEERE & CO COM COM 244199105 256 3971 SH Sole 1576 2395 DELL INC COM COM 24702R101 149 10570 SH Sole 10570 713 50400 SH Defined 27000 23400 DENDREON CORP COM COM 24823Q107 649 72095 SH Sole 66945 5150 27 3000 SH Defined 3000 DIRECTV COM CL A COM 25490A101 403 9529 SH Defined 6312 3217 DISNEY WALT CO COM DISNEY COM 254687106 1743 57795 SH Sole 48039 9756 841 27900 SH Defined 21300 6600 DOMINION RES INC VA COM 25746u109 685 13491 SH Sole 6791 6700 528 10400 SH Defined 7900 2500 DRYSHIPS INC SHS COM Y2109Q101 57 24400 SH Sole 21400 3000 DU PONT E I DE NEMOURS COM 263534109 3622 90630 SH Sole 78830 11800 328 8200 SH Defined 8200 DUKE ENERGY CORP COM 26441C105 504 25191 SH Sole 19107 6084 300 15000 SH Defined 11500 3500 E M C CORP MASS COM COM 268648102 674 32100 SH Sole 31100 1000 210 10000 SH Defined 10000 EL PASO CORP COM COM 28336L109 3 200 SH Sole 200 269 15400 SH Defined 15200 200 ELAN PLC ADR COM 284131208 123 11700 SH Sole 9700 2000 ELECTRONIC ARTS INC COM COM 285512109 106 5170 SH Sole 4670 500 102 5000 SH Defined 5000 ELI LILLY & COMPANY COM 532457108 7 200 SH Sole 200 1213 32800 SH Defined 24000 8800 ENBRIDGE ENERGY MNGMT (STK DIV COM 29250X103 353 12859 SH Sole 2888 9970 ENBRIDGE ENERGY PRTNRS COM COM 29250R106 682 24840 SH Sole 18640 6200 206 7500 SH Defined 6500 1000 ENERGY VISION INTL INC COM COM 29276A103 0 13200 SH Sole 13200 ENTERGY CORP NEW COM COM 29364G103 292 4398 SH Sole 3798 600 ENTERPRISE PRODS PARTN COM COM 293792107 2531 63031 SH Sole 48413 14618 803 20000 SH Defined 17647 2353 EOG RES INC COM COM 26875P101 757 10665 SH Sole 9965 700 ERICSSON L M TEL CO ADR B SEK COM 294821608 96 10090 SH Sole 10090 EXXON MOBIL CORP COM COM 30231G102 5151 70915 SH Sole 49857 21058 265 3654 SH Defined 3654 F5 NETWORKS INC COM COM 315616102 349 4915 SH Sole 4615 300 FEDERAL NATL MTG ASSN COM COM 313586109 4 17500 SH Sole 17500 FEDEX CORP COM 31428X106 485 7160 SH Sole 5860 1300 404 5975 SH Defined 4175 1800 FIRST FINL BANKSHARES COM COM 32020R109 232 8851 SH Sole 5362 3489 FIRST HORIZON NATL CP COM COM 320517105 75 12597 SH Sole 12597 FORD MTR CO DEL COM 345370860 208 21473 SH Sole 21473 GENERAL ELEC CO COM 369604103 5248 344825 SH Sole 298238 46587 618 40600 SH Defined 40200 400 GENERAL GROWTH PPTYS I COM COM 370023103 149 12306 SH Sole 12306 44 3653 SH Defined 3132 521 GENERAL MLS INC COM 370334104 496 12892 SH Sole 11392 1500 GLAXOSMITHKLINE PLC SPONSORED COM 37733W105 29 702 SH Sole 702 454 11000 SH Defined 9000 2000 GLENCORE INTERNATIONAL PLC COM 00B4T3BW6 92 13500 SH Defined 13500 GOLDMAN SACHS GROUP COM COM 38141G104 1072 11333 SH Sole 10683 650 425 4500 SH Defined 3600 900 GOODRICH CORP COM COM 382388106 2201 18242 SH Sole 17342 900 GOOGLE INC CL A COM 38259P508 461 896 SH Sole 753 143 HALLIBURTON