0000357235-11-000132.txt : 20110513 0000357235-11-000132.hdr.sgml : 20110513 20110513160721 ACCESSION NUMBER: 0000357235-11-000132 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110512 FILED AS OF DATE: 20110513 DATE AS OF CHANGE: 20110513 EFFECTIVENESS DATE: 20110513 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BARRETT ASSOCIATES INC / NY CENTRAL INDEX KEY: 0000898349 IRS NUMBER: 131675931 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-03658 FILM NUMBER: 11841093 BUSINESS ADDRESS: STREET 1: 90 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10016 BUSINESS PHONE: 2129835080 MAIL ADDRESS: STREET 1: 90 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10016 13F-HR 1 bai1q1r.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2011 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: Barrett Associates, Inc. Address: 90 Park Avenue New York, NY 10016 13F File Number: 28-3658 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 required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Peter H. Shriver Title: President Phone: 212-983-5080 Signature, Place, and Date of Signing: Peter H. Shriver New York, NY May 13, 2011 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 Form13F Information Table Entry Total: 345 Form13F Information Table Value Total: $970,706 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. No. 13F File Number Name 1 28-1700 Legg Mason, Inc. 2 28-6397 Legg Mason Investment Counsel & Trust Co, NA FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M CO COM 88579Y101 19456 208088 SH DEFINED 1,2 11500 0 196588 ABB LTD SPONSORED ADR 000375204 12733 526344 SH DEFINED 1,2 0 0 526344 ABBOTT LABS COM 002824100 5635 114875 SH DEFINED 1,2 0 0 114875 ACACIA RESH CORP ACACIA TCH COM 003881307 52 1500 SH DEFINED 1,2 0 0 1500 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 22680 412604 SH DEFINED 1,2 9000 0 403604 ACE LTD SHS H0023R105 111 1710 SH DEFINED 1,2 0 0 1710 AFLAC INC COM 001055102 13522 256182 SH DEFINED 1,2 10000 0 246182 AGRIUM INC COM 008916108 10 100 SH DEFINED 1,2 0 0 100 ALCOA INC COM 013817101 4 200 SH DEFINED 1,2 0 0 200 ALEXANDER & BALDWIN INC COM 014482103 1041 22800 SH DEFINED 1,2 22800 0 0 ALLERGAN INC COM 018490102 43 600 SH DEFINED 1,2 0 0 600 ALLSTATE CORP COM 020002101 21 650 SH DEFINED 1,2 0 0 650 ALTRIA GROUP INC COM 02209S103 338 12965 SH DEFINED 1,2 0 0 12965 AMAZON COM INC COM 023135106 113 625 SH DEFINED 1,2 0 0 625 AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 47 805 SH DEFINED 1,2 0 0 805 AMERICAN CAP LTD COM 02503Y103 40 3996 SH DEFINED 1,2 0 0 3996 AMERICAN ELEC PWR INC COM 025537101 102 2900 SH DEFINED 1,2 0 0 2900 AMERICAN EXPRESS CO COM 025816109 1724 38127 SH DEFINED 1,2 0 0 38127 AMERICAN INTL GROUP INC *W EXP 01/19/202 026874156 17 1486 SH DEFINED 1,2 0 0 1486 