0001019687-11-002599.txt : 20110815 0001019687-11-002599.hdr.sgml : 20110815 20110815080323 ACCESSION NUMBER: 0001019687-11-002599 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110815 DATE AS OF CHANGE: 20110815 EFFECTIVENESS DATE: 20110815 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AL FRANK ASSET MANAGEMENT INC CENTRAL INDEX KEY: 0001167495 IRS NUMBER: 954074555 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-10139 FILM NUMBER: 111033203 BUSINESS ADDRESS: STREET 1: 85 ARGONAUT, SUITE 220 CITY: ALISA VIEJO STATE: CA ZIP: 92656 BUSINESS PHONE: 9494977657 MAIL ADDRESS: STREET 1: 85 ARGONAUT, SUITE 220 CITY: ALISA VIEJO STATE: CA ZIP: 92656 FORMER COMPANY: FORMER CONFORMED NAME: FRANK AL ASSET MANAGEMENT INC DATE OF NAME CHANGE: 20020214 13F-HR/A 1 alfrank_13fhra.txt FORM 13F HOLDINGS REPORT AMENDMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13f Cover Page Report for the Calendar Year or Quarter Ended March 31, 2011 If amended report check here: |x| Amendment Number: _1_ This Amendment (Check only one): |x| is a restatement |_| adds new holding entries. Al Frank Asset Management, Inc. -------------------------------------------------------------------------------- Name of Institutional Investment Manager 85 Argonaut, Suite 220 Alisa Viejo, CA 92656 -------------------------------------------------------------------------------- Business Address (Street) (City) (State) (Zip) 13F File Number: 28- 028-10139 ------------- 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 August 12, 2011 ------------------------------------------ (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: 225 Form 13F Information Table Value Total: $518,729 (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 3/31/11 FAIR VOTING AUTHORITY TITLE MARKET SHARES/ --------------------- OF CUSIP VALUE PRINCIPAL SH/ PUT/ INVESTMENT OTHER SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER (X$1000) AMOUNT PRN CALL DISCRETION MANAGERS (A) (B) (C) -------------- ----- ------ -------- -------- ------- ----- ---------- ---------- ----- ----- ---- 3M Corp. COMMON 88579Y101 1447 15,478 SH Sole 7,665 7,813 A.O. Smith COMMON 831865209 280 6,314 SH Sole 1,446 4,868 Abbott Laboratories COMMON 002824100 4234 86,314 SH Sole 58,028 28,286 Accenture COMMON G1151C101 608 11,063 SH Sole 6,858 4,205 Aceto Corp COMMON 004446100 2043 256,334 SH Sole 153,414 102,920 Activision Blizzard COMMON 00507V109 3273 298,329 SH Sole 190,919 107,410 Aetna COMMON 00817Y108 3864 103,233 SH Sole 71,506 31,727 Aetrium COMMON 00817R103 320 185,947 SH Sole 165,480 20,467 Alpha & Omega Semiconductor Inc. COMMON g6331p104 900 70,960 SH Sole 70,085 875 America Movil SA COMMON 02364W105 1434 24,689 SH Sole 15,821 8,868 American Eagle Outfitters COMMON 02553E106 2528 159,103 SH Sole 112,049 47,054 American Financial COMMON 025932104 2040 58,239 SH Sole 31,784 