13F-HR 1 c19482e13fvhr.txt FORM 13F - HOLDING 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: 09/30/2007 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: Hoefer & Arnett Capital Management, Inc. Address: 555 Market St. 18th Floor San Francisco, CA 94105 Form 13F File Number: 28-6990 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 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: Katharine Turner Title: Vice President, Operations Phone: (415) 538-5737 Signature, Place, and Date of Signing: By: /s/ Katharine Turner City: San Francisco, CA 10/18/2007 Page 1 Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 247 Form 13F Information Table Value Total: $454034 (thousands) Page 2 FORM 13F INFORMATION TABLE
TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ----- --------- -------- ---------- --- ---- ------- -------- ---- --------- ---------- 3M COCOM COM 88579y101 9029 96492 SH SOLE 96492 18 200 SH DEFINED 200 ABBOTT LABSCOM COM 002824100 2053 38290 SH SOLE 38290 ADOBE SYSTEMS INC DEL COM 00724F101 1803 41307 SH SOLE 41307 AGILENTTECH INC COM 00846u101 242 6582 SH SOLE 6582 AIRPRODUCTS & CHEM COM 009158106 725 7420 SH SOLE 7420 ALLERGAN INC. COM 018490102 433 6720 SH SOLE 6720 ALLIANCE DISTRS HLDG INC COM COM 01858P105 5 30000 SH SOLE 30000 ALLTELCORP NEW COM 020039103 2446 35114 SH SOLE 35114 ALTRIAGROUP INC COM 02209s103 1029 14811 SH SOLE 14811 AMB PPTY CORP COM COM 00163T109 2066 34550 SH SOLE 34550 AMEREN CORP COM 023608102 584 11130 SH SOLE 11130 AMERICAN EXPRESS COCOM COM 025816109 17676 297734 SH SOLE 297734 35 600 SH DEFINED 600 AMERICAN INTL GROUP INCCOM COM 026874107 4794 70876 SH SOLE 70876 AMERICANWEST BANCORPORATION CO COM 03058P109 1035 52807 SH SOLE 52807 AMERIPRISEFINL INC COM COM 03076c106 1260 19976 SH SOLE 19976 7 120 SH DEFINED 120 AMGEN INCCOM COM 031162100 11324 200194 SH SOLE 200194 22 400 SH DEFINED 400 ANADARKO PETROLEUM CORP COM 032511107 272 5077 SH SOLE 5077 ANHEUSER BUSCH COS INCCOM COM 035229103 2982 59662 SH SOLE 59662 APACHECORP COM 037411105 278 3090 SH SOLE 3090 APPLE INC COM 037833100 970 6326 SH SOLE 6326 APPLIEDMATERIALS INC COM 038222105 2006 96942 SH SOLE 96942 AT& T INC COM 00206r102 1649 38990 SH SOLE 38990 AUTOMATICDATA PROCESSING INC COM 053015103 529 11520 SH SOLE 11520 AUTOZONEINC NEV COM 053332102 1296 11165 SH SOLE 11165 AVERYDENNISON CORP COM 053611109 2896 50795 SH SOLE 50795 AVONPRODUCTS INC COM 054303102 305 8150 SH SOLE 8150 BANK OF AMERICA CORP COM 060505104 7036 139968 SH SOLE 139968 BANKNEW YORK MELLON CORP COM 064058100 796 18052 SH SOLE 18052 BAXTERINTL INC COM 071813109 