Chief Compliance Officer

0001062993-13-005392.txt : 20131106 0001062993-13-005392.hdr.sgml : 20131106 20131106102334 ACCESSION NUMBER: 0001062993-13-005392 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130930 FILED AS OF DATE: 20131106 DATE AS OF CHANGE: 20131106 EFFECTIVENESS DATE: 20131106 FILER: COMPANY DATA: COMPANY CONFORMED NAME: North Star Investment Management Corp. CENTRAL INDEX KEY: 0001342857 IRS NUMBER: 364467498 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12641 FILM NUMBER: 131195076 BUSINESS ADDRESS: STREET 1: 20 N. WACKER DRIVE STREET 2: SUITE # 1416 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 312-580-0900 MAIL ADDRESS: STREET 1: 20 N. WACKER DRIVE STREET 2: SUITE # 1416 CITY: CHICAGO STATE: IL ZIP: 60606 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001342857 XXXXXXXX 09-30-2013 09-30-2013 North Star Investment Management Corp.

20 N. WACKER DRIVE SUITE # 1416 CHICAGO IL 60606

13F HOLDINGS REPORT 028-12641 N Peter G Contos II Chief Compliance Officer 312-580-1056 Peter G Contos II Chicago IL 11-05-2013 0 273 374273 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE 3m Company COM 88579Y101 939 7865 SH SOLE 7865 0 0 A H Belo Corporation COM 001282102 3755 478323 SH SOLE 478323 0 0 A T & T Inc New COM 00206R102 3158 93385 SH SOLE 93385 0 0 ARC Document Solutions, Inc. COM 00191G103 578 126000 SH SOLE 126000 0 0 AbbVie Inc. Common Stock COM 00287Y109 1408 31468 SH SOLE 31468 0 0 Abbott Laboratories COM 002824100 1283 38647 SH SOLE 38647 0 0 Acme United Corp COM 004816104 5607 371597 SH SOLE 371597 0 0 Alamo Group Inc COM 011311107 1719 35137 SH SOLE 35137 0 0 Alaska Comm Sys Grp Inc. COM 01167P101 59 23000 SH SOLE 23000 0 0 Allied Motion Technologies, In COM 019330109 1833 226625 SH SOLE 226625 0 0 Alteva COM 02153V102 3194 411080 SH SOLE 411080 0 0 Amer Electric Pwr Co Inc COM 025537101 3231 74530 SH SOLE 74530 0 0 Ameren Corporation COM 023608102 262 7533 SH SOLE 7533 0 0 Amersoftware Inc Cl A COM 029683109 3755 439675 SH SOLE 439675 0 0 Amgen Incorporated COM 031162100 2185 19519 SH SOLE 19519 0 0 Apache Corp COM 037411105 353 4150 SH SOLE 4150 0 0 Apple Inc COM 037833100 2465 5171 SH SOLE 5171 0 0 Archer-Daniels-Midlnd Co COM 039483102 301 8164 SH SOLE 8164 0 0 Artesian Resources Corporation COM 043113208 363 16302 SH SOLE 16302 0 0 Astro-Med Inc. COM 04638F108 498 45450 SH SOLE 45450 0 0 Bank Of America Corp COM 060505104 143 10346 SH SOLE 10346 0 0 Bankhawaii Corp COM 062540109 286 5250 SH SOLE 5250 0 0 Barry R G Corp Ohio COM 068798107 591 31275 SH SOLE 31275 0 0 Bel Fuse Inc Cl B Class B COM 077347300 960 55025 SH SOLE 55025 0 0 Berkshire Hathaway B New Class COM 084670702 1127 9929 SH SOLE 9929 0 0 Berkshire