0001105907-13-000006.txt : 20130514 0001105907-13-000006.hdr.sgml : 20130514 20130514160839 ACCESSION NUMBER: 0001105907-13-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130514 DATE AS OF CHANGE: 20130514 EFFECTIVENESS DATE: 20130514 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: 13841606 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 r13f-033113.txt MARCH 31ST, 2013 HOLDINGS SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: MARCH 31, 2013 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 MAY 14, 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: 180 Form 13F Information Table Value Total: $ 217,388 (thousands) List of Other Included Managers: None DISCRETIONARY OWNERSHIP FOR 13F AS OF DATE:3/31/2013 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 1,530 32,632 X 3,000 29,632 ABERDEEN LATIN AMER L FOREIGN 00306K106 271 7,230 X 0 7,230 ACACIA RESH CORP ACTG COMMON 003881307 839 28,115 X 1,500 26,615 ACME UTD CORP ACU COMMON 004816104 2,155 176,568 X 4,000 172,568 ADVANTAGE OIL & GAS A COMMON 00765F101 353 96,060 X 0 96,060 ARLINGTON ASSET INVT REAL ES 041356205 1,848 71,610 X 0 71,610 ASHFORD 8.45% D AHT-P PREFERR 044103406 847 33,575 X 0 33,575 ASTROTECH CORP ASTC COMMON 046484101 417 500,485 X 60,000 440,485 ASURE SOFTWARE INC AS COMMON 04649U102 768 122,055 X 10,000 112,055 ATLAS ENERGY COMMON 049298102 1,271 28,850 X 0 28,850 ATLAS PIPELINE COMMON 049392103 2,056 59,465 X 0 59,465 BALCHEM CORP BCPC COMMON 057665200 3,487 79,425 X 5,062 74,363 BERKSHIRE HATHAWAY BR COMMON 084670702 1,495 14,351 X 0 14,351 BOSTON BEER INC SAM COMMON 100557107 705 4,415 X 0 4,415 BOWL AMER INC BWL COMMON 102565108 598 46,295 X 0 46,295 BREITBURN ENERGY COMMON 106776107 1,754 87,510 X 0 87,510 BRIDGELINE SOFTWARE B COMMON 10807Q205 335 263,750 X 30,000 233,750 BURCON NUTRASCIENCE B COMMON 120831102 273 92,575 X 15,000 77,575 CAMDEN PPTY TR CPT REAL ES 133131102 218 3,175 X 0 3,175 CAMPUS CREST 8.00% A PREFERR 13466Y204 1,058 37,650 X 0 37,650 CAPITAL LEASING FDG L REAL ES 140288101 282 44,310 X 0 44,310 CAPITAL PROD PTNRS COMMON Y11082107 1,405 169,743 X 0 169,743 CARRIAGE SVCS 7.00% C PREFERR 14444T309 2,439 46,125 X 0 46,125 CARRIAGE SVCS INC CSV COMMON 143905107 4,984 235,622 X 6,000 229,622 CEDAR FAIR COMMON 150185106 2,112 53,095 X 0 53,095 CELADON GROUP INC CGI COMMON 150838100 1,041 51,054 X 6,000 45,054 CLEARSIGN COMBUSTION COMMON 185064102 622 84,825 X 10,000 74,825 COMMONWEALTH CWH REAL ES 203233101 1,449 64,571 X 0 64,571 CORENERGY INFRASTRUC REAL ES 21870U205 2,616 382,560 X 8,500 374,060 CORPORATE OFF PPTYS T REAL ES 22002T108 773 28,975 X 0 28,975 CPFL ENERGIA S A CPL FOREIGN 126153105 225 10,740 X 0 10,740 CPI AEROSTRUCTURES IN COMMON 125919308 1,082 125,900 X 5,000 120,900 CRIMSON EXPLORATION C COMMON 22662K207 735 256,225 X 10,000 246,225 CUMBERLAND PHARMACEUT COMMON 230770109 465 93,340 X 0 93,340 DAKTRONICS DAKT COMMON 234264109 1,835 175,220 X 9,700 165,520 DELPHI ENERGY CORP DP COMMON 247128101 399 341,000 X 0 341,000 DESTINATION