-----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, WcJz7aQGCViaoU2ffcAYRwQZsVTy5x28bQ5bw+4uTIvIUyibtsSUhO1ZGJIg427B L5MWKcOlueqljkPfo14p0w== 0001193125-10-011480.txt : 20100125 0001193125-10-011480.hdr.sgml : 20100125 20100125072456 ACCESSION NUMBER: 0001193125-10-011480 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100125 DATE AS OF CHANGE: 20100125 EFFECTIVENESS DATE: 20100125 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: 10543318 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 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 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 January 22, 2010 ------------------------ ------------------------ ------------------------ [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: 146 Form 13F Information Table Value Total: 570,699 (in 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 December 31, 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 - --------------------------- -------------- --------- -------- ------- --- ---- ---------- -------------- ------- ------ ---- ABBOTT LABORATORIES COM 002824100 6843.9 120610 SH SOLE 120610 ABERCROMBIE & FITCH CO 'A' CL A 002896207 1992.5 54400 SH SOLE 54400 ACTIVISION BLIZZARD INC. COM 00507V109 408.7 35000 SH SOLE 35000 ADOBE SYSTEMS INC. COM 00724F101 846.6 21900 SH SOLE 21900 ALEXION PHARMACEUTICALS INC. COM 015351109 2835.4 55260 SH SOLE 55260 ALLEGHENY ENERGY INC. COM 017361106 940.2 38100 SH SOLE 38100 ALTRIA GROUP INC. COM 02209S103 13843.6 671000 SH SOLE 671000 AMEREN CORPORATION COM 023608102 1333.7 45400 SH SOLE 45400 AMERICAN ELECTRIC POWER INC. COM 025537101 9099.1 248850 SH SOLE 248850 AMERICAN ITALIAN PASTA CO-A CL A 027070101 1159.8 31720 SH SOLE 31720 AMERICAN SCIENCE & ENGINEERING COM 029429107 2221.5 27870 SH SOLE 27870 AMERICAN TOWER CORP-CL A CL A 029912201 2479.6 54600 SH SOLE 54600 AMGEN INC. COM 031162100 4266.5 71760 SH SOLE 71760 ANADARKO PETROLEUM CORP. COM 032511107 274.9 4190 SH SOLE 4190 APACHE CORP. COMMON COM 037411105 460.8 4250 SH SOLE 4250 APOLLO INVESTMENT CORP. COM 03761U106 13821.4 1378470 SH SOLE 1378470 APPLE INC. COM 037833100 22381.9 101056 SH SOLE 101056 ARES CAPITAL CORP. COM 04010L103 5254.8 401590 SH SOLE 401590 ARM HOLDINGS PLC-SPONS ADR SPONSORED ADR 042068106 862.8 95900 SH SOLE 95900 AT&T INC. COM 00206R102 15109.9 512900 SH SOLE 512900 AUTOMATIC DATA PROCESSING COM 053015103 8075.1 179430 SH SOLE 179430 BARRICK GOLD CORPORATION COM 067901108 2737.4 66140 SH SOLE 66140 BECTON, DICKINSON & COMPANY COM 075887109 7384.8 89100 SH SOLE 89100 BHP BILLITON LTD-SPON ADR SPONSORED ADR 088606108 222.1 2760 SH SOLE 2760 BRINKER INT'L INC. W/COM RGTS COM 109641100 252.5 