0001174947-17-000699.txt : 20170501
0001174947-17-000699.hdr.sgml : 20170501
20170501092900
ACCESSION NUMBER: 0001174947-17-000699
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170331
FILED AS OF DATE: 20170501
DATE AS OF CHANGE: 20170501
EFFECTIVENESS DATE: 20170501
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: 17798837
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
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13F-HR
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false
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0000860862
XXXXXXXX
03-31-2017
03-31-2017
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TRAIN BABCOCK ADVISORS LLC
757 3rd Ave
New York
NY
10017
13F HOLDINGS REPORT
028-02669
N
Arthur C. Tevletidis
Chief Operating Officer
212-451-3402
/s/ Arthur C. Tevletidis
New York
NY
04-27-2017
0
220
222684
INFORMATION TABLE
2
infotable.xml
1/100 BERKSHIRE HTWY CLA 100 S
COM
084990175
250
100
SH
SOLE
0
0
100
3M CO
COM
88579Y101
586
3065
SH
SOLE
852
0
2213
ABBVIE INC
COM
00287Y109
590
9050
SH
SOLE
2655
50
6345
ABBVIE INC
COM
00287Y109
94
1450
SH
OTR
0
0
1450
ACCENTURE PLC
COM
G1151C101
6887
57451
SH
SOLE
18217
30
39204
ACCENTURE PLC
COM
G1151C101
84
700
SH
DFND
0
700
0
ACCENTURE PLC
COM
G1151C101
240
2000
SH
OTR
0
0
2000
AETNA INC NEW
COM
00817Y108
453
3550
SH
SOLE
3550
0
0
ALIBABA GROUP HLDG LTD
COM
01609W102
3094
28692
SH
SOLE
7452
0
21240
ALIBABA GROUP HLDG LTD
COM
01609W102
11
100
SH
DFND
100
0
0
ALIBABA GROUP HLDG LTD
COM
01609W102
75
700
SH
OTR
0
0
700
ALPHABET INC CLASS A
COM
02079K305
4120
4860
SH
SOLE
1372
5
3483
ALPHABET INC CLASS A
COM
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42
50
SH
DFND
0
50
0
ALPHABET INC CLASS A
COM
02079K305
170
200
SH
OTR
0
0
200
ALPHABET INC CLASS C
COM
02079K107
5578
6724
SH
SOLE
2036
5
4683
ALPHABET INC CLASS C
COM
02079K107
116
140
SH
DFND
10
50
80
ALPHABET INC CLASS C
COM
02079K107
178
215
SH
OTR
0
0
215
ALTRIA GROUP INC
COM
02209S103
319
4463
SH
SOLE
0
0
4463
ALTRIA GROUP INC
COM
02209S103
161
2250
SH
OTR
0
0
2250
AMAZON.COM, INC.
COM
023135106
89
100
SH
SOLE
100
0
0
AMAZON.COM, INC.