CO COM COM 406216101 445 14593 SH Sole 14593 HEALTHSPORTS INC COM COM 42223C106 0 15000 SH Sole 15000 HERSHEY CO COM COM 427866108 549 9266 SH Sole 2991 6275 225 3800 SH Defined 3800 HEWLETT PACKARD CO COM COM 428236103 2168 96585 SH Sole 85682 10903 16 720 SH Defined 720 HOLOGIC INC COM COM 436440101 205 13500 SH Sole 8700 4800 HOME DEPOT INC COM 437076102 757 23030 SH Sole 22630 400 HONEYWELL INTL INC COM COM 438516106 4941 112523 SH Sole 99773 12750 INTEL CORP COM 458140100 4398 206136 SH Sole 176103 30033 704 33000 SH Defined 26600 6400 INTERNATIONAL BUSINESS M COM 459200101 5584 31935 SH Sole 28110 3825 2063 11800 SH Defined 11800 J P MORGAN CHASE & CO COM COM 46625H100 4778 158641 SH Sole 143683 14958 1059 35162 SH Defined 35162 JOHNSON & JOHNSON COM 478160104 4496 70596 SH Sole 51936 18660 1860 29200 SH Defined 27240 1960 KANSAS CITY SOUTHERN COM NEW COM 485170302 2233 44700 SH Sole 41900 2800 250 5000 SH Defined 5000 KELLOGG CO COM 487836108 638 12000 SH Defined 9400 2600 KIMBERLY CLARK CORP COM 494368103 440 6191 SH Sole 4191 2000 611 8600 SH Defined 5600 3000 KINDER MORGAN ENERGY UT LTD PA COM 494550106 1909 27922 SH Sole 22622 5300 670 9800 SH Defined 7800 2000 KINDER MORGAN MGMT (STK DIV) COM 49455U100 717 12214 SH Sole 6519 5695 27 460 SH Defined 460 KRAFT FOODS INC CL A COM 50075N104 1702 50692 SH Sole 32979 17713 770 22931 SH Defined 19473 3458 L-3 COMMUNICATNS HLDGS COM COM 502424104 624 10066 SH Sole 7991 2075 LAS VEGAS SANDS CORP COM COM 517834107 1737 45300 SH Sole 41000 4300 383 10000 SH Defined 10000 LAUDER ESTEE COS INC CL A COM 518439104 537 6117 SH Sole 6117 1458 16600 SH Defined 13800 2800 LIBERTY MEDIA HLDG CRP INT COM COM 53071M104 4 260 SH Sole 260 176 11938 SH Defined 7906 4032 LOWES COS INC COM COM 548661107 439 22700 SH Sole 19700 3000 MACERICH CO COM COM 554382101 78 1830 SH Sole 1291 539 840 19704 SH Defined 18172 1532 MAGELLAN MIDSTREAM PRT COM UNI COM 559080106 1250 20698 SH Sole 14266 6432 1258 20835 SH Defined 18571 2264 MANITOWOC INC COM COM 563571108 307 45800 SH Sole 40800 5000 101 15000 SH Defined 15000 MANULIFE FINL CORP COM COM 56501R106 125 11072 SH Sole 6122 4950 MARRIOTT INTL COM 571903202 308 11316 SH Sole 11316 330 12126 SH Defined 12126 MASTERCARD INC CL A COM 57636Q104 127 400 SH Sole 400 254 800 SH Defined 400 400 MEAD JOHNSON NUTRI CO COM CL A COM 582839106 304 4418 SH Sole 4418 447 6500 SH Defined 5750 750 MEDCO HEALTH SOLUTIONS COM COM 58405U102 1073 22881 SH Sole 21579 1302 1395 29742 SH Defined 27502 2240 MERCK & CO INC NEW COM COM 58933Y105 462 14125 SH Sole 5985 8140 1595 48779 SH Defined 44089 4690 METLIFE INC COM COM 59156R108 353 12604 SH Sole 10104 2500 151 5400 SH Defined 4000 1400 MGM RESORTS INTERNATIO COM COM 552953101 830 89350 SH Sole 82950 