0001105907-12-000015.txt : 20121113
0001105907-12-000015.hdr.sgml : 20121112
20121113134048
ACCESSION NUMBER: 0001105907-12-000015
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120930
FILED AS OF DATE: 20121113
DATE AS OF CHANGE: 20121113
EFFECTIVENESS DATE: 20121113
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: 121197781
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
r13f093012.txt
SEPTEMBER 30, 2012 HOLDINGS
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: SEPTEMBER 30, 2012
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 12,2012
[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: 179
Form 13F Information Table Value Total: $ 210,592
(thousands)
List of Other Included Managers:
None
DISCRETIONARY OWNERSHIP FOR 13F
AS OF DATE: 9/30/2012 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 1,289 35,887 X 3,000 32,887
ABERDEEN LATIN AMERICA COMMON 00306K106 260 7,530 X 0 7,530
ACACIA RESH CORP ACTG COMMON 003881307 762 27,800 X 1,500 26,300
ACME UTD CORP ACU COMMON 004816104 2,110 178,518 X 4,000 174,518
ADVANTAGE OIL & GAS A COMMON 00765F101 370 98,760 X 0 98,760
ARLINGTON ASSET INVT REAL ES 041356205 1,622 67,985 X 0 67,985
ASHFORD 8.45% D AHT-P PREFERR 044103406 859 33,975 X 0 33,975
ASPENBIO PHARMA INC A COMMON 045346301 870 314,233 X 20,500 293,733
ASTROTECH CORP ASTC COMMON 046484101 616 630,537 X 60,000 570,537
ASURE SOFTWARE INC AS COMMON 04649U102 848 122,055 X 10,000 112,055
ATLAS ENERGY COMMON 049298102 905 29,652 X 0 29,652
ATLAS PIPELINE COMMON 049392103 2,045 59,965 X 0 59,965
BAJA MINING CORP BAJ. COMMON 05709R103 83 872,650 X 60,000 812,650
BALCHEM CORP BCPC COMMON 057665200 3,161 86,055 X 5,062 80,993
BERKSHIRE HATHAWAY BR COMMON 084670702 1,279 14,501 X 0 14,501
BOSTON BEER INC SAM COMMON 100557107 517 4,615 X 0 4,615
BOWL AMER INC BWL COMMON 102565108 635 49,390 X 0 49,390
BREITBURN ENERGY COMMON 106776107 1,751 90,135 X 0 90,135
BRIDGELINE SOFTWARE B COMMON 10807Q205 334 282,750 X 30,000 252,750
BURCON NUTRASCIENCE B COMMON 120831102 390 85,675 X 8,000 77,675
CAMDEN PPTY TR CPT REAL ES 133131102 208 3,222 X 0 3,222
CAMPUS CREST 8.00% A PREFERR 13466Y204 1,028 38,050 X 0 38,050
CAPITAL LEASING FDG L REAL ES 140288101 229 44,310 X 0 44,310
CAPITAL PROD PTNRS COMMON Y11082107 1,426 174,579 X 0 174,579
CARRIAGE SVCS INC CSV COMMON 143905107 2,335 241,450 X 6,000 235,450
CARRIAGE SVCS 7.00% C PREFERR 14444T309 2,046 46,775 X 0 46,775
CASUAL MALE RETAIL GR COMMON 148711302 611 132,067 X 15,000 117,067
CEDAR FAIR COMMON 150185106 1,849 55,245 X 0 55,245
CELADON GROUP INC CGI COMMON 150838100 835 51,954 X 6,000 45,954
CLEARSIGN COMBUSTION COMMON 185064102 651 92,525 X 10,000 82,525
COMMONWEALTH CWH REAL ES 203233101 955 65,583 X 0 65,583
CORPORATE OFF PPTYS T REAL ES 22002T108 708 29,550 X 0 29,550
CRIMSON EXPLORATION C COMMON 22662K207 1,135 265,875 X 10,000 255,875
CUMBERLAND PHARMACEUT COMMON 230770109 589 91,140 X 0 91,140
CURRENCYSHS JAPAN YEN MUTUAL 23130A102 341 2,713 X 0 2,713
DAKTRONICS DAKT COMMON 234264109 1,689 177,620 X 9,700 167,920
