-----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, K3wv06/UqMF2zk0lxU7WAzMYNPUohmgO14q0ZSr6FuhFgatFocXcuu3Vwce5v1N5 ddWbxRXFuMSUK3FR8Pvavg== 0001398344-10-001061.txt : 20100813 0001398344-10-001061.hdr.sgml : 20100813 20100813163349 ACCESSION NUMBER: 0001398344-10-001061 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100630 FILED AS OF DATE: 20100813 DATE AS OF CHANGE: 20100813 EFFECTIVENESS DATE: 20100813 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Baker Avenue Asset Management, LP CENTRAL INDEX KEY: 0001432529 IRS NUMBER: 201735413 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-13834 FILM NUMBER: 101015743 BUSINESS ADDRESS: STREET 1: 601 CALIFORNIA ST STREET 2: SUITE 750 CITY: SAN FRANCISCO STATE: CA ZIP: 94108 BUSINESS PHONE: 415-986-1110 MAIL ADDRESS: STREET 1: 601 CALIFORNIA ST STREET 2: SUITE 750 CITY: SAN FRANCISCO STATE: CA ZIP: 94108 13F-HR/A 1 fp0001973_13fhra.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2010 Check here if Amendment [X]; Amendment Number: 1 This Amendment (Check only one.): [X] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Baker Avenue Asset Management, LP Address: 601 California St, Suite 750 San Francisco, CA 94108 Form 13F File Number: 28-13834 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: Stacey Kruus Title: Chief Compliance Officer Phone: 202-275-0089 Signature, Place, and Date of Signing: /s/Stacey Kruus Mercer Island, WA 08-13-2010 --------------------- ----------------- ---------- [Signature] [City, State] [Date] Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] Form 13F File Number Name 28-______________ _______________________________ [Repeat as necessary.] Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 337 Form 13F Information Table Value Total: $ 164,220 ------------- (thousands) List of Other Included Managers: Provide a numbered list of the names(s) and Form 13F file numbers(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name ______ 28-______________________ ______________________________ [Repeat as necessary.]
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------- -------------- --------- -------- ------------------- ---------- -------- ----------------- VOTING AUTHORITY SHRS OR SH/ PUT/ INVESTMENT OTHER ----------------- NAME OF ISSUER TITLE OF CLASS CUSIP VALUE PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------- -------------- --------- -------- ------- ---- ---- ---------- -------- ---- ------ ----- 3M COMPANY Common Stock 88579Y101 4 50 SH YES None YES ABBOTT LABORATORIES Common Stock 002824100 1 26 SH YES None YES ADMINISTAFF INC Common Stock 007094105 703 29,095 SH YES None YES ADOBE SYS INC Common Stock 00724F101 27 1,016 SH YES None YES ADVANCE AUTO PARTS INC Common Stock 00751Y106 1 29 SH YES None YES AES CORP Common Stock 00130H105 98 10,660 SH YES None YES AES TR III 6.75% TR CONV PFD Convertible 00808N202 22 500 SH YES None YES AFFYMETRIX INC Common Stock 00826T108 1 100 SH YES None YES AGCO CORP NOTE 1.250%12/15/36 Convertible 001084AM4 19 20,000 SH YES None YES AGFEED INDS INC COM Common Stock 00846L101 6 2,000 SH YES None YES ALLERGAN INC Common Stock 018490102 24 415 SH YES None YES ALLSTATE CORP Common Stock 020002101 87 3,000 SH YES None YES ALTAIR NANOTECHNOLOGIES INC Common Stock 