-----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, QqS9ZGYlRix4ED8rvtdMgcr0Pr9SPTy1NDkX1POEVlyAHODBICIErX+syk/Rz5cD NoImymYRn/Pova1AafyfwQ== 0001193125-09-163373.txt : 20090804 0001193125-09-163373.hdr.sgml : 20090804 20090804115422 ACCESSION NUMBER: 0001193125-09-163373 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090804 DATE AS OF CHANGE: 20090804 EFFECTIVENESS DATE: 20090804 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GLUSKIN SHEFF & ASSOC INC CENTRAL INDEX KEY: 0000905790 IRS NUMBER: 000000000 STATE OF INCORPORATION: A6 FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13431 FILM NUMBER: 09982419 BUSINESS ADDRESS: STREET 1: 181 BAY STREET, SUITE 4600 STREET 2: P.O. BOX 774 CITY: TORONTO STATE: A6 ZIP: M5J 2T3 BUSINESS PHONE: 4166816000 MAIL ADDRESS: STREET 1: 181 BAY STREET, SUITE 4600 STREET 2: P.O. BOX 774 CITY: TORONTO STATE: A6 ZIP: M5J 2T3 13F-HR 1 d13fhr.txt FORM 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2009 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: Gluskin Sheff + Associates Inc. Address: 181 Bay Street, Suite 4600, Brookfield Place, Toronto, On M5J 2T3 Canada Form 13F File Number: 28-13431 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: James Simmonds Title: Chief Compliance Officer Phone: 416-681-6077 Signature, Place, and Date of Signing: /s/ James Simmonds Toronto, Ontario, Canada July 31, 2009 ------------------------ ------------------------ ------------------------ [Signature] [City, State] [Date] Report Type (Check only one.): [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-_________________ NOT APPLICABLE [Repeat as necessary.] FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: NONE Form 13F Information Table Entry Total: 136 Form 13F Information Table Value Total: 484,281 (in thousands) ---------------------- (thousands) List of Other Included Managers: NOT APPLICABLE Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name NONE 28-NONE NONE [Repeat as necessary.] GLUSKIN SHEFF + ASSOCIATES INC. U.S. SECURITY HOLDINGS (as at June 30, 2009)
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - --------------------------- -------------- --------- -------- ---------------- ---------- -------------- ------------------- VOTING AUTHORITY VALUE SHRS OR SH/ PUT/ INVESTMENT ------------------- NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION OTHER MANAGERS SOLE SHARED NONE - --------------------------- -------------- --------- -------- ------- --- ---- ---------- -------------- ------- ------ ---- 3M CO. COM 88579Y101 5372.9 89400 SH SOLE 89400 ABBOTT LABORATORIES COM 002824100 234.3 4980 SH SOLE 4980 ABERCROMBIE & FITCH CO 'A' CL A 002896207 1448.8 57062 SH SOLE 57062 ACCENTURE LTD. - CLASS 'A' CL A G1150G111 1302.3 38920 SH SOLE 38920 ADOBE SYSTEMS INC. COM 00724F101 277.3 9800 SH SOLE 9800 AGRIUM INC COM 008916108 421.6 10570 SH SOLE 10570 ALCOA INC. COM 013817101 227.0 21970 