0000891092-11-003181.txt : 20110513 0000891092-11-003181.hdr.sgml : 20110513 20110513091043 ACCESSION NUMBER: 0000891092-11-003181 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110513 DATE AS OF CHANGE: 20110513 EFFECTIVENESS DATE: 20110513 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MD SASS INVESTORS SERVICES INC CENTRAL INDEX KEY: 0000922940 IRS NUMBER: 132703405 STATE OF INCORPORATION: DE FISCAL YEAR END: 0228 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04057 FILM NUMBER: 11837955 BUSINESS ADDRESS: STREET 1: 1185 AVERNUE OF THE AMERICAS STREET 2: 18TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 2127302000 MAIL ADDRESS: STREET 1: 1185 AVENUE OF THE AMERICAS STREET 2: 18TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 13F-HR 1 e43554_13fhr.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: March 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: M.D. Sass Investors Services, Inc. Address: 1185 Avenue of the Americas, 18th Floor New York, NY 10036 Form 13 F File Number: 28-04057 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: Rosemary Mooney Title: Vice President & Head of Operations Phone: (212) 843-8956 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).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 4 Form 13F Information Table Entry Total: 110 Form 13F Information Table Value Total: 1,471,387 (Thousands) List of Other Included Managers: 1) Resurgence Asset Management, LLC; 2) Resurgence Asset Management International, LLC; 3) Re/Enterprise Asset Management, LLC: 4) M.D. Sass Associates, Inc. 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. 1. 801-57150 Resurgence Asset Management, LLC 2. 801-54100 Resurgence Asset Management International, LLC 3. 801-56388 Re/Enterprise Asset Management, LLC 4. 28-12005 M.D. Sass Associates, Inc.
FORM 13F INFORMATION TABLE VOTING AUTHORITY VALUE SHARES / SH / PUT / INVSTMT OTHER NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DSCRETN MANAGER SOLE SHARED NONE ------------------------------------------------------------------------------------------------------------------------------------ ABBOTT LABORATORIES COMMON STOCK 002824100 3,973 81,000 SH SOLE 81,000 0 0 ACTIVISION BLIZZARD INC COMMON STOCK 00507V109 23,595 2,150,908 SH SOLE 4 1,795,658 0 355,250 ACTIVISION BLIZZARD INC COMMON STOCK 00507V109 16,898 1,540,400 SH SOLE 1,457,200 0 83,200 ANNALY CAP MGMT INC COMMON STOCK 035710409 2,560 146,700 SH SOLE 146,700 0 0 ASPEN TECHNOLOGY INC COMMON STOCK 045327103 39 2,625 SH SOLE 0 0 2,625 AT&T INC COMMON STOCK 00206R102 4,010 131,000 SH SOLE 131,000 0 0 AXIS CAPITAL HOLDINGS COMMON STOCK G0692U109 21,089 603,925 SH SOLE 4 495,500 0 108,425 AXIS CAPITAL HOLDINGS COMMON STOCK G0692U109 11,743 336,295 SH SOLE 