Hathaway Incdel Cl A COM 084670108 682 4 SH SOLE 4 0 0 Birchcliff Energy Ltd. COM 090697103 114 16700 SH SOLE 16700 0 0 Boeing Co COM 097023105 302 2569 SH SOLE 2569 0 0 Bowl America Inc Class A COM 102565108 1024 75421 SH SOLE 75421 0 0 Bp Plc Adr F Sponsored Adr 1 A COM 055622104 325 7728 SH SOLE 7728 0 0 Bristol-Myers Squibb Co COM 110122108 2031 43877 SH SOLE 43877 0 0 C C A Industries COM 124867102 352 101950 SH SOLE 101950 0 0 C S X Corp COM 126408103 1323 51400 SH SOLE 51400 0 0 Campbell Soup Company COM 134429109 3447 84662 SH SOLE 84662 0 0 Campus Crest Communities, Inc. COM 13466Y105 1011 93575 SH SOLE 93575 0 0 Caterpillar Inc COM 149123101 519 6220 SH SOLE 6220 0 0 Cbo Holdings COM 12503M108 854 18882 SH SOLE 18882 0 0 Celgene Corp COM 151020104 1827 11850 SH SOLE 11850 0 0 Centerpoint Energy Inc COM 15189T107 631 26340 SH SOLE 26340 0 0 Central Garden & Pet Co Com COM 153527106 916 130075 SH SOLE 130075 0 0 Chevron Corporation COM 166764100 1172 9644 SH SOLE 9644 0 0 ChromaDex Corporation COM 171077100 537 662350 SH SOLE 662350 0 0 Cisco Systems Inc COM 17275R102 685 29458 SH SOLE 29458 0 0 Citigroup Inc New COM 172967424 1303 26867 SH SOLE 26867 0 0 Clorox Co Del COM 189054109 397 4864 SH SOLE 4864 0 0 Cme Group Inc Cl A Class A COM 12572Q105 473 6401 SH SOLE 6401 0 0 Coca Cola Company COM 191216100 654 17257 SH SOLE 17257 0 0 Conocophillips COM 20825C104 4132 59451 SH SOLE 59451 0 0 Cons Communication Hldgs COM 209034107 2131 123581 SH SOLE 123581 0 0 Corning Inc COM 219350105 1255 86000 SH SOLE 86000 0 0 Cowen Group, Inc. COM 223622101 626 182050 SH SOLE 182050 0 0 Crown Crafts Inc COM 228309100 585 81025 SH SOLE 81025 0 0 Cvr Partners Lp COM 126633106 225 12730 SH SOLE 12730 0 0 Deckers Outdoor COM 243537107 1318 20000 SH SOLE 20000 0 0 Deere & Company COM 244199105 359 4407 SH SOLE 4407 0 0 Del Mar Pharmaceuticals Inc. COM 247078108 21 21937 SH SOLE 21937 0 0 Deluxe Corp COM 248019101 830 19925 SH SOLE 19925 0 0 Dennys Corp COM 24869P104 3355 549107 SH SOLE 549107 0 0 Detrex Corp COM 250685104 819 26855 SH SOLE 26855 0 0 Disney Walt Co COM 254687106 1325 20546 SH SOLE 20546 0 0 Dominion Resources Incva New COM 25746U109 214 3423 SH SOLE 3423 0 0 Donaldson Inc COM 257651109 602 15800 SH SOLE 15800 0 0 Douglas Dynamics COM 25960R105 818 55500 SH SOLE 55500 0 0 Dover Saddlery Inc COM 260412101 2236 497941 SH SOLE 497941 0 0 Eastern Company COM 276317104 1454 89900 SH SOLE 89900 0 0 Ecology & Env Inc Cl A COM 278878103 1295 111147 SH SOLE 111147 0 0 Einstein Noah Rest. Grp COM 28257U104 664 38355 SH SOLE 38355 0 0 Electro Rent Corp COM 285218103 2935 161772 SH SOLE 161772 0 0 Eltekasa Shs Isin #no000310940 COM R2181G102 10 10000 SH SOLE 10000 0 