579 10295 SH SOLE 10295 BECTONDICKINSON CO COM 075887109 206 2515 SH SOLE 2515 BEDBATH & BEYOND INC COM 075896100 2886 84596 SH SOLE 84596 BERKSHIRE HATHAWAY INC DEL CL COM 084670108 6755 57 SH SOLE 57 BERKSHIRE HATHAWAY INC DEL CL COM 084670207 13737 3476 SH SOLE 3476 27 7 SH DEFINED 7 BOEING CO COM COM 097023105 596 5683 SH SOLE 5683 BOSTON SCIENTIFIC CORP COM 101137107 1118 80168 SH SOLE 80168 BP PLC SPON ADR COM 055622104 3156 45518 SH SOLE 45518 BRE PPTYS INC MARYLAND AREIT COM 05564e106 319 5721 SH SOLE 5721 BRISTOLMYERS SQUIBB COM 110122108 322 11193 SH SOLE 11193 CANON INC ADR COM 3804 70076 SH SOLE 70076 CATERPILLAR INC DEL COM 149123101 1257 16037 SH SOLE 16037 CENTRAL BANCSHARES INC TEX CMT COM 152424107 1243 209 SH SOLE 209 CENTURYTELINC COM 156700106 555 12013 SH SOLE 12013 CHEESECAKEFACTORY INC COM 163072101 1333 56800 SH SOLE 56800 CHESAPEAKE ENERGY CORP COM 165167107 804 22808 SH SOLE 22808 CHEVRON CORP COM 166764100 12783 136608 SH SOLE 136608 CHURCH& DWIGHT INC COM 171340102 490 10425 SH SOLE 10425 CINTASCORP COM 172908105 508 13700 SH SOLE 13700 CISCOSYS INC COM 17275r102 11814 356597 SH SOLE 356597
Page 3 CITIGROUP INCCOM COM 172967101 3302 70772 SH SOLE 70772 CITIZENS COMMUNICATIONS CO COM 17453b101 347 24300 SH SOLE 24300 CLOROX CO COM COM 189054109 902 14790 SH SOLE 14790 COCACOLA CO COM 191216100 1287 22404 SH SOLE 22404 COFFEE PACIFICA INC COM COM 192185106 8 12000 SH SOLE 12000 COMMERCE BANCORP INCN J COM COM 200519106 224 5780 SH SOLE 5780 CONOCOPHILLIPS COM 20825c104 2529 28817 SH SOLE 28817 CORNINGINC COM 219350105 473 19225 SH SOLE 19225 COSTCOWHOLESALE CORP COM 22160k105 4891 79699 SH SOLE 79699 COUNTRYWIDE FINL CORP COM COM 222372104 294 15491 SH SOLE 15491 CVS CAREMARK CORP COM 126650100 4290 108262 SH SOLE 108262 DANAHERCORP COM 235851102 306 3700 SH SOLE 3700 DISNEY (WALT) CO COM STK COM 254687106 727 21142 SH SOLE 21142 DOMINION RES INC VA COM COM 25746U109 441 5242 SH SOLE 5242 DOW CHEMICAL CO COM 260543103 4084 94861 SH SOLE 94861 DU PONT E I DE NEMOURS & COMPA COM 263534109 533 10759 SH SOLE 10759 DUKE ENERGY CORP NEW COM 26441c105 976 52231 SH SOLE 52231 DUN & BRADSTREET CORP DEL NEWC COM 26483e100 206 2091 SH SOLE 2091 EM C CORP MASS COM 268648102 468 22500 SH SOLE 22500 EVIRONMENTAL OIL PROCESSING TE COM 29407q100 0 75000 SH SOLE 75000 EXELONCORP COM 30161n101 619 8217 SH SOLE 8217 EXXON MOBIL CORP COM COM 30231g102 4875 52675 SH SOLE 52675 FAMILY DOLLAR STORES COM 307000109 491 18524 SH SOLE 18524 FARMERS & MERCHANTS BANK LONG COM 308243104 2312 367 SH SOLE 367 FEDERAL NATL MTG ASSN COM COM 313586109 243 4000 