0001019687-11-002601.txt : 20110815 0001019687-11-002601.hdr.sgml : 20110815 20110815080819 ACCESSION NUMBER: 0001019687-11-002601 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 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: 111033210 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 June 30, 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: 175 Form 13F Information Table Value Total: $494,575 (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 6/30/11 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) -------------- ----- ------ -------- -------- ------- ----- ---------- ---------- ----- ----- ---- Apple Computer COMMON 037833100 2,955 8,803 SH Sole 6,266 2,537 Arkansas Best COMMON 040790107 913 38,464 SH Sole 28,303 10,161 Abbott Laboratories COMMON 002824100 4,986 94,749 SH Sole 63,893 30,856 Aceto Corp COMMON 004446100 1,705 254,163 SH Sole 154,993 99,170 Archer-Daniels-Midland COMMON 039483102 5,526 183,296 SH Sole 126,293 57,002 American Eagle Outfitters COMMON 02553E106 1,925 150,994 SH Sole 107,143 43,851 Aetna COMMON 00817Y108 4,758 107,924 SH Sole 71,950 35,975 American Financial COMMON 025932104 1,955 54,770 SH Sole 30,945 23,825 Ameriprise Financial COMMON 03076C106 5,377 93,216 SH Sole 64,103 29,113 American Software COMMON 029683109 4,426 532,620 SH Sole 361,550 171,070 America Movil SA COMMON 02364W105 1,255 23,297 SH Sole 15,054 8,243 Alpha & Omega Semiconductor Inc. COMMON g6331p104 940 70,960 SH Sole 70,085 875 Apache COMMON 037411105 5,584 45,255 SH Sole 31,039 14,216 Anadarko Petroleum COMMON 032511107 5,916 77,075 SH Sole 55,057 22,018 Activision Blizzard COMMON 00507V109 3,843 329,024 SH Sole 221,974 107,050 Yamana Gold COMMON 98462Y100 5,191 446,366 SH Sole 296,917 149,449 Avnet COMMON 053807103 1,317 41,313 SH Sole 36,340 4,973 AVX Corp COMMON 002444107 1,282 84,112 SH Sole 62,077 22,035 Axis Capital COMMON G0692U109 1,095 35,377 SH Sole 22,283 13,094 Baxter International COMMON 071813109 5,000 83,766 SH Sole 56,983 26,783 Black Box Corp COMMON 091826107 620 19,842 SH Sole 13,212 6,630 BB&T Corporation COMMON 054937107 3,374 125,699 SH Sole 85,810 39,889 Best Buy COMMON 086516101 932 29,671 SH Sole 16,998 12,673 Briggs & Stratton COMMON 109043109 5,874 295,755 SH Sole 198,335 97,420 Direxion Daily Large Cap Bull 3X Shares ETF 25459W862 394 4,773 SH Sole 4,773 - Benchmark Electronics COMMON 08160h101 4,134 250,534 SH Sole 175,200 75,334 BHP Billiton COMMON 088606108 2,431 25,689 SH Sole 20,739 4,950 Bank of NY Mellon Corp. COMMON 064058100 3,435 134,082 SH Sole 91,157 42,925 BioMed Realty COMMON 09063H107 3,490 181,401 SH Sole 127,406 53,995 Bristol Myers COMMON 110122108 3,716 128,315 SH Sole 87,886 40,429 Vanguard Total Bond Market ETF 921937835 5,239 64,549 SH Sole 58,622 5,927 Brocade Communications Systems COMMON 111621306 3,182 492,628 SH Sole 297,023 195,605 Bristow Group Inc COMMON 110394103 5,637 110,484 SH Sole 78,976 31,508 Cal-Maine Foods COMMON 128030202 1,873 58,609 SH Sole 39,428 19,181 Caterpillar COMMON 149123101 1,337 12,557 SH Sole 6,259 6,298 Chubb Corporation COMMON 171232101 2,167 34,618 SH Sole 20,222 14,396 Carnival COMMON 143658300 540 14,347 