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 ----------------- 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. ------------------------------------------------------------------------- Address: 377 Broadway ----------------------------------------------------------------------- New York, NY 10013 ----------------------------------------------------------------------- ----------------------------------------------------------------------- Form 13F File Number: 28-03733 ----------------- 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 ------------------------------------------------------------------------- Title: Vice President ------------------------------------------------------------------------- Phone: 212-226-7707 ------------------------------------------------------------------------- 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