-----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, Sg75hMPjtzLOJE4tRnIow9HfM/dant0cTc2WOT3ObRxhTGdzPN7ljdkMYEsn505e iHEARMVcENv51h66Yrd6wg== 0001356783-09-000004.txt : 20090714 0001356783-09-000004.hdr.sgml : 20090714 20090714142458 ACCESSION NUMBER: 0001356783-09-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090714 DATE AS OF CHANGE: 20090714 EFFECTIVENESS DATE: 20090714 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Phocas Financial CORP CENTRAL INDEX KEY: 0001356783 IRS NUMBER: 202647024 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12179 FILM NUMBER: 09943657 BUSINESS ADDRESS: STREET 1: 2433 MARINER SQUARE LOOP STREET 2: SUITE 202 CITY: ALAMEDA STATE: CA ZIP: 94501 BUSINESS PHONE: (510) 523-5800 MAIL ADDRESS: STREET 1: 2433 MARINER SQUARE LOOP STREET 2: SUITE 202 CITY: ALAMEDA STATE: CA ZIP: 94501 13F-HR 1 phocas13f200906.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 6/30/2009 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: Phocas Financial Corporation Address: 980 Atlantic Avenue Suite 106 Alameda, CA 94501 Form 13F File Number: 28- 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: Frances Chiu Title: Chief Compliance Officer Phone: (510) 523 - 5800 Signature, Place, and Date of Signing: Frances Chiu Alameda, CA 07/14/2009 [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).) FORM 13F SUMMARY PAGE Report Summary: Number o 0 Form 13F 218 Form 13F307.8931 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form I 3F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE ABBOTT LCOM 002824101238.328 26325 SH SOLE 263250 0 ABERCROMCOM 00289620 723.615 28500 SH SOLE 285000 0 ACADIA RCOM 00423910442.4733 33906 SH SOLE 339060 0 ACE LTD COM H0023R101146.663 25925 SH SOLE 259250 0 AFFILIATCOM 008252102975.371 51132 SH SOLE 511320 0 ALCOA INCOM 013817101042.566 100926 SH SOLE 1009260 0 ALEXANDRCOM 015271102341.346 65419 SH SOLE 654190 0 ALLSTATECOM 02000210811.8368 33272 SH SOLE 332720 0 AMB PROPCOM 00163T10435.2446 23139 SH SOLE 231390 0 AMERICANCOM 02368A79388.9684 29967 SH SOLE 299670 0 AMERICANCOM 02483510346.7178 15632 SH SOLE 156320 0 AMERICANCOM 028884101744.813 44556 SH SOLE 445560 0 AMERICANCOM 030420102507.003 131188 SH SOLE 1311880 0 AMERIGROCOM 03073T10 1272.26 47384 SH SOLE 473840 0 AMGEN INCOM 031162101515.408 28625 SH SOLE 286250 0 ARES CAPCOM 04010L10808.7565 100342 SH SOLE 1003420 0 ARRIS GRCOM 04269Q102123.367 174619 SH SOLE 1746190 0 ARTIO INCOM 4.81E+08484.8098 19431 SH SOLE 194310 0 ASHLAND COM 04420910 1669.76 59528 SH SOLE 595280 0 AT&T CORCOM 00206R104097.681 164963 SH SOLE 1649630 0 ATMOS ENCOM 049560101625.021 