-----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, GBx2HNc3fChf4ZlBzuTEHMnrX2q/UffRgHFdLc+Q5guYlYeAgA0H+nT1CsrzHrSd YllOXynOpoC6ZvXopxQvrQ== 0000920440-10-000007.txt : 20101026 0000920440-10-000007.hdr.sgml : 20101026 20101026115641 ACCESSION NUMBER: 0000920440-10-000007 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101026 DATE AS OF CHANGE: 20101026 EFFECTIVENESS DATE: 20101026 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WAFRA INVESTMENT ADVISORY GROUP INC /NY CENTRAL INDEX KEY: 0000920440 IRS NUMBER: 133244612 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-03809 FILM NUMBER: 101141376 BUSINESS ADDRESS: STREET 1: 345 PARK AVENUE 41ST FLOOR CITY: NEW YORK STATE: NY ZIP: 101540101 BUSINESS PHONE: 2127593700 MAIL ADDRESS: STREET 1: 345 PARK AVENUE 41ST FLOOR CITY: NEW YORK STATE: NY ZIP: 101540101 13F-HR 1 h13f-093010.txt FORM 13F COVER PAGE Report for Calendar Year or Quarter ended: September 30, 2010 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: Wafra Investment Advisory Group, Inc. Address: 345 Park Avenue, 41st Floor New York, NY 10154 13F File number: 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 al information contained herein is true, correct and complete, and that is understood that all required items, statements schedules, lists and tables, are considered internal parts of this form. Person signing this report on behalf of Reporting Manager: Name: Vincent Campagna Title: Chief Compliance Officer Phone: 212-759-3700 Signature, Place, and Date of Signing: Vincent Campagna New York, NY, October 26, 2010 Report Type (Check only one) [X] 13F Holding Report [ ] 13F Notice [ ] 13F Combination Report. List of Other Managers Reporting for this Manager: FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 100 Form 13F Information Value Total: $500,167 List of Other Managers Included: 0 FORM 13F (SEC USE ONLY) 9/30/2010 Name of Reporting Manager Item 6: Item 8: Item 1: Item 2: Item 3: Item 4: Item 5: Investment Discretion Item 7: Voting Authority Shares Title Fair Shares or Shares (SH) (a) Sole (b) Shared- (c) Shared- Managers Name of Issuer of Class Cusip No. Market Value Principal AmtPrincipal (PRIN) Put/Call As Defined Other See Instr. V (a) Sole (b) Shared (c) None in Instr. V AT&T Inc. (T) COM 00206R102 $8,569,000 299,618 SH 299,618 172,629 126,989 Abbott Laboratories (ABT) COM 002824100 $8,322,000 159,300 SH 159,300 90,250 69,050 Activision Blizzard (ATVI COM 00507V109 $136,000 12,550 SH 12,550 12,550 0 Adobe Systems Inc. (ADBE COM 00724F101 $874,000 33,405 SH 33,405 23,428 9,977 Aflac Inc. (AFL) COM 001055102 $6,355,000 122,890 SH 122,890 66,500 56,390 Allergan Inc. (AGN) COM 018490102 $5,974,000 89,800 SH 89,800 53,050 36,750 American Express Company (AXP) COM 025816109 $6,725,000 160,000 SH 160,000 81,400 78,600 American Tower Corp. (AMT) COM 029912201 $532,000 10,375 SH 10,375 10,375 0 American Waterworks (AWK) COM 030420103 $4,713,000 202,550 SH 202,550 113,150 89,400 Ameriprise Financial Inc. (AMP) COM 03076C106 $4,978,000 105,185 SH 105,185 61,280 43,905 Anadarko Petroleum Corp. (APC) COM 032511107 $5,579,000 97,800 SH 97,800 51,900 45,900 Apache Corp. (APA) COM 037411105 $6,314,000 64,585 SH 64,585 39,385 25,200 Apple Computer Inc. (AAPL COM 037833100 $16,046,000 56,550 SH 56,550 30,050 26,500 Arris Group (ARRS COM 04269Q100 $408,000 41,800 SH 41,800 41,800 0 Bank of America Corp. (BAC) COM 060505104 $7,458,000 569,222 SH 569,222 288,050 281,172 