0000914317-14-001010.txt : 20140730
0000914317-14-001010.hdr.sgml : 20140730
20140730144820
ACCESSION NUMBER: 0000914317-14-001010
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140630
FILED AS OF DATE: 20140730
DATE AS OF CHANGE: 20140730
EFFECTIVENESS DATE: 20140730
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: TRAIN BABCOCK ADVISORS LLC
CENTRAL INDEX KEY: 0000860862
IRS NUMBER: 133328961
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-02669
FILM NUMBER: 141002445
BUSINESS ADDRESS:
STREET 1: 757 3RD AVE
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 212-451-3400
MAIL ADDRESS:
STREET 1: 757 3RD AVE
CITY: NEW YORK
STATE: NY
ZIP: 10017
FORMER COMPANY:
FORMER CONFORMED NAME: TRAIN SMITH COUNSEL ET AL
DATE OF NAME CHANGE: 19950216
13F-HR
1
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0000860862
XXXXXXXX
06-30-2014
06-30-2014
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TRAIN BABCOCK ADVISORS LLC
757 3rd Ave
New York
NY
10017
13F HOLDINGS REPORT
028-02669
N
John H. Rogicki
Chief Compliance Officer
212-451-3402
/s/ John H. Rogicki
New York
NY
07-29-2014
0
268
313027
INFORMATION TABLE
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SH
OTR
6000
0
0
TRANSOCEAN INC NEW F
COM
h8817h100
1261
28010
SH
SOLE
27910
100
0
TWITTER INC.
COM
90184L102
262
6398
SH
SOLE
6398
0
0
UNITED CONTL HLDGS INC
COM
910047109
2805
68300
SH
SOLE
68075
225
0
UNITED CONTL HLDGS INC
COM
910047109
19
465
SH
DFND
0
465
0
UNITED CONTL HLDGS INC
COM
910047109
62
1500
SH
OTR
1500
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
4277
52317
SH
SOLE
52317
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
35
425
SH
DFND
0
425
0
UNITEDHEALTH GROUP INC
COM
91324P102
102
1250
SH
OTR
1250
0
0
VANTIV INC
COM
92210H105
3064
91135
SH
SOLE
90785
350
0
VANTIV INC
COM
92210H105
101
3000
SH
OTR
3000
0
0
VERIZON COMMUNICATIONS
COM
92343V104
5863
119831
SH
SOLE
119731
100
0
VERIZON COMMUNICATIONS
COM
92343V104
55
1125
SH
DFND
0
1125
0
VERIZON COMMUNICATIONS
COM
92343V104
315
6430
SH
OTR
4930
0
1500
WALGREEN COMPANY
COM
931422109
222
3000
SH
SOLE
3000
0
0
WALT DISNEY COMPANY
COM
254687106
192
2245
SH
SOLE
2245
0
0
WALT DISNEY COMPANY
COM
254687106
206
2400
SH
OTR
0
0
2400
WELLS FARGO AND CO NEW
COM
949746101
2653
50475
SH
SOLE
50475
0
0
WELLS FARGO AND CO NEW
COM
949746101
58
1100
SH
DFND
0
1100
0
WELLS FARGO AND CO NEW
COM
949746101
105
2000
SH
OTR
0
0
2000
WESTERN UNION COMPANY
COM
959802109
173
10000
SH
SOLE
10000
0
0
WHOLE FOODS MARKET INC
COM
966837106
1635
42320
SH
SOLE
42120
200
0
WHOLE FOODS MARKET INC
COM
966837106
16
425
SH
DFND
0
425
0
ZOETIS INC.
COM
98978V103
3168
98185
SH
SOLE
97860
325
0
ZOETIS INC.
COM
98978V103
35
1075
SH
DFND
0
1075
0
ZOETIS INC.
