-----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, REGLww3Wjtfp+eLFfrLD9bJ938m4Bc5WzdAg8RNaDNfrlNw5P7beyCOK75SSZTsp Yl7bacU+QstOUFv+cPAZQw== 0001144204-07-025356.txt : 20070515 0001144204-07-025356.hdr.sgml : 20070515 20070515102224 ACCESSION NUMBER: 0001144204-07-025356 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070331 FILED AS OF DATE: 20070515 DATE AS OF CHANGE: 20070515 EFFECTIVENESS DATE: 20070515 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: 07849934 BUSINESS ADDRESS: STREET 1: 5847 SAN FELIPE # 850 CITY: HOUSTON STATE: TX ZIP: 77057 BUSINESS PHONE: 7137817195 MAIL ADDRESS: STREET 1: 5847 SAN FELIPE CITY: HOUSTON STATE: TX ZIP: 77057 13F-HR 1 v074720_13fhr.txt ---------------------- OMB APPROVAL ---------------------- OMB Number: Expires: Estimated average burden hours per response... UNITED STATES SEUCRITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F Report for the Calendar Year or quarter Ended March 31, 2007 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: Katheryn E. Surface Burks Chief Compliance Officer 713-260-1440 - ------------------------------------------------------------------------------- Name Title Telephone /s/ Katheryn E. Surface Burks -------------------------------- Manual Signature of Person Duly Authorized to submit this Report Houston, TX 5-11-2007 -------------------------------- 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: 264 Form 13F table value total: $197,595 List of other included Managers: None FCA Corp Form 13(f) For the Quarter Ending March 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 BANK N.A. COMMON STOCK 319425104 449 61,950 SH 61,950 61,950 3M CO COMMON STOCK 88579Y101 975 12,754 SH 12,754 12,754 ABN AMRO HOLDING NV-SP ADR ADR 000937102 461 10,706 SH 10,706 10,706 ADAMS EXPRESS COMPANY CLOSED-END FUND 006212104 175 12,476 SH 12,476 12,476 AEW REAL ESTATE INCOME FUND CLOSED-END FUND 00104H107 520 21,600 SH 5,600 16,000 16,000 5,600 AGCO CORP COMMON STOCK 001084102 555 15,000 SH 15,000 15,000 ALAMO GROUP INC COMMON STOCK 011311107 1,535 66,118 SH 66,118 66,118 ALCATEL-LUCENT-CW07 EQUITY WRT 549463131 0 138 SH 138 138 ALTO PALERMO S.A.