-----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, J+s976mg/qqKbPeuRP5LXzdSC55vtIVqfuxuSLw1OaVavhw7CODfxb7vQEjXMaet 5RDm+ubtiAMB/TrlhG31JQ== 0001144204-08-045484.txt : 20080812 0001144204-08-045484.hdr.sgml : 20080812 20080811180810 ACCESSION NUMBER: 0001144204-08-045484 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080630 FILED AS OF DATE: 20080812 DATE AS OF CHANGE: 20080811 EFFECTIVENESS DATE: 20080812 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FCA CORP /TX CENTRAL INDEX KEY: 0001166402 IRS NUMBER: 760076528 STATE OF INCORPORATION: TX FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10019 FILM NUMBER: 081007660 BUSINESS ADDRESS: STREET 1: 5847 SAN FELIPE # 850 CITY: HOUSTON STATE: TX ZIP: 77057 BUSINESS PHONE: 7137812856 MAIL ADDRESS: STREET 1: 5847 SAN FELIPE CITY: HOUSTON STATE: TX ZIP: 77057 13F-HR 1 v122796_13fhr.txt UNITED STATES SEUCRITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F Report for the Calendar Year or quarter Ended June 30, 2008 If amended report check here: [ ] Amendment Number:___ This Amendment (Check only one): [ ] is a restatement [ ] adds new holding entries FCA Corp - -------------------------------------------------------------------------------- Name of Insitutional Investment Manager 5847 San Felipe, Suite 850 Houston Texas 77057 - -------------------------------------------------------------------------------- Business Address (Street) (City) (State) (Zip Code) 13F File Number: 028-10019 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, and tables are considered integral parts of this form. Person signing this Report on behalf of Reporting Manager: Ruth Willars Chief Compliance Officer 713-260-1431 - -------------------------------------------------------------------------------- Name Title Telephone /s/ Ruth Willars -------------------------------- Manual Signature of Person Duly Authorized to submit this Report Houston, TX 08-11-2008 -------------------------------- Place and Date of Signing Report Type: [X] 13F Holdings Report [ ] 13F Notice [ ] 13F Combination Report Report Summary: Number of other included managers: 0 Form 13F information table entry total: 249 Form 13F table value total: $177,078 List of other included Managers: None FCA Corp Form 13(f) For the Quarter Ending December 31, 2007
INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR MKT SHARES OR --------------------- ----------------- OF ID CUSIP VALUE PRINCIPAL SH/ PUT/ SOLE SHARED OTHER OTHER SOLE SHARED OTHER NAME OF ISSUER CLASS NUMBER (X1,000) AMOUNT PRN CALL (A) (B) (C) MANAGERS (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ 1ST CENTURY BANCSHARES INC COMMON STOCK 31943X102 361 62,800 SH 62,800 62,800 3M CO COMMON STOCK 88579Y101 987 14,185 SH 14,185 14,185 AGCO CORP COMMON STOCK 001084102 629 12,000 SH 12,000 12,000 ALAMO GROUP INC COMMON STOCK 011311107 1,313 63,752 SH 63,752 63,752 ALEXANDRIA REAL ESTATE EQUIT REIT 015271109 243 2,500 SH 2,500 2,500 ALTO PALERMO S.A.