-----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, GnBikvAPh43rZtuqG/jp1emhPHFOQKHo8Gt6/x7SBdJdxlUG4zHyOdLTSOsz+U5/ 9CjaaZiCcwvr+8g9Smy10A== 0001144204-05-024806.txt : 20050812 0001144204-05-024806.hdr.sgml : 20050812 20050812092002 ACCESSION NUMBER: 0001144204-05-024806 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20050630 FILED AS OF DATE: 20050812 DATE AS OF CHANGE: 20050812 EFFECTIVENESS DATE: 20050812 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: 051019156 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 v023453_13fhr.txt ---------------------- OMB APPROVAL ---------------------- OMB Number: Expires: Estimated average burden hours per response... UNITED STATES SEUCRITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F Report for the Calendar Year or quarter Ended June 30, 2005 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: Barry Papa Chief Operating Officer 713-260-1400 - ------------------------------------------------------------------------------- Name Title Telephone /s/ BARRY PAPA -------------------------------- Manual Signature of Person Duly Authorized to submit this Report Houston, TX 8/11/2005 -------------------------------- 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: 231 Form 13F table value total: $142,910 List of other included Managers:None Have greater than 10,000 shares or aggregate FMV is greater than $200,000 For the Quarter Ending June 30, 2005 FCA Corp Form 13(f) For the Quarter Ending June 30, 2005
INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR MKT SHARES OR --------------------- ----------------------- OF ID CUSIP VALUE PRINCIPAL SOLE SHARED OTHER SOLE SHARED OTHER NAME CLASS Number (X1,000) AMOUNT (A) (B) (C) (A) (B) (C) - ---------------------------------------------------------------------------------------------------------------------------------- 1ST CENTURY BANK N.A. COMMON STOCK 319425104 438 53,700 53,700 53,700 3M CO COMMON STOCK 88579Y101 1,095 15,150 15,150 15,150 AAMES INVESTMENT CORP REIT 00253G108 117 12,000 12,000 12,000 ABERDEEN ASIA-PAC INCOME FD CLOSED-END FUND 003009107 367 58,200 58,200 58,200 ACTIVISION INC COMMON STOCK 004930202 386 23,349 23,349 23,349 ADAMS EXPRESS COMPANY CLOSED-END FUND 006212104 149 11,581 11,581 11,581 AGCO CORP COMMON STOCK 001084102 229 12,000 12,000 12,000 ALAMO GROUP INC COMMON STOCK 011311107 467 24,996 24,996 24,996 ALTO PALERMO S.A.