-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, IwPHjTHjX2s3n6w9RLrhpP8IMrPLqgvf/zug2Vf8uvQkNyfXbS3vBbULrdW1SAyR kfUfge6tAXN/iug+2GLrjA== 0000948905-05-000019.txt : 20051107 0000948905-05-000019.hdr.sgml : 20051107 20051107103624 ACCESSION NUMBER: 0000948905-05-000019 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20050930 FILED AS OF DATE: 20051107 DATE AS OF CHANGE: 20051107 EFFECTIVENESS DATE: 20051107 FILER: COMPANY DATA: COMPANY CONFORMED NAME: STIFEL NICOLAUS & CO INC \MO\ CENTRAL INDEX KEY: 0000948905 IRS NUMBER: 430538770 STATE OF INCORPORATION: MO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06972 FILM NUMBER: 051182365 BUSINESS ADDRESS: STREET 1: 501 N BROADWAY ST CITY: ST LOUIS STATE: MO ZIP: 63102 BUSINESS PHONE: 3143422989 MAIL ADDRESS: STREET 1: 501 N BROADWAY CITY: ST LOUIS STATE: MO ZIP: 63102 13F-HR 1 s13f3-05.txt SEC 13F TEST FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2005 Check here if Amendment [ ]; Amendment Number: This Amendment (Check Only One): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Stifel, Nicolaus & Company, Incorporated Address: One Financial Plaza, 501 N. Broadway St. Louis, Missouri 63102 13F File Number: 28-6972 The institutional investment manager filing this report & 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: Scott McCuaig Title: President, Private Client Group & Chief Operating Officer Phone: (314) 342-2844 Signature, Place, and Date of Signing: Scott McCuaig St. Louis, Missouri November 4, 2005 Report Type: (Check only one): [X] 13F Holdings Report [ ] 13F Notice [ ] 13F Combination Report List of Other Managers Reporting for this Manager: I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. PORTVUE-SEC13F.LNP STIFEL NICOLAUS & CO., INC. PAGE 1 RUN DATE: 11/01/05 12:23 P.M. FORM 13F INFORMATION TABLE AS OF DATE: 09/30/05 CLASS VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MGRS SOLE SHARED NONE - ------------------------------ ------ --------- --------- -------- --- ----- ------- ----- ------- --------- ------ 3M COMPANY COM COM 88579Y101 611 8329 SH SOLE 6853 0 1476 ABB LTD ADR SPONSORED FRN 000375204 669 90860 SH SOLE 90660 0 200 ABBOTT LABS COM 002824100 4266 100615 SH SOLE 90583 0 10031 ACCESS PHARMACEUTICALS INC COM COM 00431M209 80 91000 SH SOLE 91000 0 0 ADVISORY BRD CO COM COM 00762W107 336 6450 SH SOLE 6250 0 200 AEGON N V ORD AMER REG FRN 007924103 252 16934 SH SOLE 16476 0 458 AER ENERGY RES INC COM 000944108 0 40909 SH SOLE 40909 0 0 AFLAC INC COM 001055102 362 7992 SH SOLE 7992 