0001105907-13-000004.txt : 20130208 0001105907-13-000004.hdr.sgml : 20130208 20130208161606 ACCESSION NUMBER: 0001105907-13-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130208 DATE AS OF CHANGE: 20130208 EFFECTIVENESS DATE: 20130208 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: 13586980 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 r13f123112.txt 12/31/2012 HOLDINGS SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: DECEMBER 31, 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 FEBRUARY 8, 2013 [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: 174 Form 13F Information Table Value Total: $ 198,267 (thousands) List of Other Included Managers: None DISCRETIONARY OWNERSHIP FOR 13F AS OF DATE: 12/31/2012 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 1,285 34,637 X 3,000 31,637 ABERDEEN LATIN AMER L FOREIGN 00306K106 264 7,280 X 0 7,280 ACACIA RESH CORP ACTG COMMON 003881307 729 28,415 X 1,500 26,915 ACME UTD CORP ACU COMMON 004816104 1,963 177,768 X 4,000 173,768 ADVANTAGE OIL & GAS A COMMON 00765F101 318 98,260 X 0 98,260 ARLINGTON ASSET INVT REAL ES 041356205 1,502 72,310 X 0 72,310 ASHFORD 8.45% D AHT-P PREFERR 044103406 854 33,975 X 0 33,975 ASTROTECH CORP ASTC COMMON 046484101 459 510,485 X 60,000 450,485 ASURE SOFTWARE INC AS COMMON 04649U102 716 122,055 X 10,000 112,055 ATLAS ENERGY COMMON 049298102 1,002 28,850 X 0 28,850 ATLAS PIPELINE COMMON 049392103 1,879 59,515 X 0 59,515 BALCHEM CORP BCPC COMMON 057665200 3,037 83,326 X 5,062 78,264 BERKSHIRE HATHAWAY BR COMMON 084670702 1,292 14,401 X 0 14,401 BOSTON BEER INC SAM COMMON 100557107 620 4,615 X 0 4,615 BOWL AMER INC BWL COMMON 102565108 598 47,815 X 0 47,815 BREITBURN ENERGY COMMON 106776107 1,646 89,135 X 0 89,135 BRIDGELINE SOFTWARE B COMMON 10807Q205 410 282,750 X 30,000 252,750 BURCON NUTRASCIENCE B COMMON 120831102 433 93,775 X 15,000 78,775 CAMDEN PPTY TR CPT REAL ES 133131102 217 3,175 X 0 3,175 CAMPUS CREST 8.00% A PREFERR 13466Y204 976 37,650 X 0 37,650 CAPITAL LEASING FDG L REAL ES 140288101 247 44,310 X 0 44,310 CAPITAL PROD PTNRS COMMON Y11082107 1,142 173,487 X 0 173,487 CARRIAGE SVCS 7.00% C PREFERR 14444T309 2,172 46,775 X 0 46,775 CARRIAGE SVCS INC CSV COMMON 143905107 2,829 238,322 X 6,000 232,322 CASUAL MALE RETAIL GR COMMON 148711302 541 128,717 X 15,000 113,717 CEDAR FAIR COMMON 150185106 1,838 54,945 X 0 54,945 CELADON GROUP INC CGI COMMON 150838100 928 51,354 X 6,000 45,354 CLEARSIGN COMBUSTION COMMON 185064102 412 85,225 X 10,000 75,225 COMMONWEALTH CWH REAL ES 203233101 1,029 64,983 X 0 64,983 CORENERGY INFRASTRUC REAL ES 21870U205 2,228 369,460 X 6,500 362,960 CORPORATE OFF PPTYS T REAL ES 22002T108 727 29,100 X 0 29,100 CPFL ENERGIA S A CPL FOREIGN 126153105 225 10,740 X 0 10,740 CPI AEROSTRUCTURES IN COMMON 125919308 138 13,825 X 0 13,825 CRIMSON EXPLORATION C COMMON 22662K207 718 262,075 X 10,000 252,075 CUMBERLAND PHARMACEUT COMMON 230770109 402 