13F-HR/A 1 e34485_13fhra.txt 13F-HR/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2008 Check here if Amendment [X]; Amendment Number: _1____ This Amendment (Check only one.): [X] is a restatement. [ ] adds new holdings entries Institutional Investment Manager Filing this Report: Name: M.D. Sass Associates, Inc. Address: 1185 Avenue of the Americas, 18th Floor New York, NY, 10036 Form 13 F File Number: 28-12005 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 Signature, Place, and Date of Signing: -------------------------- ---------------------------------- --------------- [Signature] [City, State] [Date] 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).) List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] Form 13F File Number Name 28-________________ ___________________________________________________ [Repeat as necessary.] FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 14,858,542 Form 13F Information Table Value Total: 412,436 (Thousands) List of Other Included Managers: None 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. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.]
NAME OF ISSUER TITLE OF CLASS CUSIP VALUE (X$1000) SHARES / PRN AMT -------------------------------------------------------------------------------------------------------------- BAKER HUGHES INC COMMON STOCK 057224107 13049.283 406900 BAKER HUGHES INC COMMON STOCK 057224107 473.0325 14750 BOEING CO COMMON STOCK 097023105 13733.3395 321850 BOEING CO COMMON STOCK 097023105 403.2315 9450 CA INC COMMON STOCK 12673P105 0.29648 16 CHICAGO BRIDGE & IRON CO N V COMMON STOCK 167250109 12436.58355 1237471 CHICAGO BRIDGE & IRON CO N V COMMON STOCK 167250109 160.8 16000 COPART INC COMMON STOCK 217204106 0.00027 0.01 CORNING INC COMMON STOCK 219350105 15906.9995 1669150 CORNING INC COMMON STOCK 219350105 588.4775 61750 CVS CAREMARK CORPORATION COMMON STOCK 126650100 17601.813 612450 CVS CAREMARK CORPORATION COMMON STOCK 126650100 656.709 22850 DEVON ENERGY CORP NEW COMMON STOCK 25179M103 5917.1855 90050 DEVON ENERGY CORP NEW COMMON STOCK 25179M103 101.8505 1550 DST SYS INC DEL COMMON STOCK 233326107 20634.534 543300 DST SYS INC DEL COMMON STOCK 233326107 262.062 6900 GENERAL ELECTRIC CO COMMON STOCK 369604103 7550.9334 466107 GENERAL ELECTRIC CO COMMON STOCK 369604103 177.39 10950 GENZYME CORP COMMON STOCK 372917104 18082.5065 272450 GENZYME CORP COMMON STOCK 372917104 657.063 9900 GOOGLE INC COMMON STOCK 38259P508 14535.53955 47247 GOOGLE INC COMMON STOCK 38259P508 542.6946 1764 JOHNSON & JOHNSON COMMON STOCK 478160104 18679.58414 312211 JOHNSON & JOHNSON COMMON STOCK 478160104 520.521 8700 MEDTRONIC INC COMMON STOCK 585055106 16787.706 534300 MEDTRONIC INC COMMON STOCK 585055106 482.297 15350 METLIFE INC COMMON STOCK 59156R108 22313.886 640100 METLIFE INC COMMON STOCK 59156R108 813.981 23350 MICROSOFT CORP COMMON STOCK 594918104 18707.112 962300 MICROSOFT CORP COMMON STOCK 594918104 508.356 26150 NATIONAL OILWELL VARCO INC COMMON STOCK 637071101 10103.496 413400 NATIONAL OILWELL VARCO INC COMMON STOCK 637071101 430.144 17600 PHARMACEUTICAL PROD DEV INC COMMON STOCK 717124101 13237.263 456300 PHARMACEUTICAL PROD DEV INC COMMON STOCK 717124101 481.566 16600 PITNEY BOWES INC COMMON STOCK 724479100 15661.282 614650 PITNEY BOWES INC COMMON STOCK 724479100 569.478 22350 POLO RALPH LAUREN CORP COMMON STOCK 731572103 15147.64075 333575 POLO RALPH LAUREN CORP COMMON STOCK 731572103 