0 0 ALLEGHENY ENERGY INC COM COM 017361106 8795 286309 SH SOLE 256884 0 29425 ALLERGAN INC COM COM 018490102 425 4635 SH SOLE 4585 0 50 ALLIED CAP CORP NEW COM COM 01903Q108 493 17213 SH SOLE 17213 0 0 ALLSCRIPTS HEALTHCARE SOLUTICO COM 01988P108 394 21840 SH SOLE 21440 0 400 ALLSTATE CORP COM 020002101 1637 29600 SH SOLE 27900 0 1700 ALLTEL CORP COM 020039103 1102 16925 SH SOLE 14248 0 2677 ALTRIA GROUP INC COM COM 02209S103 6400 86822 SH SOLE 71290 0 15532 AMERICAN EXPRESS CO COM 025816109 521 9069 SH SOLE 6720 0 2349 AMERICAN INTL GROUP INC COM 026874107 1526 24627 SH SOLE 23096 0 1531 AMERICAN PWR CONVERSION CORP COM 029066107 1459 56319 SH SOLE 46961 0 9358 AMERICREDIT CORP COM COM 03060R101 295 12358 SH SOLE 12358 0 0 AMGEN INC COM 031162100 1950 24479 SH SOLE 23816 0 663 ANADARKO PETE CORP COM 032511107 946 9876 SH SOLE 8976 0 900 ANCHOR BANCORP WIS INC COM COM 032839102 724 24555 SH SOLE 24555 0 0 ANGLO AMERICAN FRN 03485P102 6508 215641 SH SOLE 199816 0 15825 ANHEUSER BUSCH COS INC COM 035229103 2162 50224 SH SOLE 46692 0 3532 APPLE COMPUTER INC COM 037833100 411 7670 SH SOLE 7670 0 0 AQUILA INC COM 03840P102 399 100650 SH SOLE 91050 0 9600 ARRIS GROUP INC COM 04269Q100 329 27700 SH SOLE 27700 0 0 ARTISTIC MEDIA PARTNERS INC CL COM BT1218338 129 11700 SH SOLE 11700 0 0 ASA BERMUDA LIMITED COM FRN G3156P103 332 7100 SH SOLE 6600 0 500 ASH GROVE CEM CO COM COM 043693100 1257 7140 SH SOLE 6850 0 290 ASSOCIATED BANC CORP COM COM 045487105 344 11280 SH SOLE 11280 0 0 AUTOMATIC DATA PROCESSING COM 053015103 677 15735 SH SOLE 13595 0 2140 AVERY DENNISON CORP COM 053611109 440 8392 SH SOLE 7083 0 1309 BANK AMERICA CORP COM 060505104 650 15431 SH SOLE 13285 0 2146 BED BATH & BEYOND INC COM COM 075896100 342 8513 SH SOLE 7513 0 1000 BELLSOUTH CORP COM COM 079860102 630 23973 SH SOLE 20099 0 3874 BERKSHIRE HATHAWAY INC DEL CL COM 084670108 1722 21 SH SOLE 19 0 2 BERKSHIRE HATHAWAY INC DEL CL COM 084670207 4170 1527 SH SOLE 1282 0 245 BHP BILLITON LTD SPONSORED ADR FRN 088606108 406 11868 SH SOLE 11868 0 0 BIOMET INC COM 090613100 480 13831 SH SOLE 9061 0 4770 BLACK & DECKER CORP COM 091797100 323 3938 SH SOLE 3756 0 182 BOEING CO COM 097023105 261 3845 SH SOLE 2545 0 1300 BOSTON SCIENTIFIC CORP COM 101137107 3379 144600 SH SOLE 127750 0 16850 BP AMOCO ADS FRN 055622104 5796 81800 SH SOLE 80250 0 1550 BRANTLEY CAP CORP COM COM 105494108 269 42019 SH SOLE 42019 0 0 BRASCAN CORP LTD VTG SHS CL COM 10549P606 517 11100 SH SOLE 11100 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 4230 175801 