0001105907-11-000010.txt : 20111115 0001105907-11-000010.hdr.sgml : 20111115 20111114184847 ACCESSION NUMBER: 0001105907-11-000010 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111115 DATE AS OF CHANGE: 20111114 EFFECTIVENESS DATE: 20111115 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: 111205106 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-09302011.txt SEPTEMBER 30, 2011 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: SEPTEMBER 30,2011 Check here if Amendment [ ]; Amendment Number: 1 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 NOVEMBER 14,2011 [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: 181 Form 13F Information Table Value Total: $ 172,357 (thousands) List of Other Included Managers: None DISCRETIONARY OWNERSHIP FOR 13F AS OF DATE: 9/30/2011 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 848 37,036 X 3,000 34,036 ACACIA RESH CORP ACTG COMMON 003881307 1,046 29,050 X 1,500 27,550 ACME UTD CORP ACU COMMON 004816104 1,594 167,760 X 4,000 163,760 ADEONA PHARMA COMMON 00685T108 8 13,399 X 6,899 6,500 ADVANTAGE OIL & GAS A COMMON 00765F101 388 103,610 X 0 103,610 ALLIANCE RESOURCES COMMON 01877R108 2,778 42,380 X 0 42,380 ASHFORD 8.45% D AHT-P PREFERR 044103406 823 35,175 X 0 35,175 ASTROTECH CORP ASTC COMMON 046484101 368 603,411 X 60,000 543,411 ASURE SOFTWARE INC AS COMMON 04649U102 202 61,850 X 5,500 56,350 ATLAS ENERGY COMMON 049298102 758 40,803 X 2,341 38,462 ATLAS PIPELINE COMMON 049392103 1,779 59,560 X 0 59,560 AUTOMATED BENEFITS CO COMMON 05280P104 17 75,000 X 0 75,000 BAJA MINING CORP BAJ. COMMON 05709R103 707 944,050 X 60,000 884,050 BALCHEM CORP BCPC COMMON 057665200 3,461 92,774 X 5,062 87,712 BERKSHIRE HATHAWAY BR COMMON 084670702 1,114 15,676 X 0 15,676 BOSTON BEER INC SAM COMMON 100557107 341 4,690 X 0 4,690 BOWL AMER INC BWL COMMON 102565108 650 51,340 X 0 51,340 BREITBURN ENERGY COMMON 106776107 1,214 69,750 X 0 69,750 BRIDGELINE SOFTWARE B COMMON 10807Q205 197 371,200 X 50,000 321,200 CAPITAL LEASING FDG L REAL ES 140288101 152 42,035 X 0 42,035 CARRIAGE SVCS 7.00% C PREFERR 14444T309 2,143 47,625 X 0 47,625 CARRIAGE SVCS INC CSV COMMON 143905107 1,381 233,425 X 6,000 227,425 CASUAL MALE RETAIL GR COMMON 148711302 465 123,617 X 15,000 108,617 CE FRANKLIN LTD CFK COMMON 125151100 381 46,860 X 0 46,860 CEDAR FAIR COMMON 150185106 1,058 55,970 X 0 55,970 CELADON GROUP INC CGI COMMON 150838100 375 42,269 X 6,000 36,269 CGX ENERGY INC OYL.V COMMON 125405100 425 639,000 X 30,000 609,000 COGDELL SPENCER INC C REAL ES 19238U107 243 64,505 X 0 64,505 COMMONWEALTH 7.000% C PREFERR 203233309 249 10,490 X 0 10,490 COMMONWEALTH CWH REAL ES 203233101 1,144 60,286 X 0 60,286 CORPORATE OFF PPTYS T REAL ES 22002T108 638 29,300 X 0 29,300 CRIMSON EXPLORATION C COMMON 22662K207 421 196,000 X 10,000 186,000 CRUDE CARRIERS COMMON Y1820X106 1,045 108,583 X 0 108,583 CUMBERLAND PHARMACEUT COMMON 230770109 590 105,700 X 0 105,700 CURRENCYSHS JAPAN YEN MUTUAL 23130A102 451 3,528 X 0 3,528 DAKTRONICS DAKT COMMON 234264109 1,372 159,870 X 9,700 