0000891092-11-007469.txt : 20111108
0000891092-11-007469.hdr.sgml : 20111108
20111108094015
ACCESSION NUMBER: 0000891092-11-007469
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110930
FILED AS OF DATE: 20111108
DATE AS OF CHANGE: 20111108
EFFECTIVENESS DATE: 20111108
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: BRAUN STACEY ASSOCIATES INC
CENTRAL INDEX KEY: 0000872080
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-03733
FILM NUMBER: 111186467
BUSINESS ADDRESS:
STREET 1: 377 BROADWAY
CITY: NEW YORK
STATE: NY
ZIP: 10013
MAIL ADDRESS:
STREET 1: 377 BROADWAY
CITY: NEW YORK
STATE: NY
ZIP: 10013
13F-HR
1
e46119-13fhr.txt
HOLDINGS REPORT
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended 9/30/11
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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: Stacey Braun Associates, Inc.
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Address: 377 Broadway
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New York, NY 10013
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Form 13F File Number: 28-03733
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The institutional investment manager filing this report and the person by whom
it is signed 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 form.
Person Signing this Report on Behalf of Reporting Manager:
Name: Rita Weiden
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Title: Vice President
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Phone: 212-226-7707
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Signature, Place, and Date of Signing:
/s/ Rita Weiden New York, NY 11/7/11
------------------------------- -------------------------- --------------
[Signature] [City, State] [Date]
Report Type (Check one only):
[X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager
are reported in this report.)
[ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all
holdings are reported by other reporting manager(s).)
[ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this
reporting manager are reported in this report and a portion are reported by
other reporting manager(s).)
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
Form 13F File Number Name
28- --------------------------- -----------------------------
[Repeat as necessary.]
STACEY BRAUN ASSOCIATES, INC.
DISCRETIONARY OWNERSHIP FOR 13F
AS OF DATE: 09/31/2011
(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)
---------------------- ------ --------- ----------- --------- ------- ------ ------- ------- ------ --------
A T & T INC COMMON 00206R102 7,741,526 271,442 X X X 177,447 650 93,345
ACME PACKET INC COM COMMON 4764106 4,029,014 94,600 X X 69,695 0 24,905
ALBEMARLE CORP COM COMMON 12653101 656,298 16,245 X X X 12,090 450 3,705
ALEXION PHARMACEUTICA COMMON 15351109 21,808,266 340,435 X X X 223,460 1,000 115,975
ALLERGAN INC COM COMMON 18490102 12,899,885 156,590 X X X 107,920 600 48,070
ALLSTATE CORP COMMON 20002101 1,028,738 43,425 X X 38,150 0 5,275
ALTERA CORP COM COMMON 21441100 8,765,971 278,020 X X X 178,750 800 98,470