317,545 0 18,750 BAKER HUGHES INC COMMON STOCK 057224107 29,372 400,005 SH SOLE 4 334,055 0 65,950 BAKER HUGHES INC COMMON STOCK 057224107 20,734 282,360 SH SOLE 263,910 0 18,450 BALLY TECHNOLOGIES INC COMMON STOCK 05874B107 29,460 778,325 SH SOLE 4 679,775 0 98,550 BALLY TECHNOLOGIES INC COMMON STOCK 05874B107 17,214 454,800 SH SOLE 425,600 0 29,200 BANK OF AMERICA CORPORATION COMMON STOCK 060505104 2,886 216,500 SH SOLE 216,500 0 0 BAXTER INTL INC COMMON STOCK 071813109 23,952 445,450 SH SOLE 4 371,700 0 73,750 BAXTER INTL INC COMMON STOCK 071813109 20,922 389,100 SH SOLE 369,550 0 19,550 CAMERON INTERNATIONAL CORP COMMON STOCK 13342B105 25,784 451,550 SH SOLE 4 377,000 0 74,550 CAMERON INTERNATIONAL CORP COMMON STOCK 13342B105 17,809 311,900 SH SOLE 293,600 0 18,300 CARNIVAL CORP COMMON STOCK 143658300 96 2,500 SH SOLE 2,500 0 0 CHATHAM LODGING TR COMMON STOCK 16208T102 4,984 306,700 SH SOLE 306,700 0 0 CHICAGO BRIDGE & IRON CO N V COMMON STOCK 167250109 21,720 534,181 SH SOLE 4 444,881 0 89,300 CHICAGO BRIDGE & IRON CO N V COMMON STOCK 167250109 15,211 374,100 SH SOLE 355,500 0 18,600 CISCO SYSTEMS INC COMMON STOCK 17275R102 3,773 220,000 SH SOLE 220,000 0 0 CITIGROUP INC COMMON STOCK 172967101 133 30,000 SH SOLE 30,000 0 0 CORNING INC COMMON STOCK 219350105 3,810 184,700 SH SOLE 184,700 0 0 CVS CAREMARK CORPORATION COMMON STOCK 126650100 29,448 858,050 SH SOLE 4 717,150 0 140,900 CVS CAREMARK CORPORATION COMMON STOCK 126650100 24,450 712,400 SH SOLE 679,200 0 33,200 DEVON ENERGY CORP NEW COMMON STOCK 25179M103 28,575 311,375 SH SOLE 4 259,325 0 52,050 DEVON ENERGY CORP NEW COMMON STOCK 25179M103 19,492 212,400 SH SOLE 199,950 0 12,450 E M C CORP MASS COMMON STOCK 268648102 80 3,000 SH SOLE 3,000 0 0 ENTERGY CORP NEW COMMON STOCK 29364G103 3,723 55,400 SH SOLE 55,400 0 0 EXELON CORP COMMON STOCK 30161N101 3,938 95,500 SH SOLE 95,500 0 0 F M C CORP COMMON STOCK 302491303 25,296 297,850 SH SOLE 4 248,500 0 49,350 F M C CORP COMMON STOCK 302491303 17,954 211,400 SH SOLE 199,800 0 11,600 FIRSTENERGY CORP COMMON STOCK 337932107 3,872 104,400 SH SOLE 104,400 0 0 FLOWSERVE CORP COMMON STOCK 34354P105 26,278 204,025 SH SOLE 4 170,225 0 33,800 FLOWSERVE CORP COMMON STOCK 34354P105 17,130 133,000 SH SOLE 124,050 0 8,950 GENERAL ELECTRIC CO COMMON STOCK 369604103 3,008 150,000 SH SOLE 150,000 0 0 GOODRICH CORP COMMON STOCK 382388106 24,868 290,750 SH SOLE 4 242,350 0 48,400 GOODRICH CORP COMMON STOCK 382388106 17,010 198,875 SH SOLE 187,675 0 11,200 HALLIBURTON CO COMMON STOCK 406216101 17,344 348,000 SH SOLE 4 290,550 0 57,450 HALLIBURTON CO COMMON STOCK 406216101 14,170 284,300 SH SOLE 268,500 0 15,800 HARLEY DAVIDSON INC COMMON STOCK 412822108 0 4 SH SOLE 4 4 0 0 HARRIS CORP DEL COMMON STOCK 413875105 4,067 82,000 SH