0000936698-11-000004.txt : 20111104 0000936698-11-000004.hdr.sgml : 20111104 20111104144502 ACCESSION NUMBER: 0000936698-11-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111104 DATE AS OF CHANGE: 20111104 EFFECTIVENESS DATE: 20111104 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FRONT BARNETT ASSOCIATES LLC CENTRAL INDEX KEY: 0000936698 IRS NUMBER: 363950405 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04630 FILM NUMBER: 111180705 BUSINESS ADDRESS: STREET 1: FRONT BARNETT ASSOCIATES LLC STREET 2: THREE FIRST NATIONAL PLAZA SUITE 4920 CITY: CHICAGO STATE: IL ZIP: 60602 BUSINESS PHONE: 3126419000 MAIL ADDRESS: STREET 1: FRONT BARNETT ASSOCIATES LLC STREET 2: THREE FIRST NATIONAL PLAZA SUITE 4920 CITY: CHICAGO STATE: IL ZIP: 60602 FORMER COMPANY: FORMER CONFORMED NAME: TREES FRONT ASSOCIATES INC DATE OF NAME CHANGE: 19990326 13F-HR 1 fba1109.txt 3RD QUARTER REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the 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: Front Barnett Associates LLC Address: 70 West Madison Street Suite 4920 Chicago,IL 60602 13F File Number: 28-4680 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: Marshall B. Front Title: Chairman Phone: 312-641-9001 Signature, Place, and Date of Signing: Marshall B. Front Chicago, Illinois November 4, 2011 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE REPORT SUMMARY: NUMBER OF OTHER INCLUDED MANAGERS: 0 FORM 13F INFORMATION TABLE ENTRY TOTAL: 95 FORM 13F INFORMATION TABLE VALUE TOTAL: $302,250,000 LIST OF OTHER INCLUDED MANAGERS: NO. 13F FILE NUMBER NAME FORM 13F INFORMATION TABLE AS OF DATE: 09/30/11 VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- -------- ------ ------ ------- iSHARES MSCI EAFE INDEX FUND ETF - EQUITY 464287465 10617 222199 SH SOLE 222199 0 0 iSHARES MSCI EMERGING MARKETS ETF - EQUITY 464287234 12783 364249 SH SOLE 364249 0 0 iSHARES RUSSELL 1000 GROWTH IN COM 464287614 222 4225 SH SOLE 4225 0 0 iSHARES RUSSELL 2000 INDEX FUN ETF - EQUITY 464287655 483 7514 SH SOLE 7514 0 0 iSHARES SILVER TRUST ETF - EQUITY 46428Q109 298 10315 SH SOLE 10315 0 0 iSHARES S&P MIDCAP 400 INDEX F ETF - EQUITY 464287507 212 2720 SH SOLE 2720 0 0 ABBOTT LABORATORIES COM 002824100 937 18316 SH SOLE 18316 0 0 ACTIVISION BLIZZARD INC COM COM 00507V109 2975 249974 SH SOLE 249974 0 0 ADVANCED CELL TECHNOLOGY INCCO COM 00752K105 4 30000 SH SOLE 30000 0 0 AFFILIATED MANAGERS GROUP COM 008252108 4616 59137 SH SOLE 59137 0 0 AIRMEDIA GROUP INC SPONSORED A COM 009411109 25 10000 SH SOLE 10000 0 0 ALTRIA GROUP INC COM 02209S103 359 13400 SH SOLE 13400 0 0 AMERICAN EXPRESS CO COM 025816109 6964 155102 SH SOLE 155102 0 0 AMERICAN TOWER CORP - CLASS