COM
023135106
133
150
SH
OTR
0
0
150
AMERICAN EXPRESS COMPANY
COM
025816109
99
1250
SH
SOLE
1250
0
0
AMERICAN EXPRESS COMPANY
COM
025816109
182
2300
SH
OTR
0
0
2300
AMETEK INC NEW
COM
031100100
200
3700
SH
SOLE
3700
0
0
APPLE INC
COM
037833100
13292
92525
SH
SOLE
21432
14
71079
APPLE INC
COM
037833100
155
1080
SH
DFND
0
700
380
APPLE INC
COM
037833100
571
3975
SH
OTR
0
0
3975
AVERY DENNISON CORP
COM
053611109
387
4800
SH
SOLE
4800
0
0
BAIDU INC ADR F SPONSORED ADR
COM
056752108
807
4675
SH
SOLE
570
0
4105
BAIDU INC ADR F SPONSORED ADR
COM
056752108
47
275
SH
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0
200
75
BAIDU INC ADR F SPONSORED ADR
COM
056752108
69
400
SH
OTR
0
0
400
BANK OF AMERICA CORP
COM
060505104
998
42310
SH
SOLE
9820
0
32490
BANK OF AMERICA CORP
COM
060505104
64
2700
SH
DFND
0
2200
500
BANK OF AMERICA CORP
COM
060505104
71
3000
SH
OTR
0
0
3000
BERKSHIRE HATHAWAY INC CL B
COM
084670702
2798
16784
SH
SOLE
805
0
15979
BRISTOL-MYERS SQUIBB CO
COM
110122108
302
5558
SH
SOLE
4536
0
1022
CELGENE CORP
COM
151020104
205
1648
SH
SOLE
1348
0
300
CENTENE CORP
COM
15135B101
3638
51053
SH
SOLE
15400
50
35603
CENTENE CORP
COM
15135B101
204
2860
SH
DFND
200
1500
1160
CENTENE CORP
COM
15135B101
371
5200
SH
OTR
0
0
5200
CHECK POINT SOFTWARE TECH LTD
COM
M22465104
5869
57170
SH
SOLE
23045
0
34125
CHECK POINT SOFTWARE TECH LTD
COM
M22465104
137
1330
SH
DFND
75
1000
255
CHECK POINT SOFTWARE TECH LTD
COM
M22465104
175
1700
SH
OTR
0
0
1700
CHEVRON CORPORATION
COM
166764100
505
4705
SH
SOLE
1275
0
3430
COCA COLA CO
COM
191216100
467
11000
SH
SOLE
3200
0
7800
COCA COLA CO
COM
191216100
38
900
SH
OTR
0
0
900
COLGATE PALMOLIVE CO
COM
194162103
117
1600
SH
SOLE
1600
0
0
COLGATE PALMOLIVE CO
COM
194162103
117
1600
SH
OTR
0
0
1600
COMCAST CORP NEW CL A
COM
20030N101
189
5036
SH
SOLE
5036
0
0
COMCAST CORP NEW CL A
COM
20030N101
135
3600
SH
OTR
0
0
3600
CORNING INC
COM
219350105
3035
112401
SH
SOLE
28935
0
83466
CORNING INC
COM
219350105
69
2550
SH
DFND
0
2000
550
CORNING INC
COM
219350105
95
3500
SH
OTR
0
0
3500
COSTCO WHOLESALE CORP
COM
22160K105
160
952
SH
SOLE
552
0
400
COSTCO WHOLESALE CORP
COM
22160K105
147
875
SH
OTR
0
0
875
CVS CAREMARK CORP
COM
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18616
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SOLE
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11324
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COM
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250
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OTR
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250
DANAHER CORP DEL
COM
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SOLE
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COM
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86
1000
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OTR
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1200
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COM
25470f104
93
3200
SH
OTR
0
0
3200
DOVER CORP
COM
260003108
217
2700
SH
OTR
0
0
2700
DUNKIN' BRANDS GROUP INC.
COM
265504100
2841
51955
SH
SOLE
15915
25
36015
DUNKIN' BRANDS GROUP INC.
COM
265504100
70
1275
SH
DFND
100
800
375
DUNKIN' BRANDS GROUP INC.
COM
265504100
109
2000
SH
OTR
0
0
2000
EMERSON ELECTRIC CO.