SH SOLE 4000 FEDEXCORP COM 31428x106 961 9175 SH SOLE 9175 FIRST MARBLEHEAD CORP COM COM 320771108 561 14800 SH SOLE 14800 FPLGROUP INC COM 302571104 200 3291 SH SOLE 3291 FRANKLIN TMPLTN LTD DR COM COM 124 10000 SH SOLE 10000 FRANKLINRES INC COM 354613101 357 2800 SH SOLE 2800 FREDDIEMAC COM 313400301 324 5500 SH SOLE 5500 FREEPORTMCMORAN COPPER & GOLD COM 35671d857 899 8575 SH SOLE 8575 GANNETTCO INC COM 364730101 454 10400 SH SOLE 10400 GENENTECHINC COM 368710406 1518 19467 SH SOLE 19467 GENERAL ELECTRIC COM 369604103 21725 524770 SH SOLE 524770 33 800 SH DEFINED 800 GENERAL MILLS COM 370334104 1029 17749 SH SOLE 17749 GLAXOSMITHKLINEPLC SPONSORED A COM 37733w105 725 13643 SH SOLE 13643 GLOBETEL COMMUNICATION COM NEW COM 1 14000 SH SOLE 14000 GOLDMAN SACHS GROUP INCCOM COM 38141g104 413 1908 SH SOLE 1908 GOOGLE INC CL A COM 38259P508 215 380 SH SOLE 380 GP STRATEGIES CORP COM COM 36225V104 111 10000 SH SOLE 10000
Page 4 GRAINGER W W INCCOM COM 384802104 631 6928 SH SOLE 6928 GREATER BAY BANCORP COM COM 391648102 2657 95588 SH SOLE 95588 HAINCELESTIAL GROUP INC COM 405217100 228 7115 SH SOLE 7115 HANCOCKJOHN TAX ADVANTAGE DIVI COM 41013v100 1031 54505 SH SOLE 54505 HARRAHS ENTMT INC COM COM 413619107 322 3714 SH SOLE 3714 HAWAIIAN ELEC INDS INC COM 419870100 278 12848 SH SOLE 12848 HEWLETT PACKARD COCOM COM 428236103 2757 55390 SH SOLE 55390 HOME DEPOT INC COM COM 437076102 2344 72275 SH SOLE 72275 HONEYWELL INTL INC COM ISIN#US COM 438516106 352 5935 SH SOLE 5935 HRPT PPTYS TR COM SH BEN INT COM 40426W101 474 48000 SH SOLE 48000 HUNTINGTON BANCSHARES COM 446150104 283 16694 SH SOLE 16694 IMPERIAL OIL LTD COM NEW COM 446 9000 SH SOLE 9000 INDYMAC BANCORP INC N/C EFF 6/ COM 456607100 320 13566 SH SOLE 13566 INGERSOLL RAND CO LTD CL A COM COM G4776G101 614 11275 SH SOLE 11275 INTEL CORP COM 458140100 4522 174897 SH SOLE 174897 INTERNATIONAL BUSINESS MACHS C COM 459200101 2528 21465 SH SOLE 21465 INTUITINC COM 461202103 224 7400 SH SOLE 7400 JOHNSON AND JOHNSON COM COM 478160104 4842 73702 SH SOLE 73702 JPMORGANCHASE & CO COM 46625h100 334 7301 SH SOLE 7301 KELSO TECHNOLOGIES INC COM 0 10000 SH SOLE 10000 KIMBERLYCLARK CORP COM 494368103 490 6975 SH SOLE 6975 KKR FINANCIAL HOLDINGS LLCREIT COM 48248a306 12092 717634 SH SOLE 717634 25 1500 SH DEFINED 1500 KRAFTFOODS INC CL A COM 50075n104 333 9676 SH SOLE 9676 LEHMANBROS HLDGS CORP COM 524908100 316 5124 SH SOLE 5124 LILLY ELI & CO COM COM 532457108 615 10816 SH SOLE 10816 LINCOLN NATL CORP IND COM 534187109 433 6571 SH SOLE 6571 MBIA INC COM 55262C100 570 9340 SH SOLE 9340 MC GRAW HILL COMPANIES COM 