021373105 9 28,000 SH YES None YES ALTRIA GROUP INC Common Stock 02209S103 26 1,275 SH YES None YES AMAZON.COM INC Common Stock 023135106 0 0 SH YES None YES AMERICAN CAPITAL STRATEGIES LTD Common Stock 02503Y103 235 48,689 SH YES None YES AMERICAN EXPRESS CO Common Stock 25816109 40 1,000 SH YES None YES AMERISOURCEBERGEN CORP COM Common Stock 03073E105 8,548 269,225 SH YES None YES AMGEN INC Common Stock 031162100 97 1,847 SH YES None YES ANNALY MTG MGMT INC Common Stock 035710409 1 49 SH YES None YES AOL TIME WARNER INC. CMN Common Stock 00184X105 80 3,830 SH YES None YES APPLE COMPUTER, INC. Common Stock 037833100 85 337 SH PUT YES None YES ARCH COAL INC Common Stock 039380100 0 18 SH YES None YES ARCHER DANIELS MIDLAND Common Stock 039483102 1 53 SH YES None YES ASTRAZENECA PLC- SPONS ADR Common Stock 046353108 7 150 SH YES None YES AT&T INC COM Common Stock 00206R102 20 844 SH YES None YES BAIDU COM INC SPON ADR RESTG ORD SHS CL Common Stock 056752108 8,128 119,395 SH YES None YES BANCO BILBAO VIZ AR ORDF Common Stock 05946K101 12 1,168 SH YES None YES BANK OF NEW YORK MELLON CORP COM Common Stock 064058100 70 2,816 SH YES None YES BANK OF AMERICA CORP Common Stock 060505104 137 9,560 SH YES None YES BANNER CORPORATION Common Stock 06652V109 337 170,000 SH YES None YES BARCLAYS BK PLC Common Stock 06738E204 10 500 SH YES None YES BARCLAYS BK PLC IPATH INDEX LKD SECSTO GSCI TOTAL RETURNINDEX MAT 6/12/36 Mutual Fund 06738C794 0 0 SH YES None YES BARRICK GOLD CORP F Common Stock 067901108 111 2,448 SH YES None YES BB&T CORP Common Stock 054937107 1 44 SH YES None YES BECTON DICKINSON & CO Common Stock 075887109 11 158 SH YES None YES BERKLEY W R CORP Common Stock 084423102 0 5 SH YES None YES BERKSHIRE HATHAWAY INC CL B Common Stock 084670702 337 4,234 SH YES None YES BEST BUY INC Common Stock 086516101 0 10 SH YES None YES BHP BILLITON LTD SPONSORED ADR Common Stock 05545E209 7 119 SH YES None YES BOISE INC Common Stock 09746Y105 22 4,000 SH YES None YES BOSTON SCIENTIFIC CORP Common Stock 101137101 1 241 SH YES None YES BROADCOM CORP CL A Common Stock 111320107 4 110 SH YES None YES BROCADE COMMUNICATIONS SYSTEMS INC Common Stock 111621306 354 68,685 SH YES None YES BROWN & BROWN INC Common Stock 115236101 0 20 SH YES None YES CABLEVISION SYS Common Stock 12686C109 2 80 SH YES None YES CALLAWAY GOLF CO Common Stock 131193104 65 10,770 SH CALL YES None YES CAMERON INTERNATIONAL Common Stock 13342BAB1 4 4,000 SH YES None YES CANADIAN NATIONAL RAILWAY CO Common Stock 136375102 1 11 SH YES None YES CANADIAN NATURAL RESOURCES LTD Common Stock 136385101 0 4 SH YES None YES CARDINAL HEALTH INC Common Stock 14149Y108 3 102 SH YES None YES CAREFUSION CORP COM Common Stock 14170T101 12 521 SH YES None YES CARNIVAL CORP Common Stock 143658300 1 28 SH YES None YES CATERPILLAR INC Common Stock 149123101 1 24 SH YES None YES CENTER FINL CORP CALIF Common Stock 15146E102 371 72,076 SH YES None YES CHARLES SCHWAB CORP Common Stock 808513105 1 62 SH YES None YES CHESAPEAKE ENERGY CORPORATION Common Stock 165167107 16 770 SH YES None YES CHEVRONTEXACO CORP Common Stock 166764100 4 60 SH YES None YES CIMAREX ENERGY CO Common Stock 171798101 7,807 109,065 SH YES None YES CISCO SYS INC Common Stock 17275R102 6 275 SH YES None YES CIT GROUP INC NEW