64897 SH SOLE 648970 0 AUTOMATICOM 053015101164.204 32850 SH SOLE 328500 0 AVALONBACOM 05348410569.1895 10175 SH SOLE 101750 0 AVOCENT COM 05389310 680.913 48776 SH SOLE 487760 0 BANCO LACOM P16994132183.553 175668 SH SOLE 1756680 0 BANK NEWCOM 064058101401.956 47832 SH SOLE 478320 0 BANK OF COM 06050510 1647.73 124828 SH SOLE 1248280 0 BB&T CORCOM 054937101226.066 55781 SH SOLE 557810 0 BEST BUYCOM 086516101305.574 38984 SH SOLE 389840 0 BJ SVCS COM 055482101559.327 114404 SH SOLE 1144040 0 BLACK & COM 09179710 536.028 18703 SH SOLE 187030 0 BOSTON PCOM 1.01E+082164.244 45372 SH SOLE 453720 0 BRINKS CCOM 1.1E+081534.206 52849 SH SOLE 528490 0 BRISTOL COM 1.1E+082479.587 122087 SH SOLE 1220870 0 BROCADE COM 1.12E+081204.734 154058 SH SOLE 1540580 0 BRUSH ENCOM 1.17E+081095.165 65383 SH SOLE 653830 0 CENTURYTCOM 1.57E+081462.609 47642 SH SOLE 476420 0 CHEVRON COM 1.67E+081021.111 15413 SH SOLE 154130 0 CHUBB COCOM 1.71E+08963.3812 24157 SH SOLE 241570 0 CIGNA COCOM 1.26E+081812.797 75251 SH SOLE 752510 0 CISCO SYCOM 17275R10318.7658 17092 SH SOLE 170920 0 COHEN STCOM 19247V10 44.9075 12650 SH SOLE 126500 0 COLFAX CCOM 1.94E+08751.0634 97288 SH SOLE 972880 0 COLGATE COM 1.94E+081679.368 23740 SH SOLE 237400 0 COMERICACOM 2E+082067.857 97771 SH SOLE 977710 0 COMPUWARCOM 2.06E+08945.8705 137882 SH SOLE 1378820 0 CONAGRA COM 2.06E+081524.228 79970 SH SOLE 799700 0 CONNS INCOM 2.08E+081197.963 95837 SH SOLE 958370 0 CONOCOPHCOM 20825C103373.212 80200 SH SOLE 802000 0 CORRECTICOM 22025Y401210.419 71243 SH SOLE 712430 0 CORUS ENCOM 2.21E+081156.368 90838 SH SOLE 908380 0 DARLING COM 2.37E+08 1526.21 231244 SH SOLE 2312440 0 DB COMMOCOM 73935S10614.8116 27180 SH SOLE 271800 0 DEVON ENCOM 25179M102220.984 40752 SH SOLE 407520 0 DIGITAL COM 2.54E+083114.325 86871 SH SOLE 868710 0 DIRECTV COM 25459L101287.589 52108 SH SOLE 521080 0 DOMINIONCOM 25746U102065.991 61819 SH SOLE 618190 0 DOVER COCOM 2.6E+081913.429 57825 SH SOLE 578250 0 DOW CHEMCOM 2.61E+081224.009 75837 SH SOLE 758370 0 DUKE ENECOM 26441C101936.472 132726 SH SOLE 1327260 0 DUKE REACOM 2.64E+08724.4985 82611 SH SOLE 826110 0 E M C COCOM 2.69E+081397.574 106685 SH SOLE 1066850 0 EATON COCOM 2.78E+081819.642 40790 SH SOLE 407900 0 ELLIS PECOM 2.89E+08952.1002 130783 SH SOLE 1307830 0 ENCANA CCOM 2.93E+081677.973 33919 SH SOLE 339190 0 ENCORE CCOM 2.93E+08 2510.12 189443 SH SOLE 1894430 0 ENTERGY COM 29364G102524.206 32562 SH SOLE 325620 0 EQUITY LCOM 29472R101288.399 34653 SH SOLE 346530 0 ERESEARCCOM 29481V10975.8394 157140 SH SOLE 1571400 0 EXELON CCOM 30161N10274.6904 5364 SH SOLE 53640 0 EXPEDIA COM 30212P10732.3515 48468 SH SOLE 