-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, B28RF/C8W7njiz6VO0iER10CrEGcVUBeWbSIzBcJ6oHsgFBuNKJO6ChE8ZT8YNW3 ApRffe6jqxjBMjBE7WaXSg== 0001144204-07-060695.txt : 20071114 0001144204-07-060695.hdr.sgml : 20071114 20071113182428 ACCESSION NUMBER: 0001144204-07-060695 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070930 FILED AS OF DATE: 20071114 DATE AS OF CHANGE: 20071113 EFFECTIVENESS DATE: 20071114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FCA CORP /TX CENTRAL INDEX KEY: 0001166402 IRS NUMBER: 760076528 STATE OF INCORPORATION: TX FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10019 FILM NUMBER: 071240105 BUSINESS ADDRESS: STREET 1: 5847 SAN FELIPE # 850 CITY: HOUSTON STATE: TX ZIP: 77057 BUSINESS PHONE: 7137817195 MAIL ADDRESS: STREET 1: 5847 SAN FELIPE CITY: HOUSTON STATE: TX ZIP: 77057 13F-HR 1 v093480_13fhr.txt UNITED STATES SEUCRITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F Report for the Calendar Year or quarter Ended September 30, 2007 If amended report check here: [ ] Amendment Number:___ This Amendment (Check only one): [ ] is a restatement [ ] adds new holding [ ] entries FCA Corp - -------------------------------------------------------------------------------- Name of Insitutional Investment Manager 5847 San Felipe, Suite 850 Houston Texas 77057 - -------------------------------------------------------------------------------- Business Address (Street) (City) (State) (Zip Code) 13F File Number: 028-10019 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: Katheryn E. Surface Burks Chief Compliance Officer 713-260-1440 - ------------------------------------------------------------------------------- Name Title Telephone /s/ Katheryn E. Surface Burks -------------------------------- Manual Signature of Person Duly Authorized to submit this Report Houston, TX 11-13-2007 -------------------------------- Place and Date of Signing Report Type: [X] 13F Holdings Report [ ] 13F Notice [ ] 13F Combination Report Report Summary: Number of other included managers: 0 Form 13F information table entry total: 278 Form 13F table value total: $219,494 List of other included Managers: None FCA Corp Form 13(f) For the Quarter Ending September 30, 2007
INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR MKT SHARES OR --------------------- ----------------- OF ID CUSIP VALUE PRINCIPAL SH/ PUT/ SOLE SHARED OTHER OTHER SOLE SHARED OTHER NAME OF ISSUER CLASS NUMBER (X1,000) AMOUNT PRN CALL (A) (B) (C) MANAGERS (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ 1ST CENTURY BANK N.A. COMMON STOCK 319425104 408 62,800 SH 62,800 62,800 3M CO COMMON STOCK 88579Y101 1,194 12,754 SH 12,754 12,754 ABN AMRO HOLDING NV-SP ADR ADR 000937102 562 10,706 SH 10,706 10,706 AGCO CORP COMMON STOCK 001084102 762 15,000 SH 15,000 15,000 ALAMO GROUP INC COMMON STOCK 011311107 1,653 67,265 SH 67,265 67,265 ALEXANDRIA REAL ESTATE EQUIT REIT 015271109 241 2,500 SH 2,500 2,500 ALTO PALERMO S.A.