16100 SH SOLE 16100 BRINKS HOME SECURITY HOLDING COM 109699108 1574.6 45900 SH SOLE 45900 BRISTOL MYERS SQUIBB COMPANY COM 110122108 8129.7 306344 SH SOLE 306344 BROOKFIELD PROPERTIES CORP COM 112900105 290.3 22790 SH SOLE 22790 CEC ENTERTAINMENT INC. COM 125137109 211.4 6300 SH SOLE 6300 CGI GROUP INC-CL A CL A SUB VTG 39945C109 1310.2 91930 SH SOLE 91930 CHECK POINT SOFTWARE TECH ORD M22465104 2832.3 79540 SH SOLE 79540 CHIPOTLE MEXICAN GRILL 'A' CL A 169656105 231.6 2500 SH SOLE 2500 CINEMARK HOLDINGS INC COM 17243V102 9774.6 647200 SH SOLE 647200 CISCO SYSTEMS INC. COM 17275R102 2843.2 113000 SH SOLE 113000 CLEAR CHANNEL OUTDOOR 'A' CL A 18451C109 1585.6 145200 SH SOLE 145200 CME GROUP INC. COM 12572Q105 303.7 860 SH SOLE 860 CMS ENERGY CORP. COM 125896100 933.2 56700 SH SOLE 56700 COACH INC. COM 189754104 1612.5 42000 SH SOLE 42000 COCA-COLA COMPANY COM 191216100 8087.5 135000 SH SOLE 135000 COMCAST CORPORATION 'A' CL A 20030N101 946.2 53400 SH SOLE 53400 CONTANGO OIL & GAS COM NEW 21075N204 9602.6 194355 SH SOLE 194355 COTT CORPORATION COM 22163N106 1783.1 206900 SH SOLE 206900 DAKTRONICS INC COM 234264109 185.9 19200 SH SOLE 19200 DARDEN RESTAURANTS INC. COM 237194105 247.0 6700 SH SOLE 6700 DECKERS OUTDOOR CORP COM 243537107 5832.9 54560 SH SOLE 54560 DELL INC. COM 24702R101 368.3 24400 SH SOLE 24400 DIANA SHIPPING INC. COM Y2066G104 1781.5 117060 SH SOLE 117060 DIRECTV CL A COM CL A 25490A101 967.4 27600 SH SOLE 27600 DISCOVERY COMMUNICATIONS-A COM SER A 25470F104 3475.5 107820 SH SOLE 107820 DUPONT (E.I.) DE NEMOURS COM 263534109 7434.9 210100 SH SOLE 210100 ELECTRONIC ARTS INC COM 285512109 195.9 10500 SH SOLE 10500 ENDO PHARMACEUTICALS HLDGS COM 29264F205 873.0 40480 SH SOLE 40480 ENTEGRIS INC. COM 29362U104 5361.4 966130 SH SOLE 966130 ENTERGY CORP. COM 29364G103 911.8 10600 SH SOLE 10600 EXXON MOBIL CORPORATION COM 30231G102 4988.1 69600 SH SOLE 69600 FAIRFAX FINANCIAL HOLDINGS LTD SUB VTG 303901102 2800.9 6500 SH SOLE 6500 FGX INTERNATIONAL HOLDINGS ORD G3396L102 1774.6 86190 SH SOLE 86190 GENERAL DYNAMICS CORP. COM 369550108 1054.6 14720 SH SOLE 14720 GENERAL MILLS INC. COM 370334104 7985.4 107300 SH SOLE 107300 GILDAN ACTIVEWEAR INC. 'A' COM 375916103 581.7 22700 SH SOLE 22700 GOLDMAN SACHS GROUP INC. COM 38141G104 4732.6 26670 SH SOLE 26670 GOOGLE INC. 