26,455 American Science & Engineering Inc COMMON 029429107 2075 22,466 SH Sole 14,863 7,603 American Software COMMON 029683109 4049 548,675 SH Sole 370,523 178,152 Ameriprise Financial COMMON 03076C106 5368 87,888 SH Sole 62,329 25,559 Anadarko Petroleum COMMON 032511107 6398 78,099 SH Sole 55,709 22,390 Apache COMMON 037411105 5812 44,397 SH Sole 30,413 13,984 Apple Computer COMMON 037833100 3104 8,907 SH Sole 6,266 2,641 Archer-Daniels-Midland COMMON 039483102 4735 131,482 SH Sole 95,000 36,482 Arkansas Best COMMON 040790107 1037 40,022 SH Sole 29,466 10,556 Avnet COMMON 053807103 1415 41,513 SH Sole 36,340 5,173 AVX Corp COMMON 002444107 1272 85,317 SH Sole 62,732 22,585 Axis Capital COMMON G0692U109 1436 41,119 SH Sole 26,090 15,029 Bank of America COMMON 060505104 886 66,445 SH Sole 46,008 20,437 Bank of NY Mellon Corp. COMMON 064058100 3326 111,362 SH Sole 77,578 33,784 Barclays Capital High Yield Bond COMMON 78464a417 5171 127,652 SH Sole 117,856 9,796 Baxter International COMMON 071813109 4433 82,435 SH Sole 55,928 26,507 BB&T Corporation COMMON 054937107 3329 121,271 SH Sole 82,662 38,609 BE Aerospace COMMON 073302101 1351 38,017 SH Sole 30,145 7,872 Benchmark Electronics COMMON 08160h101 768 40,510 SH Sole 23,910 16,600 Best Buy COMMON 086516101 889 30,941 SH Sole 17,523 13,418 BHP Billiton COMMON 088606108 2441 25,454 SH Sole 20,494 4,960 BioMed Realty COMMON 09063H107 3371 177,241 SH Sole 125,150 52,091 Black Box Corp COMMON 091826107 719 20,441 SH Sole 13,851 6,590 Boeing Co. COMMON 097023105 1622 21,935 SH Sole 12,671 9,264 Briggs & Stratton COMMON 109043109 1069 47,180 SH Sole 29,135 18,045 Bristol Myers COMMON 110122108 3392 128,352 SH Sole 87,158 41,194 Brocade Communications Systems COMMON 111621306 2994 486,906 SH Sole 295,667 191,239 Cal-Maine Foods COMMON 128030202 1791 60,704 SH Sole 40,308 20,396 Carnival COMMON 143658300 603 15,722 SH Sole 14,393 1,329 Carpenter Technology COMMON 144285103 1099 25,727 SH Sole 18,297 7,430 Caterpillar COMMON 149123101 1831 16,446 SH Sole 6,669 9,777 Celanese Corp COMMON 150870103 4152 93,578 SH Sole 57,238 36,340 Cephalon COMMON 156708109 6145 80,772 SH Sole 55,116 25,656 Cheesecake Factory COMMON 163072101 420 13,945 SH Sole 6,805 7,140 Chesapeake Energy COMMON 165167107 6128 182,823 SH Sole 123,575 59,248 Chevron COMMON 166764100 2639 24,555 SH Sole 17,121 7,434 Chubb Corporation COMMON 171232101 2068 33,723 SH Sole 19,375 14,348 Cisco Systems COMMON 17275R102 3615 210,799 SH Sole 154,761 56,038 Coach COMMON 189754104 791 15,193 SH Sole 9,145 6,048 Coca Cola Co. COMMON 191216100 3620 54,569 SH Sole 37,310 17,259 Comcast Corp CL A COMMON 20030N101 5040 203,866 SH Sole 135,023 68,843 Communication Systems COMMON 203900105 172 11,160 SH Sole 6,325 4,835 Compuware COMMON 205638109 1410 122,082 SH Sole 101,032 21,050 Cooper Tire COMMON 216831107 1640 63,671 SH Sole 45,911 