150,170 DHX MEDIA LTD DHX.T COMMON 252406103 411 595,300 X 40,000 555,300 DORCHESTER MINERALS COMMON 25820R105 2,159 90,795 X 0 90,795 DOUBLE EAGLE 9.25% A PREFERR 258570407 1,184 47,190 X 0 47,190 DYNAVOX INC DVOX COMMON 26817F104 470 130,550 X 4,000 126,550 ENSIGN GROUP INC ENSG COMMON 29358P101 1,904 82,380 X 5,625 76,755 ENVIROSTAR INC EVI COMMON 29414M100 510 372,100 X 30,000 342,100 EQUITY LIFESTL 8.034% PREFERR 29472R207 1,320 52,850 X 0 52,850 EVOLUT PETRO 8.50% A PREFERR 30049A206 1,140 44,200 X 0 44,200 EVOLUTION PETROLEUM E COMMON 30049A107 3,580 507,019 X 30,400 476,619 EXCEL MARITIME CARRIE COMMON V3267N107 83 40,060 X 0 40,060 FID/CLAY MLP FMO COMMON 31647Q106 274 14,269 X 0 14,269 FID/CLAY PFD FFC PREFERR 338478100 738 46,100 X 0 46,100 FIRST MAJESTIC SILVER COMMON 32076V103 3,434 225,775 X 13,650 212,125 FIRST POTOMAC 7.75% A PREFERR 33610F307 1,030 42,550 X 0 42,550 FIRST POTOMAC RLTY TR REAL ES 33610F109 670 53,755 X 0 53,755 FLEXIBLE SOLUTIONS FS COMMON 33938T104 1,172 494,375 X 10,000 484,375 GASTAR EXPLOR 8.62% A PREFERR 36729P207 945 47,345 X 0 47,345 GENERAL FINANCE CORP COMMON 369822101 618 209,550 X 4,000 205,550 GLACIER WATER 9.06% A PREFERR 376398202 765 30,650 X 0 30,650 GLADSTONE COML CORP G REAL ES 376536108 1,222 77,904 X 0 77,904 GLOBAL AIRCRAFT SOL G COMMON 378964100 0 55,650 X 0 55,650 GMX BONDS 18.75 4.50% CONVERT 38011MAJ7 530 796,000 X 0 796,000 GMX BONDS 32.50 5.00% CONVERT 38011MAB4 352 420,000 X 0 420,000 GMX RES INC 9.25% B G PREFERR 38011M405 401 24,750 X 0 24,750 GOLDCORP INC NEW GG COMMON 380956409 2,310 50,608 X 4,300 46,308 GRACE ACQUI 8.75% WGC PREFERR 982568206 47 27,080 X 0 27,080 GRAMERCY 8.125% A GKK PREFERR 384871307 601 24,535 X 0 24,535 GRAN TIERRA ENERGY IN COMMON 38500T101 242 50,728 X 0 50,728 GSE SYS INC GVP COMMON 36227K106 312 177,390 X 20,000 157,390 H & Q LIFE SCIENCES H MUTUAL 404053100 564 53,948 X 0 53,948 HAIN CELESTIAL GROUP COMMON 405217100 802 26,261 X 2,000 24,261 HALLADOR ENERGY HNRG COMMON 40609P105 1,887 220,490 X 5,000 215,490 HAMPSHIRE GROUP LTD H COMMON 408859106 172 61,660 X 3,000 58,660 HARD CREEK NICKEL COR COMMON 411637101 49 237,450 X 0 237,450 HARVARD BIOSCIENCE HB COMMON 416906105 1,656 392,500 X 10,000 382,500 HEALTH CARE REIT INC REAL ES 42217K106 1,625 34,714 X 0 34,714 HENRY JACK & ASSOC JK COMMON 426281101 529 18,270 X 0 18,270 HUDSON TECHNOLOGIES I COMMON 444144109 690 590,000 X 20,000 570,000 ICON PUB LTD CO ICLR COMMON 45103T107 215 13,400 X 0 13,400 IDEX CORP IEX COMMON 45167R104 616 19,767 X 0 19,767 II-VI INC IIVI COMMON 902104108 4,428 253,024 X 7,800 245,224 IMAGE SENSING SYS INC COMMON 45244C104 639 98,270 X 4,000 94,270 INDIA FD INC IFN FOREIGN 454089103 244 10,655 X 0 10,655 INERGY COMMON 456615103 200 7,985 X 0 7,985 INTEST CORP INTT COMMON 461147100 1,009 382,210 X 15,000 367,210 INVENTURE FOODS INC S COMMON 461212102 106 27,500 X 0 27,500 ISHARES SILVER TRUST MUTUAL 46428Q109 1,086 37,560 X 0 37,560 ITERIS INC ITI COMMON 46564T107 17 14,600 X 0 14,600 J ALEXANDER CORP JAX COMMON 466096104 746 119,437 