COM Common Stock 125581801 4 122 SH YES None YES CITIGROUP INC Common Stock 172967101 1 146 SH YES None YES CLEVELAND CLIFFS INC Common Stock 18683K101 20 430 SH YES None YES COACH INC Common Stock 189754104 37 1,000 SH YES None YES COCA COLA CO Common Stock 191216100 5 100 SH YES None YES COCA COLA ENTERPRISE Common Stock 191219104 5 181 SH YES None YES COINSTAR INC Common Stock 19259P300 243 5,658 SH YES None YES COMCAST CORP CL A Common Stock 20030N101 11 658 SH YES None YES COMERICA INC Common Stock 200340107 0 0 SH YES None YES COMMUNITY HEALTH SYSTEMS Common Stock 203668108 3 75 SH YES None YES CONCORD MEDICALSERVICES HLDGS LTD ADS EACH 1 REPR Common Stock 206277105 298 50,023 SH YES None YES CONEXANT SYS INC COMNEW Common Stock 207142308 0 2 SH YES None YES CONOCOPHILLIPS Common Stock 20825C104 53 1,083 SH YES None YES COOPER TIRE & RUBBER CO Common Stock 216831107 2 101 SH YES None YES COSTCO WHOLESALE CORP Common Stock 22160K105 7 120 SH YES None YES COVIDIEN PLC F Common Stock G2554F105 5 127 SH YES None YES CRAY INC Common Stock 207142308 1 150 SH YES None YES CUMMINS INC Common Stock 231021106 7,548 115,895 SH YES None YES CURRENCY SHARES JAPANESE Common Stock 23130A102 147 1,315 SH YES None YES CURRENCYSHARES AUSTRALIAN DLR TR AUSTRALIAN DOLLAR Common Stock 23129U101 142 1,680 SH YES None YES CURRENCYSHARESCDN DLR TR CDN DOLLARS SHS Common Stock 23129X105 229 2,455 SH YES None YES CURRENCYSHARESS SWISS Common Stock 23129V109 222 2,410 SH YES None YES CVS CORP Common Stock 126650100 6 211 SH YES None YES DANAHER CORP Common Stock 235851AF9 4 4,000 SH YES None YES DELTA AIR LINES INC DEL CMN Common Stock 247361702 5 467 SH YES None YES DEVON ENERGY CORP Common Stock 25179M103 3 56 SH YES None YES DOW CHEMICAL CO Common Stock 260543103 474 20,000 SH YES None YES E M C CORP MASS Common Stock 268648102 136 7,405 SH YES None YES E M C CORP MASS NOTE 1.750%12/01/13 Convertible 268648AM4 25 20,000 SH YES None YES EARTHLINK INC Common Stock 270321102 1 161 SH YES None YES EATON CORP Common Stock 278058102 2 28 SH YES None YES EATON VANCE TAX MANAGED GLOBAL EQUITY Common Stock 27829F108 0 0 SH YES None YES EL PASO CORP COM Common Stock 28336L109 77 6,925 SH YES None YES ELECTRONICS ARTS Common Stock 285512109 10,371 720,214 SH YES None YES EMERSON ELECTRIC CO Common Stock 291011104 113 2,597 SH YES None YES ENBRIDGE ENERGY PARTNERS LP Common Stock 29250R106 30 800 SH YES None YES ENERGY CONVERS 3%13 CVT BOND DUE 06/15/13 Convertible 292659AA7 16 28,000 SH YES None YES ENTERPRISE PRODS PARTNERS L P Common Stock 293792107 35 992 SH YES None YES EOG RESOURCES INC Common Stock 26875P101 1 7 SH YES None YES EXPRESS SCRIPTS INC Common Stock 302182100 2 50 SH YES None YES EXXON MOBIL CORP Common Stock 30231G102 98 1,721 SH YES None YES FASTENAL CO Common Stock 311900104 8 155 SH YES None YES FEDEX CORP Common Stock 31428X106 0 0 SH YES None YES FIFTH THIRD BANCORP Common Stock 316773100 1 100 SH YES None YES FORD MOTOR COMPANY Common Stock 345370860 11 1,070 SH YES None YES FRANKLIN RES INC Common Stock 354613101 2 20 SH YES None YES FREEPORT-MCMORAN COPPER & GOLD Common Stock 35671D857 3 45 SH YES None YES FRONTIER COMMUNICATIONS Common Stock 35906A108 0 0 SH YES None YES GENERAL DYNAMICS Common Stock 369550108 90 1,532 SH YES None