ALTRIA GROUP INC COMMON 02209S103 2,970,602 110,802 X X 58,465 0 52,337
AMAZON COM INC COM COMMON 23135106 9,866,575 45,630 X X X 35,640 200 9,790
AMERICAN EXPRESS CO COMMON 25816109 13,836,788 308,169 X X X 212,650 900 94,619
AMERICAN TOWER CORP C COMMON 29912201 13,781,085 256,154 X X X 163,251 700 92,203
AMPHENOL CORP NEW CL COMMON 32095101 10,482,579 257,115 X X X 177,720 700 78,695
APACHE CORP COMMON 37411105 10,482,554 130,640 X X X 91,380 350 38,910
APPLE INC COMMON 37833100 42,896,212 112,494 X X X 72,573 425 39,496
ARUBA NETWORKS INC CO COMMON 43176106 12,323,309 589,350 X X X 405,425 1,600 182,325
AVAGO TECHNOLOGIES LT COMMON Y0486S104 405,529 12,375 X 7,875 0 4,500
BANK AMER CORP COMMON 60505104 4,121,211 673,400 X X X 454,145 1,600 217,655
BANK OF NEW YORK MELL COMMON 64058100 414,557 22,300 X X 17,600 0 4,700
BIOGEN IDEC INC COM COMMON 09062X103 5,960,762 63,991 X X X 46,296 300 17,395
BLACKROCK INC COM COMMON 09247X101 8,223,436 55,560 X X X 41,630 250 13,680
BOEING CO COMMON 97023105 11,541,314 190,734 X X X 133,529 600 56,605
BROADCOM CORP COM COMMON 111320107 7,299,831 219,280 X X X 170,945 600 47,735
CARNIVAL CORP PAIRED COMMON 143658300 3,526,617 116,390 X X 101,585 0 14,805
CB RICHARD ELLIS GROU COMMON 12497T101 3,365,740 250,055 X X X 165,315 1,000 83,740
CELGENE CORP COMMON 151020104 8,291,111 133,922 X X X 100,110 200 33,612
CENTURYLINK INC COMMON 156700106 7,817,148 236,025 X X X 168,710 700 66,615
CHEVRON CORP COMMON 166764100 19,497,139 210,575 X X X 140,910 600 69,065
CHUBB CORP COMMON 171232101 10,967,672 182,825 X X X 124,845 500 57,480
CHURCH & DWIGHT CO COMMON 171340102 12,734,904 288,120 X X X 198,710 800 88,610
COACH INC COMMON 189754104 13,088,060 252,519 X X X 168,530 750 83,239
COLGATE PALMOLIVE CO COMMON 194162103 6,615,528 74,600 X X 52,425 0 22,175
COLUMBIA SPORTSWEAR C COMMON 198516106 8,057,592 173,655 X X X 116,695 500 56,460
CONOCOPHILLIPS COMMON 20825C104 12,857,126 203,050 X X X 138,075 600 64,375
CONSOLIDATED EDISON I COMMON 209115104 8,684,431 152,305 X X X 109,455 500 42,350
CSX CORP COMMON 126408103 6,206,020 332,406 X X X 245,766 1,800 84,840
CUMMINS INC COMMON 231021106 10,186,023 124,737 X X X 85,205 550 38,982
CVS CORP COMMON 126650100 2,039,081 60,705 X X 59,085 0 1,620
DANAHER CORP SHS BEN COMMON 235851102 10,914,046 260,230 X X X 175,895 750 83,585
DEERE & CO COM COMMON 244199105 12,588,761 194,963 X X X 129,480 650 64,833
DOMINION RES INC VA N COMMON 25746U109 241,158 4,750 X 0 0 4,750
DUKE ENERGY CORP COMMON 26441C105 10,461,267 523,325 X X X 380,280 1,900 141,145
E M C CORP MASS COMMON 268648102 11,317,703 539,195 X X X 372,635 1,600 164,960
ELECTRONICS FOR IMAGI COMMON 286082102 8,981,729 666,795 X X X 449,475 2,100 215,220
EMERSON ELEC CO COMMON 291011104 3,754,459 90,885 X X 65,585 0 25,300
EXELON CORP COMMON 30161N101 3,842,570 90,180 X X X 62,955 600 26,625
EXPRESS SCRIPTS INC C COMMON 302182100 7,178,976 193,660 X X 132,245 0 61,415
EXXON MOBIL CORP COMMON 30231G102 21,082,310 290,270 X X X 195,525 800 93,945
FASTENAL CO COMMON 311900104 1,588,454 47,730 X X 30,755 0 16,975
FISERV INC COM COMMON 337738108 3,835,674 75,550 X X 48,155 600 26,795