-ADR ADR 02151P107 287 17,000 SH 17,000 17,000 AMDOCS LTD COMMON STOCK G02602103 372 10,000 SH 10,000 10,000 AMERICAN BUSINESS BANK COMMON STOCK 02475L105 982 44,251 SH 44,251 44,251 AMERICAN EXPRESS CO COMMON STOCK 025816109 1,210 20,385 SH 20,385 20,385 AMERICAN FINANCIAL REALTY TR REIT 02607P305 97 12,000 SH 12,000 12,000 AMERICAN INTERNATIONAL GROUP COMMON STOCK 026874107 2,391 35,340 SH 35,340 35,340 AMERICAN LAND LEASE INC REIT 027118108 283 12,600 SH 7,000 5,600 5,600 7,000 AMERICAN NATIONAL INSURANCE COMMON STOCK 028591105 592 4,498 SH 4,498 4,498 AMERICAN STATES WATER CO COMMON STOCK 029899101 1,872 48,000 SH 48,000 48,000 AMERON INTERNATIONAL CORP COMMON STOCK 030710107 1,835 17,350 SH 17,350 17,350 AMGEN INC COMMON STOCK 031162100 1,754 31,002 SH 31,002 31,002 ANGLO AMERICAN PLC-UNSP ADR ADR 03485P201 396 11,830 SH 11,830 11,830 AQUA AMERICA INC COMMON STOCK 03836W103 644 28,384 SH 28,384 28,384 AQUENTIUM INC COMMON STOCK 03840C101 1 12,500 SH 12,500 12,500 ARCHSTONE-SMITH TRUST REIT 039583109 241 4,000 SH 4,000 4,000 ARKEMA-SPONSORED ADR ADR 041232109 372 6,130 SH 6,130 6,130 AT&T INC COMMON STOCK 00206R102 1,360 32,149 SH 32,149 32,149 ATMOS ENERGY CORP COMMON STOCK 049560105 425 15,000 SH 15,000 15,000 AUTOMATIC DATA PROCESSING COMMON STOCK 053015103 239 5,200 SH 5,200 5,200 BANCO BILBAO VIZCAYA-SP ADR ADR 05946K101 401 17,220 SH 17,220 17,220 BANCO SANTANDER SA-SPON ADR ADR 05964H105 328 17,000 SH 17,000 17,000 BANK OF AMERICA CORP COMMON STOCK 060505104 1,846 36,724 SH 36,724 36,724 BAXTER INTERNATIONAL INC COMMON STOCK 071813109 962 17,100 SH 17,100 17,100 BIMINI CAPITAL MANAGE-CL A REIT 090319104 18 13,400 SH 13,400 13,400 BIOMED REALTY TRUST INC REIT 09063H107 217 9,000 SH 9,000 9,000 BIOVAIL CORP COMMON STOCK 09067J109 278 16,000 SH 16,000 16,000 BLACKROCK LTD DURATION INC CLOSED-END FUND 09249W101 174 10,000 SH 10,000 10,000 BNP PARIBAS-ADR ADR 05565A202 326 6,000 SH 6,000 6,000 BOSTON PROPERTIES INC REIT 101121101 260 2,500 SH 2,500 2,500 BP PLC-SPONS ADR ADR 055622104 352 5,080 SH 5,080 5,080 BRITISH AIRWAYS -SPONS ADR ADR 110419306 297 3,800 SH 3,800 3,800 BUNGE LTD COMMON STOCK G16962105 698 6,500 SH 6,500 6,500 BURLINGTON NORTHERN SANTA FE COMMON STOCK 12189T104 2,079 25,618 SH 25,618 25,618 CALIFORNIA WATER SERVICE GRP COMMON STOCK 130788102 1,853 48,150 SH 48,150 48,150 CAMDEN PROPERTY TRUST REIT 133131102 321 5,000 SH 5,000 5,000 CATERPILLAR INC COMMON STOCK 149123101 706 9,000 SH 9,000 9,000 CEMEX SAB-SPONS ADR PART CER ADR 151290889 354 11,821 SH 11,821 11,821 CENTRAL