-----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, Th+4aoN7/YAJQjeDSpus7faKcmUBA7KpJAWYT2OpOzRZHcNAAtsG9QuNYiukoI0m XryLt3s037fwOCGt6yhiig== 0001019687-10-004010.txt : 20101110 0001019687-10-004010.hdr.sgml : 20101110 20101110160724 ACCESSION NUMBER: 0001019687-10-004010 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101110 DATE AS OF CHANGE: 20101110 EFFECTIVENESS DATE: 20101110 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AL FRANK ASSET MANAGEMENT INC CENTRAL INDEX KEY: 0001167495 IRS NUMBER: 954074555 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10139 FILM NUMBER: 101180175 BUSINESS ADDRESS: STREET 1: PO BOX 1438 CITY: LAGUNA BEACH STATE: CA ZIP: 92652 BUSINESS PHONE: 9494977657 MAIL ADDRESS: STREET 1: P O BOX 1438 CITY: LAGUNA BEACH STATE: CA ZIP: 92652 FORMER COMPANY: FORMER CONFORMED NAME: FRANK AL ASSET MANAGEMENT INC DATE OF NAME CHANGE: 20020214 13F-HR 1 alfrank_13fhr.txt AL FRANK MANAGEMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13f Cover Page Report for the Calendar Year or Quarter Ended 09/30/2010 If amended report check here: |_| Amendment Number: ____ This Amendment (Check only one): |_| is a restatement |_| adds new holding entries. Al Frank Asset Management, Inc. - -------------------------------------------------------------------------------- Name of Institutional Investment Manager 32392 Coast Highway, Suite 260 Laguna Beach CA 92651-6784 - -------------------------------------------------------------------------------- Business Address (Street) (City) (State) (Zip) 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, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: John Buckingham Chief Investment Officer (949) 499-3215 - -------------------------------------------------------------------------------- Name (Title) (Phone) /s/ John Buckingham ------------------------------------------ (Manual Signature of Person Duly Authorized to Submit This Report) Laguna Beach CA July 21, 2010 ------------------------------------------ (Place and Date of Signing) Report Type: [X] 13F HOLDINGS REPORT. [_] 13F NOTICE. [_] 13F COMBINATION REPORT. Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 223 Form 13F Information Table Value Total: $406,785 (thousands) List of Other Included Managers: Name and 13F file numbers of ALL Institutional Investment Managers with respect to which this schedule is filed (other than the one filing this report): (List in alphabetical order). [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] 13F File Numbers will be assigned to Institutional Investment Managers after they file their first report. 13F File No.: Name: 13F File No.: Name: ------------- --------------------- ------------- --------------------- 1. 6. ------------- --------------------- ------------- --------------------- 2. 7. ------------- --------------------- ------------- --------------------- 3. 8. ------------- --------------------- ------------- --------------------- 4. 9. ------------- --------------------- ------------- --------------------- 5. 