GROUP COMMON 25065K104 643 126,717 X 15,000 111,717 DHX MEDIA LTD COMMON 252406103 3,102 1,220,900 X 60,000 1,160,900 DORCHESTER MINERALS COMMON 25820R105 2,022 87,170 X 0 87,170 DOUBLE EAGLE 9.25% A PREFERR 258570407 1,339 50,980 X 0 50,980 DYNAMICS RESH CORP DR COMMON 268057106 147 24,660 X 0 24,660 ENSIGN GROUP INC ENSG COMMON 29358P101 2,956 88,270 X 5,625 82,645 ENVIROSTAR INC EVI COMMON 29414M100 780 498,979 X 35,000 463,979 ERICKSON AIR-CRANE IN COMMON 29482P100 2,227 136,105 X 4,000 132,105 EVOLUT PETRO 8.50% A PREFERR 30049A206 1,287 47,350 X 0 47,350 EVOLUTION PETROLEUM E COMMON 30049A107 5,274 520,250 X 30,400 489,850 FID/CLAY MLP FMO COMMON 31647Q106 436 17,249 X 0 17,249 FID/CLAY PFD FFC PREFERR 338478100 944 46,175 X 0 46,175 FIRST MAJESTIC SILVER COMMON 32076V103 4,148 260,435 X 16,490 243,945 FIRST POTOMAC 7.75% A PREFERR 33610F307 1,174 45,275 X 0 45,275 FIRST POTOMAC RLTY TR REAL ES 33610F109 871 58,705 X 0 58,705 FLEXIBLE SOLUTIONS FS COMMON 33938T104 640 528,325 X 10,000 518,325 FRANCO NEVADA CORP CO COMMON 351858105 717 15,781 X 1,046 14,735 GASTAR EXPLOR 8.620% PREFERR 36729P207 950 47,345 X 0 47,345 GENERAL FINANCE CORP COMMON 369822101 956 212,550 X 10,000 202,550 GLACIER WATER 9.06% A PREFERR 376398202 751 29,215 X 0 29,215 GLADSTONE CAPITAL COR REAL ES 376535100 205 22,275 X 0 22,275 GLADSTONE COML CORP G REAL ES 376536108 1,600 82,189 X 0 82,189 GLADSTONE LAND REAL ES 376549101 2,367 152,350 X 3,000 149,350 GLOBAL AIRCRAFT SOL G COMMON 378964100 0 50,650 X 0 50,650 GMX BONDS 18.75 4.50% CONVERT 38011MAJ7 266 666,000 X 0 666,000 GOLDCORP INC NEW GG COMMON 380956409 1,516 45,596 X 4,300 41,296 GP STRATEGIES CORP GP COMMON 36225V104 281 11,775 X 0 11,775 GRACE ACQUI 8.750% P PREFERR 982568206 196 26,080 X 0 26,080 GRAMERCY 8.125% A GKK PREFERR 384871307 784 23,600 X 0 23,600 GRAN TIERRA ENERGY IN COMMON 38500T101 284 48,328 X 0 48,328 GSE SYS INC GVP COMMON 36227K106 970 487,015 X 30,000 457,015 H & Q LIFE SCIENCES H MUTUAL 404053100 840 48,163 X 0 48,163 HAIN CELESTIAL GROUP COMMON 405217100 1,455 23,689 X 2,000 21,689 HARVARD BIOSCIENCE HB COMMON 416906105 2,335 414,175 X 10,000 404,175 HEALTH CARE REIT INC REAL ES 42217K106 2,187 32,211 X 0 32,211 HENRY JACK & ASSOC JK COMMON 426281101 784 16,970 X 0 16,970 HUDSON TECHNOLOGIES I COMMON 444144109 2,901 716,400 X 30,150 686,250 ID SYSTEMS INC IDSY COMMON 449489103 999 175,700 X 7,000 168,700 ICON PUB LTD CO ICLR COMMON 45103T107 381 11,800 X 0 11,800 IDEX CORP IEX COMMON 45167R104 982 18,380 X 0 18,380 II-VI INC IIVI COMMON 902104108 4,458 262,324 X 7,800 254,524 IMAGE SENSING SYS INC COMMON 45244C104 344 74,310 X 3,000 71,310 IMPRIMIS PHARMA IMMY COMMON 45323A201 401 64,100 X 7,000 57,100 INERGY COMMON 456615103 217 10,635 X 0 10,635 INTEST CORP INTT COMMON 461147100 1,271 414,885 X 15,000 399,885 INVENTURE FOODS INC S COMMON 461212102 198 25,400 X 0 25,400 ISHARES SILVER TRUST MUTUAL 46428Q109 1,071 39,030 X 0 39,030 JAPAN SMALLER CAPTL J FOREIGN 47109U104 346 40,157 X 0 40,157 KAYNE ANDERSON