0001174947-16-002911.txt : 20160721
0001174947-16-002911.hdr.sgml : 20160721
20160721155939
ACCESSION NUMBER: 0001174947-16-002911
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160630
FILED AS OF DATE: 20160721
DATE AS OF CHANGE: 20160721
EFFECTIVENESS DATE: 20160721
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: TRAIN BABCOCK ADVISORS LLC
CENTRAL INDEX KEY: 0000860862
IRS NUMBER: 133328961
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-02669
FILM NUMBER: 161777436
BUSINESS ADDRESS:
STREET 1: 757 3RD AVE
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 212-451-3400
MAIL ADDRESS:
STREET 1: 757 3RD AVE
CITY: NEW YORK
STATE: NY
ZIP: 10017
FORMER COMPANY:
FORMER CONFORMED NAME: TRAIN SMITH COUNSEL ET AL
DATE OF NAME CHANGE: 19950216
13F-HR
1
primary_doc.xml
13F-HR
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0000860862
XXXXXXXX
06-30-2016
06-30-2016
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TRAIN BABCOCK ADVISORS LLC
757 3rd Ave
New York
NY
10017
13F HOLDINGS REPORT
028-02669
N
John H. Rogicki
Chief Compliance Officer
212-451-3402
/s/ John H. Rogicki
New York
NY
07-20-2016
0
245
251520
INFORMATION TABLE
2
infotable.xml
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0
200
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COM
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1450
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COM
G1151C101
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69740
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69740
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COM
G1151C101
227
2000
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OTR
2000
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COM
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6050
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COM
15135B101
371
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COM
191216100
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COM
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265504100
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COM
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170837
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HANESBRANDS, INC.
COM
410345102
58
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1800
500
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COM
410345102
75
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COM
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458140100
108
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48020Q107
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63
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COM
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COM
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COM
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774
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COM
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COM
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COM
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10480
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COM
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175
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175
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COM
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83
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COM
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COM
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125
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COM
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265
5830
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OTR
2300
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3530
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COM
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560
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21559
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COM
N59465109
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1100
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COM
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COM
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79305
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COM
654106103
55
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SH
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850
150
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NIKE INC CLASS B
COM
654106103
110
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2000
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COM
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833
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SOLE
8000
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PAYCHEX INC
COM
704326107
1757
29525
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SOLE
29150
375
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PAYCHEX INC
COM
704326107
298
5000
SH
OTR
5000
0
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PEPSICO INCORPORATED
COM
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79
750
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750
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COM
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180
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OTR
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1700
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COM
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424
12035
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12035
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COM
717081103
113
3200
SH
OTR
400
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2800
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COM
718172109
491
4828
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SOLE
4828
0
0
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COM
718172109
163
1600
SH
OTR
0
0
1600
PINNACLE FOODS INC
COM
72348P104
3556
76813
SH
SOLE
76813
0
0
PINNACLE FOODS INC
COM
72348P104
7
160
SH
DFND
0
160
0
PINNACLE FOODS INC
COM
72348P104
153
3300
SH
OTR
3300
0
0
PROCTER AND GAMBLE CO
COM
742718109
3116
36803
SH
SOLE
36803
0
0
PROCTER AND GAMBLE CO
COM
742718109
38
450
SH
DFND
300
150
0
PROCTER AND GAMBLE CO
COM
742718109
411
4850
SH
OTR
3500
0
1350
PUB SVC ENT GROUP INC
COM
744573106
336
7200
SH
SOLE
7200
0
0
PVH CORP
COM
693656100
3974
42169
SH
SOLE
42169
0
0
PVH CORP
COM
693656100
49
525
SH
DFND
400
125
0
PVH CORP
COM
693656100
141
1500
SH
OTR
1500
0
0
ROYAL DUTCH PLC ADR
COM
780259206
510
9230
SH
SOLE
9230
0
0
ROYCE VALUE TRUST, INC.
