Chief Compliance Officer

0001214659-16-009133.txt : 20160129 0001214659-16-009133.hdr.sgml : 20160129 20160129153239 ACCESSION NUMBER: 0001214659-16-009133 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20151231 FILED AS OF DATE: 20160129 DATE AS OF CHANGE: 20160129 EFFECTIVENESS DATE: 20160129 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Stevens First Principles Investment Advisors CENTRAL INDEX KEY: 0001388076 IRS NUMBER: 330140970 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12317 FILM NUMBER: 161373118 BUSINESS ADDRESS: STREET 1: 4100 NEWPORT PLACE DRIVE, SUITE 720 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: (949) 251-9333 MAIL ADDRESS: STREET 1: 4100 NEWPORT PLACE DRIVE, SUITE 720 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001388076 XXXXXXXX 12-31-2015 12-31-2015 false Stevens First Principles Investment Advisors

4100 NEWPORT PLACE DRIVE, SUITE 720 NEWPORT BEACH CA 92660

13F HOLDINGS REPORT 028-12317 N Steven Lee Yamshon Chief Compliance Officer 949-251-9333 /s/ Steven Lee Yamshon Newport Beach CA 01-28-2016 1 180 117526 1 0001418204 028-12624 FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. INFORMATION TABLE 2 infotable.xml 3M Co COM 88579Y101 30 200 SH SOLE 0 0 0 Aar Corp COM 000361105 729 27744 SH SOLE 0 0 0 Adams Express Co COM 006212104 304 23729 SH DFND 1 23729 0 0 AFLAC Inc COM 001055102 7 120 SH SOLE 0 0 0 Agco Corp COM 001084102 1075 23690 SH SOLE 0 0 0 AGL Res Inc COM 001204106 3 45 SH SOLE 0 0 0 Alcoa Inc COM 013817101 10 1000 SH SOLE 0 0 0 Alexander & Baldwin Inc COM 014491104 2248 63660 SH SOLE 0 0 0 Amazon Com Inc COM 023135106 210 310 SH SOLE 0 0 0 Amgen Inc COM 031162100 97 600 SH SOLE 0 0 0 Apple Inc COM 037833100 1516 14407 SH SOLE 0 0 0 Archer Daniels Midland Co COM 039483102 4189 114217 SH DFND 1 6400 0 0 AT&T Inc COM 00206R102 172 5000 SH SOLE 0 0 0 Avista Corp COM 05379B107 138 3890 SH SOLE 0 0 0 Bank of America Corp COM 060505104 17 1000 SH SOLE 0 0 0 Baxalta Inc Com COM 07177M103 5 140 SH SOLE 0 0 0 Baxter International COM 071813109 5 140 SH SOLE 0 0 0 BB&T Corp Com COM 054937107 66 1745 SH SOLE 0 0 0 Becton Dickinson Co COM 075887109 2915 18915 SH SOLE 0 0 0 Bellicum Pharmaceuticals Inc Com COM 079481107 10 500 SH SOLE 0 0 0 Berkshire Hathaway Inc - B CL B NEW 084670702 129 980 SH SOLE 0 0 0 Big Lots Inc COM 089302103 276 7155 SH SOLE 0 0 0 BP PLC SPONSORED ADR 055622104 536 17133 SH SOLE 0 0 0 Bristol Myers Squibb Co COM 110122108 83 1200 SH SOLE 0 0 0 Call (mnkd) Mannkind Corp Jan 15 16 $5 ( CALL 56400P901 0 5000 SH Call SOLE 0 0 0 Call (mnkd) Mannkind Corp Jan 15 16 $7 ( CALL 56400P901 0 5000 SH Call SOLE 0 0 0 Call (mnkd) Mannkind Corp Jan 20 17 $7 ( CALL 56400P901 1 5000 SH Call SOLE 0 0 0 Call (yhoo) Yahoo Inc Apr 15 16 $34 (100 CALL 984332956 31 14900 SH Call SOLE 0 0 0 Call (yhoo) Yahoo