-----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, MVqVlrVVCToypOZ0SOqsX0kcrqbjl/ey08FzV0ONfudwRTD4RL3ScUKzJeSnOsTC PvlcbwJ6N9yUCd2xkSpzyw== 0001105907-10-000002.txt : 20100212 0001105907-10-000002.hdr.sgml : 20100212 20100212152017 ACCESSION NUMBER: 0001105907-10-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100212 DATE AS OF CHANGE: 20100212 EFFECTIVENESS DATE: 20100212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BARD ASSOCIATES INC CENTRAL INDEX KEY: 0001105907 IRS NUMBER: 363452497 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11597 FILM NUMBER: 10598481 BUSINESS ADDRESS: STREET 1: 135 S. LASALLE ST. STREET 2: SUITE 3700 CITY: CHICAGO STATE: IL ZIP: 60603 BUSINESS PHONE: 3127829600 MAIL ADDRESS: STREET 1: 135 S. LASALLE STREET STREET 2: SUITE 3700 CITY: CHICAGO STATE: IL ZIP: 60603 13F-HR 1 r13f-123109.txt 12/31/09 HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: DECEMBER 31, 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: Bard Associates Inc. Address: 135 South LaSalle Street, Suite 3700 Chicago, IL 60603 Form 13F File Number: 28-11597 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: Tim Johnson Title: President Phone: 312-782-9600 Signature, Place, and Date of Signing: /s/ Tim Johnson Chicago, IL FEBRUARY 12, 2009 [Signature] [City, State] [Date] Report Type (Check only one.): [x]13F HOLDINGS REPORT [ ]13F NOTICE [ ]13F COMBINATION REPORT List of Other managers Reporting for this Manager: None Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: None Form 13F Information Table Entry Total: 167 Form 13F Information Table Value Total: $ 121,111 (thousands) List of Other Included Managers: None DISCRETIONARY OWNERSHIP FOR 13F AS OF DATE: 12/31/2009 VOTING VOTING VOTING VOTING VOTING VOTING NAME TITLE FAIR SHARES OR INVESTMENT AUTH AUTH AUTH OF OF CUSIP MARKET PRINCIPAL DISCRETION OTH (SHRS) (SHRS) (SHRS) ISSUER CLASS NUMBER VALUE AMOUNT SOLE SHARED MGR SOLE SHARED NONE ABAXIS INC ABAX COMMON 002567105 951 37,236 x 3,800 0 33,436 ACACIA RESH CORP ACTG COMMON 003881307 351 38,485 x 2,000 0 36,485 ADEONA PHARMA COMMON 00685T108 8 13,399 x 6,899 0 6,500 ADVANTAGE OIL & GAS A COMMON 00765F101 672 103,010 x 1,200 0 101,810 AERO GROW INTL AERO COMMON 00768M103 21 153,525 x 25,000 0 128,525 ALLIANCE RESOURCES COMMON 01877R108 2,015 46,460 x 400 0 46,060 APPLIED SIGNAL TECH A COMMON 038237103 1,029 53,385 x 2,100 0 51,285 ARGON ST STSTD COMMON 040149106 1,377 63,405 x 4,500 0 58,905 ASHFORD 8.45% D AHT-P PREFERR 044103406 658 36,375 x 0 0 36,375 ASPENBIO PHARMA INC A COMMON 045346103 