COM
291011104
335
5600
SH
SOLE
600
0
5000
ENVISION HEALTHCARE
COM
29414d100
216
3527
SH
SOLE
867
0
2660
ENVISION HEALTHCARE
COM
29414d100
19
314
SH
DFND
41
0
273
EXPRESS SCRIPTS HOLDING CO
COM
30219G108
1906
28919
SH
SOLE
8347
0
20572
EXPRESS SCRIPTS HOLDING CO
COM
30219G108
38
575
SH
DFND
0
500
75
EXPRESS SCRIPTS HOLDING CO
COM
30219G108
82
1250
SH
OTR
0
0
1250
EXXON MOBIL CORP
COM
30231G102
3846
46900
SH
SOLE
15337
0
31563
EXXON MOBIL CORP
COM
30231G102
96
1175
SH
DFND
0
1100
75
EXXON MOBIL CORP
COM
30231G102
271
3299
SH
OTR
0
0
3299
FACEBOOK INC CLASS A
COM
30303m102
3374
23751
SH
SOLE
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FACEBOOK INC CLASS A
COM
30303m102
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500
SH
DFND
0
300
200
FACEBOOK INC CLASS A
COM
30303m102
121
850
SH
OTR
0
0
850
FEDEX CORPORATION
COM
31428x106
3291
16865
SH
SOLE
4819
0
12046
FEDEX CORPORATION
COM
31428x106
83
425
SH
DFND
50
200
175
FEDEX CORPORATION
COM
31428x106
117
600
SH
OTR
0
0
600
FIFTH THIRD BANCORP
COM
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66705
SH
SOLE
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50
41595
FIFTH THIRD BANCORP
COM
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2250
SH
DFND
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1800
450
FIFTH THIRD BANCORP
COM
316773100
64
2500
SH
OTR
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0
2500
FORTIVE CORPORATION
COM
34959J108
774
12860
SH
SOLE
3030
0
9830
FORTIVE CORPORATION
COM
34959J108
30
500
SH
OTR
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0
500
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COM
363576109
4137
73168
SH
SOLE
20323
35
52810
GALLAGHER ARTHUR J AND CO
COM
363576109
139
2450
SH
DFND
0
1500
950
GALLAGHER ARTHUR J AND CO
COM
363576109
90
1600
SH
OTR
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0
1600
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COM
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912
30620
SH
SOLE
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525
GENERAL ELECTRIC CO
COM
369604103
19
650
SH
DFND
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0
650
GENERAL ELECTRIC CO
COM
369604103
18
600
SH
OTR
0
0
600
HALLIBURTON CO
COM
406216101
1461
29685
SH
SOLE
11795
35
17855
HALLIBURTON CO
COM
406216101
44
900
SH
DFND
0
900
0
HANESBRANDS, INC.
COM
410345102
2624
126387
SH
SOLE
40092
0
86295
HANESBRANDS, INC.
COM
410345102
25
1200
SH
DFND
0
0
1200
HANESBRANDS, INC.
COM
410345102
83
4000
SH
OTR
0
0
4000
HOME DEPOT INC
COM
437076102
514
3502
SH
SOLE
2637
0
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HOME DEPOT INC
COM
437076102
191
1300
SH
OTR
0
0
1300
HONEYWELL INTL INC
COM
438516106
293
2350
SH
SOLE
1900
0
450
HUBBELL INC CLASS B
COM
443510201
300
2500
SH
SOLE
2500
0
0
IBM CORP
COM
459200101
662
3799
SH
SOLE
2791
0
1008
IBM CORP
COM
459200101
96
550
SH
OTR
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0
550
INTEL CORP
COM
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421
11675
SH
SOLE
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0
4700
INTEL CORP
COM
458140100
119
3300
SH
OTR
0
0
3300
J P MORGAN CHASE AND CO
COM
46625H100
168
1915
SH
SOLE
650
0
1265
J P MORGAN CHASE AND CO
COM
46625H100
114
1300
SH
OTR
0
0
1300
JOHNSON AND JOHNSON CO
COM
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2824
22675
SH
SOLE
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0
16400
JOHNSON AND JOHNSON CO
COM
478160104
404