0 Empire Dist Elec Co. COM 291641108 374 17275 SH SOLE 17275 0 0 Energy Transfer Eq L.P. COM 29273V100 237 3600 SH SOLE 3600 0 0 Exelixis Inc. COM 30161Q104 64 11000 SH SOLE 11000 0 0 Exelon Corporation COM 30161N101 607 20494 SH SOLE 20494 0 0 Exxon Mobil Corporation COM 30231G102 3547 41227 SH SOLE 41227 0 0 F P L Group Incorporated COM 65339F101 457 5697 SH SOLE 5697 0 0 Fastenal Company COM 311900104 251 5000 SH SOLE 5000 0 0 Flexsteel Inds Inc COM 339382103 404 16176 SH SOLE 16176 0 0 Flow International Corporation COM 343468104 1944 487150 SH SOLE 487150 0 0 Ford Motor Company New COM 345370860 3614 214223 SH SOLE 214223 0 0 Franklin Covey Co. COM 353469109 699 38950 SH SOLE 38950 0 0 Freeport Mcmoran Copper& Gold COM 35671D857 4028 121779 SH SOLE 121779 0 0 Freightcar Amer Inc COM 357023100 1386 67000 SH SOLE 67000 0 0 Frischsrestaurants COM 358748101 779 32300 SH SOLE 32300 0 0 Frontier Communications COM 35906A108 44 10424 SH SOLE 10424 0 0 Gannett Co Inc COM 364730101 1339 50000 SH SOLE 50000 0 0 Gas Natural Inc. COM 367204104 963 94375 SH SOLE 94375 0 0 Gencor Industries Inc. COM 368678108 606 70644 SH SOLE 70644 0 0 General Electric Company COM 369604103 7140 298855 SH SOLE 298855 0 0 General Mills Inc COM 370334104 711 14838 SH SOLE 14838 0 0 Gfi Group Inc COM 361652209 310 78600 SH SOLE 78600 0 0 Glaxosmithkline Adr Eachcnv In COM 37733W105 376 7500 SH SOLE 7500 0 0 Golub Capital Bdc, Inc. COM 38173M102 362 20875 SH SOLE 20875 0 0 Google Inc Class A COM 38259P508 699 798 SH SOLE 798 0 0 Government Ppty Incm Tr Reit COM 38376A103 2431 101600 SH SOLE 101600 0 0 Grainger W W Inc COM 384802104 246 941 SH SOLE 941 0 0 Great Lakes Dredge & Dock Corp COM 390607109 618 83200 SH SOLE 83200 0 0 Healthcare Svc Group Inc COM 421906108 1361 52843 SH SOLE 52843 0 0 Heidrick & Struggles Internati COM 422819102 419 22000 SH SOLE 22000 0 0 Heritage Crystal Clean COM 42726M106 1115 61975 SH SOLE 61975 0 0 Heska Corporation COM 42805E306 72 12450 SH SOLE 12450 0 0 Hf2 Financial Management Inc COM 40421A104 577 57000 SH SOLE 57000 0 0 Houston Wire & Cable Co COM 44244K109 792 58875 SH SOLE 58875 0 0 Ingles Markets Inc. Cl A COM 457030104 386 13450 SH SOLE 13450 0 0 Intel Corp COM 458140100 3465 151173 SH SOLE 151173 0 0 Intersections, Inc. COM 460981301 479 54600 SH SOLE 54600 0 0 Intl Business Machines COM 459200101 2450 13229 SH SOLE 13229 0 0 Intl Game Technology COM 459902102 1230 65000 SH SOLE 65000 0 0 Jamba Inc COM 47023A309 791 59135 SH SOLE 59135 0 0 Janus Cap Group Inc COM 47102X105 3024 355311 SH SOLE 355311 0 0 Johnson & Johnson COM 478160104 7202 83075 SH SOLE 83075 0 0 Johnson Outdoors Cl A Class A COM 479167108 1036 38643 SH SOLE 38643 0 0 Jpmorgan Chase & Co COM 46625H100 8005 154861 SH SOLE 154861 0 0 Kansas City Life Insurance Com COM 484836101 347 7850 SH SOLE 7850 0 0 Kewaunee Scientific Corp Frmly COM 492854104 1003 58400 SH SOLE 58400 0 0 Kimberly-Clark Corp COM 494368103 2791 29623 SH SOLE 29623 0 0 Kinder Morgan Energy Partnersl COM 494550106 2727 34161 SH SOLE 34161 0 0 Kirby Corp Formerlykirby Expl COM 497266106 3098 35800 SH SOLE 35800 0 0 Koss Corporation COM 500692108 336 65822 SH SOLE 65822 0 0 Kraft Foods Group, Inc. COM 50076Q106 246 4693 SH SOLE 4693 0 0 LSI Industries Inc COM 50216C108 2494 295485 SH SOLE 295485 0 0 Landauer, Inc. COM 51476K103 373 7275 SH SOLE 7275 0 0 Landec Corp New COM 514766104 604 49475 SH SOLE 49475 0 0 Layne Christensen Co COM 521050104 427 21375 SH SOLE 21375 0 0 Leapfrog Enterprises Inc COM 52186N106 2955 313716 SH SOLE 313716 0 0 Lilly Eli & Co COM 532457108 302 6000 SH SOLE 6000 0 0 Mac Gray Corp COM 554153106 3369 231414 SH SOLE 231414 0 0 Marathon Patent Group Inc COM 56585W203 130 25000 SH SOLE 25000 0 0 Mb Finl Inc New COM 55264U108 5510 195321 SH SOLE 195321 0 0 Mc Donalds Corp COM 580135101 2678 27838 SH SOLE 27838 0 0 Medifast Inc. COM 58470H101 585 21750 SH SOLE 21750 0 0 Merck & Co Inc New COM 58933Y105 1449 30442 SH SOLE 30442 0 0 Mge Energy Inc COM 55277P104 972 17825 SH SOLE 17825 0 0 Microsoft Corp COM 594918104 1028 30903 SH SOLE 30903 0 0 Middlesex Water Company COM 596680108 1067 49875 SH SOLE 49875 0 0 Miller Industries Inc COM 600551204 558 32850 SH SOLE 32850 0 0 Mondelez International, Inc. COM 609207105 237 7532 SH SOLE 7532 0 0 Monmouth Real Estate Investmen COM 609720107 1527 168325 SH SOLE 168325 0 0 Monro Muffler Brake Inc COM 610236101 1143 24627 SH SOLE 24627 0 0 Monroe Capital Corporation COM 610335101 325 25000 SH SOLE 25000 0 0 National Beverage Corp COM 635017106 588 32918 SH SOLE 32918 0 0 National Oilwell Varcoinc COM 637071101 1301 16650 SH SOLE 16650 0 0 National Security Group, Inc. COM 637546102 172 26735 SH SOLE 26735 0 0 Nestle S A Reg B Adr F 1 Adr R COM 641069406 476 6812 SH SOLE 6812 0 0 New Focus Auto Tech Holdgs COM G64545109 37 430500 SH SOLE 430500 0 0 O Reilly Automotive Inc COM 67103H107 255 2000 SH SOLE 2000 0 0 Old Republic Intl Corp COM 680223104 7030 456493 SH SOLE 456493 0 0 Options Media Group COM 684008105 0 750000 SH SOLE 750000 0 0 Orchids Paper Products Company COM 68572N104 333 12025 SH SOLE 12025 0 0 Orion Energy Systems Inc COM 686275108 2463 654967 SH SOLE 654967 0 0 Panera Bread Co Cl A COM 69840W108 333 2100 SH SOLE 2100 0 0 Paychex Inc COM 704326107 3661 90082 SH SOLE 90082 0 0 Pepsico Incorporated COM 713448108 1238 15572 SH SOLE 15572 0 0 Perceptron, Inc. COM 71361F100 790 74000 SH SOLE 74000 0 0 Petmed