17,760 Corning COMMON 219350105 2091 101,360 SH Sole 77,984 23,376 Covidien PLC COMMON G2554F113 4582 88,223 SH Sole 58,923 29,300 D R Horton COMMON 23331A109 1998 171,533 SH Sole 118,418 53,115 Darden Restaurants COMMON 237194105 457 9,298 SH Sole 6,388 2,910 Delta Apparel COMMON 247368103 588 41,145 SH Sole 40,670 475 Devon Energy COMMON 25179M103 2065 22,500 SH Sole 16,679 5,821 Diamond Offshore COMMON 25271c102 5636 72,531 SH Sole 50,103 22,428 Digi International COMMON 253798102 839 79,439 SH Sole 73,156 6,283 Diodes COMMON 254543101 2666 78,273 SH Sole 57,910 20,363 Direxion Daily Devel Mkts Bull 3X Shares ETF 25459W789 364 5,120 SH Sole 5,120 - Direxion Daily Emerg Mkts Bull 3X Shares ETF 25459W300 298 7,213 SH Sole 7,213 - Direxion Daily Large Cap Bull 3X Shares ETF 25459W862 383 4,568 SH Sole 4,568 - Disney, Walt COMMON 254687106 6314 146,535 SH Sole 102,932 43,603 DTE Energy Co. COMMON 233331107 5378 109,836 SH Sole 70,203 39,633 Ducommun COMMON 264147109 1126 47,098 SH Sole 45,148 1,950 DuPont COMMON 263534109 3007 54,710 SH Sole 37,246 17,464 Eaton COMMON 278058102 6842 123,404 SH Sole 85,947 37,457 E-Bay COMMON 278642103 1151 37,069 SH Sole 24,250 12,819 Edison International COMMON 281020107 2144 58,590 SH Sole 43,952 14,638 Endurance Specialty COMMON g30397106 1360 27,852 SH Sole 21,507 6,345 ENI SPA ADR COMMON 26874r108 813 16,541 SH Sole 8,506 8,035 Ericsson COMMON 294821608 3520 273,711 SH Sole 162,901 110,810 Exelon COMMON 30161N101 352 8,531 SH Sole 3,251 5,280 Exxon Mobil COMMON 30231G102 5651 67,166 SH Sole 47,885 19,281 FDX COMMON 31428X106 219 2,345 SH Sole 1,892 453 Fifth Third Bancorp COMMON 316773100 163 11,745 SH Sole 6,680 5,065 Flextronics COMMON Y2573F102 422 56,525 SH Sole 31,580 24,945 Freeport McMoran Copper & Gold COMMON 35671D857 7003 126,062 SH Sole 82,772 43,290 Gap (The) COMMON 364760108 345 15,234 SH Sole 3,075 12,159 General Dynamics COMMON 369550108 1125 14,688 SH Sole 11,813 2,875 Genuine Parts COMMON 372460105 557 10,392 SH Sole 5,897 4,495 Goldman Sachs Group COMMON 38141G104 3092 19,498 SH Sole 11,943 7,554 Goodyear Tire COMMON 382550101 845 56,382 SH Sole 44,993 11,389 Graftech Intl Ltd COMMON 384313102 2443 118,415 SH Sole 74,601 43,814 Guess ? COMMON 401617105 719 18,271 SH Sole 12,540 5,731 Harbin Electric COMMON 41145W109 4768 230,435 SH Sole 163,931 66,504 Hasbro COMMON 418056107 3448 73,622 SH Sole 54,408 19,214 Heartland Payment Systems COMMON 42235N108 1859 106,059 SH Sole 65,449 40,610 Helen of Troy Ltd. COMMON G4388N106 776 26,410 SH Sole 19,405 7,005 Hewlett-Packard COMMON 428236103 1797 43,854 SH Sole 30,063 13,791 Home Depot COMMON 437076102 5011 135,204 SH Sole 92,098 43,106 HSBC Holdings ADR COMMON 404280406 252 4,861 SH Sole 2,586 2,275 Hudson City Bancorp COMMON 443683107 4567 471,798 SH Sole 317,073 154,725 Ingersoll-Rand PLC COMMON G47791101 236 4,895 SH Sole 