3245
SH
OTR
0
0
3245
KINDER MORGAN INC
COM
49456B101
627
28852
SH
SOLE
8910
0
19942
KINDER MORGAN INC
COM
49456B101
8
350
SH
DFND
175
0
175
KRAFT HEINZ COMPANY
COM
500754106
391
4309
SH
SOLE
0
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4309
KRAFT HEINZ COMPANY
COM
500754106
107
1176
SH
OTR
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1176
LABORATORY CORP AMER HLDGS COM
COM
50540R409
226
1575
SH
SOLE
600
0
975
LOWES COMPANIES INC
COM
548661107
234
2850
SH
SOLE
2500
0
350
M AND T BANK CORP
COM
55261F104
1013
6550
SH
SOLE
6550
0
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MASCO CORP
COM
574599106
5114
150455
SH
SOLE
40235
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110220
MASCO CORP
COM
574599106
68
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SH
DFND
200
1100
690
MASCO CORP
COM
574599106
136
4000
SH
OTR
0
0
4000
MCDONALDS CORP
COM
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253
1950
SH
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250
0
1700
MCDONALDS CORP
COM
580135101
65
500
SH
OTR
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0
500
MERCK AND CO INC
COM
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636
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SH
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0
5560
MERCK AND CO INC
COM
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6
100
SH
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100
MERCK AND CO INC
COM
58933Y105
92
1449
SH
OTR
0
0
1449
MICROSOFT CORP
COM
594918104
141
2135
SH
SOLE
200
0
1935
MICROSOFT CORP
COM
594918104
99
1500
SH
OTR
0
0
1500
MONDELEZ INTERNATIONAL INC
COM
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2336
54216
SH
SOLE
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25
41998
MONDELEZ INTERNATIONAL INC
COM
609207105
34
800
SH
DFND
0
800
0
MONDELEZ INTERNATIONAL INC
COM
609207105
251
5830
SH
OTR
0
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5830
MORGAN STANLEY
COM
617446448
929
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SH
SOLE
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0
957
NIKE INC CLASS B
COM
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5485
98415
SH
SOLE
25880
0
72535
NIKE INC CLASS B
COM
654106103
109
1956
SH
DFND
100
1000
856
NIKE INC CLASS B
COM
654106103
184
3300
SH
OTR
0
0
3300
P P G INDUSTRIES INC
COM
693506107
630
6000
SH
SOLE
0
0
6000
PAYCHEX INC
COM
704326107
1495
25390
SH
SOLE
6515
0
18875
PAYCHEX INC
COM
704326107
295
5000
SH
OTR
0
0
5000
PAYPAL HOLDINGS, INC
COM
70450Y103
230
5354
SH
SOLE
5024
0
330
PEPSICO INCORPORATED
COM
713448108
107
960
SH
SOLE
0
0
960
PEPSICO INCORPORATED
COM
713448108
190
1700
SH
OTR
0
0
1700
PFIZER INCORPORATED
COM
717081103
315
9210
SH
SOLE
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0
960
PFIZER INCORPORATED
COM
717081103
109
3200
SH
OTR
0
0
3200
PHILIP MORRIS INTERNATIONAL IN
COM
718172109
511
4528
SH
SOLE
1000
0
3528
PHILIP MORRIS INTERNATIONAL IN
COM
718172109
181
1600
SH
OTR
0
0
1600
PINNACLE FOODS INC
COM
72348P104
3804
65733
SH
SOLE
16798
40
48895
PINNACLE FOODS INC
COM
72348P104
52
900
SH
DFND
0
900
0
PINNACLE FOODS INC
COM
72348P104
191
3300
SH
OTR
0
0
3300
PROCTER AND GAMBLE CO
COM
742718109
2646
29448
SH
SOLE
7878
200
21370
PROCTER AND GAMBLE CO
COM
742718109
72
800
SH
DFND
0
500
300
PROCTER AND GAMBLE CO
COM
742718109
436
4850
SH
OTR
0
0
4850
ROYAL DUTCH PLC ADR
COM
780259206
469
8900
SH
SOLE
200
0
8700
ROYCE VALUE TRUST, INC.