-ADR ADR 02151P107 251 17,000 SH 17,000 17,000 AMDOCS LTD COMMON STOCK G02602103 294 10,000 SH 10,000 10,000 AMERICAN BUSINESS BANK COMMON STOCK 02475L105 932 43,851 SH 43,851 43,851 AMERICAN EXPRESS CO COMMON STOCK 025816109 809 21,485 SH 21,485 21,485 AMERICAN INTERNATIONAL GROUP COMMON STOCK 026874107 897 33,910 SH 33,910 33,910 AMERICAN LAND LEASE INC REIT 027118108 239 12,600 SH 7,000 5,600 5,600 7,000 AMERICAN NATIONAL INSURANCE COMMON STOCK 028591105 441 4,498 SH 4,498 4,498 AMERICAN STATES WATER CO COMMON STOCK 029899101 1,698 48,600 SH 48,600 48,600 AMERON INTERNATIONAL CORP COMMON STOCK 030710107 1,953 16,275 SH 16,275 16,275 AMGEN INC COMMON STOCK 031162100 1,396 29,602 SH 29,602 29,602 ANGLO AMERICAN PLC-UNSP ADR ADR 03485P201 419 11,830 SH 11,830 11,830 AQUA AMERICA INC COMMON STOCK 03836W103 453 28,384 SH 28,384 28,384 ARKEMA-SPONSORED ADR ADR 041232109 346 6,130 SH 6,130 6,130 AT&T INC COMMON STOCK 00206R102 1,139 33,814 SH 33,814 33,814 ATMOS ENERGY CORP COMMON STOCK 049560105 414 15,000 SH 15,000 15,000 AUTOMATIC DATA PROCESSING COMMON STOCK 053015103 229 5,460 SH 5,460 5,460 BANCO BILBAO VIZCAYA-SP ADR ADR 05946K101 327 17,220 SH 17,220 17,220 BANCO SANTANDER SA-SPON ADR ADR 05964H105 309 17,000 SH 17,000 17,000 BANK OF AMERICA CORP COMMON STOCK 060505104 601 25,175 SH 25,175 25,175 BAXTER INTERNATIONAL INC COMMON STOCK 071813109 1,049 16,400 SH 16,400 16,400 BIMINI CAPITAL MANAGEMENT-A REIT 090319104 4 13,400 SH 13,400 13,400 BIOMED REALTY TRUST INC REIT 09063H107 221 9,000 SH 9,000 9,000 BIOVAIL CORP COMMON STOCK 09067J109 154 16,000 SH 16,000 16,000 BLACKROCK LTD DURATION INC CLOSED-END FUND 09249W101 153 10,000 SH 10,000 10,000 BNP PARIBAS-ADR ADR 05565A202 269 6,000 SH 6,000 6,000 BOK FINANCIAL CORPORATION COMMON STOCK 05561Q201 200 3,751 SH 3,751 3,751 BOSTON PROPERTIES INC REIT 101121101 226 2,500 SH 2,500 2,500 BP PLC-SPONS ADR ADR 055622104 326 4,680 SH 4,680 4,680 BUNGE LTD COMMON STOCK G16962105 700 6,500 SH 6,500 6,500 BURLINGTON NORTHERN SANTA FE COMMON STOCK 12189T104 2,612 26,150 SH 26,150 26,150 CALIFORNIA WATER SERVICE GRP COMMON STOCK 130788102 1,652 50,400 SH 50,400 50,400 CAMDEN PROPERTY TRUST REIT 133131102 221 5,000 SH 5,000 5,000 CATERPILLAR INC COMMON STOCK 149123101 635 8,600 SH 8,600 8,600 CEMEX SAB-SPONS ADR PART CER ADR 151290889 303 12,249 SH 12,249 12,249 CENTRAL SECURITIES CORP CLOSED-END FUND 155123102 869 33,667 SH 33,667 33,667 CHASE CORP COMMON STOCK 16150R104 616 32,629 SH 32,629 32,629 CHEVRON CORP COMMON STOCK 166764100 518 5,229 SH 5,229 5,229 CIA SANEAMENTO BASICO DE-ADR ADR 20441A102 256 5,000 SH 5,000 5,000 CIA VALE DO RIO DOCE-ADR ADR 204412209 860 24,000 SH 24,000 24,000 CIMAREX ENERGY CO COMMON STOCK 171798101 416 5,974 SH 5,974 5,974 CISCO SYSTEMS INC COMMON STOCK 17275R102 