A COM 029912201 907 16850 SH SOLE 16850 0 0 AMPHENOL CORP - CLASS A COM 032095101 3329 81652 SH SOLE 81652 0 0 APPLE COMPUTER INC COM 037833100 20465 53669 SH SOLE 53669 0 0 BANK OF AMERICA CORPORATION COM 060505104 2109 344578 SH SOLE 344578 0 0 BERKSHIRE HATHAWAY INC DEL CL COM 084670702 875 12319 SH SOLE 12319 0 0 BERKSHIRE HATHAWAY INC - CLASS COM 084670108 214 2 SH SOLE 2 0 0 BIOJECT MED TECH INC COM NEW COM 09059T206 22 87500 SH SOLE 87500 0 0 BOEING COMPANY COM 097023105 233 3851 SH SOLE 3851 0 0 BROWNSTONE ENERGY INC COM COM 116141102 7 23000 SH SOLE 23000 0 0 CHEVRON CORPORATION COM 166764100 9866 106556 SH SOLE 106556 0 0 CINEMARK HOLDINGS INC COM 17243V102 7683 406950 SH SOLE 406950 0 0 CISCO SYSTEMS INC COM 17275R102 6163 397639 SH SOLE 397639 0 0 CITIGROUP INC COM 172967424 1913 74702 SH SOLE 74702 0 0 COBRA ELECTRONICS CORPORATION COM 191042100 446 127883 SH SOLE 127883 0 0 COCA COLA CO COM 191216100 372 5510 SH SOLE 5510 0 0 COVIDIEN PLC COM G2554F113 5043 114355 SH SOLE 114355 0 0 CVS CAREMARK CORPORATION COM 126650100 1628 48467 SH SOLE 48467 0 0 DANAHER CORP COM 235851102 2757 65730 SH SOLE 65730 0 0 "DISNEY, WALT COMPANY" COM 254687106 2266 75143 SH SOLE 75143 0 0 E M C CORPORATION COM 268648102 206 9810 SH SOLE 9810 0 0 EFT SPDR GOLD TRUST ETF - EQUITY 78463V107 2555 16165 SH SOLE 16165 0 0 EMERSON ELECTRIC CO COM 291011104 234 5671 SH SOLE 5671 0 0 ENERGY SELECT SECTOR SPDR FUND COM 81369Y506 5131 87689 SH SOLE 87689 0 0 EXELON CORP COM 30161N101 579 13599 SH SOLE 13599 0 0 EXXON MOBIL CORPORATION COM 30231G102 2115 29120 SH SOLE 29120 0 0 FEDEX CORP COM 31428X106 5430 80234 SH SOLE 80234 0 0 FINANCIAL SELECT SECTOR SPDR F COM 81369Y605 932 78950 SH SOLE 78950 0 0 FMC TECHNOLOGIES INC COM COM 30249U101 2940 78190 SH SOLE 78190 0 0 FORTUNE BRANDS INC COM 349631101 313 5790 SH SOLE 5790 0 0 GENERAL ELECTRIC COMPANY COM 369604103 1637 107561 SH SOLE 107561 0 0 GOOGLE INC - CLASS A COM 38259P508 8518 16538 SH SOLE 16538 0 0 GRAINGER W W INC COM 384802104 360 2405 SH SOLE 2405 0 0 HELMERICH & PAYNE INC COM 423452101 5026 123805 SH SOLE 123805 0 0 HOME DEPOT INC COM 437076102 297 9034 SH SOLE 9034 0 0 "HONEYWELL INTERNATIONAL, INC." COM 438516106 339 7716 SH SOLE 7716 0 0 I N G GROEP N V - ADR COM 456837103 90 12747 SH SOLE 12747 0 0 ICONIX BRAND GROUP 1.875% 06/3 CONVERTIBLE BOND451055AB3 639 650000 PRN SOLE 650000 0 0 ILLINOIS TOOL WORKS INC COM 452308109 6667 160265 SH SOLE 160265 0 0 IMMUNOGEN INC COM COM 45253H101 317 28940 SH SOLE 28940 0 0 INTEL CORP COM 458140100 5297 248257 SH SOLE 248257 0 0 INTERNATIONAL BUSINESS MACHINE COM 459200101 2649 15150 SH SOLE 15150 0 0 J P MORGAN CHASE & CO COM 46625H100 8906 295685 