580645109 1845 36255 SH SOLE 36255 MCDONALDSCORP COM 580135101 1380 25349 SH SOLE 25349 MEDCOHEALTH SOLUTIONS INC COM 58405u102 201 2228 SH SOLE 2228 MEDTRONICINC COM 585055106 1321 23428 SH SOLE 23428 MERRILLLYNCH & CO COM 590188108 261 3665 SH SOLE 3665 MICROSOFT CORPCOM COM 594918104 5324 180747 SH SOLE 180747 MONSANTO CO NEW DEL COM COM 61166w101 1330 15517 SH SOLE 15517 NATIONAL PATENT DEV CORP NEW C COM 637132101 57 24000 SH SOLE 24000 NESTLE S A SPONSORED ADR REPST COM 204 1825 SH SOLE 1825 NOKIACORP ADR COM 654902204 4988 131507 SH SOLE 131507 NSTAR COM COM 67019E107 396 11404 SH SOLE 11404 NUVEEN FLTG RT INC OPP COM SHS COM 126 10000 SH SOLE 10000 NYFIX INC COM COM 670712108 337 70290 SH SOLE 70290 ORACLE CORPORATION COM 68389x105 16603 766889 SH SOLE 766889
Page 5 43 2000 SH DEFINED 2000 PEPSICO INC COM 713448108 1994 27221 SH SOLE 27221 PFIZER INC DEL PV$0.05 COM 717081103 2296 93999 SH SOLE 93999 PIMCO CORPORATE INCOME FUND COM 72200u100 144 10000 SH SOLE 10000 PRE PAID LEGAL SVCS INC COM COM 740065107 1880 33900 SH SOLE 33900 PRECISION CASTPARTS CORP COM 740189105 1191 8050 SH SOLE 8050 PRESIDIO BK SAN FRANCISCO COM COM 74101A100 133 15000 SH SOLE 15000 PROCTER & GAMBLE CO COM 742718109 5705 81113 SH SOLE 81113 PROSPERITY BANCSHARES INC COM COM 743606105 3246 97892 SH SOLE 97892 QUESTDIAGNOSTICS INC COM 74834l100 4063 70341 SH SOLE 70341 READING INTL INC CL A COM 755408101 11171 1134147 SH SOLE 1134147 26 2700 SH DEFINED 2700 RESEARCHIN MOTION LTD ISIN #CA COM 760975102 1180 11980 SH SOLE 11980 REUTERS GROUP PLC SPONSORED AD COM 76132M102 737 9300 SH SOLE 9300 RITE AID CORP COM 767754104 67 14585 SH SOLE 14585 ROHM & HAAS COM 775371107 470 8450 SH SOLE 8450 ROYAL DUTCH SHELL PLC SPONS AD COM 1612 19620 SH SOLE 19620 ROYAL DUTCH SHELL PLCADR COM 780259206 617 7513 SH SOLE 7513 SARA LEE CORP COM 803111103 426 25579 SH SOLE 25579 SCHLUMBERGER LTD COMCOM COM 806857108 437 4170 SH SOLE 4170 SEI INVESTMENTS CO COM COM 784117103 8007 293537 SH SOLE 293537 SHERWIN WILLIAMS CO COM 824348106 252 3850 SH SOLE 3850 SIEMENSA G SPON ADR ISIN #US82 COM 826197501 223 1625 SH SOLE 1625 SILVER ST BANCORP COM COM 828251108 3693 216665 SH SOLE 216665 SOURCECAP INC COM 836144105 8827 137174 SH SOLE 137174 SPRINT NEXTEL CORP COM FON COM 3040 160007 SH SOLE 160007 STAPLESINC COM 855030102 4678 217714 SH SOLE 217714 STARBUCKS CORP COM 855244109 481 18394 SH SOLE 18394 STATE STREET CORP COM COM 857477103 884 12980 SH SOLE 12980 STERICYCLEINC COM 858912108 1346 23550 SH SOLE 23550 STJUDE MEDICAL INC COM 790849103 829 18830 SH SOLE 18830 STRYKER CORP COM 863667101 