YES GENERAL ELECTRIC CO Common Stock 369604103 8 539 SH YES None YES GEOKINETICS INC NEW Common Stock 372910307 297 77,511 SH YES None YES GILEAD SCIENCES INC Common Stock 375558103 13 370 SH YES None YES GILEAD SCIENCES INC Common Stock 375558AH6 3 3,000 SH YES None YES GLAXOSMITHKLINE PLC SPONSORED ADR Common Stock 37733W105 7 200 SH YES None YES GLOBAL SOURCES LTD Common Stock G39300101 356 45,433 SH YES None YES GOLDCORP INC Common Stock 380956409 0 0 SH YES None YES GOLDMAN SACHS GROUP INC Common Stock 38141G104 4 27 SH YES None YES GOOGLE INC Common Stock 38259P508 16 37 SH YES None YES GRUPO TELEVISA, S.A. GDS REP 20 CPO'S REP 1 L SHARE, 1 A SHARE AND 1 D SHAR Common Stock 40049J206 12 703 SH YES None YES HALLIBURTON CO Common Stock 406216101 2 62 SH YES None YES HERTZ GLOBAL HOLDINGS Common Stock 42805T105 2 217 SH YES None YES HESS CORPORATION Common Stock 42809H107 1 12 SH YES None YES HEWLETT-PACKARD CO Common Stock 428236103 55 1,265 SH YES None YES HOME DEPOT Common Stock 437076102 1 21 SH YES None YES HSN INC Common Stock 404303109 1 55 SH YES None YES HUMANA INC Common Stock 444859102 52 1,130 SH YES None YES IDEXX LABS INC Common Stock 45168D104 5 80 SH YES None YES IGATE CORP Common Stock 45169U105 919 71,668 SH YES None YES ILLINOIS TOOL WORKS Common Stock 452308109 50 1,200 SH YES None YES ING GROUP N.V. Common Stock 456837103 1 100 SH YES None YES INGERSOLL RAND CO LTD SHS A Common Stock G47791101 0 0 SH YES None YES INTEL Common Stock 458140100 113 5,791 SH YES None YES INTL BUSINESS MACHINES COM Common Stock 459200101 112 911 SH YES None YES IPATH S&P 500 VIX S/T FU ETN Common Stock 06740C527 179 5,726 SH YES None YES ISHARES BARCLAYS TIPS BOND Mutual Fund 464287176 6,352 59,417 SH YES None YES ISHARES COMEX GOLD TRUST Common Stock 464285105 49 4,000 SH YES None YES ISHARES IBOXX $ INVEST GRADE CORP BOND Common Stock 464287242 9,507 87,653 SH YES None YES ISHARES INC MSCI AUSTRALIA INDEX FD Mutual Fund 464286103 0 0 SH YES None YES ISHARES INC MSCI JAPAN Common Stock 464286848 0 0 SH YES None YES ISHARES MSCI BRAZIL INDEX Mutual Fund 464286400 0 0 SH YES None YES ISHARES MSCI CANADA INDEX Common Stock 464286509 0 0 SH YES None YES ISHARES MSCI EAFE INDEX Mutual Fund 464287465 52 1,125 SH YES None YES ISHARES MSCI EMERGING MKTS Mutual Fund 464287234 0 2 SH YES None YES ISHARES OIL EQUIP & SVC INDEX FUND Mutual Fund 464288844 0 0 SH YES None YES ISHARES SILVER TR ISHARES Mutual Fund 46428Q109 198 10,850 SH YES None YES ISHARES TR 1-3 YR TREAS INDEX FD Mutual Fund 464287457 1,476 17,542 SH YES None YES ISHARES TR BARCLAYS CAPITAL 1-3 YR CR BD FD Common Stock 464288646 11,326 109,005 SH YES None YES ISHARES TR DOW JONESSELECT DIVID INDEX Common Stock 464287168 260 6,130 SH YES None YES ISHARES TR IBOXX HIGH YIELD CORP BD FD Mutual Fund 464288513 1,301 15,320 SH YES None YES ISHARES TR JPMORGAN USD EMERGING MKTS BDFD Common Stock 464287234 275 2,650 SH YES None YES ISHARES TR LEHMAN INTER CR BD FD Common Stock 464288638 549 5,210 SH YES None YES ISHARES TR LEHMAN SHORT TREA BDFD Common Stock 464288679 0 0 SH YES None YES ISHARES TR NASDAQ BIOTECHNOLOGY INDEX Common Stock 464287556 23 300 SH YES None YES ISHARES TR RUSSELL 1000 ETF Mutual Fund 464287622 10 175 SH YES None YES ISHARES TR RUSSELL 1000 VALUE INDEX FD