-ADR ADR 02151P107 228 17,000 SH 17,000 17,000 AMDOCS LTD COMMON STOCK G02602103 365 10,000 SH 10,000 10,000 AMERICAN BUSINESS BANK COMMON STOCK 02475L105 1,076 44,651 SH 44,651 44,651 AMERICAN EXPRESS CO COMMON STOCK 025816109 1,217 21,585 SH 21,585 21,585 AMERICAN FINANCIAL REALTY TR REIT 02607P305 121 12,000 SH 12,000 12,000 AMERICAN INTERNATIONAL GROUP COMMON STOCK 026874107 2,406 35,790 SH 35,790 35,790 AMERICAN LAND LEASE INC REIT 027118108 370 14,800 SH 9,200 5,600 5,600 9,200 AMERICAN NATIONAL INSURANCE COMMON STOCK 028591105 384 2,998 SH 2,998 2,998 AMERICAN STATES WATER CO COMMON STOCK 029899101 911 24,700 SH 24,700 24,700 AMGEN INC COMMON STOCK 031162100 1,492 26,702 SH 26,702 26,702 ANGLO AMERICAN PLC-UNSP ADR ADR 03485P102 343 13,000 SH 13,000 13,000 AQUA AMERICA INC COMMON STOCK 03836W103 637 28,384 SH 28,384 28,384 AQUENTIUM INC COMMON STOCK 03840C101 1 12,500 SH 12,500 12,500 ARKEMA-SPONSORED ADR ADR 041232109 351 6,130 SH 6,130 6,130 AT&T INC COMMON STOCK 00206R102 1,262 32,007 SH 32,007 32,007 ATMOS ENERGY CORP COMMON STOCK 049560105 469 15,000 SH 15,000 15,000 AUTOMATIC DATA PROCESSING COMMON STOCK 053015103 248 5,700 SH 5,700 5,700 BANCO SANTANDER CEN-SPON ADR ADR 05964H105 303 17,000 SH 17,000 17,000 BANK OF AMERICA CORP COMMON STOCK 060505104 1,819 35,647 SH 35,647 35,647 BAXTER INTERNATIONAL INC COMMON STOCK 071813109 911 17,300 SH 17,300 17,300 BIOVAIL CORP COMMON STOCK 09067J109 350 16,000 SH 16,000 16,000 BLACKROCK LTD DURATION INC CLOSED-END FUND 09249W101 194 10,000 SH 10,000 10,000 BNP PARIBAS-ADR ADR 05565A202 315 6,000 SH 6,000 6,000 BP PLC-SPONS ADR ADR 055622104 329 5,080 SH 5,080 5,080 BRITISH AIRWAYS -SPONS ADR ADR 110419306 367 3,800 SH 3,800 3,800 BUNGE LTD COMMON STOCK G16962105 534 6,500 SH 6,500 6,500 BURLINGTON NORTHERN SANTA FE COMMON STOCK 12189T104 1,666 20,718 SH 20,718 20,718 CALIFORNIA WATER SERVICE GRP COMMON STOCK 130788102 864 22,550 SH 22,550 22,550 CAMDEN PROPERTY TRUST REIT 133131102 274 3,900 SH 3,900 3,900 CATERPILLAR INC COMMON STOCK 149123101 268 4,000 SH 4,000 4,000 CEMEX SAB-SPONS ADR PART CER ADR 151290889 378 11,538 SH 11,538 11,538 CENTRAL SECURITIES CORP CLOSED-END FUND 155123102 875 32,602 SH 32,602 32,602 CHEMED CORP COMMON STOCK 16359R103 255 5,200 SH 5,200 5,200 CHEVRON CORP COMMON STOCK 166764100 234 3,163 SH 3,163 3,163 CIA SANEAMENTO BASICO DE-ADR ADR 20441A102 338 10,000 SH 10,000 10,000 CIA VALE DO RIO DOCE-ADR ADR 204412209 444 12,000 SH 12,000 12,000 CISCO SYSTEMS INC COMMON STOCK 17275R102 266 10,418 SH 10,418 10,418 CITIGROUP INC COMMON STOCK 172967101 314 6,121 SH 6,121 6,121 COCA-COLA CO/THE COMMON STOCK 191216100 247 5,144 SH 5,144 5,144 COHEN & STEERS REIT UTI & IN CLOSED-END FUND 19247Y108 344 15,300 SH 15,300 15,300 COHEN & STEERS SEL UTILITY CLOSED-END FUND 19248A109 399 15,250 SH 15,250 15,250 COMMUNITY SOUTHERN BANK-CW08 EQUITY WRT 20405A114 