-ADR ADR 02151P107 152 17,000 17,000 17,000 AMCOR LTD-SPONS ADR ADR 02341R302 615 30,000 30,000 30,000 AMERICAN BUSINESS BANK COMMON STOCK 02475L105 564 13,781 13,781 13,781 AMERICAN EXPRESS CO COMMON STOCK 025816109 1,040 19,535 19,535 19,535 AMERICAN FINANCIAL REALTY TR REIT 02607P305 185 12,000 12,000 12,000 AMERICAN INTERNATIONAL GROUP COMMON STOCK 026874107 2,416 41,581 41,581 41,581 AMERICAN LAND LEASE INC REIT 027118108 324 14,800 9,200 5,600 5,600 9,200 AMERICAN NATIONAL INSURANCE COMMON STOCK 028591105 342 2,998 2,998 2,998 AMERICAN STATES WATER CO COMMON STOCK 029899101 746 25,400 25,400 25,400 AMGEN INC COMMON STOCK 031162100 1,755 29,020 29,020 29,020 ANDRX CORP COMMON STOCK 034553107 264 13,000 13,000 13,000 AQUA AMERICA INC COMMON STOCK 03836W103 633 21,288 21,288 21,288 ARTESYN TECHNOLOGIES INC COMMON STOCK 043127109 87 10,000 10,000 10,000 ATI TECHNOLOGIES INC COMMON STOCK 001941103 178 15,000 15,000 15,000 ATMOS ENERGY CORP COMMON STOCK 049560105 432 15,000 15,000 15,000 AUGUST 05 CALLS ON AFL US EQUITY OPTION 0010559HG 25 30 30 30 AUGUST 05 CALLS ON BHP US EQUITY OPTION 0886069HD 37 50 50 50 AUGUST 05 CALLS ON MTF US EQUITY OPTION 6068169HU 9 100 100 100 AUST & NZ BNKG GRP-SPON ADR ADR 052528304 662 8,000 8,000 8,000 AUTOMATIC DATA PROCESSING COMMON STOCK 053015103 273 6,500 6,500 6,500 BAA PLC-SPONS ADR ADR 05518L206 113 10,000 10,000 10,000 BANCO SANTANDER CEN-SPON ADR ADR 05964H105 197 17,000 17,000 17,000 BANK OF AMERICA CORP COMMON STOCK 060505104 720 15,797 15,797 15,797 BANK OF NEW YORK CO INC COMMON STOCK 064057102 372 12,940 12,940 12,940 BAXTER INTERNATIONAL INC. COMMON STOCK 071813109 664 17,900 17,900 17,900 BHP BILLITON LTD-SPON ADR ADR 088606108 819 30,000 30,000 30,000 BICO INC COMMON STOCK 088766100 0 10,000 10,000 10,000 BLACKROCK LTD DURATION INC CLOSED-END FUND 09249W101 184 10,000 10,000 10,000 BNP PARIBAS-ADR ADR 05565A202 206 6,000 6,000 6,000 BOEING CO COMMON STOCK 097023105 257 3,901 3,901 3,901 BRANDYWINE REALTY TRUST REIT 105368203 230 7,500 7,500 7,500 BUNGE LIMITED COMMON STOCK 013317810 412 6,500 6,500 6,500 BURLINGTON NORTHERN SANTA FE COMMON STOCK 12189T104 951 20,200 20,200 20,200 CALIFORNIA WATER SERVICE GRP COMMON STOCK 130788102 792 21,100 21,100 21,100 CAMDEN PROPERTY TRUST REIT 133131102 210 3,900 3,900 3,900
INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR MKT SHARES OR --------------------- ----------------------- OF ID CUSIP VALUE PRINCIPAL SOLE SHARED OTHER SOLE SHARED OTHER NAME CLASS Number (X1,000) AMOUNT (A) (B) (C) (A) (B) (C) - ---------------------------------------------------------------------------------------------------------------------------------- CASELLA WASTE SYSTEMS INC-A COMMON STOCK 147448104 121 10,107 10,107 10,107 CATHAY PAC AIRWAYS-SPONS ADR ADR 148906308 98 10,800 10,800 10,800 CEMEX SA -SPONS ADR PART CER ADR 151290889 238 5,611 5,611 5,611 CENTRAL SECURITIES CORP CLOSED-END FUND 155123102 430 17,785 17,785 17,785 CIA VALE DO RIO DOCE-ADR ADR 204412209 246 8,400 8,400 8,400 CIMAREX ENERGY CO COMMON STOCK 171798101 239 6,150 2,000 4,150 4,150 