AMERICAN TOWER CORP CL A 029912201 26 500 SH DEFINED 1,2 0 0 500 AMERIGAS PARTNERS L P UNIT L P INT 030975106 49 1000 SH DEFINED 1,2 0 0 1000 AMERIPRISE FINL INC COM 03076C106 346 5656 SH DEFINED 1,2 4500 0 1156 AMERON INTL INC COM 030710107 2757 39500 SH DEFINED 1,2 39500 0 0 AMGEN INC COM 031162100 890 16665 SH DEFINED 1,2 0 0 16665 AMPHENOL CORP NEW CL A 032095101 109 2000 SH DEFINED 1,2 0 0 2000 ANADARKO PETE CORP COM 032511107 5612 68504 SH DEFINED 1,2 0 0 68504 ANNALY CAP MGMT INC COM 035710409 303 17350 SH DEFINED 1,2 0 0 17350 AOL INC COM 00184X105 1 51 SH DEFINED 1,2 0 0 51 AON CORP COM 037389103 7 127 SH DEFINED 1,2 0 0 127 APACHE CORP COM 037411105 952 7271 SH DEFINED 1,2 0 0 7271 APOLLO INVT CORP COM 03761U106 13 1000 SH DEFINED 1,2 0 0 1000 APPLE INC COM 037833100 14048 40310 SH DEFINED 1,2 1000 0 39310 ARCHER DANIELS MIDLAND CO COM 039483102 22 600 SH DEFINED 1,2 0 0 600 ARES CAP CORP COM 04010L103 14 800 SH DEFINED 1,2 0 0 800 AT&T INC COM 00206R102 4377 142987 SH DEFINED 1,2 0 0 142987 ATLAS PIPELINE PARTNERS LP UNIT L P INT 049392103 59 1700 SH DEFINED 1,2 0 0 1700 AUTOMATIC DATA PROCESSING IN COM 053015103 21216 413489 SH DEFINED 1,2 28000 0 385489 AXIS CAPITAL HOLDINGS SHS G0692U109 210 6000 SH DEFINED 1,2 0 0 6000 BANK OF NEW YORK MELLON CORP COM 064058100 9619 322001 SH DEFINED 1,2 312971 0 9030 BARCLAYS BK PLC IPMS INDIA ETN 06739F291 477 6550 SH DEFINED 1,2 0 0 6550 BAXTER INTL INC COM 071813109 44 800 SH DEFINED 1,2 0 0 800 BERKLEY W R CORP COM 084423102 17 520 SH DEFINED 1,2 0 0 520 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 4985 59600 SH DEFINED 1,2 600 0 59000 BERKSHIRE HATHAWAY INC DEL CL A 084670108 126 1 SH DEFINED 1,2 0 0 1 BHP BILLITON LTD SPONSORED ADR 088606108 27 280 SH DEFINED 1,2 0 0 280 BLACKROCK CORPOR HI YLD FD V COM 09255N102 119 10000 SH DEFINED 1,2 0 0 10000 BLACKROCK ENH CAP & INC FD I COM 09256A109 12 775 SH DEFINED 1,2 0 0 775 BLACKROCK INTL GRWTH & INC T COM BENE INTER 092524107 11 1000 SH DEFINED 1,2 0 0 1000 BOEING CO COM 097023105 510 6892 SH DEFINED 1,2 0 0 6892 BP PLC SPONSORED ADR 055622104 1623 36748 SH DEFINED 1,2 0 0 36748 BRISTOL MYERS SQUIBB CO COM 110122108 4229 159975 SH DEFINED 1,2 0 0 159975 BROWN FORMAN CORP CL A 115637100 34 500 SH DEFINED 1,2 0 0 500 BROWN FORMAN CORP CL B 115637209 9 125 SH DEFINED 1,2 0 0 125 CAMECO CORP COM 13321L108 16 500 SH DEFINED 1,2 0 0 500 CARMAX INC COM 143130102 31 940 SH DEFINED 1,2 0 0 940 CATERPILLAR INC DEL COM 149123101 2586 23228 SH DEFINED 1,2 0 0 23228 CELGENE CORP COM 151020104 136 2360 SH DEFINED 1,2 0 0 2360 CERNER CORP COM 156782104 2053 18460 SH DEFINED 1,2 0 0 18460 CHESAPEAKE ENERGY CORP COM 165167107 24 700 SH DEFINED 1,2 0 0 700 CHESAPEAKE UTILS CORP COM 165303108 21 500 SH DEFINED 1,2 0 0 500 CHEVRON CORP NEW COM 166764100 5657 52623 SH DEFINED 