Express Inc COM 716382106 842 51700 SH SOLE 51700 0 0 Pfizer Incorporated COM 717081103 2556 88991 SH SOLE 88991 0 0 Philip Morris Intl Inc COM 718172109 337 3890 SH SOLE 3890 0 0 Phillips 66 COM 718546104 323 5584 SH SOLE 5584 0 0 Pioneer Power Solutions, Inc. COM 723836300 1544 191800 SH SOLE 191800 0 0 Plains All Amer. Pipeline Lp COM 726503105 969 18405 SH SOLE 18405 0 0 Pnc Finl Services Gp Inc COM 693475105 1542 21290 SH SOLE 21290 0 0 Polycom, Inc. COM 73172K104 1278 117000 SH SOLE 117000 0 0 Potash Corp COM 73755L107 1347 43050 SH SOLE 43050 0 0 Power Reit COM 73933H101 213 25006 SH SOLE 25006 0 0 Pricesmart Inc COM 741511109 349 3662 SH SOLE 3662 0 0 Procter & Gamble COM 742718109 2291 30312 SH SOLE 30312 0 0 Professional Diversity Network COM 74312Y103 945 204947 SH SOLE 204947 0 0 Psychemedics Corp Comnew COM 744375205 1172 88450 SH SOLE 88450 0 0 Rf Industries Inc COM 749552105 664 91725 SH SOLE 91725 0 0 Rgc Resources Inc. COM 74955L103 534 27700 SH SOLE 27700 0 0 Rosetta Stone, Inc. COM 777780107 592 36500 SH SOLE 36500 0 0 Royal Dutch Shell A Adrf Spons COM 780259206 2435 37069 SH SOLE 37069 0 0 SNAP Interactive, Inc. COM 83303W109 82 92000 SH SOLE 92000 0 0 Sector Spdr Tech Select Shares COM 81369Y803 216 6727 SH SOLE 6727 0 0 Seneca Foods Corp Cl A COM 817070501 671 22284 SH SOLE 22284 0 0 Sharps Compliance Corp. COM 820017101 124 40300 SH SOLE 40300 0 0 Simulations Plus Inc. COM 829214105 382 79417 SH SOLE 79417 0 0 Skullcandy, Inc. COM 83083J104 1123 181250 SH SOLE 181250 0 0 Smucker J M Co New COM 832696405 247 2353 SH SOLE 2353 0 0 Sothebys COM 835898107 243 4940 SH SOLE 4940 0 0 Spartan Motors Inc COM 846819100 877 144502 SH SOLE 144502 0 0 Sparton Corp COM 847235108 1610 63121 SH SOLE 63121 0 0 Speedway Motorsports Inc. COM 847788106 349 19475 SH SOLE 19475 0 0 Standard Motor Prods Inc COM 853666105 507 15750 SH SOLE 15750 0 0 Standard Parking Corp COM 853790103 914 34000 SH SOLE 34000 0 0 Starbucks Corp COM 855244109 366 4749 SH SOLE 4749 0 0 Starrett L S Co Class A COM 855668109 875 79530 SH SOLE 79530 0 0 Superior Uniform Group, Inc. COM 868358102 587 47025 SH SOLE 47025 0 0 Swmx Inc COM 785025107 0 25000 SH SOLE 25000 0 0 Target Corporation COM 87612E106 283 4422 SH SOLE 4422 0 0 Terreno Realty Corp COM 88146M101 564 31775 SH SOLE 31775 0 0 The Wendy's Company COM 95058W100 1323 156051 SH SOLE 156051 0 0 The York Water Company COM 987184108 620 30900 SH SOLE 30900 0 0 U S Bancorp Del New COM 902973304 2222 60733 SH SOLE 60733 0 0 Unilever Plc Ads-Ea Repr1 Ord COM 904767704 1365 35375 SH SOLE 35375 0 0 Union Pacific Corp COM 907818108 3043 19590 SH SOLE 19590 0 0 United Online Inc COM 911268100 1477 185234 SH SOLE 185234 0 0 United Parcel