SH Sole 13,893 454 Celanese Corp COMMON 150870103 4,959 93,013 SH Sole 57,023 35,990 Chesapeake Energy COMMON 165167107 5,673 191,066 SH Sole 129,158 61,908 iShares Barclays Intermediate Credit Bond ETF 464288638 2,276 21,349 SH Sole 19,094 2,255 Comcast Corp CL A COMMON 20030N101 5,140 202,829 SH Sole 134,339 68,489 Covidien PLC COMMON G2554F113 4,771 89,636 SH Sole 60,703 28,933 Compuware COMMON 205638109 1,192 122,082 SH Sole 101,032 21,050 Cisco Systems COMMON 17275R102 5,450 349,144 SH Sole 230,675 118,469 iShares Barclays 1-3 Year Credit Bond Fund ETF 464288646 2,280 21,729 SH Sole 19,438 2,291 Cooper Tire COMMON 216831107 3,276 165,556 SH Sole 122,014 43,542 Chevron COMMON 166764100 2,375 23,097 SH Sole 16,431 6,666 Ducommun COMMON 264147109 957 46,523 SH Sole 45,148 1,375 DuPont COMMON 263534109 2,832 52,390 SH Sole 35,500 16,890 DDi Corp. COMMON 233162502 363 38,045 SH Sole 16,410 21,635 Digi International COMMON 253798102 1,003 77,139 SH Sole 71,656 5,483 D R Horton COMMON 23331A109 1,803 156,506 SH Sole 110,660 45,846 Diodes COMMON 254543101 1,946 74,572 SH Sole 56,036 18,536 Disney, Walt COMMON 254687106 5,814 148,930 SH Sole 104,732 44,198 Delta Apparel COMMON 247368103 680 40,000 SH Sole 40,000 - Diamond Offshore COMMON 25271c102 5,121 72,731 SH Sole 50,309 22,422 Darden Restaurants COMMON 237194105 438 8,796 SH Sole 6,183 2,613 DTE Energy Co. COMMON 233331107 6,124 122,425 SH Sole 81,205 41,220 Devon Energy COMMON 25179M103 1,708 21,674 SH Sole 15,988 5,686 Direxion Daily Devel Mkts Bull 3X Shares ETF 25459W789 415 5,704 SH Sole 5,704 - ENI SPA ADR COMMON 26874r108 829 17,441 SH Sole 8,931 8,510 E-Bay COMMON 278642103 1,172 36,324 SH Sole 23,845 12,479 Direxion Daily Emerg Mkts Bull 3X Shares ETF 25459W300 352 9,281 SH Sole 9,281 - Edison International COMMON 281020107 2,180 56,258 SH Sole 42,452 13,806 Market Vectors Emerging Markets Local Currency Bond ETF 57060u522 1,517 55,251 SH Sole 50,827 4,424 Endurance Specialty COMMON g30397106 1,078 26,077 SH Sole 19,932 6,145 Ericsson COMMON 294821608 3,989 277,429 SH Sole 165,326 112,102 Eaton COMMON 278058102 6,659 129,431 SH Sole 88,979 40,452 Exelon COMMON 30161N101 363 8,468 SH Sole 3,188 5,280 Freeport McMoran Copper & Gold COMMON 35671D857 6,916 130,731 SH Sole 86,495 44,236 Foot Locker COMMON 344849104 246 10,363 SH Sole 7,328 3,035 General Dynamics COMMON 369550108 1,062 14,248 SH Sole 11,813 2,435 Corning COMMON 219350105 1,795 98,925 SH Sole 76,959 21,966 Genuine Parts COMMON 372460105 582 10,691 SH Sole 6,196 4,495 Goldman Sachs Group COMMON 38141G104 3,715 27,912 SH Sole 19,185 8,727 Hasbro COMMON 418056107 3,036 69,112 SH Sole 50,583 18,529 HSBC Holdings ADR COMMON 404280406 205 4,134 SH Sole 2,344 1,790 Hudson City Bancorp COMMON 443683107 4,029 491,969 SH Sole 325,384 166,585 Home Depot COMMON 437076102 5,066 139,879 SH Sole 94,405 45,473 Helen of Troy Ltd. COMMON G4388N106 912 26,410 SH Sole 19,405 7,005 Hewlett-Packard COMMON 428236103 1,593 43,755 SH Sole 30,064 13,691 Heartland Payment Systems COMMON 42235N108 2,255 109,473 SH Sole 67,088 42,385 iShares IBOXX $ High Yield Corp Bond Fund ETF 464288513 1,277 13,986 SH Sole 13,986 - iShares