596 342,615 x 15,000 0 327,615 ASTROTECH CORP ASTC COMMON 046484101 995 518,211 x 76,000 0 442,211 ASURE SOFTWARE INC AS COMMON 04649U102 63 21,725 x 5,500 0 16,225 ATLAS AMERICA COMMON 049298102 2,781 92,261 x 6,524 0 85,737 ATLAS PIPELINE COMMON 049392103 499 50,860 x 0 0 50,860 BAJA MINING CORP BAJ. COMMON 05709R103 207 281,800 x 28,000 0 253,800 BALCHEM CORP BCPC COMMON 057665200 2,350 103,523 x 5,399 0 98,124 BERKSHIRE HATHAWAY BR COMMON 084670207 483 147 x 0 0 147 BOOTS & COOTS WEL COMMON 099469504 676 409,800 x 19,000 0 390,800 BOWL AMER INC BWL COMMON 102565108 372 28,530 x 0 0 28,530 BRIDGELINE SOFTWARE B COMMON 10807Q205 187 155,950 x 5,000 0 150,950 CAPITAL LEASING FDG L REAL ES 140288101 178 40,535 x 0 0 40,535 CARRIAGE SVCS 7.00% C PREFERR 14444T309 1,345 47,625 x 300 0 47,325 CASUAL MALE RETAIL GR COMMON 148711302 180 77,450 x 5,000 0 72,450 CEDAR FAIR COMMON 150185106 569 49,855 x 500 0 49,355 CE FRANKLIN LTD CFK COMMON 125151100 248 36,860 x 0 0 36,860 CELADON GROUP INC CLD COMMON 150838100 203 18,754 x 0 0 18,754 CGX ENERGY INC CGXEF COMMON 125405100 580 639,500 x 30,000 0 609,500 COGDELL SPENCER INC C REAL ES 19238U107 369 65,145 x 700 0 64,445 CONSTELLATION ENERGY COMMON 21038E101 186 48,590 x 1,500 0 47,090 CORPORATE OFF PPTYS T REAL ES 22002T108 772 21,080 x 400 0 20,680 CRIMSON EXPLORATION C COMMON 22662K207 924 210,950 x 14,000 0 196,950 CUMBERLAND PHARMACEUT COMMON 230770109 657 48,315 x 600 0 47,715 CURRENCYSHS JAPAN YEN MUTUAL 23130A102 419 3,930 x 50 0 3,880 DAKTRONICS DAKT COMMON 234264109 1,261 136,870 x 11,300 0 125,570 DORCHESTER MINERALS COMMON 25820R105 1,874 88,065 x 1,000 0 87,065 DOUBLE EAGLE 9.25% A PREFERR 258570407 928 38,655 x 400 0 38,255 ENERGYCONNECT GROUP E COMMON 292748100 67 957,366 x 59,000 0 898,366 ENSIGN GROUP INC ENSG COMMON 29358P101 843 54,845 x 6,225 0 48,620 ENVIROSTAR INC EVI COMMON 29414M100 278 237,350 x 27,000 0 210,350 EVOLUTION PETROLEUM E COMMON 30049A107 2,103 480,850 x 34,400 0 446,450 EXCEL MARITIME CARRIE COMMON V3267N107 360 58,380 x 4,976 0 53,404 FID/CLAY MLP FMO COMMON 31647Q106 211 11,784 x 0 0 11,784 FID/CLAY PFD FFC PREFERR 338478100 274 19,600 x 0 0 19,600 FIRST MAJESTIC SILVER COMMON 32076V103 799 205,900 x 9,100 0 196,800 FIRST POTOMAC RLTY TR REAL ES 33610F109 443 35,230 x 0 0 35,230 FLEXIBLE SOLUTIONS FS COMMON 33938T104 668 397,800 x 14,000 0 383,800 GENERAL FINANCE CORP COMMON 369822101 266 209,774 x 8,900 0 200,874 GLACIER WATER 9.06% A PREFERR 376398202 480 22,135 x 0 0 22,135 GLADSTONE COML CORP G REAL ES 376536108 841 62,734 x 600 0 62,134 GLOBAL