95,640 X 0 95,640 DAKTRONICS DAKT COMMON 234264109 1,951 176,120 X 9,700 166,420 DELPHI ENERGY CORP DP COMMON 247128101 413 366,000 X 15,000 351,000 DHX MEDIA LTD DHX.T COMMON 252406103 2,177 1,242,700 X 60,000 1,182,700 DORCHESTER MINERALS COMMON 25820R105 1,778 87,470 X 0 87,470 DOUBLE EAGLE 9.25% A PREFERR 258570407 1,224 48,480 X 0 48,480 DYNAMICS RESH CORP DR COMMON 268057106 144 24,660 X 0 24,660 ENSIGN GROUP INC ENSG COMMON 29358P101 2,416 88,985 X 5,625 83,360 ENVIROSTAR INC EVI COMMON 29414M100 834 493,779 X 35,000 458,779 ERICKSON AIR-CRANE IN COMMON 29482P100 1,152 136,705 X 4,000 132,705 EVOLUT PETRO 8.50% A PREFERR 30049A206 1,304 47,750 X 0 47,750 EVOLUTION PETROLEUM E COMMON 30049A107 4,190 515,319 X 30,400 484,919 FID/CLAY MLP FMO COMMON 31647Q106 379 17,424 X 0 17,424 FID/CLAY PFD FFC PREFERR 338478100 903 46,175 X 0 46,175 FIRST MAJESTIC SILVER COMMON 32076V103 5,226 258,863 X 16,490 242,373 FIRST POTOMAC 7.75% A PREFERR 33610F307 1,110 43,225 X 0 43,225 FIRST POTOMAC RLTY TR REAL ES 33610F109 729 58,955 X 0 58,955 FLEXIBLE SOLUTIONS FS COMMON 33938T104 619 538,125 X 10,000 528,125 FRANCO NEVADA CORP CO COMMON 351858105 906 15,846 X 1,046 14,800 GASTAR EXPLOR 8.620% PREFERR 36729P207 857 47,345 X 0 47,345 GENERAL FINANCE CORP COMMON 369822101 929 216,050 X 10,000 206,050 GLACIER WATER 9.06% A PREFERR 376398202 747 29,415 X 0 29,415 GLADSTONE CAPITAL COR REAL ES 376535100 182 22,275 X 0 22,275 GLADSTONE COML CORP G REAL ES 376536108 1,481 82,489 X 0 82,489 GLOBAL AIRCRAFT SOL G COMMON 378964100 0 50,650 X 0 50,650 GMX BONDS 18.75 4.50% CONVERT 38011MAJ7 313 666,000 X 0 666,000 GMX BONDS 32.50 5.00% CONVERT 38011MAB4 642 648,000 X 0 648,000 GOLDCORP INC NEW GG COMMON 380956409 1,680 45,771 X 4,300 41,471 GP STRATEGIES CORP GP COMMON 36225V104 243 11,775 X 0 11,775 GRACE ACQUI 8.750% P PREFERR 982568206 156 26,080 X 0 26,080 GRAMERCY 8.125% A GKK PREFERR 384871307 734 23,600 X 0 23,600 GRAN TIERRA ENERGY IN COMMON 38500T101 270 49,028 X 0 49,028 GSE SYS INC GVP COMMON 36227K106 970 449,015 X 30,000 419,015 H & Q LIFE SCIENCES H MUTUAL 404053100 714 49,258 X 0 49,258 HAIN CELESTIAL GROUP COMMON 405217100 1,293 23,849 X 2,000 21,849 HARVARD BIOSCIENCE HB COMMON 416906105 1,836 419,175 X 10,000 409,175 HEALTH CARE REIT INC REAL ES 42217K106 2,018 32,920 X 0 32,920 HENRY JACK & ASSOC COMMON 426281101 674 17,170 X 0 17,170 HUDSON TECHNOLOGIES I COMMON 444144109 2,644 726,400 X 30,150 696,250 ICON PUB LTD CO ICLR COMMON 45103T107 328 11,800 X 0 11,800 IDEX CORP IEX COMMON 45167R104 860 18,480 X 0 18,480 II-VI INC IIVI COMMON 902104108 4,674 256,389 X 7,800 248,589 IMAGE SENSING SYS INC COMMON 45244C104 380 76,435 X 3,000 73,435 INERGY COMMON 456615103 193 10,635 X 0 10,635 INTEST CORP INTT COMMON 461147100 1,163 421,385 X 15,000 406,385 INVENTURE FOODS INC S COMMON 461212102 165 25,400 X 0 25,400 ISHARES SILVER TRUST MUTUAL 46428Q109 1,164 39,625 X 0 39,625 JAPAN SMALLER