6400 139 15000 SH Defined 15000 MICROSOFT CORP COM COM 594918104 2735 109892 SH Sole 95342 14550 309 12400 SH Defined 12400 MONSANTO CO NEW COM COM 61166W101 1026 17082 SH Sole 15812 1270 193 3216 SH Defined 1854 1362 MORGAN STANLEY COM NEW COM 617446448 135 9960 SH Sole 9960 100 7408 SH Defined 6608 800 NEWTEK BUSINESS SVCS COM COM 652526104 14 10000 SH Sole 10000 NEXTERA ENERGY INC COM COM 65339F101 352 6520 SH Sole 3220 3300 174 3220 SH Defined 3220 NORDSTROM INC COM COM 655664100 471 10310 SH Sole 9410 900 NORFOLK SOUTHERN CORP COM 655844108 565 9255 SH Sole 6955 2300 119 1950 SH Defined 1950 NVIDIA CORP COM COM 67066G104 532 42500 SH Sole 39450 3050 150 12000 SH Defined 12000 OCCIDENTAL PETRO CORP DEL COM 674599105 208 2912 SH Sole 2912 ONEOK PARTNERS LP UNIT LTD PAR COM 68268N103 1390 29816 SH Sole 25016 4800 746 16000 SH Defined 14000 2000 ORACLE CORP COM COM 68389X105 388 13508 SH Sole 11508 2000 PEABODY ENERGY CORP COM COM 704549104 642 18950 SH Sole 16550 2400 136 4000 SH Defined 4000 PEPSICO INC COM 713448108 5526 89268 SH Sole 67634 21634 1697 27420 SH Defined 25580 1840 PETRA DIAMONDS LIMITED SHS COM G70278109 17 10000 SH Sole 10000 PFIZER INC COM 717081103 2650 149900 SH Sole 134984 14916 575 32520 SH Defined 32100 420 PHILIP MORRIS INTL INC COM COM 718172109 4413 70750 SH Sole 47941 22809 1734 27800 SH Defined 22800 5000 PLAINS ALL AM PIPELINE UNIT LT COM 726503105 999 16954 SH Sole 14100 2854 PNC FINL SVCS GROUP COM COM 693475105 290 6025 SH Sole 6025 226 4700 SH Defined 4000 700 PRAXAIR INC COM COM 74005P104 563 6022 SH Sole 6022 159 1700 SH Defined 1700 PROCTER & GAMBLE CO COM 742718109 4742 75048 SH Sole 37648 37400 1557 24650 SH Defined 18410 6240 PULTE HOMES INC COM COM 745867101 86 21783 SH Sole 21783 REGENERON PHARMACEUTICALS COM 75886F107 4237 72805 SH Sole 62305 10500 233 4000 SH Defined 4000 REPUBLIC SVCS INC COM COM 760759100 445 15870 SH Sole 10470 5400 RETRACTABLE TECHNOLS COM COM 76129W105 20 15000 SH Sole 15000 SABINE ROYALTY TR COM 785688102 217 3450 SH Sole 3300 150 189 3000 SH Defined 3000 SAN JUAN BASIN RTY TR UNIT BEN COM 798241105 312 13600 SH Sole 13600 SANDISK CORP COM COM 80004C101 4961 122940 SH Sole 111590 11350 250 6200 SH Defined 6200 SANGAMO BIOSCIENCES COM COM 800677106 321 73824 SH Sole 68324 5500 22 5000 SH Defined 5000 SCHLUMBERGER LTD COM 806857108 1357 22723 SH Sole 20823 1900 SCHOLASTIC CORP COM COM 807066105 308 11000 SH Defined 9000 2000 SIMON PPTY GROUP NEW COM COM 828806109 536 4874 SH Sole 3558 1316 2200 20008 SH Defined 17433 2575 SOUTHERN CO COM COM 842587107 225 5300 SH Sole 3500 1800 21 500 SH Defined 500 SOUTHERN UN CO NEW COM COM 844030106 20 500 SH Sole 500 490 12076 SH Defined 9976 2100 SOUTHWEST AIRLS CO COM 844741108 7267 903814 SH Sole 860080 