SH SOLE 168689 0 7112 BURLINGTON NTHN SANTA FE COM 12189T104 456 7628 SH SOLE 6628 0 1000 BURLINGTON RES INC COM COM 122014103 498 6126 SH SOLE 6126 0 0 CABLEVISION SYS CORP COM 12686C109 7309 238300 SH SOLE 217584 0 20716 CALAMOS CONV OPP & INC FUND S COM 128117108 284 14186 SH SOLE 14186 0 0 CALPINE CORP COM COM 131347106 50 19210 SH SOLE 9510 0 9700 CAMBIOR INC COM COM 13201L103 1114 523200 SH SOLE 480900 0 42300 CANADIAN NAT RES LTD COM FRN 136385101 14048 310866 SH SOLE 264666 0 46200 CANADIAN OIL SANDS TR NEW UNIT FRN 13642L100 10370 93959 SH SOLE 81259 0 12700 CANADIAN PAC RY LTD FRN 13645T100 694 16157 SH SOLE 14057 0 2100 CARDINAL HEALTH INC COM 14149Y108 314 4946 SH SOLE 4852 0 94 CARNIVAL PAIRED CERTIFICATES COM 143658300 395 7902 SH SOLE 7902 0 0 CATERPILLAR INC COM 149123101 1480 25188 SH SOLE 20244 0 4944 CEMEX S A ADR SPSRD NEW FRN 151290889 233 4458 SH SOLE 3119 0 1339 CENTERPOINT ENERGY INC COM COM 15189T107 6682 449351 SH SOLE 392301 0 57050 CENTRAL EUROPE AND RUSSIA FDCO COM 153436100 2134 43462 SH SOLE 39512 0 3950 CENTRAL FD CDA LTD CL A COM 153501101 5684 1006007 SH SOLE 891740 0 114267 CENTURYTEL, INC COM 156700106 1276 36476 SH SOLE 32206 0 4270 CERIDIAN CORP NEW COM COM 156779100 327 15740 SH SOLE 15740 0 0 CERNER CORP COM COM 156782104 481 5530 SH SOLE 5530 0 0 CHEVRONTEXACO CORPORATION COM 166764100 4759 73517 SH SOLE 64946 0 8571 CHICAGO MERCANTILE EXCHANGE CL COM 167760107 322 955 SH SOLE 955 0 0 CHUNGHWA TELECOM CO SPONSORED FRN 17133Q205 1795 96975 SH SOLE 86650 0 10325 CINERGY CORP COM 172474108 428 9642 SH SOLE 9642 0 0 CISCO SYS INC COM 17275R102 2483 138547 SH SOLE 117803 0 20744 CITIGROUP INC. COM 172967101 1119 24586 SH SOLE 21326 0 3260 CITIZENS COMMUNICATIONS CO COM COM 17453B101 12065 890398 SH SOLE 796773 0 93625 CMS ENERGY CORP COM 125896100 5942 361225 SH SOLE 327175 0 34050 COCA COLA CO COM 191216100 1826 42278 SH SOLE 33672 0 8605 COGNIZANT TECHNLGY SLTNS CORCL COM 192446102 354 7600 SH SOLE 7600 0 0 COLGATE PALMOLIVE CO COM 194162103 517 9794 SH SOLE 5394 0 4400 COLONIAL CAPITAL TR IV 7.875% PFD 19560Q203 214 8360 SH SOLE 5400 0 2960 COMCAST CORP CL A SPL COM 20030N200 736 25570 SH SOLE 24435 0 1135 COMMUNITY BANKSHARES INC COLCD COM 20364D109 1278 36500 SH SOLE 36500 0 0 COMMUNITY HEALTH SYS INC NEWCO COM 203668108 339 8728 SH SOLE 8728 0 0 COMPUTER ASSOC INTL INC COM 204912109 305 10957 SH SOLE 10957 0 0 CONOCOPHILLIPS COM COM 20825C104 1414 20221 SH SOLE 19221 0 1000 CONSOLIDATED TOMOKA LD CO COM COM 210226106 255 3750 SH SOLE 3750 0 0 