SECURITIES CORP CLOSED-END FUND 155123102 907 32,102 SH 32,102 32,102 CHASE CORP COMMON STOCK 16150R104 588 31,529 SH 31,529 31,529 CHEMED CORP COMMON STOCK 16359R103 323 5,200 SH 5,200 5,200 CHEVRON CORP COMMON STOCK 166764100 352 3,763 SH 3,763 3,763 CIA SANEAMENTO BASICO DE-ADR ADR 20441A102 247 5,000 SH 5,000 5,000 CIA VALE DO RIO DOCE-ADR ADR 204412209 814 24,000 SH 24,000 24,000 CIMAREX ENERGY CO COMMON STOCK 171798101 223 5,974 SH 5,974 5,974 CISCO SYSTEMS INC COMMON STOCK 17275R102 407 12,290 SH 12,290 12,290 CITIGROUP INC COMMON STOCK 172967101 286 6,121 SH 6,121 6,121 COCA-COLA CO/THE COMMON STOCK 191216100 290 5,044 SH 5,044 5,044 COHEN & STEERS REIT UTI & IN CLOSED-END FUND 19247Y108 371 17,800 SH 17,800 17,800 COHEN & STEERS SEL UTILITY CLOSED-END FUND 19248A109 506 19,400 SH 19,400 19,400 COMMUNITY SOUTHERN BANK-CW08 EQUITY WRT 20405A114 1 2,000 SH 2,000 2,000 CONMED CORP COMMON STOCK 207410101 216 7,720 SH 7,720 7,720 CONSTELLATION ENERGY GROUP COMMON STOCK 210371100 1,287 15,000 SH 15,000 15,000 CONTINENTAL AIRLINES-CLASS B COMMON STOCK 210795308 330 10,000 SH 10,000 10,000 COOPER TIRE & RUBBER COMMON STOCK 216831107 819 33,550 SH 33,550 33,550 CREDIT SUISSE ASSET MGMT INC CLOSED-END FUND 224916106 177 44,800 SH 44,800 44,800 CRH PLC-SPONSORED ADR ADR 12626K203 368 9,200 SH 9,200 9,200 CVS CAREMARK CORP COMMON STOCK 126650100 2,622 66,162 SH 66,162 66,162 DELTA FINANCIAL CORP COMMON STOCK 247918105 83 17,000 SH 17,000 17,000 DENTSPLY INTERNATIONAL INC COMMON STOCK 249030107 279 6,700 SH 6,700 6,700 DESARROLLADORA HOMEX-ADR ADR 25030W100 500 9,000 SH 9,000 9,000 DEUTSCHE BANK AG-REGISTERED COMMON STOCK D18190898 514 4,000 SH 4,000 4,000 DIAMONDROCK HOSPITALITY CO REIT 252784301 209 12,000 SH 12,000 12,000 DIME BANCORP-WT EQUITY WRT 25429Q110 0 260 SH 260 260 DOW CHEMICAL COMMON STOCK 260543103 1,098 25,490 SH 25,490 25,490 DRS TECHNOLOGIES INC COMMON STOCK 23330X100 1,012 18,368 SH 18,368 18,368 DST SYSTEMS INC COMMON STOCK 233326107 634 7,385 SH 7,385 7,385 DUKE REALTY CORP REIT 264411505 494 14,600 SH 14,600 14,600 DWS GLBL COMMOD STOCK FD INC CLOSED-END FUND 23338Y100 291 14,850 SH 14,850 14,850 DWS RREEF REAL ESTATE FD II CLOSED-END FUND 23338X102 215 12,800 SH 12,800 12,800 E.ON AG -SPONSORED ADR ADR 268780103 491 8,000 SH 8,000 8,000 EATON VANCE LTD DURATION FND CLOSED-END FUND 27828H105 171 10,400 SH 10,400 10,400 ELECTRONIC ARTS INC COMMON STOCK 285512109 560 10,000 SH 10,000 10,000 EMERSON ELECTRIC CO COMMON STOCK 291011104 224 4,200 SH 4,200 4,200 ENERGY FUTURE HOLDINGS CORP COMMON STOCK 873168108 3,838 56,048 SH 56,048 56,048 ENERGY SELECT SECTOR SPDR ETF 81369Y506 2,508 33,535 SH 33,535 33,535 EQUITY INCOME FUND (AT&T) CLOSED-END FUND 294700703 935 7,249 SH 7,249 7,249 EQUITY INNS