1 2,000 SH 2,000 2,000 COMPASS BANCSHARES INC COMMON STOCK 20449H109 423 6,150 SH 6,150 6,150 CONMED CORP COMMON STOCK 207410101 226 7,720 SH 7,720 7,720 CONSTELLATION ENERGY GROUP COMMON STOCK 210371100 1,304 15,000 SH 15,000 15,000 CONTINENTAL AIRLINES-CLASS B COMMON STOCK 210795308 364 10,000 SH 10,000 10,000 COOPER TIRE & RUBBER COMMON STOCK 216831107 614 33,550 SH 33,550 33,550 CREDIT SUISSE ASSET MGMT INC CLOSED-END FUND 224916106 195 44,800 SH 44,800 44,800 CRH PLC-SPONSORED ADR ADR 12626K203 400 9,200 SH 9,200 9,200 CVS CAREMARK CORP COMMON STOCK 126650100 2,293 67,160 SH 67,160 67,160 DELTA FINANCIAL CORP COMMON STOCK 247918105 141 17,000 SH 17,000 17,000 DENTSPLY INTERNATIONAL INC COMMON STOCK 249030107 219 6,700 SH 6,700 6,700 DESARROLLADORA HOMEX-ADR ADR 25030W100 522 9,000 SH 9,000 9,000 DEUTSCHE BANK AG-REGISTERED COMMON STOCK D18190898 538 4,000 SH 4,000 4,000 DIAMONDROCK HOSPITALITY CO REIT 252784301 228 12,000 SH 12,000 12,000 DIME BANCORP-WT EQUITY WRT 25429Q110 0 260 SH 260 260 DJ WILSHIRE REIT ETF ETF 86330E604 217 2,400 SH 450 1,950 1,950 450 DOW CHEMICAL COMMON STOCK 260543103 1,131 24,665 SH 24,665 24,665 DRS TECHNOLOGIES INC COMMON STOCK 23330X100 1,050 20,120 SH 20,120 20,120 DST SYSTEMS INC COMMON STOCK 233326107 555 7,385 SH 7,385 7,385 DUKE REALTY CORP REIT 264411505 635 14,600 SH 14,600 14,600 DWS RREEF REAL ESTATE FD II CLOSED-END FUND 23338X102 248 12,800 SH 12,800 12,800 DWS RREEF REAL ESTATE FD INC CLOSED-END FUND 233384106 227 9,000 SH 9,000 9,000 E.ON AG -SPONSORED ADR ADR 268780103 361 8,000 SH 8,000 8,000 EATON VANCE LTD DURATION FND CLOSED-END FUND 27828H105 192 10,400 SH 10,400 10,400 ELECTRONIC ARTS INC COMMON STOCK 285512109 504 10,000 SH 10,000 10,000 ENERGY SELECT SECTOR SPDR ETF 81369Y506 2,129 35,325 SH 35,325 35,325 EQUITY INCOME FUND (AT&T) CLOSED-END FUND 294700703 737 6,249 SH 6,249 6,249 EQUITY INNS INC REIT 294703103 180 11,000 SH 11,000 11,000 EQUITY ONE INC REIT 294752100 470 17,721 SH 17,721 17,721 EVEREST RE GROUP LTD COMMON STOCK G3223R108 352 3,660 SH 3,660 3,660 EVERGREEN MGD INCOME FUND CLOSED-END FUND 30024Y104 195 11,200 SH 11,200 11,200 EXTRA SPACE STORAGE INC REIT 30225T102 250 13,200 SH 13,200 13,200 EXXON MOBIL CORP COMMON STOCK 30231G102 2,011 26,659 SH 26,659 26,659 FIRST POTOMAC REALTY TRUST REIT 33610F109 229 8,000 SH 8,000 8,000 FIRST SEISMIC CORP COMMON STOCK 336397104 20 396,601 SH 396,601 396,601 FIRST TRUST VALUE LINE 100 CLOSED-END FUND 33735D104 1,141 69,951 SH 69,951 69,951 FIRST TRUST VALUE LINE