13F-HR/A 1 t306476.txt 9-30-10 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F-HR/A Form 13F COVER PAGE Report for the Calendar Year of Quarter Ended: September 30, 2010 Check here if Amendment [X]; Amendment Number: 1 This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Address: Form 13F File Number: 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: Title: Phone: Signature, Place, and Date of Signing: /s/ H.K. HALLETT Charlotte, NC 8/22/11 ----------------- --------------- ----------------- [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: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ----------- Form 13F Information Table Entry Total: 102 ----------- Form 13F Information Table Value Total: $166,625 ----------- (thousands)
TITLE OF MARKET MARKET INVESTMENT VOTING NAME OF ISSUER CLASS SYMBOL CUSIP VALUE VALUE DIV. QUANTITY DISCRETION AUTHORITY 6/30/2010 BY 1000 SOLE NONE SHARED ------------------------------------------------------------------------------------------------------------------------------------ 1 Abbott Labs Common Stock ABT 2824100 $ 300,924 $ 301 5,695 sole 5,695 0 2 Advent Claymore Global Conv Common Stock AGC 02301T108 $ 305,875 $ 306 32,679 sole 32,679 0 3 Aecom Technologies Corp Common Stock ACM 00766T100 $ 805,506 $ 806 31,416 sole 30,128 1,288 0 4 American Water Works Co. Common Stock AWK 30420103 $2,692,710 $ 2,693 113,425 sole 96,917 16,508 0 5 Aqua America, Inc. Common Stock WTR 03836W103 $2,672,404 $ 2,672 126,895 sole 126,895 0 6 Bank of America Corporation Common Stock BAC 60505104 $ 113,600 $ 114 10,000 sole 10,000 0 7 Bank of America Corporation Common Stock BAC 60505104 $ 310,902 $ 311 27,368 sole 27,368 0 8 Berkshire Hathaway Inc Del Cl Common Stock BRKB 84670702 $5,685,521 $ 5,686 68,492 sole 27,832 40,660 0 9 Berkshire Hathaway Inc. Class Common Stock BRKA 84670108 $1,742,454 $ 1,742 14 sole 14 0 10 Best Buy Co., Inc. Common Stock BBY 86516101 $1,717,576 $ 1,718 40,547 sole 38,947 1,600 0 11 Blackstone Group L Pcom Unit R Common Stock BX 09253U108 $2,107,916 $ 2,108 153,303 sole 148,399 4,904 0 12 Calamos Conv Opps & Inc Fd Common Stock CHI 128117108 $4,573,775 $ 4,574 351,019 sole 230,628 120,391 13 Calamos Strg Ttl Return Fd Com Common Stock CSQ 128125101 $ 345,430 $ 345 38,424 sole 15,462 22,962 0 14 Calgon Carbon Corp Common Stock CCC 129603106 $1,367,350 $ 1,367 89,839 sole 86,705 3,134 0 15 Central Europe & Russia Fund Common Stock CEE 153436100 $ 227,934 $ 228 5,753 sole 5,753 16 China Fd Inc Common Stock CHN 169373107 $4,203,854 $ 4,204 126,015 sole 102,542 23,473 0 17 Chiquita Brands Intl Common Stock CQB 170032809 $1,815,371 $ 1,815 127,843 sole 122,971 4,872 0 18 CLIFFS NATURAL RESOURCES INC C Common Stock CLF 18683K101 $ 880,419 $ 880 13,804 sole 13,088 716 0 19 Coca-Cola Company Common Stock KO 191216100 $ 659,573 $ 660 10,730 sole 10,730 0 20 Colgate-Palmolive Company Common Stock CL 194162103 $ 270,674 $ 271 3,529 sole 3,529 0 21 Comerica Incorporated Common Stock CMA 200340107 $ 713,538 $ 714 19,998 sole 19,998 0 22 Cree Resh Inc Common Stock CREE 225447101 $ 800,603 $ 801 16,426 sole 15,708 718 0 23 Dell Incorporated Common Stock DELL 24702R101 $ 175,200 $ 175 12,000 sole 12,000 0 24 Duff & Phelps Utilities & Corp Common Stock DUC 26432K108 $ 975,183 $ 975 78,015 sole 78,015 25 EATON VANCE TAX MG COM Common Stock ETB 27828x100 $ 446,677 $ 447 29,406 sole 29,406 0 26 Eaton Vance Txmg Gl Bu Common Stock ETW 27829C105 $2,814,258 $ 2,814 222,471 sole 222,471 0 27 Energy Recovery Inc Com Common Stock ERII 29270J100 $ 666,371 $ 666 171,745 sole 156,662 