-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, SDlymlgYgpoA9dGRgSSqt0ulak8CXwIcdzXpEUu1MiyrXLsZqn12N7isNtKMrX9D XyAg4JLoJnJCIkMMXLGTSA== 0000860828-09-000004.txt : 20091026 0000860828-09-000004.hdr.sgml : 20091026 20091026161300 ACCESSION NUMBER: 0000860828-09-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091026 DATE AS OF CHANGE: 20091026 EFFECTIVENESS DATE: 20091026 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CAPITAL ADVISORS INC/OK CENTRAL INDEX KEY: 0000860828 IRS NUMBER: 731044294 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04953 FILM NUMBER: 091137039 BUSINESS ADDRESS: STREET 1: 320 S BOSTON STREET 2: STE 825 CITY: TULSA STATE: OK ZIP: 74103 MAIL ADDRESS: STREET 1: 320 S BOSTON STREET 2: STE 825 CITY: TULSA STATE: OK ZIP: 74103 13F-HR 1 coverpage.txt FORM 13F 093009 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, 2009 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: Capital Advisors, Inc. Address: 2200 South Utica Place Suite 150 Tulsa, OK 74114 Form 13F File Number: 28-2644 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 require items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Lori A. Smith Title: Chief Financial Officer Phone: 918-599-0045 Signature, Place, and Date of Signing: Lori A. Smith Tulsa, OK October 26, 2009 Report Type (Check only one): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. 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: 68 Form 13F Information Table Value Total: $185,499 (Thousands) List of Other Included Managers: NONE FORM 13F INFORMATION TABLE (ITEM 1) (ITEM 2) (ITEM 3) (ITEM 4) (ITEM 5) (ITEM 6) (ITEM 7) (ITEM 8) INVESTMENT VOTING AUTHORITY DISCRETION (SHARES) ----------------- --------------------------------------- NAME TITLE FAIR SHARES OR SHARED OF OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER SOLE SHARED NONE ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) MGR (A) (B) (C) - ---------------------- ------ ---------- -------------- ------------ ----- ----- ----- -- ------------ ------------ ------------ 3DICON CORP COMMON 88579F102 20,604 2,747,140 X 2,747,140 0 0 3M CO COMMON 88579Y101 324,720 4,400 X 4,400 0 0 A T & T INC (NEW) COMMON 00206R102 4,033,835 149,346 X 149,346 0 0 AAON INC COMMON 000360206 15,489,913 771,410 X 771,410 0 0 ABBOTT LABS COMMON 002824100 494,700 10,000 X 10,000 0 0 ALNYLAM PHARMACEUTICA COMMON 02043Q107 3,226,910 142,280 X 142,280 0 0 APACHE CORP COMMON 037411105 433,070 4,716 X 4,716 0 0 B P PLC ADR COMMON 055622104 379,530 7,130 X 7,130 0 0 BANK OF AMERICA COMMON 060505104 4,509,451 266,516 X 266,516 0 0 BERKSHIRE HATHAWAY IN COMMON 084670108 1,010,000 10 X 10 0 0 BERKSHIRE HATHAWAY IN COMMON 084670207 4,280,024 1,288 X 1,288 0 0 BONANZA ROYALTIES, LL COMMON 02636P995 2,415 43,226 X 43,226 0 0 BRISTOL MYERS SQUIBB COMMON 110122108 204,414 9,077 X 9,077 0 0 CANADIAN SUPERIOR ENE COMMON 136644101 9,718 11,300 X 11,300 0 0 CARMAX INC COMMON 143130102 3,978,315 190,350 X 190,350 0 0 CHEVRONTEXACO CORP COMMON 166764100 280,875 3,988 X 3,988 0 0 CISCO SYS INC COMMON 17275R102 4,030,283 171,210 X 171,210 0 0 COCA COLA CO COMMON 191216100 4,138,552 77,068 X 77,068 0 0 COMCAST CORP NEW CL A COMMON 