10. ------------- --------------------- ------------- --------------------- AL FRANK ASSET MANAGEMENT QUARTER END 9/30/10 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 FAIR INVESTMENT DISCRETION VOTING AUTHORITY TITLE MARKET SHARES OF SHARED NAME OF ISSUER OF CUSIP VALUE PRINCIPAL SOLE SHARED OTHER MANA- SOLE SHARED NONE CLASS NUMBER (x$1000) AMOUNT (A) (B) (C) GERS (A) B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ 3M Corp. COMMON 88579Y101 $ 1,231 14,201 7,218 6,983 Abbott Laboratories COMMON 002824100 4,194 80,286 54,748 25,538 Accenture COMMON G1151C101 478 11,248 7,568 3,680 Aceto Corp COMMON 004446100 1,646 242,483 145,613 96,870 Activision Blizzard COMMON 00507V109 3,103 286,800 183,649 103,151 Aetna COMMON 00817Y108 3,084 97,565 68,361 29,204 Aetrium COMMON 00817R103 530 196,173 169,060 27,113 Altera COMMON 021441100 912 30,250 17,148 13,102 America Movil SA COMMON 02364W105 1,404 26,336 16,863 9,473 American Eagle Outfitters COMMON 02553E106 2,474 165,403 116,878 48,525 American Financial COMMON 025932104 1,921 62,832 35,167 27,665 American Science & Engineering Inc COMMON 029429107 1,765 23,967 15,963 8,004 American Software COMMON 029683109 3,332 564,812 378,297 186,515 Ameriprise Financial COMMON 03076C106 3,835 81,030 57,317 23,713 Anadarko Petroleum COMMON 032511107 4,870 85,369 59,642 25,727 Apache COMMON 037411105 3,959 40,498 27,781 12,717 Apple Computer COMMON 037833100 2,946 10,383 7,561 2,822 Archer-Daniels-Midland COMMON 039483102 3,822 119,746 87,637 32,109 Arkansas Best COMMON 040790107 1,015 41,870 30,739 11,131 Automatic Data Processing COMMON 053015103 952 22,640 12,845 9,795 Avnet COMMON 053807103 1,149 42,528 37,140 5,388 AVX Corp COMMON 002444107 1,206 87,288 65,012 22,276 Axis Capital COMMON G0692U109 1,447 43,943 28,509 15,434 Bank of America COMMON 060505104 927 70,785 49,546 21,239 Bank of NY Mellon Corp. COMMON 064058100 2,253 86,211 56,277 29,934 Barclay HYB ETF ETF 78464A417 1,128 28,191 22,178 6,013 Baxter International COMMON 071813109 3,467 72,673 48,630 24,043 BB&T Corporation COMMON 054937107 2,767 114,927 78,590 36,337 BE Aerospace COMMON 073302101 1,179 38,902 30,645 8,257 Benchmark Electronics COMMON 08160H101 705 43,007 25,925 17,082 Berkshire Hathaway CL B COMMON 084670702 633 7,650 6,400 1,250 Best Buy COMMON 086516101 1,379 33,776 19,588 14,188 BHP Billiton COMMON 088606108 1,898 24,864 19,904 4,960 BioMed Realty COMMON 09063H107 2,909 162,352 114,674 47,678 Black Box Corp COMMON 091826107 700 21,821 15,031 6,790 Boeing Co. COMMON 097023105 1,527 22,951 13,436 9,515 Brightpoint COMMON 109473405 897 128,363 112,852 15,511 Bristol Myers COMMON 110122108 3,407 125,671 84,947 40,724 Brocade Communications Systems COMMON 111621306 2,697 460,184 278,241 181,943 Cabela's COMMON 126804301 516 27,185 17,885 9,300 Cal-Maine Foods COMMON 128030202 1,866 64,403 42,597 21,806 Carnival COMMON 143658300 603 15,792 14,463 1,329 Carpenter Technology COMMON 144285103 967 28,683 18,740 9,943 Caterpillar COMMON 149123101 980 12,455 6,947 5,508 Celanese Corp COMMON 150870103 2,846 88,669 53,373 35,296 Ceva Inc COMMON 157210105 1,466 102,516 75,472 27,044 Cheesecake Factory COMMON 163072101 399 15,070 7,880 7,190 Chesapeake Energy COMMON 165167107 4,044 178,558 121,802 56,756 Chevron COMMON 166764100 2,086 25,733 17,937 7,796 Chubb Corporation COMMON 171232101 1,602 28,102 15,460 12,642 Ciena COMMON 171779309 1,063 68,301 41,955 26,346 Cisco Systems COMMON 17275R102 3,005 137,201 102,145 35,056 Clearfield Inc COMMON 18482P103 323 110,368 107,668 2,700 Coach COMMON 