X 12,500 106,937 JAPAN SMALLER CAPTL J FOREIGN 47109U104 175 23,433 X 0 23,433 KAYNE ANDERSON MLP KYN MUTUAL 486606106 952 34,215 X 0 34,215 KENSEY NASH CORP KNSY COMMON 490057106 1,516 61,875 X 3,000 58,875 KIMCO PFD H 7.90% H K PREFERR 49446R828 922 35,500 X 0 35,500 KMG CHEMICALS INC KMG COMMON 482564101 1,660 134,735 X 5,000 129,735 KRATOS DEFENSE & SEC COMMON 50077B207 818 121,748 X 5,000 116,748 LASALLE HOTEL 7.50% H PREFERR 517942702 1,146 46,725 X 0 46,725 LASALLE HOTEL PPTY LH REAL ES 517942108 269 14,025 X 0 14,025 LAYNE CHRISTENSEN CO COMMON 521050104 570 24,665 X 2,100 22,565 LEXINGTON CORP 8.05% PREFERR 529043200 811 32,815 X 0 32,815 LEXINGTON PPTYS LXP REAL ES 529043101 316 48,316 X 0 48,316 LIME ENERGY CO LIME COMMON 53261U205 599 190,661 X 7,142 183,519 LINN ENERGY LLC LINE COMMON 536020100 490 13,740 X 0 13,740 LITTLEFIELD CORP LTFD COMMON 537590101 12 45,600 X 0 45,600 LUMINA COPPER LCC.V COMMON 55025N104 2,782 450,150 X 30,000 420,150 MAC-GRAY CORP TUC COMMON 554153106 762 59,045 X 6,000 53,045 MAGNUM HUN RE 10.25% PREFERR 55973B201 958 38,470 X 0 38,470 MAGNUM HUNTER MHR COMMON 55973B102 703 212,516 X 3,964 208,552 MARTEN TRANS LTD MRTN COMMON 573075108 644 37,375 X 0 37,375 MARTIN MIDSTREAM COMMON 573331105 1,345 41,387 X 0 41,387 MEDICAL PPTYS TRUST I REAL ES 58463J304 1,049 117,215 X 0 117,215 MEDICIS PHARMACEUTICA COMMON 584690309 1,444 39,595 X 0 39,595 MERGE HEALTHCARE INC COMMON 589499102 755 124,000 X 8,000 116,000 MILLER INDS INC TENN COMMON 600551204 1,089 62,785 X 0 62,785 MOCON INC MOCO COMMON 607494101 1,841 116,967 X 5,000 111,967 MONMOUTH REAL ESTATE REAL ES 609720107 1,409 177,705 X 0 177,705 MPG OFFICE 7.625% A M PREFERR 553274200 385 27,320 X 0 27,320 MV GOLD STX ETF GDX MUTUAL 57060U100 597 10,825 X 0 10,825 MV JR GOLD MINERS GDXJ MUTUAL 57060U589 717 25,465 X 0 25,465 NATURAL RES PTNRS COMMON 63900P103 912 35,980 X 0 35,980 NCI INC NCIT COMMON 62886K104 717 60,105 X 3,000 57,105 NEOGENOMICS INC NGNM COMMON 64049M209 639 608,350 X 50,000 558,350 NEOSTEM INC NBS COMMON 640650305 33 51,125 X 4,000 47,125 NEWMONT MNG CORP NEM COMMON 651639106 526 8,350 X 1,600 6,750 NGP CAP RES CO NGPC MUTUAL 62912R107 286 43,665 X 0 43,665 NORTHERN OIL & GAS NO COMMON 665531109 1,801 92,900 X 3,000 89,900 PARAMOUNT GOLD & SILV COMMON 69924P102 977 414,100 X 20,000 394,100 PICO HLDGS INC PICO COMMON 693366205 2,542 123,961 X 5,000 118,961 POWERSHS DB AG DBA MUTUAL 73936B408 737 24,837 X 0 24,837 POWERSHS SMCAP UTILS COMMON 73937B837 1,716 61,380 X 0 61,380 PREFERRED APT COMM AP REAL ES 74039L103 1,171 205,395 X 0 205,395 PRIVATEBANC 10.00% A PREFERR 74272L208 1,080 43,205 X 0 43,205 PS AGRI LG ETN AGF MUTUAL 25154H533 731 39,475 X 0 39,475 PSIVIDA CORP PSDV COMMON 74440J101 402 94,034 X 20,000 74,034 PURE TECHNOLOGIES LTD COMMON 745915108 1,019 335,075 X 20,000 315,075 PURECYCLE CORP PCYO COMMON 746228303 315 129,275 X 0 129,275 QUADRANT 4 SYSTEMS QF COMMON 74735A104 621 1,781,883 X 35,000 1,746,883 QUAKER CHEM CORP KWR COMMON 747316107 1,019 39,315 X 2,000 37,315 QUALSTAR