'A' CL A 38259P508 8805.1 13513 SH SOLE 13513 H. J. HEINZ COMPANY COM 423074103 8606.2 191500 SH SOLE 191500 HOME DEPOT INC. COM 437076102 6798.9 223608 SH SOLE 223608 IAMGOLD CORP. COM 450913108 230.8 14040 SH SOLE 14040 IHS INC-CLASS A CL A 451734107 2613.0 45360 SH SOLE 45360 INTEL CORPORATION COM 458140100 1747.4 81500 SH SOLE 81500 INTL. GAME TECHNOLOGY COM 459902102 2973.1 150710 SH SOLE 150710 ISHARES DJ US UTILITIES SECT DJ US UTILS 464287697 1988.7 25300 SH SOLE 25300 JOHNSON & JOHNSON COM 478160104 3337.6 49303 SH SOLE 49303 KAPSTONE PAPER AND PACKAGING COM 48562P103 1618.6 156670 SH SOLE 156670 KELLOGG COMPANY COM 487836108 1610.3 28800 SH SOLE 28800 KIMBERLY CLARK CORP. COM 494368103 375.0 5600 SH SOLE 5600 KINROSS GOLD CORP. COM NO PAR 496902404 1142.9 59100 SH SOLE 59100 KIRKLAND'S INC. COM 497498105 3946.2 216160 SH SOLE 216160 KRAFT FOODS INC-CLASS A CL A 50075N104 14930.8 522670 SH SOLE 522670 LAMAR ADVERTISING COMPANY 'A' CL A 512815101 4274.0 130800 SH SOLE 130800 LEAP WIRELESS INTL INC. COM NEW 521863308 215.8 11700 SH SOLE 11700 LEAR CORPORATION COM NEW 521865204 1009.5 14200 SH SOLE 14200 LIFEPOINT HOSPITALS INC. COM 53219L109 1378.2 40310 SH SOLE 40310 LONGTOP FINANCIAL-SPON ADR ADR 54318P108 7554.0 194150 SH SOLE 194150 LORILLARD INC. COM 544147101 16491.7 195580 SH SOLE 195580 MANPOWER INC. COM 56418H100 384.3 6700 SH SOLE 6700 MARVELL TECHNOLOGY GROUP LTD. ORD G5876H105 534.3 24500 SH SOLE 24500 MASTERCARD INC-CLASS A CL A 57636Q104 3449.9 12823 SH SOLE 12823 MATTEL INC. COM 577081102 1104.8 52610 SH SOLE 52610 MCDONALDS CORP. COM 580135101 14765.6 225000 SH SOLE 225000 MEAD JOHNSON NUTRITION CO. A COM CL A 582839106 10380.4 226009 SH SOLE 226009 MGM MIRAGE COM 552953101 849.2 88600 SH SOLE 88600 MICROS SYSTEMS INC COM 594901100 890.3 27300 SH SOLE 27300 MICROSOFT CORPORATION COM 594918104 6061.3 189210 SH SOLE 189210 MOLSON COORS BREWING CO. 'B' CL B 60871R209 2873.4 60540 SH SOLE 60540 MOTOROLA INC. COM 620076109 5196.3 637130 SH SOLE 637130 NASDAQ OMX GROUP/THE COM 631103108 5357.9 257210 SH SOLE 257210 NEUTRAL TANDEM INC. COM 64128B108 418.4 17500 SH SOLE 17500 NORTHEAST UTILITIES COM 664397106 932.4 34400 SH SOLE 34400 NYSE EURONEXT COM 629491101 2303.8 86640 SH SOLE 86640 ORACLE CORPORATION COM 68389X105 3057.6 118600 SH SOLE 118600 PAYCHEX INC. COM 704326107 2666.4 82800 SH SOLE 82800 PEPSICO INC. COM 713448108 10041.4 157140 SH SOLE 157140 PETROHAWK ENERGY CORP COM 716495106 2249.1 89200 SH SOLE 89200
GLUSKIN SHEFF + ASSOCIATES INC. U.S. SECURITY HOLDINGS (as at December 31, 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 - --------------------------- -------------- --------- -------- ------- --- ---- ---------- -------------- ------- ------ ---- PF CHANG'S CHINA BISTRO INC. COM 69333Y108 422.3 10600 SH SOLE 10600 PFIZER INC. COM 717081103 17210.8 900250 SH SOLE 900250 PG&E CORPORATION COM 69331C108 919.8 19600 SH SOLE 19600 PHILIP MORRIS INT'L INC. COM 718172109 6103.6 120510 SH SOLE 120510 POTASH CORP. OF SASKATCHEWAN COM 73755L107 1414.0 12400 SH SOLE 12400 PRICELINE.COM