CONSTELLATION ENERGY GROUP ICO COM 210371100 333 5400 SH SOLE 5400 0 0 CONTINUCARE CORP COM COM 212172100 194 75633 SH SOLE 75633 0 0 CSG SYS INTL INC COM COM 126349109 383 17652 SH SOLE 17652 0 0 CVS CORP COM 126650100 358 12344 SH SOLE 12344 0 0 D & E COMMUNICATIONS INC COM COM 232860106 3177 349524 SH SOLE 306017 0 43507 DEAN FOODS INC NEW COM COM 242370104 360 9260 SH SOLE 9260 0 0 DEL MONTE FOODS CO COM COM 24522P103 281 26200 SH SOLE 23200 0 3000 DEVELOPERS DIVERSIFIED RLTY CO COM 251591103 210 4500 SH SOLE 4500 0 0 DIAGEO PLC NEW SPN ADR E FRN 25243Q205 819 14124 SH SOLE 12274 0 1850 DIRECTV GROUP INC COM 25459L106 1150 76781 SH SOLE 71581 0 5200 DISCOVERY HOLDING CO CL A COM COM 25468Y107 253 17530 SH SOLE 17460 0 70 DOMINION RES INC VA NEW COM COM 25746U109 356 4135 SH SOLE 4135 0 0 DOW CHEMICAL CORP COM 260543103 299 7186 SH SOLE 6901 0 285 DRDGOLD LTD FRN 26152H103 35 25000 SH SOLE 25000 0 0 DREYFUS HIGH YIELD STRATEGIESH COM 26200S101 79 18740 SH SOLE 18740 0 0 DU PONT E I DE NEMOURS CO COM 263534109 1207 30812 SH SOLE 30125 0 687 DUKE RLTY INVTS INC COM NEW COM 264411505 620 18298 SH SOLE 14978 0 3320 DUNDEE PRECIOUS METALS INC COM FRN 265269209 1290 167100 SH SOLE 161100 0 6000 DUQUESNE LT HLDNGS COM COM 266233105 272 15827 SH SOLE 12527 0 3300 DYNEX CAP INC COM NEW COM 26817Q506 347 48646 SH SOLE 48646 0 0 EBAY INC COM COM 278642103 460 11177 SH SOLE 8882 0 2295 ECOLAB INC COM 278865100 633 19835 SH SOLE 16976 0 2859 EDISON INTERNATIONAL COM 281020107 3385 71591 SH SOLE 63441 0 8150 EL PASO CORPORATION COM 28336L109 5028 361745 SH SOLE 328695 0 33050 EL PASO ELEC CO COM NEW COM 283677854 465 22300 SH SOLE 19500 0 2800 EMERSON ELEC CO COM 291011104 4032 56152 SH SOLE 46798 0 9354 EMMIS COMMUNICATIONS CORP CL A COM 291525103 389 17600 SH SOLE 17600 0 0 ENCANA CORP COM FRN 292505104 6975 119614 SH SOLE 100098 0 19516 ENHANCED S&P500 CV CALL FD ICO COM 29332W107 280 14000 SH SOLE 14000 0 0 ENSIGN ENERGY SERVICES INC FRN 293570107 3448 99506 SH SOLE 88506 0 11000 ENVIRONMENTAL SOLUTIONS WRLDCO COM 29408K102 8 11300 SH SOLE 11300 0 0 ERICSSON L M TEL CO ADR B SEK FRN 294821608 280 7613 SH SOLE 4913 0 2700 EXPEDITORS INTL WASH INC COM COM 302130109 264 4656 SH SOLE 4422 0 234 EXPRESS SCRIPTS INC COM 302182100 289 4650 SH SOLE 4650 0 0 EXXON CORPORATION COM 30231G102 5299 83403 SH SOLE 77425 0 5978 FARMERS BANCRP FRANKFORT INDCD COM 30887A102 440 9258 SH SOLE 7725 0 1533 FED HOME LN MTG COM 313400301 403 7133 SH SOLE 5961 0 1172 FIRST DATA CORP COM 319963104 1414 35338 SH SOLE 30563 0 4775 