-----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, GBT00Rs3NOiUZFJ069rpSRUkkn+/Hxu4ldebg4/glhUpP57J24dH753HGuSHXe7S tcYm/GQ+WJb9APuysgJa4w== 0000868911-10-000009.txt : 20101026 0000868911-10-000009.hdr.sgml : 20101026 20101026143224 ACCESSION NUMBER: 0000868911-10-000009 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101026 DATE AS OF CHANGE: 20101026 EFFECTIVENESS DATE: 20101026 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PRINCETON CAPITAL MANAGEMENT INC CENTRAL INDEX KEY: 0000868911 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-07092 FILM NUMBER: 101141797 BUSINESS ADDRESS: STREET 1: 47 HULFISH STREET, SUITE 500 CITY: PRINCETON STATE: NJ ZIP: 08542 BUSINESS PHONE: 6099246867 MAIL ADDRESS: STREET 1: 47 HULFISH STREET, SUITE 500 CITY: PRINCETON STATE: NJ ZIP: 08542 13F-HR 1 q310t1.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: 9/30/10 Check here if Amendment [ ]; Amendment Number: ____ This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Princeton Capital Management, Inc. Address: 47 Hulfish Street, Suite 500 Princeton, New Jersey 08540 Form 13F File Number: 28-7092 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: Ann W. Elmes Title: Chief Compliance Officer Phone: (609) 924-6867 Signature, Place, and Date of Signing: Ann W. Elmes Princeton, New Jersey 10/26/10 [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 managers(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 managers(s).) Form 13F SUMMARY PAGE Report Summary: Number of Other Included Manager: Form 13F Information Table Entry Total: 146 Form 13F Information Table Value Total: $ 162,817 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE PRINCETON CAPITAL MANAGEMENT FORM 13F 13F 30-Sep-10 Voting Authority Title ------------------------ of Value Shares/ Sh/ PutInvstmt Other Name of Issuer Class CUSIP (x$1000) Prn Amt Prn CalDscretn Mgrs Sole Shared None - ------------------------------ ---------------- -------- -------- --- ---------- -------------- -------- -------- 3M Company COM 88579y101 701 8086SH Sole 1000 7086 ATT - New COM 00206r102 3915 136899SH Sole 12885 10292 113722 AXT, Inc. COM 00246w103 4176 630800SH Sole 5100 625700 Abbott Laboratories COM 002824100 2428 46485SH Sole 5638 6180 34667 Activision COM 00507V109 1364 126020SH Sole 125670 Adobe Systems COM 00724F101 728 27849SH Sole 27699 Aixtron ADR COM 009606104 298 10000SH Sole 10000 Amazon.com COM 023135106 745 4744SH Sole 4744 Ametek COM 031100100 1614 33780SH Sole 33655 Analogic Corporation COM 032657207 780 17375SH Sole 17375 Apple Inc. COM 037833100 1946 6859SH Sole 491 1357 5011 Archer Daniels Midland COM 039483102 1803 56476SH Sole 5577 11500 39399 Aruba Networks Inc COM 043176106 1062 49750SH Sole 49750 Astro-Med COM 04638f108 474 68567SH Sole 700 67867 BP PLC COM 055622104 1205 29265SH Sole 19474 2500 7291 BankAmerica COM 060505104 461 35209SH Sole 9878 5356 19975 Bio Rad Labs COM 090572207 505 5575SH Sole 5575 BioLase Technology COM 090911108 644 550450SH Sole 7000 543450 Boeing COM 097023105 4178 62783SH Sole 1700 4780 56203 Bristol-Myers Squibb COM 110122108 298 11000SH Sole 4000 2000 5000 Buckeye Partners COM 118230101 384 6050SH Sole 6050 Bunge Limited COM G16962105 201 3400SH Sole 3400 CACI International, Inc. COM 127190304 711 15710SH Sole 15685 CVS Corporation COM 126650100 1702 54076SH Sole 5000 48951 Cardinal Health COM 14149Y108 330 10000SH Sole 10000 Caterpillar COM 149123101 527 6700SH Sole 