MLP KYN MUTUAL 486606106 1,135 32,685 X 0 32,685 KAYNE MIDSTREAM FUND MUTUAL 48661E106 274 8,255 X 0 8,255 KEYNOTE SYS INC KEYN COMMON 493308100 154 11,025 X 0 11,025 KIMCO PFD H 7.90% H K PREFERR 49446R828 915 34,200 X 0 34,200 KMG CHEMICALS INC KMG COMMON 482564101 2,652 136,700 X 5,000 131,700 KRATOS DEFENSE & SEC COMMON 50077B207 912 181,152 X 7,000 174,152 LASALLE HOTEL 7.50% H PREFERR 517942702 1,403 52,075 X 0 52,075 LASALLE HOTEL PPTY LH REAL ES 517942108 390 15,380 X 0 15,380 LAYNE CHRISTENSEN CO COMMON 521050104 725 34,005 X 2,100 31,905 LEXINGTON PPTYS LXP REAL ES 529043101 657 55,657 X 0 55,657 LINN ENERGY LLC LINE COMMON 536020100 499 13,140 X 0 13,140 LUMINA COPPER LCC.V COMMON 55025N104 3,777 434,725 X 30,000 404,725 MAC-GRAY CORP TUC COMMON 554153106 762 59,445 X 6,000 53,445 MAGNUM HUN RE 10.25% PREFERR 55973B201 1,187 45,370 X 0 45,370 MAGNUM HUNTER MHR COMMON 55973B102 992 251,304 X 11,964 239,340 MARTEN TRANS LTD MRTN COMMON 573075108 736 36,575 X 0 36,575 MARTIN MIDSTREAM COMMON 573331105 1,514 39,305 X 0 39,305 MEDICAL PPTYS TRUST I REAL ES 58463J304 1,997 124,515 X 0 124,515 MERGE HEALTHCARE INC COMMON 589499102 276 94,734 X 8,000 86,734 MILLER INDS INC TENN COMMON 600551204 966 60,210 X 0 60,210 MOCON INC MOCO COMMON 607494101 1,646 114,292 X 5,000 109,292 MONMOUTH PFD-B 7.50%% PREFERR 609720305 773 29,200 X 0 29,200 MONMOUTH REAL ESTATE REAL ES 609720107 2,018 180,955 X 0 180,955 MV GOLD STX ETF GDX MUTUAL 57060U100 431 11,390 X 0 11,390 MV JR GOLD MINERS GDXJ MUTUAL 57060U589 589 35,215 X 0 35,215 NEOGENOMICS INC NEO COMMON 64049M209 2,214 565,250 X 50,000 515,250 NEWMONT MNG CORP NEM COMMON 651639106 320 8,000 X 1,600 6,400 NGP CAP RES CO NGPC MUTUAL 62912R107 302 42,515 X 0 42,515 NORTHERN OIL & GAS NO COMMON 665531109 1,270 88,650 X 3,000 85,650 NOVELOS THERAPEUTICS COMMON 67000M209 283 617,248 X 50,000 567,248 OCULUS INNOVATIVE SCI COMMON 67575P108 218 457,071 X 3,571 453,500 PARAMOUNT GOLD & SILV COMMON 69924P102 917 417,050 X 20,000 397,050 PICO HLDGS INC PICO COMMON 693366205 2,848 128,421 X 5,000 123,421 POWERSHS DB AG DBA MUTUAL 73936B408 625 24,122 X 0 24,122 POWERSHS SMCAP UTIL COMMON 73937B837 2,232 69,290 X 0 69,290 PREFERRED APT COMM AP REAL ES 74039L103 1,289 135,045 X 0 135,045 PRIVATEBANC 10.00% A PREFERR 74272L208 1,085 42,255 X 0 42,255 PS AGRI LG ETN AGF MUTUAL 25154H533 669 38,410 X 0 38,410 PROFESSIONAL DIVERSITY COMMON 74312Y103 473 71,900 X 5,000 66,900 PSIVIDA CORP PSDV COMMON 74440J101 192 83,884 X 20,000 63,884 PURE TECHNOLOGIES LTD COMMON 745915108 1,755 374,225 X 20,000 354,225 PURECYCLE CORP PCYO COMMON 746228303 652 124,100 X 0 124,100 QR ENERGY COMMON 74734R108 1,330 75,165 X 0 75,165 QUADRANT 4 SYS COMMON 74735A104 151 1,902,319 X 35,000 1,867,319 QUAKER CHEM CORP KWR COMMON 747316107 2,251 38,055 X 2,000 36,055 QUALSTAR CORP QBAK COMMON 74758R109 453 264,420 X 20,000 244,420 RAND LOGISTICS CORP R COMMON 752182105 1,409 231,021 X 20,000 211,021 RCM TECHNOLOGIES INC COMMON 749360400 572 95,145 X 10,000 85,145 