CAPTL J FOREIGN 47109U104 292 40,491 X 0 40,491 KAYNE ANDERSON MLP KYN MUTUAL 486606106 969 32,885 X 0 32,885 KAYNE MIDSTREAM FUND MUTUAL 48661E106 238 8,255 X 0 8,255 KEYNOTE SYS INC KEYN COMMON 493308100 155 11,025 X 0 11,025 KIMCO PFD H 7.90% H K PREFERR 49446R828 911 34,200 X 0 34,200 KMG CHEMICALS INC KMG COMMON 482564101 2,429 138,250 X 5,000 133,250 KRATOS DEFENSE & SEC COMMON 50077B207 917 182,352 X 7,000 175,352 LASALLE HOTEL 7.50% H PREFERR 517942702 1,340 52,025 X 0 52,025 LASALLE HOTEL PPTY LH REAL ES 517942108 390 15,380 X 0 15,380 LAYNE CHRISTENSEN CO COMMON 521050104 845 34,805 X 2,100 32,705 LEXINGTON PPTYS LXP REAL ES 529043101 589 56,384 X 0 56,384 LIME ENERGY CO LIME COMMON 53261U205 28 48,558 X 0 48,558 LINN ENERGY LLC LINE COMMON 536020100 474 13,440 X 0 13,440 LUMINA COPPER LCC.V COMMON 55025N104 4,127 432,325 X 30,000 402,325 MAC-GRAY CORP TUC COMMON 554153106 758 60,420 X 6,000 54,420 MAGNUM HUN RE 10.25% PREFERR 55973B201 1,085 42,720 X 0 42,720 MAGNUM HUNTER MHR COMMON 55973B102 922 231,104 X 7,964 223,140 MARTEN TRANS LTD MRTN COMMON 573075108 676 36,775 X 0 36,775 MARTIN MIDSTREAM COMMON 573331105 1,227 39,505 X 0 39,505 MEDICAL PPTYS TRUST I REAL ES 58463J304 1,489 124,515 X 0 124,515 MERGE HEALTHCARE INC COMMON 589499102 239 96,844 X 8,000 88,844 MILLER INDS INC TENN COMMON 600551204 935 61,285 X 0 61,285 MOCON INC MOCO COMMON 607494101 1,665 115,592 X 5,000 110,592 MONMOUTH PFD-B 7.50%% PREFERR 609720305 759 29,200 X 0 29,200 MONMOUTH REAL ESTATE REAL ES 609720107 1,888 182,255 X 0 182,255 MPG OFFICE 7.625% A M PREFERR 553274200 558 26,460 X 0 26,460 MV GOLD STX ETF GDX MUTUAL 57060U100 528 11,390 X 0 11,390 MV JR GOLD MINERS MUTUAL 57060U589 635 32,065 X 0 32,065 NEOGENOMICS INC NEO COMMON 64049M209 1,354 546,000 X 50,000 496,000 NEWMONT MNG CORP NEM COMMON 651639106 372 8,000 X 1,600 6,400 NGP CAP RES CO NGPC MUTUAL 62912R107 307 42,515 X 0 42,515 NORTHERN OIL & GAS NO COMMON 665531109 1,504 89,400 X 3,000 86,400 NOVELOS THERAPEUTICS COMMON 67000M209 457 617,248 X 50,000 567,248 OCULUS INNOVATIVE SCI COMMON 67575P108 481 788,400 X 25,000 763,400 PARAMOUNT GOLD & SILV COMMON 69924P102 975 420,450 X 20,000 400,450 PICO HLDGS INC PICO COMMON 693366205 2,622 129,371 X 5,000 124,371 POWERSHS DB AG DBA MUTUAL 73936B408 686 24,557 X 0 24,557 POWERSHS SMCAP UTIL COMMON 73937B837 2,048 69,290 X 0 69,290 PREFERRED APT COMM REAL ES 74039L103 1,051 134,895 X 0 134,895 PRIVATEBANC 10.00% PREFERR 74272L208 1,076 42,455 X 0 42,455 PS AGRI LG ETN AGF MUTUAL 25154H533 784 39,185 X 0 39,185 PSIVIDA CORP PSDV COMMON 74440J101 102 83,884 X 20,000 63,884 PURE TECHNOLOGIES LTD COMMON 745915108 1,717 377,425 X 20,000 357,425 PURECYCLE CORP PCYO COMMON 746228303 360 127,100 X 0 127,100 QR ENERGY COMMON 74734R108 1,260 75,965 X 0 75,965 QUADRANT 4 SYSTEMS QF COMMON 74735A104 242 1,932,319 X 35,000 1,897,319 QUAKER CHEM CORP KWR COMMON 747316107 2,070 38,440 X 2,000 36,440 