SH SOLE 295685 0 0 JOHNSON & JOHNSON COM 478160104 918 14421 SH SOLE 14421 0 0 KINDER MORGAN ENERGY PARTNERS COM 494550106 2001 29258 SH SOLE 29258 0 0 KOHL'S CORP COM 500255104 6272 127734 SH SOLE 127734 0 0 KRAFT FOODS INC COM 50075N104 265 7884 SH SOLE 7884 0 0 "LAUDER, ESTEE, COMPANIES - CLA"COM 518439104 3737 42545 SH SOLE 42545 0 0 LOWE'S COMPANIES INC COM 548661107 5243 271113 SH SOLE 271113 0 0 Mc DONALD'S CORP COM 580135101 773 8804 SH SOLE 8804 0 0 MICROSOFT CORP COM 594918104 7228 290391 SH SOLE 290391 0 0 NORTHERN TRUST CORPORATION COM 665859104 308 8810 SH SOLE 8810 0 0 NORTHWEST INDIANA BANCORP COM 667516108 153 10667 SH SOLE 10667 0 0 NUCOR CORP COM 670346105 242 7660 SH SOLE 7660 0 0 NUSTAR ENERGY LP UNIT COM 67058H102 378 7226 SH SOLE 7226 0 0 ORACLE CORPORATION COM 68389X105 4070 141605 SH SOLE 141605 0 0 PEPSICO INC COM 713448108 9163 148024 SH SOLE 148024 0 0 PHARMACEUTICAL PROD DEV INC CO COM 717124101 1256 48950 SH SOLE 48950 0 0 PHILIP MORRIS INTL INC COM COM 718172109 772 12375 SH SOLE 12375 0 0 POWERSHARES GLOBAL ETF TRUSTDE ETF - EQUITY 73936T789 1742 55420 SH SOLE 55420 0 0 PRAXAIR INC COM 74005P104 5558 59458 SH SOLE 59458 0 0 PRECISION CASTPARTS CORP COM COM 740189105 7979 51326 SH SOLE 51326 0 0 PROCTER & GAMBLE COMPANY COM 742718109 918 14535 SH SOLE 14535 0 0 PROSHARES TR ULTRA QQQ PSHS ETF - EQUITY 74347R206 277 3800 SH SOLE 3800 0 0 QUALCOMM INC COM 747525103 8460 173973 SH SOLE 173973 0 0 REYNOLDS AMERICAN INC COM 761713106 212 5664 SH SOLE 5664 0 0 S & P 500 DEPOSITARY RECEPIT ( ETF - EQUITY 78462F103 1556 13749 SH SOLE 13749 0 0 SALLY BEAUTY HLDGS INC COM COM 79546E104 4247 255850 SH SOLE 255850 0 0 "SCHLUMBERGER, LTD." COM 806857108 474 7935 SH SOLE 7935 0 0 SPDR S&P OIL & GAS EQUIPMENT & COM 78464A748 8085 285178 SH SOLE 285178 0 0 STANLEY BLACK AND DECKER INC COM 854502101 1367 27850 SH SOLE 27850 0 0 SULLIDEN GOLD CORPORATION LTD COM 865126106 1073 609700 SH SOLE 609700 0 0 TE CONNECTIVITY LTD COM H84989104 864 30687 SH SOLE 30687 0 0 TEVA PHARMACEUTICAL INDUSTRIES COM 881624209 4612 123911 SH SOLE 123911 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 9106 179811 SH SOLE 179811 0 0 THOMAS & BETTS CORP COM 884315102 2372 59425 SH SOLE 59425 0 0 TIFFANY & CO COM 886547108 2276 37425 SH SOLE 37425 0 0 UNION PACIFIC CORPORATION COM 907818108 7546 92402 SH SOLE 92402 0 0 UNITED TECHNOLOGIES CORP COM 913017109 9524 135365 SH SOLE 135365 0 0 VINEYARD NATL BANCORP (DELISTE COM 927426106 0 18519 SH SOLE 18519 0 0 WALGREEN CO COM 931422109 6237 189634 SH SOLE 189634 0 0 WASTE MANAGEMENT INC COM 94106L109 2230 68475 SH SOLE 68475 0 0 WELLS FARGO & COMPANY COM 949746101 5056 209599 SH SOLE 209599 0 0