288 12,366 SH 12,366 12,366 COCA-COLA CO/THE COMMON STOCK 191216100 299 5,744 SH 5,744 5,744 COHEN & STEERS SEL UTILITY CLOSED-END FUND 19248A109 512 21,000 SH 21,000 21,000 COMMUNITY SOUTHERN BANK-CW08 EQUITY WRT 20405A114 16 2,000 SH 2,000 2,000 CONMED CORP COMMON STOCK 207410101 205 7,720 SH 7,720 7,720 CONSTELLATION ENERGY GROUP COMMON STOCK 210371100 1,232 15,000 SH 15,000 15,000 CONTINENTAL AIRLINES-CLASS B COMMON STOCK 210795308 101 10,000 SH 10,000 10,000 COOPER TIRE & RUBBER COMMON STOCK 216831107 255 32,548 SH 32,548 32,548 CREDIT SUISSE ASSET MGMT INC CLOSED-END FUND 224916106 150 44,800 SH 44,800 44,800 CRH PLC-SPONSORED ADR ADR 12626K203 263 9,200 SH 9,200 9,200 CVS CAREMARK CORP COMMON STOCK 126650100 2,611 65,975 SH 65,975 65,975 DECEMBER 08 CALLS ON QQQQ US EQUITY OPTION 73935A904 0 40 SH CALL 40 40 DENTSPLY INTERNATIONAL INC COMMON STOCK 249030107 247 6,700 SH 6,700 6,700 DESARROLLADORA HOMEX-ADR ADR 25030W100 527 9,000 SH 9,000 9,000 DEUTSCHE BANK AG-REGISTERED COMMON STOCK D18190898 341 4,000 SH 4,000 4,000 DIAMONDROCK HOSPITALITY CO REIT 252784301 131 12,000 SH 12,000 12,000 DIME BANCORP-WT EQUITY WRT 25429Q110 0 260 SH 260 260 DOW CHEMICAL COMMON STOCK 260543103 860 24,640 SH 24,640 24,640 DRS TECHNOLOGIES INC COMMON STOCK 23330X100 1,475 18,740 SH 18,740 18,740 DST SYSTEMS INC COMMON STOCK 233326107 407 7,385 SH 7,385 7,385 DUKE REALTY CORP REIT 264411505 328 14,600 SH 14,600 14,600 DWS GLBL COMMOD STOCK FD INC CLOSED-END FUND 23338Y100 1,878 92,500 SH 92,500 92,500 DWS RREEF REAL ESTATE FD II CLOSED-END FUND 23338X102 147 12,800 SH 12,800 12,800 E.ON AG -SPONSORED ADR ADR 268780103 536 8,000 SH 8,000 8,000 EATON VANCE LTD DURATION FND CLOSED-END FUND 27828H105 151 10,400 SH 10,400 10,400 ELECTRONIC ARTS INC COMMON STOCK 285512109 444 10,000 SH 10,000 10,000 EMERSON ELECTRIC CO COMMON STOCK 291011104 208 4,200 SH 4,200 4,200 ENERGY SELECT SECTOR SPDR ETF 81369Y506 3,047 34,440 SH 34,440 34,440 EQUITY INCOME FUND (AT&T) CLOSED-END FUND 294700703 728 7,204 SH 7,204 7,204 EQUITY ONE INC REIT 294752100 254 12,359 SH 12,359 12,359 EQUITY RESIDENTIAL REIT 29476L107 230 6,000 SH 6,000 6,000 EVEREST RE GROUP LTD COMMON STOCK G3223R108 313 3,930 SH 3,930 3,930 EVERGREEN MULTI SECTOR INC F CLOSED-END FUND 30024Y104 173 11,200 SH 11,200 11,200 EXTRA SPACE STORAGE INC REIT 30225T102 203 13,200 SH 13,200 13,200 EXXON MOBIL CORP COMMON STOCK 30231G102 2,184 24,787 SH 24,787 24,787 FANNIE MAE PUBLIC 313586794 330 7,000 SH 7,000 7,000 FIRST SEISMIC CORP COMMON STOCK 336397104 1 229,681 SH 229,681 229,681 FIRST TRUST/FOUR CRNS SR F 2 CLOSED-END FUND 33733U108 182 12,849 SH 12,849 12,849 FISERV INC COMMON STOCK 337738108 225 4,960 SH 4,960 4,960 FLAGSTAR BANCORP INC COMMON STOCK 337930101 66 22,000 SH 22,000 22,000 FORD MOTOR CO CAP TR II PUBLIC 345395206 228 8,250 SH 8,250 8,250 FPL GROUP INC COMMON STOCK 302571104 2,564 39,100 