COM
780910105
153
13000
SH
SOLE
13000
0
0
S&P GLOBAL INC COM
COM
78409V104
215
2000
SH
SOLE
2000
0
0
SCHLUMBERGER LTD
COM
806857108
5243
66303
SH
SOLE
66303
0
0
SCHLUMBERGER LTD
COM
806857108
14
180
SH
DFND
50
130
0
SCHLUMBERGER LTD
COM
806857108
8
100
SH
OTR
100
0
0
STATE STREET CORP
COM
857477103
704
13060
SH
SOLE
13060
0
0
STATE STREET CORP
COM
857477103
49
900
SH
OTR
0
0
900
SYNAPTICS INCORPORATED
COM
87157D109
2454
45662
SH
SOLE
45662
0
0
SYNAPTICS INCORPORATED
COM
87157D109
26
475
SH
DFND
350
125
0
SYNAPTICS INCORPORATED
COM
87157D109
65
1200
SH
OTR
1200
0
0
THE HAIN CELESTIAL GROUP INC.
COM
405217100
3325
66825
SH
SOLE
66825
0
0
THE HAIN CELESTIAL GROUP INC.
COM
405217100
27
550
SH
DFND
550
0
0
THE HAIN CELESTIAL GROUP INC.
COM
405217100
100
2000
SH
OTR
2000
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
6828
48355
SH
SOLE
48355
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
14
100
SH
DFND
0
100
0
UNITEDHEALTH GROUP INC
COM
91324P102
177
1250
SH
OTR
1250
0
0
VANTIV INC
COM
92210H105
6480
114479
SH
SOLE
114479
0
0
VANTIV INC
COM
92210H105
57
1000
SH
DFND
800
200
0
VANTIV INC
COM
92210H105
311
5500
SH
OTR
5500
0
0
VERIFONE SYSTEMS INC.
COM
92342Y109
663
35783
SH
SOLE
35783
0
0
VERIFONE SYSTEMS INC.
COM
92342Y109
28
1500
SH
DFND
1300
200
0
VERIZON COMMUNICATIONS
COM
92343V104
7045
126163
SH
SOLE
126163
0
0
VERIZON COMMUNICATIONS
COM
92343V104
55
980
SH
DFND
650
330
0
VERIZON COMMUNICATIONS
COM
92343V104
359
6430
SH
OTR
4930
0
1500
VISA INC CL A CLASS A
COM
92826c839
3140
42331
SH
SOLE
42331
0
0
VISA INC CL A CLASS A
COM
92826c839
28
375
SH
DFND
375
0
0
VISA INC CL A CLASS A
COM
92826c839
89
1200
SH
OTR
1200
0
0
WALT DISNEY COMPANY
COM
254687106
259
2651
SH
SOLE
2651
0
0
WALT DISNEY COMPANY
COM
254687106
24
250
SH
DFND
250
0
0
WALT DISNEY COMPANY
COM
254687106
210
2150
SH
OTR
0
0
2150
WESTERN UNION COMPANY
COM
959802109
192
10000
SH
SOLE
10000
0
0
ZOETIS INC.
COM
98978V103
4299
90580
SH
SOLE
90580
0
0
ZOETIS INC.
COM
98978V103
68
1425
SH
DFND
950
475
0
ZOETIS INC.
COM
98978V103
95
2000
SH
OTR
2000
0
0
EGSHARES EMERGING MARKETS CONS
ETF
268461779
396
17052
SH
SOLE
17052
0
0
EGSHARES EMERGING MARKETS CONS
ETF
268461779
30
1300
SH
DFND
1300
0
0
EGSHARES EMERGING MARKETS CONS
ETF
268461779
5
200
SH
OTR
200
0
0
ENERGY SELECT SECTOR ETF
ETF
81369Y506
769
11275
SH
SOLE
11275
0
0
FIRST TRUST DJ INTERNET IDX FD
ETF
33733E302
789
10940
SH
SOLE
10940
0
0
ISHARES RUSSELL VALUE MIDCAP V
ETF
464287473
423
5700
SH
SOLE
5700
0
0
ISHARES TR DJ US HEALTHCR
ETF
464287762
508
3425
SH
SOLE
3425
0
0
ISHARES TR MSCI EAFE FD MSCI E
ETF
464287465
233
