-----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, ONwHylejqMcAfy5UDRiw5VVpiJz+wDKrSKnHXYTl/GlSDQrGn/4SOiKT3rCyJ/Mo QuxtqGde4NWh3QXFgrPT9Q== 0001344717-10-000008.txt : 20101112 0001344717-10-000008.hdr.sgml : 20101111 20101112092238 ACCESSION NUMBER: 0001344717-10-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101112 DATE AS OF CHANGE: 20101112 EFFECTIVENESS DATE: 20101112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Estabrook Capital Management CENTRAL INDEX KEY: 0001344717 IRS NUMBER: 200232649 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11540 FILM NUMBER: 101183185 BUSINESS ADDRESS: STREET 1: 875 THIRD AVENUE 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-605-5570 MAIL ADDRESS: STREET 1: 875 THIRD AVENUE 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: Grove Creek Asset Management DATE OF NAME CHANGE: 20051117 13F-HR 1 sec13fq32010.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: September 30, 2010 Check here if Amendment [ ]; Amendment Number: This Amendment(Check only one.): [ ] is a restatement. [ ] adds a new holdings entries. Institutional Investment Manager Filing this Report: Name: Estabrook Capital Management Address: 875 Third Avenue, 15th Floor New York, NY 10022 Form 13F File Number: 28-11540 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: Dave Foley Title: Vice President Phone: 212-605-5570 Signature, Place, and Date of Signing Dave Foley New York, NY November 11, 2010 Report Type (Check only one.): [X] 13F HOLDINGS REPORT [ ] 13F NOTICE [ ] 13F COMBINATION REPORT FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 241 Form 13F Information Table Value Total: $1,657.9 (thousands) List of Other Included Managers: NONE FORM 13F INFORMATION TABLE ESTABROOK CAPITAL MANAGEMENT LLC DISCRETIONARY OWNERSHIP FOR 13F AS OF DATE: 09/30/10 (ITEM 1) (ITEM 2) (ITEM 3) (ITEM 4) (ITEM 5) (ITEM 6) (ITEM 7) (ITEM 8) INVESTMENT VOTING AUTHORITY DISCRETION (SHARES) ----------------- --------------------------------------- NAME TITLE FAIR SHARES OR SHARED OF OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER SOLE SHARED NONE ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) MGR (A) (B) (C) - ---------------------- ------ ---------- -------------- ------------ ----- ----- ----- -- ------------ ------------ ------------ 3M COMPANY COM COMMON 88579Y101 5,666,672 65,352 X 55,740 0 9,612 A T & T INC (NEW) COMMON 00206R102 20,834,542 728,480 X X X 474,284 1,818 252,379 ABBOTT LABS COMMON 002824100 2,737,219 52,397 X X 33,627 0 18,770 ACE LTD SHS COMMON H0023R105 450,564 7,735 X 7,135 0 600 ADVANT-E CORP COM COMMON 00761J107 3,600 20,000 X 0 0 20,000 AEGEAN MARINE PETROLE COMMON Y0017S102 1,592,947 95,730 X 77,105 0 18,625 AFLAC INC COMMON 001055102 4,839,332 93,586 X X 86,456 1,000 