AIRCRAFT SOL G COMMON 378964100 0 55,650 x 0 0 55,650 GLOBAL MED TECHNOLOGI COMMON 37935E101 500 641,050 x 40,000 0 601,050 GLOBUS MARITIME GBMLF COMMON G39929107 30 32,620 x 0 0 32,620 GMX RES INC 9.25% B G PREFERR 38011M405 380 16,040 x 0 0 16,040 GOLDCORP INC NEW GG COMMON 380956409 2,081 52,906 x 4,300 0 48,606 GRACE ACQUI 8.75% WGC PREFERR 982568206 16 27,080 x 0 0 27,080 GRAMERCY 8.125%A GKK- PREFERR 384871307 270 25,235 x 0 0 25,235 GRAN TIERRA ENERGY IN COMMON 38500T101 296 51,678 x 0 0 51,678 GSE SYS INC GVP COMMON 36227K106 658 120,090 x 5,000 0 115,090 H & Q LIFE SCIENCES H MUTUAL 404053100 423 44,786 x 580 0 44,206 HAIN CELESTIAL GROUP COMMON 405217100 427 25,111 x 2,300 0 22,811 HALLADOR PETE CO HPCO COMMON 406092304 823 104,821 x 0 0 104,821 HAMPSHIRE GROUP LTD H COMMON 408859106 233 58,455 x 4,600 0 53,855 HARD CREEK NICKEL COR COMMON 411637101 35 187,950 x 0 0 187,950 HEALTH CARE REIT INC REAL ES 42217K106 1,551 34,994 x 540 0 34,454 HEARUSA EAR COMMON 422360305 580 388,950 x 35,000 0 353,950 HENRY JACK & ASSOC JK COMMON 426281101 471 20,370 x 0 0 20,370 HILLTOP HOLD 8.25% A PREFERR 432748200 749 29,135 x 600 0 28,535 HOST MARRIOTT 8.87% E PREFERR 44107P609 347 13,750 x 0 0 13,750 HRPT PPTYS TR HRP REAL ES 40426W101 1,431 221,195 x 2,000 0 219,195 HUDSON TECHNOLOGIES I COMMON 444144109 426 291,700 x 13,000 0 278,700 ICON PUB LTD CO ICLR COMMON 45103T107 300 13,800 x 0 0 13,800 IDEX CORP IEX COMMON 45167R104 691 22,172 x 800 0 21,372 II-VI INC IIVI COMMON 902104108 4,019 126,387 x 5,500 0 120,887 IMAGE SENSING SYS INC COMMON 45244C104 231 20,250 x 3,000 0 17,250 INDIA FD INC IFN MUTUAL 454089103 351 11,435 x 0 0 11,435 INTERNATIONAL COAL GR COMMON 45928H106 809 209,705 x 11,000 0 198,705 INTL COAL 6.10 9.00% CONVERT 45928HAD8 779 725,000 x 0 0 725,000 INTL COAL NC 10.25% 0 CONVERT 45928HAA4 595 595,000 x 0 0 595,000 ISHARES SILVER TRUST MUTUAL 46428Q109 421 25,425 x 0 0 25,425 ITERIS INC ITI COMMON 46564T107 22 14,600 x 2,400 0 12,200 J ALEXANDER CORP JAX COMMON 466096104 268 72,362 x 7,500 0 64,862 JAGUAR MNG INC JAG COMMON 47009M103 1,132 101,125 x 4,525 0 96,600 KAYNE ANDERSON MLP KY MUTUAL 486606106 825 32,960 x 0 0 32,960 KMG CHEMICALS INC KMG COMMON 482564101 1,737 116,210 x 6,500 0 109,710 KRATOS DEFENSE & SEC COMMON 50077B207 360 34,078 x 250 0 33,828 LAYNE CHRISTENSEN CO COMMON 521050104 556 19,350 x 2,100 0 17,250 LEXINGTON CORP 8.05% PREFERR 529043200 504 24,300 x 0 0 24,300 LEXINGTON PPTYS LXP REAL ES 529043101 287 47,137 x 782 0 46,355 LIME ENERGY CO LIME COMMON 53261U205 881 199,352 x 8,570 0 190,782 