FORD MTR CO DEL COMMON 345370860 6,545,961 676,935 X X X 491,200 2,700 183,035
FRANKLIN RES INC COMMON 354613101 13,168,193 137,685 X X X 93,745 650 43,290
FREEPORT MCMORAN COPP COMMON 35671D857 8,461,263 277,874 X X X 182,112 800 94,962
GENERAL ELEC CO COMMON 369604103 11,321,914 743,884 X X X 500,660 1,900 241,324
GENERAL MLS INC COM COMMON 370334104 10,347,844 268,845 X X X 185,585 900 82,360
GOLDMAN SACHS GROUP I COMMON 38141G104 7,564,567 80,006 X X X 55,720 200 24,086
GOOGLE INC CL A COMMON 38259P508 10,794,723 20,959 X X X 15,440 50 5,469
GREEN MTN COFFEE ROAS COMMON 393122106 21,317,415 229,368 X X X 151,052 750 77,566
GUESS INC COM COMMON 401617105 5,528,057 194,035 X X X 140,320 500 53,215
HERBALIFE LTD COMMON G4412G101 14,093,584 262,940 X X X 185,500 1,000 76,440
HMS HLDGS CORP COM COMMON 40425J101 13,148,283 539,085 X X X 358,335 1,600 179,150
HOME DEPOT INC COMMON 437076102 11,271,287 342,905 X X X 230,970 900 111,035
I B M COMMON 459200101 16,975,505 97,075 X X X 66,950 350 29,775
INFORMATICA CORP COM COMMON 45666Q102 1,019,655 24,900 X 24,300 0 600
INTEL CORP COMMON 458140100 11,617,334 544,520 X X X 375,730 1,800 166,990
ISHARES TR RUSSELL100 COMMON 464287614 388,198 7,383 X 4,633 0 2,750
ISHARES TR RUSSL 2000 COMMON 464287655 206,403 3,210 X 2,210 0 1,000
JEFFERIES GROUP INC COMMON 472319102 2,505,021 201,855 X X 145,615 0 56,240
JOHNSON & JOHNSON COMMON 478160104 11,567,187 181,617 X X X 122,692 500 58,425
JPMORGAN CHASE & CO COMMON 46625H100 11,873,033 394,191 X X X 261,419 1,200 131,572
KRAFT FOODS INC CL A COMMON 50075N104 4,218,753 125,633 X X X 78,087 700 46,846
LKQ CORP COM COMMON 501889208 9,927,827 410,920 X X X 281,390 1,400 128,130
LORILLARD INC COM COMMON 544147101 13,783,036 124,508 X X X 84,565 350 39,593
MASTERCARD INC CL A COMMON 57636Q104 17,350,555 54,706 X X X 37,315 250 17,141
MCDONALDS CORP COMMON 580135101 15,000,446 170,809 X X X 115,585 450 54,774
MDU RESOURCES GROUP I COMMON 552690109 2,038,016 106,202 X X 34,480 0 71,722
MEADWESTVACO CORP COM COMMON 583334107 10,420,562 424,290 X X X 294,920 1,150 128,220
MEDNAX INC COM COMMON 58502B106 9,666,918 154,325 X X X 111,960 600 41,765
METLIFE INC COMMON 59156R108 8,554,422 305,406 X X X 212,730 700 91,976
METTLER TOLEDO INTERN COMMON 592688105 8,874,864 63,410 X X X 48,310 250 14,850
MICROSOFT COMMON 594918104 11,853,863 476,250 X X X 331,555 1,300 143,395
MOLYCORP INC DEL COM COMMON 608753109 326,070 9,920 X X 7,635 250 2,035
MYLAN INC COMMON 628530107 10,145,409 597,140 X X X 402,915 2,100 192,125
NABORS INDUSTRIES LTD COMMON G6359F103 5,494,258 448,145 X X X 330,750 1,400 115,995
NETGEAR INC COM COMMON 64111Q104 8,215,544 317,325 X X X 225,940 1,000 90,385
NEXTERA ENERGY INC CO COMMON 65339F101 7,977,404 147,675 X X 103,040 0 44,635
NOBLE ENERGY INC COMMON 655044105 15,007,830 211,975 X X X 138,905 600 72,470
NSTAR COM COMMON 6.70E+111 219,569 4,900 X 0 0 4,900
NU SKIN ENTERPRISES I COMMON 67018T105 10,080,971 248,790 X X X 174,230 800 73,760
NUCOR CORP COMMON 670346105 5,744,558 181,560 X X 129,960 0 51,600
