-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, I3VvbyMyFeE8TgyDn1j7hiGQp/pGwVaGb0NArHdpZS3I/hALJanWLwH4vXs9+2n9 8yhk0kN2nnxIs2+JV1Rfhw== 0001085146-08-000604.txt : 20080507 0001085146-08-000604.hdr.sgml : 20080507 20080507073516 ACCESSION NUMBER: 0001085146-08-000604 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080331 FILED AS OF DATE: 20080507 DATE AS OF CHANGE: 20080507 EFFECTIVENESS DATE: 20080507 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HAROLD C BROWN & CO LLC CENTRAL INDEX KEY: 0000898433 IRS NUMBER: 161445544 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-03624 FILM NUMBER: 08808191 BUSINESS ADDRESS: STREET 1: ONE HSBC CENTER STREET 2: STE 3800 CITY: BUFFALO STATE: NY ZIP: 14203 BUSINESS PHONE: 7168542500 MAIL ADDRESS: STREET 1: ONE HSBC CENTER STREET 2: STE 3800 CITY: BUFFALO STATE: NY ZIP: 14203-2898 FORMER COMPANY: FORMER CONFORMED NAME: HAROLD C BROWN & CO INC DATE OF NAME CHANGE: 19990430 13F-HR 1 hcb1q08.txt HAROLD C BROWN & CO UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 03/31/08 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: Harold C. Brown & Co., LLC Address: One HSBC Center Ste 3800 Buffalo, NY 14203 13F File Number: 28-03624 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: Barbara L. Klucik Title: Chief Compliance Officer Phone: 716-854-2500 Signature, Place, and Date of Signing: Barbara L. Klucik Buffalo, NY/USA May 06, 2008 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: 0 Form13F Information Table Entry Total: 151 Form13F Information Table Value Total: $467,898 (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. NONE 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 10105 127674 SH SOLE 25979 0 101695 ABAXIS INC COM 002567105 1108 47800 SH SOLE 11400 0 36400 ABBOTT LABS COM 002824100 4359 79048 SH SOLE 13090 0 65958 ALCON INC COM SHS H01301102 3810 26785 SH SOLE 7650 0 19135 ALTRIA GROUP INC COM 02209S103 210 9445 SH SOLE 225 0 9220 AMERICAN INTL GROUP INC COM 026874107 840 19424 SH SOLE 6711 0 12713 ANHEUSER BUSCH COS INC COM 035229103 4555 96005 SH SOLE 26045 0 69960 APTARGROUP INC COM 038336103 3019 77545 SH SOLE 22370 0 55175 ARROW FINL CORP COM 042744102 288 12808 SH SOLE 0 12808 ASTRAZENECA PLC SPONSORED ADR 046353108 228 6000 SH SOLE 0 6000 AT&T INC COM 00206R102 4159 108579 SH SOLE 18204 0 90375 AVON PRODS INC COM 054303102 1934 48900 SH SOLE 17275 0 31625 BAKER HUGHES INC COM 057224107 513 7485 SH SOLE 996 0 6489 BANK OF AMERICA CORPORATION COM 060505104 891 23501 SH SOLE 6674 0 16827 BANK OF NEW YORK MELLON CORP COM 064058100 2601 62319 SH SOLE 7101 0 55218 BAXTER INTL INC COM 071813109 1204 20815 SH SOLE 6526 0 14289 BB&T CORP COM 054937107 2225 69391 SH SOLE 27635 0 41756 BEA SYS INC COM 073325102 756 39475 SH SOLE 11400 0 28075 BERKSHIRE HATHAWAY INC DEL CL B 084670207 2643 591 SH SOLE 178 0 