COM
780910105
182
13000
SH
SOLE
0
0
13000
S&P GLOBAL INC COM
COM
78409V104
261
2000
SH
SOLE
0
0
2000
SCHLUMBERGER LTD
COM
806857108
4433
56757
SH
SOLE
18853
25
37879
SCHLUMBERGER LTD
COM
806857108
59
750
SH
DFND
50
700
0
SCHLUMBERGER LTD
COM
806857108
8
100
SH
OTR
0
0
100
STATE STREET CORP
COM
857477103
810
10177
SH
SOLE
4100
0
6077
STATE STREET CORP
COM
857477103
72
900
SH
OTR
0
0
900
TEXAS INSTRUMENTS, INC.
COM
882508104
242
3000
SH
OTR
0
0
3000
UNITEDHEALTH GROUP INC
COM
91324P102
5355
32651
SH
SOLE
8763
25
23863
UNITEDHEALTH GROUP INC
COM
91324P102
98
600
SH
DFND
0
600
0
UNITEDHEALTH GROUP INC
COM
91324P102
205
1250
SH
OTR
0
0
1250
VANTIV INC
COM
92210H105
6507
101489
SH
SOLE
24279
0
77210
VANTIV INC
COM
92210H105
128
2000
SH
DFND
100
1200
700
VANTIV INC
COM
92210H105
353
5500
SH
OTR
0
0
5500
VERIZON COMMUNICATIONS
COM
92343V104
4958
101706
SH
SOLE
24434
0
77272
VERIZON COMMUNICATIONS
COM
92343V104
105
2150
SH
DFND
125
1500
525
VERIZON COMMUNICATIONS
COM
92343V104
313
6430
SH
OTR
0
0
6430
VISA INC CL A CLASS A
COM
92826c839
3665
41236
SH
SOLE
12681
20
28535
VISA INC CL A CLASS A
COM
92826c839
78
875
SH
DFND
0
500
375
VISA INC CL A CLASS A
COM
92826c839
107
1200
SH
OTR
0
0
1200
WABTEC CORP.
COM
929740108
2547
32660
SH
SOLE
10065
0
22595
WABTEC CORP.
COM
929740108
74
950
SH
DFND
100
500
350
WABTEC CORP.
COM
929740108
78
1000
SH
OTR
0
0
1000
WALT DISNEY COMPANY
COM
254687106
314
2771
SH
SOLE
1531
0
1240
WALT DISNEY COMPANY
COM
254687106
11
100
SH
DFND
0
0
100
WALT DISNEY COMPANY
COM
254687106
221
1950
SH
OTR
0
0
1950
ZOETIS INC.
COM
98978V103
4281
80215
SH
SOLE
20845
0
59370
ZOETIS INC.
COM
98978V103
123
2300
SH
DFND
150
1200
950
ZOETIS INC.
COM
98978V103
107
2000
SH
OTR
0
0
2000
ZTO EXPRESS (CAYMAN) INC - ADR
COM
98980A105
1905
145555
SH
SOLE
35815
0
109740
ZTO EXPRESS (CAYMAN) INC - ADR
COM
98980A105
22
1655
SH
DFND
0
0
1655
ENERGY SELECT SECTOR ETF
ETF
81369Y506
629
9000
SH
SOLE
9000
0
0
FIRST TRUST DJ INTERNET IDX FD
ETF
33733E302
718
8150
SH
SOLE
8150
0
0
HEALTH CARE SELECT SECTOR SPDR
ETF
81369Y209
552
7425
SH
SOLE
7425
0
0
ISHARES RUSSELL VALUE MIDCAP V
ETF
464287473
473
5700
SH
SOLE
0
0
5700
ISHARES TR DJ US HEALTHCR
ETF
464287762
518
3325
SH
SOLE
3325
0
0
ISHARES TR MSCI EAFE FD MSCI E
ETF
464287465
209
3363
SH
SOLE
2520
0
843