500 6200 Cavico Corporation COM 14964V205 33 12011SH Sole 12011 Cavium Networks COM 14965a101 1462 50825SH Sole 50575 Celgene Corp. COM 151020104 377 6549SH Sole 600 5949 Chevron COM 166764100 3302 40743SH Sole 2294 3290 35159 Chubb COM 171232101 1767 31005SH Sole 1910 4970 24125 Citigroup COM 172967101 79 20300SH Sole 20300 Coca Cola COM 191216100 1259 21517SH Sole 2995 3500 15022 Companhia Energetica COM 204409601 197 12000SH Sole 12000 Conocophillips COM 20825C104 1568 27298SH Sole 1840 6000 19458 Corn Products International COM 219023108 352 9375SH Sole 9375 Cree COM 225447101 2295 42273SH Sole 42273 Cubist Pharmaceuticals COM 229678107 351 15010SH Sole 2900 3260 8850 Curon Medical PIPE (Rev Spl) COM 231292913 0 23076SH Sole 23076 Cytori Therapeutics COM 23283k105 1274 260550SH Sole 600 259950 DRI Corp COM 23330F109 39 24999SH Sole 24999 Daktronics COM 234264109 663 67500SH Sole 67300 Dominion Resources COM 25746U109 612 14025SH Sole 1100 12925 Duke Energy - New COM 26441c105 3423 193254SH Sole 8785 12192 171927 Dyadic International COM 26745T101 87 60700SH Sole 60700 Eastman Chemical COM 277432100 1690 22835SH Sole 1775 4900 16160 Eastman Kodak COM 277461109 938 223333SH Sole 7400 27200 188733 Ecolab COM 278865100 766 15100SH Sole 1500 3100 10500 El Paso COM 28336L109 154 12400SH Sole 4000 8400 Emerson Electric COM 291011104 500 9500SH Sole 3200 6300 Eurand N.V. COM N31010106 98 10000SH Sole 10000 Express Scripts COM 302182100 1850 37989SH Sole 37864 Exxon Mobil COM 30231G102 3874 62691SH Sole 3400 8791 50500 FEI Company COM 30241L109 1351 69050SH Sole 68850 FMC Corp COM 302491303 592 8650SH Sole 8650 Ford Motor COM 345370860 135 11000SH Sole 11000 Freeport McMoran Copper & Gold COM 35671d857 1178 13800SH Sole 342 2878 10580 General Dynamics COM 369550108 710 11300SH Sole 2550 8750 General Electric COM 369604103 5310 326762SH Sole 71000 16800 238662 General Mills COM 370334104 587 16070SH Sole 2000 1000 13070 Google COM 38259p508 206 392SH Sole 392 HCP Inc COM 40414l109 477 13250SH Sole 700 2000 10550 Hansen Medical COM 411307101 87 60300SH Sole 200 60100 Harris Corp COM 413875105 1524 34410SH Sole 2484 6350 25576 Henry Schein COM 806407102 1259 21498SH Sole 21398 Hewlett-Packard COM 428236103 1180 28041SH Sole 2500 7879 17662 Honeywell Intl COM 438516106 562 12800SH Sole 1000 1200 10600 IBM Corp COM 459200101 1789 13335SH Sole 530 1900 10905 IMAX COM 45245E109 178 10550SH Sole 10550 IPG Photonics COM 44980X109 881 36475SH Sole 36475 ISIS Pharmaceuticals COM 464330109 725 86350SH Sole 86350 ITC Holdings COM 465685105 322 5175SH Sole 475 2000 2700 Incyte Corporation COM 45337c102 262 16400SH Sole 16400 J.P.Morgan Chase COM 46625h100 856 22478SH Sole 9930 2924 9624 JDS Uniphase COM 46612J507 178 14375SH Sole 14375 John Wiley Cl A COM 968223206 2312 56579SH Sole 56429 Johnson & Johnson COM 478160104 2510 40505SH Sole 11066 150 29289 Kinetic Concepts COM 49460w208 288 7875SH Sole 7875 L-1 Identity Solutions COM 50212a106 1062 90550SH Sole 90550 Ladish COM 505754200 2346 75350SH Sole 75050 Life Technologies COM 53217v109 1321 28300SH Sole 28200 MAKO Surgical COM 560879108 138 14425SH Sole 14425 Maritime Industrial ORD F COM P64462115 71 35000SH Sole 35000 Martek COM 572901106 3520 155540SH Sole 1500 3250 150565 McGraw Hill COM 580645109 1339 40495SH Sole 3110 8150 29235 Mckesson HBOC COM 58155Q103 1388 22465SH Sole 1660 1950 18855 Medco COM 58405U102 593 11385SH Sole 750 4200 6435 Medtronic