0001085146-12-000084.txt : 20120127 0001085146-12-000084.hdr.sgml : 20120127 20120126212648 ACCESSION NUMBER: 0001085146-12-000084 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120127 DATE AS OF CHANGE: 20120126 EFFECTIVENESS DATE: 20120127 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: 12548991 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 hcb4q2011.txt HAROLD C. BROWN & CO., LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 12/31/2011 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: Harold C. Brown & Co., LLC Address: One HSBC Center Suite 3800 Buffalo, New York 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 January 25, 2012 HAROLD C BROWN & CO LLC IS IN THE PROCESS OF DISCONTINUING OPERATIONS. AS OF FEBRUARY 29, 2012, H C BROWN & CO LLC WILL NO LONGER MANAGE ANY CLIENTS ASSETS AND ANTICIPATES FILING FORM ADV-W IN EARLY MARCH. AS A RESULT THIS WILL BE THE LAST FORM 13F REPORT THAT IS SUBMITTED TO EDGAR. 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: 106 Form13F Information Table Value Total: $287,091 (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 3724 45568 SH SOLE 16210 0 29358 ABAXIS INC COM 002567105 1209 43695 SH SOLE 15700 0 27995 ABBOTT LABS COM 002824100 7515 133642 SH SOLE 35128 0 98514 ABERDEEN ASIA PACIFIC INCOM COM 003009107 275 37566 SH SOLE 21150 0 16416 AKAMAI TECHNOLOGIES INC COM 00971T101 780 24150 SH SOLE 9485 0 14665 APPLE INC COM 037833100 853 2107 SH SOLE 755 0 1352 APTARGROUP INC COM 038336103 3396 65088 SH SOLE 20878 0 44210 AQUA AMERICA INC COM 03836W103 2323 105343 SH SOLE 28050 0 77293 ARROW FINL CORP COM 042744102 274 11699 SH SOLE 0 11699 AT&T INC COM 00206R102 1360 44988 SH SOLE 8513 0 36475 AVON PRODS INC COM 054303102 698 39945 SH SOLE 11375 0 28570 BANK OF NEW YORK MELLON CORP COM 064058100 3165 158953 SH SOLE 38316 0 120637 BAXTER INTL INC COM 071813109 1525 30830 SH SOLE 8675 0 22155 BB&T CORP COM 054937107 1681 66786 SH SOLE 28240 0 38546 BEAM INC COM 073730103 466 9089 SH SOLE 4300 0 4789 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1314 17220 SH SOLE 2885 0 14335 CANADIAN NAT RES LTD COM 136385101 1440 38530 SH SOLE 11342 0 27188 CHEVRON CORP NEW COM 166764100 516 4847 SH SOLE 2607 0 2240 CHURCH & DWIGHT INC COM 171340102 293 6400 SH SOLE 6000 0 400 CISCO SYS INC COM 17275R102 3025 167291 SH SOLE 43000 0 124291 CLARCOR INC COM 179895107 4509 90191 SH SOLE 32665 0 57526 CLOROX CO DEL COM 189054109 3499 52573 SH SOLE 20515 0 32058 COLGATE PALMOLIVE CO COM 194162103 8849 95778 SH SOLE 24080 0 71698 COMCAST CORP NEW CL A 20030N101 1244 52456 SH SOLE 24885 0 27571 CORNING INC COM 219350105 1637 126150 SH SOLE 41280 