413 BIOCRYST PHARMACEUTICALS COM 09058V103 112 24200 SH SOLE 17000 0 7200 BP PLC SPONSORED ADR 055622104 5698 93947 SH SOLE 21688 0 72259 BRISTOL MYERS SQUIBB CO COM 110122108 322 15135 SH SOLE 490 0 14645 CACI INTL INC CL A 127190304 274 6025 SH SOLE 1650 0 4375 CANADIAN NAT RES LTD COM 136385101 1595 23360 SH SOLE 2715 0 20645 CARDINAL HEALTH INC COM 14149Y108 440 8375 SH SOLE 0 8375 CHEVRON CORP NEW COM 166764100 1582 18536 SH SOLE 2482 0 16054 CHURCH & DWIGHT INC COM 171340102 510 9400 SH SOLE 1500 0 7900 CINTAS CORP COM 172908105 1470 51495 SH SOLE 7941 0 43554 CISCO SYS INC COM 17275R102 4670 193864 SH SOLE 41776 0 152088 CITIGROUP INC COM 172967101 1166 54424 SH SOLE 14675 0 39749 CLARCOR INC COM 179895107 3349 94201 SH SOLE 26125 0 68076 CLOROX CO DEL COM 189054109 3404 60106 SH SOLE 16335 0 43771 COLGATE PALMOLIVE CO COM 194162103 15414 197850 SH SOLE 33682 0 164168 COMCAST CORP NEW CL A 20030N101 2931 151532 SH SOLE 51753 0 99778 COMFORT SYS USA INC COM 199908104 167 12800 SH SOLE 0 12800 COMPUTER SCIENCES CORP COM 205363104 1337 32775 SH SOLE 6495 0 26280 CONOCOPHILLIPS COM 20825C104 383 5020 SH SOLE 0 5020 CONSTELLATION BRANDS INC CL A 21036p108 1539 87110 SH SOLE 12035 0 75075 CONSTELLATION ENERGY GROUP I COM 210371100 245 2775 SH SOLE 75 0 2700 CORNING INC COM 219350105 4759 197953 SH SOLE 48942 0 149011 COSTCO WHSL CORP NEW COM 22160K105 4029 62008 SH SOLE 14555 0 47453 COVANCE INC COM 222816100 2588 31194 SH SOLE 9654 0 21540 DANAHER CORP DEL COM 235851102 7356 96755 SH SOLE 17040 0 79715 DIGIMARC CORP COM 253807101 107 10755 SH SOLE 1500 0 9255 DISNEY WALT CO COM DISNEY 254687106 7111 226617 SH SOLE 50911 0 175706 DOMINION RES INC VA NEW COM 25746U109 5131 125645 SH SOLE 32973 0 92672 DU PONT E I DE NEMOURS & CO COM 263534109 1243 26583 SH SOLE 6300 0 20283 DUKE ENERGY CORP NEW COM 26441C105 3327 186391 SH SOLE 39858 0 146533 E M C CORP MASS COM 268648102 2602 181478 SH SOLE 51001 0 130477 ECOLAB INC COM 278865100 4198 96670 SH SOLE 23310 0 73360 EMERSON ELEC CO COM 291011104 5221 101466 SH SOLE 12922 0 88544 ENDO PHARMACEUTICALS HLDGS I COM 29264F205 920 38411 SH SOLE 8996 0 29415 ENERGY EAST CORP COM 29266M109 238 9862 SH SOLE 6462 0 3400 EXXON MOBIL CORP COM 30231G102 20858 246605 SH SOLE 40400 0 206205 FEDEX CORP COM 31428X106 1353 14604 SH SOLE 3850 0 10754 FIRST NIAGARA FINL GP INC COM 33582V108 141 10392 SH SOLE 517 0 9875 FIRST SOUTH BANCORP INC VA COM 33646W100 214 9524 SH SOLE 2000 0 7524 FORTUNE BRANDS INC COM 349631101 3269 47029 SH SOLE 10267 0 36762 GENERAL ELECTRIC CO COM 369604103 15375 415427 SH SOLE 82490 0 332937 GENERAL MLS INC COM 370334104 5210 87002 SH SOLE 18195 0 68807 GENWORTH FINL INC COM CL A 37247d106 3207 141660 SH SOLE 32620 0 109040 GOLDCORP INC NEW COM 380956409 6977 180048 SH SOLE 38261 0 141787 HAIN CELESTIAL GROUP INC COM 405217100 3473 117715 SH