CORP QBAK COMMON 74758R109 548 281,210 X 20,000 261,210 RAND LOGISTICS CORP R COMMON 752182105 1,317 212,116 X 20,000 192,116 RCM TECHNOLOGIES INC COMMON 749360400 479 108,635 X 10,000 98,635 ROYAL GOLD INC RGLD COMMON 780287108 1,425 22,250 X 1,500 20,750 ROYCE MICRO TRUST COMMON 780915104 2,041 267,141 X 0 267,141 SAN JUAN COMMON 798241105 2,199 95,750 X 0 95,750 SAUL CENTERS 8.00% A PREFERR 804095200 785 30,425 X 0 30,425 SCIENTIFIC LEARNING S COMMON 808760102 1,058 335,953 X 6,000 329,953 SEABRIDGE GOLD INC SA COMMON 811916105 1,441 64,120 X 0 64,120 SEASPAN CORP SSW COMMON Y75638109 780 68,035 X 3,000 65,035 SENIOR HSG PPTYS SNH REAL ES 81721M109 341 15,840 X 0 15,840 SILVER WHEATON CORP S COMMON 828336107 2,409 81,789 X 1,850 79,939 SMARTPROS LTD SPRO COMMON 83171G103 511 225,925 X 5,000 220,925 SPARTON CORP SPA COMMON 847235108 1,079 171,750 X 7,000 164,750 SPDR GOLD TRUST COMMON 78463V107 260 1,646 X 0 1,646 SPECTRUM PHARMA SPPI COMMON 84763A108 935 122,525 X 3,500 119,025 STANDARD PARKING CORP COMMON 853790103 1,594 101,910 X 4,000 97,910 STAR BUFFET INC STRZ COMMON 855086104 32 71,060 X 0 71,060 STERICYCLE INC SRCL COMMON 858912108 4,508 55,850 X 3,200 52,650 STORM CAT ENERGY CORP COMMON 862168101 1 207,450 X 0 207,450 STRATEGIC HTL 8.25% C PREFERR 86272T502 890 36,630 X 0 36,630 SUNOPTA INC STKL COMMON 8676EP108 968 196,365 X 10,000 186,365 SYNOVIS LIFE TECH SYN COMMON 87162G105 2,176 130,280 X 5,000 125,280 T3 MOTION CLASS H WAR WARRANT 89853X116 1 185,600 X 5,000 180,600 T3 MOTION CLASS I WAR WARRANT 89853X124 1 185,600 X 5,000 180,600 T3 MOTION INC TTTM COMMON 89853X306 217 221,100 X 15,000 206,100 TARGA RESOURCES COMMON 87611X105 1,959 60,400 X 0 60,400 TEAM INC TISI COMMON 878155100 2,221 105,845 X 6,000 99,845 TORTOISE CAP RES TTO MUTUAL 89147N304 1,639 218,535 X 4,000 214,535 TORTOISE ENERGY INFRA MUTUAL 89147L100 617 18,186 X 0 18,186 TORTOISE MLP FD NTG MUTUAL 89148B101 2,380 105,487 X 0 105,487 TRIANGLE PETROLEUM TP COMMON 89600B201 1,784 496,860 X 23,283 473,577 TSAKOS ENERGY NAVIGAT COMMON G9108L108 89 15,935 X 0 15,935 TYLER TECHNOLOGIES TY COMMON 902252105 2,479 98,050 X 3,000 95,050 U M H PROPERTIES UMH REAL ES 903002103 560 61,625 X 0 61,625 U S PHYSICAL THERAPY COMMON 90337L108 1,602 86,478 X 3,000 83,478 UROPLASTY INC UPI COMMON 917277204 1,487 306,522 X 15,000 291,522 US NATL GAS UNG MUTUAL 912318102 246 27,311 X 0 27,311 VANGUARD NAT RES COMMON 92205F106 1,515 58,055 X 0 58,055 VASCO DATA SEC INTL I COMMON 92230Y104 56 11,010 X 2,500 8,510 WAVE SYSTEMS CORP WAV COMMON 943526301 867 370,625 X 20,000 350,625 WCA WASTE CORP WCAA COMMON 92926K103 469 110,545 X 7,000 103,545 WESCORP ENERGY INC WS COMMON 95083L103 60 805,200 X 100,000 705,200 WESDOME GOLD MINES WD COMMON 95083R100 1,365 553,475 X 20,000 533,475 WILLDAN GROUP INC WLD COMMON 96924N100 1,254 336,060 X 15,000 321,060 WORLDWIDE ENERGY WEMU COMMON 98158R104 107 161,675 X 0 161,675 YAMANA GOLD INC AUY COMMON 98462Y100 1,079 79,004 X 4,470 74,534 YELLOW MEDIA INC YLO. COMMON 985521103 15 104,820 X 0 104,820 172,357