INC REIT 294703103 248 11,000 SH 11,000 11,000 EQUITY ONE INC REIT 294752100 336 12,338 SH 12,338 12,338 EQUITY RESIDENTIAL REIT 29476L107 254 6,000 SH 6,000 6,000 EVEREST RE CAP TRUST PUBLIC 299807206 226 9,000 SH 9,000 9,000 EVEREST RE GROUP LTD COMMON STOCK G3223R108 426 3,861 SH 3,861 3,861 EVERGREEN MULTI SECTOR INC F CLOSED-END FUND 30024Y104 183 11,200 SH 11,200 11,200 EXTRA SPACE STORAGE INC REIT 30225T102 203 13,200 SH 13,200 13,200 EXXON MOBIL CORP COMMON STOCK 30231G102 2,455 26,525 SH 26,525 26,525 FANNIE MAE COMMON STOCK 313586109 207 3,400 SH 1,600 1,800 1,800 1,600 FANNIE MAE PUBLIC 313586794 364 7,000 SH 7,000 7,000 FIRST SEISMIC CORP COMMON STOCK 336397104 7 339,785 SH 339,785 339,785 FIRST TRUST VALUE LINE 100 ETF 33735G107 1,167 66,951 SH 66,951 66,951 FIRST TRUST VALUE LINE DVD ETF 33734H106 2,019 120,913 SH 120,913 120,913 FIRST TRUST/FOUR CRNS SR F 2 CLOSED-END FUND 33733U108 196 12,041 SH 12,041 12,041 FISERV INC COMMON STOCK 337738108 252 4,960 SH 4,960 4,960 FLAGSTAR BANCORP INC COMMON STOCK 337930101 500 51,350 SH 51,350 51,350 FORD MOTOR CO CAP TR II PUBLIC 345395206 496 13,150 SH 13,150 13,150 FPL GROUP INC COMMON STOCK 302571104 2,332 38,300 SH 38,300 38,300 FRANCE TELECOM SA-SPONS ADR ADR 35177Q105 502 15,000 SH 15,000 15,000 FREDDIE MAC COMMON STOCK 313400301 271 4,600 SH 4,600 4,600 FRONTERA RESOURCES CORP COMMON STOCK U3144D109 0 35,000 SH 35,000 35,000 GENERAL ELECTRIC CO COMMON STOCK 369604103 613 14,800 SH 14,800 14,800 GENERAL GROWTH PROPERTIES REIT 370021107 241 4,500 SH 4,500 4,500 GENESEE & WYOMING INC-CL A COMMON STOCK 371559105 3,522 122,107 SH 122,107 122,107 GLAXOSMITHKLINE PLC-SPON ADR ADR 37733W105 732 13,759 SH 5,759 8,000 8,000 5,759 GMH COMMUNITIES TRUST REIT 36188G102 120 15,500 SH 15,500 15,500 GRUPO TELEVISA SA-SPONS ADR ADR 40049J206 363 15,000 SH 15,000 15,000 HANG LUNG PROPERTIES-SP ADR ADR 41043M104 406 18,000 SH 18,000 18,000 HEADWATERS INC COMMON STOCK 42210P102 149 10,000 SH 10,000 10,000 HERSHA HOSPITALITY TRUST REIT 427825104 119 12,000 SH 12,000 12,000 HOME DEPOT INC COMMON STOCK 437076102 698 21,532 SH 18,232 3,300 3,300 18,232 HOST HOTELS & RESORTS INC REIT 44107P104 265 11,819 SH 183 11,636 11,636 183 HRPT PROPERTIES TRUST REIT 40426W101 100 10,100 SH 10,100 10,100 HSBC USA INC PUBLIC 40428H805 203 8,000 SH 8,000 8,000 ING GROEP N.V.-SPONSORED ADR ADR 456837103 613 13,842 SH 13,842 13,842 INGLES MARKETS INC -CL A COMMON STOCK 457030104 2,900 101,203 SH 101,203 101,203 INTEGRYS ENERGY GROUP INC COMMON STOCK 45822P105 1,147 22,388 SH 22,388 22,388 INTEL CORP COMMON STOCK 458140100 941 36,399 SH 36,399 36,399 INTERCONTINENTAL HOTELS-ADR ADR 45857P301 377 19,001 SH 19,001 19,001 INTEROIL CORP COMMON STOCK 460951106 316 10,000 SH 10,000 10,000 INTL