SOLE 25249 0 92466 HANSEN NAT CORP COM 411310105 407 11525 SH SOLE 4525 0 7000 HEINZ H J CO COM 423074103 312 6635 SH SOLE 0 6635 HELMERICH & PAYNE INC COM 423452101 4570 97495 SH SOLE 38700 0 58795 HEWLETT PACKARD CO COM 428236103 2369 51873 SH SOLE 10848 0 41025 HOME DEPOT INC COM 437076102 3043 108777 SH SOLE 32076 0 76701 HOSPIRA INC COM 441060100 1714 40085 SH SOLE 9125 0 30960 ILLINOIS TOOL WKS INC COM 452308109 1215 25186 SH SOLE 4895 0 20291 INTEL CORP COM 458140100 229 10800 SH SOLE 745 0 10055 INTERNATIONAL BUSINESS MACHS COM 459200101 3187 27678 SH SOLE 6124 0 21554 ISHARES TR MSCI EAFE IDX 464287465 8743 121600 SH SOLE 22234 0 99366 ISHARES TR DJ US REAL EST 464287739 1902 29209 SH SOLE 4260 0 24949 ISHARES TR NASDQ BIO INDX 464287556 235 3095 SH SOLE 370 0 2725 ISHARES TR 1-3 YR TRS BD 464287457 432 5125 SH SOLE 2200 0 2925 ISHARES TR RUSSELL 2000 464287655 9194 134636 SH SOLE 24754 0 109882 ISHARES TR RUSSELL MIDCAP 464287499 454 4853 SH SOLE 1163 0 3690 ISHARES TR S&P GSSI NATL 464287374 2380 18634 SH SOLE 3446 0 15188 ISHARES TR MSCI EMERG MKT 464287234 762 5668 SH SOLE 2086 0 3582 ISHARES TR RUSSELL 1000 464287622 1230 17088 SH SOLE 5218 0 11870 JDS UNIPHASE CORP COM PAR $0.001 46612j507 349 26047 SH SOLE 4934 0 21113 JOHNSON & JOHNSON COM 478160104 11775 181516 SH SOLE 39745 0 141771 KIMBERLY CLARK CORP COM 494368103 490 7584 SH SOLE 1050 0 6534 KRAFT FOODS INC CL A 50075N104 249 8029 SH SOLE 250 0 7779 LABORATORY CORP AMER HLDGS COM NEW 50540r409 2666 36185 SH SOLE 8140 0 28045 LILLY ELI & CO COM 532457108 218 4231 SH SOLE 0 4231 LINEAR TECHNOLOGY CORP COM 535678106 398 12955 SH SOLE 3525 0 9430 M & T BK CORP COM 55261F104 2623 32587 SH SOLE 16656 0 15931 MCDONALDS CORP COM 580135101 5868 105213 SH SOLE 21508 0 83705 MCGRAW HILL COS INC COM 580645109 4419 119595 SH SOLE 26285 0 93310 MEDTRONIC INC COM 585055106 9532 197061 SH SOLE 41232 0 155829 MERCK & CO INC COM 589331107 3834 101016 SH SOLE 17404 0 83612 MET PRO CORP COM 590876306 144 12852 SH SOLE 7938 0 4914 MICROSOFT CORP COM 594918104 7363 259451 SH SOLE 57165 0 202286 MOLEX INC CL A 608554200 3404 155739 SH SOLE 34387 0 121352 MOLEX INC COM 608554101 1140 49233 SH SOLE 12677 0 36556 MOTOROLA INC COM 620076109 1835 197272 SH SOLE 68610 0 128662 NATIONAL FUEL GAS CO N J COM 636180101 839 17768 SH SOLE 3116 0 14652 NEXEN INC COM 65334H102 1404 47425 SH SOLE 5550 0 41875 NOKIA CORP SPONSORED ADR 654902204 4609 144806 SH SOLE 31989 0 112817 NOVARTIS A G SPONSORED ADR 66987V109 363 7080 SH SOLE 950 0 6130 OCCIDENTAL PETE CORP DEL COM 674599105 214 2925 SH SOLE 600 0 2325 OMNICOM GROUP INC COM 681919106 3692 83570 SH SOLE 12554 0 71016 ORACLE CORP COM 68389X105 638 32640 SH SOLE 7485 0 25155 PAYCHEX INC COM 704326107 865 25249 SH SOLE 4476 0 20773 PEPSICO INC COM 713448108 13417 185831 SH SOLE 38162 0 147669 PETRO-CDA COM 71644E102 