275 4000 SH SOLE 4000 SUN MICROSYSTEMS INC COM 866810104 3487 620544 SH SOLE 620544 SURETY CAPITAL CORP-NEW COM 868666207 2 16600 SH SOLE 16600 SYSCOCORP COM 871829107 3513 98716 SH SOLE 98716 TARGET CORP COM COM 87612e106 2940 46253 SH SOLE 46253 TEMECULAVY BANCORP INC COM CA COM 87972l104 1037 61151 SH SOLE 61151 TEXASINSTRUMENTS INC COM 882508104 2934 80210 SH SOLE 80210 TIME WARNER INC NEWCOM COM 887317105 255 13893 SH SOLE 13893 TOTALS A SPON ADR COM 89151e109 250 3092 SH SOLE 3092 TRIANGLE MULTI-MED LTD COM COM 0 200000 SH SOLE 200000 UCBHHLDGS INC COM 90262t308 2385 136478 SH SOLE 136478
Page 6 UNILEVERN V ISIN #US9047847093 COM 904784709 284 9234 SH SOLE 9234 UNITED PARCEL SVC CL B COM 911312106 550 7334 SH SOLE 7334 UNITED TECHS CORP COM COM 913017109 8786 109171 SH SOLE 109171 UNITEDHEALTHGROUP COM 91324p102 1661 34310 SH SOLE 34310 US BANCORP (NEW) COM 902973304 5219 160445 SH SOLE 160445 VALERO ENERGY CORP NEW COM 91913y100 753 11215 SH SOLE 11215 VERISIGNINC COM 92343e102 2980 88350 SH SOLE 88350 VERIZON COMMUNICATIONS COM 92343v104 570 12891 SH SOLE 12891 VODAFONEGROUP PLC NEW SPONSORE COM 92857w209 220 6078 SH SOLE 6078 WACHOVIA CORP NEW COM 929903102 526 10508 SH SOLE 10508 WAL MART STORES INCCOM COM 931142103 407 9338 SH SOLE 9338 WALGREENCOMPANY COM 931422109 894 18935 SH SOLE 18935 WASHINGTON MUTUAL INC COM 939322103 1536 43519 SH SOLE 43519 WD 40 CO COM 929236107 774 22700 SH SOLE 22700 WEINGARTEN REALTY INVESTORS SH COM 948741103 250 6047 SH SOLE 6047 WELLS FARGO & CO NEW DEL COM 949746101 15319 430075 SH SOLE 430075 WESTAMERICA BANCORPORATION COM 957090103 1370 27506 SH SOLE 27506 WESTERNUNION CO COM COM 959802109 481 22971 SH SOLE 22971 WINDSTREAMCORP COM COM 97381w104 439 31124 SH SOLE 31124 WING HANG BANK LTD SHS ISIN#HK COM Y9588K109 2876 250000 SH SOLE 250000 WYETH COM 983024100 1934 43416 SH SOLE 43416 XLCAPITAL LTD CL A ISIN #KYG98 COM g98255105 723 9140 SH SOLE 9140 ZIMMERHLDGS INC COM 98956p102 2061 25455 SH SOLE 25455 ZIONS BANCORP COM COM 989701107 593 8643 SH SOLE 8643 KKRFINANCIAL HLDG LLC RT EXP 0 48248a991 0 12632 SH SOLE 12632 0 291 SH DEFINED 291 BNY CAP V TR PFD SECS SER F 5. PRD 09656H209 203 8900 SH SOLE 8900 MAGNETIC PULSE INC PFD SER C PRD 558998951 12 12000 SH SOLE 12000 RSTK CALIF LINEAR DEVICES INC PRD 130990898 0 50000 SH SOLE 50000 RSTK CALIF LINEAR DEVICES INC PRD 130990880 0 25600 SH SOLE 25600 AMERICANGROWTH FUND OF AMERICA 399874106 218 5823.014 SH SOLE 5823.014 AMERICANINVESTMNT CO OF AMERIC 461308108 272 7435.331 SH SOLE 7435.331 AMERICANNEW PERSPECTIVE CLASS 648018109 229 6222.824 SH SOLE 6222.824 