BUSINESS MACHINES CORP COMMON STOCK 459200101 1,478 12,547 SH 12,547 12,547 INTL RECTIFIER CORP COMMON STOCK 460254105 330 10,000 SH 10,000 10,000 INTL SPEEDWAY CORP-CL A COMMON STOCK 460335201 362 7,900 SH 7,900 7,900 IRSA -SP GDR GDR 450047204 159 10,000 SH 10,000 10,000 ISHARES COHEN & STEERS RLTY ETF 464287564 1,994 21,393 SH 18,393 3,000 3,000 18,393 ISHARES DJ SELECT DIVIDEND ETF 464287168 1,281 18,487 SH 18,487 18,487 ISHARES DJ US REAL ESTATE ETF 464287739 513 6,710 SH 3,510 3,200 3,200 3,510 ISHARES DJ US TECHNOLOGY SEC ETF 464287721 289 4,600 SH 4,600 4,600 ISHARES FTSE/XINHUA CHINA 25 ETF 464287184 576 3,200 SH 3,200 3,200 ISHARES LEHMAN 1-3YR TRS BD ETF 464287457 406 5,000 SH 5,000 5,000 ISHARES MORNINGSTAR LG VAL I ETF 464288109 367 4,200 SH 4,200 4,200 ISHARES MSCI EAFE GROWTH INX ETF 464288885 615 7,750 SH 7,750 7,750 ISHARES MSCI EAFE INDEX FUND ETF 464287465 6,037 73,094 SH 73,094 73,094 ISHARES MSCI EMERGING MKT IN ETF 464287234 2,382 15,941 SH 15,941 15,941 ISHARES MSCI EMU ETF 464286608 2,532 20,947 SH 20,947 20,947 ISHARES MSCI JAPAN INDEX FD ETF 464286848 1,699 118,471 SH 93,471 25,000 25,000 93,471 ISHARES MSCI PACIFIC EX JPN ETF 464286665 384 2,310 SH 2,310 2,310 ISHARES MSCI UNITED KINGDOM ETF 464286699 530 20,600 SH 20,600 20,600 ISHARES NASDAQ BIOTECH INDX ETF 464287556 382 4,600 SH 4,600 4,600 ISHARES RUSSELL 1000 INDEX ETF 464287622 262 3,160 SH 3,160 3,160 ISHARES RUSSELL 2000 ETF 464287655 472 5,900 SH 5,900 5,900 ISHARES RUSSELL 2000 VALUE ETF 464287630 350 4,550 SH 4,550 4,550 ISHARES RUSSELL 3000 GROWTH ETF 464287671 589 11,780 SH 11,780 11,780 ISHARES RUSSELL 3000 INDEX ETF 464287689 2,641 30,018 SH 30,018 30,018 ISHARES RUSSELL 3000 VALUE ETF 464287663 576 5,167 SH 5,167 5,167 ISHARES RUSSELL MIDCAP VALUE ETF 464287473 281 1,860 SH 1,860 1,860 ISHARES S&P 500 GROWTH INDEX ETF 464287309 614 8,633 SH 8,633 8,633 ISHARES S&P 500 VALUE INDEX ETF 464287408 553 6,785 SH 6,785 6,785 ISHARES S&P EUROPE 350 ETF 464287861 3,491 29,283 SH 29,283 29,283 ISHARES S&P GLBL HEALTHCARE ETF 464287325 3,061 51,200 SH 51,200 51,200 ISHARES S&P GLOBAL 100 ETF 464287572 1,507 18,130 SH 18,130 18,130 ISHARES S&P GSTI NETWORKING ETF 464287531 373 10,200 SH 10,200 10,200 ISHARES S&P GSTI TECHNOLOGY ETF 464287549 258 4,300 SH 4,300 4,300 ISHARES S&P LATIN AMERICA 40 ETF 464287390 370 1,534 SH 1,534 1,534 ISHARES S&P MIDCAP 400 ETF 464287507 2,675 30,339 SH 30,339 30,339 ISHARES S&P MIDCAP 400/GRWTH ETF 464287606 410 4,530 SH 4,530 4,530 ISHARES S&P MIDCAP 400/VALUE ETF 464287705 686 8,159 SH 8,159 8,159 ISHARES S&P SMALLCAP 600 ETF 464287804 1,482 21,248 SH 21,248 21,248 ISHARES S&P SMALLCAP 600/GRO ETF 464287887 203 1,414 SH 1,414 1,414 ISHARES S&P SMALLCAP 600/VAL ETF 464287879 3,010 39,892 SH 