6,130 AIR PRODS & CHEMS INC COMMON 009158106 482,427 5,825 X 1,325 0 4,500 ALLEGHENY TECHNOLOGIE COMMON 01741R102 16,468,662 354,546 X X X 203,517 88 150,941 ALLSTATE CORP COMMON 020002101 3,580,925 113,500 X X X 94,661 250 18,589 ALTRIA GROUP INC COM COMMON 02209S103 631,318 26,283 X 5,633 0 20,650 AMCAP FD INC COM MUTUAL 023375108 179,222 10,586 X 10,586 0 0 AMERICA MOVIL S A DE COMMON 02364W105 559,965 10,500 X 0 0 10,500 AMERICAN EXPRESS COMP COMMON 025816109 6,460,431 153,710 X 115,520 0 38,190 AMERICAN GREEN GROUP COMMON 02639T200 0 1,000,000 X 1,000,000 0 0 AMERICAN INTL CORP PF PREFERR 026874800 221,400 10,000 X 10,000 0 0 AMGEN INC COMMON 031162100 469,537 8,520 X X 3,670 150 4,700 ANALOG DEVICES INC COMMON 032654105 627,600 20,000 X 20,000 0 0 ANTRIM ENERGY INC COMMON 037243102 17,518 19,250 X 19,250 0 0 APACHE CORP COMMON 037411105 3,000,254 30,690 X X 29,464 100 1,126 APCO OIL AND GAS INTE COMMON G0471F109 4,365,082 126,122 X 110,822 0 15,300 APPLE COMPUTER INC COMMON 037833100 2,341,505 8,252 X X 7,431 100 721 BABCOCK & WILCOX CO N COMMON 05615F102 10,262,461 482,259 X X 288,903 134 193,222 BAKER HUGHES INC COMMON 057224107 2,751,577 64,591 X 59,325 0 5,266 BALDOR ELEC CO COM COMMON 057741100 218,160 5,400 X 5,400 0 0 BALTIC TRADING LTD COMMON Y0553W103 1,437,631 130,575 X 101,425 0 29,150 BANCO LATINOAMER EXPO COMMON P16994132 178,313 12,340 X 12,340 0 0 BANK OF AMERICA COMMON 060505104 37,922,430 2,894,290 X X X 1,783,340 5,419 1,105,530 BANK OF NEW YORK MELL COMMON 064058100 3,540,484 135,495 X X 92,693 0 42,802 BARCLAYS BANK PLC 6.6 PREFERR 06739F390 244,200 10,000 X 10,000 0 0 BCE INC COM NEW COMMON 05534B760 5,252,325 161,610 X X 90,700 1,320 69,590 BECTON DICKINSON & CO COMMON 075887109 19,289,638 260,319 X X 163,267 310 96,742 BERKSHIRE HATHAWAY IN COMMON 084670108 622,500 5 X 2 0 3 BERKSHIRE HATHAWAY IN COMMON 084670702 10,209,326 123,480 X 76,247 0 47,233 BHP BILLITON LTD SPON COMMON 088606108 2,634,643 34,521 X 10,331 0 24,190 BIOGEN IDEC INC COMMON 09062X103 1,150,460 20,500 X 20,000 0 500 BLACKROCK INC CL A COMMON 09247X101 250,268 1,470 X 0 0 1,470 BORG WARNER AUTOMOTIV COMMON 099724106 1,323,709 25,156 X 17,521 0 7,635 BP AMOCO ADS COMMON 055622104 337,553 8,199 X 8,199 0 0 BRISTOL MYERS SQUIBB COMMON 110122108 1,152,609 42,516 X 35,400 0 7,116 BROWN FORMAN CORP CL COMMON 115637209 265,052 4,300 X 4,300 0 0 BUNGE LIMITED COM COMMON G16962105 3,610,594 61,031 X 32,021 0 29,010 CANADIAN NATL RY CO COMMON 136375102 4,287,419 66,970 X X 56,140 1,360 9,470 CANADIAN PAC RY LTD C COMMON 13645T100 18,797,271 308,506 X X X 215,869 1,360 91,277 CARDINAL HEALTH INC. COMMON 14149Y108 1,782,178 53,940 X 40,487 0 13,453