Svc Inccl B COM 911312106 466 5100 SH SOLE 5100 0 0 United States Lime &mnrl COM 911922102 604 10300 SH SOLE 10300 0 0 United Technologies Corp COM 913017109 237 2196 SH SOLE 2196 0 0 Unitil Corp COM 913259107 492 16825 SH SOLE 16825 0 0 Unvl Sec Instruments New With COM 913821302 1266 258321 SH SOLE 258321 0 0 Us Ecology Inc. COM 91732J102 422 14000 SH SOLE 14000 0 0 Usa Mobility Inc COM 90341G103 1213 85637 SH SOLE 85637 0 0 Valueclick Inc COM 92046N102 258 12360 SH SOLE 12360 0 0 Vanguard Sector Index Fds COM 92204A876 305 3741 SH SOLE 3741 0 0 Verizon Communications COM 92343V104 1130 24215 SH SOLE 24215 0 0 Vodafone Group New Adr F Spons COM 92857W209 4057 115310 SH SOLE 115310 0 0 Wal-Mart Stores Inc COM 931142103 258 3486 SH SOLE 3486 0 0 Walgreen Company COM 931422109 1940 36054 SH SOLE 36054 0 0 Washington Mutual Inc Escrow COM 939ESC968 0 10000 SH SOLE 10000 0 0 Waste Management Inc Del COM 94106L109 519 12575 SH SOLE 12575 0 0 Westwood Holdings Group, Inc. COM 961765104 772 16075 SH SOLE 16075 0 0 Weyerhaeuser Co COM 962166104 1260 44000 SH SOLE 44000 0 0 Whiting Petroleum Corp COM 966387102 610 10200 SH SOLE 10200 0 0 Whole Foods Mkt Inc COM 966837106 263 4500 SH SOLE 4500 0 0 Willbros Group Inc. COM 969203108 1198 130500 SH SOLE 130500 0 0 World Wrestling Entertainment COM 98156Q108 1749 171950 SH SOLE 171950 0 0 Alerian MLP IDX FD 00162Q866 610 34696 SH SOLE 34696 0 0 Eaton Vance Enhanced Equity In IDX FD 278274105 3555 294810 SH SOLE 294810 0 0 First Tr Enhcd Eqty Incm Cover IDX FD 337318109 6299 508820 SH SOLE 508820 0 0 Ishares DJ Select Div Fd Selec IDX FD 464287168 10884 164063 SH SOLE 164063 0 0 Ishares Dj US Transportation I IDX FD 464287192 2647 22501 SH SOLE 22501 0 0 Ishares S&P 500 Growth Index IDX FD 464287309 10303 115295 SH SOLE 115295 0 0 Ishares S&P 500 Index IDX FD 464287408 10024 127990 SH SOLE 127990 0 0 Ishares Tr Dj Us Consumr Consu IDX FD 464287580 2944 26770 SH SOLE 26770 0 0 Ishares Tr Msci Eafe Fd Msci E IDX FD 464287465 1277 20009 SH SOLE 20009 0 0 Ishares Tr Russell 2000 Russel IDX FD 464287655 286 2686 SH SOLE 2686 0 0 Ishares Tr Russell Midcap Inde IDX FD 464287499 320 2300 SH SOLE 2300 0 0 Ishares Tr S&p Global Telecomm IDX FD 464287275 1660 25869 SH SOLE 25869 0 0 Ishares Trust S&P 500 IDX FD 464287200 1412 8362 SH SOLE 8362 0 0 JPMorgan Alerian MLP Index ETN IDX FD 46625H365 1102 24710 SH SOLE 24710 0 0 Powershs Exch Trad Fd Tr Power IDX FD 73935X229 2561 149482 SH SOLE 149482 0 0 S P D R S&p 500 Etf Tr Expirin IDX FD 78462F103 8392 49949 SH SOLE 49949 0 0 Sector Spdr Tr Shs Benint Indu IDX FD 81369Y704 2178 46925 SH SOLE 46925 0 0 Spdr Gold Trust Spdr Gold Shar IDX FD 78463V107 838 6534 SH SOLE 6534 0 0 Spdr S&p Midcap 