1,2 0 0 52623 CHIMERA INVT CORP COM 16934Q109 428 108000 SH DEFINED 1,2 0 0 108000 CHUBB CORP COM 171232101 21152 345014 SH DEFINED 1,2 195500 0 149514 CIGNA CORP COM 125509109 275 6192 SH DEFINED 1,2 0 0 6192 CISCO SYS INC COM 17275R102 19812 1155276 SH DEFINED 1,2 3200 0 1152076 CITIGROUP INC COM 172967101 1094 247478 SH DEFINED 1,2 0 0 247478 CME GROUP INC COM 12572Q105 38 125 SH DEFINED 1,2 0 0 125 COACH INC COM 189754104 644 12375 SH DEFINED 1,2 4800 0 7575 COCA COLA CO COM 191216100 8305 125185 SH DEFINED 1,2 1400 0 123785 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 10396 127705 SH DEFINED 1,2 0 0 127705 COHEN & STEERS INFRASTRUCTUR COM 19248A109 47 2644 SH DEFINED 1,2 0 0 2644 COLGATE PALMOLIVE CO COM 194162103 275 3400 SH DEFINED 1,2 0 0 3400 COMCAST CORP NEW CL A 20030N101 93 3750 SH DEFINED 1,2 0 0 3750 COMCAST CORP NEW CL A SPL 20030N200 13 525 SH DEFINED 1,2 0 0 525 COMPUTER SCIENCES CORP COM 205363104 25 500 SH DEFINED 1,2 0 0 500 CONAGRA FOODS INC COM 205887102 10 400 SH DEFINED 1,2 0 0 400 CONOCOPHILLIPS COM 20825C104 4348 54434 SH DEFINED 1,2 0 0 54434 CONTANGO OIL & GAS COMPANY COM NEW 21075N204 10 150 SH DEFINED 1,2 0 0 150 CORN PRODS INTL INC COM 219023108 59 1120 SH DEFINED 1,2 0 0 1120 CORNING INC COM 219350105 9 400 SH DEFINED 1,2 0 0 400 COSTCO WHSL CORP NEW COM 22160K105 838 11420 SH DEFINED 1,2 8000 0 3420 CROSS TIMBERS RTY TR TR UNIT 22757R109 24 500 SH DEFINED 1,2 0 0 500 DEERE & CO COM 244199105 112 1150 SH DEFINED 1,2 0 0 1150 DEVON ENERGY CORP NEW COM 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INC COM 278865100 17895 350728 SH DEFINED 1,2 6500 0 344228 EL PASO CORP COM 28336L109 21 1122 SH DEFINED 1,2 0 0 1122 EMERSON ELEC CO COM 291011104 1941 33221 SH DEFINED 1,2 0 0 33221 EQUIFAX INC COM 294429105 311 8000 SH DEFINED 1,2 0 0 8000 EQUITY RESIDENTIAL SH BEN INT 29476L107 6866 121715 SH DEFINED 1,2 0 0 121715 EXELON CORP COM 30161N101 9 200 SH DEFINED 1,2 0 0 200 EXPRESS SCRIPTS INC COM 302182100 23 400 SH DEFINED 1,2 0 0 400 EXXON MOBIL CORP COM 30231G102 61645 732739 SH DEFINED 1,2 800 0 731939 FASTENAL CO COM 311900104 46 700 SH DEFINED 1,2 0 0 700 FEDEX CORP COM 31428X106 437 4670 SH DEFINED 1,2 0 0 4670 FIDELITY NATL INFORMATION SV COM 31620M106 3 89 SH DEFINED 1,2 0 0 89 FIRST TR ENHANCED EQTY INC F COM 337318109 94 7500 SH DEFINED 1,2 0 0 7500 FIRSTENERGY CORP COM 337932107 24 645 SH DEFINED 1,2 0 0 645 FISERV INC COM 337738108 32 500 SH DEFINED 1,2 0 0 500 FORD MTR CO DEL COM PAR $0.01 345370860 18 1200 SH DEFINED 1,2 0 0 1200 FOREST CITY ENTERPRISES INC CL A 345550107 1891 100400 SH DEFINED 1,2 100400 0 0 FOREST CITY ENTERPRISES INC CL B CONV 345550305 2111 112500 SH DEFINED 1,2 112500 0 0 FRANKLIN RES INC COM 354613101 588 4700 SH DEFINED 1,2 0 0 4700 FREEPORT-MCMORAN COPPER & GO COM 35671D857 1091 