0000920440-11-000006.txt : 20111025 0000920440-11-000006.hdr.sgml : 20111025 20111025142210 ACCESSION NUMBER: 0000920440-11-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111025 DATE AS OF CHANGE: 20111025 EFFECTIVENESS DATE: 20111025 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: 111156431 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-093011.txt FORM 13F COVER PAGE Report for Calendar Year or Quarter ended: September 30, 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: 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 25, 2011 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: 87 Form 13F Information Value Total: $482,468 List of Other Managers Included: 0 FORM 13F (SEC USE ONLY) 9/30/2011 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 $9,666,000 338,918 SH 338,918 172,629 166,289 Allegheny Technologies (ATI) COM 01741R102 $2,247,000 60,750 SH 60,750 31,250 29,500 Allergan Inc. (AGN) COM 018490102 $7,962,000 96,650 SH 96,650 51,650 45,000 Amazon. Com Inc. (AMZN COM 023135106 $8,703,000 40,250 SH 40,250 21,000 19,250 American Express Company (AXP) COM 025816109 $7,184,000 160,000 SH 160,000 81,400 78,600 American Tower Corp. (AMT) COM 029912201 $558,000 10,375 SH 10,375 10,375 0.00 American Waterworks (AWK) COM 030420103 $6,196,000 205,300 SH 205,300 115,900 89,400 Ameriprise Financial Inc. (AMP) COM 03076C106 $4,483,000 113,885 SH 113,885 61,280 52,605 Anadarko Petroleum Corp. (APC) COM 032511107 $4,357,000 69,100 SH 69,100 37,900 31,200 Ann Taylor Stores Corp. (ANN) COM 035623107 $249,000 10,900 SH 10,900 10,900 0.00 Apache Corp. (APA) COM 037411105 $5,182,000 64,585 SH 64,585 39,385 25,200 Apple Computer Inc. (AAPL COM 037833100 $22,250,000 58,350 SH 58,350 31,400 26,950 Atmel Corp. (ATML COM 049513104 $169,000 21,000 SH 21,000 21,000 0.00 Berkshire Hathaway Inc. (BRK/B CL B NEW 84670702 $6,067,000 85,400 SH 85,400 42,750 42,650 CVS / Caremark Corp (CVS) COM 126650100 $7,440,000 221,495 SH 221,495 124,955 96,540 Capital One Financial Corp. (COF) COM 14040H105 $5,497,000 138,700 SH 138,700 75,700 63,000 Celgene Corp. (CELG COM 151020104 $7,058,000 114,000 SH 114,000 59,700 54,300 ChevronTexaco Corp. (CVX) COM 166764100 $7,572,000 81,775 SH 81,775 37,225 44,550 Cirrus Logic Inc. (CRUS COM 172755100 $383,000 26,000 SH 26,000 26,000 0.00 Citigroup Inc. (C) COM 172967424 $6,570,000 256,500 SH 256,500 128,500 128,000 Coach Inc. (COH) COM 189754104 $753,000 14,525 SH 14,525 8,175 6,350 Coca-Cola Company (KO) COM 191216100 $12,309,000 182,200 SH 182,200 95,450 86,750 Conoco Phillips (COP) COM 20825C104 $6,490,000 102,500 SH 102,500 56,400 46,100 Cummins Inc (CMI) COM 231021106 $3,749,000 45,910 SH 45,910 26,810 19,100 Deere & Co. (DE) COM 244199105 $3,729,000 57,750 SH 57,750 29,900 27,850 Diamond Offshore Drilling (DO) COM 25271C102 $2,239,000 40,900 SH 40,900 20,600 20,300 Dick's Sporting Goods (DKS) COM 253393102 $5,086,000 152,000 SH 152,000 84,100 67,900 Dollar Tree Stores Inc. (DLTR COM 256746108 $4,888,000 65,050 SH 65,050 34,500 30,550 EMC Corp/Mass (EMC) COM 268648102 $4,427,000 210,900 SH 210,900 114,400 96,500 Express Scripts Inc. 'A' (ESRX COM 302182100 $4,738,000 127,800 SH 127,800 75,200 52,600 Exxon Mobil Corporation (XOM) COM 30231G102 $19,403,000 267,150 SH 267,150 146,400 120,750 FMC Technologies (FTI) COM 30249U101 $515,000 13,700 SH 13,700 13,700 0.00 Fastenal (FAST COM 311900104 $3,806,000 114,350 SH 114,350 58,700 55,650 Frontier Communicatns (FTR) COM 35906A108 $156,000 25,603 SH 25,603 11,081 14,522 General Electric Co. (GE) COM 369604103 $9,743,000 640,175 SH 640,175 331,875 308,300 Gilead Sciences Inc. (GILD COM 375558103 $6,193,000 159,625 SH 159,625 86,725 72,900 Glaxosmithkline Plc. (GSK) COM 37733W105 $1,135,000 27,500 SH 27,500 27,500 0.00 Goldman Sachs Group (GS) COM 38141G104 $2,108,000 22,300 SH 22,300 11,200 11,100 Google - A (GOOG CL A 38259P508 $11,109,000 21,570 SH 21,570 11,920 9,650 Green Mountain