SH SOLE 21970 ALTRIA GROUP INC. COM 02209S103 8588.7 524020 SH SOLE 524020 AMERICAN ELECTRIC POWER INC. COM 025537101 6013.5 208150 SH SOLE 208150 AMERICAN ITALIAN PASTA CO-A CL A 027070101 3044.1 104430 SH SOLE 104430 AMERICAN TOWER CORP-CL A CL A 029912201 583.3 18500 SH SOLE 18500 ANADARKO PETROLEUM CORP. COM 032511107 8992.3 198111 SH SOLE 198111 ANSYS INC. COM 03662Q105 860.6 27620 SH SOLE 27620 APACHE CORP. COMMON COM 037411105 717.9 9950 SH SOLE 9950 APOLLO GROUP INC. 'A' CL A 037604105 1110.2 15610 SH SOLE 15610 APPLE INC. COM 037833100 13640.5 95770 SH SOLE 95770 ARM HOLDINGS PLC - SPONS ADR SPONSORED ADR 042068106 10553.6 1767780 SH SOLE 1767780 AUTOMATIC DATA PROCESSING COM 053015103 5437.6 153430 SH SOLE 153430 BARRICK GOLD CORPORATION COM 067901108 1025.3 30560 SH SOLE 30560 BAXTER INTERNATIONAL INC. COM 071813109 7651.7 144480 SH SOLE 144480 BECTON, DICKINSON & COMPANY COM 075887109 3791.6 53170 SH SOLE 53170 BIOGEN IDEC INC. COM 09062X103 4823.4 106830 SH SOLE 106830 BLOCK (H.R.) INC. COM 093671105 866.7 50300 SH SOLE 50300 BRINKS HOME SECURITY HOLDING COM 109699108 7542.9 266440 SH SOLE 266440 BRISTOL MYERS SQUIBB COMPANY COM 110122108 6363.6 313321 SH SOLE 313321 CALPINE CORPORATION COM NEW 131347304 759.3 68100 SH SOLE 68100 CGI GROUP INC - CL A CL A SUB VTG 39945C109 2026.6 228480 SH SOLE 228480 CHECK POINT SOFTWARE TECH ORD M22465104 1448.1 61700 SH SOLE 61700 CHESAPEAKE ENERGY CORP. COM 165167107 6118.7 308560 SH SOLE 308560 CINEMARK HOLDINGS INC COM 17243V102 2304.8 203600 SH SOLE 203600 CISCO SYSTEMS INC. COM 17275R102 1058.1 56737 SH SOLE 56737 CLEAN ENERGY FUELS CORP COM 184499101 783.5 91000 SH SOLE 91000 CLEARWATER PAPER CORP COM 18538R103 417.3 16500 SH SOLE 16500 CLOROX COMPANY COM 189054109 2562.6 45900 SH SOLE 45900 CME GROUP INC. COM 12572Q105 2521.0 8103 SH SOLE 8103 COCA-COLA COMPANY COM 191216100 1386.9 28900 SH SOLE 28900 COMCAST CORPORATION 'A' CL A 20030N101 198.8 13750 SH SOLE 13750 COMCAST CORPORATION SPECIAL A CL A SPL 20030N200 2704.8 191830 SH SOLE 191830 CVS/CAREMARK CORPORATION COM 126650100 569.2 17860 SH SOLE 17860 DEAN FOODS CO. COM 242370104 767.6 40000 SH SOLE 40000 DEERE & COMPANY COM 244199105 699.1 17500 SH SOLE 17500 DELL INC. COM 24702R101 5760.0 419520 SH SOLE 419520 DEVON ENERGY CORPORATION COM 25179M103 806.6 14800 SH SOLE 14800 DIGITALGLOBE INC COM NEW 25389M877 802.6 41800 SH SOLE 41800 DIONEX CORP COM 025456104 323.5 5300 SH SOLE 5300 DR. PEPPER SNAPPLE GROUP INC. COM 26138E109 417.4 19700 SH SOLE 19700 DUN & BRADSTREET CORPORATION COM 264830100 13788.6 169790 SH SOLE 169790 EBAY INC COM 278642103 5726.4 334290 SH SOLE 334290 EDISON INTERNATIONAL COM 281020107 5768.8 183370 SH SOLE 183370 ELECTRONIC ARTS INC COM 285512109 2102.5 96800 SH SOLE 96800 EQUINIX INC COM NEW 29444U502 298.2 4100 SH SOLE 4100 EXPRESS SCRIPTS INC. COM 302182100 3671.3 53400 SH SOLE 53400 EXXON MOBIL CORPORATION COM 30231G102 2275.6 32550 SH SOLE 32550 FINANCIAL SELECT SECTOR SPDR SBI INT-FINL 81369Y605 894.8 74880 SH SOLE 74880 FLOWSERVE CORP. COM 34354P105 670.2 9600 SH SOLE 9600 FOREST LABORATORIES INC COM 345838106 770.9 30700 SH SOLE 30700 FREEPORT MCMORAN COPPER & GOLD COM 35671D857 275.6 5500 SH SOLE 5500 FUEL SYSTEMS SOLUTIONS INC COM 35952W103 662.2 32800 SH SOLE 32800 FUELCELL ENERGY INC COM 35952H106 381.6 91300 SH SOLE 91300 GOOGLE INC. 