DVD ETF 33734H106 2,144 126,763 SH 126,763 126,763 FIRST TRUST/FOUR CRNS SR F 2 CLOSED-END FUND 33733U108 213 11,538 SH 11,538 11,538 FISERV INC COMMON STOCK 337738108 263 4,960 SH 4,960 4,960 FLAGSTAR BANCORP INC COMMON STOCK 337930101 626 52,350 SH 52,350 52,350 FLAH & CRUM/CLYMORE TOT RET CLOSED-END FUND 338479108 201 9,000 SH 9,000 9,000 FORD CAP TRUST II PUBLIC 345395206 470 13,150 SH 13,150 13,150 FPL GROUP INC COMMON STOCK 302571104 2,306 37,700 SH 37,700 37,700 FRANCE TELECOM SA-SPONS ADR ADR 35177Q105 264 10,000 SH 10,000 10,000 FREDDIE MAC COMMON STOCK 313400301 327 5,500 SH 5,500 5,500 GENERAL ELECTRIC CO COMMON STOCK 369604103 613 17,350 SH 17,350 17,350 GENERAL GROWTH PROPERTIES REIT 370021107 291 4,500 SH 4,500 4,500 GENESEE & WYOMING INC-CL A COMMON STOCK 371559105 3,285 123,461 SH 123,461 123,461 GLAXOSMITHKLINE PLC-SPON ADR ADR 37733W105 760 13,759 SH 5,759 8,000 8,000 5,759 GMH COMMUNITIES TRUST REIT 36188G102 155 15,500 SH 15,500 15,500 GRUPO TELEVISA SA-SPONS ADR ADR 40049J206 447 15,000 SH 15,000 15,000 HANG LUNG PROPERTIES-SP ADR ADR 41043M104 255 18,000 SH 18,000 18,000 HEADWATERS INC COMMON STOCK 42210P102 219 10,000 SH 10,000 10,000 HERSHA HOSPITALITY TRUST REIT 427825104 141 12,000 SH 12,000 12,000 HIGHLAND HOSPITALITY CORP REIT 430141101 308 17,300 SH 17,300 17,300 HOME DEPOT INC COMMON STOCK 437076102 809 22,032 SH 18,732 3,300 3,300 18,732 HOST HOTELS & RESORTS INC REIT 44107P104 311 11,819 SH 183 11,636 11,636 183 HRPT PROPERTIES TRUST REIT 40426W101 124 10,100 SH 10,100 10,100 ING GROEP N.V.-SPONSORED ADR ADR 456837103 586 13,842 SH 13,842 13,842 INGLES MARKETS INC -CL A COMMON STOCK 457030104 4,030 98,679 SH 98,679 98,679 INTEGRYS ENERGY GROUP INC COMMON STOCK 45822P105 1,243 22,388 SH 22,388 22,388 INTEL CORP COMMON STOCK 458140100 720 37,661 SH 37,661 37,661 INTERCONTINENTAL HOTELS-ADR ADR 45857P202 560 22,642 SH 22,642 22,642 INTL BUSINESS MACHINES CORP COMMON STOCK 459200101 1,145 12,146 SH 12,146 12,146 INTL RECTIFIER CORP COMMON STOCK 460254105 306 8,000 SH 8,000 8,000 INTL SPEEDWAY CORP-CL A COMMON STOCK 460335201 408 7,900 SH 7,900 7,900 IRSA -SP GDR GDR 450047204 191 10,000 SH 10,000 10,000 ISHARES COHEN & STEERS RLTY ETF 464287564 2,269 21,987 SH 18,987 3,000 3,000 18,987 ISHARES DJ SELECT DIVIDEND ETF 464287168 1,351 18,910 SH 18,910 18,910 ISHARES DJ US REAL ESTATE ETF 464287739 567 6,650 SH 3,450 3,200 3,200 3,450 ISHARES DJ US TECHNOLOGY SEC ETF 464287721 243 4,500 SH 4,500 4,500 ISHARES FTSE/XINHUA CHINA 25 ETF 464287184 297 2,900 