PS AGRI LG ETN AGF MUTUAL 25154H533 880 41,085 X 0 41,085
DHX MEDIA LTD DHX.T COMMON 252406103 2,050 1,287,950 X 60,000 1,227,950
DORCHESTER MINERALS COMMON 25820R105 1,957 88,745 X 0 88,745
DOUBLE EAGLE 9.25% A PREFERR 258570407 1,269 48,980 X 0 48,980
DYNAMICS RESH CORP DR COMMON 268057106 166 24,260 X 0 24,260
DYNAVOX INC DVOX COMMON 26817F104 76 143,862 X 4,000 139,862
ENSIGN GROUP INC ENSG COMMON 29358P101 2,731 89,230 X 5,625 83,605
ENVIROSTAR INC EVI COMMON 29414M100 801 497,679 X 35,000 462,679
EQUITY LIFESTL 8.034% PREFERR 29472R207 1,369 54,625 X 0 54,625
ERICKSON AIR-CRANE IN COMMON 29482P100 1,006 137,555 X 4,000 133,555
EVOLUT PETRO 8.50% A PREFERR 30049A206 1,300 48,150 X 0 48,150
EVOLUTION PETROLEUM E COMMON 30049A107 4,186 518,119 X 30,400 487,719
FID/CLAY MLP FMO COMMON 31647Q106 400 17,424 X 0 17,424
FID/CLAY PFD FFC PREFERR 338478100 924 46,225 X 0 46,225
FIRST MAJESTIC SILVER COMMON 32076V103 6,111 263,735 X 16,490 247,245
FIRST POTOMAC 7.75% A PREFERR 33610F307 1,116 43,225 X 0 43,225
FIRST POTOMAC RLTY TR REAL ES 33610F109 772 59,905 X 0 59,905
FLEXIBLE SOLUTIONS FS COMMON 33938T104 750 543,275 X 10,000 533,275
FRANCO NEVADA CORP CO COMMON 351858105 938 15,924 X 1,046 14,878
GP STRATEGIES CORP GP COMMON 36225V104 229 11,875 X 0 11,875
GASTAR EXPLOR 8.620% PREFERR 36729P207 948 47,745 X 0 47,745
GENERAL FINANCE CORP COMMON 369822101 875 216,050 X 10,000 206,050
GLACIER WATER 9.06% A PREFERR 376398202 768 29,815 X 0 29,815
GLADSTONE CAPITAL COR REAL ES 376535100 122 13,975 X 0 13,975
GLADSTONE COML CORP G REAL ES 376536108 1,518 83,139 X 0 83,139
GLOBAL AIRCRAFT SOL G COMMON 378964100 0 50,650 X 0 50,650
GMX BONDS 18.75 4.50% CONVERT 38011MAJ7 267 666,000 X 0 666,000
GMX BONDS 32.50 5.00% CONVERT 38011MAB4 473 652,000 X 0 652,000
GOLDCORP INC NEW GG COMMON 380956409 2,150 46,896 X 4,300 42,596
GRACE ACQUI 8.750% P PREFERR 982568206 116 26,080 X 0 26,080
GRAMERCY 8.125% A GKK PREFERR 384871307 712 23,600 X 0 23,600
GRAN TIERRA ENERGY IN COMMON 38500T101 256 49,478 X 0 49,478
GSE SYS INC GVP COMMON 36227K106 923 454,515 X 30,000 424,515
H & Q LIFE SCIENCES H MUTUAL 404053100 769 49,971 X 0 49,971
HAIN CELESTIAL GROUP COMMON 405217100 1,536 24,374 X 2,000 22,374
HALLADOR ENERGY HNRG COMMON 40609P105 529 63,450 X 0 63,450
HARVARD BIOSCIENCE HB COMMON 416906105 1,785 422,075 X 10,000 412,075
HEALTH CARE REIT INC REAL ES 42217K106 1,955 33,855 X 0 33,855
HENRY JACK & ASSOC JK COMMON 426281101 676 17,870 X 0 17,870
HUDSON TECHNOLOGIES I COMMON 444144109 2,667 734,700 X 30,150 704,550
ICON PUB LTD CO ICLR COMMON 45103T107 297 12,200 X 0 12,200
IDEX CORP IEX COMMON 45167R104 781 18,705 X 0 18,705
II-VI INC IIVI COMMON 902104108 4,904 257,809 X 7,800 250,009
IMAGE SENSING SYS INC COMMON 45244C104 371 76,935 X 3,000 73,935
INERGY COMMON 456615103 212 11,135 X 0 11,135
INTEST CORP INTT COMMON 461147100 1,112 424,585 X 15,000 409,585
INVENTURE FOODS INC S COMMON 461212102 145 25,400 X 0 25,400
ISHARES SILVER TRUST MUTUAL 46428Q109 1,335 39,875 X 0 39,875