189754104 794 18,477 11,635 6,842 Coca Cola Co. COMMON 191216100 3,002 51,306 34,600 16,706 Comcast Corp CL A COMMON 20030N101 3,664 202,659 135,505 67,154 Compuware COMMON 205638109 1,169 137,190 115,590 21,600 Cooper Tire COMMON 216831107 1,331 67,780 49,645 18,135 Corning COMMON 219350105 1,907 104,298 79,254 25,044 Covidien PLC COMMON G2554F105 3,244 80,721 54,223 26,498 CSX COMMON 126408103 3,490 63,090 44,041 19,049 D R Horton COMMON 23331A109 2,030 182,541 125,365 57,176 Darden Restaurants COMMON 237194105 439 10,258 7,118 3,140 Darling International COMMON 237266101 1,965 230,650 190,885 39,765 Deckers Outdoor COMMON 243537107 1,021 20,446 9,906 10,540 Delta Apparel COMMON 247368103 617 41,145 40,670 475 Devon Energy COMMON 25179M103 1,472 22,743 16,754 5,989 Diamond Offshore COMMON 25271C102 4,575 67,506 46,882 20,624 Digi International COMMON 253798102 764 80,539 73,156 7,383 Diodes COMMON 254543101 1,521 89,016 68,053 20,963 Disney, Walt COMMON 254687106 4,946 149,424 105,238 44,186 Ducommun COMMON 264147109 1,036 47,559 45,326 2,233 DuPont COMMON 263534109 2,399 53,769 35,538 18,231 Eaton COMMON 278058102 4,987 60,451 41,934 18,517 E-Bay COMMON 278642103 936 38,345 25,655 12,690 Edison International COMMON 281020107 2,150 62,516 46,055 16,461 EMC Corp COMMON 268648102 1,598 78,698 45,884 32,814 Endurance Specialty COMMON G30397106 1,113 27,972 21,742 6,230 Ericsson COMMON 294821608 2,779 253,332 149,774 103,558 Exelon COMMON 30161N101 322 7,559 2,529 5,030 Exxon Mobil COMMON 30231G102 4,055 65,621 46,404 19,217 Flextronics COMMON Y2573F102 362 59,986 34,558 25,428 Forest Oil COMMON 346091705 545 18,365 11,480 6,885 Fortune Brands COMMON 349631101 624 12,684 6,537 6,147 Freeport McMoran Copper & Gold COMMON 35671D857 5,250 61,480 39,848 21,632 Gap (The) COMMON 364760108 284 15,234 3,335 11,899 General Dynamics COMMON 369550108 980 15,610 12,249 3,361 Genuine Parts COMMON 372460105 419 9,391 4,986 4,405 Genzyme COMMON 372917104 4,690 66,252 45,935 20,317 Goldman Sachs Group COMMON 38141G104 2,584 17,873 10,603 7,270 Goodyear Tire COMMON 382550101 632 58,777 46,680 12,097 Graftech Intl Ltd COMMON 384313102 1,749 111,873 69,255 42,618 Guess ? COMMON 401617105 836 20,574 13,473 7,101 Harbin Electric COMMON 41145W109 3,982 222,564 159,552 63,012 Hasbro COMMON 418056107 3,627 81,483 62,214 19,269 Healthstream COMMON 42222N103 1,251 235,148 193,300 41,848 Heartland Payment Systems COMMON 42235N108 1,481 97,273 59,278 37,995 Helen of Troy Ltd. COMMON G4388N106 668 26,410 19,405 7,005 Hewlett-Packard COMMON 428236103 1,887 44,856 30,321 14,535 Home Depot COMMON 437076102 3,890 122,800 85,215 37,585 HSBC Holdings ADR COMMON 404280406 273 5,399 2,975 2,424 Hudson City Bancorp COMMON 443683107 1,179 96,161 52,601 43,560 Insteel Industries COMMON 45774W108 320 35,657 17,161 18,496 Integrated Device COMMON 458118106 634 108,429 89,404 19,025 Intel COMMON 458140100 3,851 200,572 132,519 68,053 Intevac Inc COMMON 461148108 303 30,223 16,668 13,555 Int'l Business Machines COMMON 459200101 3,667 27,335 18,651 8,684 Int'l Game Technology COMMON 459902102 1,180 81,634 57,112 24,522 iShares Barclays 20+ Year Treasury Bond Fund ETF 464287432 440 4,166 3,235 931 iShares Barclays Lehman 1-3 Yr Treas Bond ETF 464287457 627 7,433 5,770 1,663 iShares Trust Barclays 7-10 