LUMINA COPPER LCC.V COMMON 55025N104 439 438,800 x 22,000 0 416,800 MAC-GRAY CORP TUC COMMON 554153106 413 40,115 x 5,000 0 35,115 MAGNUM HUN RE 10.25% PREFERR 55973B201 768 30,100 x 0 0 30,100 MAGUIRE PYS 7.625%A M PREFERR 559775200 194 27,770 x 0 0 27,770 MARTEN TRANS LTD MRTN COMMON 573075108 678 37,775 x 0 0 37,775 MARTIN MIDSTREAM COMMON 573331105 1,179 37,440 x 400 0 37,040 MEDICAL PPTYS TRUST I REAL ES 58463J304 970 97,015 x 1,500 0 95,515 MILLER INDS INC TENN COMMON 600551204 662 58,285 x 1,550 0 56,735 MOCON INC MOCO COMMON 607494101 878 95,312 x 6,000 0 89,312 MONMOUTH REAL ESTATE REAL ES 609720107 1,079 145,275 x 1,000 0 144,275 MTS SYS CORP MTSC COMMON 553777103 640 22,275 x 2,850 0 19,425 MV GOLD STX ETF GDX MUTUAL 57060U100 508 11,000 x 0 0 11,000 NATURAL RES PTNRS COMMON 63900P103 888 36,630 x 0 0 36,630 NCI INC NCIT COMMON 62886K104 1,713 61,955 x 3,700 0 58,255 NEOGENOMICS INC NGNM COMMON 64049M209 790 526,600 x 45,000 0 481,600 NEOSTEM INC NBS COMMON 640650305 78 50,375 x 4,000 0 46,375 NEWMONT MNG CORP NEM COMMON 651639106 468 9,900 x 1,600 0 8,300 NGAS RESOURCES INC NG COMMON 62912T103 623 366,550 x 31,500 0 335,050 NGP CAP RES CO NGPC MUTUAL 62912R107 247 28,725 x 0 0 28,725 NORTHERN OIL & GAS NO COMMON 665531109 1,081 91,275 x 4,200 0 87,075 OMEGA NAVIGATION CL A COMMON Y6476R105 246 78,705 x 1,800 0 76,905 OPHTHALMIC IMAGING SY COMMON 683737209 422 562,200 x 43,000 0 519,200 PACIFIC OFFICE PPTY P REAL ES 694714106 163 41,975 x 2,000 0 39,975 PARAMOUNT GOLD & SILV COMMON 69924P102 501 345,250 x 26,000 0 319,250 PATRICK INDS INC PATK COMMON 703343103 93 38,116 x 0 0 38,116 PETMED EXPRESS INC PE COMMON 716382106 964 54,595 x 3,800 0 50,795 PICO HLDGS INC PICO COMMON 693366205 2,331 71,212 x 5,500 0 65,712 POWERSHS BASE METALS MUTUAL 73936B705 355 15,765 x 0 0 15,765 POWERSHS DB AGRICULTU MUTUAL 73936B408 525 19,838 x 0 0 19,838 PRIVATEBANC 10.00% A PREFERR 74272L208 828 36,645 x 500 0 36,145 PROSH RUSS 2000 2X UWM MUTUAL 74347R842 2,064 72,800 x 0 0 72,800 PSIVIDA CORP PSDV COMMON 74440J101 334 93,009 x 20,000 0 73,009 PURE TECHNOLOGIES LTD COMMON 745915108 934 226,075 x 24,000 0 202,075 QUAKER CHEM CORP KWR COMMON 747316107 853 41,350 x 2,400 0 38,950 QUALSTAR CORP QBAK COMMON 74758R109 508 233,185 x 13,000 0 220,185 QUEST RESOURCE CORP Q COMMON 748349305 17 91,865 x 0 0 91,865 RAND LOGISTICS CORP R COMMON 752182105 324 101,299 x 18,592 0 82,707 RCM TECHNOLOGIES INC COMMON 749360400 276 109,885 x 12,000 0 97,885 ROYCE MICRO TRUST COMMON 780915104 1,062 144,134 x 0 0 144,134 ROYAL GOLD INC RGLD COMMON 