0 84870 COSTCO WHSL CORP NEW COM 22160K105 4805 57675 SH SOLE 14833 0 42842 COVANCE INC COM 222816100 1322 28919 SH SOLE 10039 0 18880 DANAHER CORP DEL COM 235851102 7931 168594 SH SOLE 38515 0 130079 DEVON ENERGY CORP NEW COM 25179m103 2783 44890 SH SOLE 11635 0 33255 DISNEY WALT CO COM DISNEY 254687106 7310 194925 SH SOLE 55038 0 139887 DOLBY LABORATORIES INC COM 25659T107 1059 34715 SH SOLE 12590 0 22125 DOMINION RES INC VA NEW COM 25746U109 5318 100189 SH SOLE 30812 0 69377 DU PONT E I DE NEMOURS & CO COM 263534109 298 6510 SH SOLE 600 0 5910 DUKE ENERGY CORP NEW COM 26441C105 1830 83185 SH SOLE 24350 0 58835 E M C CORP MASS COM 268648102 3052 141693 SH SOLE 48200 0 93493 ECOLAB INC COM 278865100 4261 73700 SH SOLE 24090 0 49610 EMERSON ELEC CO COM 291011104 4008 86017 SH SOLE 21799 0 64218 ENDO PHARMACEUTICALS HLDGS I COM 29264F205 1042 30190 SH SOLE 12325 0 17865 EXPEDITORS INTL WASH INC COM 302130109 1425 34800 SH SOLE 11725 0 23075 EXXON MOBIL CORP COM 30231G102 11707 138123 SH SOLE 29647 0 108476 FASTENAL CO COM 311900104 1899 43550 SH SOLE 14100 0 29450 FIRST NIAGARA FINL GP INC COM 33582V108 1125 130414 SH SOLE 34115 0 96299 FORD MTR CO DEL COM PAR $0.01 345370860 125 11600 SH SOLE 10300 0 1300 GENERAL ELECTRIC CO COM 369604103 366 20428 SH SOLE 3750 0 16678 GENERAL MLS INC COM 370334104 368 9104 SH SOLE 1900 0 7204 GENWORTH FINL INC COM CL A 37247D106 165 25190 SH SOLE 7885 0 17305 GOLDCORP INC NEW COM 380956409 6390 144416 SH SOLE 38510 0 105906 GOOGLE INC CL A 38259P508 391 605 SH SOLE 220 0 385 HAEMONETICS CORP COM 405024100 2044 33390 SH SOLE 12240 0 21150 HAIN CELESTIAL GROUP INC COM 405217100 2456 66985 SH SOLE 20630 0 46355 HEINZ H J CO COM 423074103 224 4150 SH SOLE 2200 0 1950 HELMERICH & PAYNE INC COM 423452101 2449 41970 SH SOLE 16325 0 25645 HEWLETT PACKARD CO COM 428236103 1632 63348 SH SOLE 15783 0 47565 INTERNATIONAL BUSINESS MACHS COM 459200101 2557 13905 SH SOLE 4120 0 9785 IPASS INC COM 46261V108 242 174000 SH SOLE 174000 0 ISHARES TR DJ US REAL EST 464287739 2832 49843 SH SOLE 13474 0 36369 ISHARES TR MSCI EAFE INDEX 464287465 8013 161772 SH SOLE 40401 0 121371 ISHARES TR RUSSELL 2000 464287655 14115 191393 SH SOLE 46920 0 144473 ISHARES TR RUSSELL MIDCAP 464287499 591 6001 SH SOLE 1364 0 4637 ISHARES TR S&P NA NAT RES 464287374 2220 58414 SH SOLE 12545 0 45869 ISHARES TR MSCI EMERG MKT 464287234 532 14031 SH SOLE 5790 0 8241 ISHARES TR RUSSELL 1000 464287622 3263 47043 SH SOLE 11822 0 35221 JOHNSON & JOHNSON COM 478160104 5635 85921 SH SOLE 25135 0 60786 LABORATORY CORP AMER HLDGS COM NEW 50540R409 3778 43951 SH SOLE 10853 0 33098 M & T BK CORP COM 55261F104 240 3145 SH SOLE 1355 