484680 0 EXXON MOCOM 30231G107601.454 108732 SH SOLE 1087320 0 FAIR ISACOM 3.03E+08 696.118 45027 SH SOLE 450270 0 FAIRCHILCOM 3.04E+081756.042 251222 SH SOLE 2512220 0 FEDERAL COM 3.14E+08836.9939 16246 SH SOLE 162460 0 FIDELITYCOM 31620R101012.071 74802 SH SOLE 748020 0 FIRST COCOM 3.2E+08932.4238 147070 SH SOLE 1470700 0 FIRST HOCOM 3.21E+082352.624 196052 SH SOLE 1960520 0 FNB UNITCOM 3.03E+08378.6762 152692 SH SOLE 1526920 0 FRANKLINCOM 3.55E+081358.325 18863 SH SOLE 188630 0 GENERAL COM 3.7E+081387.796 25055 SH SOLE 250550 0 GENERAL COM 3.7E+083656.159 311959 SH SOLE 3119590 0 GOLDMAN COM 38141G102294.768 15564 SH SOLE 155640 0 HARBOR ICOM 4.12E+082379.703 55124 SH SOLE 551240 0 HEALTH CCOM 40414L10436.1962 20585 SH SOLE 205850 0 HEALTHSPCOM 42224N10 1410.16 129849 SH SOLE 1298490 0 HERLEY ICOM 4.27E+081791.939 163349 SH SOLE 1633490 0 HEWLETT COM 4.28E+081082.664 28012 SH SOLE 280120 0 HOME DEPCOM 4.37E+082038.489 86267 SH SOLE 862670 0 HOST HOTCOM 44107P10311.3529 37110 SH SOLE 371100 0 I2 TECHNCOM 4.66E+082451.668 195352 SH SOLE 1953520 0 IBERIABACOM 4.51E+081967.268 49918 SH SOLE 499180 0 ICF INTECOM 44925C101797.019 65133 SH SOLE 651330 0 INFINITYCOM 45665Q101720.292 47183 SH SOLE 471830 0 INNOSPECCOM 45768S10788.7168 73369 SH SOLE 733690 0 INTEL COCOM 4.58E+082273.027 137343 SH SOLE 1373430 0 INTERNATCOM 4.6E+081665.668 104759 SH SOLE 1047590 0 INTERNETCOM 46059C202382.972 354082 SH SOLE 3540820 0 INTERPUBCOM 4.61E+08663.6508 131416 SH SOLE 1314160 0 IPC HOLDCOM G4933P101478.903 54093 SH SOLE 540930 0 ISHARES NOTE 4.64E+08894.7776 27840 SH SOLE 278400 0 ITC HOLDCOM 4.66E+08744.2215 16407 SH SOLE 164070 0 JAKKS PACOM 47012E101122.125 87461 SH SOLE 874610 0 JANUS CACOM 47102X10 1697.38 148893 SH SOLE 1488930 0 JDA SOFTCOM 46612K101749.378 116937 SH SOLE 1169370 0 JOHNSON COM 4.78E+082071.894 36477 SH SOLE 364770 0 JPMORGANCOM 46625H103588.713 105210 SH SOLE 1052100 0 KANSAS CCOM 4.85E+08767.6093 47648 SH SOLE 476480 0 KIMCO RECOM 49446R101353.655 134692 SH SOLE 1346920 0 KIMCO RENOTE 49446R84249.3075 12073 SH SOLE 120730 0 LABORATOCOM 50540R40322.6804 4760 SH SOLE 47600 0 LACLEDE COM 5.06E+081311.087 39574 SH SOLE 395740 0 LAZARD ECOM 52106N76177.7562 12293 SH SOLE 122930 0 LOCKHEEDCOM 5.4E+08 341.956 4240 SH SOLE 42400 0 MACERICHCOM 5.54E+082182.566 123939 SH SOLE 1239390 0 MARATHONCOM 5.66E+082068.575 68655 SH SOLE 686550 0 MARINER COM 56845T301490.417 126844 SH SOLE 1268440 0 MARSH & COM 5.72E+081540.408 76523 SH SOLE 765230 0 MCGRAW HCOM 5.81E+082469.863 82028 SH SOLE 820280 0 METLIFE COM 59156R102449.956 81638 SH SOLE 816380 0 MICROCHICOM 5.95E+08 1195.33 53008 SH SOLE 