19625 SH DEFINED 1,2 6000 0 13625 FRONTIER COMMUNICATIONS CORP COM 35906A108 2 147 SH DEFINED 1,2 0 0 147 GABELLI DIVD & INCOME TR COM 36242H104 64 3800 SH DEFINED 1,2 0 0 3800 GENERAL DYNAMICS CORP COM 369550108 7373 96300 SH DEFINED 1,2 95300 0 1000 GENERAL ELECTRIC CO COM 369604103 13375 667090 SH DEFINED 1,2 2800 0 664290 GENERAL MLS INC COM 370334104 414 11300 SH DEFINED 1,2 0 0 11300 GENUINE PARTS CO COM 372460105 38 700 SH DEFINED 1,2 0 0 700 GILEAD SCIENCES INC COM 375558103 213 5022 SH DEFINED 1,2 0 0 5022 GOOGLE INC CL A 38259P508 16263 27715 SH DEFINED 1,2 1000 0 26715 HAIN CELESTIAL GROUP INC COM 405217100 3 75 SH DEFINED 1,2 0 0 75 HALLIBURTON CO COM 406216101 10 200 SH DEFINED 1,2 0 0 200 HANCOCK JOHN PREMUIM DIV FD COM SH BEN INT 41013T105 65 5500 SH DEFINED 1,2 0 0 5500 HEINZ H J CO COM 423074103 367 7500 SH DEFINED 1,2 0 0 7500 HERSHEY CO COM 427866108 544 10000 SH DEFINED 1,2 10000 0 0 HEWLETT PACKARD CO COM 428236103 517 12615 SH DEFINED 1,2 0 0 12615 HOME DEPOT INC COM 437076102 8 200 SH DEFINED 1,2 0 0 200 HONEYWELL INTL INC COM 438516106 553 9261 SH DEFINED 1,2 0 0 9261 HOSPIRA INC COM 441060100 3 40 SH DEFINED 1,2 0 0 40 HUGOTON RTY TR TEX UNIT BEN INT 444717102 224 9400 SH DEFINED 1,2 0 0 9400 ILLINOIS TOOL WKS INC COM 452308109 344 6400 SH DEFINED 1,2 0 0 6400 INFORMATICA CORP COM 45666Q102 2567 49170 SH DEFINED 1,2 0 0 49170 INFOSPACE INC COM PAR $.0001 45678T300 2 150 SH DEFINED 1,2 0 0 150 INFOSYS TECHNOLOGIES LTD SPONSORED ADR 456788108 52 725 SH DEFINED 1,2 0 0 725 ING CLARION GLB RE EST INCM COM 44982G104 33 3969 SH DEFINED 1,2 0 0 3969 ING GLOBAL EQTY DIV & PREM O COM 45684E107 75 6700 SH DEFINED 1,2 0 0 6700 INGERSOLL-RAND PLC SHS G47791101 78 1600 SH DEFINED 1,2 0 0 1600 INTEL CORP COM 458140100 13776 682699 SH DEFINED 1,2 0 0 682699 INTERDIGITAL INC COM 45867G101 46 950 SH DEFINED 1,2 0 0 950 INTERNATIONAL BUSINESS MACHS COM 459200101 21262 130386 SH DEFINED 1,2 1900 0 128486 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 94 1500 SH DEFINED 1,2 0 0 1500 INTUIT COM 461202103 16 300 SH DEFINED 1,2 0 0 300 ISHARES GOLD TRUST ISHARES 464285105 617 44000 SH DEFINED 1,2 0 0 44000 ISHARES INC MSCI HONG KONG 464286871 228 12000 SH DEFINED 1,2 0 0 12000 ISHARES INC MSCI BRAZIL 464286400 450 5800 SH DEFINED 1,2 0 0 5800 ISHARES INC MSCI PAC J IDX 464286665 199 4100 SH DEFINED 1,2 0 0 4100 ISHARES INC MSCI JAPAN 464286848 207 20000 SH DEFINED 1,2 0 0 20000 ISHARES SILVER TRUST ISHARES 46428Q109 15 400 SH DEFINED 1,2 0 0 400 ISHARES TR S&P MC 400 GRW 464287606 43 387 SH DEFINED 1,2 0 0 387 ISHARES TR MSCI GRW IDX 464288885 31 487 SH DEFINED 1,2 0 0 487 ISHARES TR BARCLYS SH TREA 464288679 463 4200 SH DEFINED 1,2 0 0 4200 ISHARES TR BARCLYS 1-3YR CR 464288646 1954 18700 SH DEFINED 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