ESTABROOK CAPITAL MANAGEMENT LLC DISCRETIONARY OWNERSHIP FOR 13F AS OF DATE: 09/30/10 (ITEM 1) (ITEM 2) (ITEM 3) (ITEM 4) (ITEM 5) (ITEM 6) (ITEM 7) (ITEM 8) INVESTMENT VOTING AUTHORITY DISCRETION (SHARES) ----------------- --------------------------------------- NAME TITLE FAIR SHARES OR SHARED OF OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER SOLE SHARED NONE ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) MGR (A) (B) (C) - ---------------------- ------ ---------- -------------- ------------ ----- ----- ----- -- ------------ ------------ ------------ CATERPILLAR TRACTOR COMMON 149123101 43,722,948 555,706 X X 328,831 2,355 224,520 CENOVUS ENERGY INC CO COMMON 15135U109 9,311,008 323,636 X X X 241,404 1,193 81,039 CENTERLINE HOLDINGS C COMMON 15188T108 1,100 10,000 X 10,000 0 0 CHESAPEAKE ENERGY COR COMMON 165167107 475,197 20,980 X 20,000 0 980 CHEVRON CORPORATION COMMON 166764100 16,780,282 207,036 X X X 127,683 790 78,563 CHUBB CORP COMMON 171232101 5,606,334 98,374 X X 76,036 370 21,968 CISCO SYS INC COMMON 17275R102 34,133,690 1,558,616 X X X 942,888 4,032 611,696 CITIGROUP INC. COMMON 172967101 13,053,460 3,338,481 X X X 1,775,760 6,041 1,556,680 CITIZENS REPUBLIC BAN COMMON 174420109 18,022 20,000 X 0 0 20,000 CLIFFS NATURAL RESOUR COMMON 18683K101 4,182,413 65,432 X 52,106 0 13,326 CNOOC LTD SPONSORED A COMMON 126132109 480,893 2,475 X 2,475 0 0 COACH INC COM COMMON 189754104 270,648 6,300 X 400 0 5,900 COCA COLA CO COMMON 191216100 1,925,235 32,899 X 13,464 0 19,435 COGNIZANT TECHNLGY SL COMMON 192446102 257,880 4,000 X 0 0 4,000 COLGATE PALMOLIVE CO COMMON 194162103 297,833 3,875 X 2,025 0 1,850 COLUMBIA LABS INC COMMON 197779101 25,920 24,000 X 24,000 0 0 COMCAST CORP NEW COM COMMON 20030N101 311,247 17,215 X 3,734 0 13,481 CONOCOPHILLIPS COMMON 20825C104 42,105,580 733,164 X X X 462,513 402 270,248 CONSOL ENERGY INC COM COMMON 20854P109 24,587,418 665,244 X X 401,467 186 263,591 CORNING INC COMMON 219350105 22,991,688 1,257,751 X X X 795,396 351 462,004 CORRECTIONS CORP AMER COMMON 22025Y407 308,500 12,500 X 0 0 12,500 COSTCO WHOLESALE CORP COMMON 22160K105 24,689,674 382,845 X X X 250,568 244 132,033 COVIDIEN PLC ORDINARY COMMON G2554F105 5,326,783 132,540 X X 115,575 200 16,765 CSX CORP COMMON 126408103 225,429 4,075 X 4,075 0 0 CUMMINS INC COMMON 231021106 228,262 2,520 X 2,520 0 0 CVS CORPORATION COMMON 126650100 311,049 9,884 X 8,484 0 1,400 DEERE & CO. COMMON 244199105 522,164 7,483 X 6,083 0 1,400 DENTSPLY INTL INC NEW COMMON 249030107 219,474 6,865 X 3,965 0 2,900 DEUTSCHE BK 6.55% PFD PREFERR 25153X208 540,320 22,000 X 18,500 0 3,500 DEVON ENERGY CORP NEW COMMON 25179M103 1,378,056 21,286 X 18,586 0 2,700 DIONEX CORP COM COMMON 254546104 864,400 10,000 X 10,000 0 0 DOMINION RES INC VA N COMMON 25746U109 1,799,185 41,209 X 33,003 0 8,206 DOVER CORP COMMON 260003108 20,214,563 387,178 X X X 259,691 139 127,348 