558.543 12300 PRECISION CASTPARTS CORP COMMON STOCK 740189105 19348.844 325300 PRECISION CASTPARTS CORP COMMON STOCK 740189105 704.838 11850 QUALCOMM INC COMMON STOCK 747525103 18348.543 512100 QUALCOMM INC COMMON STOCK 747525103 666.438 18600 QUEST DIAGNOSTICS INC COMMON STOCK 74834L100 19333.8795 372450 QUEST DIAGNOSTICS INC COMMON STOCK 74834L100 545.055 10500 REINSURANCE GROUP AMER INC COMMON STOCK 759351604 20337.23054 474947 REINSURANCE GROUP AMER INC COMMON STOCK 759351604 252.72364 5902 ROCKWELL AUTOMATION INC COMMON STOCK 773903109 11206.624 347600 ROCKWELL AUTOMATION INC COMMON STOCK 773903109 396.552 12300 SAFEWAY INC COMMON STOCK 786514208 15597.874 656200 SAFEWAY INC COMMON STOCK 786514208 225.815 9500 SCHLUMBERGER LTD COMMON STOCK 806857108 8787.708 207600 SCHLUMBERGER LTD COMMON STOCK 806857108 309.009 7300 WEATHERFORD INTERNATIONAL LTD COMMON STOCK G95089101 17270.90564 1596202 WEATHERFORD INTERNATIONAL LTD COMMON STOCK G95089101 628.642 58100 TOTAL VALUE (X$1000): 412435.8621 TOTAL SHARES PRN/AMT: 14858542.01 TOTAL SOLE SHARES/PRN AMT: 13504798.01 TOTAL SHARED SHARES/PRN AMT: 0 TOTAL NONE SHARES/PRN AMT: 1353744 PORTFOLIO: G_ASSOCIATES PERIOD START DATE: 39783 PERIOD END DATE: 39813.99999 KNOWLEDGE DATE: 39839.99999
INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER SH / PRN PUT / CALL DSCRETN MANAGER SOLE SHARED NONE -------------------------------------------------------------------------------------------------------- BAKER HUGHES INC SH SOLE 382350 0 24550 BAKER HUGHES INC SH 0 0 14750 BOEING CO SH SOLE 299800 0 22050 BOEING CO SH 0 0 9450 CA INC SH SOLE 16 0 0 CHICAGO BRIDGE & IRON CO N V SH SOLE 1141171 0 96300 CHICAGO BRIDGE & IRON CO N V SH 0 0 16000 COPART INC SH SOLE 0.01 0 0 CORNING INC SH SOLE 1568550 0 100600 CORNING INC SH 0 0 61750 CVS CAREMARK CORPORATION SH SOLE 574600 0 37850 CVS CAREMARK CORPORATION SH 0 0 22850 DEVON ENERGY CORP NEW SH SOLE 84150 0 5900 DEVON ENERGY CORP NEW SH 0 0 1550 DST SYS INC DEL SH SOLE 510800 0 32500 DST SYS INC DEL SH 0 0 6900 GENERAL ELECTRIC CO SH SOLE 434207 0 31900 GENERAL ELECTRIC CO SH 0 0 10950 GENZYME CORP SH SOLE 256100 0 16350 GENZYME CORP SH 0 0 9900 GOOGLE INC SH SOLE 44413 0 2834 GOOGLE INC SH 0 0 1764 JOHNSON & JOHNSON SH SOLE 292481 0 19730 JOHNSON & JOHNSON SH 0 0 8700 MEDTRONIC INC SH SOLE 498550 0 35750 MEDTRONIC INC SH 0 0 15350 METLIFE INC SH SOLE 601250 0 38850 METLIFE INC SH 0 0 23350 MICROSOFT CORP SH SOLE 898250 0 64050 MICROSOFT CORP SH 0 0 26150 NATIONAL OILWELL VARCO INC SH SOLE 388550 0 24850 NATIONAL OILWELL VARCO INC SH 0 0 17600 PHARMACEUTICAL PROD DEV INC SH SOLE 428500 0 27800 PHARMACEUTICAL PROD DEV INC SH 0 0 16600 PITNEY BOWES INC SH SOLE 577950 0 36700 PITNEY BOWES INC SH 0 0 22350 POLO RALPH LAUREN CORP SH SOLE 313575 0 20000 POLO RALPH LAUREN CORP SH 0 0 12300 PRECISION CASTPARTS CORP SH SOLE 305800 0 19500 PRECISION CASTPARTS CORP SH 0 0 11850 QUALCOMM INC SH SOLE 477900 0 34200 QUALCOMM INC SH 0 0 18600 QUEST DIAGNOSTICS INC SH SOLE 349450 0 23000 QUEST DIAGNOSTICS INC SH 0 0 10500 REINSURANCE GROUP AMER INC SH SOLE 444483 0 30464 REINSURANCE GROUP AMER INC SH 0 0 5902 ROCKWELL AUTOMATION INC SH SOLE 327400 0 20200 ROCKWELL AUTOMATION INC SH 0 0 12300 SAFEWAY INC SH SOLE 610400 0 45800 SAFEWAY INC SH 0 0 9500 SCHLUMBERGER LTD SH SOLE 193900 0 13700 SCHLUMBERGER LTD SH 0 0 7300 WEATHERFORD INTERNATIONAL LTD SH SOLE 1500202 0 96000 WEATHERFORD INTERNATIONAL LTD SH 0 0 58100