15,083 0 28 Enernoc Inc. Common Stock ENOC 292764107 $1,368,111 $ 1,368 44,915 sole 42,164 2,751 0 29 Entech Solar Inc. Common Stock ENSL 29362Y106 $ 1,254 $ 1 12,512 sole 12,512 0 30 Exelon Corporation Common Stock EXC 30161N101 $2,138,072 $ 2,138 49,128 sole 49,128 0 31 Exxon Mobil Corporation Common Stock XOM 30231G102 $2,763,454 $ 2,763 41,668 sole 41,668 0 32 FDLTY NAS CMPST INDX FND Common Stock ONEQ 315912808 $1,129,003 $ 1,129 11,650 sole 11,650 0 33 Fluor Corporation Common Stock FLR 343412102 $2,639,999 $ 2,640 52,874 sole 26,905 25,969 0 34 FRONTIER COMMUNICATIONS CORP. Common Stock FTR 35906A1088 $ 178,210 $ 178 20,297 sole 20,297 0 35 General Electric Company Common Stock GE 369604103 $4,061,528 $ 4,062 252,269 sole 117,079 135,190 0 36 GREATER CHINA FD INC Common Stock GCH 39167B102 $ 348,488 $ 348 26,501 sole 26,501 0 37 H. J. Heinz Company Common Stock HNZ 423074103 $ 266,760 $ 267 5,400 sole 5,400 0 38 Intel Corporation Common Stock INTC 458140100 $2,968,140 $ 2,968 150,210 sole 150,210 0 39 ISHARES COMEX GOLD TRUST COM Common Stock IAU 464285105 $ 250,554 $ 251 19,318 sole 19,318 0 40 iShares Goldman Sachs Investop Common Stock LQD 464287242 $3,298,121 $ 3,298 29,437 sole 29,437 0 41 iShares Lehman Aggregate Bond Common Stock AGG 464287226 $ 260,036 $ 260 2,398 sole 2,398 0 42 ISHARES MSCI CANADA Common Stock EWC 464286509 $3,670,789 $ 3,671 128,170 sole 87,920 40,250 0 43 iShares MSCI EAFE Index Fund Common Stock EFA 464287465 $ 375,197 $ 375 6,566 sole 6,566 0 44 ISHARES MSCI SINGAPORE Common Stock EWS 464286673 $ 289,596 $ 290 21,123 sole 21,123 0 45 iShares Russell MidCap Index Common Stock IWR 464287499 $ 476,272 $ 476 5,128 sole 5,128 0 46 iShares S&P Latin America 40 I Common Stock ILF 464287390 $2,504,621 $ 2,505 48,804 sole 32,856 15,948 0 47 iShares S&P U.S. Preferred Sto Common Stock PFF 464288687 $3,811,544 $ 3,812 96,838 sole 96,838 0 48 iShares Tr 1-3 Yr Trs Bd Common Stock SHY 464287457 $ 303,452 $ 303 3,592 sole 3,592 0 49 iShares Tr Barclys 1-3yr Cr Common Stock CSJ 464288646 $ 517,010 $ 517 4,922 sole 4,922 0 50 iShares Tr US Tips Bd Fd Common Stock TIP 464287176 $2,427,699 $ 2,428 21,719 sole 21,719 0 51 ITAU UNIBANCO HOLDING S.A. ADR Common Stock ITUB 465562106 $2,267,150 $ 2,267 90,505 sole 85,951 4,554 0 52 Itron, Inc. Common Stock ITRI 465741106 $1,480,166 $ 1,480 24,612 sole 22,629 1,983 0 53 ITT Corporation Common Stock ITT 450911102 $1,622,762 $ 1,623 33,287 sole 29,075 4,212 0 54 Johnson & Johnson Common Stock JNJ 478160104 $4,818,827 $ 4,819 75,306 sole 30,755 44,551 0 55 Kayne Anderson Mlp Invt Common Stock KYN 486606106 $ 568,858 $ 569 21,564 sole 21,564 0 56 Kinder Morgan Mgmt (KMR) Common Stock KMR 49455U100 $3,750,086 $ 3,750 60,126 sole 60,126 0 57 Kraft Foods Inc. Common Stock KFT 50075N104 $2,422,170 $ 2,422 76,121 sole 76,121 0 58 Longtop Financial Technologies Common Stock LFT 54318P108 $2,085,965 $ 2,086 55,272 sole 52,847 2,425 0 59 Macquarie Global Infrastructur Common Stock MGU 55608D101 $5,017,893 $ 5,018 292,447 sole 129,298 163,149 0 60 Market Vectors Etf TRUST Common Stock NLR 57060U704 $ 240,987 $ 241 10,944 sole 10,944 0 61 MARKET VECTORS GOLD MINERS ETF Common Stock GDX 57060u100 $3,445,749 $ 3,446 63,481 sole 57,540 5,941 0 62 Mastercard Incorporated Common Stock MA 57636Q104 $1,008,995 $ 1,009 4,149 sole 3,891 258 0 63 McDermott International Common Stock MDR 580037109 $1,098,473 $ 1,098 72,173 sole 69,431 2,742 0 64 Microsoft Corporation Common Stock MSFT 594918104 $3,684,994 $ 3,685 144,964 sole 69,829 75,135 0 65 MORGAN STANLEY EMERGING Common Stock EDD 