Mutual Fund 464287598 950 17,533 SH YES None YES ISHARES TR RUSSELL 2000 INDEX FD Mutual Fund 464287655 23 380 SH YES None YES ISHARES TR RUSSELL 2000 VALUE Mutual Fund 464287630 1,605 28,130 SH YES None YES ISHARES TR S&P LATIN AMER 40 Common Stock 464287390 0 0 SH YES None YES ISHARES TR S&P MIDCAP S&P MIDCAP 400 INDEX FD Mutual Fund 464287507 8 108 SH YES None YES ISHARES TR S&P NATL MUN BD FD Mutual Fund 464288414 276 2,650 SH YES None YES ISHARES TR S&P U S PFD STK INDEX FD Common Stock 464288687 11 300 SH YES None YES ISHARES TR TRANSPORTATION AVE INDEX FD Common Stock 464287192 0 0 SH YES None YES ISHARES TRUST BARCLAYS AGGREGATE BOND FUND Common Stock 464287226 3,131 29,195 SH YES None YES ISHARES TRUST DOW JONES US REAL ESTATE INDEX FUND Mutual Fund 464287739 2,311 48,960 SH YES None YES ISHARES TRUST RUSSELL 3000 INDEX FD Mutual Fund 464287689 0 0 SH YES None YES ISHARES TRUST S&P GLOBAL MATERIALS INDEX FD Common Stock 464288695 31 600 SH YES None YES ISTAR FINL INC FRNT 10/01/12 0% Convertible 45031UBF7 4 5,000 SH YES None YES J. CREW GROUP INC Common Stock 46612H402 1 25 SH YES None YES JA SOLAR HOLDINGS CO LTD 4.50000% 05/15/2013JA SOLAR HOLDINGS CO LTD Common Stock 466090AA5 23 27,000 SH YES None YES JABIL CIRCUIT INC Common Stock 466313103 3 201 SH YES None YES JOHNSON & JOHNSON Common Stock 478160104 1 17 SH YES None YES JP MORGAN CHASE & CO Common Stock 46625H100 23 620 SH YES None YES KBW REGIONAL BANKINGETF Common Stock 78464A698 2,444 105,857 SH YES None YES KEYCORP NEW Common Stock 493267108 105 13,644 SH YES None YES KIMBERLY CLARK CORP Common Stock 494368103 0 0 SH YES None YES KINDER MORGAN ENERGY PTNRS LP Common Stock 494550106 16 250 SH YES None YES KINDER MORGAN MGMT LLC Common Stock 49455U100 0 3 SH YES None YES KKR FINL CORP Common Stock 48248A306 49 6,570 SH YES None YES KOHLS CORP Common Stock 500255104 27 574 SH YES None YES KRAFT FOODS INC CL A Common Stock 50075N104 36 1,276 SH YES None YES KROGER CO Common Stock 501044101 3 132 SH YES None YES L-3 COMMUNICATIONS CORP DEBT 3.000% 8/01/35 Common Stock 502413AW7 6 6,000 SH YES None YES LECG CORP Common Stock 523234102 299 115,115 SH YES None YES LIHUA INTERNATIONAL INC Common Stock 532352101 332 39,060 SH YES None YES LIMITED BRANDS INC Common Stock 532716107 1 50 SH YES None YES LINCOLN NATIONAL CORP IND Common Stock 534187109 43 1,768 SH YES None YES M & T BANK CORPORATION Common Stock 55261F104 2 19 SH YES None YES MACYS INC COM Common Stock 55616P104 0 0 SH YES None YES MAGELLAN MIDSTREAM PARTNERS LP Common Stock 559080106 52 1,106 SH YES None YES MARATHON OIL CORP Common Stock 565849106 1 32 SH YES None YES MARKET VECTORS ETF TR JR GOLD MINES ETF Common Stock 57060U589 110 4,050 SH YES None YES MARRIOTT INTL INC Common Stock 571903202 1 47 SH YES None YES MARSHALL & ILSLEY CORP Common Stock 571837103 42 5,790 SH YES None YES MASSEY ENERGY CO SR NT CONV Common Stock 576203AJ2 10 12,000 SH YES None YES MASTERCARD INC Common Stock 57636Q104 11 57 SH YES None YES MAXIM INTEGRATED PRODS Common Stock 57772K101 3 155 SH YES None YES MCDONALDS CORP Common Stock 580135101 136 2,060 SH YES None YES MEDICINES CO Common Stock 584688105 62 8,110 SH YES None YES MERCK & CO INC Common Stock 58933Y105 2 71 SH YES None YES MERCK & CO INC NEW PFD CONV 6% Common