Year Treasury ETF 464287440 632 6,382 4,996 1,386 Jack in the Box COMMON 466367109 1,400 65,280 39,570 25,710 JC Penney Co. COMMON 708160106 1,331 48,988 37,952 11,036 Johnson & Johnson COMMON 478160104 2,692 43,454 31,048 12,406 Joy Global COMMON 481165108 4,258 60,552 37,104 23,448 JP Morgan Chase COMMON 46625H100 3,780 99,311 67,374 31,937 Kraft Foods CL A COMMON 50075N104 1,590 51,537 34,721 16,816 Lam Research COMMON 512807108 1,475 35,238 30,396 4,842 LifePartners COMMON 53215T106 557 29,290 21,465 7,825 Lithia Motors COMMON 536797103 529 55,184 46,820 8,364 LMI Aerospace COMMON 502079106 1,424 89,445 82,459 6,986 Lockheed Martin COMMON 539830109 3,242 45,479 29,879 15,600 LTC Properties COMMON 502175102 778 30,482 12,697 17,785 Manitowoc COMMON 563571108 1,215 100,325 79,505 20,820 Marathon Oil COMMON 565849106 4,816 145,486 101,420 44,066 Mattel COMMON 577081102 2,126 90,625 62,091 28,534 McDonalds COMMON 580135101 1,487 19,954 11,420 8,534 McKesson COMMON 58155Q103 4,069 65,862 44,841 21,021 MDC Holdings COMMON 552676108 1,796 61,863 42,020 19,843 Medtronic COMMON 585055106 565 16,824 9,582 7,242 Methanex COMMON 59151K108 3,329 135,946 81,119 54,827 Metlife COMMON 59156R108 969 25,204 20,088 5,116 Microchip Tech COMMON 595017104 762 24,232 12,723 11,509 Microsoft COMMON 594918104 4,048 165,308 112,335 52,973 Mosaic COMMON 61945A107 4,050 68,926 48,462 20,464 Nabors Industries Ltd. COMMON G6359F103 867 48,030 41,197 6,833 NASDAQ Stock Market COMMON 631103108 1,090 56,090 41,780 14,310 National Semiconductor COMMON 637640103 649 50,855 40,668 10,187 Navios Maritime Holdings Inc. COMMON Y62196103 2,733 465,613 271,558 194,055 Navistar International COMMON 63934E108 980 22,455 18,994 3,461 New York Community COMMON 649445103 532 32,718 12,888 19,830 Newell Rubbermaid COMMON 651229106 355 19,931 15,396 4,535 Nordic American COMMON G65773106 700 26,165 23,947 2,218 Nordstrom COMMON 655664100 3,646 98,015 66,630 31,385 Norfolk Southern COMMON 655844108 3,251 54,631 38,549 16,082 Novartis COMMON 66987V109 3,290 57,052 36,062 20,990 Nucor COMMON 670346105 1,104 28,899 17,953 10,946 Nutrisystem COMMON 67069D108 461 23,980 15,725 8,255 Occidental Petroleum COMMON 674599105 2,998 38,287 26,257 12,030 Oceaneering International COMMON 675232102 1,212 22,501 19,989 2,512 Olin COMMON 680665205 2,363 117,201 86,177 31,024 OM Group COMMON 670872100 1,323 43,916 35,551 8,365 Oracle COMMON 68389X105 362 13,491 4,801 8,690 Palomar Med Tech COMMON 697529303 3,578 346,378 241,776 104,602 Parker-Hannifin COMMON 701094104 322 4,601 3,456 1,145 Pepsico COMMON 713448108 1,005 15,129 10,783 4,346 Pericom Semiconductor COMMON 713831105 1,198 137,820 110,125 27,695 Petroleo Brasileiro SA COMMON 71654V408 3,865 106,550 73,269 33,281 Philip Morris Int'l COMMON 718172109 4,699 83,873 56,235 27,638 Phillips Van Heusen COMMON 718592108 1,681 27,948 17,300 10,648 Progress Software COMMON 743312100 298 9,000 3,150 5,850 Prudential COMMON 744320102 3,193 58,930 41,658 17,272 Raymond James COMMON 754730109 347 13,688 7,960 5,728 Raytheon Co. COMMON 755111507 853 18,654 16,745 1,909 Robbins & Myers COMMON 770196103 294 10,983 7,420 3,563 Rowan Companies COMMON 779382100 1,955 64,387 47,217 17,170 Seagate Tech COMMON G7945M107 1,126 95,603 73,115 22,488 Ship Finance Int'l COMMON G81075106 