ISHARES TR MSCI EAFE FD MSCI E
ETF
464287465
47
754
SH
DFND
750
0
4
ISHARES TR RUSSELL 1000 GROWTH
ETF
464287614
215
1885
SH
SOLE
1146
0
739
ISHARES TR RUSSELL 1000 GROWTH
ETF
464287614
20
180
SH
DFND
175
0
5
MATERIALS SELECT SECTOR SPDR F
ETF
81369Y100
236
4500
SH
OTR
0
0
4500
POWERSHARES QQQ TRUST UNIT SER
ETF
73935A104
6371
48127
SH
SOLE
48127
0
0
PUREFUNDS ISE CYBER SECURITY E
ETF
26924G201
4124
139685
SH
SOLE
36700
25
102960
PUREFUNDS ISE CYBER SECURITY E
ETF
26924G201
109
3700
SH
DFND
1500
0
2200
PUREFUNDS ISE CYBER SECURITY E
ETF
26924G201
148
5000
SH
OTR
0
0
5000
SECTOR SPDR CONSUMER FD SHARES
ETF
81369y407
3217
36581
SH
SOLE
36581
0
0
SECTOR SPDR INDL SELECT SHARES
ETF
81369y704
1601
24615
SH
SOLE
24315
0
300
SECTOR SPDR INDL SELECT SHARES
ETF
81369y704
768
11800
SH
OTR
0
0
11800
SPDR S & P INTL DIVIDEND
ETF
78463x772
196
5155
SH
SOLE
3189
0
1966
SPDR S & P INTL DIVIDEND
ETF
78463x772
29
753
SH
DFND
750
0
3
SPDR S&P 500 ETF TRUST
ETF
78462F103
15335
65052
SH
SOLE
63449
0
1603
SPDR S&P 500 ETF TRUST
ETF
78462F103
18
76
SH
DFND
70
0
6
SPDR S&P DIVIDEND ETF
ETF
78464A763
835
9478
SH
SOLE
7307
0
2171
SPDR S&P DIVIDEND ETF
ETF
78464A763
51
580
SH
DFND
350
0
230
SPDR S&P HOMEBUILDERS ETF
ETF
78464A888
1209
32465
SH
SOLE
32465
0
0
SPDR S&P MIDCAP 400 ETF TRUST
ETF
78467Y107
3801
12165
SH
SOLE
11151
0
1014
SPDR S&P MIDCAP 400 ETF TRUST
ETF
78467Y107
38
123
SH
DFND
120
0
3
VANECK VECTORS BIOTECH ETF
ETF
92189F726
1118
9392
SH
SOLE
9392
0
0
VANGUARD CNSMR DSCRTNARY
ETF
92204a108
363
2625
SH
SOLE
2625
0
0
VANGUARD FTSE EMERGING MARKETS
ETF
922042858
980
24677
SH
SOLE
9985
0
14692
VANGUARD FTSE EMERGING MARKETS
ETF
922042858
38
962
SH
DFND
950
0
12
VANGUARD HEALTH CARE ETF
ETF
92204A504
263
1905
SH
SOLE
1905
0
0
VANGUARD INDEX FDS MID CAP ETF
ETF
922908629
1692
12155
SH
SOLE
12150
0
5
VANGUARD INDUSTRIALS
ETF
92204a603
2103
17000
SH
SOLE
17000
0
0
VANGUARD S&P MID-CAP 400 ETF
ETF
921932885
423
3655
SH
SOLE
3655
0
0
VANGUARD SMALL-CAP ETF
ETF
922908751
1659
12448
SH
SOLE
10429
0
2019
VANGUARD SMALL-CAP ETF
ETF
922908751
81
605
SH
DFND
600
0
5
WISDOMTREE EUROPE ETF HEDGED E
ETF
97717X701
3083
49081
SH
SOLE
34085
0
14996
WISDOMTREE EUROPE ETF HEDGED E
ETF
97717X701
102
1630
SH
DFND
1275
0
355
WISDOMTREE TRUST EMERGING SMAL
ETF
97717w281
1330
29625
SH
SOLE
29325
0
300