SH 2,900 2,900 ISHARES LEHMAN 1-3YR TRS BD ETF 464287457 402 5,000 SH 5,000 5,000 ISHARES MORNINGSTAR LG VAL I ETF 464288109 360 4,300 SH 4,300 4,300 ISHARES MSCI EAFE GROWTH INX ETF 464288885 575 8,050 SH 8,050 8,050 ISHARES MSCI EAFE INDEX FUND ETF 464287465 5,622 73,719 SH 73,719 73,719 ISHARES MSCI EMERGING MKT IN ETF 464287234 1,749 15,016 SH 15,016 15,016 ISHARES MSCI EMU ETF 464286608 2,255 20,827 SH 20,827 20,827 ISHARES MSCI JAPAN INDEX FD ETF 464286848 1,833 125,781 SH 95,781 30,000 30,000 95,781 ISHARES MSCI PACIFIC EX JPN ETF 464286665 257 1,910 SH 1,910 1,910 ISHARES MSCI UNITED KINGDOM ETF 464286699 496 20,600 SH 20,600 20,600 ISHARES NASDAQ BIOTECH INDX ETF 464287556 386 5,100 SH 5,100 5,100 ISHARES RUSSELL 1000 INDEX ETF 464287622 245 3,160 SH 3,160 3,160 ISHARES RUSSELL 2000 ETF 464287655 485 6,100 SH 6,100 6,100 ISHARES RUSSELL 2000 VALUE ETF 464287630 312 3,850 SH 3,850 3,850 ISHARES RUSSELL 3000 GROWTH ETF 464287671 543 11,980 SH 11,980 11,980 ISHARES RUSSELL 3000 INDEX ETF 464287689 2,695 32,616 SH 32,616 32,616 ISHARES RUSSELL 3000 VALUE ETF 464287663 561 5,165 SH 5,165 5,165 ISHARES RUSSELL MIDCAP VALUE ETF 464287473 291 1,900 SH 1,900 1,900 ISHARES S&P 500 GROWTH INDEX ETF 464287309 629 9,733 SH 9,733 9,733 ISHARES S&P 500 INDEX FUND ETF 464287200 523 3,675 SH 3,675 3,675 ISHARES S&P 500 VALUE INDEX ETF 464287408 512 6,595 SH 6,595 6,595 ISHARES S&P EUROPE 350 ETF 464287861 3,313 30,583 SH 30,583 30,583 ISHARES S&P GLBL HEALTHCARE ETF 464287325 3,000 52,050 SH 52,050 52,050 ISHARES S&P GLOBAL 100 ETF 464287572 1,587 21,430 SH 21,430 21,430 ISHARES S&P GSTI NETWORKING ETF 464287531 327 10,200 SH 10,200 10,200 ISHARES S&P GSTI TECHNOLOGY ETF 464287549 220 4,300 SH 4,300 4,300 ISHARES S&P LATIN AMERICA 40 ETF 464287390 274 1,534 SH 1,534 1,534 ISHARES S&P MIDCAP 400 ETF 464287507 2,632 31,116 SH 31,116 31,116 ISHARES S&P MIDCAP 400/VALUE ETF 464287705 592 7,082 SH 7,082 7,082 ISHARES S&P SMALLCAP 600 ETF 464287804 1,506 22,181 SH 22,181 22,181 ISHARES S&P SMALLCAP 600/VAL ETF 464287879 3,183 41,490 SH 41,490 41,490 ISHARES S&P/TOPIX 150 INDEX ETF 464287382 485 3,800 SH 300 3,500 3,500 300 JAMES HARDIE INDS-SPONS ADR ADR 47030M106 409 12,100 SH 12,100 12,100 JANUARY 08 CALLS ON IWB US EQUITY OPTION 464287902 1 30 SH CALL 30 30 JANUS CAPITAL GROUP INC COMMON STOCK 47102X105 1,291 61,725 SH 61,725 61,725 JOHN HAN BK & THRIFT OPP FD CLOSED-END FUND 409735107 1,600 165,805 SH 165,805 165,805 JOHN HANCOCK PFD INCOME II CLOSED-END FUND 41013X106 221 8,800 SH 8,800 