Stock 58933Y204 7 27 SH YES None YES METLIFE INC COM Common Stock 59156R108 1 22 SH YES None YES MICROSOFT Common Stock 594918104 12 530 SH YES None YES MINDSPD TECHNOLOGIES INC Common Stock 602682205 0 1 SH YES None YES MOHAWK INDS INC Common Stock 608190104 2 48 SH YES None YES MOLSON COORS BREWING CO CL B Common Stock 60871R209 214 5,047 SH YES None YES MORGAN STANLEY Common Stock 617446448 2 69 SH YES None YES MOSAIC CO Common Stock 61945A107 37 940 SH YES None YES NABORS INDS 0.940% 5/15/11 Convertible 629568AP1 7 7,000 SH YES None YES NALCO HOLDING CO Common Stock 62985Q101 51 2,480 SH YES None YES NATIONAL CITY CORP NOTE 4.000% 2/01/11 Convertible 635405AW3 0 0 SH YES None YES NETSCOUT SYSTEMS INC Common Stock 64115T104 705 49,557 SH YES None YES NEWMONT MINING CORP HOLDING CO NEW Common Stock 651639106 9,659 156,452 SH YES None YES NEWS CORP CL A Common Stock 65248E104 4 345 SH YES None YES NII HLDGS INC NOTE 3.125% 6/15/12 Convertible 62913FAJ1 31 33,000 SH YES None YES NIKE INC CLASS B Common Stock 654106103 8,143 120,545 SH YES None YES NOKIA CORP ADR Common Stock 654902204 1 100 SH YES None YES NORTHROP GRUMMAN CORP HOLDING CO Common Stock 666807102 1 20 SH YES None YES NOVOGEN LIMITED SPONSORED ADR Common Stock 67010F103 1 1,800 SH YES None YES O REILLY AUTOMOTIVE INC Common Stock 686091109 1 24 SH YES None YES OMNICOM GROUP Common Stock 681919106 1 27 SH YES None YES ORACLE CORPORATION Common Stock 68389X105 1,085 50,566 SH YES None YES PACCAR INC Common Stock 693718108 1 13 SH YES None YES PENNEY J C CO INC Common Stock 708160106 1 35 SH YES None YES PEPSICO INC Common Stock 713448108 26 419 SH YES None YES PETROLEO BRASILEIRO SA PETROBRAS Common Stock 71654V101 1 25 SH YES None YES PFIZER INC Common Stock 717081103 46 3,206 SH YES None YES PG&E CORP Common Stock 69331C108 1 19 SH YES None YES PHILIP MORRIS INTL INC Common Stock 718172109 58 1,259 SH YES None YES PLAINS ALL AMERICAN PIPELINE LP Common Stock 726503105 13 225 SH YES None YES PNC FINL SVCS GROUP Common Stock 693475105 2 38 SH YES None YES POWERSHARES QQQ TR UNIT SER 1 Mutual Fund 73935A104 196 4,590 SH YES None YES POWERSHARES DB COMMODITY INDEX FUND Common Stock 73935S105 43 2,000 SH YES None YES POWERSHARES FTSE RAFI US 1500 S/M PT Common Stock 73935X567 2,977 59,742 SH YES None YES POWERSHARES DB AGRICULTURE FUND Mutual Fund 73936B408 94 3,900 SH YES None YES POWERSHS EXCH TRAD FD TR POWERSHARES DWA TECH Common Stock 73935X153 4 235 SH YES None YES PRAXAIR INC Common Stock 74005P104 188 2,478 SH YES None YES PRECISION CASTPARTS CORP Common Stock 740189105 2 16 SH YES None YES PROCTER & GAMBLE CO Common Stock 742718109 48 800 SH YES None YES PROGRESS ENERGY INC COM Common Stock 743263105 0 12 SH YES None YES PROLOGIS CONV NOTES Common Stock 743410AS1 5 6,000 SH YES None YES PROSHARES SHORT RUSSELL2000 ETF Common Stock 74347R826 155 3,590 SH YES None YES PROSHARES TR SHORT S&P 500 PROSHARES Mutual Fund 74347R503 279 5,070 SH YES None YES PROSHARES TR ULTRASHORT LEHMAN BROS 20 YR PROSHARES Common Stock 74347R297 1 40 SH YES None YES PROSHARES ULTRA SHORT FINANCIALS Common Stock 74347R628 117 5,008 SH YES None YES PROSHARES TR ULTRASHORT RUSSELL 2000 PROSHARES Common Stock 74347R834 4,565 197,108 SH YES None YES PROSHARES TR ULTRASHT Common Stock 