Trust Comex Gold ETF ETF 464285105 667 45,564 SH Sole 45,564 - Int'l Business Machines COMMON 459200101 5,133 29,923 SH Sole 20,818 9,105 iShares Barclays 7-10 Year Treasury Bond ETF 464287440 4,029 42,031 SH Sole 38,803 3,228 Int'l Game Technology COMMON 459902102 1,180 67,148 SH Sole 46,646 20,502 Ingram Micro COMMON 457153104 4,055 223,538 SH Sole 150,345 73,193 Intel COMMON 458140100 5,342 241,081 SH Sole 158,787 82,294 Jack in the Box COMMON 466367109 1,310 57,510 SH Sole 34,955 22,555 Johnson & Johnson COMMON 478160104 2,552 38,361 SH Sole 28,049 10,312 Barclays Capital High Yield Bond ETF 78464a417 7,243 180,083 SH Sole 164,657 15,426 JP Morgan Chase COMMON 46625H100 5,151 125,827 SH Sole 85,784 40,043 Kraft Foods CL A COMMON 50075N104 2,558 72,607 SH Sole 50,053 22,554 Lithia Motors COMMON 536797103 741 37,764 SH Sole 30,000 7,764 L-3 Communications Holdings COMMON 502424104 6,260 71,584 SH Sole 47,550 24,033 Lockheed Martin COMMON 539830109 4,977 61,468 SH Sole 39,042 22,426 iShares iBoxx $ InvesTop Investment Grade Bond Fund ETF 464287242 499 4,534 SH Sole 4,534 - Lam Research COMMON 512807108 1,322 29,846 SH Sole 24,949 4,897 LTC Properties COMMON 502175102 871 31,311 SH Sole 13,591 17,720 Mattel COMMON 577081102 2,310 84,045 SH Sole 59,053 24,992 Microchip Tech COMMON 595017104 1,007 26,556 SH Sole 12,957 13,599 McKesson COMMON 58155Q103 5,689 68,005 SH Sole 46,510 21,495 MDC Holdings COMMON 552676108 2,116 85,870 SH Sole 54,896 30,974 Medtronic COMMON 585055106 537 13,929 SH Sole 7,095 6,834 Methanex COMMON 59151K108 4,546 144,877 SH Sole 88,187 56,690 Metlife COMMON 59156r108 1,071 24,407 SH Sole 19,863 4,544 3M Corp. COMMON 88579Y101 1,443 15,210 SH Sole 7,597 7,613 Marathon Oil COMMON 565849106 7,837 148,769 SH Sole 103,399 45,370 Microsoft COMMON 594918104 5,342 205,460 SH Sole 145,545 59,915 NASDAQ Stock Market COMMON 631103108 1,301 51,435 SH Sole 39,450 11,985 Navios Maritime Holdings Inc. COMMON Y62196103 3,792 736,217 SH Sole 487,917 248,301 Norfolk Southern COMMON 655844108 7,290 97,292 SH Sole 66,218 31,074 Nutrisystem COMMON 67069D108 253 17,995 SH Sole 13,825 4,170 Nippon Telegraph and Telephone COMMON 654624105 5,673 234,597 SH Sole 153,197 81,400 Nucor COMMON 670346105 1,296 31,433 SH Sole 18,822 12,611 Novartis COMMON 66987V109 4,524 74,030 SH Sole 50,855 23,175 Newell Rubbermaid COMMON 651229106 260 16,498 SH Sole 13,666 2,832 New York Community COMMON 649445103 546 36,421 SH Sole 15,626 20,795 OM Group COMMON 670872100 1,660 40,852 SH Sole 33,527 7,325 Oracle COMMON 68389X105 416 12,632 SH Sole 3,942 8,690 Petroleo Brasileiro SA COMMON 71654V408 4,100 121,086 SH Sole 84,241 36,845 Pepsico COMMON 713448108 1,216 17,266 SH Sole 12,147 5,119 Parker-Hannifin COMMON 701094104 337 3,756 SH Sole 2,541 1,215 Philip Morris Int'l COMMON 718172109 5,799 86,846 SH Sole 58,435 28,411 Palomar Med Tech COMMON 697529303 4,084 362,101 SH Sole 253,320 108,781 Progress Software COMMON 743312100 241 10,005 SH Sole 2,925 7,080 Prudential COMMON 744320102 4,854 76,332 SH Sole 51,473 24,859 Pericom Semiconductor COMMON 713831105 1,138 127,280 SH Sole 102,240 25,040 Phillips Van Heusen COMMON 718592108 1,555 23,745 