FIRST IND CORP COM COM 32054R108 9100 267097 SH SOLE 246860 0 20237 FIRST INTERNET BK IND INDIANCO COM 32056G100 1367 83109 SH SOLE 75609 0 7500 FIRST MERCHANTS CORP COM COM 320817109 612 23695 SH SOLE 18258 0 5437 FISERV INC COM COM 337738108 759 16547 SH SOLE 15747 0 800 FPL GROUP INC COM COM 302571104 1097 23052 SH SOLE 18895 0 4157 FRANKLIN ELEC INC COM COM 353514102 517 12500 SH SOLE 12500 0 0 FRANKLIN TEMPLETON LTD PFD 35472T200 500 20 SH SOLE 20 0 0 FREEPORT MCMORAN COPPER & GOLD COM 35671D857 228 4700 SH SOLE 4366 0 334 G A P INC COM 364760108 265 15214 SH SOLE 15214 0 0 GABELLI UTIL TR COM COM 36240A101 226 23000 SH SOLE 23000 0 0 GAMMON LAKE RES INC COM COM 364915108 106 13000 SH SOLE 12000 0 1000 GANNETT INC DEL COM 364730101 424 6157 SH SOLE 5221 0 936 GENENTECH INC COM NEW COM 368710406 364 4322 SH SOLE 4322 0 0 GENERAL ELEC CO COM 369604103 5562 165184 SH SOLE 139459 0 25726 GENUINE PARTS CO COM 372460105 200 4660 SH SOLE 3460 0 1200 GERMAN AMERN BANCORP COM COM 373865104 174 12859 SH SOLE 12859 0 0 GETTY IMAGES INC COM COM 374276103 422 4900 SH SOLE 4900 0 0 GILEAD SCIENCES INC COM COM 375558103 288 5902 SH SOLE 4127 0 1775 GILLETTE CO COM 375766102 344 5904 SH SOLE 5904 0 0 GOLD FIELDS LTD NEW ADR SPONSO FRN 38059T106 275 18900 SH SOLE 18900 0 0 GROUPE BRUXELLES LAMBERT FRN B4746J115 6816 69271 SH SOLE 58663 0 10608 GUIDANT CORP COM COM 401698105 249 3618 SH SOLE 3618 0 0 HARMONIC LIGHTWAVES INC COM 413160102 60 10325 SH SOLE 10325 0 0 HARMONY GOLD MINING LTD ADR SP FRN 413216300 124 11350 SH SOLE 10250 0 1100 HARRAH'S ENTERTAINMENT COM 413619107 213 3265 SH SOLE 3265 0 0 HECLA MNG CO COM COM 422704106 290 66300 SH SOLE 63100 0 3200 HEINZ, H J COMPANY COM 423074103 204 5575 SH SOLE 5575 0 0 HEWLETT PACKARD CO COM 428236103 405 13863 SH SOLE 12063 0 1800 HICKORY TECH CORP COM COM 429060106 2744 311837 SH SOLE 276787 0 35050 HIGH RIVER GOLD MINES LTD COM FRN 42979J107 555 438000 SH SOLE 385000 0 53000 HOME DEPOT INC COM 437076102 1965 51526 SH SOLE 47223 0 4303 HOSPIRA INC COM COM 441060100 588 14341 SH SOLE 14341 0 0 HUNTINGTON BANCSHARES INC COM 446150104 609 27114 SH SOLE 27114 0 0 INDIA FD INC COM COM 454089103 638 16033 SH SOLE 13700 0 2333 ING PRIME RATE TRUST PFDAUCTIO PFD 44977W502 450 18 SH SOLE 18 0 0 INGERSOLL-RAND CO LTD CL A COM COM G4776G101 483 12624 SH SOLE 12624 0 0 INTEL CORP COM 458140100 860 34889 SH SOLE 25923 0 8966 INTERNATIONAL RECTIFIER CORPCO COM 460254105 207 4600 SH SOLE 4400 0 200 J.P. MORGAN CHASE & CO COM 46625H100 1582 46638 SH SOLE 43200 0 3438 