0 1790 MCCORMICK & CO INC COM NON VTG 579780206 246 4875 SH SOLE 1675 0 3200 MCDONALDS CORP COM 580135101 2305 22975 SH SOLE 4325 0 18650 MEDTRONIC INC COM 585055106 6314 165079 SH SOLE 48552 0 116527 MERCK & CO INC NEW COM 58933Y105 718 19037 SH SOLE 3390 0 15647 MICROSOFT CORP COM 594918104 4665 179706 SH SOLE 58880 0 120826 NATIONAL FUEL GAS CO N J COM 636180101 477 8585 SH SOLE 2400 0 6185 NEOGEN CORP COM 640491106 2035 66420 SH SOLE 23460 0 42960 NORFOLK SOUTHERN CORP COM 655844108 2406 33017 SH SOLE 9367 0 23650 NOVARTIS A G SPONSORED ADR 66987V109 3540 61926 SH SOLE 21088 0 40838 NVIDIA CORP COM 67066G104 1014 73190 SH SOLE 28400 0 44790 OMNICOM GROUP INC COM 681919106 2087 46809 SH SOLE 9480 0 37329 PAYCHEX INC COM 704326107 4264 141607 SH SOLE 36370 0 105237 PEPSICO INC COM 713448108 9798 147666 SH SOLE 36484 0 111182 PFIZER INC COM 717081103 1089 50332 SH SOLE 15600 0 34732 PROCTER & GAMBLE CO COM 742718109 7938 118986 SH SOLE 35285 0 83701 PROGRESS ENERGY INC COM 743263105 207 3690 SH SOLE 0 3690 QEP RES INC COM 74733V100 1494 50973 SH SOLE 14595 0 36378 QUESTAR CORP COM 748356102 1435 72258 SH SOLE 19604 0 52654 SCHEIN HENRY INC COM 806407102 3114 48331 SH SOLE 9882 0 38449 SCHLUMBERGER LTD COM 806857108 5231 76581 SH SOLE 20844 0 55737 SIGMA ALDRICH CORP COM 826552101 5661 90637 SH SOLE 24591 0 66046 SPDR GOLD TRUST GOLD SHS 78463V107 791 5205 SH SOLE 2100 0 3105 SPECTRA ENERGY CORP COM 847560109 2231 72546 SH SOLE 25300 0 47246 STERICYCLE INC COM 858912108 4041 51862 SH SOLE 11969 0 39893 STRYKER CORP COM 863667101 2889 58118 SH SOLE 18525 0 39593 SUNCOR ENERGY INC NEW COM 867224107 5462 189472 SH SOLE 51461 0 138011 SYMANTEC CORP COM 871503108 298 19050 SH SOLE 6350 0 12700 SYSCO CORP COM 871829107 3448 117563 SH SOLE 34985 0 82578 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 3845 95274 SH SOLE 24646 0 70628 TEXAS INSTRS INC COM 882508104 893 30681 SH SOLE 10835 0 19846 TIME WARNER INC COM NEW 887317303 258 7126 SH SOLE 5983 0 1143 TRAVELERS COMPANIES INC COM 89417E109 4044 68349 SH SOLE 14056 0 54293 UNITED NAT FOODS INC COM 911163103 1927 48160 SH SOLE 13425 0 34735 VALSPAR CORP COM 920355104 1112 28537 SH SOLE 10350 0 18187 VANGUARD INDEX FDS TOTAL STK MKT 922908769 368 5720 SH SOLE 0 5720 VERIZON COMMUNICATIONS INC COM 92343V104 2987 74460 SH SOLE 15304 0 59156 WAL MART STORES INC COM 931142103 2351 39342 SH SOLE 14780 0 24562 WATERS CORP COM 941848103 2705 36524 SH SOLE 8276 0 28248 WELLS FARGO & CO NEW COM 949746101 1895 68750 SH SOLE 18960 0 49790 WEST PHARMACEUTICAL SVSC INC COM 955306105 1118 29450 SH SOLE 11125 0 18325 WOODWARD INC COM 980745103 1017 24840 SH SOLE 10150 0 14690