SH Sole 14,284 9,461 Raymond James COMMON 754730109 439 13,648 SH Sole 7,960 5,688 Raytheon Co. COMMON 755111507 873 17,509 SH Sole 15,900 1,609 Ship Finance Int'l COMMON G81075106 339 18,836 SH Sole 9,018 9,818 iShares Barclays Lehman 1-3 Year Treasury Bond ETF 464287457 1,144 13,569 SH Sole 12,132 1,437 Smith Midland Corp. COMMON 832156103 480 289,000 SH Sole 287,000 2,000 Staples COMMON 855030102 5,264 333,138 SH Sole 217,996 115,142 Standard & Poor's Depository Receipt ETF 78462F103 357 2,708 SH Sole 2,708 - Stage Stores COMMON 85254c305 6,271 373,286 SH Sole 246,815 126,472 STMicroelectronics N.V. COMMON 861012102 4,673 469,184 SH Sole 316,420 152,764 Seagate Tech COMMON g7945m107 3,972 245,786 SH Sole 155,780 90,006 Stanley Works COMMON 854502101 1,078 14,968 SH Sole 9,423 5,545 Symantec COMMON 871503108 1,427 72,341 SH Sole 60,860 11,481 TCF Financial COMMON 872275102 2,820 204,330 SH Sole 142,703 61,627 Tidewater COMMON 886423102 1,550 28,804 SH Sole 22,575 6,229 iShares Barclays Tip ETF 464287176 1,339 12,105 SH Sole 12,105 - iShares Barclays 20+ Year Treasury Bond ETF 464287432 2,237 23,775 SH Sole 21,268 2,507 Thermo Fisher Scientific COMMON 883556102 4,000 62,123 SH Sole 44,910 17,213 Tsakos Energy COMMON G9108L108 4,322 432,219 SH Sole 276,308 155,911 Toll Brothers COMMON 889478103 1,361 65,635 SH Sole 49,040 16,595 Total SA ADR COMMON 89151e109 613 10,595 SH Sole 4,172 6,423 Tutor Perini Corp COMMON 901109108 4,531 236,212 SH Sole 164,927 71,285 The Travelers Companies COMMON 89417e109 3,196 54,751 SH Sole 37,616 17,135 Tyson Foods COMMON 902494103 4,479 230,632 SH Sole 157,991 72,640 TTM Technologies COMMON 87305R109 503 31,415 SH Sole 24,295 7,120 UnitedHealth Group, Inc COMMON 91324p102 4,384 84,987 SH Sole 58,713 26,274 United Online COMMON 911268100 4,377 725,933 SH Sole 485,189 240,744 U R S COMMON 903236107 4,814 107,608 SH Sole 73,883 33,725 United Technologies COMMON 913017109 4,036 45,604 SH Sole 29,395 16,209 Vanguard Eur Pac ETF ETF 921943858 371 9,749 SH Sole 9,749 - VF Corp COMMON 918204108 1,563 14,393 SH Sole 8,362 6,031 Vanguard SF REIT ETF ETF 922908553 1,228 20,439 SH Sole 20,439 - Vishay Intertechnology COMMON 928298108 1,694 112,618 SH Sole 79,316 33,302 Vanguard Emerging Markets ETF ETF 922042858 326 6,705 SH Sole 6,705 - Verizon Communications COMMON 92343V104 5,144 138,158 SH Sole 90,708 47,449 Walgreen COMMON 931422109 5,593 131,717 SH Sole 90,271 41,446 Wesco Intl COMMON 95082P105 1,799 33,267 SH Sole 19,865 13,402 Western Digital COMMON 958102105 2,485 68,303 SH Sole 55,066 13,237 Wells Fargo & Co. COMMON 949746101 993 35,398 SH Sole 34,238 1,160 Weatherford Intl COMMON H27013103 3,709 197,803 SH Sole 120,592 77,211 Whirpool COMMON 963320106 6,181 76,006 SH Sole 50,513 25,493 Waste Management COMMON 94106L109 5,383 144,435 SH Sole 96,823 47,612 Wal-Mart Stores COMMON 931142103 4,435 83,454 SH Sole 55,804 27,650 Wayside Technology Group COMMON 946760105 1,965 144,899 SH Sole 105,532 39,367 World Wrestling Ent COMMON 98156Q108 471 49,460 SH Sole 23,445 26,015 Exxon Mobil COMMON 30231G102 5,503 67,626 SH Sole 48,120 19,506 Xyratex COMMON G98268108 2,979 290,330 SH Sole 194,545 95,785