8,800 JOHNSON & JOHNSON COMMON STOCK 478160104 757 12,556 SH 12,556 12,556 KINGFISHER PLC-SPONS ADR ADR 495724403 133 12,000 SH 12,000 12,000 KITE REALTY GROUP TRUST REIT 49803T102 200 10,000 SH 10,000 10,000 KMG CHEMICALS INC COMMON STOCK 482564101 1,051 89,305 SH 89,305 89,305 KT CORP-SP ADR ADR 48268K101 213 9,500 SH 9,500 9,500 KVH INDUSTRIES INC COMMON STOCK 482738101 149 16,000 SH 16,000 16,000 LACLEDE GROUP INC/THE COMMON STOCK 505597104 622 20,000 SH 20,000 20,000 LIFEPOINT HOSPITALS INC COMMON STOCK 53219L109 573 15,000 SH 15,000 15,000 LLOYDS TSB GROUP PLC -SP ADR ADR 539439109 485 10,900 SH 10,900 10,900 LMP REAL ESTATE INCOME FUND CLOSED-END FUND 50208C108 396 16,000 SH 16,000 16,000 LOWE'S COS INC COMMON STOCK 548661107 2,476 78,621 SH 72,621 6,000 6,000 72,621 LUBRIZOL CORP COMMON STOCK 549271104 260 5,055 SH 5,055 5,055 LUFKIN INDUSTRIES INC COMMON STOCK 549764108 562 10,000 SH 10,000 10,000 LYONDELL CHEMICAL COMPANY COMMON STOCK 552078107 300 10,000 SH 10,000 10,000 MANULIFE FINANCIAL CORP COMMON STOCK 56501R106 267 7,762 SH 7,762 7,762 MBIA CAP/CLAYMORE MGD DUR IN CLOSED-END FUND 55266X100 231 17,391 SH 17,391 17,391 MEDALLION FINANCIAL CORP COMMON STOCK 583928106 398 34,767 SH 34,767 34,767 MFS GOVT MARKETS INC TRUST CLOSED-END FUND 552939100 304 45,600 SH 45,600 45,600 MICROFINANCIAL INC COMMON STOCK 595072109 3,629 700,600 SH 700,600 700,600 MICROSOFT CORP COMMON STOCK 594918104 1,209 43,386 SH 43,386 43,386 MIDCAP SPDR TRUST SERIES 1 ETF 595635103 1,396 9,033 SH 9,033 9,033 MITSUBISHI UFJ FINL GRP-ADR ADR 606822104 113 10,000 SH 10,000 10,000 MORGAN STANLEY GOVT INC TRST CLOSED-END FUND 61745P106 191 19,900 SH 19,900 19,900 NATIONAL GRID PLC-SP ADR ADR 636274300 242 3,071 SH 3,071 3,071 NATIONAL OILWELL VARCO INC COMMON STOCK 637071101 283 3,633 SH 3,633 3,633 NESTLE SA-SPONS ADR FOR REG ADR 641069406 301 3,100 SH 3,100 3,100 NETFLIX INC COMMON STOCK 64110L106 1,832 79,013 SH 79,013 79,013 NEWELL RUBBERMAID INC COMMON STOCK 651229106 227 7,300 SH 7,300 7,300 NEXEN INC COMMON STOCK 65334H102 920 15,001 SH 15,001 15,001 NIS GROUP CO LTD - ADR ADR 654655109 68 11,520 SH 11,520 11,520 NORFOLK SOUTHERN CORP COMMON STOCK 655844108 455 9,000 SH 9,000 9,000 NORTHROP GRUMMAN CORP COMMON STOCK 666807102 364 4,900 SH 4,900 4,900 NORTHWEST NATURAL GAS CO COMMON STOCK 667655104 274 6,000 SH 6,000 6,000 OIL SERVICE HOLDRS TRUST ETF 678002106 1,443 9,900 SH 9,900 9,900 OPTEUM INC-CLASS A REIT 68384A100 60 13,400 SH 13,400 13,400 PARKER DRILLING CO COMMON STOCK 701081101 