400 Etf IDX FD 78467Y107 482 2131 SH SOLE 2131 0 0 Vanguard Emrg Mkt Etf IDX FD 922042858 948 23631 SH SOLE 23631 0 0 Vanguard Index Tr Vanguardexte IDX FD 922908652 2137 27713 SH SOLE 27713 0 0 Vanguard S&P 500 ETF IDX FD 922908363 1077 13990 SH SOLE 13990 0 0 Vanguard Sector Indexfds Vangu IDX FD 92204A702 220 2727 SH SOLE 2727 0 0 Vanguard Specialized Portfolio IDX FD 921908844 340 4881 SH SOLE 4881 0 0 Vanguard Total Stock Mkt IDX FD 922908769 10656 121570 SH SOLE 121570 0 0 Vangurd Small Cap Etf IDX FD 922908751 549 5355 SH SOLE 5355 0 0 iShares Dow Jones US Regional IDX FD 464288778 2803 94005 SH SOLE 94005 0 0 Barclays Bk Plc Sponsoredadr P PFD 06739H362 515 20250 SH SOLE 20250 0 0 Charles Schwab Corporation (sc PFD 808513204 453 20020 SH SOLE 20020 0 0 Fixed Income Trust For Goldman PFD 33834B207 652 25620 SH SOLE 25620 0 0 General Electric Company 4.875 PFD 369622428 945 43390 SH SOLE 43390 0 0 General Fin Corp Delcum Redeem PFD 369822507 495 5000 SH SOLE 5000 0 0 Goldman Sachs Group Incdep Shs PFD 38144X500 239 10000 SH SOLE 10000 0 0 Hercules Technology Growth Cap PFD 427096888 432 16835 SH SOLE 16835 0 0 Hsbc Holdings Plc Perp Sub Cap PFD 404280802 530 19610 SH SOLE 19610 0 0 MetLife, Inc. Preferred Series PFD 59156R603 582 23365 SH SOLE 23365 0 0 Metlifeinc Pfd Ser B 6.50% Per PFD 59156R603 444 17850 SH SOLE 17850 0 0 Monmouth Real Estate Investmen PFD 609720305 415 16215 SH SOLE 16215 0 0 Nextera Egy Cap 5.625%72ser H PFD 65339K704 566 27228 SH SOLE 27228 0 0 Principal Financial Group Inc. PFD 74251V201 1319 13425 SH SOLE 13425 0 0 Privatebancorp Cap Triv Gtd Tr PFD 74272L208 483 18930 SH SOLE 18930 0 0 Privatebancorp Inc PFD 742962400 1109 45145 SH SOLE 45145 0 0 Public Storage PFD 74460W875 360 17840 SH SOLE 17840 0 0 Saratoga Investment Corp. PFD 80349A307 1208 48000 SH SOLE 48000 0 0 Southern California Edison 5.6 PFD 78406T201 237 11530 SH SOLE 11530 0 0 Southern California Edison Tru PFD 78406T201 332 16170 SH SOLE 16170 0 0 Wells Fargo & Company Wells Fa PFD 949746879 505 17797 SH SOLE 17797 0 0 Gabelli Div And Inc Tr EQ CL END 36242H104 702 35328 SH SOLE 35328 0 0 Dnp Select Income Fund FX CL END 23325P104 152 15847 SH SOLE 15847 0 0 Ishares Barclays Us Aggregate FX CL END 464287226 330 3076 SH SOLE 3076 0 0 Ishares Iboxx Investop Iboxx $ FX CL END 464287242 1088 9587 SH SOLE 9587 0 0 Ishares Tr Barclays Tips Bond FX CL END 464287176 627 5565 SH SOLE 5565 0 0 Tcw Strategic Income Fdinc FX CL END 872340104 158 29312 SH SOLE 29312 0 0 Vanguard Bd Index Fd Inctotal FX CL END 921937835 843 10421 SH SOLE 10421 0 0 CVR Refining, LP COMUNIT REP LT 12663P107 218 8750 SH SOLE 8750 0 0 Sigapore Tele New Adr ADR 82929R304 1369 46050 SH SOLE 46050 0 0