0001019687-12-001792.txt : 20120515 0001019687-12-001792.hdr.sgml : 20120515 20120515110743 ACCESSION NUMBER: 0001019687-12-001792 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120331 FILED AS OF DATE: 20120515 DATE AS OF CHANGE: 20120515 EFFECTIVENESS DATE: 20120515 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 SEC ACT: 1934 Act SEC FILE NUMBER: 028-10139 FILM NUMBER: 12842019 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 1 alfrank_13fhr.txt FORM 13F HOLDINGS REPORT 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, 2012 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 85 Argonaut, Suite 220 Alisa Viejo, CA 92656 -------------------------------------------------------------------------------- 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 May 15, 2012 ------------------------------------------ (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: 135 Form 13F Information Table Value Total: $564,111 (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 12/31/11 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- --------- -------- -------- ------- Apple Computer COMMON 037833100 3,317 5,532 SH Sole 3,980 1,552 Abbott Laboratories COMMON 002824100 6,037 98,496 SH Sole 68,493 30,003 Aceto Corp COMMON 004446100 3,892 410,155 SH Sole 240,952 169,203 Archer-Daniels-Midland COMMON 039483102 6,412 202,518 SH Sole 141,526 60,992 Aetna COMMON 00817Y108 5,321 106,076 SH Sole 71,856 34,220 Ameriprise Financial COMMON 03076C106 6,119 107,100 SH Sole 73,881 33,219 American Software COMMON 029683109 3,742 436,077 SH Sole 308,042 128,035 Anworth Mortgage Asset Corp COMMON 037347101 884 134,398 SH Sole 118,012 16,386 Alpha & Omega Semiconductor Inc. COMMON g6331p104 686 71,360 SH Sole 70,085 1,275 Apache COMMON 037411105 4,769 47,485 SH Sole 33,242 14,243 Activision Blizzard COMMON 00507V109 4,478 349,280 SH Sole 240,172 109,108 Yamana Gold COMMON 98462Y100 5,193 332,485 SH Sole 230,936 101,549 Baxter International COMMON 071813109 5,966 99,797 SH Sole 68,936 30,860 Black Box Corp COMMON 091826107 421 16,498 SH Sole 11,698 4,800 BB&T Corporation COMMON 054937107 4,728 150,618 SH Sole 104,305 46,313 Best Buy COMMON 086516101 441 18,613 SH Sole 12,463 6,150 Briggs & Stratton COMMON 109043109 5,324 296,940 SH Sole 198,275 98,665 Direxion Daily Large Cap Bull 3X Shares ETF 25459W862 506 5,874 SH Sole 5,874 - Benchmark Electronics COMMON 08160h101 4,632 280,916 SH Sole 194,044 86,872 Baker Hughes COMMON 057224107 2,294 54,700 SH Sole 33,389 21,311 BHP Billiton COMMON 088606108 2,201 30,406 SH Sole 25,240 5,166 Bank of NY Mellon Corp. COMMON 064058100 4,335 179,664 SH Sole 119,055 60,609 BioMed Realty COMMON 09063H107 3,454 181,960 SH Sole 131,496 50,464 Vanguard Total Bond Market ETF 921937835 13,569 162,938 SH Sole 101,296 61,642 Brocade Communications Systems COMMON 111621306 3,266 567,985 SH Sole 350,826 217,159 Bristow Group Inc COMMON 110394103 5,735 120,163 SH Sole 83,802 36,361 Caterpillar COMMON 149123101 767 7,201 SH Sole 5,022 2,179 Celanese Corp COMMON 150870103 5,261 113,923 SH Sole 77,032 36,891 Chesapeake Energy COMMON 165167107 4,424 190,926 SH Sole 130,977 59,949 Comcast Corp CL A COMMON 20030N101 6,125 204,098 SH Sole 135,489 68,609 Covidien PLC COMMON G2554F113 5,177 94,684 SH Sole 65,794 28,890 Compuware COMMON 205638109 1,062 115,590 SH Sole 98,690 16,900 Credit Suisse Group COMMON 225401108 5,187 181,924 SH Sole 123,574 58,350 Cisco Systems COMMON 17275R102 7,159 338,477 SH Sole 227,608 110,869 Cooper Tire COMMON 216831107 6,350 417,240 