1,485 3,410 Ingram Micro COMMON 457153104 3992 189,813 SH Sole 124,073 65,740 Integrated Device COMMON 458118106 750 101,694 SH Sole 83,921 17,773 Intel COMMON 458140100 4775 236,623 SH Sole 155,045 81,578 Intevac Inc COMMON 461148108 343 27,673 SH Sole 14,763 12,910 Int'l Business Machines COMMON 459200101 4776 29,289 SH Sole 20,260 9,029 Int'l Game Technology COMMON 459902102 1247 76,804 SH Sole 53,202 23,602 Int'l Rectifier COMMON 460254105 207 6,264 SH Sole 2,775 3,489 iShares Barclays 1-3 Year Credit Bond Fund ETF 464288646 1495 14,315 SH Sole 12,804 1,511 iShares Barclays 20+ Year Treasury Bond ETF 464287432 1488 16,153 SH Sole 14,455 1,698 iShares Barclays 7-10 Year Treasury Bond ETF 464287440 3270 35,159 SH Sole 32,776 2,383 iShares Barclays Intermediate Credit Bond ETF 464288638 1486 14,112 SH Sole 12,625 1,487 iShares Barclays Lehman 1-3 Year Treasury Bond ETF 464287457 744 8,883 SH Sole 7,945 938 iShares Barclays Tip ETF 464287176 1282 11,742 SH Sole 11,742 - iShares IBOXX $ High Yield Corp Bond Fund ETF 464288513 1219 13,257 SH Sole 13,257 - iShares iBoxx $ InvesTop Investment Grade Bond Fund ETF 464287242 499 4,615 SH Sole 4,615 - iShares MSCI Australia ETF 464286103 634 23,811 SH Sole 21,470 2,341 iShares MSCI Switzerland ETF 464286749 609 24,063 SH Sole 21,607 2,456 iShares MSCI Taiwan ETF 464286731 580 39,025 SH Sole 35,008 4,017 iShares Trust Comex Gold ETF ETF 464285105 636 45,398 SH Sole 45,398 - Jack in the Box COMMON 466367109 1392 61,365 SH Sole 37,730 23,635 JC Penney Co. COMMON 708160106 1699 47,300 SH Sole 36,494 10,806 Jetblue Airways COMMON 477143101 138 22,050 SH Sole 11,790 10,260 Johnson & Johnson COMMON 478160104 2459 41,508 SH Sole 30,277 11,231 JP Morgan Chase COMMON 46625H100 5021 108,912 SH Sole 72,932 35,980 Kraft Foods CL A COMMON 50075N104 1896 60,471 SH Sole 40,750 19,721 L-3 Communications Holdings COMMON 502424104 5463 69,760 SH Sole 46,190 23,570 Lam Research COMMON 512807108 1695 29,921 SH Sole 25,024 4,897 Lithia Motors COMMON 536797103 690 47,359 SH Sole 39,445 7,914 LMI Aerospace COMMON 502079106 1535 75,943 SH Sole 68,774 7,169 Lockheed Martin COMMON 539830109 4433 55,140 SH Sole 35,311 19,829 LTC Properties COMMON 502175102 898 31,671 SH Sole 13,301 18,370 Marathon Oil COMMON 565849106 7945 149,041 SH Sole 103,543 45,498 Market Vectors Emerging Markets Local Currency Bond ETF 57060u522 1118 41,578 SH Sole 38,586 2,992 Mattel COMMON 577081102 2170 87,050 SH Sole 60,793 26,257 McDonalds COMMON 580135101 3500 46,002 SH Sole 29,793 16,209 McKesson COMMON 58155Q103 5392 68,207 SH Sole 46,491 21,716 MDC Holdings COMMON 552676108 2072 81,732 SH Sole 53,456 28,276 Medtronic COMMON 585055106 604 15,342 SH Sole 8,305 7,037 Methanex COMMON 59151K108 4481 143,490 SH Sole 87,033 56,457 Metlife COMMON 59156r108 1112 24,859 SH Sole 20,088 4,771 Microchip Tech COMMON 595017104 1013 26,641 SH Sole 