316 16,251 7,419 8,832 Smith Midland Corp. COMMON 832156103 405 289,000 287,000 2,000 Spectra Energy COMMON 847560109 914 40,534 25,824 14,710 Stanley Works COMMON 854502101 1,152 18,791 12,272 6,519 Starbucks COMMON 855244109 1,582 61,907 44,378 17,529 Symantec COMMON 871503108 1,200 79,306 64,575 14,731 Synaptics COMMON 87157D109 332 11,795 7,990 3,805 Sysco COMMON 871829107 542 19,002 11,425 7,577 Taiwan Semiconductor COMMON 874039100 1,048 103,337 81,865 21,472 TCF Financial COMMON 872275102 2,986 184,451 129,778 54,673 Terex Corp COMMON 880779103 485 21,177 20,143 1,034 Texas Instruments COMMON 882508104 1,111 40,937 22,492 18,445 The Travelers Companies COMMON 89417E109 3,016 57,894 39,499 18,395 Thermo Fisher Scientific COMMON 883556102 2,426 50,661 36,257 14,404 Tidewater COMMON 886423102 1,383 30,870 23,501 7,369 Tiffany Co COMMON 886547108 4,294 91,384 60,302 31,082 Titan International COMMON 88830M102 3,398 250,395 178,076 72,319 Toll Brothers COMMON 889478103 1,344 70,650 52,595 18,055 Toronto Dominion COMMON 891160509 303 4,196 1,924 2,272 Total SA ADR COMMON 89151E109 501 9,716 3,907 5,809 Trident Micro COMMON 895919108 282 165,020 124,680 40,340 Triquint Semiconductor COMMON 89674K103 849 88,475 88,200 275 Tsakos Energy COMMON G9108L108 2,359 177,066 118,233 58,832 TTM Technologies COMMON 87305R109 381 38,924 31,164 7,760 Tutor Perini Corp COMMON 901109108 1,330 66,208 47,718 18,490 Tyson Foods COMMON 902494103 3,054 190,651 131,216 59,435 U.S. Ecology COMMON 91732J102 507 31,658 24,108 7,550 Ultratech COMMON 904034105 1,388 81,153 58,683 22,470 Union Pacific COMMON 907818108 1,144 13,988 12,221 1,767 United Online COMMON 911268100 2,393 418,303 279,937 138,366 United Technologies COMMON 913017109 2,556 35,887 21,282 14,605 UnitedHealth Group, Inc COMMON 91324P102 3,409 97,106 67,929 29,177 Unumprovident COMMON 91529Y106 1,202 54,285 46,340 7,945 US Bancorp COMMON 902973304 586 27,082 18,291 8,791 Vanguard TTL Bd Mkt ETF 921937835 1,518 18,366 14,347 4,019 Varian Medical COMMON 92220P105 2,245 37,103 20,565 16,538 Varian Semiconductor COMMON 922207105 2,843 98,791 60,271 38,520 Vascular Solutions COMMON 92231M109 777 67,684 66,259 1,425 Verizon Communications COMMON 92343V104 4,168 127,893 83,419 44,474 VF Corp COMMON 918204108 1,080 13,325 7,438 5,887 Vishay Intertechnology COMMON 928298108 1,193 123,218 86,757 36,461 W.R. Berkley COMMON 084423102 287 10,585 3,200 7,385 Walgreen COMMON 931422109 4,056 121,068 86,109 34,959 Wal-Mart Stores COMMON 931142103 4,196 78,393 51,942 26,451 Waste Management COMMON 94106L109 2,295 64,227 37,573 26,654 Wayside Technology Group COMMON 946760105 1,605 160,355 118,333 42,022 Weatherford Intl COMMON H27013103 3,247 189,870 114,703 75,167 Wells Fargo & Co. COMMON 949746101 931 37,078 35,703 1,375 Wesco Intl COMMON 95082P105 1,475 37,540 23,213 14,327 Western Digital COMMON 958102105 2,054 72,339 57,470 14,869 Western Union COMMON 959802109 320 18,119 14,764 3,355 Whirpool COMMON 963320106 902 11,136 9,266 1,870 Williams Companies COMMON 969457100 788 41,217 20,159 21,058 Williams Sonoma COMMON 969904101 1,221 38,531 31,620 6,911 World Wrestling Ent COMMON 98156Q108 478 34,337 18,482 15,855 Yamana Gold COMMON 98462Y100 4,622 405,395 274,215 131,180
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