39,892 39,892 ISHARES S&P/TOPIX 150 INDEX ETF 464287382 479 3,800 SH 300 3,500 3,500 300 JAMES HARDIE INDS-SPONS ADR ADR 47030M106 382 12,100 SH 12,100 12,100 JANUARY 08 CALLS ON EWJ US CALL OPTION 464286908 20 100 SH CALL 100 100 JANUARY 08 CALLS ON IWB US CALL OPTION 464287902 61 30 SH CALL 30 30 JANUARY 08 CALLS ON QQQQ US CALL OPTION 73935A904 47 25 SH CALL 25 25 JANUARY 08 CALLS ON UDR US CALL OPTION 902653904 1 40 SH CALL 40 40 JANUS CAPITAL GROUP INC COMMON STOCK 47102X105 1,604 56,725 SH 56,725 56,725 JOHN HAN BK & THRIFT OPP FD CLOSED-END FUND 409735107 1,522 186,009 SH 186,009 186,009 JOHNSON & JOHNSON COMMON STOCK 478160104 825 12,556 SH 12,556 12,556 KINGFISHER PLC-SPONS ADR ADR 495724403 88 12,000 SH 12,000 12,000 KITE REALTY GROUP TRUST REIT 49803T102 188 10,000 SH 10,000 10,000 KMG CHEMICALS INC COMMON STOCK 482564101 2,316 88,393 SH 88,393 88,393 KT CORP-SP ADR ADR 48268K101 238 9,500 SH 9,500 9,500 KVH INDUSTRIES INC COMMON STOCK 482738101 222 26,000 SH 26,000 26,000 LACLEDE GROUP INC/THE COMMON STOCK 505597104 646 20,000 SH 20,000 20,000 LIFEPOINT HOSPITALS INC COMMON STOCK 53219L109 450 15,000 SH 15,000 15,000 LLOYDS TSB GROUP PLC -SP ADR ADR 539439109 485 10,900 SH 10,900 10,900 LMP REAL ESTATE INCOME FUND CLOSED-END FUND 50208C108 316 16,000 SH 16,000 16,000 LOWE'S COS INC COMMON STOCK 548661107 2,195 78,321 SH 72,321 6,000 6,000 72,321 LUBRIZOL CORP COMMON STOCK 549271104 329 5,055 SH 5,055 5,055 LUCENT-CW07 EQUITY WRT 549463131 0 138 SH 138 138 LUFKIN INDUSTRIES INC COMMON STOCK 549764108 550 10,000 SH 10,000 10,000 LYONDELL CHEMICAL COMPANY COMMON STOCK 552078107 464 10,000 SH 10,000 10,000 MANULIFE FINANCIAL CORP COMMON STOCK 56501R106 320 7,762 SH 7,762 7,762 MBIA CAP/CLAYMORE MGD DUR IN CLOSED-END FUND 55266X100 227 17,797 SH 17,797 17,797 MEDALLION FINANCIAL CORP COMMON STOCK 583928106 416 38,175 SH 38,175 38,175 METROCORP BANCSHARES INC COMMON STOCK 591650106 161 10,000 SH 10,000 10,000 MFS GOVT MARKETS INC TRUST CLOSED-END FUND 552939100 313 45,600 SH 45,600 45,600 MICROFINANCIAL INC COMMON STOCK 595072109 4,035 675,900 SH 675,900 675,900 MICROSOFT CORP COMMON STOCK 594918104 1,269 43,086 SH 43,086 43,086 MICROSTRATEGY INC-CL A COMMON STOCK 594972408 238 3,000 SH 3,000 3,000 MIDCAP SPDR TRUST SERIES 1 ETF 595635103 1,615 10,041 SH 10,041 10,041 MITSUBISHI UFJ FINL GRP-ADR ADR 606822104 91 10,000 SH 10,000 10,000 NATIONAL GRID PLC-SP ADR ADR 636274300 246 3,071 SH 3,071 3,071 NATIONAL OILWELL VARCO INC COMMON STOCK 637071101 262 3,633 SH 3,633 3,633 NESTLE SA-SPONS ADR FOR REG ADR 641069406 347 3,100 SH 3,100 3,100 NETFLIX INC COMMON STOCK 64110L106 1,432 69,013 SH 69,013 69,013 NEUBERGER BERMAN REAL ESTATE CLOSED-END FUND 64190A103 253 16,413 SH 16,413 16,413 NEWELL RUBBERMAID INC