13,152 13,489 Microsoft COMMON 594918104 4497 177,101 SH Sole 120,683 56,418 Nabors Industries Ltd. COMMON G6359F103 1437 47,300 SH Sole 40,492 6,808 NASDAQ Stock Market COMMON 631103108 1354 52,410 SH Sole 39,840 12,570 National Semiconductor COMMON 637640103 729 50,855 SH Sole 40,668 10,187 Navios Maritime Holdings Inc. COMMON Y62196103 3161 554,548 SH Sole 324,970 229,578 Navistar International COMMON 63934E108 1486 21,432 SH Sole 18,054 3,378 New York Community COMMON 649445103 616 35,696 SH Sole 15,076 20,620 Newell Rubbermaid COMMON 651229106 349 18,261 SH Sole 14,541 3,720 Nike CL B COMMON 654106103 246 3,255 SH Sole 690 2,565 Nippon Telegraph and Telephone COMMON 654624105 4357 193,730 SH Sole 122,489 71,241 Nordic American COMMON g65773106 622 25,040 SH Sole 23,827 1,213 Nordstrom COMMON 655664100 4554 101,477 SH Sole 69,856 31,621 Norfolk Southern COMMON 655844108 6632 95,746 SH Sole 64,949 30,797 Novartis COMMON 66987V109 3731 68,639 SH Sole 45,395 23,244 Nucor COMMON 670346105 1415 30,743 SH Sole 18,975 11,768 Nutrisystem COMMON 67069D108 308 21,225 SH Sole 14,910 6,315 Occidental Petroleum COMMON 674599105 2995 28,662 SH Sole 18,457 10,205 Olin COMMON 680665205 2529 110,326 SH Sole 81,470 28,856 OM Group COMMON 670872100 1520 41,592 SH Sole 33,872 7,720 Oracle COMMON 68389X105 425 12,702 SH Sole 4,012 8,690 Palomar Med Tech COMMON 697529303 5301 356,972 SH Sole 248,737 108,235 Parker-Hannifin COMMON 701094104 406 4,283 SH Sole 3,143 1,140 Pepsico COMMON 713448108 1161 18,023 SH Sole 12,760 5,263 Pericom Semiconductor COMMON 713831105 1379 132,975 SH Sole 105,660 27,315 Petroleo Brasileiro SA COMMON 71654V408 4654 115,113 SH Sole 78,233 36,880 Philip Morris Int'l COMMON 718172109 5718 87,123 SH Sole 58,579 28,544 Phillips Van Heusen COMMON 718592108 1708 26,263 SH Sole 16,017 10,246 Proctor & Gamble COMMON 742718109 242 3,923 SH Sole 2,141 1,782 Progress Software COMMON 743312100 352 12,105 SH Sole 3,675 8,430 Prudential COMMON 744320102 4395 71,363 SH Sole 48,300 23,063 Raymond James COMMON 754730109 522 13,648 SH Sole 7,960 5,688 Raytheon Co. COMMON 755111507 920 18,089 SH Sole 16,175 1,914 Rowan Companies COMMON 779382100 2515 56,928 SH Sole 40,963 15,965 Seagate Tech COMMON g7945m107 3335 231,499 SH Sole 149,561 81,938 Ship Finance Int'l COMMON G81075106 379 18,259 SH Sole 8,427 9,832 Smith Midland Corp. COMMON 832156103 621 289,000 SH Sole 287,000 2,000 Stage Stores COMMON 85254c305 6874 357,625 SH Sole 241,584 116,041 Standard & Poor's Depository Receipt ETF 78462F103 341 2,570 SH Sole 2,570 - Stanley Works COMMON 854502101 1355 17,691 SH Sole 11,331 6,360 STMicroelectronics N.V. COMMON 861012102 5087 409,548 SH Sole 263,099 146,449 Symantec COMMON 871503108 1433 77,311 SH Sole 62,545 14,766 Synaptics COMMON 87157D109 304 11,265 SH Sole 7,285 3,980 Sysco COMMON 871829107 965 34,827 SH Sole 21,256 13,571 