Bed Bath & Beyond Inc. (BBBY COM 075896100 $4,283,000 98,675 SH 98,675 51,325 47,350 Berkshire Hathaway Inc. (BRK/B CL B NEW 084670702 $4,630,000 56,000 SH 56,000 29,150 26,850 Broadcom Corp -CL A (BRCM COM 111320107 $4,587,000 129,600 SH 129,600 80,675 48,925 CVS / Caremark Corp (CVS) COM 126650100 $5,735,000 182,245 SH 182,245 102,655 79,590 Capital One Financial Corp. (COF) COM 14040H105 $1,147,000 29,000 SH 29,000 15,100 13,900 Caterpillar Inc. (CAT) COM 149123101 $6,814,000 86,600 SH 86,600 49,200 37,400 Celgene Corp. (CELG COM 151020104 $6,308,000 109,500 SH 109,500 55,200 54,300 ChevronTexaco Corp. (CVX) COM 166764100 $5,485,000 67,675 SH 67,675 41,275 26,400 Cisco Systems Inc. (CSCO COM 17275R102 $9,420,000 430,150 SH 430,150 263,000 167,150 Citigroup Inc. (C) COM 172967101 $5,021,000 1,284,100 SH 1,284,100 645,600 638,500 Coach Inc. (COH) COM 189754104 $6,613,000 153,925 SH 153,925 93,225 60,700 Coca-Cola Company (KO) COM 191216100 $9,041,000 154,500 SH 154,500 90,300 64,200 Conoco Phillips (COP) COM 20825C104 $5,831,000 101,525 SH 101,525 58,225 43,300 Cummins Inc (CMI) COM 231021106 $1,399,000 15,450 SH 15,450 8,450 7,000 Danaher Corp (DHR) COM 235851102 $552,000 13,600 SH 13,600 13,600 0 Deere & Co. (DE) COM 244199105 $7,001,000 100,325 SH 100,325 54,200 46,125 Diamond Offshore Drilling (DO) COM 25271C102 $2,162,000 31,900 SH 31,900 20,600 11,300 Dow Chemical (DOW) COM 260543103 $3,729,000 135,800 SH 135,800 79,000 56,800 EOG Resources Inc. (EOG) COM 26875P101 $4,504,000 48,450 SH 48,450 30,550 17,900 Eaton Vance (EV) COM 278265103 $369,000 12,700 SH 12,700 12,700 0 Edwards Lifesciences Corp. (EW) COM 28176E108 $6,363,000 94,900 SH 94,900 58,400 36,500 Emulex Corp. (ELX) COM NEW 292475209 $146,000 14,000 SH 14,000 14,000 0 Entergy Corp (ETR) COM 29364G103 $4,129,000 53,950 SH 53,950 29,650 24,300 Express Scripts Inc. 'A' (ESRX COM 302182100 $6,290,000 129,150 SH 129,150 76,550 52,600 Exxon Mobil Corporation (XOM) COM 30231G102 $8,474,000 137,148 SH 137,148 88,098 49,050 FMC Technologies (FTI) COM 30249U101 $758,000 11,100 SH 11,100 11,100 0 Fluor Corp. (FLR) COM 343412102 $3,571,000 72,100 SH 72,100 41,800 30,300 Freeport McMoran Class B (FCX) COM 35671D857 $5,251,000 61,500 SH 61,500 34,150 27,350 Frontier Communicatns (FTR) COM 35906A108 $209,000 25,603 SH 25,603 11,081 14,522 General Electric Co. (GE) COM 369604103 $11,613,000 714,675 SH 714,675 371,875 342,800 Gilead Sciences Inc. (GILD COM 375558103 $4,244,000 119,175 SH 119,175 71,825 47,350 Glaxosmithkline Plc. (GSK) COM 37733W105 $1,087,000 27,500 SH 27,500 27,500 0 Goldman Sachs Group (GS) COM 38141G104 $6,054,000 41,875 SH 41,875 24,500 17,375 Google - A (GOOG CL A 38259P508 $8,470,000 16,110 SH 16,110 9,380 6,730 HMS Holdings (HMSY COM 40425J101 $4,597,000 78,000 SH 78,000 47,300 30,700 Harmonic Inc (HLIT COM 413160102 $188,000 27,300 SH 27,300 27,300 0 Hewlett-Packard Co. (HPQ) COM 428236103 $9,476,000 225,250 SH 225,250 127,650 97,600 Hologic Inc. (HOLX COM 436440101 $229,000 14,280 SH 14,280 14,280 0 Home Depot Inc. (HD) COM 437076102 $1,063,000 33,550 SH 33,550 19,750 13,800 Honeywell International Inc. (HON) COM 438516106 $5,866,000 133,500 SH 133,500 77,250 56,250 Ingersoll-Rand Co. (IR) SHS G47791101 $953,000 26,700 SH 26,700 17,050 9,650 Int'l Business Machines Corp. (IBM) COM 459200101 $10,356,000 77,205 SH 77,205 44,855 32,350 Intel Corp. (INTC COM 458140100 $8,429,000 439,000 SH 439,000 253,600 185,400 J.B. Hunt Transport