Inc Apr 15 16 $35 (100 CALL 984332956 24 14000 SH Call SOLE 0 0 0 Cardinal Health Inc COM 14149Y108 101 1130 SH SOLE 0 0 0 Celldex Therapeutics, Inc. COM 15117B103 9 600 SH SOLE 0 0 0 Check Point Softwaretech Ltd ORD M22465104 210 2585 SH SOLE 0 0 0 Chevron Corp COM 166764100 23 254 SH SOLE 0 0 0 Cisco Sytems, Inc. COM 17275R102 182 6700 SH DFND 1 6700 0 0 Chipotle Mexican Grill Inc Com Isin #us1 COM 169656105 36 75 SH SOLE 0 0 0 Church & Dwight Co COM 171340102 4794 56480 SH SOLE 0 0 0 Citigroup Inc COM NEW 172967424 16 300 SH SOLE 0 0 0 Citizens Holding Co COM 174715102 156 6580 SH SOLE 0 0 0 Ckx Lds Inc Com COM 12562N104 55 5560 SH SOLE 0 0 0 Coca Cola Co COM 191216100 1001 23301 SH SOLE 0 0 0 ConocoPhillips COM 20825C104 4 300 SH SOLE 0 0 0 Corning Inc COM 219350105 810 44305 SH SOLE 0 0 0 Costco Wholesale Corp COM 22160K105 34 213 SH SOLE 0 0 0 CSX Corporation COM 126408103 4445 171308 SH SOLE 0 0 0 CVS Caremark Corp COM 126650100 51 525 SH SOLE 0 0 0 DepoMed Inc COM 249908104 18 1000 SH SOLE 0 0 0 Diageo Plc SPON ADR NEW 25243Q205 8 70 SH SOLE 0 0 0 Discover Financial Services COM 254709108 145 2700 SH DFND 1 2700 0 0 Dollar Tree Stores Inc COM 256746108 39 500 SH SOLE 0 0 0 Dow Chemical Co COM 260543103 1573 30553 SH DFND 1 2000 0 0 Dupont Fabros Technology Inc Com Isin #u COM 26613Q106 32 1000 SH SOLE 0 0 0 Dyax Corp COM 26746E103 38 1000 SH SOLE 0 0 0 Edwards Lifesciences COM 28176E108 287 3630 SH SOLE 0 0 0 EI du Pont de Nemours & Co COM 263534109 1593 23921 SH SOLE 0 0 0 Elbit Systems Ltd ORD M3760D101 2830 32040 SH SOLE 0 0 0 Eli Lilly & Co COM 532457108 84 1000 SH SOLE 0 0 0 Energy Transfer Partners Lp UNIT LTD PRTN 29273R109 84 2500 SH SOLE 0 0 0 Esperion COM 29664W105 4 200 SH SOLE 0 0 0 Everbank Finl Corp Com Isin #us29977g102 COM 29977G102 319 19965 SH SOLE 0 0 0 Exelon Corp COM 30161N101 11 400 SH SOLE 0 0 0 Express Scripts Inc COM 30219G108 21 238 SH SOLE 0 0 0 Exxon Mobil Corp COM 30231G102 2424 31099 SH SOLE 0 0 0 Facebook Inc CL A 30303M102 419 4000 SH SOLE 0 0 0 Fleetcor Technologies Inc Com Stk Usd0.0 COM 339041105 43 300 SH SOLE 0 0 0 Fortune Brands Home & Security Inc Usd0. COM 34964C106 56 1000 SH SOLE 0 0 0 Fresh Mkt Inc Com Isin #us35804h1068 Sed COM 35804H106 23 1000 SH SOLE 0 0 0 General Electric Co COM 369604103 3024 97089 SH DFND 1 4885 0 0 GlaxoSmithKline Plc ADR SPONSORED ADR 37733W105 1554 38520 SH DFND 1 2000 0 0 Google Inc CL C 38259P706 9 12 SH SOLE 0 0 0 Google Inc Cl A CL A 38259P508 219 282 SH SOLE 0 0 0 Gw Pharmaceuticals Plc Ads ADS 36197T103 35 500 SH SOLE 0 0 0 Hasbro Inc COM 418056107 552 8193 SH SOLE 0 0 0 Home Depot Inc COM 437076102 24 180 SH SOLE 0 0 0 Honeywell International Inc COM 438516106 124 1200 SH SOLE 0 0 0 Imperial Oil Ltd COM NEW 453038408 159 4903 SH DFND 1 4900 0 0 Intel Corp COM 458140100 5515 160075 SH DFND 1 