COMMON STOCK 651229106 210 7,300 SH 7,300 7,300 NEXEN INC COMMON STOCK 65334H102 916 30,003 SH 30,003 30,003 NIS GROUP CO LTD - ADR ADR 654655109 21 11,520 SH 11,520 11,520 NORFOLK SOUTHERN CORP COMMON STOCK 655844108 467 9,000 SH 9,000 9,000 NORTHROP GRUMMAN CORP COMMON STOCK 666807102 382 4,900 SH 4,900 4,900 NORTHWEST NATURAL GAS CO COMMON STOCK 667655104 274 6,000 SH 6,000 6,000 NORTHWEST PIPE COMPANY COMMON STOCK 667746101 1,248 33,000 SH 33,000 33,000 OIL SERVICE HOLDRS TRUST ETF 678002106 1,802 9,400 SH 9,400 9,400 ORACLE CORP COMMON STOCK 68389X105 604 27,920 SH 27,920 27,920 PARKER DRILLING CO COMMON STOCK 701081101 641 79,000 SH 79,000 79,000 PENTAIR INC COMMON STOCK 709631105 423 12,760 SH 12,760 12,760 PEOPLESUPPORT INC COMMON STOCK 712714302 806 67,399 SH 67,399 67,399 PETROQUEST ENERGY INC COMMON STOCK 716748108 107 10,000 SH 10,000 10,000 PFIZER INC COMMON STOCK 717081103 475 19,456 SH 19,456 19,456 PIMCO CORPORATE INCOME FUND CLOSED-END FUND 72200U100 196 13,600 SH 13,600 13,600 PORTUGAL TELECOM SGPS-SP ADR ADR 737273102 238 20,300 SH 20,300 20,300 POWERSHARES DB US DOL IND BU ETF 73936D107 866 36,005 SH 36,005 36,005 PRAXAIR INC COMMON STOCK 74005P104 1,684 20,100 SH 20,100 20,100 PROGRESS ENERGY INC COMMON STOCK 743263105 1,662 35,474 SH 35,474 35,474 PROLOGIS REIT 743410102 365 5,500 SH 5,500 5,500 PROSPECT STREET INCOME SHRS CLOSED-END FUND 743590101 168 30,800 SH 30,800 30,800 PRUDENTIAL FINANCIAL INC COMMON STOCK 744320102 537 5,500 SH 500 5,000 5,000 500 PUBLIC STORAGE REIT 74460D109 433 5,500 SH 1,500 4,000 4,000 1,500 QUANEX CORP COMMON STOCK 747620102 305 6,487 SH 6,487 6,487 RED ALERT GROUP INC COMMON STOCK 75629Q105 0 25,067 SH 25,067 25,067 REGAL BELOIT CORP COMMON STOCK 758750103 913 19,070 SH 19,070 19,070 REPUBLIC PROPERTY TRUST REIT 760737106 176 12,000 SH 12,000 12,000 RGC RESOURCES INC COMMON STOCK 74955L103 561 20,770 SH 20,770 20,770 ROYCE MICRO-CAP TRUST INC CLOSED-END FUND 780915104 847 63,841 SH 63,841 63,841 ROYCE VALUE TRUST CLOSED-END FUND 780910105 3,844 198,946 SH 198,946 198,946 RYDEX S&P EQ WGT HEALTHCARE ETF 78355W841 1,520 26,750 SH 26,750 26,750 RYDEX S&P EQUAL WEIGHT ETF ETF 78355W106 3,772 75,456 SH 75,456 75,456 SANDISK CORP COMMON STOCK 80004C101 287 5,200 SH 200 5,000 5,000 200 SAP AG-SPONSORED ADR ADR 803054204 293 5,000 SH 5,000 5,000 SATYAM COMPUTER SERVICES-ADR ADR 804098101 207 8,000 SH 8,000 8,000 SAUL CENTERS INC REIT 804395101 211 4,100 SH 4,100 4,100 SCANA CORP COMMON STOCK 80589M102 235 6,075 SH 6,075 6,075 SEMCO ENERGY INC COMMON STOCK 78412D109 79 10,000 SH 10,000 10,000 SENIOR HOUSING PROP TRUST REIT 81721M109 227 10,300 SH 3,500 6,800 6,800 3,500 SIEMENS AG-SPONS ADR ADR 826197501 412 3,000 SH 3,000 3,000 SMITH INTERNATIONAL INC COMMON STOCK 