0000859872-14-000001.txt : 20140205 0000859872-14-000001.hdr.sgml : 20140205 20140205121154 ACCESSION NUMBER: 0000859872-14-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140205 DATE AS OF CHANGE: 20140205 EFFECTIVENESS DATE: 20140205 FILER: COMPANY DATA: COMPANY CONFORMED NAME: KLINGENSTEIN FIELDS & CO LLC CENTRAL INDEX KEY: 0000859872 IRS NUMBER: 133479093 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-02588 FILM NUMBER: 14575239 BUSINESS ADDRESS: STREET 1: 125 PARK AVENUE STREET 2: SUITE 1700 CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2124927000 MAIL ADDRESS: STREET 1: 125 PARK AVENUE STREET 2: SUITE 1700 CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: KLINGENSTEIN FIELDS & CO L P DATE OF NAME CHANGE: 19980824 13F-HR 1 primary_doc.xml 13F-HR LIVE false false true 0000859872 XXXXXXXX 12-31-2013 12-31-2013 KLINGENSTEIN FIELDS & CO LLC

125 PARK AVENUE SUITE 1700 NEW YORK NY 10017

13F HOLDINGS REPORT 028-02588 N Jonathan Roberts 212-492-6177 Jonathan Roberts New York NY 02-05-2014 2 442 2795111000 false 1 028-06291 Brandywine Trust Company 2 028-12671 Seabridge Investment Advisors INFORMATION TABLE 2 inftable4q13.xml 13F-HR 4Q13 Blackrock MuniHoldings New Yor COM 09255c106 868 69500 SH SOLE 69500 0 0 Blackrock Muniyield New York Q COM 09255E102 779 64500 SH SOLE 64500 0 0 ING Prime Rate Trust COM 44977W106 60 10300 SH SOLE 10300 0 0 Western Asset High Yield Defin COM 95768b107 373 21075 SH SOLE 21075 0 0 Currencyshares British Pound S COM 23129S106 457 2800 SH SOLE 2800 0 0 First Trust Senior Loan ETF COM 33738d309 632 12745 SH SOLE 12745 0 0 Highland/iBoxx Senior Loan ETF COM 430101774 453 22750 SH SOLE 22750 0 0 IShares Core Total U S Bond Ma COM 464287226 1507 14160 SH SOLE 14160 0 0 IShares IBoxx Investment Grade COM 464287242 1639 14355 SH SOLE 14355 0 0 IShares Preferred Stock ETF COM 464288687 1972 53555 SH SOLE 53555 0 0 Powershares Emerging Markets S COM 73936T573 313 11600 SH SOLE 11600 0 0 Powershares Financial Preferre COM 73935x229 4027 237750 SH SOLE 235750 0 2000 Powershares Preferred Portfoli COM 73936t565 1976 146990 SH SOLE 146990 0 0 PowerShares Senior Loan Portfo COM 73936q769 5077 204060 SH SOLE 204060 0 0 SPDR Barclays Short Term High COM 78468r408 211 6830 SH SOLE 6830 0 0 SPDR Blackstone/GSO Senior Loa COM 78467v608 625 12495 SH SOLE 12495 0 0 American Realty Capital Proper COM 02917t104 328 25500 SH SOLE 25500 0 0 American Tower Corp COM 03027X100 19978 250286 SH SOLE 243586 2700 4000 American Tower Corp COM 03027X100 3990 49986 SH DFND 01 49986 0 0 BRE Properties Inc Cl A COM 05564E106 1641 30000 SH SOLE 30000 0 0 Kimco Realty Corp COM 49446R109 525 26600 SH SOLE 26600 0 0 Medical Properties Trust Inc COM 58463j304 232 19000 SH SOLE 19000 0 0 Pennsylvania Real Estate Inves COM 709102107 402 21200 SH SOLE 21200 0 0 Plum Creek Timber Co Inc COM 729251108 399 8573 SH SOLE 3573 0 5000 Prologis Inc COM 74340W103 259 7000 SH SOLE 0 0 7000 Tanger Factory Outlet Centers COM 875465106 359 11200 SH SOLE 11200 0 0 UDR Inc COM 902653104 593 25396 SH SOLE 25396 0 0 Vornado Realty Trust COM 929042109 645 7269 SH SOLE 7269 0 0 Washington Real Estate Investm COM 939653101 922 39481 SH SOLE 39481 0 0 ABB Ltd Sponsored ADR ADR 000375204 25099 944975 SH SOLE 921625 9700 13650 ABB Ltd Sponsored ADR ADR 000375204 4212 158600 SH DFND 01 152600 6000 0 ABB Ltd Sponsored ADR ADR 000375204 66 2500 SH DFND 2500 0 0 Anheuser Busch Inbev NV Sponso ADR 03524A108 202 1900 SH SOLE 1900 0 0 BHP Billiton Ltd Sponsored ADR ADR 088606108 120 1756 SH SOLE 1756 0 0 BHP Billiton Ltd Sponsored ADR ADR 088606108 235 3450 SH DFND 02 0 0 3450 BP PLC Sponsored ADR ADR 055622104 7915 162826 SH SOLE 156206 420 6200 BP PLC Sponsored ADR ADR 055622104 729 15000 SH DFND 01 15000 0 0 BP PLC Sponsored ADR ADR 055622104 73 1500 SH DFND 1500 0 0 China Mobile Ltd ADR 16941m109 4781 91424 SH SOLE 86849 50 4525 China Mobile Ltd ADR 16941m109 39 745 SH DFND 745 0 0 GlaxoSmithkline PLC ADR ADR 37733W105 14302 267876 SH SOLE 267333 393 150 GlaxoSmithkline PLC ADR ADR 37733W105 10240 191800 SH DFND 01 191800 0 0 HSBC Holdings PLC ADS ADR 404280406 3213 58278 SH SOLE 53863 1500 2915 HSBC Holdings PLC ADS ADR 404280406 270 4890 SH DFND 02 0 0 4890 National Grid PLC Sponsored AD ADR 636274300 222 3400 SH SOLE 3400 0 0 Novartis AG Sponsored ADR ADR 66987V109 4132 51403 SH SOLE 51403 0 0 Novo Nordisk AS Sponsored ADR ADR 670100205 508 2748 SH SOLE 2748 0 0 Reed Elsevier NV Sponsored ADR ADR 758204200 699 16386 SH SOLE 16386 0 0 Royal Dutch Shell PLC Cl A Spo ADR 780259206 41109 576807 SH SOLE 568207 3600 5000 Royal Dutch Shell PLC Cl A Spo ADR 780259206 16086 225700 SH DFND 01 224200 1500 0 Siemens A G Sponsored ADR ADR 826197501 3596 25963 SH SOLE 24796 25 1142 Siemens A G Sponsored ADR ADR 826197501 48 350 SH DFND 350 0 0 Teva Pharmaceutical Industries ADR 881624209 289 7200 SH SOLE 7200 0 0 Unilever N.V. 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