2,000 CISCO SYSTEMS INC COMMON STOCK 17275R102 703 36,849 36,849 36,849 CITIGROUP INC COMMON STOCK 172967101 869 18,789 18,789 18,789 COCA-COLA CO/THE COMMON STOCK 191216100 282 6,760 6,760 6,760 COHEN & STEERS REIT UTI & IN CLOSED-END FUND 19247Y108 226 11,700 11,700 11,700 COMCAST CORP-SPECIAL CL A COMMON STOCK 20030N200 225 7,525 7,525 7,525 CONAGRA FOODS INC COMMON STOCK 205887102 567 24,485 24,485 24,485 CONSTELLATION ENERGY GROUP COMMON STOCK 210371100 865 15,000 15,000 15,000 CONTINENTAL AIRLINES-CL B COMMON STOCK 210795308 133 10,000 10,000 10,000 COOPER TIRE & RUBBER COMMON STOCK 216831107 699 37,650 37,650 37,650 CRH PLC -SPONSORED ADR ADR 12626K203 239 9,200 9,200 9,200 CVS CORP COMMON STOCK 126650100 1,424 48,978 48,978 48,978 DECEMBER 05 CALLS ON OEF US EQUITY OPTION 4642879LB 24 40 40 40 DECEMBER 05 CALLS ON QQQQ US EQUITY OPTION 6311009LB 23 25 25 25 DELTA FINANCIAL CORP COMMON STOCK 247918105 162 17,000 17,000 17,000 DESARROLLADORA HOMEX-ADR ADR 25030W100 206 7,500 7,500 7,500 DNAPRINT GENOMICS COMMON STOCK 23324Q103 20 100,000 100,000 100,000 DOW CHEMICAL COMMON STOCK 260543103 896 20,125 20,125 20,125 DUKE REALTY CORP REIT 264411505 751 23,720 23,720 23,720 ENERGY SELECT SECTOR SPDR ETF 81369Y506 1,776 39,950 39,950 39,950 ENGINEERED SUPPORT SYSTEMS COMMON STOCK 292866100 1,697 47,362 47,362 47,362 EQUITY INCOME FUND (AT&T) UIT 294700703 598 7,629 7,629 7,629 EQUITY INNS INC REIT 294703103 146 11,000 11,000 11,000 EQUITY OFFICE PROPERTIES TR REIT 294741103 1,728 52,200 48,100 4,100 4,100 48,100 EQUITY ONE INC REIT 294752100 477 21,032 21,032 21,032 EUROPE FUND INC CLOSED-END FUND 29874M103 162 15,300 15,300 15,300 EVEREST RE CAP TRUST PUBLIC 299807206 266 10,000 10,000 10,000 EVEREST RE GROUP LTD COMMON STOCK 012268483 472 5,075 5,075 5,075 EXTRA SPACE STORAGE INC REIT 30225T102 189 13,200 13,200 13,200 EXXON MOBIL CORP COMMON STOCK 30231G102 1,294 22,516 22,516 22,516 FANNIE MAE COMMON STOCK 313586109 397 6,800 6,800 6,800 FANNIE MAE PUBLIC 313586794 389 7,000 7,000 7,000 FIRST SEISMIC CORP COMMON STOCK 336397104 3 467,409 467,409 467,409 FIRST TRUST VALUE LINE 100 CLOSED-END FUND 33735D104 930 60,259 60,259 60,259 FIRST TRUST VALUE LINE DVD CLOSED-END FUND 33735A100 1,536 104,546 104,546 104,546 FIRST TRUST/FOUR CRNS SR F 2 CLOSED-END FUND 33733U108 174 10,053 10,053 10,053 FISERV INC COMMON STOCK 337738108 213 4,960 4,960 4,960 FLAGSTAR BANCORP INC COMMON STOCK 337930101 1,143 60,400 60,400 60,400 FORD MOTOR CO CAP TR II PUBLIC 345395206 577 14,300 700 13,600 13,600 700 FPL GROUP INC COMMON STOCK 302571104 1,745 41,500 41,500 41,500 FREDDIE MAC COMMON STOCK 313400301 841 12,900 12,900 12,900
INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR MKT SHARES OR --------------------- ----------------------- OF ID CUSIP VALUE PRINCIPAL SOLE SHARED OTHER SOLE SHARED OTHER NAME CLASS Number (X1,000) AMOUNT (A) (B) (C) (A) (B) (C) - ---------------------------------------------------------------------------------------------------------------------------------- FRIEDMAN BILLINGS RAMSEY-A REIT 358434108 143 10,000 10,000 10,000 GENERAL ELECTRIC CO COMMON STOCK 369604103 1,194 34,460 34,460 34,460 GENESEE & WYOMING INC-CL A COMMON STOCK 371559105 2,503 91,971 91,971 91,971 GLAXOSMITHKLINE PLC-ADR ADR 37733W105 618 12,735 7,735 5,000 5,000 7,735 GMH COMMUNITIES TRUST REIT 36188G102 215 15,500 15,500 15,500 HANG LUNG PROPERTIES-SP ADR ADR 41043M104 135 18,000 18,000 18,000 HCA INC COMMON STOCK 404119109 1,201 21,190 21,190 21,190 HEADWATERS INC COMMON STOCK 42210P102 241 7,000 7,000 7,000 HIGHLAND HOSPITALITY CORP REIT 430141101 181 17,300 17,300 17,300 HOME DEPOT INC COMMON STOCK 437076102 1,231 31,635 28,335 3,300 3,300 28,335 HRPT PROPERTIES TRUST REIT 40426W101 126 10,100 10,100 10,100 ICICI BANK LTD-SPON ADR ADR 45104G104 437 20,000 20,000 20,000 ING GROEP N.V.-SPONSORED ADR ADR 456837103 304 10,842 10,842 10,842 INGLES MARKETS INC -CL A COMMON STOCK 457030104 1,393 101,153 101,153 101,153 INTEL CORP COMMON STOCK 458140100 988 37,990 37,990 37,990 INTELIDATA TECHNOLOGIES CORP COMMON STOCK 45814T107 4 11,000 11,000 11,000 INTERCONTINENTAL HOTELS-ADR ADR 45857P103 160 12,677 12,677 12,677 INTL BUSINESS MACHINES CORP COMMON STOCK 459200101 1,203 16,215 16,215 16,215 INTL RECTIFIER CORP COMMON STOCK 460254105 239 5,000 5,000 5,000 INTL SPEEDWAY CORP-CL A COMMON STOCK 460335201 444 7,900 7,900 7,900 IRSA -SP GDR GDR 450047204 122 10,000 10,000 10,000 ISHARES COHEN & STEERS RLTY ETF 464287564 1,323 18,580 13,180 5,400 5,400 13,180 ISHARES DJ SELECT DIVIDEND ETF 464287168 1,082 17,530 17,530 17,530 ISHARES DJ US REAL ESTATE ETF 464287739 286 4,500 1,300 3,200 3,200 1,300 ISHARES MSCI AUSTRALIA INDEX ETF 464286103 1,153 65,200 5,200 60,000 60,000 5,200 ISHARES MSCI EAFE INDEX FUND ETF 464287465 2,248 42,908 42,908 42,908 ISHARES MSCI EMERGING MKT IN ETF 464287234 431 6,015 6,015 6,015 ISHARES MSCI EMU ETF 464286608 1,111 15,621 13,621 2,000 2,000 13,621 ISHARES MSCI JAPAN INDEX FD ETF 464286848 1,201 118,420 92,420 26,000 26,000 92,420 ISHARES MSCI PACIFIC EX JPN ETF 464286665 1,314 13,960 960 13,000 13,000 960 ISHARES MSCI UNITED KINGDOM ETF 464286699 465 25,900 19,100 6,800 6,800 19,100 ISHARES RUSSELL 2000 ETF 464287655 286 4,494 1,694 2,800 2,800 1,694 ISHARES RUSSELL 3000 INDEX ETF 464287689 1,654 24,160 24,160 24,160 ISHARES RUSSELL MIDCAP GRWTH ETF 464287481 231 2,700 100 2,600 2,600 100 ISHARES S&P 500 INDEX FUND ETF 464287200 331 2,780 2,780 2,780 ISHARES S&P EUROPE 350 ETF 464287861 