ITERIS INC ITI COMMON 46564T107 18 12,100 X 0 12,100
JAPAN SMALLER CAPTL J FOREIGN 47109U104 301 41,758 X 0 41,758
KAYNE ANDERSON MLP KYN MUTUAL 486606106 1,027 32,885 X 0 32,885
KAYNE MIDSTREAM FUND MUTUAL 48661E106 241 8,205 X 0 8,205
KIMCO PFD H 7.90% H K PREFERR 49446R828 989 35,600 X 0 35,600
KMG CHEMICALS INC KMG COMMON 482564101 2,574 139,150 X 5,000 134,150
KRATOS DEFENSE & SEC COMMON 50077B207 1,030 176,452 X 7,000 169,452
LASALLE HOTEL 7.50% H PREFERR 517942702 1,374 52,025 X 0 52,025
LASALLE HOTEL PPTY LH REAL ES 517942108 410 15,380 X 0 15,380
LAYNE CHRISTENSEN CO COMMON 521050104 687 35,055 X 2,100 32,955
LEXINGTON PPTYS LXP REAL ES 529043101 549 56,831 X 0 56,831
LIME ENERGY CO LIME COMMON 53261U205 37 52,565 X 0 52,565
LINN ENERGY LLC LINE COMMON 536020100 565 13,690 X 0 13,690
LUMINA COPPER LCC.V COMMON 55025N104 4,474 432,725 X 30,000 402,725
MAC-GRAY CORP TUC COMMON 554153106 824 61,445 X 6,000 55,445
MAGNUM HUN RE 10.25% PREFERR 55973B201 1,101 42,795 X 0 42,795
MAGNUM HUNTER MHR COMMON 55973B102 1,016 228,854 X 7,964 220,890
MARTEN TRANS LTD MRTN COMMON 573075108 646 36,775 X 0 36,775
MARTIN MIDSTREAM COMMON 573331105 1,369 39,830 X 0 39,830
MEDICAL PPTYS TRUST I REAL ES 58463J304 1,312 125,565 X 0 125,565
MEDICIS PHARMACEUTICA COMMON 584690309 1,795 41,485 X 0 41,485
MERGE HEALTHCARE INC COMMON 589499102 389 101,918 X 8,000 93,918
MILLER INDS INC TENN COMMON 600551204 991 61,735 X 0 61,735
MOCON INC MOCO COMMON 607494101 1,738 117,292 X 5,000 112,292
MONMOUTH PFD-B 7.50%% PREFERR 609720305 779 29,500 X 0 29,500
MONMOUTH REAL ESTATE REAL ES 609720107 2,057 183,805 X 0 183,805
MPG OFFICE 7.625% A M PREFERR 553274200 596 26,460 X 0 26,460
MV GOLD STX ETF GDX MUTUAL 57060U100 612 11,390 X 0 11,390
MV JR GOLD MINERS GDXJ MUTUAL 57060U589 804 32,515 X 0 32,515
NEOGENOMICS INC NGNM COMMON 64049M209 1,672 555,500 X 50,000 505,500
NEWMONT MNG CORP NEM COMMON 651639106 448 8,000 X 1,600 6,400
NGP CAP RES CO NGPC MUTUAL 62912R107 325 43,590 X 0 43,590
NORTHERN OIL & GAS NO COMMON 665531109 1,538 90,500 X 3,000 87,500
NOVELOS THERAPEUTICS COMMON 67000M209 649 618,248 X 50,000 568,248
OCULUS INNOVATIVE SCI COMMON 67575P108 754 802,400 X 25,000 777,400
PICO HLDGS INC PICO COMMON 693366205 2,982 130,696 X 5,000 125,696
PARAMOUNT GOLD & SILV COMMON 69924P102 1,124 422,450 X 20,000 402,450
POWERSHS DB AG DBA MUTUAL 73936B408 752 25,582 X 0 25,582
POWERSHS SMCAP UTIL COMMON 73937B837 2,263 70,340 X 0 70,340
PREFERRED APT COMM AP REAL ES 74039L103 1,156 135,995 X 0 135,995
PRIVATEBANC 10.00% A PREFERR 74272L208 1,119 42,855 X 0 42,855
PSIVIDA CORP PSDV COMMON 74440J101 139 85,284 X 20,000 65,284
PURE TECHNOLOGIES LTD COMMON 745915108 1,842 377,425 X 20,000 357,425
PURECYCLE CORP PCYO COMMON 746228303 296 129,100 X 0 129,100
QR ENERGY COMMON 74734R108 1,495 76,565 X 0 76,565
QUADRANT 4 SYSTEMS QF COMMON 74735A104 380 1,899,319 X 35,000 1,864,319
QUAKER CHEM CORP KWR COMMON 747316107 1,810 38,790 X 2,000 36,790