6500 0 0 iShares Lehman 1-3 Year Treasury Bond Fund 1-3 YR TR BD ETF 464287457 21 251 SH SOLE 0 0 0 iShares Russell 2000 Etf RUSSELL 2000 ETF 464287655 1 10 SH SOLE 0 0 0 ITT Corp COM NEW 450911201 22 607 SH SOLE 0 0 0 Jack In The Box Inc Com Isin #us46636710 COM 466367109 38 500 SH SOLE 0 0 0 Johnson & Johnson COM 478160104 20 191 SH SOLE 0 0 0 JP Morgan Chase & Co COM 46625H100 33 500 SH SOLE 0 0 0 Kimberly Clark Group COM 494368103 204 1600 SH DFND 1 1600 0 0 Kraft Heinz Co Com COM 500754106 109 1500 SH SOLE 0 0 0 Liberty Broadband Corp Com Usd0.01 Cl A( COM SER A 530307107 13 250 SH SOLE 0 0 0 Liberty Broadband Corp Com Usd0.01 Cl C( COM SER C 530307305 34 650 SH SOLE 0 0 0 Liberty Global Inc - A SHS CL A G5480U104 25 600 SH SOLE 0 0 0 Liberty Global Inc - C SHS CL C G5480U120 49 1200 SH SOLE 0 0 0 Liberty Global Plc Lilac Shs Cl C Usd LILAC SHS CL C G5480U153 43 1000 SH SOLE 0 0 0 Liberty Global Plc Usd0.01 Lilac A LILAC SHS CL A G5480U138 54 1300 SH SOLE 0 0 0 Liberty Interactive Corp Interactive Com QVC GP COM SER A 53071M104 55 2000 SH SOLE 0 0 0 Liberty Interactive Corp Ventures Com US LBT VENT COM A 53071M880 148 3284 SH SOLE 0 0 0 Liberty Media Corp Del Com Ser C COM SER C 531229300 95 2500 SH SOLE 0 0 0 Liberty Media Corp New Com Ser A CL A 531229102 39 1000 SH SOLE 0 0 0 Liberty Tripadvisor Hldgs Inc Com Ser A COM SER A 531465102 91 3000 SH SOLE 0 0 0 Limoneira Co Com Isin #us5327461043 Sedo COM 532746104 62 4170 SH SOLE 0 0 0 Lockheed Martin Corp COM 539830109 217 1000 SH SOLE 0 0 0 Madden Steven Ltd COM 556269108 1 37 SH SOLE 0 0 0 Marathon Oil Corp COM 565849106 9 688 SH SOLE 0 0 0 Masco Corp COM 574599106 14 500 SH SOLE 0 0 0 Masonite International Corp Com Npv COM 575385109 31 500 SH SOLE 0 0 0 Medtronic Inc SHS G5960L103 213 2771 SH DFND 1 2500 0 0 Mei Pharma Inc Com Usd0.00000002 (post R COM NEW 55279B202 26 16000 SH SOLE 0 0 0 Merck & Co Inc COM 58933Y105 55 1045 SH SOLE 0 0 0 Microsoft Corp COM 594918104 103 1857 SH SOLE 0 0 0 Mondelez Intl Inc CL A 609207105 2417 53895 SH SOLE 0 0 0 Monsanto Co New Com COM 61166W101 18 182 SH SOLE 0 0 0 MOOG INC Cl A 615394202 1569 25894 SH SOLE 0 0 0 Mosaic Co COM 61945C103 36 1300 SH DFND 1 1300 0 0 Mueller Water Products Inc COM SER A 624758108 47 5500 SH SOLE 0 0 0 Netflix Com Inc COM 64110L106 23 200 SH SOLE 0 0 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SH SOLE 0 0 0 Procter & Gamble Co COM 742718109 16 201 SH SOLE 0 0 0 Psivida Corp Com COM 74440J101 2 500 SH SOLE 0 0 0 Put (spy) Spdr S&P 500 Etf Jan 15 16 $20 PUT 78462F953 21 7000 SH Put SOLE 0 0 0 Put (spy) Spdr S&P 500 Etf Jan 15 16 $20 PUT 78462F953 41 7400 SH Put SOLE 0 0 0 Rayonier Inc COM 754907103 1883 84822 SH SOLE 0 0 0 Ross Stores Inc COM 778296103 118 2200 SH SOLE 0 0 0 Royal Dutch Shell SPONS ADR A 780259206 34 735 SH SOLE 0 0 0 Royal Dutch