JACOBS ENGR GROUP INC COM COM 469814107 243 3600 SH SOLE 3500 0 100 JAPAN EQUITY FD INC COM COM 471057109 248 28700 SH SOLE 28700 0 0 JOHNSON & JOHNSON COM 478160104 5488 86722 SH SOLE 70220 0 16502 JOY GLOBAL INC COM COM 481165108 225 4468 SH SOLE 4468 0 0 JUNIPER NETWORKS INC COM COM 48203R104 295 12400 SH SOLE 12100 0 300 KEYCORP COM 493267108 2040 63271 SH SOLE 56926 0 6345 KIMBERLY CLARK CORP COM 494368103 4488 75393 SH SOLE 73770 0 1623 KINDER MORGAN EGY PTNS L P UT COM 494550106 557 10544 SH SOLE 10544 0 0 KLA INSTRS CORP COM 482480100 364 7462 SH SOLE 7462 0 0 KOREA ELEC PWR CO SPON ADR 1/2 FRN 500631106 3085 174175 SH SOLE 159325 0 14850 LAFARGE CORP COM COM 505862102 1436 21235 SH SOLE 17818 0 3417 LAMSON & SESSIONS CO COM COM 513696104 228 12434 SH SOLE 12434 0 0 LATIN AMERN DISCOVERY FD INCCO COM 51828C106 286 10500 SH SOLE 9900 0 600 LEUCADIA NATL CORP COM COM 527288104 1250 29000 SH SOLE 26700 0 2300 LEVEL 3 COMMUNICATIONS INC COM COM 52729N100 77 33006 SH SOLE 27306 0 5700 LIBERTY GLOBAL INC COM SER A COM 530555101 285 10515 SH SOLE 9927 0 588 LIBERTY GLOBAL INC COM SER C COM 530555309 271 10515 SH SOLE 9927 0 588 LIBERTY MEDIA CORP SERIES A CO COM 530718105 4285 532318 SH SOLE 493745 0 38573 LILLY, ELI AND COMPANY COM 532457108 3594 67151 SH SOLE 53092 0 14059 LINCOLN BANCORP IND COM COM 532879103 967 60848 SH SOLE 53443 0 7405 LINEAR TECHNOLOGY CORP COM 535678106 637 16935 SH SOLE 14644 0 2291 LOEWS CORP COM 540424108 2288 24754 SH SOLE 22029 0 2725 LONGPORT INC COM COM 543137103 2 11000 SH SOLE 11000 0 0 LOUDEYE CORP COM COM 545754103 22 25000 SH SOLE 25000 0 0 LOWES CO COM 548661107 238 3697 SH SOLE 3697 0 0 MAF BANCORP INC COM COM 55261R108 326 7950 SH SOLE 7950 0 0 MALAYSIA FD INC COM COM 560905101 1187 202574 SH SOLE 196174 0 6400 MANAGED HIGH YIELD PLUS FD ICO COM 561911108 368 70533 SH SOLE 66469 0 4064 MARTIN MARIETTA MTLS INC COM 573284106 4574 58303 SH SOLE 50003 0 8300 MBNA CORP COM 55262L100 755 30630 SH SOLE 27425 0 3205 MCDONALDS CORP COM 580135101 814 24315 SH SOLE 21217 0 3098 MEDIA GEN INC CL A COM 584404107 229 3950 SH SOLE 3150 0 800 MEDTRONIC INC COM 585055106 1429 26650 SH SOLE 16350 0 10300 MENS WEARHOUSE INC COM 587118100 336 12572 SH SOLE 12572 0 0 MERCK & CO INC COM 589331107 2129 78250 SH SOLE 65200 0 13050 MEREDITH CORP COM COM 589433101 384 7700 SH SOLE 5600 0 2100 MERIDIAN GOLD INC COM COM 589975101 5058 230866 SH SOLE 209816 0 21050 MGIC INVT CORP WIS COM 552848103 312 4860 SH SOLE 4860 0 0 MICROSOFT CORP COM 594918104 2484 96552 SH SOLE 88684 