QUALSTAR CORP QBAK COMMON 74758R109 385 269,460 X 20,000 249,460 RAND LOGISTICS CORP COMMON 752182105 1,522 234,221 X 20,000 214,221 RCM TECHNOLOGIES INC COMMON 749360400 490 95,185 X 10,000 85,185 ROYAL GOLD INC RGLD COMMON 780287108 1,674 20,575 X 1,500 19,075 ROYCE MICRO TRUST COMMON 780915104 2,411 255,112 X 0 255,112 S&W SEED CO SANW COMMON 785135104 2,183 282,800 X 14,250 268,550 SAN JUAN BASIN COMMON 798241105 1,246 92,895 X 0 92,895 SANDSTORM GOLD LTD COMMON 80013R206 1,378 116,740 X 4,700 112,040 SARATOGA RES INC TEX COMMON 803521103 602 170,150 X 15,400 154,750 SAUL CENTERS 8.00% A PREFERR 804095200 886 34,485 X 0 34,485 SEABRIDGE GOLD INC SA COMMON 811916105 1,066 59,320 X 0 59,320 SEASPAN CORP SSW COMMON Y75638109 560 34,904 X 3,000 31,904 SENIOR HSG PPTYS SNH REAL ES 81721M109 495 20,940 X 0 20,940 SILVER WHEATON CORP COMMON 828336107 2,961 82,063 X 1,850 80,213 SMARTPROS LTD SPRO COMMON 83171G103 245 166,900 X 5,000 161,900 SPARTON CORP SPA COMMON 847235108 2,545 183,525 X 7,000 176,525 SPDR GOLD TRUST COMMON 78463V107 391 2,416 X 0 2,416 SPECTRUM PHARMA SPPI COMMON 84763A108 2,698 241,195 X 7,000 234,195 STANDARD PARKING COMMON 853790103 2,379 108,180 X 4,000 104,180 STAR BUFFET INC STRZQ COMMON 855086104 85 33,710 X 0 33,710 STERICYCLE INC SRCL COMMON 858912108 4,689 50,265 X 3,200 47,065 STORM CAT ENERGY CORP COMMON 862168101 0 193,700 X 0 193,700 STRATEGIC HTL 8.25% C PREFERR 86272T502 905 37,125 X 0 37,125 SUNOPTA INC STKL COMMON 8676EP108 1,083 192,302 X 10,000 182,302 SUPERCONDUCTOR TECH COMMON 867931305 357 1,202,000 X 60,000 1,142,000 SYMBILITY SOLUTIONS COMMON 87150W104 11 25,000 X 0 25,000 T3 H WARR $3.00 5/13 WARRANT 89853X116 0 179,900 X 5,000 174,900 T3 I WARR $3.50 5/13 WARRANT 89853X124 9 179,900 X 5,000 174,900 T3 MOTION INC TTTM COMMON 89853X306 69 287,200 X 40,800 246,400 TARGA RESOURCES COMMON 87611X105 2,245 60,050 X 0 60,050 TEAM INC TISI COMMON 878155100 3,837 100,870 X 6,000 94,870 TORTOISE MLP FD NTG MUTUAL 89148B101 2,348 95,797 X 0 95,797 TRIANGLE PETROLEUM TP COMMON 89600B201 2,983 498,027 X 19,000 479,027 TYLER TECHNOLOGIES TY COMMON 902252105 4,285 88,450 X 3,000 85,450 U M H PROPERTIES UMH REAL ES 903002103 722 69,850 X 0 69,850 U S PHYSICAL THERAPY COMMON 90337L108 2,728 99,063 X 4,000 95,063 UROPLASTY INC UPI COMMON 917277204 1,069 329,022 X 15,000 314,022 VANGUARD NAT RES COMMON 92205F106 1,765 67,870 X 0 67,870 VENAXIS INC COM APPY COMMON 92262A107 798 311,733 X 20,500 291,233 WAVE SYSTEMS CORP WAV COMMON 943526301 263 366,125 X 20,000 346,125 WESDOME GOLD MINES WD COMMON 95083R100 418 492,050 X 21,700 470,350 WILLDAN GROUP INC WLD COMMON 96924N100 653 294,044 X 15,000 279,044 WINTHROP RLTY 9.18% D PREFERR 976391508 1,561 59,025 X 0 59,025 WORLDWIDE ENERGY WEMU COMMON 98158R104 0 230,875 X 0 230,875 XPLORE TECHNOLOGIES X COMMON 983950700 996 203,775 X 5,000 198,775 YAMANA GOLD INC AUY COMMON 98462Y100 1,194 69,402 X 4,656 64,746 198,267