COM 585055106 299 8900SH Sole 1400 725 6775 Merck-New COM 58933y105 1648 44764SH Sole 11248 2568 30948 Microsoft COM 594918104 3245 132491SH Sole 2730 6850 122686 Microvision COM 594960106 1053 480650SH Sole 1100 479550 Monsanto COM 61166w101 1138 23752SH Sole 23677 Morphosys COM D55040105 412 18275SH Sole 18275 Motorola COM 620076109 417 48875SH Sole 48800 NetLogic COM 64118b100 1422 51560SH Sole 51360 Newport Corporation COM 651824104 170 15000SH Sole 15000 Norfolk Southern COM 655844108 1078 18113SH Sole 5933 2800 9380 Novartis, ADR COM 66987V109 1948 33781SH Sole 400 33256 Novozymes, ADR COM 670108109 1830 14365SH Sole 14315 Nuance Communications - New COM 67020y100 941 60196SH Sole 60196 Osiris COM 68827r108 136 18675SH Sole 18675 PNC Bank COM 693475105 711 13694SH Sole 4567 1000 8127 Peabody Energy COM 704549104 837 17075SH Sole 1950 2500 12625 Pengrowth Energy Trust COM 706902509 137 12400SH Sole 2500 9900 Pepco Holdings COM 713291102 376 20200SH Sole 20200 Pepsico COM 713448108 2323 34959SH Sole 500 34359 Philip Morris Int'l COM 718172109 471 8410SH Sole 2528 150 5732 Philips NV, ADR COM 500472303 496 15825SH Sole 15825 Pitney Bowes COM 724479100 385 18010SH Sole 2400 15610 Pozen COM 73941u102 258 36500SH Sole 8000 12000 16500 Praxair COM 74005P104 532 5898SH Sole 200 5698 Procter & Gamble COM 742718109 978 16311SH Sole 16311 Progress Energy COM 144141108 249 5600SH Sole 1000 100 4500 RF Micro Devices COM 749941100 1004 163575SH Sole 163575 Rovi Corp COM 779376102 2995 59415SH Sole 59265 S&P 500 Depositary Receipt COM 78462F103 699 6124SH Sole 6124 S&P Midcap 400 Depository Rece COM 78467Y107 243 1666SH Sole 1666 SCANA COM 80589M102 451 11175SH Sole 11175 Sanofi-Aventis, ADR COM 80105n105 475 14275SH Sole 14275 Sara Lee COM 803111103 1843 137248SH Sole 136848 Schlumberger COM 806857108 301 4892SH Sole 633 1076 3183 Seattle Genetics COM 812578102 194 12475SH Sole 2000 1500 8975 Silicon Image COM 82705t102 956 199925SH Sole 199925 SonoSite COM 83568G104 283 8450SH Sole 8450 Southern Company COM 842587107 786 21107SH Sole 4600 2000 14507 Spectra Energy Corp COM 847560109 1250 55437SH Sole 6004 8815 40618 Stryker Corp COM 863667101 902 18016SH Sole 800 3700 13516 Susquehanna Bancshares COM 869099101 295 35000SH Sole 35000 Texas Instruments COM 882508104 949 34972SH Sole 3360 4950 26662 TriQuint Semiconductor COM 89674k103 738 76825SH Sole 76825 Union Pacific COM 907818108 4231 51719SH Sole 7420 5800 38499 United Parcel Service COM 911312106 3464 51945SH Sole 250 2735 48835 United Technologies COM 913017109 682 9577SH Sole 1866 7711 Universal Display COM 91347P105 3295 140230SH Sole 1800 138430 Veeco Instruments COM 922417100 307 8800SH Sole 8800 Verizon Communications COM 92343v104 4860 149135SH Sole 5844 10420 132721 Vical COM 925602104 412 184800SH Sole 14000 15000 155800 Vodafone Group, ADR COM 92857W209 688 27750SH Sole 27725 Voxware COM 92906l105 21 25098SH Sole 25098 WAWA, Inc COM 827 360SH Sole 10 350 Websense COM 947684106 2050 115550SH Sole 115300 Wells Fargo COM 949746101 511 20350SH Sole 4300 7700 8350 Williams Companies COM 969457100 721 37750SH Sole 3425 5600 28725 Zoran COM 98975f101 290 37900SH Sole 37900 duPont COM 263534109 2727 61109SH Sole 8890 1300 50769 McMoran Exploration Pfd PFD CV 582411500 453 3825SH Sole 125 1500 2200 REPORT SUMMARY 146 DATA RECORDS 162817 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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