QUALSTAR CORP QBAK COMMON 74758R109 398 272,460 X 20,000 252,460
RAND LOGISTICS CORP R COMMON 752182105 1,773 235,471 X 20,000 215,471
RCM TECHNOLOGIES INC COMMON 749360400 531 95,935 X 10,000 85,935
ROYAL GOLD INC RGLD COMMON 780287108 2,119 21,225 X 1,500 19,725
ROYCE MICRO TRUST COMMON 780915104 2,491 263,546 X 0 263,546
SPDR GOLD TRUST COMMON 78463V107 415 2,416 X 0 2,416
S&W SEED CO SANW COMMON 785135104 1,708 280,900 X 14,250 266,650
SAN JUAN COMMON 798241105 1,335 94,245 X 0 94,245
SANDSTORM GOLD LTD CO COMMON 80013R206 1,524 118,500 X 4,700 113,800
SARATOGA RES INC TEX COMMON 803521103 1,152 210,250 X 7,400 202,850
SAUL CENTERS 8.00% A PREFERR 804095200 902 34,960 X 0 34,960
SCIENTIFIC LEARNING S COMMON 808760102 474 459,952 X 25,250 434,702
SEABRIDGE GOLD INC SA COMMON 811916105 1,184 61,020 X 0 61,020
SEASPAN CORP SSW COMMON Y75638109 555 35,154 X 3,000 32,154
SENIOR HSG PPTYS SNH REAL ES 81721M109 465 21,365 X 0 21,365
SILVER WHEATON CORP S COMMON 828336107 3,294 82,963 X 1,850 81,113
SL GREEN RLTY SLG REAL ES 78440X101 204 2,550 X 0 2,550
SMARTPROS LTD SPRO COMMON 83171G103 274 166,900 X 5,000 161,900
SPARTON CORP SPA COMMON 847235108 2,360 186,525 X 7,000 179,525
SPECTRUM PHARMA SPPI COMMON 84763A108 3,170 270,920 X 9,500 261,420
STANDARD PARKING CORP COMMON 853790103 2,447 109,080 X 4,000 105,080
STAR BUFFET INC STRZ COMMON 855086104 31 61,110 X 0 61,110
STERICYCLE INC SRCL COMMON 858912108 4,637 51,250 X 3,200 48,050
STORM CAT ENERGY CORP COMMON 862168101 0 195,200 X 0 195,200
STRATEGIC HTL 8.25% C PREFERR 86272T502 934 37,225 X 0 37,225
SUNOPTA INC STKL COMMON 8676EP108 1,231 192,702 X 10,000 182,702
SYNTHETIC BIOLOGICS COMMON 87164U102 28 13,399 X 6,899 6,500
TEAM INC TISI COMMON 878155100 3,221 101,120 X 6,000 95,120
TORTOISE CAP RES TTO MUTUAL 89147N304 1,972 221,535 X 4,000 217,535
TORTOISE MLP FD NTG MUTUAL 89148B101 2,428 95,797 X 0 95,797
T3 H WARR $3.00 5/13/ WARRANT 89853X116 3 176,400 X 0 176,400
T3 I WARR $3.50 5/13/ WARRANT 89853X124 18 176,400 X 0 176,400
T3 MOTION INC TTTM COMMON 89853X306 160 301,400 X 40,800 260,600
TARGA RESOURCES COMMON 87611X105 2,594 60,500 X 0 60,500
TRIANGLE PETROLEUM TP COMMON 89600B201 3,616 504,977 X 19,000 485,977
TSAKOS ENERGY NAVIGAT COMMON G9108L108 53 10,285 X 0 10,285
TYLER TECHNOLOGIES TY COMMON 902252105 3,988 90,600 X 3,000 87,600
U M H PROPERTIES UMH REAL ES 903002103 851 71,100 X 0 71,100
U S PHYSICAL THERAPY COMMON 90337L108 2,745 99,348 X 4,000 95,348
UROPLASTY INC UPI COMMON 917277204 1,254 329,122 X 15,000 314,122
VANGUARD NAT RES COMMON 92205F106 1,973 68,170 X 0 68,170
VASCO DATA SEC INTL I COMMON 92230Y104 99 10,560 X 2,500 8,060
WAVE SYSTEMS CORP WAV COMMON 943526301 347 368,625 X 20,000 348,625
WESDOME GOLD MINES WD COMMON 95083R100 557 498,250 X 21,700 476,550
WILLDAN GROUP INC WLD COMMON 96924N100 516 303,494 X 15,000 288,494
WINTHROP RLTY 9.18% D PREFERR 976391508 1,602 59,825 X 0 59,825
WORLDWIDE ENERGY WEMU COMMON 98158R104 0 230,875 X 0 230,875
YAMANA GOLD INC AUY COMMON 98462Y100 1,335 69,872 X 4,656 65,216
210,592