530080 0 MICROSEMCOM 5.95E+081749.688 126789 SH SOLE 1267890 0 MIRANT COM 60467R101581.445 100473 SH SOLE 1004730 0 MODUSLINCOM 60786L101977.244 288228 SH SOLE 2882280 0 MONSTER COM 6.12E+08 1592.98 134884 SH SOLE 1348840 0 NASH FINCOM 6.31E+08788.9072 29154 SH SOLE 291540 0 NATIONALCOM 63607P20663.4702 90638 SH SOLE 906380 0 NATIONWICOM 6.39E+08468.8798 18216 SH SOLE 182160 0 NATL PENCOM 6.37E+081132.778 245722 SH SOLE 2457220 0 NBTY INCCOM 6.29E+082028.127 72124 SH SOLE 721240 0 NESTLE SCOM 6.41E+08408.0742 10846 SH SOLE 108460 0 NICHOLASCOM 6.54E+081651.714 107955 SH SOLE 1079550 0 NII HLDGCOM 62913F202847.685 149328 SH SOLE 1493280 0 NIKE INCCOM 6.54E+08286.6023 5535 SH SOLE 55350 0 NORFOLK COM 6.56E+08963.2972 25572 SH SOLE 255720 0 NORTHROPCOM 6.67E+081121.398 24549 SH SOLE 245490 0 OAKMARK COM 4.14E+08299.5879 22852 SH SOLE 228520 0 OM GROUPCOM 6.71E+08722.9462 24912 SH SOLE 249120 0 OMNICOM COM 6.82E+081222.588 38714 SH SOLE 387140 0 ORTHOFIXCOM N6748L101542.292 61667 SH SOLE 616670 0 OWENS ILCOM 6.91E+08 868.254 30998 SH SOLE 309980 0 PAR PHARCOM 69888P101249.936 82504 SH SOLE 825040 0 PEPSICO COM 7.13E+08456.9924 8315 SH SOLE 83150 0 PEROT SYCOM 7.14E+08781.4722 54534 SH SOLE 545340 0 PFIZER ICOM 7.17E+082074.245 138283 SH SOLE 1382830 0 PHOCAS RCOM 007989421990.834 186582 SH SOLE 1865820 0 PHOCAS SCOM 007989411549.462 106859 SH SOLE 1068590 0 PIONEER COM 7.24E+081700.544 66688 SH SOLE 666880 0 PORTLANDCOM 7.37E+08764.1225 39226 SH SOLE 392260 0 POWELL ICOM 7.39E+081434.275 38691 SH SOLE 386910 0 PREFORMECOM 7.4E+082147.396 48738 SH SOLE 487380 0 PRIDE INCOM 74153Q101782.393 71125 SH SOLE 711250 0 PRINCIPACOM 74251V101486.306 78891 SH SOLE 788910 0 PROCTER COM 7.43E+081785.638 34944 SH SOLE 349440 0 PROLOGISCOM 7.43E+082983.852 370205 SH SOLE 3702050 0 PUBLIC SCOM 74460D10745.0969 11379 SH SOLE 113790 0 REGENCY COM 7.59E+08 317.681 9100 SH SOLE 91000 0 REPUBLICCOM 7.6E+082540.923 112480 SH SOLE 1124800 0 ROSETTA COM 7.78E+081213.949 138737 SH SOLE 1387370 0 ROWAN COCOM 7.79E+08692.9504 35867 SH SOLE 358670 0 ROYAL DUCOM 7.8E+08 200.76 4000 SH SOLE 40000 0 SAFETY ICOM 78648T101843.807 60334 SH SOLE 603340 0 SAFEWAY COM 7.87E+081107.191 54354 SH SOLE 543540 0 SANDY SPCOM 8E+08649.6077 44191 SH SOLE 441910 0 SCANSOURCOM 8.06E+08968.9814 39518 SH SOLE 395180 0 SCHLUMBECOM 8.07E+08471.4063 8712 SH SOLE 87120 0 SCHNITZECOM 8.07E+081811.301 34266 SH SOLE 342660 0 SCHWAB SCOM 8.09E+08184.0781 12855 SH SOLE 128550 0 SENSIENTCOM 81725T10 1515.26 67136 SH SOLE 671360 0 SIMON PPCOM 8.29E+08 2987.26 58084 SH SOLE 580840 0 SPDR S&PCOM 78462F101093.286 11890 SH SOLE 118900 0 STATE STCOM 