DU PONT E I DE NEMOUR COMMON 263534109 40,136,092 899,509 X X X 594,087 1,709 303,713 DUKE ENERGY CORP COMMON 26441C105 11,279,712 636,912 X 404,764 0 232,148 E M C CORP MASS COMMON 268648102 11,506,752 566,556 X X 444,175 0 122,381 EATON CORP COMMON 278058102 34,717,143 420,865 X X X 249,824 721 170,320 EBAY INC COMMON 278642103 1,357,860 55,650 X 48,000 0 7,650 EMERSON ELEC CO COMMON 291011104 49,200,975 934,314 X X X 601,135 3,663 329,516 ENCANA CORP COM COMMON 292505104 19,072,504 630,913 X X X 427,818 1,849 201,246 ENI S P A ADR SPONSOR COMMON 26874R108 259,080 6,000 X 6,000 0 0 EOG RESOURCES INC. COMMON 26875P101 1,789,301 19,246 X 14,060 0 5,186 EQT CORP COM COMMON 26884L109 901,933 25,012 X 19,305 0 5,707 EXELON CORP COMMON 30161N101 15,392,343 361,492 X X X 209,231 990 151,271 EXXON MOBIL CORPORATI COMMON 30231G102 16,939,948 274,154 X X X 175,063 240 98,851
ESTABROOK CAPITAL MANAGEMENT LLC DISCRETIONARY OWNERSHIP FOR 13F AS OF DATE: 09/30/10 (ITEM 1) (ITEM 2) (ITEM 3) (ITEM 4) (ITEM 5) (ITEM 6) (ITEM 7) (ITEM 8) INVESTMENT VOTING AUTHORITY DISCRETION (SHARES) ----------------- --------------------------------------- NAME TITLE FAIR SHARES OR SHARED OF OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER SOLE SHARED NONE ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) MGR (A) (B) (C) - ---------------------- ------ ---------- -------------- ------------ ----- ----- ----- -- ------------ ------------ ------------ FACTSET RESH SYS INC COMMON 303075105 2,381,977 29,360 X 20,560 0 8,800 FEDERAL HOME LN MTG C PREFERR 313400624 4,300 10,000 X 9,000 0 1,000 FEDEX CORP COMMON 31428X106 4,357,935 50,970 X X 33,380 450 17,140 FIRST CMNTY BK CORP A COMMON 31985E202 18,965 10,335 X 10,335 0 0 FORD MTR CO DEL PAR $ COMMON 345370860 214,200 17,500 X 0 0 17,500 FREEPORT MCMORAN COPP COMMON 35671D857 11,748,469 137,586 X X X 84,876 500 52,210 FRONTIER COMMUNICATIO COMMON 35906A108 222,715 27,260 X X 22,457 0 4,803 FRONTIER OIL CORP COM COMMON 35914P105 10,341,222 771,733 X X 428,796 1,873 341,064 GENERAL ELECTRIC COMP COMMON 369604103 41,007,004 2,523,508 X X X 1,572,499 6,368 944,641 GENERAL MILLS INC COMMON 370334104 4,785,059 130,954 X X 87,650 2,504 40,800 GENL ELEC CAP CORPPFD PREFERR 369622527 1,051,462 40,550 X 40,000 0 550 GILEAD SCIENCES INC C COMMON 375558103 1,287,658 36,160 X 36,160 0 0 GLAXO PLC COMMON 37733W105 12,647,190 320,020 X X 169,809 141 150,070 GOLDCORP INC NEW COM COMMON 380956409 5,879,857 135,107 X 83,494 0 51,613 GOLDMAN SACHS GROUP I COMMON 38141G104 2,452,077 16,960 X X 6,360 250 10,350 GOLDMAN SACHS PFD 6.0 PREFERR 73941X577 754,880 32,000 X 32,000 0 0 GOOGLE INC CL A COMMON 38259P508 263,421 501 X 151 0 350 GRAINGER W W INC COMMON 384802104 264,424 2,220 X 2,220 0 0 GREAT NORTHN IRON ORE COMMON 391064102 