SOLE 82,000 0 0 HEWLETT-PACKARD CO COMMON STOCK 428236103 23,570 575,300 SH SOLE 4 481,050 0 94,250 HEWLETT-PACKARD CO COMMON STOCK 428236103 16,499 402,700 SH SOLE 380,500 0 22,200 HOME DEPOT INC COMMON STOCK 437076102 13 350 SH SOLE 350 0 0 INGERSOLL-RAND PLC COMMON STOCK G47791101 16,119 333,650 SH SOLE 4 278,500 0 55,150 INGERSOLL-RAND PLC COMMON STOCK G47791101 12,331 255,250 SH SOLE 242,450 0 12,800 INTEL CORP COMMON STOCK 458140100 3,834 190,000 SH SOLE 190,000 0 0 INTERNATIONAL GAME TECHNOLOGY COMMON STOCK 459902102 2,353 145,000 SH SOLE 145,000 0 0 ISHARES GOLD TRUST ISHARES 464285105 3,493 249,300 SH SOLE 249,300 0 0 ITT CORP NEW COMMON STOCK 450911102 3,963 66,000 SH SOLE 66,000 0 0 JOHNSON & JOHNSON COMMON STOCK 478160104 3,644 61,500 SH SOLE 61,500 0 0 JOHNSON CTLS INC COMMON STOCK 478366107 21,018 505,600 SH SOLE 4 410,200 0 95,400 JOHNSON CTLS INC COMMON STOCK 478366107 17,010 409,200 SH SOLE 387,700 0 21,500 KOHLS CORP COMMON STOCK 500255104 15,724 296,450 SH SOLE 4 247,500 0 48,950 KOHLS CORP COMMON STOCK 500255104 16,418 309,531 SH SOLE 298,031 0 11,500 LENDER PROCESSING SVCS INC COMMON STOCK 52602E102 16,071 499,250 SH SOLE 4 416,750 0 82,500 LENDER PROCESSING SVCS INC COMMON STOCK 52602E102 12,195 378,850 SH SOLE 373,150 0 5,700 LILLY ELI & CO COMMON STOCK 532457108 3,791 107,800 SH SOLE 107,800 0 0 LOCKHEED MARTIN CORP COMMON STOCK 539830109 3,859 48,000 SH SOLE 48,000 0 0 MCKESSON CORP COMMON STOCK 58155Q103 23,306 294,825 SH SOLE 4 245,975 0 48,850 MCKESSON CORP COMMON STOCK 58155Q103 16,233 205,350 SH SOLE 194,000 0 11,350 MEDTRONIC INC COMMON STOCK 585055106 4,029 102,400 SH SOLE 102,400 0 0 METLIFE INC COMMON STOCK 59156R108 30,013 670,975 SH SOLE 4 562,075 0 108,900 METLIFE INC COMMON STOCK 59156R108 24,270 542,600 SH SOLE 515,200 0 27,400 MYLAN INC COMMON STOCK 628530107 26,860 1,185,350 SH SOLE 4 980,900 0 204,450 MYLAN INC COMMON STOCK 628530107 19,693 869,050 SH SOLE 826,250 0 42,800 NEXTWAVE WIRELESS INC COMMON STOCK 65337Y102 0 627 SH SOLE 2 0 0 627 NYSE EURONEXT COMMON STOCK 629491101 3,957 112,500 SH SOLE 112,500 0 0 OCCIDENTAL PETE CORP DEL COMMON STOCK 674599105 21,441 205,200 SH SOLE 4 170,600 0 34,600 OCCIDENTAL PETE CORP DEL COMMON STOCK 674599105 17,230 164,900 SH SOLE 155,900 0 9,000 PEPSICO INC COMMON STOCK 713448108 3,961 61,500 SH SOLE 61,500 0 0 PROGRESS ENERGY INC COMMON STOCK 743263105 3,793 82,200 SH SOLE 82,200 0 0 PROSHARES TR SHRT 20+YR TRE 74347X849 11,062 249,600 SH SOLE 249,600 0 0 PRUDENTIAL FINL INC COMMON STOCK 744320102 22,597 366,950 SH SOLE 4 307,600 0 59,350 PRUDENTIAL FINL INC COMMON STOCK 744320102 15,795 256,500 SH SOLE 241,900 0 14,600 PUBLIC SVC ENTERPRISE GROUP COMMON STOCK 744573106 3,876 123,000 SH SOLE 123,000 0 0 QUANTA SVCS INC COMMON STOCK 