ARTISANINTERNAT'L INVESTOR CLA 04314h204 384 11405.328 SH SOLE 11405.328 DWS EMERGING MARKETS EQUITY FU 23337r106 224 7932.000 SH SOLE 7932.000 FIDELITYVALUE 316464106 241 2737.523 SH SOLE 2737.523 FRANKLIN CALIFORNIA TAX FREE I 352518104 1414 195306.700 SH SOLE 195306.700 GENERAL CALIF MUN MMF SH BEN I 22 22228.960 SH SOLE 22228.960 HARBORINTERNATIONAL INSTITUTIO 411511306 222 2971.349 SH SOLE 2971.349 MERIDIANGROWTH FUND 589619105 242 5659.483 SH SOLE 5659.483 SSGA FDS SMALL CAP FD 229 7505.451 SH SOLE 7505.451 VANGUARD/WELLES INCOME COM 324 14551.880 SH SOLE 14551.880
Page 7 VANGUARDWINDSOR II 922018205 314 8390.050 SH SOLE 8390.050 ISHARES TR RUSSELL 1000 GROWTH 464287614 415 6729.0000 SH SOLE 6729.0000 ISHARES TR RUSSELL 1000 VALUE 464287598 341 3976.0000 SH SOLE 3976.0000 ISHARES TR RUSSELL 2000 GROWTH 464287648 275 3234.0000 SH SOLE 3234.0000 ISHARES TR RUSSELL 2000 VALUE 464287630 226 2939.2080 SH SOLE 2698.0000 241.2080 ISHARES TR RUSSELL MIDCAP GROW 464287481 279 2404.0000 SH SOLE 2404.0000 ISHARES TR RUSSELL MIDCAP VALU 464287473 213 1410.0000 SH SOLE 1410.0000 ISHARESTR DOW JONES U S BASIC 464287838 680 9180.1503 SH SOLE 9180.1503 ISHARESTR DOW JONES U S CONSUM 464287812 1034 16174.9510 SH SOLE 16174.9510 ISHARESTR DOW JONES U S CONSUM 464287580 978 14460.1262 SH SOLE 14460.1262 ISHARESTR DOW JONES U S ENERGY 464287796 1825 13994.7065 SH SOLE 13994.7065 ISHARESTR DOW JONES U S HEALTH 464287762 2093 29576.8709 SH SOLE 29576.8709 ISHARESTR DOW JONES U S INDL S 464287754 2926 38657.9089 SH SOLE 38657.9089 ISHARESTR DOW JONES U S TOTAL 464287846 201 2714.1755 SH SOLE 2714.1755 ISHARESTR DOW JONES US FINL SE 464287788 3930 35857.1984 SH SOLE 35857.1984 ISHARESTR DOW JONES US TECHNOL 464287721 3479 55400.2907 SH SOLE 55400.2907 ISHARESTR MSCI EAFE INDEX FD 464287465 1640 19865.9943 SH SOLE 2347.0000 17518.9943 ISHARESTR MSCI EMERGING MKTS I 464287234 959 6422.6049 SH SOLE 983.0000 5439.6049 ISHARESTR NASDAQ BIOTECHNOLOGY 464287556 1783 21488.9436 SH SOLE 1566.0000 19922.9436 ISHARESTR RUSSELL 2000 INDEX F 464287655 505 6313.4148 SH SOLE 6313.4148 ISHARESTR RUSSELL MIDCAP INDEX 464287499 1067 9867.7822 SH SOLE 9867.7822 ISHARESTR S&P EUROPE 350 INDEX 464287861 1615 13555.8915 SH SOLE 1632.0000 11923.8915 BUCKEYE PARTNERS L.P LPUS 118230101 939 19200.000 SH SOLE 19200.000 CEDAR FAIR, L.P.DEP UNIT LPUS 150185106 1008 42266.292 SH SOLE 42266.292 ENBRIDGE ENERGY PARTNERS LP CO LPUS 29250R106 390 8000.000 SH SOLE 8000.000 KINDER MORGAN ENERGY PARTNERS LPUS 494550106 1780 36046.000 SH SOLE 36046.000
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