213,750 1,800 X 0 0 1,800 GREATER CHINA FD INC MUTUAL 39167B102 330,401 25,853 X 0 0 25,853 GROWTH FD AMER INC COMMON 399874106 245,745 8,830 X 8,830 0 0 GULFMARK OFFSHORE INC COMMON 402629208 36,285,235 1,181,160 X X X 811,594 921 368,645 HALLIBURTON CO COMMON 406216101 1,495,525 45,223 X 26,447 0 18,776 HARD TO TREAT DISEASE COMMON 41164A103 60 100,000 X 100,000 0 0 HEWLETT PACKARD CO. COMMON 428236103 14,582,850 346,633 X X X 224,314 1,428 120,891 HOME DEPOT INC COMMON 437076102 2,045,356 64,563 X X 59,680 900 3,983 HONEYWELL INTERNATION COMMON 438516106 38,516,632 876,573 X X X 558,464 2,074 316,035 HSBC FINANCE CORP PER PREFERR 40429C607 997,080 42,000 X 40,000 0 2,000 HSBC HOLDINGS PLC PFD PREFERR 404280802 674,500 25,000 X 25,000 0 0 HUDSON CITY BANCORP I COMMON 443683107 270,333 22,050 X 22,050 0 0 HUMANA INC COMMON 444859102 787,713 15,679 X 13,982 0 1,697 ILLINOIS TOOL WORKS I COMMON 452308109 248,501 5,285 X X 3,095 900 1,290 IMPERIAL TOBACCO GROU COMMON 453142101 239,143 4,000 X 0 0 4,000 INGERSOLL-RAND PLC COMMON G47791101 759,016 21,255 X 15,146 0 6,109 INTEL CORPORATION COMMON 458140100 8,291,885 431,869 X X X 364,708 1,350 65,811 INTERNATIONAL BUSINES COMMON 459200101 49,193,729 366,734 X X X 244,809 205 121,720 ITAU UNIBANCO BANCO B COMMON 465562106 343,042 14,187 X 3,025 0 11,162 J.P. MORGAN CHASE & C COMMON 46625H100 35,108,028 922,439 X X X 593,703 3,083 325,653 JDS UNIPHASE CORP COMMON 46612J507 185,862 15,001 X 1 0 15,000 JOHNSON & JOHNSON COMMON 478160104 39,453,154 636,752 X X X 384,855 2,533 249,364 JPM CHASE CAPITAL XXV PREFERR 48124Y204 2,026,420 75,500 X 69,050 0 6,450 KAYDON CORP COMMON 486587108 390,980 11,300 X 7,300 0 4,000 KOHLS CORP COMMON 500255104 201,448 3,824 X 984 0 2,840 LA CORTEZ ENERGY INC COMMON 50255M108 40,000 25,000 X 25,000 0 0 LEGACY RESERVES LP UN COMMON 524707304 902,556 36,600 X 34,450 0 2,150
ESTABROOK CAPITAL MANAGEMENT LLC DISCRETIONARY OWNERSHIP FOR 13F AS OF DATE: 09/30/10 (ITEM 1) (ITEM 2) (ITEM 3) (ITEM 4) (ITEM 5) (ITEM 6) (ITEM 7) (ITEM 8) INVESTMENT VOTING AUTHORITY DISCRETION (SHARES) ----------------- --------------------------------------- NAME TITLE FAIR SHARES OR SHARED OF OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER SOLE SHARED NONE ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) MGR (A) (B) (C) - ---------------------- ------ ---------- -------------- ------------ ----- ----- ----- -- ------------ ------------ ------------ LEGG MASON PARTNERS I MUTUAL 52469L785 191,452 13,833 X 0 0 13,833 LILLY ELI & CO COMMON 532457108 1,471,794 40,290 X 31,000 0 9,290 M & T BK CORP COMMON 55261F104 957,177 11,700 X 11,700 0 0 MACYS INC COM COMMON 55616P104 854,375 37,018 X 29,432 0 7,586 MARATHON OIL CORP COM COMMON 565849106 7,913,085 239,066 X 142,701 0 96,365 