1,199 16,100 14,600 1,500 1,500 14,600 ISHARES S&P GLBL HEALTHCARE ETF 464287325 2,042 40,900 40,900 40,900 ISHARES S&P GLOBAL 100 ETF 464287572 1,352 22,470 22,470 22,470 ISHARES S&P MIDCAP 400 ETF 464287507 1,994 29,114 29,114 29,114 ISHARES S&P SMALLCAP 600 ETF 464287804 1,160 21,085 21,085 21,085 ISHARES S&P SMALLCAP 600/VAL ETF 464287879 2,380 38,610 38,610 38,610 ISHARES S&P/TOPIX 150 INDEX ETF 464287382 514 5,900 300 5,600 5,600 300 JAMES HARDIE INDS-SPONS ADR ADR 47030M106 303 10,400 10,400 10,400 JANUARY 06 CALLS ON FNM US EQUITY OPTION 3HA99Q13 19 18 18 18 JANUARY 06 CALLS ON FRE US EQUITY OPTION 3134009AI 41 20 20 20 JANUARY 06 CALLS ON IWB US EQUITY OPTION 4642879AJ 47 30 30 30
INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR MKT SHARES OR --------------------- ----------------------- OF ID CUSIP VALUE PRINCIPAL SOLE SHARED OTHER SOLE SHARED OTHER NAME CLASS Number (X1,000) AMOUNT (A) (B) (C) (A) (B) (C) - ---------------------------------------------------------------------------------------------------------------------------------- JANUARY 06 CALLS ON QQQQ US EQUITY OPTION 6S499W9AG 13 25 25 25 JANUARY 06 CALLS ON SNE US EQUITY OPTION 8356999AE 19 20 20 20 JANUARY 07 CALLS ON FXI US EQUITY OPTION 4R499W9AH 39 20 20 20 JANUARY 07 CALLS ON IWB US EQUITY OPTION 46299W9AJ 52 20 20 20 JANUS CAPITAL GROUP INC COMMON STOCK 47102X105 989 65,725 65,725 65,725 JAPAN EQUITY FUND CLOSED-END FUND 471057109 239 39,500 39,500 39,500 JAPAN SMALLER CAPITALIZATION CLOSED-END FUND 47109U104 205 19,000 19,000 19,000 JOHN HAN BK & THRIFT OPP FD CLOSED-END FUND 409735107 904 92,030 92,030 92,030 JOHNSON & JOHNSON COMMON STOCK 478160104 1,131 17,407 17,407 17,407 JPMORGAN CHASE & CO COMMON STOCK 46625H100 512 14,510 14,510 14,510 JULY 05 CALLS ON NWS US EQUITY OPTION 65248E9GC 9 50 50 50 JULY 05 CALLS ON TM US EQUITY OPTION 8923319GN 5 20 20 20 KANSAS CITY SOUTHERN COMMON STOCK 485170302 274 13,600 13,600 13,600 KINGFISHER PLC-SPONS ADR ADR 495724403 108 12,000 12,000 12,000 KITE REALTY GROUP TRUST REIT 49803T102 150 10,000 10,000 10,000 KOOKMIN BANK-SPON ADR ADR 50049M109 210 4,600 4,600 4,600 KT CORP-SP ADR ADR 48268K101 204 9,500 9,500 9,500 LACLEDE GROUP INC/THE COMMON STOCK 505597104 635 20,000 20,000 20,000 LAFARGE NORTH AMERICA INC COMMON STOCK 505862102 591 9,460 9,460 9,460 LAFARGE S.A.-SPONSORED ADR ADR 505861401 228 10,000 10,000 10,000 LASALLE HOTEL PROPERTIES PUBLIC 517942207 556 20,600 20,600 20,600 LEXMARK INTERNATIONAL INC-A COMMON STOCK 529771107 1,108 17,091 17,091 17,091 LUBRIZOL CORP COMMON STOCK 549271104 212 5,055 5,055 5,055 MER LY NIKKEI 225 MITTS BOND 590188371 95 10,000 10,000 10,000 MERCK & CO. INC. COMMON STOCK 589331107 205 6,668 6,668 6,668 METRIS COMPANIES INC COMMON STOCK 