SH 39,100 39,100 FRANCE TELECOM SA-SPONS ADR ADR 35177Q105 444 15,000 SH 15,000 15,000 FRONTERA RESOURCES CORP COMMON STOCK 359044609 75 35,000 SH 35,000 35,000 GENERAL ELECTRIC CO COMMON STOCK 369604103 395 14,800 SH 14,800 14,800 GENESEE & WYOMING INC-CL A COMMON STOCK 371559105 4,077 119,835 SH 119,835 119,835 GLAXOSMITHKLINE PLC-SPON ADR ADR 37733W105 608 13,759 SH 5,759 8,000 8,000 5,759 GRUPO TELEVISA SA-SPONS ADR ADR 40049J206 354 15,000 SH 15,000 15,000 HANG LUNG PROPERTIES-SP ADR ADR 41043M104 288 18,000 SH 18,000 18,000 HERCULES OFFSHORE INC COMMON STOCK 427093109 222 5,846 SH 5,846 5,846 HERSHA HOSPITALITY TRUST REIT 427825104 91 12,000 SH 12,000 12,000 HOME DEPOT INC COMMON STOCK 437076102 509 21,732 SH 18,432 3,300 3,300 18,432 HOST HOTELS & RESORTS INC REIT 44107P104 159 11,636 SH 11,636 11,636 HOUSTON WIRE & CABLE CO COMMON STOCK 44244K109 1,230 61,800 SH 61,800 61,800 HRPT PROPERTIES TRUST REIT 40426W101 68 10,100 SH 10,100 10,100 ING GROEP N.V.-SPONSORED ADR ADR 456837103 437 13,842 SH 13,842 13,842 INGLES MARKETS INC -CL A COMMON STOCK 457030104 2,286 98,003 SH 98,003 98,003 INTEGRYS ENERGY GROUP INC COMMON STOCK 45822P105 1,138 22,388 SH 22,388 22,388 INTEL CORP COMMON STOCK 458140100 791 36,842 SH 36,842 36,842 INTERCONTINENTAL HOTELS-ADR ADR 45857P301 253 19,003 SH 19,003 19,003 INTEROIL CORP COMMON STOCK 460951106 441 15,000 SH 15,000 15,000 INTL BUSINESS MACHINES CORP COMMON STOCK 459200101 1,234 10,408 SH 10,408 10,408 INTL RECTIFIER CORP COMMON STOCK 460254105 192 10,000 SH 10,000 10,000 INTL SPEEDWAY CORP-CL A COMMON STOCK 460335201 308 7,900 SH 7,900 7,900 IRSA -SP GDR GDR 450047204 113 10,000 SH 10,000 10,000 ISHARES COHEN & STEERS RLTY ETF 464287564 2,088 27,788 SH 24,788 3,000 3,000 24,788 ISHARES DJ US ENERGY SECTOR ETF 464287796 234 4,630 SH 4,630 4,630 ISHARES DJ US REAL ESTATE ETF 464287739 472 7,760 SH 4,560 3,200 3,200 4,560 ISHARES DJ US TECHNOLOGY SEC ETF 464287721 339 6,250 SH 6,250 6,250 ISHARES DJ US TRANSPORT AVG ETF 464287192 548 6,200 SH 6,200 6,200 ISHARES DJ US UTILITIES SECT ETF 464287697 287 2,900 SH 2,900 2,900 ISHARES IBOXX H/Y CORP BOND ETF 464288513 705 7,500 SH 7,500 7,500 ISHARES LEHMAN 1-3YR TRS BD ETF 464287457 414 5,000 SH 5,000 5,000 ISHARES MORNINGSTAR LG VAL I ETF 464288109 212 3,200 SH 3,200 3,200 ISHARES MSCI EAFE GROWTH INX ETF 464288885 568 8,050 SH 8,050 8,050 ISHARES MSCI EAFE INDEX FUND ETF 464287465 4,604 67,039 SH 67,039 67,039 ISHARES MSCI EMERGING MKT IN ETF 464287234 751 16,601 SH 16,601 16,601 ISHARES MSCI EMU ETF 464286608 992 20,242 SH 20,242 20,242 ISHARES MSCI JAPAN INDEX FD ETF 464286848 1,399 112,215 SH 87,215 25,000 25,000 87,215 ISHARES MSCI UNITED KINGDOM ETF 464286699 416 20,100 SH 20,100 20,100 ISHARES NASDAQ BIOTECH INDX ETF 464287556 353 4,600 SH 4,600 4,600 ISHARES RUSSELL 1000 INDEX ETF 464287622 212 3,010 SH 3,010 3,010 ISHARES RUSSELL 2000 ETF 