MCDERMOTT INTERNATION COMMON 580037109 13,702,996 927,131 X X 553,593 994 372,544 MCDONALDS CORP COMMON 580135101 322,405 4,327 X 1,427 0 2,900 MEDCO HEALTH SOLUTION COMMON 58405U102 345,678 6,640 X 5,724 0 916 MERCK & COMPANY COMMON 58933Y105 3,303,513 89,745 X X X 68,201 225 21,319 MERRILL LYNCH CAP TRU PREFERR 59024T203 481,000 20,000 X 20,000 0 0 MESABI TR CTF BEN INT COMMON 590672101 344,850 9,500 X 8,000 0 1,500 MICROSOFT CORPORATION COMMON 594918104 24,529,845 1,001,627 X X X 671,921 1,652 328,054 MONSANTO CO COMMON 61166W101 1,607,860 33,546 X X 27,626 0 5,920 MORGAN STANLEY COMMON 617446448 16,438,385 666,061 X X X 390,725 332 275,004 MORGAN STANLEY 6.45% PREFERR 61753R200 817,410 33,000 X 32,000 0 1,000 NATIONAL CITY CAP TR PREFERR 63540X201 249,900 10,000 X 10,000 0 0 NATIONAL FUEL GAS CO COMMON 636180101 26,049,964 502,798 X X 295,210 1,471 206,117 NATIONAL-OILWELL INC COMMON 637071101 23,457,914 527,500 X X X 353,657 667 173,175 NESTLE ADR COMMON 641069406 4,367,261 81,738 X 57,997 0 23,741 NEW PERSPECTIVE FUND MUTUAL 648018109 300,397 11,319 X X 9,460 0 1,858 NEWMONT MNG CORP COMMON 651639106 2,369,193 37,720 X 27,910 0 9,810 NEXEN INC COM COMMON 65334H102 603,000 30,000 X 30,000 0 0 NEXTERA ENERGY INC CO COMMON 65339F101 20,385,318 374,799 X X X 238,248 119 136,432 NOKIA CORP COMMON 654902204 9,998,586 996,868 X X X 719,791 1,700 275,377 NORDSTROM INC COMMON 655664100 737,267 19,819 X X 7,670 1,816 10,333 NORFOLK SOUTHN CORP COMMON 655844108 36,784,738 618,127 X X X 378,321 2,124 237,682 NORTHERN TR CORP COMMON 665859104 8,613,011 178,545 X X X 112,575 760 65,210 NORTHROP GRUMMAN CORP COMMON 666807102 968,261 15,970 X 15,824 0 146 NOVELL INC COMMON 670006105 168,354 28,200 X 28,200 0 0 NUCOR CORP COMMON 670346105 281,496 7,369 X 1,369 0 6,000 NVIDIA CORP COM COMMON 67066G104 192,169 16,450 X 0 0 16,450 OCEANEERING INTL INC COMMON 675232102 320,521 5,951 X 4,251 0 1,700 OMNICOM GROUP COMMON 681919106 305,299 7,733 X 7,733 0 0 OPPENHEIMER LIMITED T MUTUAL 771740107 226,065 67,888 X 0 0 67,888 ORACLE SYS CORP COMMON 68389X105 488,885 18,208 X 4,898 0 13,310 OVERSEAS SHIPHOLDING COMMON 690368105 647,618 18,870 X 9,520 0 9,350 PATRIOT TRANSN HLDG I COMMON 70337B102 5,592,236 79,741 X 69,991 0 9,750 PAYCHEX INC COMMON 704326107 313,386 11,400 X X 2,000 1,000 8,400 PEOPLES UNITED FINANC COMMON 712704105 2,989,741 228,399 X 217,747 0 10,652 PEPSICO INC COMMON 713448108 2,011,471 30,275 X X X 20,028 500 9,747 PETROBRAS BRASILEIRO COMMON 71654V101 39,125,297 1,192,118 X X X 683,660 2,788 505,670 PETROBRAS BRASILEIRO COMMON 71654V408 596,496 16,446 X 12,446 0 4,000 PFIZER INC COMMON 717081103 11,738,459 683,661 X X X 383,613 2,238 297,810 PHILIP MORRIS INTL IN COMMON 718172109 1,519,823 27,130 X 3,500 0 23,630 PNC FINANCIAL GROUP COMMON 693475105 14,705,396 283,286 X X 175,898 0 107,388