COM
98978V103
65
2000
SH
OTR
2000
0
0
EGSHARES EMERGING MARKETS CONS
ETF
268461779
3901
140663
SH
SOLE
140338
325
0
EGSHARES EMERGING MARKETS CONS
ETF
268461779
57
2050
SH
DFND
1300
750
0
EGSHARES EMERGING MARKETS CONS
ETF
268461779
61
2200
SH
OTR
2200
0
0
ENERGY SELECT SECTOR ETF
ETF
81369Y506
2640
26375
SH
SOLE
26175
200
0
ISHARES MSCI EMERGING MARKET I
ETF
464287234
1105
25570
SH
SOLE
25570
0
0
ISHARES RUSSELL VALUE MIDCAP V
ETF
464287473
414
5700
SH
SOLE
5700
0
0
ISHARES TR DJ US HEALTHCR
ETF
464287762
487
3800
SH
SOLE
3800
0
0
ISHARES TR MSCI EAFE FD MSCI E
ETF
464287465
2055
30061
SH
SOLE
29811
250
0
ISHARES TR MSCI EAFE FD MSCI E
ETF
464287465
38
550
SH
DFND
550
0
0
ISHARES TR NASDQ BIO INDX
ETF
464287556
209
814
SH
SOLE
814
0
0
ISHARES TR RUSSELL 1000 GROWTH
ETF
464287614
186
2041
SH
SOLE
2041
0
0
ISHARES TR RUSSELL 1000 GROWTH
ETF
464287614
16
175
SH
DFND
175
0
0
ISHARES TR S&P 100 ETF S & P 1
ETF
464287101
238
2750
SH
SOLE
2750
0
0
MARKET VECTORS AGRIBUSINESS ET
ETF
57060U605
1738
31598
SH
SOLE
31598
0
0
MATERIALS SELECT SECTOR SPDR F
ETF
81369Y100
248
5000
SH
OTR
0
0
5000
POWERSHARES QQQ TRUST UNIT SER
ETF
73935A104
4773
50827
SH
SOLE
50627
200
0
SECTOR SPDR CONSUMER FD SHARES
ETF
81369y407
2711
40616
SH
SOLE
40616
0
0
SECTOR SPDR INDL SELECT SHARES
ETF
81369y704
2070
38300
SH
SOLE
38300
0
0
SECTOR SPDR INDL SELECT SHARES
ETF
81369y704
741
13700
SH
OTR
0
0
13700
SPDR S & P INTL DIVIDEND
ETF
78463x772
231
4504
SH
SOLE
4504
0
0
SPDR S & P INTL DIVIDEND
ETF
78463x772
38
750
SH
DFND
750
0
0
SPDR S & P INTL DIVIDEND
ETF
78463x772
15
300
SH
OTR
300
0
0
SPDR S&P 500 ETF TRUST
ETF
78462F103
12487
63801
SH
SOLE
63801
0
0
SPDR S&P 500 ETF TRUST
ETF
78462F103
14
70
SH
DFND
70
0
0
SPDR S&P DIVIDEND ETF
ETF
78464A763
863
11273
SH
SOLE
10723
550
0
SPDR S&P DIVIDEND ETF
ETF
78464A763
13
175
SH
DFND
175
0
0
SPDR S&P DIVIDEND ETF
ETF
78464A763
15
200
SH
OTR
200
0
0
SPDR S&P EMERGING MKTS EMERGIN
ETF
78463x533
193
4808
SH
SOLE
4408
400
0
SPDR S&P EMERGING MKTS EMERGIN
ETF
78463x533
34
850
SH
DFND
850
0
0
SPDR S&P EMERGING MKTS EMERGIN
ETF
78463x533
8
200
SH
OTR
200
0
0
SPDR S&P HOMEBUILDERS ETF
ETF
78464A888
1047
31975
SH
SOLE
31975
0
0
SPDR S&P MIDCAP 400 ETF TRUST
ETF
78467Y107
3356
12879
SH
SOLE
12879
0
0
SPDR S&P MIDCAP 400 ETF TRUST
ETF
78467Y107
18
70
SH
DFND
70
0
0
SPDR S&P REGIONAL BKING
ETF
78464a698
262
6500
SH
SOLE
6500
0
0
VANGUARD CNSMR DSCRTNARY
ETF
92204a108
377
3450
SH
SOLE
3450
0
0
VANGUARD FTSE EMERGING MARKETS
ETF
922042858
5069
117530
SH
SOLE
117180
350
0
VANGUARD FTSE EMERGING MARKETS
ETF
922042858
71
1650
SH
DFND
950
700
0
VANGUARD FTSE EMERGING MARKETS
ETF
922042858
116
2700
SH
OTR
2700
0
0
VANGUARD INDEX FDS MID CAP ETF
ETF
922908629
1163
9800
SH
SOLE
9600
200
0
VANGUARD INDUSTRIALS
ETF
92204a603
2192
21025
SH
SOLE
21025
0
0
VANGUARD INFO TECHNOLOGY
ETF
92204a702
893
9221
SH
SOLE
9221
0
0
VANGUARD SMALL-CAP ETF
ETF
922908751
1385
11826
SH
SOLE
11626
200
0
VANGUARD SMALL-CAP ETF
ETF
922908751
18
150
SH
DFND
150
0
0
VANGUARD SMALL-CAP ETF
ETF
922908751
23
200
SH
OTR
200
0
0
WISDOMTREE TRUST EMERGING SMAL
ETF
97717w281
1466
30550
SH
SOLE
30550
0
0