464287655 414 6,000 SH 6,000 6,000 ISHARES RUSSELL 2000 VALUE ETF 464287630 277 4,350 SH 4,350 4,350 ISHARES RUSSELL 3000 GROWTH ETF 464287671 488 10,880 SH 10,880 10,880 ISHARES RUSSELL 3000 VALUE ETF 464287663 450 5,022 SH 5,022 5,022 ISHARES S&P 500 GROWTH INDEX ETF 464287309 314 4,925 SH 4,925 4,925 ISHARES S&P CALI MUNI BOND ETF 464288356 267 2,600 SH 2,600 2,600 ISHARES S&P EUROPE 350 ETF 464287861 1,406 28,918 SH 28,918 28,918 ISHARES S&P GLBL HEALTHCARE ETF 464287325 2,573 49,900 SH 49,900 49,900 ISHARES S&P GLOBAL 100 ETF 464287572 752 10,908 SH 10,908 10,908 ISHARES S&P MIDCAP 400 ETF 464287507 2,322 28,464 SH 28,464 28,464 ISHARES S&P MIDCAP 400/GRWTH ETF 464287606 1,605 18,130 SH 18,130 18,130 ISHARES S&P MIDCAP 400/VALUE ETF 464287705 1,729 23,355 SH 23,355 23,355 ISHARES S&P NA TEC SEC IND F ETF 464287549 225 4,300 SH 4,300 4,300 ISHARES S&P NA TEC-MUL N IF ETF 464287531 291 10,200 SH 10,200 10,200 ISHARES S&P SMALLCAP 600 ETF 464287804 1,202 19,985 SH 19,985 19,985 ISHARES S&P SMALLCAP 600/GRO ETF 464287887 702 11,014 SH 11,014 11,014 ISHARES S&P SMALLCAP 600/VAL ETF 464287879 2,458 38,590 SH 38,590 38,590 ISHARES S&P/TOPIX 150 INDEX ETF 464287382 210 3,800 SH 300 3,500 3,500 300 JAMES HARDIE INDS-SPONS ADR ADR 47030M106 244 12,100 SH 12,100 12,100 JANUS CAPITAL GROUP INC COMMON STOCK 47102X105 1,457 55,025 SH 55,025 55,025 JOHN HAN BK & THRIFT OPP FD CLOSED-END FUND 409735107 722 158,402 SH 158,402 158,402 JOHNSON & JOHNSON COMMON STOCK 478160104 944 14,668 SH 14,668 14,668 KAYNE ANDERSON ENERGY TOT RT CLOSED-END FUND 48660P104 277 9,500 SH 9,500 9,500 KINGFISHER PLC-SPONS ADR ADR 495724403 53 12,000 SH 12,000 12,000 KITE REALTY GROUP TRUST REIT 49803T102 125 10,000 SH 10,000 10,000 KMG CHEMICALS INC COMMON STOCK 482564101 1,052 101,828 SH 101,828 101,828 KT CORP-SP ADR ADR 48268K101 203 9,500 SH 9,500 9,500 KVH INDUSTRIES INC COMMON STOCK 482738101 217 26,000 SH 26,000 26,000 LACLEDE GROUP INC/THE COMMON STOCK 505597104 807 20,000 SH 20,000 20,000 LIFEPOINT HOSPITALS INC COMMON STOCK 53219L109 425 15,000 SH 15,000 15,000 LMP REAL ESTATE INCOME FUND CLOSED-END FUND 50208C108 245 16,000 SH 16,000 16,000 LOWE'S COS INC COMMON STOCK 548661107 1,601 77,153 SH 71,153 6,000 6,000 71,153 LUBRIZOL CORP COMMON STOCK 549271104 234 5,055 SH 5,055 5,055 LUFKIN INDUSTRIES INC COMMON STOCK 549764108 833 10,000 SH 10,000 10,000 MANULIFE FINANCIAL CORP COMMON STOCK 56501R106 269 7,762 SH 7,762 7,762 MARKET VECTORS AGRIBUSINESS ETF 57060U605 472 7,620 SH 7,620 7,620 MEDALLION FINANCIAL CORP COMMON STOCK 583928106 1,226 130,175 SH 130,175 130,175 METROCORP BANCSHARES INC COMMON STOCK 591650106 120 10,000 SH 10,000 10,000 MFS GOVT MARKETS INC TRUST CLOSED-END FUND 552939100 75 10,799 SH 10,799 10,799 MICROFINANCIAL INC COMMON STOCK 595072109 2,369 647,400 SH 647,400 647,400 MICROSOFT CORP COMMON STOCK 594918104 1,121 40,751 SH 40,751 40,751 