ESTABROOK CAPITAL MANAGEMENT LLC DISCRETIONARY OWNERSHIP FOR 13F AS OF DATE: 09/30/10 (ITEM 1) (ITEM 2) (ITEM 3) (ITEM 4) (ITEM 5) (ITEM 6) (ITEM 7) (ITEM 8) INVESTMENT VOTING AUTHORITY DISCRETION (SHARES) ----------------- --------------------------------------- NAME TITLE FAIR SHARES OR SHARED OF OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER SOLE SHARED NONE ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) MGR (A) (B) (C) - ---------------------- ------ ---------- -------------- ------------ ----- ----- ----- -- ------------ ------------ ------------ POTASH CORP SASK INC COMMON 73755L107 7,759,579 53,871 X X X 34,916 171 18,784 PPG INDS INC COMMON 693506107 653,089 8,971 X 7,386 0 1,585 PRAXAIR INC COMMON 74005P104 37,406,274 414,428 X X X 239,602 1,724 173,102 PROCTER & GAMBLE CO COMMON 742718109 14,938,167 249,094 X X X 171,124 780 77,190 PROGRESS ENERGY COMMON 743263105 208,774 4,700 X 2,300 0 2,400 PUBLIC STORAGE INC COMMON 74460D109 209,121 2,155 X 2,155 0 0 QEP RES INC COM COMMON 74733V100 16,219,901 538,152 X X X 319,125 1,812 217,215 QUALCOMM INC COMMON 747525103 644,537 14,281 X X 4,510 200 9,571 QUESTAR CORP COMMON 748356102 21,802,675 1,243,735 X X X 738,602 2,092 503,041 RANGE RES CORP COM COMMON 75281A109 18,986,033 497,929 X X 306,073 1,102 190,754 RAYTHEON CO NEW COM COMMON 755111507 384,741 8,417 X 7,948 0 469 REGIONS FINANCIAL COR COMMON 7591EP100 81,533 11,215 X 6,746 0 4,469 RELM WIRELESS CORP CO COMMON 759525108 30,751 14,727 X 14,727 0 0 RENAISSANCERE HLDGS L COMMON G7496G103 2,554,896 42,610 X 39,909 0 2,701 ROCHE HLDG LTD SPONSO COMMON 771195104 359,419 10,466 X 10,000 0 466 ROYAL DUTCH SHELL PLC COMMON 780259107 231,045 3,930 X 3,930 0 0 ROYAL DUTCH SHELL PLC COMMON 780259206 1,281,074 21,245 X 13,304 0 7,941 SAN JUAN BASIN RTY TR COMMON 798241105 439,838 17,800 X 13,600 0 4,200 SANOFI-AVENTIS ADR COMMON 80105N105 1,474,239 44,338 X 28,187 0 16,151 SCHLUMBERGER COMMON 806857108 22,802,046 370,103 X X 236,566 1,059 132,478 SONOCO PRODUCTS COMMON 835495102 3,556,478 106,354 X 96,108 0 10,246 SPECTRA ENERGY CORP C COMMON 847560109 26,007,095 1,153,308 X X 724,507 5,042 423,759 ST JUDE MED INC COMMON 790849103 215,072 5,467 X 5,467 0 0 STANLEY BLACK AND DEC COMMON 854502101 339,675 5,543 X 900 0 4,643 STAPLES INC COMMON 855030102 314,218 15,020 X 5,520 0 9,500 STRYKER CORP COMMON 863667101 2,677,675 53,500 X X 39,100 700 13,700 SUNCOR ENERGY INC COMMON 867224107 333,638 10,250 X 4,250 0 6,000 SUPERIOR ENERGY SVCS COMMON 868157108 1,305,141 48,900 X 48,200 0 700 SYSCO CORP COMMON 871829107 520,861 18,263 X X 2,263 1,300 14,700 TARGET CORP COMMON 87612E106 3,205,598 59,985 X 38,065 0 21,920 TECO ENERGY INC COMMON 872375100 2,396,222 138,350 X 110,150 0 