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