591598107 188 13,000 13,000 13,000 MICHAELS STORES INC COMMON STOCK 594087108 211 5,100 5,100 5,100 MICROFINANCIAL INC COMMON STOCK 595072109 3,221 678,100 678,100 678,100 MICROSOFT CORP COMMON STOCK 594918104 1,422 57,235 57,235 57,235 MIDCAP SPDR TRUST SERIES 1 ETF 595635103 1,229 9,811 9,811 9,811 MORGAN STANLEY ASIA PACIFIC CLOSED-END FUND 61744U106 289 22,000 22,000 22,000 NASDAQ-100 INDEX TRCKNG STCK ETF 631100104 568 15,440 15,440 15,440 NATIONAL AUSTRALIA BK-SP ADR ADR 632525408 819 7,000 7,000 7,000 NAUTILUS INC COMMON STOCK 63910B102 214 7,500 7,500 7,500 NEWELL RUBBERMAID INC COMMON STOCK 651229106 285 11,950 11,950 11,950 NEWS CORP-CLASS B COMMON STOCK 65248E203 337 20,000 20,000 20,000 NORTHROP GRUMMAN CORP COMMON STOCK 666807102 282 5,100 5,100 5,100 NOVEMBER 05 CALLS ON HD US EQUITY OPTION 4370769KY 18 10 10 10 NOVEMBER 05 CALLS ON IWV US EQUITY OPTION 4642879KH 29 30 30 30 OCTOBER 05 CALLS ON LOW US EQUITY OPTION 5486619JV 11 7 7 7 OIL SERVICE HOLDRS TRUST ETF 678002106 1,029 10,100 10,100 10,100 OMNIVISION TECHNOLOGIES COMMON STOCK 682128103 136 10,000 10,000 10,000 PARKER DRILLING CO COMMON STOCK 701081101 210 30,000 30,000 30,000 PENTAIR INC COMMON STOCK 709631105 332 7,760 7,760 7,760 PEOPLES ENERGY CORP COMMON STOCK 711030106 652 15,000 15,000 15,000 PETROQUEST ENERGY INC COMMON STOCK 716748108 66 10,000 10,000 10,000
INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR MKT SHARES OR --------------------- ----------------------- OF ID CUSIP VALUE PRINCIPAL SOLE SHARED OTHER SOLE SHARED OTHER NAME CLASS Number (X1,000) AMOUNT (A) (B) (C) (A) (B) (C) - ---------------------------------------------------------------------------------------------------------------------------------- PFIZER INC COMMON STOCK 717081103 554 20,095 20,095 20,095 PHC INC-CL A (MASS) COMMON STOCK 693315103 25 10,000 10,000 10,000 PHELPS DODGE CORP COMMON STOCK 717265102 250 2,700 2,700 2,700 PORTUGAL TELECOM SGPS-SP ADR ADR 737273102 170 17,800 17,800 17,800 PRAXAIR INC COMMON STOCK 74005P104 718 15,400 15,400 15,400 PROGRESS ENERGY INC COMMON STOCK 743263105 1,623 35,874 35,874 35,874 PUBLIC STORAGE INC REIT 74460D109 488 7,715 5,215 2,500 2,500 5,215 QUANEX CORP COMMON STOCK 747620102 229 4,325 4,325 4,325 RED ALERT GROUP INC COMMON STOCK 75629Q105 0 25,067 25,067 25,067 RGC RESOURCES INC COMMON STOCK 74955L103 484 18,450 18,450 18,450 RINKER GROUP LTD-ADR ADR 76687M101 212 4,000 4,000 4,000 RIO TINTO PLC-SPON ADR ADR 767204100 853 7,000 7,000 7,000 ROYCE MICRO-CAP TRUST CLOSED-END FUND 780915104 632 45,516 45,516 45,516 ROYCE VALUE TRUST CLOSED-END FUND 780910105 3,458 183,162 183,162 183,162 RYDEX S&P EQUAL WEIGHT ETF ETF 78355W106 2,002 12,842 12,842 12,842 SBC COMMUNICATIONS INC COMMON STOCK 78387G103 