832110100 321 4,490 SH 4,490 4,490 SOUTHWEST WATER CO COMMON STOCK 845331107 1,297 102,703 SH 102,703 102,703 SPDR TRUST SERIES 1 ETF 78462F103 948 6,214 SH 6,214 6,214 STARWOOD HOTELS & RESORTS COMMON STOCK 85590A401 352 5,800 SH 300 5,500 5,500 300 STONEMOR PARTNERS LP UNIT 86183Q100 998 40,280 SH 40,280 40,280 STRATEGIC HOTELS & RESORTS I REIT 86272T106 206 10,000 SH 10,000 10,000 SUBURBAN PROPANE PARTNERS LP LTD PART 864482104 1,380 31,075 SH 31,075 31,075 SWS GROUP INC COMMON STOCK 78503N107 180 10,191 SH 10,191 10,191 TARGET CORP COMMON STOCK 87612E106 289 4,550 SH 4,550 4,550 TCW STRATEGIC INCOME FUND IN CLOSED-END FUND 872340104 150 37,200 SH 37,200 37,200 TEVA PHARMACEUTICAL-SP ADR ADR 881624209 471 10,598 SH 400 10,198 10,198 400 TEXAS INSTRUMENTS INC COMMON STOCK 882508104 509 13,900 SH 13,900 13,900 TOTAL SA-SPON ADR ADR 89151E109 421 5,200 SH 5,200 5,200 TS&W/CLAYMORE T/A BALANCED CLOSED-END FUND 87280R108 234 16,031 SH 16,031 16,031 UBS AG-REG COMMON STOCK H89231338 320 6,000 SH 6,000 6,000 UDR INC REIT 902653104 675 27,744 SH 23,744 4,000 4,000 23,744 UNILEVER N V -NY SHARES NY REG SHRS 904784709 278 9,000 SH 9,000 9,000 UNITED FIRE & CASUALTY CO COMMON STOCK 910331107 2,289 58,548 SH 58,548 58,548 UNITED TECHNOLOGIES CORP COMMON STOCK 913017109 3,873 48,122 SH 48,122 48,122 USG CORP COMMON STOCK 903293405 263 7,000 SH 7,000 7,000 VAN KAMPEN BOND FUND CLOSED-END FUND 920955101 195 11,600 SH 11,600 11,600 VAN KAMPEN SENIOR INCOME TRS CLOSED-END FUND 920961109 382 48,100 SH 48,100 48,100 VARIAN SEMICONDUCTOR EQUIP COMMON STOCK 922207105 686 12,819 SH 819 12,000 12,000 819 VITRAN CORP INC COMMON STOCK 92850E107 264 16,000 SH 16,000 16,000 VODAFONE GROUP PLC-SP ADR ADR 92857W209 318 8,750 SH 875 7,875 7,875 875 VORNADO REALTY TRUST REIT 929042109 328 3,000 SH 3,000 3,000 VTEX ENERGY INC COMMON STOCK 92908G104 1 10,000 SH 10,000 10,000 WA/CLAY US INFL-LKD SEC&INC CLOSED-END FUND 95766Q106 3,017 258,493 SH 258,493 258,493 WASTE MANAGEMENT INC COMMON STOCK 94106L109 2,214 58,670 SH 58,670 58,670 WELLS FARGO & COMPANY COMMON STOCK 949746101 549 15,400 SH 15,400 15,400 WESTERN ASSET HIGH INCOME OP CLOSED-END FUND 95766K109 195 30,200 SH 30,200 30,200 WESTERN ASSET MANAGED HIGH Y CLOSED-END FUND 95766L107 191 30,800 SH 30,800 30,800 WGL HOLDINGS INC COMMON STOCK 92924F106 2,153 63,521 SH 63,521 63,521 WILLIAMS COS INC COMMON STOCK 969457100 6,875 201,859 SH 201,859 201,859 WILLIAMS-SONOMA INC COMMON STOCK 969904101 1,701 52,155 SH 52,155 52,155 WISCONSIN ENERGY CORP COMMON STOCK 976657106 1,085 24,105 SH 24,105 24,105 XCEL ENERGY INC COMMON STOCK 98389B100 1,025 47,608 SH 47,608 47,608 XTO ENERGY INC COMMON STOCK 98385X106 309 5,000 SH 5,000 5,000
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