74347R859 1 60 SH YES None YES PULTE CORP Common Stock 745867101 1 98 SH YES None YES QUANTA SERVICES INC Common Stock 74762E102 8,269 400,445 SH YES None YES RADIOSHACK CORP Common Stock 750438103 20 1,050 SH YES None YES RANGE RESOURCES CORP Common Stock 75281A109 0 0 SH YES None YES REGIONS FINANCIAL CORP NEW Common Stock 7591EP100 8,120 1,233,994 SH YES None YES RESEARCH IN MOTION LTD Common Stock 760975102 23 475 SH YES None YES RIO TINTO PLC SPON ADR Common Stock 767204100 3 76 SH YES None YES RITCHIE BROS AUCTIONEERS Common Stock 767744105 1 33 SH YES None YES ROYAL BK OF SCOTLND ORDF Common Stock 780097689 0 70 SH YES None YES ROYAL DUTCH SHELL PLC SPONSORED ADR REPSTG B SHS Common Stock 780259107 17 344 SH YES None YES SAFEWAY INC Common Stock 786514208 5 230 SH YES None YES SAN JUAN BASIN ROYALTY TR-UBI Common Stock 798241105 73 3,000 SH YES None YES SANDISK CORP SR NT CV 1.00000% 05/15/2013 Convertible 80004CAC5 38 43,000 SH YES None YES SARA LEE CORP Common Stock 803111103 4 275 SH YES None YES SCHLUMBERGER LTD Common Stock 806857108 89 1,602 SH YES None YES SEACOAST HLDG CORP Common Stock 811707306 0 1 SH YES None YES SEACOR HOLDINGS INC Common Stock 811904101 79 1,120 SH YES None YES SEASPAN CORP SHS ISIN #MHY756381098 Common Stock Y75638109 724 72,449 SH YES None YES SELECT SECTOR SPDR TR CONSUMER Common Stock 81369Y407 0 0 SH YES None YES SERVICE CORP INTL Common Stock 817565104 1 101 SH YES None YES SILVER WHEATON CORP COM ISIN #CA8283361076 Common Stock 828336107 9,108 453,150 SH YES None YES SIMPSON MANUFACTURING CO INC Common Stock 829073105 1,645 67,000 SH YES None YES SIRIUS XM RADIO INC Common Stock 82967N108 0 0 SH YES None YES SLM CORP COM Common Stock 78442P106 25 2,420 SH YES None YES SOUTHERN CO Common Stock 842587107 9 275 SH YES None YES SPDR BARCLAYS CAPITAL INTL TREASURY BOND Common Stock 78464A516 3,232 60,131 SH YES None YES SPDR GOLD TRUST Mutual Fund 78463V107 589 4,840 SH YES None YES SPDR RUSSELL/NOMURA SMALL CAP JAPAN ETF Common Stock 78463X830 0 0 SH YES None YES SPDR S&P DEP RCPT Mutual Fund 78462F103 13 130 SH YES None YES SPDR S&P HOMEBUILDERETF Common Stock 78464A888 0 0 SH YES None YES SPDR SER TR S&P DIVID ETF Common Stock 78464A763 379 8,400 SH YES None YES SPRINT CORP Common Stock 85206110 3 720 SH YES None YES STATE STREET CORP Common Stock 857477103 1 24 SH YES None YES SUNCOR ENERGY INC NEW F Common Stock 867224107 1 25 SH YES None YES SUNTECH POWER HOLDINGS CO SERIES CONVERTIBLE 3% 03/15/2013 Convertible 86800CAE4 24 32,000 SH YES None YES SUNTRUST BANKS INC Common Stock 867914103 2 105 SH YES None YES SUPER MICRO COMPUTER INC Common Stock 86800U104 344 25,474 SH PUT YES None YES SYMMETRY MEDICAL INC Common Stock 871546206 319 30,282 SH YES None YES SYNGENTA CHF0.10(REGD) ISIN #CH0011037469 SEDOL #4356646 Common Stock 87160A100 27 587 SH YES None YES SYNTROLEUM CORP Common Stock 871630109 1 396 SH YES None YES T J X COS INC Common Stock 872540109 3 65 SH YES None YES TARGET CORP Common Stock 87612E106 9 189 SH YES None YES TECH DATA CORP SR DB CV Common Stock 878237AE6 9 9,000 SH YES None YES TELLABS INC Common Stock 879664100 1 151 SH YES None YES TEVA PHARM FINL CO BV Common Stock 88165FAA0 8 7,000 SH YES None YES TEVA PHARMACEUTICAL INDS LTD ADR Common Stock 881624209 7 144 SH