'A' CL A 38259P508 18864.5 44746 SH SOLE 44746 H. J. HEINZ COMPANY COM 423074103 1984.9 55600 SH SOLE 55600 HEWLETT-PACKARD CO. COM 428236103 1101.5 28500 SH SOLE 28500 HOME DEPOT INC. COM 437076102 4851.2 205300 SH SOLE 205300 INTEL CORPORATION COM 458140100 331.0 20000 SH SOLE 20000 INTL BUSINESS MACHINES COM 459200101 4430.5 42430 SH SOLE 42430 ISHARES DJ US UTILITIES SECT DJ US UTILS 464287697 5017.4 75100 SH SOLE 75100 ISHARES RUSSELL 2000 RUSSELL 2000 464287655 3667.5 71800 SH SOLE 71800 ISHARES S&P 500 INDEX FUND S&P 500 INDEX 464287200 5199.3 56300 SH SOLE 56300 JACKSON HEWITT TAX SVCS INC COM 468202106 4255.8 679838 SH SOLE 679838 JOHNSON & JOHNSON COM 478160104 2069.5 36435 SH SOLE 36435 JOY GLOBAL INC. COM 481165108 710.8 19900 SH SOLE 19900 KBR INC. COM 48242W106 188.1 10200 SH SOLE 10200 KINROSS GOLD CORP. COM NO PAR 496902404 461.9 25450 SH SOLE 25450 KRAFT FOODS INC - CLASS A CL A 50075N104 2684.5 105938 SH SOLE 105938 LAMAR ADVERTISING COMPANY 'A' CL A 512815101 3231.9 211650 SH SOLE 211650 LEAP WIRELESS INTL INC. COM NEW 521863308 1297.4 39400 SH SOLE 39400 LOCKHEED MARTIN CORP. COM 539830109 2508.2 31100 SH SOLE 31100 LORILLARD INC. COM 544147101 13989.1 206420 SH SOLE 206420 LOWE'S COS INC. COM 548661107 1135.5 58500 SH SOLE 58500 MASTERCARD INC-CLASS A CL A 57636Q104 6484.4 38757 SH SOLE 38757
GLUSKIN SHEFF + ASSOCIATES INC. U.S. SECURITY HOLDINGS (as at June 30, 2009)
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - --------------------------- -------------- --------- -------- ---------------- ---------- -------------- ------------------- VOTING AUTHORITY VALUE SHRS OR SH/ PUT/ INVESTMENT ------------------- NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION OTHER MANAGERS SOLE SHARED NONE - --------------------------- -------------- --------- -------- ------- --- ---- ---------- -------------- ------- ------ ---- MATTEL INC. COM 577081102 1476.9 92020 SH SOLE 92020 MAXIM INTEGRATED PRODUCTS COM 57772K101 7376.2 470120 SH SOLE 470120 MCDERMOTT INTL INC COM 580037109 430.6 21200 SH SOLE 21200 MCDONALDS CORP. COM 580135101 13605.0 236650 SH SOLE 236650 MEDCO HEALTH SOLUTIONS INC. COM 58405U102 1637.4 35900 SH SOLE 35900 MICROS SYSTEMS INC COM 594901100 1362.2 53800 SH SOLE 53800 MICROSOFT CORPORATION COM 594918104 1925.6 81010 SH SOLE 81010 MOLSON COORS BREWING CO. 