4172
SH
SOLE
4022
150
0
ISHARES TR MSCI EAFE FD MSCI E
ETF
464287465
42
750
SH
DFND
750
0
0
ISHARES TR NASDQ BIO INDX
ETF
464287556
339
1318
SH
SOLE
1318
0
0
ISHARES TR RUSSELL 1000 GROWTH
ETF
464287614
231
2299
SH
SOLE
2299
0
0
ISHARES TR RUSSELL 1000 GROWTH
ETF
464287614
18
175
SH
DFND
175
0
0
MATERIALS SELECT SECTOR SPDR F
ETF
81369Y100
209
4500
SH
OTR
0
0
4500
POWERSHARES QQQ TRUST UNIT SER
ETF
73935A104
5318
49447
SH
SOLE
49447
0
0
PUREFUNDS ISE CYBER SECURITY E
ETF
26924G201
1377
57638
SH
SOLE
57638
0
0
PUREFUNDS ISE CYBER SECURITY E
ETF
26924G201
81
3400
SH
DFND
3175
225
0
PUREFUNDS ISE CYBER SECURITY E
ETF
26924G201
13
550
SH
OTR
550
0
0
SECTOR SPDR CONSUMER FD SHARES
ETF
81369y407
2870
36766
SH
SOLE
36766
0
0
SECTOR SPDR INDL SELECT SHARES
ETF
81369y704
1397
24940
SH
SOLE
24940
0
0
SECTOR SPDR INDL SELECT SHARES
ETF
81369y704
678
12100
SH
OTR
0
0
12100
SPDR S & P INTL DIVIDEND
ETF
78463x772
277
7883
SH
SOLE
7883
0
0
SPDR S & P INTL DIVIDEND
ETF
78463x772
26
750
SH
DFND
750
0
0
SPDR S & P INTL DIVIDEND
ETF
78463x772
11
300
SH
OTR
300
0
0
SPDR S&P 500 ETF TRUST
ETF
78462F103
13665
65234
SH
SOLE
65234
0
0
SPDR S&P 500 ETF TRUST
ETF
78462F103
15
70
SH
DFND
70
0
0
SPDR S&P DIVIDEND ETF
ETF
78464A763
973
11589
SH
SOLE
11589
0
0
SPDR S&P DIVIDEND ETF
ETF
78464A763
48
575
SH
DFND
575
0
0
SPDR S&P DIVIDEND ETF
ETF
78464A763
17
200
SH
OTR
200
0
0
SPDR S&P HOMEBUILDERS ETF
ETF
78464A888
1038
30940
SH
SOLE
30940
0
0
SPDR S&P MIDCAP 400 ETF TRUST
ETF
78467Y107
3406
12513
SH
SOLE
12513
0
0
SPDR S&P MIDCAP 400 ETF TRUST
ETF
78467Y107
33
120
SH
DFND
120
0
0
SPDR S&P REGIONAL BKING
ETF
78464a698
240
6250
SH
SOLE
6250
0
0
VANGUARD CNSMR DSCRTNARY
ETF
92204a108
351
2875
SH
SOLE
2875
0
0
VANGUARD FTSE EMERGING MARKETS
ETF
922042858
1046
29694
SH
SOLE
29269
425
0
VANGUARD FTSE EMERGING MARKETS
ETF
922042858
38
1075
SH
DFND
950
125
0
VANGUARD FTSE EMERGING MARKETS
ETF
922042858
7
200
SH
OTR
200
0
0
VANGUARD HEALTH CARE ETF
ETF
92204A504
249
1905
SH
SOLE
1905
0
0
VANGUARD INDEX FDS MID CAP ETF
ETF
922908629
1791
14490
SH
SOLE
14490
0
0
VANGUARD INDUSTRIALS
ETF
92204a603
1807
17000
SH
SOLE
17000
0
0
VANGUARD SMALL-CAP ETF
ETF
922908751
1672
14451
SH
SOLE
14451
0
0
VANGUARD SMALL-CAP ETF
ETF
922908751
69
600
SH
DFND
600
0
0
VANGUARD SMALL-CAP ETF
ETF
922908751
23
200
SH
OTR
200
0
0
WISDOMTREE EUROPE ETF HEDGED E
ETF
97717X701
3892
77026
SH
SOLE
77026
0
0
WISDOMTREE EUROPE ETF HEDGED E
ETF
97717X701
102
2025
SH
DFND
1925
100
0
WISDOMTREE EUROPE ETF HEDGED E
ETF
97717X701
5
100
SH
OTR
100
0
0
WISDOMTREE TRUST EMERGING SMAL
ETF
97717w281
1169
30175
SH
SOLE
30175
0
0