Services Inc. (JBHT COM 445658107 $3,866,000 111,400 SH 111,400 64,900 46,500 JP Morgan Chase & Co. (JPM) COM 46625H100 $9,648,000 253,500 SH 253,500 133,700 119,800 Johnson & Johnson (JNJ) COM 478160104 $6,495,000 104,825 SH 104,825 62,325 42,500 Joy Global (JOYG COM 481165108 $5,460,000 77,650 SH 77,650 48,025 29,625 Kraft Foods Inc -A (KFT) COM 50075N104 $4,538,000 147,062 SH 147,062 80,112 66,950 Lam Research Corp. (LRCX COM 512807108 $4,608,000 110,100 SH 110,100 65,300 44,800 Marathon Oil Group (MRO) COM 565849106 $3,933,000 118,825 SH 118,825 72,450 46,375 McDonald's Corporation (MCD) COM 580135101 $7,753,000 104,050 SH 104,050 58,950 45,100 Medtronics Inc. (MDT) COM 585055106 $3,889,000 115,800 SH 115,800 67,950 47,850 Microchip Tech. (MCHP COM 595017104 $3,977,000 126,450 SH 126,450 67,325 59,125 Microsoft Corp. (MSFT COM 594918104 $8,243,000 336,575 SH 336,575 204,425 132,150 Morgan Stanley (MS) COM 617446448 $3,613,000 146,400 SH 146,400 87,050 59,350 NetApp Inc. (NTAP COM 64110D104 $6,732,000 135,200 SH 135,200 76,950 58,250 Nike Inc. (NKE) COM 654106103 $6,501,000 81,125 SH 81,125 47,825 33,300 Oracle Corporation (ORCL COM 68389X105 $460,000 17,150 SH 17,150 17,150 0 PPL Corp. (PPL) COM 69351T106 $4,330,000 159,000 SH 159,000 82,700 76,300 Peabody Energy (BTU) COM 704549104 $551,000 11,250 SH 11,250 11,250 0 Pepsico Inc. (PEP) COM 713448108 $4,171,000 62,775 SH 62,775 34,950 27,825 Petsmart Inc. (PETM COM 716768106 $352,000 10,050 SH 10,050 10,050 0 Pfizer Inc. (PFE) COM 717081103 $7,233,000 421,247 SH 421,247 219,302 201,945 Phillip Morris International (PM) COM 718172109 $9,437,000 168,450 SH 168,450 86,650 81,800 Polo Ralph Lauren Corp. (RL) COM 731572103 $5,079,000 56,525 SH 56,525 34,850 21,675 Procter & Gamble Co. (PG) COM 742718109 $6,579,000 109,700 SH 109,700 65,450 44,250 Prudential Financial Inc. (PRU) COM 744320102 $4,055,000 74,850 SH 74,850 40,400 34,450 Qualcomm Inc. (QCOM COM 747525103 $7,903,000 175,100 SH 175,100 103,700 71,400 Quest Diagnostics Inc. (DGX) COM 74834L100 $3,975,000 78,750 SH 78,750 41,750 37,000 Resmed Inc. (RMD) COM 761152107 $963,000 29,350 SH 29,350 29,350 0 Ross Stores Inc. (ROST COM 778296103 $579,000 10,600 SH 10,600 10,600 0 SPDR Financial Select Sector (XLF) SBI INT-FINL 81369Y605 $246,000 17,150 SH 17,150 17,150 0 SPDR Trust Series 1 Index Fund (SPY) COM 78462F103 $19,645,000 172,125 SH 172,125 0 172,125 Schlumberger Ltd. (SLB) COM 806857108 $8,655,000 140,475 SH 140,475 73,650 66,825 Sei Investments Company (SEIC COM 784117103 $334,000 16,400 SH 16,400 16,400 0 Skyworks Solutions Inc. (SWKS COM 83088M102 $255,000 12,350 SH 12,350 12,350 0 Spirit Aerosystems (SPR) COM 848574109 $3,044,000 152,725 SH 152,725 90,150 62,575 TJX Companies (TJX) COM 872540109 $5,907,000 132,350 SH 132,350 76,700 55,650 Target Corp. (TGT) COM 87612E106 $5,953,000 111,400 SH 111,400 59,300 52,100 The Mosaic Company (MOS) COM 61945A107 $3,020,000 51,400 SH 51,400 28,125 23,275 The Walt Disney Co. (DIS) COM 254687106 $6,492,000 196,125 SH 196,125 105,225 90,900 US Steel Corp. 912909108 (X) COM 912909108 $4,018,000 91,650 SH 91,650 49,650 42,000 Verizon Communications (VZ) COM 92343V104 $4,720,000 144,820 SH 144,820 67,620 77,200 Wal-Mart Stores Inc. (WMT) COM 931142103 $10,059,000 187,950 SH 187,950 106,550 81,400 Wells Fargo Company (WFC) COM 949746101 $7,466,000 297,281 SH 297,281 165,201 132,080 Column Total $500,167,000
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