'B' CL B 60871R209 16152.3 381580 SH SOLE 381580 MONSANTO COMPANY COM 61166W101 3997.3 53770 SH SOLE 53770 NASDAQ OMX GROUP/THE COM 631103108 799.1 37500 SH SOLE 37500 NATIONAL OILWELL VARCO INC. COM 637071101 7118.9 217970 SH SOLE 217970 NATIONAL PRESTO INDS INC. COM 637215104 270.9 3560 SH SOLE 3560 NEUSTAR INC-CLASS A CL A 64126X201 873.1 39400 SH SOLE 39400 NEUTRAL TANDEM INC. COM 64128B108 1295.9 43900 SH SOLE 43900 NEWS CORP. 'A' COM 65248E104 1229.9 135000 SH SOLE 135000 NYSE EURONEXT COM 629491101 8428.2 309290 SH SOLE 309290 ORACLE CORPORATION COM 68389X105 1949.2 91000 SH SOLE 91000 PATCH INTERNATIONAL INC. COM 703012302 0.7 67500 SH SOLE 67500 PAYCHEX INC. COM 704326107 1673.3 66400 SH SOLE 66400 PEPSI BOTTLING GROUP INC. COM 713409100 7218.1 213300 SH SOLE 213300 PEPSICO INC. COM 713448108 7877.4 143330 SH SOLE 143330 PETROHAWK ENERGY CORP COM 716495106 5213.1 233770 SH SOLE 233770 PFIZER INC. COM 717081103 9332.8 622188 SH SOLE 622188 PHILIP MORRIS INT'L INC. COM 718172109 5182.9 118820 SH SOLE 118820 PRECISION CASTPARTS CORP. COM 740189105 949.4 13000 SH SOLE 13000 PRICELINE.COM INC. COM NEW 741503403 2206.5 19780 SH SOLE 19780 PROCTER & GAMBLE COMPANY COM 742718109 3214.2 62900 SH SOLE 62900 QLOGIC CORP COM 747277101 304.4 24010 SH SOLE 24010 QUALCOMM INC. COM 747525103 527.9 11680 SH SOLE 11680 REINSURANCE GROUP OF AMERICA A COM NEW 759351604 1287.4 36879 SH SOLE 36879 RESEARCH IN MOTION COM 760975102 3034.1 42680 SH SOLE 42680 REX ENERGY CORP. COM 761565100 267.1 46860 SH SOLE 46860 SCOTTS MIRACLE-GRO CO-CL A CL A 810186106 683.5 19500 SH SOLE 19500 SCRIPPS NETWORKS INTER-CL A CL A COM 811065101 1366.5 49100 SH SOLE 49100 SKYWORKS SOLUTIONS INC. COM 83088M102 345.4 35280 SH SOLE 35280 SOLARWINDS INC COM 83416B109 499.5 30290 SH SOLE 30290 SPARTAN STORES INC COM 846822104 5465.8 440432 SH SOLE 440432 SPDR GOLD TRUST GOLD SHS 78463V107 5614.9 61580 SH SOLE 61580 SPECTRUM CONTROL INC. COM 847615101 908.3 103220 SH SOLE 103220 STARBUCKS CORP. COM 855244109 4847.3 348980 SH SOLE 348980 STONERIDGE INC. COM 86183P102 1104.0 230000 SH SOLE 230000 SYMANTEC CORP. COM 871503108 1296.3 83200 SH SOLE 83200 SYNIVERSE HOLDINGS INC COM 87163F106 1499.8 93560 SH SOLE 93560 TEVA PHARMACEUTICAL INDS.ADR ADR 881624209 17586.8 356440 SH SOLE 356440 THOMSON REUTERS CORP. COM 884903105 736.9 25140 SH SOLE 25140 TIME WARNER CABLE 'A' COM 88732J207 2855.4 90160 SH SOLE 90160 TOYOTA MTR CORP ADR SP ADR REP2COM 892331307 732.6 9700 SH SOLE 9700 TRANSOCEAN INC. SHS G90073100 14798.6 199200 SH SOLE 199200 TYCO INTERNATIONAL LTD. COM H89128104 8618.9 331750 SH SOLE 331750 VODAFONE GROUP PLC SP ADR SPONS ADR NEW 92857W209 25100.6 1287870 SH SOLE 1287870 WENDY'S/ARBY'S GROUP INC-A COM 950587105 3086.9 771724 SH SOLE 771724 WESTERN UNION CO COM 959802109 275.5 16800 SH SOLE 16800 WESTPORT INNOVATIONS INC. COM NEW 960908309 5603.1 692600 SH SOLE 692600 WILLIAMS-SONOMA INC COM 969904101 1408.0 118620 SH SOLE 118620 WINDSTREAM CORP COM 97381W104 687.6 82250 SH SOLE 82250 XTO ENERGY INC COM 98385X106 3861.0 101232 SH SOLE 101232
-----END PRIVACY-ENHANCED MESSAGE-----