Coffee Roasters (GMCR COM 393122106 $5,142,000 55,325 SH 55,325 32,525 22,800 HMS Holdings (HMSY COM 40425J101 $5,096,000 208,950 SH 208,950 116,850 92,100 Home Depot Inc. (HD) COM 437076102 $6,965,000 211,900 SH 211,900 109,100 102,800 Honeywell International Inc. (HON) COM 438516106 $5,862,000 133,500 SH 133,500 77,250 56,250 Huntington Bancshares (HBAN COM 446150104 $3,512,000 731,600 SH 731,600 400,600 331,000 ION Geophysical Corp (IO) COM 462044108 $235,000 49,650 SH 49,650 49,650 0.00 Int'l Business Machines Corp. (IBM) COM 459200101 $15,188,000 86,855 SH 86,855 47,855 39,000 Intel Corp. (INTC COM 458140100 $3,830,000 179,500 SH 179,500 106,850 72,650 J.B. Hunt Transport Services Inc. (JBHT COM 445658107 $2,727,000 75,500 SH 75,500 43,850 31,650 JP Morgan Chase & Co. (JPM) COM 46625H100 $7,994,000 265,400 SH 265,400 140,700 124,700 Johnson & Johnson (JNJ) COM 478160104 $13,701,000 215,125 SH 215,125 117,075 98,050 Juniper Networks Inc. (JNPR COM 48203R104 $2,585,000 149,750 SH 149,750 80,250 69,500 LKQ Corp (LKQX COM 501889208 $288,000 11,900 SH 11,900 11,900 0.00 Marathon Petroleum Corp (MPC) COM 56585A102 $2,242,000 82,850 SH 82,850 47,650 35,200 McDonald's Corporation (MCD) COM 580135101 $8,958,000 102,000 SH 102,000 52,850 49,150 Microchip Tech. (MCHP COM 595017104 $391,000 12,575 SH 12,575 12,575 0.00 Microsoft Corp. (MSFT COM 594918104 $11,981,000 481,375 SH 481,375 252,575 228,800 Newmont Mining Corp (NEM) COM 651639106 $3,915,000 62,200 SH 62,200 33,500 28,700 Nike Inc. (NKE) COM 654106103 $7,275,000 85,075 SH 85,075 44,475 40,600 Oracle Corporation (ORCL COM 68389X105 $493,000 17,150 SH 17,150 17,150 0.00 PPL Corp. (PPL) COM 69351T106 $5,855,000 205,150 SH 205,150 101,500 103,650 Perrigo Co. (PRGO COM 714290103 $5,933,000 61,100 SH 61,100 37,300 23,800 Petsmart Inc. (PETM COM 716768106 $429,000 10,050 SH 10,050 10,050 0.00 Pfizer Inc. (PFE) COM 717081103 $11,173,000 631,947 SH 631,947 343,202 288,745 Phillip Morris International (PM) COM 718172109 $7,754,000 124,300 SH 124,300 54,300 70,000 Polycom Inc. (PLCM COM 73172K104 $389,000 21,200 SH 21,200 21,200 0.00 Praxair Inc. (PX) COM 74005P104 $5,071,000 54,250 SH 54,250 30,250 24,000 Precision Castparts Corp. (PCP) COM 740189105 $6,450,000 41,490 SH 41,490 23,490 18,000 Procter & Gamble Co. (PG) COM 742718109 $14,146,000 223,900 SH 223,900 120,700 103,200 Prudential Financial Inc. (PRU) COM 744320102 $4,508,000 96,200 SH 96,200 51,400 44,800 Qualcomm Inc. (QCOM COM 747525103 $9,082,000 186,750 SH 186,750 100,000 86,750 Ralph Lauren Corp. (RL) CL A 751212101 $3,505,000 27,025 SH 27,025 15,300 11,725 Red Hat (RHT) COM 756577102 $5,965,000 141,150 SH 141,150 76,800 64,350 Resmed Inc. (RMD) COM 761152107 $845,000 29,350 SH 29,350 29,350 0.00 Salesforce.com (CRM) COM 79466L302 $4,937,000 43,200 SH 43,200 22,500 20,700 Schlumberger Ltd. (SLB) COM 806857108 $8,504,000 142,375 SH 142,375 75,550 66,825 Skyworks Solutions Inc. (SWKS COM 83088M102 $358,000 19,950 SH 19,950 19,950 0.00 TJX Companies (TJX) COM 872540109 $6,299,000 113,550 SH 113,550 62,700 50,850 The Walt Disney Co. (DIS) COM 254687106 $5,195,000 172,250 SH 172,250 90,750 81,500 Tibco Software (TIBX COM 88632Q103 $637,000 28,450 SH 28,450 28,450 0.00 Utilities Select Sector SPDR (XLU) SBI INT-UTILS 81369Y886 $5,235,000 155,700 SH 155,700 71,050 84,650 VMware (VMW) CL A COM 928563402 $4,525,000 56,300 SH 56,300 29,450 26,850 Verizon Communications (VZ) COM 92343V104 $7,118,000 193,420 SH 193,420 67,620 125,800 Wal-Mart Stores Inc. (WMT) COM 931142103 $10,741,000 206,950 SH 206,950 143,000 63,950 Waste Management Inc. (WM) COM 94106L109 $2,963,000 91,000 SH 91,000 45,500 45,500 Wells Fargo Company (WFC) COM 949746101 $4,771,000 197,800 SH 197,800 74,850 122,950 Whole Foods Market (WFM) COM 966837106 $6,825,000 104,500 SH 104,500 55,450 49,050 Zions Bancorporation (ZION COM 989701107 $2,506,000 178,000 SH 178,000 97,600 80,400 Column Total $482,468,000