INC. COM NEW 741503403 1078.9 4700 SH SOLE 4700 PROCTER & GAMBLE COMPANY COM 742718109 11433.1 179420 SH SOLE 179420 RADIOSHACK CORP. COM 750438103 1018.6 49700 SH SOLE 49700 REGAL ENTERTAINMENT GROUP 'A' CL A 758766109 5887.0 387900 SH SOLE 387900 REINSURANCE GROUP OF AMERICA A COM NEW 759351604 1846.9 36879 SH SOLE 36879 RESEARCH IN MOTION COM 760975102 3924.8 55291 SH SOLE 55291 RESOLUTE ENERGY CORP. COM 76116A108 5970.5 493117 SH SOLE 493117 REX ENERGY CORP. COM 761565100 137.0 10860 SH SOLE 10860 ROGERS COMMUNICATIONS INC. CL B 775109200 1691.0 51900 SH SOLE 51900 SAPIENT CORPORATION COM 803062108 4968.6 571640 SH SOLE 571640 SCHLUMBERGER LTD. COM 806857108 3453.3 50480 SH SOLE 50480 SCRIPPS NETWORKS INTER-CL A CL A COM 811065101 2881.8 66070 SH SOLE 66070 SKYWORKS SOLUTIONS INC. COM 83088M102 1974.6 132400 SH SOLE 132400 SOUTHWESTERN ENERGY CO. COM 845467109 5970.6 117860 SH SOLE 117860 SPECTRUM CONTROL INC. COM 847615101 338.3 33990 SH SOLE 33990 STARBUCKS CORP. COM 855244109 5767.0 237950 SH SOLE 237950 STARWOOD PROPERTY TRUST INC. COM 85571B105 10658.1 536840 SH SOLE 536840 SUNCOR ENERGY INC. COM 867224107 3433.9 92530 SH SOLE 92530 SYMANTEC CORP. COM 871503108 4165.9 221560 SH SOLE 221560 SYNOPSYS INC. COM 871607107 2786.1 118980 SH SOLE 118980 TAKE-TWO INTERACTIVE SOFTWARE COM 874054109 846.1 80100 SH SOLE 80100 TENET HEALTHCARE CORPORATION COM 88033G100 18596.6 3282760 SH SOLE 3282760 TERADATA CORP. COM 88076W103 809.3 24500 SH SOLE 24500 TEVA PHARMACEUTICAL INDS.ADR ADR 881624209 15893.9 269180 SH SOLE 269180 TEXAS ROADHOUSE INC. 'A' CL A 882681109 244.3 20700 SH SOLE 20700 THOMSON REUTERS CORP. COM 884903105 257.3 7590 SH SOLE 7590 TIME WARNER CABLE 'A' COM 88732J207 1739.2 39980 SH SOLE 39980 TRIANGLE PETROLEUM CORP. COM 89600B102 6.3 21500 SH SOLE 21500 UNION PACIFIC CORP COM 907818108 396.2 5900 SH SOLE 5900 UNITED TECHNOLOGIES CORP COM 913017109 2020.7 27700 SH SOLE 27700 VALE SA-SP ADR ADR 91912E105 231.0 7570 SH SOLE 7570 VODAFONE GROUP PLC SP ADR SPONS ADR NEW 92857W209 17349.2 714910 SH SOLE 714910 WAL-MART STORES INC. COM 931142103 6115.0 108854 SH SOLE 108854 WALTER ENERGY INC. COM 93317Q105 435.3 5500 SH SOLE 5500 WASTE MANAGEMENT INC. COM 94106L109 360.3 10140 SH SOLE 10140 WENDY'S/ARBY'S GROUP INC-A COM 950587105 601 122000 SH SOLE 122000 WESTPORT INNOVATIONS INC. COM NEW 960908309 1,351 111000 SH SOLE 111000 WINDSTREAM CORP COM 97381W104 2,917 252580 SH SOLE 252580 WISCONSIN ENERGY CORP COM 976657106 958 18300 SH SOLE 18300 XTO ENERGY INC COM 98385X106 235 4800 SH SOLE 4800 ------- ------- $ Value (in thousands) 570,699 # Securities 146 ======= =======
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