MIDCAP SPDR TRUST SERIES 1 ETF 595635103 1,464 9,839 SH 9,839 9,839 MITSUBISHI UFJ FINL GRP-ADR ADR 606822104 88 10,000 SH 10,000 10,000 NATIONAL GRID PLC-SP ADR ADR 636274300 203 3,071 SH 3,071 3,071 NATIONAL OILWELL VARCO INC COMMON STOCK 637071101 645 7,266 SH 7,266 7,266 NETFLIX INC COMMON STOCK 64110L106 1,643 63,013 SH 63,013 63,013 NEUBERGER BERMAN REAL ESTATE CLOSED-END FUND 64190A103 162 17,379 SH 17,379 17,379 NEW IRELAND FUND INC CLOSED-END FUND 645673104 260 15,300 SH 15,300 15,300 NEXEN INC COMMON STOCK 65334H102 2,067 52,003 SH 52,003 52,003 NFJ DVD INTEREST & PR STRAT CLOSED-END FUND 65337H109 1,155 54,345 SH 54,345 54,345 NICE SYSTEMS LTD-SPONS ADR ADR 653656108 296 10,000 SH 10,000 10,000 NORFOLK SOUTHERN CORP COMMON STOCK 655844108 564 9,000 SH 9,000 9,000 NORTHROP GRUMMAN CORP COMMON STOCK 666807102 301 4,500 SH 4,500 4,500 NORTHWEST NATURAL GAS CO COMMON STOCK 667655104 278 6,000 SH 6,000 6,000 NORTHWEST PIPE COMPANY COMMON STOCK 667746101 1,811 32,450 SH 32,450 32,450 NOVARTIS AG-ADR ADR 66987V109 1,797 32,650 SH 32,650 32,650 OCCIDENTAL PETROLEUM CORP COMMON STOCK 674599105 243 2,700 SH 2,700 2,700 OIL SERVICE HOLDRS TRUST ETF 678002106 2,142 9,650 SH 9,650 9,650 ORACLE CORP COMMON STOCK 68389X105 580 27,620 SH 27,620 27,620 PARKER DRILLING CO COMMON STOCK 701081101 791 79,000 SH 79,000 79,000 PENTAIR INC COMMON STOCK 709631105 447 12,760 SH 12,760 12,760 PEOPLESUPPORT INC COMMON STOCK 712714302 573 67,399 SH 67,399 67,399 PETROQUEST ENERGY INC COMMON STOCK 716748108 269 10,000 SH 10,000 10,000 PFIZER INC COMMON STOCK 717081103 326 18,675 SH 18,675 18,675 PHOENIX COMPANIES INC COMMON STOCK 71902E109 739 97,074 SH 97,074 97,074 PIMCO CORPORATE INCOME FUND CLOSED-END FUND 72200U100 192 13,600 SH 13,600 13,600 PORTUGAL TELECOM SGPS-SP ADR ADR 737273102 228 20,300 SH 20,300 20,300 POWERSHARES DB US DOL IND BU ETF 73936D107 570 25,330 SH 25,330 25,330 PRAXAIR INC COMMON STOCK 74005P104 1,916 20,335 SH 20,335 20,335 PROGRESS ENERGY INC COMMON STOCK 743263105 1,568 37,474 SH 37,474 37,474 PROLOGIS REIT 743410102 299 5,500 SH 5,500 5,500 PROSPECT STREET INCOME SHRS CLOSED-END FUND 743590101 146 30,800 SH 30,800 30,800 PRUDENTIAL FINANCIAL INC COMMON STOCK 744320102 335 5,600 SH 600 5,000 5,000 600 PUBLIC STORAGE REIT 74460D109 444 5,500 SH 1,500 4,000 4,000 1,500 RED ALERT GROUP INC COMMON STOCK 75629Q105 0 25,067 SH 25,067 25,067 REGAL BELOIT CORP COMMON STOCK 758750103 717 16,970 SH 16,970 16,970 RGC RESOURCES INC COMMON STOCK 74955L103 587 21,330 SH 21,330 21,330 ROYCE MICRO-CAP TRUST INC CLOSED-END FUND 780915104 793 76,428 SH 76,428 76,428 ROYCE VALUE TRUST CLOSED-END FUND 780910105 3,398 216,733 SH 216,733 216,733 RYDEX S&P EQ WGT HEALTHCARE ETF 78355W841 1,315 25,750 SH 25,750 25,750 SAP AG-SPONSORED ADR ADR 803054204 261 5,000 SH 5,000 5,000 SCANA CORP COMMON STOCK 80589M102 225 6,075 SH 6,075 6,075 SENIOR HOUSING