617477104 $ 300,609 $ 301 17,290 sole 17,290 0 66 Morgan Stanley Frontier Emrgng Common Stock FFD 61757P101 $ 398,201 $ 398 28,751 sole 28,751 0 67 Mueller Water Products, Inc. Common Stock MWA 624758108 $1,594,906 $ 1,595 529,869 sole 511,246 18,623 0 68 Nextera Energy Inc. Common Stock NEE 65339F101 $2,365,021 $ 2,365 42,544 sole 42,544 0 69 Nuveen Floating Rate Income Fu Common Stock JFR 67072T108 $ 578,996 $ 579 51,375 sole 51,375 70 Oracle Corporation Common Stock ORCL 68389X105 $2,340,674 $ 2,341 81,217 sole 74,953 6,264 0 71 PepsiCo Common Stock PEP 713448108 $2,981,598 $ 2,982 45,744 sole 45,744 0 72 Pfizer Inc. Common Stock PFE 717081103 $ 609,236 $ 609 34,557 sole 34,557 0 73 Philip Morris International In Common Stock PM 718172109 $ 213,202 $ 213 3,704 sole 3,704 0 74 Piedmont Natural Gas Company, Common Stock PNY 720186105 $ 431,591 $ 432 14,715 sole 14,715 0 75 PowerShares Cleantech Portfoli Common Stock PZD 73935x278 $ 315,060 $ 315 12,740 sole 12,740 0 76 PowerShares DB Agriculture Fun Common Stock DBA 73936B408 $6,899,028 $ 6,899 237,080 sole 145,609 91,471 0 77 PowerShares Global Water Portf Common Stock PIO 73936T623 $ 356,068 $ 356 19,061 sole 19,061 0 78 PowerShares Wilderhill Clean E Common Stock PBW 73935X500 $ 257,098 $ 257 25,865 sole 25,865 0 79 Procter & Gamble Company Common Stock PG 742718109 $4,710,458 $ 4,710 74,169 sole 26,813 47,356 0 80 ProShares UltraShort 20+ Year Common Stock TBT 74347R29 $ 323,472 $ 323 9,573 sole 9,573 0 81 Roche Hldg Ltd Spons Common Stock RHHBY 71195104 $2,942,390 $ 2,942 79,239 sole 39,562 39,677 0 82 Royal Bank of Canada Common Stock RY 780087102 $ 750,626 $ 751 13,559 sole 13,559 0 83 Saul Centers, Inc. Common Stock BFS 804395101 $ 257,985 $ 258 5,850 sole 5,850 0 84 SCANA Corporation Common Stock SCG 80589M102 $1,329,011 $ 1,329 32,125 sole 32,125 0 85 Sonoco Products Company Common Stock SON 835495102 $ 270,753 $ 271 8,087 sole 8,087 0 86 Southern Copper Corporation Common Stock SCCO 84265V105 $1,188,134 $ 1,188 28,262 sole 23,378 4,884 0 87 Spdr Gold Trust Gold Shs Common Stock GLD 78463V107 $ 576,530 $ 577 4,453 sole 4,453 0 88 SPDR S&P 500 Common Stock SPY 78462F103 $ 224,447 $ 224 1,900 sole 1,900 0 89 Suncor Energy Inc. Common Stock SU 867229106 $1,606,118 $ 1,606 48,967 sole 47,294 1,673 0 90 Sunpower Corporation Common Stock SPWRA 867652109 $1,341,166 $ 1,341 98,182 sole 93,619 4,563 0 91 Symantec Corporation Common Stock SYMC 871503108 $ 862,164 $ 862 55,409 sole 53,639 1,770 0 92 Targacept Inc Common Stock TRGT 87611R306 $ 405,029 $ 405 16,961 sole 16,961 0 93 TEUCRIUM CORN FUND Common Stock CORN 88166A102 $ 218,840 $ 219 6,032 sole 6,032 0 94 Teva Pharmaceutical Industries Common Stock TEVA 881624209 $1,956,178 $ 1,956 37,098 sole 34,823 2,275 0 95 The India Fund, Inc. Common Stock IFN 454089103 $5,424,771 $ 5,425 138705 sole 115048 23,657 96 THE MOSAIC COMPANY Common Stock MOS 61945A107 $1,804,017 $ 1,804 27,124 sole 26,074 1,050 0 97 United Technologies Corporatio Common Stock UTX 913017109 $5,553,992 $ 5,554 74,083 sole 30,095 43,988 0 98 Vanguard Index Fds Small Cp Et Common Stock VB 922908751 $ 263,320 $ 263 4000 sole 4,000 99 VEECO INSTRUMENTS INC. Common Stock VECO 922417100 $1,155,146 $ 1,155 30,192 sole 28,616 1,576 0 100 Verizon Communications Common Stock VZ 92343V104 $4,386,962 $ 4,387 134,900 sole 52,502 82,398 0 101 Waste Management, Inc. Common Stock WM 94106L109 $ 205,889 $ 206 5,607 sole 5,607 0 102 WISDOMTREE DREYFUS CHINESE YUA Common Stock CYB 97717w182 $ 273,287 $ 273 10,642 sole 10,642 0 $ 166,624,556 $166,625 6,096,872 3,247,430 2,849,442