RIO ALTO MINING COMMON 76689T104 80 18,700 X 6,000 12,700 ROYAL GOLD INC RGLD COMMON 780287108 1,438 20,575 X 1,500 19,075 ROYCE MICRO TRUST COMMON 780915104 2,675 249,995 X 0 249,995 S&W SEED CO SANW COMMON 785135104 3,341 319,675 X 14,250 305,425 SAN JUAN COMMON 798241105 1,395 92,170 X 0 92,170 SANDSTORM GOLD LTD CO COMMON 80013R206 1,147 122,040 X 4,700 117,340 SARATOGA RES INC TEX COMMON 803521103 516 197,450 X 22,400 175,050 SAUL CENTERS 8.00% A PREFERR 804095200 358 13,773 X 0 13,773 SEABRIDGE GOLD INC SA COMMON 811916105 813 58,905 X 0 58,905 SEASPAN CORP SSW COMMON Y75638109 697 34,491 X 3,000 31,491 SENIOR HSG PPTYS SNH REAL ES 81721M109 556 20,740 X 0 20,740 SIGNATURE BANK NY COMMON 82669G104 228 2,925 X 325 2,600 SILVER WHEATON CORP S COMMON 828336107 2,554 81,863 X 1,850 80,013 SILVERCREST MINES COMMON 828365106 101 42,700 X 15,000 27,700 SMARTPROS LTD SPRO COMMON 83171G103 259 166,900 X 5,000 161,900 SPARTON CORP SPA COMMON 847235108 2,443 182,025 X 7,000 175,025 SPDR GOLD TRUST COMMON 78463V107 373 2,416 X 0 2,416 SPECTRUM PHARMA SPPI COMMON 84763A108 1,917 256,995 X 3,500 253,495 STANDARD PARKING CORP COMMON 853790103 2,218 106,980 X 4,000 102,980 STAR BUFFET INC STRZQ COMMON 855086104 84 33,625 X 0 33,625 STERICYCLE INC SRCL COMMON 858912108 5,214 49,040 X 3,200 45,840 STORM CAT ENERGY CORP COMMON 862168101 1 193,700 X 0 193,700 STRATEGIC HTL 8.25% C PREFERR 86272T502 981 39,590 X 0 39,590 SUNOPTA INC STKL COMMON 8676EP108 1,364 189,302 X 10,000 179,302 SUPERCONDUCTOR TECH S COMMON 867931305 260 98,461 X 5,000 93,461 SYMBILITY SOLUTIONS A COMMON 87150W104 12 25,000 X 0 25,000 T3 H WARR $3.00 5/13/ WARRANT 89853X116 1 172,100 X 0 172,100 T3 I WARR $3.50 5/13/ WARRANT 89853X124 17 172,100 X 0 172,100 T3 MOTION INC TTTM COMMON 89853X306 56 284,400 X 40,800 243,600 TARGA RESOURCES COMMON 87611X105 2,747 59,700 X 0 59,700 TEAM INC TISI COMMON 878155100 4,104 100,270 X 6,000 94,270 TORTOISE ENERGYINFRA COMMON 89147L100 220 4,450 X 0 4,450 TORTOISE MLP FD NTG MUTUAL 89148B101 2,652 94,197 X 0 94,197 TRAVELCENTERS AMERICA COMMON 894174101 115 10,000 X 10,000 0 TRIANGLE PETROLEUM TP COMMON 89600B201 3,280 500,127 X 19,000 481,127 TYLER TECHNOLOGIES TY COMMON 902252105 5,213 85,000 X 3,000 82,000 U M H PROPERTIES UMH REAL ES 903002103 703 68,450 X 0 68,450 U S PHYSICAL THERAPY COMMON 90337L108 2,635 98,598 X 4,000 94,598 UROPLASTY INC UPI COMMON 917277204 812 326,022 X 15,000 311,022 VANGUARD NAT RES COMMON 92205F106 1,914 67,320 X 0 67,320 VENAXIS INC COM APPY COMMON 92262A107 652 304,584 X 20,500 284,084 WAVE SYSTEMS CORP WAV COMMON 943526301 245 364,125 X 20,000 344,125 WESDOME GOLD MINES WD COMMON 95083R100 283 482,700 X 21,700 461,000 WILLDAN GROUP INC WLD COMMON 96924N100 643 290,644 X 15,000 275,644 WINTHROP RLTY 9.18% D PREFERR 976391508 1,612 58,225 X 0 58,225 WORLDWIDE ENERGY WEMU COMMON 98158R104 0 95,875 X 0 95,875 XPLORE TECHNOLOGIES X COMMON 983950700 780 201,175 X 5,000 196,175 YAMANA GOLD INC AUY COMMON 98462Y100 1,041 68,755 X 4,656 64,099 217,388