20030N101 4,042,692 239,496 X 239,496 0 0 CONOCOPHILLIPS COMMON 20825C104 933,367 20,668 X 20,668 0 0 CVS CORP COMMON 126650100 200,144 5,600 X 5,600 0 0 DEEP ROCK OIL & GAS I COMMON 243778107 450 50,000 X 50,000 0 0 DYNEGY INC DEL CL A COMMON 26817G102 40,494 15,880 X 15,880 0 0 ENBRIDGE ENERGY PARTN COMMON 29250R106 275,317 6,110 X 6,110 0 0 EXELON CORP COMMON 30161N101 5,833,327 117,560 X 117,560 0 0 EXXON MOBIL CORP COMMON 30231G102 1,522,837 22,196 X 22,196 0 0 FIFTH THIRD BANCORP COMMON 316773100 468,766 46,275 X 46,275 0 0 FTI CONSULTING INC COMMON 302941109 4,177,058 98,030 X 98,030 0 0 GENERAL ELECTRIC COMMON 369604103 534,283 32,539 X 32,539 0 0 GENZYME CORP GEN DIV COMMON 372917104 5,696,429 100,413 X 100,413 0 0 GOOGLE INC-CL A COMMON 38259P508 5,391,873 10,874 X 10,874 0 0 HEINZ H J CO COMMON 423074103 3,609,499 90,805 X 90,805 0 0 I B M COMMON 459200101 425,873 3,561 X 3,561 0 0 INTEL CORP COMMON 458140100 6,512,917 332,801 X 332,801 0 0 ISHARES IBOXX INVESTM COMMON 464287242 5,330,800 49,970 X 49,970 0 0 JOHNSON & JOHNSON COMMON 478160104 541,008 8,885 X 8,885 0 0 KIMBERLY CLARK CORP COMMON 494368103 4,401,383 74,625 X 74,625 0 0 LOCKHEED MARTIN CORP COMMON 539830109 281,088 3,600 X 3,600 0 0 MAGELLAN MIDSTREAM PA COMMON 559080106 223,344 5,940 X 5,940 0 0 MCKESSON CORPORATION COMMON 58155Q103 4,313,207 72,430 X 72,430 0 0 MICROSOFT COMMON 594918104 3,477,308 135,199 X 135,199 0 0 NEWMONT MINING CORP COMMON 651639106 5,507,474 125,113 X 125,113 0 0 NOVARTIS AG SPONSORED COMMON 66987V109 5,001,777 99,281 X 99,281 0 0 OCCIDENTAL PETE CORP COMMON 674599105 459,502 5,861 X 5,861 0 0 ONEOK PARTNERS L P COMMON 68268N103 293,651 5,550 X 5,550 0 0 PARKER DRILLING CO COMMON 701081101 245,700 45,000 X 45,000 0 0 PAYCHEX INC COMMON 704326107 5,150,420 177,295 X 177,295 0 0 PEPSICO INC COMMON 713448108 584,840 9,970 X 9,970 0 0 PERRIGO CO COMMON 714290103 4,692,829 138,065 X 138,065 0 0 PETSMART INC COMMON 716768106 3,359,331 154,452 X 154,452 0 0 PHILIP MORRIS INTL IN COMMON 718172109 299,751 6,150 X 6,150 0 0 PROCTER & GAMBLE COMP COMMON 742718109 7,157,290 123,572 X 123,572 0 0 QUEST DIAGNOSTICS COMMON 74834L100 5,219,783 100,015 X 100,015 0 0 SHARON ENERGY LTD COMMON 819606104 600 10,000 X 10,000 0 0 SUNCOR ENERGY INC COMMON 867224107 6,600,372 190,983 X 190,983 0 0 SYSCO CORP COMMON 871829107 3,482,976 140,160 X 140,160 0 0 THERMO FISHER SCIENTI COMMON 883556102 3,716,099 85,095 X 85,095 0 0 TOTAL FINA ELF S A AD COMMON 89151E109 4,143,933 69,928 X 69,928 0 0 TRONOX INC COMMON 897051207 2,445 11,643 X 11,643 0 0 VODAFONE GROUP INC COMMON 92857W209 4,575,221 203,343 X 203,343 0 0 WAL MART STORES INC COMMON 931142103 4,240,247 86,377 X 86,377 0 0 WELLS FARGO & CO NEW COMMON 949746101 1,859,880 66,000 X 66,000 0 0 WILLIAMS CLAYTON ENER COMMON 969490101 608,936 20,217 X 20,217 0 0 WILLIAMS COS INC COMMON 969457100 332,471 18,605 X 18,605 0 0 WILLIAMS PARTNERS L P COMMON 96950F104 263,759 11,325 X 11,325 0 0 WYETH COMMON 983024100 4,870,145 100,250 X 100,250 0 0 YAHOO INC COMMON 984332106 3,679,546 206,600 X 206,600 0 0 YUM BRANDS INC COMMON 988498101 4,069,262 120,535 X 120,535 0 0
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