43734 458 56980 SH Defined 56980 SPECTRA ENERGY CORP COM COM 847560109 151 6146 SH Sole 5146 1000 258 10500 SH Defined 7000 3500 ST JUDE MED INC COM COM 790849103 136 3750 SH Sole 2450 1300 87 2400 SH Defined 2400 STANLEY BLACK & DECKER COM COM 854502101 29 600 SH Sole 600 501 10200 SH Defined 10200 STARBUCKS CORP COM COM 855244109 498 13350 SH Sole 13350 SYMANTEC CORP COM COM 871503108 709 43470 SH Sole 37470 6000 TAUBMAN CTRS INC COM COM 876664103 503 10000 SH Defined 10000 TE CONNECTIVITY LTD REG SHS COM H84989104 39 1386 SH Sole 1386 227 8052 SH Defined 6772 1280 TEREX CORP NEW COM COM 880779103 156 15180 SH Sole 14180 1000 TEVA PHARMACEUTCL INDS ADR COM 881624209 231 6208 SH Sole 5708 500 TEXAS INSTRS INC COM COM 882508104 565 21209 SH Sole 18904 2305 47 1750 SH Defined 1250 500 THERMO FISHER SCIENTIF COM COM 883556102 1533 30265 SH Sole 24515 5750 298 5875 SH Defined 5375 500 TIME WARNER INC COM COM 887317303 385 12846 SH Sole 10226 2620 186 6200 SH Defined 6200 TOYOTA MOTOR CORP SP ADR REP2C COM 892331307 396 5800 SH Sole 5800 TYCO INTERNATIONAL LTD SHS COM H89128104 567 13913 SH Sole 10163 3750 463 11364 SH Defined 10084 1280 UNDER ARMOUR INC CL A COM 904311107 2967 44675 SH Sole 40575 4100 UNITED HEALTHCARE CORP COM 91324P102 2010 43585 SH Sole 38185 5400 1637 35500 SH Defined 31500 4000 UNITED PARCEL SERVICE CL B COM 911312106 243 3851 SH Sole 3251 600 44 700 SH Defined 500 200 UNITED TECHNOLOGIES CORP COM 913017109 1720 24440 SH Sole 19340 5100 32 450 SH Defined 450 VERIZON COMMUNICATIONS COM COM 92343V104 383 10406 SH Sole 5731 4675 VERTEX PHARMACEUTICALS COM COM 92532F100 316 7100 SH Sole 6700 400 VIACOM INC CL B COM 92553P201 4 100 SH Sole 100 346 8928 SH Defined 6174 2754 VISA INC COM CL A COM 92826C839 1694 19763 SH Sole 18613 1150 1324 15450 SH Defined 12650 2800 VISEON INC COM COM 928297100 0 12000 SH Sole 12000 VODAFONE GROUP PLC NEW SPONS A COM 92857W209 5 189 SH Sole 189 258 10059 SH Defined 9403 656 WAL MART STORES INC COM 931142103 5918 114033 SH Sole 104333 9700 322 6200 SH Defined 6000 200 WALGREEN CO COM COM 931422109 276 8393 SH Sole 1793 6600 WEATHERFORD INTL LTD REG COM H27013103 286 23450 SH Sole 21050 2400 WELLPOINT HEALTH NETWK (NEW) COM 94973V107 343 5253 SH Sole 3553 1700 WELLS FARGO & COMPANY COM 949746101 1083 44921 SH Sole 44121 800 342 14183 SH Defined 14183 WESTERN UN CO COM COM 959802109 8 500 SH Sole 500 305 19920 SH Defined 19920 WILLIAMS COS INC DEL COM COM 969457100 646 26534 SH Sole 18534 8000 2 100 SH Defined 100 WILLIAMS PARTNERS L P COM UNIT COM 96950F104 402 7415 SH Sole 5815 1600 WINDSTREAM CORP COM COM 97381W104 210 18010 SH Sole 2895 15115 XEROX CORP COM COM 984121103 1333 191230 SH Sole 172580 18650 84 12000 SH Defined 12000 YAHOO INC COM COM 984332106 