SH Sole 294,106 123,134 DuPont COMMON 263534109 3,077 58,172 SH Sole 40,915 17,257 DDi Corp. COMMON 233162502 1,425 116,807 SH Sole 81,763 35,044 Diodes COMMON 254543101 703 30,323 SH Sole 12,146 18,177 Disney, Walt COMMON 254687106 6,554 149,708 SH Sole 105,517 44,191 Delta Apparel COMMON 247368103 657 40,000 SH Sole 40,000 - Diamond Offshore COMMON 25271c102 4,228 63,341 SH Sole 42,193 21,148 Direxion Daily Real Estate Bull 3x ETF 25459w755 223 3,253 SH Sole 3,253 - DTE Energy Co. COMMON 233331107 7,171 130,314 SH Sole 88,572 41,742 Direxion Daily Devel Mkts Bull 3X Shares ETF 25459W789 635 15,915 SH Sole 15,915 - ENI SPA ADR COMMON 26874r108 2,314 49,425 SH Sole 37,916 11,509 SPDR Emerging Markets Local Bond ETF 78464a391 3,991 126,685 SH Sole 71,135 55,550 Direxion Daily Emerg Mkts Bull Shares ETF 25459y686 576 5,524 SH Sole 5,524 - Market Vectors Emerging Markets Local Currency Bond ETF 57060u522 4,531 172,429 SH Sole 107,710 64,719 Ericsson COMMON 294821608 4,410 427,693 SH Sole 263,986 163,706 Eaton COMMON 278058102 6,769 135,840 SH Sole 95,470 40,370 iShares MSCI Singapore Index Fund ETF 464286673 1,866 144,777 SH Sole 103,520 41,257 Exelon COMMON 30161N101 956 24,384 SH Sole 15,706 8,678 Freeport McMoran Copper & Gold COMMON 35671D857 5,501 144,613 SH Sole 94,703 49,910 Foot Locker COMMON 344849104 626 20,170 SH Sole 16,272 3,898 General Dynamics COMMON 369550108 5,035 68,622 SH Sole 47,042 21,580 Corning COMMON 219350105 1,083 76,932 SH Sole 50,738 26,194 Goldman Sachs Group COMMON 38141G104 2,623 21,093 SH Sole 11,923 9,169 Hasbro COMMON 418056107 6,279 171,009 SH Sole 116,220 54,789 Hudson City Bancorp COMMON 443683107 3,473 474,475 SH Sole 267,194 207,281 Home Depot COMMON 437076102 7,101 141,155 SH Sole 96,445 44,709 Hewlett-Packard COMMON 428236103 886 37,175 SH Sole 28,009 9,166 Heartland Payment Systems COMMON 42235N108 2,939 101,897 SH Sole 63,831 38,066 iShares IBOXX $ High Yield Corp Bond Fund ETF 464288513 1,868 20,594 SH Sole 20,594 - iShares Trust Comex Gold ETF ETF 464285105 1,099 67,518 SH Sole 67,518 - Int'l Business Machines COMMON 459200101 6,390 30,627 SH Sole 22,258 8,369 Ingram Micro COMMON 457153104 4,438 239,143 SH Sole 162,029 77,114 Intel COMMON 458140100 7,306 259,803 SH Sole 174,971 84,832 Barclays Capital High Yield Bond ETF 78464a417 21,470 545,327 SH Sole 327,691 217,636 JP Morgan Chase COMMON 46625H100 6,891 149,870 SH Sole 102,935 46,935 Kraft Foods CL A COMMON 50075N104 3,688 97,036 SH Sole 68,936 28,100 L-3 Communications Holdings COMMON 502424104 4,820 68,104 SH Sole 45,523 22,581 Lockheed Martin COMMON 539830109 6,219 69,202 SH Sole 46,115 23,087 Manpower Inc. COMMON 56418H100 6,229 131,495 SH Sole 90,938 40,557 Microchip Tech COMMON 595017104 3,201 86,047 SH Sole 62,268 23,779 McKesson COMMON 58155Q103 5,996 68,311 SH Sole 47,564 20,748 MDC Holdings COMMON 552676108 6,504 252,189 SH Sole 176,906 75,283 3M Corp. COMMON 88579Y101 1,838 20,602 SH Sole 12,124 8,478 Marathon Petroleum COMMON 56585A102 4,988 115,048 SH Sole 78,162 36,887 Merck & Co. COMMON 58933Y105 1,028 26,775 SH Sole 17,902 8,873 Marathon Oil COMMON 565849106 5,083 160,347 SH Sole 114,211 46,136 Microsoft COMMON 594918104 7,144 221,455 SH Sole 158,661 62,794 Direxion Daily Mid Cap Bull 3X Shares ETF 25459W730 209 5,065 SH Sole 5,065 - Newmont Mining Corp Holding Co. COMMON 651639106 694 13,527 SH Sole 9,290 4,237 Navios Maritime Holdings Inc. COMMON Y62196103 5,383 1,281,629 SH Sole 883,438 398,191 Norfolk Southern COMMON 655844108 6,421 97,546 SH Sole 67,173 30,373 Nippon