74762E102 2,961 132,000 SH SOLE 132,000 0 0 RAYTHEON CO COMMON STOCK 755111507 3,917 77,000 SH SOLE 77,000 0 0 REINSURANCE GROUP AMER INC COMMON STOCK 759351604 16,955 270,068 SH SOLE 4 225,493 0 44,575 REINSURANCE GROUP AMER INC COMMON STOCK 759351604 11,877 189,182 SH SOLE 178,869 0 10,313 SHAW GROUP INC COMMON STOCK 820280105 1,516 42,800 SH SOLE 42,800 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 1,287 9,200 SH SOLE 9,200 0 0 STANLEY BLACK & DECKER INC COMMON STOCK 854502101 26,367 344,215 SH SOLE 4 286,990 0 57,225 STANLEY BLACK & DECKER INC COMMON STOCK 854502101 17,965 234,525 SH SOLE 220,025 0 14,500 STAPLES INC COMMON STOCK 855030102 3,777 194,500 SH SOLE 194,500 0 0 STATE STR CORP COMMON STOCK 857477103 27,827 619,200 SH SOLE 4 517,850 0 101,350 STATE STR CORP COMMON STOCK 857477103 20,317 452,100 SH SOLE 426,100 0 26,000 STERLING FINL CORP WASH COMMON STOCK 859319303 893 53,297 SH SOLE 53,297 0 0 SUNTRUST BKS INC COMMON STOCK 867914103 1,442 50,000 SH SOLE 50,000 0 0 SYSCO CORP COMMON STOCK 871829107 3,692 133,300 SH SOLE 133,300 0 0 TRAVELERS COMPANIES INC COMMON STOCK 89417E109 2,462 41,400 SH SOLE 41,400 0 0 TRW AUTOMOTIVE HLDGS CORP COMMON STOCK 87264S106 24,056 436,750 SH SOLE 4 363,650 0 73,100 TRW AUTOMOTIVE HLDGS CORP COMMON STOCK 87264S106 18,075 328,150 SH SOLE 311,750 0 16,400 TYCO INTERNATIONAL LTD COMMON STOCK H89128104 22,047 492,445 SH SOLE 4 411,495 0 80,950 TYCO INTERNATIONAL LTD COMMON STOCK H89128104 15,237 340,350 SH SOLE 323,750 0 16,600 VERIZON COMMUNICATIONS COMMON STOCK 92343V104 3,276 85,000 SH SOLE 85,000 0 0 VISA INC COMMON STOCK 92826C839 31,289 425,000 SH SOLE 4 355,300 0 69,700 VISA INC COMMON STOCK 92826C839 25,881 351,550 SH SOLE 333,750 0 17,800 WATSON PHARMACEUTICALS INC COMMON STOCK 942683103 27,193 485,500 SH SOLE 4 406,300 0 79,200 WATSON PHARMACEUTICALS INC COMMON STOCK 942683103 15,694 280,200 SH SOLE 262,200 0 18,000 WELLS FARGO & CO NEW COMMON STOCK 949746101 2,638 83,200 SH SOLE 83,200 0 0 WMS INDS INC COMMON STOCK 929297109 19,859 561,790 SH SOLE 4 495,690 0 66,100 WMS INDS INC COMMON STOCK 929297109 7,524 212,847 SH SOLE 189,747 0 23,100 WYNDHAM WORLDWIDE CORP COMMON STOCK 98310W108 13,398 421,200 SH SOLE 4 352,700 0 68,500 WYNDHAM WORLDWIDE CORP COMMON STOCK 98310W108 11,216 352,600 SH SOLE 333,900 0 18,700 XEROX CORP COMMON STOCK 984121103 25,685 2,411,750 SH SOLE 4 2,017,450 0 394,300 XEROX CORP COMMON STOCK 984121103 21,266 1,996,800 SH SOLE 1,904,900 0 91,900 XILINX INC COMMON STOCK 983919101 1,305 39,800 SH SOLE 39,800 0 0 1,471,387 37,402,730 33,552,940 0 3,849,790 TOTAL ENTRIES: 110 TOTAL VALUE (X$1000): 1,471,387 TOTAL SHARES PRN/AMT: 37,402,730 TOTAL SOLE SHARES/PRN AMT: 33,552,940 TOTAL SHARED SHARES/PRN AMT: 0 TOTAL NONE SHARES/PRN AMT: 3,849,790