780287108 1,040 22,075 x 1,900 0 20,175 SAN JUAN COMMON 798241105 1,277 74,050 x 800 0 73,250 SAUL CENTERS 8.00% A PREFERR 804095200 519 25,590 x 0 0 25,590 SCIENTIFIC LEARNING S COMMON 808760102 554 109,525 x 8,000 0 101,525 SEABRIDGE GOLD INC SA COMMON 811916105 1,919 79,065 x 4,200 0 74,865 SEASPAN CORP SSW COMMON Y75638109 639 69,310 x 3,500 0 65,810 SILVER WHEATON CORP S COMMON 828336107 1,684 112,104 x 7,220 0 104,884 SMARTPROS LTD SPRO COMMON 83171G103 608 174,725 x 7,000 0 167,725 SPACEHAB 5.5% CONVERT 846243AD5 1,702 1,940,000 x 107,000 0 1,833,000 SPORT SUPPLY GROUP RB COMMON 84916A104 1,318 104,700 x 8,000 0 96,700 STANDARD PARKING CORP COMMON 853790103 1,056 66,505 x 3,300 0 63,205 STAR BUFFET INC STRZ COMMON 855086104 303 100,185 x 12,000 0 88,185 STERICYCLE INC SRCL COMMON 858912108 3,307 59,950 x 4,400 0 55,550 STORM CAT ENERGY CORP COMMON 862168101 0 207,450 x 0 0 207,450 STRATEGIC HOTEL8.25% PREFERR 86272T502 508 37,305 x 400 0 36,905 SUNOPTA INC STKL COMMON 8676EP108 569 169,415 x 11,400 0 158,015 SYNOVIS LIFE TECH SYN COMMON 87162G105 1,296 99,645 x 5,000 0 94,645 TARGA RESOURCES COMMON 87611X105 1,303 53,585 x 1,000 0 52,585 TEAM INC TISI COMMON 878155100 1,718 91,360 x 6,000 0 85,360 TEVA PHARMACEUTICALS COMMON 881624209 231 4,110 x 0 0 4,110 TITAN INTL INC ILL TW COMMON 88830M102 94 11,550 x 0 0 11,550 TORTOISE ENERGY INFRA MUTUAL 89147L100 577 18,586 x 600 0 17,986 TORTOISE RESOURCES MUTUAL 89147N304 841 129,020 x 4,000 0 125,020 TRAN LUX NC 8.25% CONVERT 893247AE6 851 1,890,000 x 20,000 0 1,870,000 TYLER TECHNOLOGIES TY COMMON 902252105 2,012 101,050 x 4,500 0 96,550 U M H PROPERTIES UMH REAL ES 903002103 285 33,600 x 0 0 33,600 UROPLASTY INC UPI COMMON 917277204 379 252,506 x 20,000 0 232,506 US NATL GAS UNG MUTUAL 912318102 267 26,490 x 0 0 26,490 UTEK CORP UTK COMMON 91759P106 109 25,715 x 2,500 0 23,215 VANGUARD NAT RES COMMON 92205F106 1,143 51,800 x 600 0 51,200 VASCO DATA SEC INTL I COMMON 92230Y104 70 11,160 x 2,500 0 8,660 WAVE SYSTEMS CORP WAV COMMON 943526301 611 430,248 x 25,000 0 405,248 WCA WASTE CORP WCAA COMMON 92926K103 461 107,150 x 9,400 0 97,750 WESCORP ENERGY INC WS COMMON 95083L103 178 615,000 x 36,000 0 579,000 WESDOME GOLD MINES WD COMMON 95083R100 864 393,975 x 15,000 0 378,975 WESTPORT INNOVATIONS COMMON 960908309 1,100 95,030 x 5,000 0 90,030 WILLDAN GROUP INC WLD COMMON 96924N100 217 91,260 x 1,200 0 90,060 YAMANA GOLD INC AUY COMMON 98462Y100 893 78,450 x 5,364 0 73,086 YELLOW PAGES INCOME F COMMON 985569102 398 77,520 x 900 0 76,620 121,111 -----END PRIVACY-ENHANCED MESSAGE-----