0001085146-12-000098.txt : 20120131 0001085146-12-000098.hdr.sgml : 20120131 20120130194248 ACCESSION NUMBER: 0001085146-12-000098 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120131 DATE AS OF CHANGE: 20120130 EFFECTIVENESS DATE: 20120131 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Pathstone Family Office, LLC CENTRAL INDEX KEY: 0001511137 IRS NUMBER: 271957427 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14122 FILM NUMBER: 12557119 BUSINESS ADDRESS: STREET 1: 285 GRAND AVE STREET 2: FIVE PATRIOT CENTRE CITY: ENGLEWOOD STATE: NJ ZIP: 07631 BUSINESS PHONE: 201-731-7112 MAIL ADDRESS: STREET 1: 285 GRAND AVE STREET 2: FIVE PATRIOT CENTRE CITY: ENGLEWOOD STATE: NJ ZIP: 07631 13F-HR 1 path4q2011.txt PATHSTONE FAMILY OFFICE, LLC 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, 2011 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: Pathstone Family Office, LLC Address: Five Patriot Centre 285 Grand Ave Englewood, NJ 07631 13F File Number: 028-14122 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: Matthew Sher Title: Director of Operations and CCO Phone: 201-731-7112 Signature, Place, and Date of Signing: /s/ Matthew Sher Englewood, NJ January 30, 2012 Report Type (Check only one.): [ ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ X] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: Form 13F File Number Name 028-04558 Parametric Portfolio Associates 028-05505 Sawgrass Asset Management, L.L.C. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 128 Form 13F Information Table Value Total: $62,926 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M CO COM 88579y101 40 489 SH SOLE 489 0 0 ADVANCED MICRO DEVICES INC COM 007903107 6 1000 SH SOLE 1000 0 0 ALEXCO RESOURCE CORP COM 01535P106 5682 834319 SH SOLE 834319 0 0 ALEXCO RESOURCE CORP COM 01535P106 3 54100 SH CALL SOLE 0 0 0 ALTRIA GROUP INC COM 02209s103 1 45 SH SOLE 45 0 0 ALUMINUM CORP CHINA LTD SPON ADR H SHS 022276109 11 1000 SH SOLE 1000 0 0 AMGEN INC COM 031162100 6 100 SH SOLE 100 0 0 APPLE INC COM 037833100 115 284 SH SOLE 284 0 0 APPLIED MATLS INC COM 038222105 2 200 SH SOLE 200 0 0 AT&T INC COM 00206R102 6 200 SH SOLE 200 0 0 BAKER HUGHES INC COM 057224107 0 1000 SH CALL SOLE 0 0 0 BANK OF AMERICA CORPORATION COM 060505104 45 8000 SH SOLE 8000 0 0 BARRICK GOLD CORP COM 067901108 90 2000 SH SOLE 2000 0 0 BAXTER INTL INC COM 071813109 5 100 SH SOLE 100 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 115 1 SH SOLE 1 0 0 BOEING CO COM 097023105 169 2300 SH SOLE 2300 0 0 BPZ RESOURCES INC COM 055639108 81 28652 SH SOLE 28652 0 0 BROADWIND ENERGY INC COM 11161T108 17 24875 SH SOLE 24875 0 0 CAL DIVE INTL INC DEL COM 12802T101 23 10000 SH SOLE 10000 0 0 CAMPBELL SOUP CO COM 134429109 42 1274 SH SOLE 1274 0 0 CARDICA INC COM 14141r101 121 56465 SH SOLE 56465 0 0 CHESAPEAKE ENERGY CORP COM 165167107 56 2500 SH SOLE 2500 0 0 CHESAPEAKE MIDSTREAM PARTNER UNIT 16524K108 29 1000 SH SOLE 1000 0 0 CISCO SYS INC COM 17275r102 103 5700 SH SOLE 5700 0 0 CITIGROUP INC COM NEW 172967424 191 7300 SH SOLE 7300 0 0 CLEAN ENERGY FUELS CORP COM 184499101 62 5000 SH SOLE 5000 0 0 COCA COLA CO COM 191216100 14 200 SH SOLE 200 0 0 COEUR D ALENE MINES CORP IDA COM NEW 192108504 24 1000 SH SOLE 1000 0 0 COLGATE PALMOLIVE CO COM 194162103 44 480 SH SOLE 480 0 0 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1000 0 0 PROCTER & GAMBLE CO COM 742718109 84 1265 SH SOLE 1265 0 0 REPUBLIC SVCS INC COM 760759100 207 7500 SH SOLE 7500 0 0 RESOLUTE ENERGY CORP COM 76116A108 27 2500 SH SOLE 2500 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 175 2400 SH SOLE 2400 0 0 SATCON TECHNOLOGY CORP COM 803893106 6 10000 SH SOLE 10000 0 0 SEANERGY MARITIME HLDGS CORP SHS Y73760129 6 2666 SH SOLE 2666 0 0 SENOMYX INC COM 81724q107 38 11000 SH SOLE 11000 0 0 SILVER BULL RES INC COM 827458100 149 277000 SH SOLE 277000 0 0 SILVER WHEATON CORP COM 828336107 0 20000 SH CALL SOLE 20000 0 0 SINA CORP ORD G81477104 156 3000 SH SOLE 3000 0 0 SIRIUS XM RADIO INC COM 82967N108 13 7000 SH SOLE 7000 0 0 SONDE RES CORP COM 835426107 39 15000 SH SOLE 15000 0 0 SOUTHERN CO COM 842587107 19 400 SH SOLE 400 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 258 2053 SH SOLE 2053 0 0 SPDR SERIES TRUST S&P 500 GROWTH 78464A409 6 100 SH SOLE 100 0 0 ST JOE CO COM 790148100 44 3000 SH SOLE 3000 0 0 STAR SCIENTIFIC INC COM 85517P101 4 2000 SH SOLE 2000 0 0 SYMANTEC CORP COM 871503108 63 4000 SH SOLE 4000 0 0 SYNERON MEDICAL LTD ORD SHS M87245102 44 4000 SH SOLE 4000 0 0 SYNOVUS FINL CORP COM 87161C105 107 76000 SH SOLE 76000 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 2 122 SH SOLE 122 0 0 TARGA RESOURCES PARTNERS LP COM UNIT 87611X105 37 1000 SH SOLE 1000 0 0 TEMPLETON DRAGON FD INC COM 88018T101 102 4000 SH SOLE 4000 0 0 UNITED PARCEL SERVICE INC CL B 911312106 7 100 SH SOLE 100 0 0 URANIUM ENERGY CORP COM 916896103 31 10000 SH SOLE 10000 0 0 VISA INC COM CL A 92826C839 20 200 SH SOLE 200 0 0 WAL MART STORES INC COM 931142103 6 100 SH SOLE 100 0 0 WELLS FARGO & CO NEW COM 949746101 14 504 SH SOLE 504 0 0 WSP HOLDINGS LIMITED ADR 92934F104 4 10000 SH SOLE 10000 0 0 XO GROUP INC COM 983772104 3 304 SH SOLE 304 0 0 YAHOO INC COM 984332106 4 200 SH SOLE 200 0 0