YES None YES TIME WARNER CABLE INC CL A Common Stock 88732J207 8 161 SH YES None YES TIME WARNER INC Common Stock 887317303 5 172 SH YES None YES TITANIUM METALS CORPCOM NEW Common Stock 888339207 35 2,000 SH YES None YES TOTAL SA Common Stock 89151E109 72 1,580 SH YES None YES TRANSOCEAN INC NEW F Common Stock H8817H100 5 100 SH YES None YES TRAVELERS COMPANIES INC Common Stock 89417E109 0 0 SH YES None YES TRUE RELIGION APPAREL Common Stock 89784N104 271 12,281 SH YES None YES TYCO ELECTRONICS LTDSHS Common Stock H8912P106 0 6 SH YES None YES TYCO INTL LTD Common Stock H89128104 0 6 SH YES None YES TYSON FOODS INC CL AFRMLY COM Common Stock 902494103 2 152 SH YES None YES ULTRASHORT REAL EST PS Common Stock 74347X583 15 520 SH YES None YES UMPQUA HOLDINGS CORP Common Stock 904214103 484 42,139 SH YES None YES UNION DRILLING INC COM Common Stock 90653P105 1 100 SH YES None YES UNITED AUTO GROUP INC 3.50000% 04/01/2026INTO PENSKE AUTO GROUP INC Convertible 909440AH2 4 4,000 SH YES None YES UNITED PARCEL SERVICE INC Common Stock 911312106 47 830 SH YES None YES UNITED STATES STL CORP Common Stock 912909108 0 10 SH YES None YES UNITED STS OIL FD LPUNITS Common Stock 91232N108 75 2,210 SH YES None YES UNITEDHEALTH GROUP Common Stock 91324P102 2 67 SH YES None YES VALEANT PHARMACEUTICALS Common Stock 91911X104 4 84 SH YES None YES VANGUARD BD INDEX FDINC SHORT TERM BD Common Stock 921937835 480 5,930 SH YES None YES VANGUARD INDEX TR VANGUARD TOTAL STK Common Stock 922908769 1,158 22,040 SH YES None YES VANGUARD INTL EQUITYINDEX FDS TOTAL WORLD STK INDEX FD Common Stock 922042742 646 16,640 SH YES None YES VANGUARD SPECIALIZED FDS VANGUARD REIT VIPERS Common Stock 922908553 1,929 41,491 SH YES None YES VANGUARD TOTAL BOND MARKET ETF Common Stock 921937835 1,045 12,840 SH YES None YES VERISIGN INC SDCV 3.250% 8/15/37 Convertible 92343EAD4 18 20,000 SH YES None YES VERIZON COMMUNICATIONS Common Stock 92343V104 86 3,053 SH YES None YES VERTEX PHARMACEUTICALS IN Common Stock 92532F100 3 80 SH YES None YES VISA INC Common Stock 92826C839 2 25 SH YES None YES WALGREEN COMPANY Common Stock 931422109 1 38 SH YES None YES WAL-MART STORES INC Common Stock 931142103 1 29 SH YES None YES WALT DISNEY CO Common Stock 254687106 9 275 SH YES None YES WALTER INDS INC Common Stock 93317Q105 51 840 SH YES None YES WALTER INVT MGMT CORP COM Common Stock 93317W102 1 63 SH YES None YES WATERS CP Common Stock 941848103 61 940 SH YES None YES WATSON PHARMACEUTICALS INC Common Stock 942683103 87 2,140 SH YES None YES WELLCARE HEALTH PLANS INC FORMERLY Common Stock 94946T106 70 2,930 SH YES None YES WELLS FARGO & CO Common Stock 949746101 45 1,774 SH YES None YES WHOLE FOODS MARKET INC Common Stock 966837106 1 36 SH YES None YES WILLAMETTE VALLEY VINEYARDS INC Common Stock 969136100 1 300 SH YES None YES WisdomTree Dreyfus Chinese Yuan FD Common Stock 97717W182 229 9,190 SH YES None YES WISDOMTREE TR BRAZILIAN REAL FD Common Stock 97717W240 252 9,525 SH YES None YES XL CAPITAL LTD CL A Common Stock G98255105 0 0 SH YES None YES YAHOO INC Common Stock 984332106 0 0 SH YES None YES ZIONS BANCORPORATION Common Stock 989701107 2 91 SH YES None YES ZIX CORP COM Common Stock 98974P100 740 327,416 SH YES None YES
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