Shell Plc ADR SPON ADR B 780259107 674 14650 SH DFND 1 3300 0 0 Royal Gold Inc COM 780287108 182 5000 SH SOLE 0 0 0 S&P 500 Depository Receipt TR UNIT 78462F103 1034 5074 SH SOLE 0 0 0 Sage Therapeutics Inc Com COM 78667J108 12 200 SH SOLE 0 0 0 Sarepta Therapeutics Inc COM 803607100 39 1000 SH SOLE 0 0 0 Schwab Charles Corp New COM 808513105 16 500 SH SOLE 0 0 0 Scotts Miracle-Gro Co CL A 810186106 157 2430 SH SOLE 0 0 0 Seaboard Corp COM 811543107 255 88 SH SOLE 0 0 0 Sempra Energy COM 816851109 28 300 SH SOLE 0 0 0 Sensient Technologies Corp COM 81725T100 408 6500 SH DFND 1 6500 0 0 Sirius XM Radio Inc COM 82968B103 14 3500 SH SOLE 0 0 0 Southern Co COM 842587107 23 500 SH SOLE 0 0 0 Spectra Energy Corp COM 847560109 1549 64702 SH SOLE 0 0 0 Square Inc Cl A CL A 852234103 113 8600 SH SOLE 0 0 0 Stanley Black & Decker Inc COM 854502101 128 1200 SH SOLE 0 0 0 Starbucks Corp Com COM 855244109 102 1700 SH SOLE 0 0 0 Starwood Hotels & Resorts Worldwide Inc COM 85590A401 83 1200 SH SOLE 0 0 0 Starz Liberty Cap Com Ser A COM SER A 85571Q102 67 2000 SH SOLE 0 0 0 Suntrust Banks Inc COM 867914103 4277 99845 SH SOLE 0 0 0 Syngenta AG ADR SPONSORED ADR 87160A100 146 1850 SH DFND 1 1850 0 0 Sysco Corp COM 871829107 3531 86126 SH SOLE 0 0 0 Target Corp COM 87612E106 36 500 SH SOLE 0 0 0 Textron Inc COM 883203101 72 1720 SH SOLE 0 0 0 Thermo Electron Corp COM 883556102 14 100 SH SOLE 0 0 0 Tootsie Roll Industries COM 890516107 223 7052 SH SOLE 0 0 0 Total SA SPONSORED ADR 89151E109 1468 32663 SH DFND 1 3700 0 0 Trevena Inc Com Isin #us89532e1091 Sedol COM 89532E109 5 500 SH SOLE 0 0 0 Tyco Intl Ltd New SHS G91442106 2351 73710 SH SOLE 0 0 0 Union Pacific Corp COM 907818108 84 1080 SH SOLE 0 0 0 United Sts Oil Fd Lpunits UNITS 91232N108 2 200 SH SOLE 0 0 0 US SPDR S&P Dividend ETF S&P DIVID ETF 78464A763 27 367 SH SOLE 0 0 0 Vanguard Bd Index Fd Inc Total Bd Market TOTAL BND MRKT 921937835 2 30 SH SOLE 0 0 0 Vanguard Value ETF VALUE ETF 922908744 4 50 SH SOLE 0 0 0 Viacom Inc CL B 92553P201 115 2800 SH DFND 1 2800 0 0 Visa Inc COM CL A 92826C839 78 1000 SH SOLE 0 0 0 Vodafone Group Plc SPNSR ADR NO PAR 92857W308 705 21852 SH DFND 1 2217 0 0 Walgreens Boots Alliance Inc Com Isin #u COM 931427108 153 1800 SH SOLE 0 0 0 Walt Disney Co COM DISNEY 254687106 166 1580 SH SOLE 0 0 0 Washington Fed Inc Com Isin #us938824109 COM 938824109 45 1900 SH SOLE 0 0 0 Wells Fargo & Company COM 949746101 11 200 SH SOLE 0 0 0 Weyerhaeuser Co COM 962166104 4657 155340 SH SOLE 0 0 0 Wiley John & Sons CL A 968223906 119 2650 SH DFND 1 2650 0 0 Whitewave Foods Co Com Isin #us966244105 COM 966244105 31 800 SH SOLE 0 0 0 Wisdomtree TRUST Japan Hedge Eqt JAPAN HEDGE EQT 97717W851 3786 75595 SH SOLE 0 0 0 Xylem Inc COM 98419M100 622 17040 SH DFND 1 3915 0 0 Yahoo! 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