OCCIDENTAL PETE CORP COMMON 674599105 14,490,691 202,667 X X X 131,835 500 70,332
OMNICOM GROUP COMMON 681919106 217,909 5,915 X 5,815 0 100
ONEOK INC COMMON 682680103 16,834,455 254,913 X X X 173,920 800 80,193
ORACLE CORP COMMON 68389X105 11,165,777 388,510 X X X 271,205 1,000 116,305
PEPSICO INC COMMON 713448108 9,958,039 160,873 X X X 108,713 300 51,860
PERRIGO CO COM COMMON 714290103 18,139,177 186,790 X X X 126,040 600 60,150
PFIZER INC COMMON 717081103 11,469,635 648,735 X X X 428,045 2,100 218,590
PHILIP MORRIS INTL IN COMMON 718172109 9,277,341 148,723 X X X 99,135 600 48,988
PNC FINANCIAL SERVICE COMMON 693475105 10,219,894 212,075 X X X 144,325 600 67,150
PRAXAIR INC COMMON 74005P104 9,764,453 104,455 X X X 74,395 300 29,760
PRECISION CASTPARTS C COMMON 740189105 14,731,701 94,762 X X X 64,910 300 29,552
PROCTER & GAMBLE COMP COMMON 742718109 11,235,047 177,826 X X X 117,426 600 59,800
PUBLIC SVC ENTERPRISE COMMON 744573106 3,056,358 91,590 X X 81,765 0 9,825
PVH CORPORATION COMMON 693656100 11,301,763 194,055 X X 122,620 600 70,835
ROCKWELL INTL CORP NE COMMON 773903109 8,360,240 149,290 X X X 104,605 250 44,435
SALESFORCE COM INC CO COMMON 79466L302 11,521,367 100,817 X X X 72,145 300 28,372
SALLY BEAUTY HLDGS IN COMMON 7.95E+108 5,206,241 313,629 X X X 219,304 2,150 92,175
SCHLUMBERGER COMMON 806857108 10,490,559 175,633 X X X 127,323 800 47,510
SECTOR SPDR TR SBI EN COMMON 81369Y506 235,912 4,032 X X 1,252 0 2,780
SECTOR SPDR TR SBI FI COMMON 81369Y605 176,382 14,935 X 4,310 0 10,625
SIMON PPTY GROUP INC COMMON 828806109 208,962 1,900 X 0 0 1,900
SMUCKER J M CO COM NE COMMON 832696405 11,518,078 158,020 X X X 113,015 400 44,605
SOUTHERN CO COMMON 842587107 8,428,876 198,935 X X X 114,145 700 84,090
SPDR S&P MIDCAP 400 E COMMON 78467Y107 1,158,928 8,154 X X 4,879 0 3,275
SPDR TR UNIT SER 1 COMMON 78462F103 3,142,628 27,774 X X 18,197 0 9,577
STATE STR CORP COM COMMON 857477103 3,530,203 109,770 X 50,725 0 59,045
STERICYCLE INC COMMON 858912108 13,270,772 164,405 X X X 113,085 500 50,820
STERIS CORP COM COMMON 859152100 637,940 21,795 X 8,395 0 13,400
SUNOCO INC COMMON 86764P109 2,618,484 84,440 X X 63,435 600 20,405
TERADATA CORP DEL COM COMMON 88076W103 13,891,035 259,500 X X X 181,875 600 77,025
TRAVELERS COMPANIES I COMMON 8.94E+113 10,691,021 219,393 X X X 151,318 400 67,675
TRIMBLE NAV LTD COMMON 896239100 9,549,672 284,640 X X X 205,705 850 78,085
TUPPERWARE CORP COM COMMON 899896104 10,393,853 193,410 X X X 126,720 550 66,140
UNITED NAT FOODS INC COMMON 911163103 11,054,958 298,460 X X X 206,440 900 91,120
UNITED TECHNOLOGIES C COMMON 913017109 11,103,793 157,814 X X X 108,600 400 48,814
US BANCORP COMMON 902973304 11,868,162 504,170 X X X 346,950 1,400 155,820
VALERO ENERGY CORP NE COMMON 91913Y100 558,292 31,400 X 31,200 0 200
VERIFONE SYSTEMS INC COMMON 92342Y109 11,764,094 335,925 X X X 235,190 900 99,835
VERIZON COMMUNICATION COMMON 92343V104 8,165,552 221,890 X X X 160,085 900 60,905
WALT DISNEY CO COMMON 254687106 9,335,576 309,535 X X X 207,575 800 101,160
WELLS FARGO & CO COMMON 949746101 11,354,972 470,770 X X X 321,935 1,100 147,735
TOTAL 1,157,972,434