8.57E+082151.848 45590 SH SOLE 455900 0 STEINER COM P8744Y102771.727 90787 SH SOLE 907870 0 STRATTONCOM 8.63E+08268.8735 8220 SH SOLE 82200 0 STRYKER COM 8.64E+081480.196 37247 SH SOLE 372470 0 SUNSTONECOM 8.68E+08822.6856 153773 SH SOLE 1537730 0 SWIFT ENCOM 8.71E+081822.343 109450 SH SOLE 1094500 0 SYMANTECCOM 8.72E+081411.984 90628 SH SOLE 906280 0 SYNAPTICCOM 87157D102502.356 64744 SH SOLE 647440 0 SYNERON COM M8724510786.8717 108985 SH SOLE 1089850 0 SYNIVERSCOM 87163F101984.161 123778 SH SOLE 1237780 0 SYNNEX CCOM 87162W101910.336 76444 SH SOLE 764440 0 SYSTEMAXCOM 8.72E+081015.637 85276 SH SOLE 852760 0 TALISMANCOM 87425E101794.538 125580 SH SOLE 1255800 0 TARGET CCOM 87612E10 284.184 7200 SH SOLE 72000 0 TCF FINLCOM 8.72E+081457.303 108998 SH SOLE 1089980 0 TELLABS COM 8.8E+08781.3027 136353 SH SOLE 1363530 0 TEVA PHACOM 8.82E+081553.421 31484 SH SOLE 314840 0 TIME WARCOM 8.87E+081006.038 39938 SH SOLE 399380 0 TIMKEN CCOM 8.87E+081233.022 72191 SH SOLE 721910 0 TREDEGARCOM 8.95E+08708.7972 53213 SH SOLE 532130 0 TREEHOUSCOM 89469A101368.848 47579 SH SOLE 475790 0 TRIUMPH COM 8.97E+08 1459.24 36481 SH SOLE 364810 0 UNILEVERCOM 9.05E+08530.1707 21926 SH SOLE 219260 0 UNITED SCOM 9.13E+081067.447 29867 SH SOLE 298670 0 UNITED SCOM 9.13E+081869.568 53600 SH SOLE 536000 0 UNITED TCOM 9.13E+08 253.305 4875 SH SOLE 48750 0 UNITIL CCOM 9.13E+08 593.691 28792 SH SOLE 287920 0 URS CORPCOM 9.03E+082879.093 58140 SH SOLE 581400 0 US BANCOCOM 9.03E+081101.292 61456 SH SOLE 614560 0 VALUECLICOM 92046N101456.168 138419 SH SOLE 1384190 0 VENTAS ICOM 92276F10563.1895 18861 SH SOLE 188610 0 VERIZON COM 92343V10 2826.73 91986 SH SOLE 919860 0 VIROPHARCOM 9.28E+08840.2039 141687 SH SOLE 1416870 0 VORNADO COM 9.29E+08544.5498 12093 SH SOLE 120930 0 WALGREENCOM 9.31E+083094.526 105256 SH SOLE 1052560 0 WALT DISCOM 2.55E+081495.873 64118 SH SOLE 641180 0 WASHINGTCOM 9.37E+081498.609 159088 SH SOLE 1590880 0 WASTE MGCOM 94106L10 1581.1 56147 SH SOLE 561470 0 WATSON WCOM 9.43E+08755.0285 20118 SH SOLE 201180 0 WATTS WACOM 9.43E+08786.2746 36503 SH SOLE 365030 0 WELLS FACOM 9.5E+08 447.5 18446 SH SOLE 184460 0 WESTERN COM 9.6E+08379.8076 23159 SH SOLE 231590 0 WMS INDSCOM 9.29E+08 2249.53 71391 SH SOLE 713910 0 WOLVERINCOM 9.78E+082152.857 97591 SH SOLE 975910 0 WSFS FINCOM 9.29E+081585.974 58073 SH SOLE 580730 0 WYETH COM 9.83E+08255.3188 5625 SH SOLE 56250 0 ZIONS BACOM 9.9E+08562.1744 48631 SH SOLE 486310 0
NAME OF TITLE OFCUSIP VALUE SHARES /SH/ PUT/ INVESTMEOTHER VOTING AUTHORITY CLASS (1000) PRN AMT PRN CALL DISCRETIMANAGERSSOLE SHARED NONE
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