152 11525 SH Sole 11525 YUM BRANDS INC COM 988498101 240 4862 SH Sole 2250 2612 ZIMMER HLDGS INC COM COM 98956p102 55 1020 SH Sole 1020 270 5040 SH Defined 4360 680 ISHARES TR DJ HOME CONSTN 464288752 126 14080.000 SH Sole 14080.000 ISHARES TR DJ OIL&GAS EXP 464288851 628 12272.000 SH Sole 11072.000 1200.000 ISHARES TR DJ US FINL SVC 464287770 958 23310.000 SH Sole 21960.000 1350.000 8 200.000 SH Defined 200.000 ISHARES TR MSCI EAFE IDX 464287465 728 15235.029 SH Sole 12029.000 3206.029 ISHARES TR MSCI EMERG MKT 464287234 864 24610.000 SH Sole 24510.000 100.000 11 300.000 SH Defined 300.000 ISHARES TR NASDQ BIO INDX 464287556 784 8400.000 SH Sole 8140.000 260.000 ISHARES TR PHLX SOX SEMICND 464287523 320 6970.000 SH Sole 6870.000 100.000 ISHARES TR RUSSELL MIDCAP 464287499 420 4763.000 SH Sole 4763.000 ISHARES TR S&P500 GRW 464287309 422 6884.000 SH Sole 6884.000 ISHARES TR US PFD STK IDX 464288687 376 10550.000 SH Sole 10550.000 POWERSHARES ETF TRUST WATER RE 73935X575 297 19740.000 SH Sole 19740.000 POWERSHARES INDIA ETF INDIA PO 73935L100 326 17905.000 SH Sole 16905.000 1000.000 POWERSHARES QQQ TRUST UNIT SER 73935A104 1519 28940.000 SH Sole 28340.000 600.000 31 600.000 SH Defined 600.000 SELECT SECTOR SPDR TR SBI MATE 81369Y100 336 11435.000 SH Sole 10635.000 800.000 SPDR INDEX SHS FDS ASIA PACIF 78463X301 478 7435.000 SH Sole 7435.000 SPDR INDEX SHS FDS DJWS INTL R 78463X863 1117 34850.000 SH Sole 33450.000 1400.000 UNITED STATES NATL GAS UNIT NE 912318110 93 10375.000 SH Sole 10375.000 VANGUARD INDEX FDS MID CAP ETF 922908629 365 5600.000 SH Sole 4000.000 1600.000 VANGUARD INDEX FDS SM CP VAL E 922908611 216 3886.000 SH Sole 3886.000 VANGUARD INDEX FDS SMALL CP ET 922908751 363 5917.000 SH Sole 4317.000 1600.000 VANGUARD INDEX FDS SML CP GRW 922908595 560 8379.000 SH Sole 8379.000 VANGUARD INDEX FDS VALUE ETF 922908744 267 5673.000 SH Sole 5673.000 VANGUARD INTL EQTY IDX EMR MKT 922042858 1676 46770.000 SH Sole 37670.000 9100.000 3 75.000 SH Defined 75.000 VANGUARD TAX-MANAGED EUROPE PA 921943858 384 12730.000 SH Sole 10330.000 2400.000 WISDOMTREE TRUST DEFA FD 97717W703 672 16876.000 SH Sole 12076.000 4800.000 BANK OF AMERICA CORP PFD 1/120 060505583 486 36450 SH Sole 34050 2400 BANK OF AMERICA CORP PFD PER1/ 060505815 335 25000 SH Sole 25000 GOLDMAN SACHS GROUP IN PFD 1/1 38144X609 910 48450 SH Sole 48450 GOLDMAN SACHS GROUP IN SHS D 1 38144G804 481 26450 SH Sole 26450 GOLDMAN SACHS GROUP PFD A 1/10 38143Y665 3127 168742 SH Sole 157300 11442 19 1000 SH Defined 1000 METLIFE INC PFD A FLT RATE 59156R504 603 25557 SH Sole 18557 7000 5 200 SH Defined 200
FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 333 Form 13F Information Table Value Total: $295,537 (x1000) List of Other Included Managers: N/A