PROP TRUST REIT 81721M109 201 10,300 SH 3,500 6,800 6,800 3,500 SIEMENS AG-SPONS ADR ADR 826197501 330 3,000 SH 3,000 3,000 SMITH INTERNATIONAL INC COMMON STOCK 832110100 373 4,490 SH 4,490 4,490 SOUTHWEST WATER CO COMMON STOCK 845331107 946 94,410 SH 94,410 94,410 SPDR TRUST SERIES 1 ETF 78462F103 744 5,814 SH 5,814 5,814 STARWOOD HOTELS & RESORTS COMMON STOCK 85590A401 220 5,500 SH 5,500 5,500 STONEMOR PARTNERS LP LTD PART 86183Q100 687 39,330 SH 39,330 39,330 STRATEGIC HOTELS & RESORTS I REIT 86272T106 94 10,000 SH 10,000 10,000 SUBURBAN PROPANE PARTNERS LP LTD PART 864482104 1,154 30,175 SH 30,175 30,175 SWS GROUP INC COMMON STOCK 78503N107 230 13,821 SH 13,821 13,821 TARGET CORP COMMON STOCK 87612E106 232 4,985 SH 4,985 4,985 TCW STRATEGIC INCOME FUND IN CLOSED-END FUND 872340104 137 37,200 SH 37,200 37,200 TEVA PHARMACEUTICAL-SP ADR ADR 881624209 485 10,598 SH 400 10,198 10,198 400 TEXAS INSTRUMENTS INC COMMON STOCK 882508104 279 9,900 SH 9,900 9,900 TOTAL SA-SPON ADR ADR 89151E109 443 5,200 SH 5,200 5,200 TS&W/CLAYMORE T/A BALANCED CLOSED-END FUND 87280R108 190 17,132 SH 17,132 17,132 UCN INC COMMON STOCK 902636109 24 10,500 SH 10,500 10,500 UDR INC REIT 902653104 621 27,744 SH 23,744 4,000 4,000 23,744 UNILEVER N V -NY SHARES NY REG SHRS 904784709 256 9,000 SH 9,000 9,000 UNITED FIRE & CASUALTY CO COMMON STOCK 910331107 1,574 58,439 SH 58,439 58,439 UNITED TECHNOLOGIES CORP COMMON STOCK 913017109 2,892 46,866 SH 46,866 46,866 USG CORP COMMON STOCK 903293405 207 7,000 SH 7,000 7,000 VAN KAMPEN BOND FUND CLOSED-END FUND 920955101 193 11,600 SH 11,600 11,600 VAN KAMPEN SENIOR INCOME TRS CLOSED-END FUND 920961109 180 31,200 SH 31,200 31,200 VARIAN SEMICONDUCTOR EQUIP COMMON STOCK 922207105 418 12,000 SH 12,000 12,000 VITRAN CORP INC COMMON STOCK 92850E107 240 16,000 SH 16,000 16,000 VODAFONE GROUP PLC-SP ADR ADR 92857W209 258 8,750 SH 875 7,875 7,875 875 VORNADO REALTY TRUST REIT 929042109 264 3,000 SH 3,000 3,000 VTEX ENERGY INC COMMON STOCK 92908G104 0 10,000 SH 10,000 10,000 WAL-MART STORES INC COMMON STOCK 931142103 241 4,285 SH 4,285 4,285 WASTE MANAGEMENT INC COMMON STOCK 94106L109 2,120 56,220 SH 56,220 56,220 WELLS FARGO & CO COMMON STOCK 949746101 396 16,665 SH 16,665 16,665 WESTERN ASSET HIGH INCOME OP CLOSED-END FUND 95766K109 170 30,200 SH 30,200 30,200 WESTERN ASSET MANAGED HIGH Y CLOSED-END FUND 95766L107 176 30,800 SH 30,800 30,800 WGL HOLDINGS INC COMMON STOCK 92924F106 2,170 62,471 SH 62,471 62,471 WILLIAMS COS INC COMMON STOCK 969457100 6,533 162,068 SH 162,068 162,068 WILLIAMS-SONOMA INC COMMON STOCK 969904101 997 50,250 SH 50,250 50,250 WISCONSIN ENERGY CORP COMMON STOCK 976657106 1,090 24,105 SH 24,105 24,105 XCEL ENERGY INC COMMON STOCK 98389B100 955 47,608 SH 47,608 47,608 XM SATELLITE RADIO HOLD-CL A COMMON STOCK 983759101 157 20,000 SH 20,000 20,000
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