742 79,000 SH 79,000 79,000 PENTAIR INC COMMON STOCK 709631105 398 12,760 SH 12,760 12,760 PETROQUEST ENERGY INC COMMON STOCK 716748108 117 10,000 SH 10,000 10,000 PFIZER INC COMMON STOCK 717081103 515 20,396 SH 20,396 20,396 PIMCO CORPORATE INCOME FUND CLOSED-END FUND 72200U100 222 13,600 SH 13,600 13,600 PORTUGAL TELECOM SGPS-SP ADR ADR 737273102 273 20,300 SH 20,300 20,300 PRAXAIR INC COMMON STOCK 74005P104 1,265 20,100 SH 20,100 20,100 PROGRESS ENERGY INC COMMON STOCK 743263105 1,830 36,274 SH 36,274 36,274 PROLOGIS REIT 743410102 227 3,500 SH 3,500 3,500 PROSPECT STREET INCOME SHRS CLOSED-END FUND 743590101 193 30,800 SH 30,800 30,800 PRUDENTIAL FINANCIAL INC COMMON STOCK 744320102 496 5,500 SH 500 5,000 5,000 500 PS BUSINESS PARKS INC/CA REIT 69360J107 247 3,500 SH 3,500 3,500 PUBLIC STORAGE INC REIT 74460D109 379 4,000 SH 1,500 2,500 2,500 1,500 QUANEX CORP COMMON STOCK 747620102 275 6,487 SH 6,487 6,487 RED ALERT GROUP INC COMMON STOCK 75629Q105 0 25,067 SH 25,067 25,067 REGAL BELOIT COMMON STOCK 758750103 940 20,270 SH 20,270 20,270 REPUBLIC PROPERTY TRUST REIT 760737106 138 12,000 SH 12,000 12,000 RGC RESOURCES INC COMMON STOCK 74955L103 553 19,520 SH 19,520 19,520 RINKER GROUP LTD-ADR ADR 76687M101 437 6,000 SH 6,000 6,000 ROYCE MICRO-CAP TRUST CLOSED-END FUND 780915104 988 61,387 SH 61,387 61,387 ROYCE VALUE TRUST CLOSED-END FUND 780910105 4,488 203,539 SH 203,539 203,539 RYDEX S&P EQUAL WEIGHT ETF ETF 78355W106 3,341 68,811 SH 68,811 68,811 SANDISK CORP COMMON STOCK 80004C101 228 5,200 SH 200 5,000 5,000 200 SAP AG-SPONSORED ADR ADR 803054204 223 5,000 SH 5,000 5,000 SAUL CENTERS INC REIT 804395101 233 4,100 SH 4,100 4,100 SCANA CORP COMMON STOCK 80589M102 262 6,075 SH 6,075 6,075 SEMCO ENERGY INC COMMON STOCK 78412D109 76 10,000 SH 10,000 10,000 SENIOR HOUSING PROP TRUST REIT 81721M109 246 10,300 SH 3,500 6,800 6,800 3,500 SIEMENS AG-SPONS ADR ADR 826197501 322 3,000 SH 3,000 3,000 SIGNET GROUP PLC-SPONS ADR ADR 82668L872 200 8,000 SH 8,000 8,000 SMITH INTERNATIONAL INC COMMON STOCK 832110100 216 4,490 SH 4,490 4,490 SOUTHWALL TECHNOLOGIES INC COMMON STOCK 844909101 9 14,000 SH 14,000 14,000 SOUTHWEST WATER CO COMMON STOCK 845331107 520 36,036 SH 36,036 36,036 SPDR TRUST SERIES 1 ETF 78462F103 421 2,964 SH 2,964 2,964 STARWOOD HOTELS & RESORTS COMMON STOCK 85590A401 214 3,300 SH 300 3,000 3,000 300 STONEMOR PARTNERS LP UNIT 86183Q100 829 34,050 SH 34,050 34,050 STRATEGIC HOTELS & RESORTS I REIT 86272T106 229 10,000 SH 10,000 10,000 SUBURBAN PROPANE PARTNERS LP UNIT 