226 9,510 9,510 9,510 SEMCO ENERGY INC COMMON STOCK 78412D109 60 10,000 10,000 10,000 SOUTHWALL TECHNOLOGIES INC COMMON STOCK 844909101 19 14,750 14,750 14,750 SOUTHWEST WATER CO COMMON STOCK 845331107 449 37,926 37,926 37,926 SOVEREIGN BANCORP INC COMMON STOCK 845905108 208 9,325 9,325 9,325 SPDR TRUST SERIES 1 ETF 78462F103 294 2,464 2,464 2,464 STAR GAS PARTNERS L.P. LTD PART 85512C105 152 53,438 53,438 53,438 STMICROELECTRONICS NV-NY SHS NY REG SHRS 861012102 159 10,000 10,000 10,000 STRATEGIC HOTEL CAPITAL INC REIT 86272T106 180 10,000 10,000 10,000 SUBURBAN PROPANE PARTNERS LP UNIT 864482104 1,083 30,275 30,275 30,275 TAIWAN SEMICONDUCTOR-SP ADR ADR 874039100 96 10,500 10,500 10,500 TARGET CORP COMMON STOCK 87612E106 609 11,200 11,200 11,200 TATE & LYLE PLC-SPONS ADR ADR 876570607 271 8,000 8,000 8,000 TELECOM NEW ZEALAND-SP ADR ADR 879278208 1,008 30,000 30,000 30,000 TELSTRA CORP-ADR ADR 87969N204 621 32,100 32,100 32,100 TEXAS INSTRUMENTS INC COMMON STOCK 882508104 334 11,900 11,900 11,900 THE COOPER COS INC COMMON STOCK 216648402 274 4,500 4,500 4,500 TXU CORP COMMON STOCK 873168108 2,154 25,920 25,920 25,920 UNILEVER N V -NY SHARES NY REG SHRS 904784709 272 4,200 1,200 3,000 3,000 1,200 UNITED DOMINION REALTY TRUST REIT 910197102 494 20,557 20,557 20,557 UNITED TECHNOLOGIES CORP COMMON STOCK 913017109 1,312 25,548 25,548 25,548 USG CORP COMMON STOCK 903293405 298 7,000 7,000 7,000 VAN KAMPEN SENIOR INCOME TRS CLOSED-END FUND 920961109 249 30,700 30,700 30,700 VITRAN CORP INC COMMON STOCK 92850E107 205 13,000 13,000 13,000 WA/CLAY US TREAS INFL PROT 2 CLOSED-END FUND 95766Q106 3,099 237,108 237,108 237,108 WAL-MART STORES INC COMMON STOCK 931142103 1,423 29,522 29,522 29,522 WASTE MANAGEMENT INC COMMON STOCK 94106L109 469 16,550 16,550 16,550 WELLS FARGO & COMPANY COMMON STOCK 949746101 474 7,700 7,700 7,700 WGL HOLDINGS INC COMMON STOCK 92924F106 1,888 56,121 56,121 56,121 WILLIAMS COS INC COMMON STOCK 969457100 6,169 324,666 324,666 324,666 WINSTON HOTELS INC REIT 97563A102 134 11,900 11,900 11,900
INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR MKT SHARES OR --------------------- ----------------------- OF ID CUSIP VALUE PRINCIPAL SOLE SHARED OTHER SOLE SHARED OTHER NAME CLASS Number (X1,000) AMOUNT (A) (B) (C) (A) (B) (C) - ---------------------------------------------------------------------------------------------------------------------------------- WISCONSIN ENERGY CORP COMMON STOCK 976657106 936 24,000 24,000 24,000 WORLDWIDE WEB NETWORX CORP COMMON STOCK 981604101 0 304,000 304,000 304,000 WPS RESOURCES CORP COMMON STOCK 92931B106 563 10,000 10,000 10,000 XCEL ENERGY INC COMMON STOCK 98389B100 988 50,608 50,608 50,608
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