5386 124078 SH SOLE 22805 0 101273 PFIZER INC COM 717081103 5134 245309 SH SOLE 52506 0 192803 PREFORMED LINE PRODS CO COM 740444104 309 6354 SH SOLE 2638 0 3716 PREMD INC COM 74047Y105 10 42900 SH SOLE 21800 0 21100 PROCTER & GAMBLE CO COM 742718109 20205 288355 SH SOLE 30468 0 257887 QUALCOMM INC COM 747525103 226 5500 SH SOLE 1250 0 4250 QUESTAR CORP COM 748356102 5112 90390 SH SOLE 14770 0 75620 RESEARCH FRONTIERS INC COM 760911107 306 45166 SH SOLE 42788 0 2378 SCHEIN HENRY INC COM 806407102 2268 39515 SH SOLE 5750 0 33765 SCHERING PLOUGH CORP COM 806605101 582 40414 SH SOLE 800 0 39614 SCHLUMBERGER LTD COM 806857108 11426 131338 SH SOLE 29328 0 102010 SEALED AIR CORP NEW COM 81211K100 504 19960 SH SOLE 3500 0 16460 SIGMA ALDRICH CORP COM 826552101 8271 138652 SH SOLE 28987 0 109665 SONOCO PRODS CO COM 835495102 551 19258 SH SOLE 5000 0 14258 SPECTRA ENERGY CORP COM 847560109 1182 51951 SH SOLE 10283 0 41668 STATE STR CORP COM 857477103 8701 110133 SH SOLE 17615 0 92518 STERICYCLE INC COM 858912108 3309 64260 SH SOLE 10005 0 54255 STREETTRACKS GOLD TR GOLD SHS 863307104 1196 13232 SH SOLE 4280 0 8952 STRYKER CORP COM 863667101 4053 62305 SH SOLE 18900 0 43405 SUNCOR ENERGY INC COM 867229106 3080 31965 SH SOLE 8100 0 23865 SUNOPTA INC COM 8676EP108 352 68950 SH SOLE 7300 0 61650 SYMANTEC CORP COM 871503108 391 23511 SH SOLE 8600 0 14911 SYSCO CORP COM 871829107 7165 246892 SH SOLE 54398 0 192494 TARGET CORP COM 87612E106 4157 82018 SH SOLE 16970 0 65048 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 2273 49208 SH SOLE 10650 0 38558 TEXAS INSTRS INC COM 882508104 2934 103782 SH SOLE 25528 0 78254 TEXTRON INC COM 883203101 233 4200 SH SOLE 0 4200 TOMPKINS FINANCIAL CORPORATI COM 890110109 339 6887 SH SOLE 0 6887 TOTAL S A SPONSORED ADR 89151E109 374 5047 SH SOLE 1450 0 3597 TRAVELERS COMPANIES INC COM 89417E109 8867 185313 SH SOLE 38725 0 146588 UNITED NAT FOODS INC COM 911163103 4458 238265 SH SOLE 46542 0 191723 UNITED TECHNOLOGIES CORP COM 913017109 343 4982 SH SOLE 0 4982 UNIVERSAL HLTH SVCS INC CL B 913903100 2592 48280 SH SOLE 7671 0 40609 VALSPAR CORP COM 920355104 1179 59420 SH SOLE 14785 0 44635 VERISIGN INC COM 92343E102 463 13935 SH SOLE 1900 0 12035 VERIZON COMMUNICATIONS INC COM 92343V104 2639 72392 SH SOLE 17904 0 54488 WACHOVIA CORP NEW COM 929903102 1756 65034 SH SOLE 14108 0 50926 WAL MART STORES INC COM 931142103 2562 48633 SH SOLE 18300 0 30333 WALGREEN CO COM 931422109 3398 89210 SH SOLE 25580 0 63630 WATERS CORP COM 941848103 3086 55409 SH SOLE 9151 0 46258 WELLS FARGO & CO NEW COM 949746101 3358 115399 SH SOLE 23289 0 92110 WESTERN UN CO COM 959802109 2871 134980 SH SOLE 28935 0 106045 WOODWARD GOVERNOR CO COM 980745103 2364 88480 SH SOLE 2000 0 86480 XTO ENERGY INC COM 98385x106 2244 36278 SH SOLE 4542 0 31736
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