0 7868 MOLDFLOW CORP COM COM 608507109 248 15465 SH SOLE 15065 0 400 MORGAN STANLEY DEAN WITTER DIS COM 617446448 1157 21452 SH SOLE 21452 0 0 MORNINGSTAR INC COM COM 617700109 256 8000 SH SOLE 8000 0 0 MOTOROLA INC COM 620076109 335 15209 SH SOLE 14309 0 900 NATIONAL CITY CORP COM 635405103 1560 46661 SH SOLE 25268 0 21393 NICHOLAS APPLEGATE CONV & INCO PFD 65370F606 500 20 SH SOLE 20 0 0 NISOURCE INC COM 65473P105 498 20531 SH SOLE 16556 0 3975 NORTH PITTSBURG SYS INC COM COM 661562108 635 31115 SH SOLE 22165 0 8950 NORTHGATE EXPL LTD FRN 666416102 254 185700 SH SOLE 146300 0 39400 NORTHROP GRUMMAN CORP COM COM 666807102 353 6500 SH SOLE 6350 0 150 NUVEEN INSD MA TAX FREE ADV MU PFD 67072F207 775 31 SH SOLE 31 0 0 NUVEEN MA PREM INC MUN FD MUN PFD 67061E203 225 9 SH SOLE 9 0 0 NUVEEN PFD & CONV INCOMEFUND P PFD 67073D607 1000 40 SH SOLE 40 0 0 NUVEEN QUALITY PFD INC FUND 3 PFD 67072W309 1000 40 SH SOLE 40 0 0 OCCIDENTAL PETE CORP COM 674599105 350 4100 SH SOLE 4100 0 0 OCWEN FINL CORP COM COM 675746101 222 32000 SH SOLE 31000 0 1000 OIL CO LUKOIL ADR SPONSORED FRN 677862104 2667 45905 SH SOLE 42355 0 3550 OIL STS INTL INC COM COM 678026105 476 13098 SH SOLE 13098 0 0 OLD NATL BANCORP IND COM COM 680033107 816 38472 SH SOLE 38472 0 0 OLD SECOND BANCORP INC ILL COM COM 680277100 398 13332 SH SOLE 13332 0 0 OLIN CORP COM PAR $1. 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COM 750236101 266 5004 SH SOLE 5004 0 0 RAMCO-GERSHENSON PPTYS TR COM COM 751452202 685 23474 SH SOLE 22458 0 1016 RAYONIER INC COM COM 754907103 7386 192264 SH SOLE 166629 0 25635 READERS DIGEST ASSN INC A N-V COM 755267101 269 16830 SH SOLE 16149 0 681 REGAL ENTMT GROUP CL A COM 758766109 5788 288840 SH SOLE 254440 0 34400 RELIANT RES INC COM COM 75952B105 965 62525 SH SOLE 62525 0 0 RESEARCH FRONTIERS INC COM COM 760911107 70 22645 SH SOLE 22645 0 0 RESEARCH IN MOTION LTD COM COM 760975102 266 3900 SH SOLE 3900 0 0 RESMED INC COM COM 761152107 426 10700 SH SOLE 10300 0 400 RESOURCES CONNECTION INC COM COM 76122Q105 227 7650 SH SOLE 7650 0 0 ROCKWELL COLLINS INC COM COM 774341101 341 7054 SH SOLE 7054 0 0 ROYCE FOCUS TR INC COM COM 78080N108 4251 432912 SH SOLE 431786 0 1126 SARA LEE CORP COM COM 803111103 313 16513 SH SOLE 14913 0 1600 SAUER-DANFOSS INC COM COM 804137107 8625 431239 SH SOLE 386627 0 44612 SBC COMMUNICATIONS, INC COMMON COM 78387G103 1549 64628 SH SOLE 52022 0 12606 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LINE COUNT: 324 TOTAL VALUE: $449,694,000 -----END PRIVACY-ENHANCED MESSAGE-----