28,200 TERADATA CORP DEL COM COMMON 88076W103 6,026,427 156,287 X 103,454 0 52,833 TEVA PHARMACEUTICAL I COMMON 881624209 2,232,908 42,330 X X 29,915 975 11,440 TEXAS INSTRUMENTS INC COMMON 882508104 5,694,433 209,817 X X 131,476 2,112 76,229 TEXTRON INC COMMON 883203101 322,792 15,700 X 15,700 0 0 TIFFANY & CO NEW COMMON 886547108 3,997,674 85,075 X X 81,100 0 3,975 TIME WARNER INC COM COMMON 887317303 214,703 7,005 X 2,520 0 4,485 TRAVELERS COMPANIES I COMMON 89417E109 1,607,441 30,853 X X 28,967 0 1,886 U S BANCORP COMMON 902973304 14,513,614 671,305 X X 447,851 3,072 220,382 UNILEVER PLC ADR SPON COMMON 904767704 220,462 7,576 X 5,560 0 2,016 UNION PAC CORP COMMON 907818108 17,816,285 217,803 X X 174,201 290 43,312 UNITED TECHNOLOGIES C COMMON 913017109 30,037,888 421,703 X X X 261,527 1,857 158,319 UNITEDHEALTH GROUP IN COMMON 91324P102 2,299,529 65,495 X 60,858 0 4,637 V F CORP COMMON 918204108 1,803,181 22,256 X 18,456 0 3,800 VALE S A ADR COMMON 91912E105 2,340,903 74,861 X 55,970 0 18,891
ESTABROOK CAPITAL MANAGEMENT LLC DISCRETIONARY OWNERSHIP FOR 13F AS OF DATE: 09/30/10 (ITEM 1) (ITEM 2) (ITEM 3) (ITEM 4) (ITEM 5) (ITEM 6) (ITEM 7) (ITEM 8) INVESTMENT VOTING AUTHORITY DISCRETION (SHARES) ----------------- --------------------------------------- NAME TITLE FAIR SHARES OR SHARED OF OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER SOLE SHARED NONE ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) MGR (A) (B) (C) - ---------------------- ------ ---------- -------------- ------------ ----- ----- ----- -- ------------ ------------ ------------ VEOLIA ENVIRONNEMENT COMMON 92334N103 353,857 13,424 X 12,045 0 1,379 VERIZON COMMUNICATION COMMON 92343V104 25,251,235 774,815 X X X 496,350 799 277,666 VODAFONE GROUP INC COMMON 92857W209 371,852 14,988 X X 12,438 0 2,550 VULCAN MATERIALS CO COMMON 929160109 1,143,154 30,963 X 20,159 0 10,804 WACHOVIA CAP TRUST TR PREFERR 92978U207 366,505 14,725 X 7,000 0 7,725 WAL MART STORES INC COMMON 931142103 687,197 12,840 X X 6,927 130 5,783 WALGREEN CO COMMON 931422109 345,720 10,320 X 5,170 0 5,150 WALTER INDS INC COMMON 93317Q105 2,415,126 29,710 X 24,960 0 4,750 WASTE MANAGEMENT INC COMMON 94106L109 1,845,792 51,645 X X 40,659 0 10,986 WEATHERFORD INTERNATI COMMON H27013103 34,765,052 2,033,044 X X X 1,354,895 3,470 674,679 WELLS FARGO NEW COMMON 949746101 3,086,759 122,905 X X 94,930 0 27,975 WELLSTAR INTERNATIONA COMMON 949902209 4 20,000 X 20,000 0 0 WESTERN UN CO COM COMMON 959802109 2,134,059 120,773 X 88,347 0 32,426 WIPRO LTD SPON ADR 1 COMMON 97651M109 240,990 16,666 X 0 0 16,666 XCEL ENERGY INC COMMON 98389B100 225,336 9,810 X 6,000 0 3,810 ZIMMER HLDGS INC COMMON 98956P102 521,154 9,959 X 6,040 0 3,919 TOTAL 1,657,894,363
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