Telegraph and Telephone COMMON 654624105 5,567 246,104 SH Sole 163,892 82,212 Nucor COMMON 670346105 1,784 41,537 SH Sole 26,422 15,115 Novartis COMMON 66987V109 4,852 87,556 SH Sole 62,159 25,397 Nexen COMMON 65334H102 5,482 298,733 SH Sole 206,207 92,526 New York Community COMMON 649445103 1,327 95,372 SH Sole 62,514 32,858 OM Group COMMON 670872100 943 34,284 SH Sole 27,409 6,875 Petroleo Brasileiro SA COMMON 71654V408 2,247 84,611 SH Sole 58,870 25,741 Pepsico COMMON 713448108 1,450 21,851 SH Sole 16,209 5,642 Protective Life COMMON 743674103 7,781 262,683 SH Sole 182,239 80,444 Palomar Med Tech COMMON 697529303 4,162 445,562 SH Sole 305,079 140,483 Prudential COMMON 744320102 5,653 89,185 SH Sole 60,237 28,948 Portugal Telecom Spons ADR COMMON 737273102 1,905 352,064 SH Sole 281,471 70,593 Royal Caribbean Cruises COMMON v7780t103 5,226 177,569 SH Sole 116,237 61,332 Radio Shack COMMON 750438103 910 146,347 SH Sole 91,766 54,581 Raytheon Co. COMMON 755111507 2,086 39,524 SH Sole 33,114 6,410 Ship Finance Int'l COMMON G81075106 3,187 208,297 SH Sole 143,916 64,381 Smith Midland Corp. COMMON 832156103 434 289,000 SH Sole 287,000 2,000 Synovus Fin'l COMMON 87161C105 52 25,500 SH Sole 25,500 - Staples COMMON 855030102 5,214 322,025 SH Sole 218,606 103,419 Stage Stores COMMON 85254c305 5,346 329,190 SH Sole 216,907 112,284 STMicroelectronics N.V. COMMON 861012102 4,509 550,594 SH Sole 346,300 204,294 Seagate Tech COMMON g7945m107 5,896 218,705 SH Sole 150,315 68,390 Symantec COMMON 871503108 332 17,768 SH Sole 8,895 8,873 TCF Financial COMMON 872275102 3,519 295,972 SH Sole 218,974 76,998 iShares Barclays Tip ETF 464287176 1,148 9,759 SH Sole 9,759 - Thermo Fisher Scientific COMMON 883556102 4,906 87,012 SH Sole 59,894 27,118 Direxion Daily Small Cap Bull 3X Shares ETF 25459W847 221 3,534 SH Sole 3,434 100 Tsakos Energy COMMON G9108L108 2,813 324,053 SH Sole 207,882 116,171 Total SA ADR COMMON 89151e109 2,310 45,190 SH Sole 36,250 8,940 Tutor Perini Corp COMMON 901109108 3,977 255,241 SH Sole 181,824 73,417 The Travelers Companies COMMON 89417e109 1,488 25,132 SH Sole 12,683 12,449 Tyson Foods COMMON 902494103 5,407 282,352 SH Sole 190,897 91,455 UnitedHealth Group, Inc COMMON 91324p102 3,797 64,418 SH Sole 44,695 19,723 United Online COMMON 911268100 4,407 901,258 SH Sole 626,121 275,137 U R S COMMON 903236107 4,844 113,924 SH Sole 77,288 36,636 Vanguard Intermediate Term Corporate Bond ETF 92206c870 20,626 246,285 SH Sole 143,631 102,654 Vanguard Long-Term Corporate Bond ETF 92206c813 17,464 205,507 SH Sole 124,768 80,739 Vanguard Short-Term Corporate Bond ETF 92206c409 4,317 54,616 SH Sole 32,945 21,671 Verizon Communications COMMON 92343V104 5,905 154,462 SH Sole 105,678 48,783 Walgreen COMMON 931422109 5,068 151,315 SH Sole 101,864 49,451 Western Digital COMMON 958102105 1,301 31,430 SH Sole 19,336 12,094 Wells Fargo & Co. COMMON 949746101 1,232 36,085 SH Sole 35,245 840 Weatherford Intl COMMON H27013103 4,189 277,571 SH Sole 191,937 85,634 Whirpool COMMON 963320106 7,151 93,040 SH Sole 61,869 31,171 Waste Management COMMON 94106L109 5,825 166,618 SH Sole 115,680 50,938 Wal-Mart Stores COMMON 931142103 5,290 86,438 SH Sole 59,574 26,865 Wayside Technology Group COMMON 946760105 206 14,507 SH Sole 4,450 10,057 World Wrestling Ent COMMON 98156Q108 549 61,941 SH Sole 33,477 28,464 Select Sector SPDR Energy ETF 81369y506 4,559 63,546 SH Sole 23,632 39,914 Exxon Mobil COMMON 30231G102 5,986 69,023 SH Sole 50,283 18,740 Xyratex COMMON G98268108 5,486 344,823 SH Sole 223,207 121,616