864482104 1,367 31,075 SH 31,075 31,075 SWS GROUP INC COMMON STOCK 78503N107 253 10,191 SH 10,191 10,191 TARGET CORP COMMON STOCK 87612E106 311 5,250 SH 5,250 5,250 TCW STRATEGIC INCOME FUND IN CLOSED-END FUND 872340104 196 37,200 SH 37,200 37,200 TEVA PHARMACEUTICAL-SP ADR ADR 881624209 397 10,598 SH 400 10,198 10,198 400 TEXAS INSTRUMENTS INC COMMON STOCK 882508104 436 14,500 SH 14,500 14,500 TOTAL SA-SPON ADR ADR 89151E109 363 5,200 SH 5,200 5,200 TS&W/CLAYMORE T/A BALANCED CLOSED-END FUND 87280R108 242 15,544 SH 15,544 15,544 TXU CORP COMMON STOCK 873168108 3,639 56,768 SH 56,768 56,768 UBS AG-REG COMMON STOCK H89231338 357 6,000 SH 6,000 6,000 UDR INC REIT 902653104 698 22,802 SH 22,802 22,802 UNILEVER N V -NY SHARES NY REG SHRS 904784709 281 9,600 SH 600 9,000 9,000 600 UNITED FIRE & CASUALTY CO COMMON STOCK 910331107 2,081 59,245 SH 59,245 59,245 UNITED TECHNOLOGIES CORP COMMON STOCK 913017109 3,181 48,946 SH 48,946 48,946 USG CORP COMMON STOCK 903293405 327 7,000 SH 7,000 7,000 VAN KAMPEN BOND FUND CLOSED-END FUND 920955101 203 11,600 SH 11,600 11,600 VAN KAMPEN SENIOR INCOME TRS CLOSED-END FUND 920961109 447 50,100 SH 50,100 50,100 VARIAN SEMICONDUCTOR EQUIP COMMON STOCK 922207105 456 8,546 SH 546 8,000 8,000 546 VITRAN CORP INC COMMON STOCK 92850E107 314 16,000 SH 16,000 16,000 VODAFONE GROUP PLC-SP ADR ADR 92857W209 235 8,750 SH 875 7,875 7,875 875 VTEX ENERGY INC COMMON STOCK 92908G104 2 10,000 SH 10,000 10,000 WA/CLAY US TREAS INFL PROT CLOSED-END FUND 95766Q106 3,259 280,002 SH 280,002 280,002 WACHOVIA CORP COMMON STOCK 929903102 207 3,768 SH 3,768 3,768 WASTE MANAGEMENT INC COMMON STOCK 94106L109 826 24,000 SH 24,000 24,000 WELLS FARGO & COMPANY COMMON STOCK 949746101 530 15,400 SH 15,400 15,400 WESTERN ASSET HIGH INCOME OP CLOSED-END FUND 95766K109 207 30,200 SH 30,200 30,200 WESTERN ASSET MANAGED HIGH Y CLOSED-END FUND 95766L107 215 30,800 SH 30,800 30,800 WGL HOLDINGS INC COMMON STOCK 92924F106 1,958 61,221 SH 61,221 61,221 WILLIAMS COS INC COMMON STOCK 969457100 6,295 221,193 SH 221,193 221,193 WILLIAMS-SONOMA INC COMMON STOCK 969904101 1,881 53,052 SH 53,052 53,052 WINSTON HOTELS INC REIT 97563A102 179 11,900 SH 11,900 11,900 WISCONSIN ENERGY CORP COMMON STOCK 976657106 1,170 24,105 SH 24,105 24,105 WORLDWIDE WEB NETWORX CORP COMMON STOCK 981604101 0 34,000 SH 34,000 34,000 XCEL ENERGY INC COMMON STOCK 98389B100 1,175 47,608 SH 47,608 47,608 XTO ENERGY INC COMMON STOCK 98385X106 274 5,000 SH 5,000 5,000
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