Taiwan Semiconductor COMMON 874039100 1253 102,835 SH Sole 80,286 22,549 TCF Financial COMMON 872275102 3214 202,675 SH Sole 141,133 61,542 Texas Instruments COMMON 882508104 1324 38,307 SH Sole 21,272 17,035 The Travelers Companies COMMON 89417e109 3340 56,154 SH Sole 38,667 17,487 Thermo Fisher Scientific COMMON 883556102 3156 56,820 SH Sole 40,455 16,365 Tidewater COMMON 886423102 1803 30,125 SH Sole 22,741 7,384 Toll Brothers COMMON 889478103 1338 67,680 SH Sole 50,130 17,550 Toronto Dominion COMMON 891160509 464 5,234 SH Sole 2,912 2,322 Total SA ADR COMMON 89151e109 646 10,588 SH Sole 4,165 6,423 Trident Micro COMMON 895919108 160 139,040 SH Sole 97,245 41,795 Triquint Semiconductor COMMON 89674K103 1133 87,775 SH Sole 87,500 275 Tsakos Energy COMMON G9108L108 3756 342,097 SH Sole 206,155 135,943 TTM Technologies COMMON 87305R109 634 34,917 SH Sole 27,667 7,250 Tutor Perini Corp COMMON 901109108 5447 223,599 SH Sole 151,899 71,700 Tyson Foods COMMON 902494103 4165 217,056 SH Sole 148,270 68,786 U.S. Ecology COMMON 91732J102 552 31,658 SH Sole 24,108 7,550 United Online COMMON 911268100 3065 486,128 SH Sole 322,414 163,714 United Technologies COMMON 913017109 3775 44,601 SH Sole 28,506 16,095 UnitedHealth Group, Inc COMMON 91324p102 4212 93,194 SH Sole 65,525 27,669 Unumprovident COMMON 91529Y106 1408 53,640 SH Sole 45,740 7,900 US Bancorp COMMON 902973304 674 25,518 SH Sole 17,022 8,496 Vanguard Emerging Markets ETF ETF 922042858 310 6,326 SH Sole 6,326 - Vanguard Eur Pac ETF ETF 921943858 346 9,279 SH Sole 9,279 - Vanguard SF REIT ETF ETF 922908553 1192 20,390 SH Sole 20,390 - Vanguard Total Bond Market ETF 921937835 3655 45,678 SH Sole 41,755 3,923 Vascular Solutions COMMON 92231M109 518 47,434 SH Sole 46,259 1,175 Verizon Communications COMMON 92343V104 5264 136,594 SH Sole 89,799 46,795 VF Corp COMMON 918204108 1458 14,798 SH Sole 8,557 6,241 Vishay Intertechnology COMMON 928298108 2030 114,435 SH Sole 80,241 34,194 W.R. Berkley ETF 084423102 328 10,175 SH Sole 2,790 7,385 Walgreen COMMON 931422109 5010 124,815 SH Sole 88,919 35,896 Wal-Mart Stores COMMON 931142103 4263 81,902 SH Sole 54,389 27,513 Waste Management COMMON 94106L109 3667 98,196 SH Sole 64,522 33,674 Wayside Technology Group COMMON 946760105 2116 154,138 SH Sole 112,851 41,287 Weatherford Intl COMMON H27013103 4457 197,205 SH Sole 119,872 77,333 Wells Fargo & Co. COMMON 949746101 1142 36,028 SH Sole 34,803 1,225 Wesco Intl COMMON 95082P105 2194 35,111 SH Sole 21,319 13,792 Western Digital COMMON 958102105 2612 70,055 SH Sole 56,101 13,954 Western Union COMMON 959802109 363 17,454 SH Sole 13,874 3,580 Whirpool COMMON 963320106 5820 68,181 SH Sole 45,493 22,688 World Wrestling Ent COMMON 98156Q108 569 45,249 SH Sole 22,609 22,640 Xyratex COMMON G98268108 3089 276,769 SH Sole 182,442 94,327 Yamana Gold COMMON 98462Y100 5254 426,819 SH Sole 288,130 138,689