-----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, P7VjsNcemG/gFwemM6jBgSlXJfHgz7kR7qI9SEEfVLxUbY/VNvoaqBe2ERfv3JYr fY9wC9B5DYWgG9j3wEkOPg== 0001398344-10-001473.txt : 20101115 0001398344-10-001473.hdr.sgml : 20101115 20101115151828 ACCESSION NUMBER: 0001398344-10-001473 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101115 DATE AS OF CHANGE: 20101115 EFFECTIVENESS DATE: 20101115 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: 101191827 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 fp0002258_13fhr.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 [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: 301 Battery Street, 2nd Floor San Francisco, CA 94111 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 11-15-2010 --------------------- ----------------- ---------- [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: 236 Form 13F Information Table Value Total: $ 275,392 ------------- (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 Yes A D C TELECOMMUNICATIONS FRNT 6/15/13 Common Stock 000886AB7 16 16,000 SH Yes Yes ADMINISTAFF INC Common Stock 007094105 1,011 37,555 SH Yes Yes ADOBE SYS INC Common Stock 00724F101 26 1,000 SH Yes Yes AES CORP Common Stock 00130H105 136 11,960 SH Yes Yes AES TR III 6.75% TR CONV PFD Common Stock 00808N202 24 500 SH Yes Yes AGCO CORP NOTE 1.250%12/15/36 Common Stock 001084AM4 23 20,000 SH Yes Yes AGFEED INDS INC COM Common Stock 00846L101 5 2,000 SH Yes Yes AKAMAI TECH Common Stock 00971T101 4,183 83,350 SH Yes Yes ALLERGAN INC Common Stock 018490102 28 415 SH Yes Yes ALLSTATE CORP Common Stock 020002101 47 1,480 SH Yes Yes ALTAIR NANOTECHNOLOGIES INC Common Stock 021373105 17 28,000 SH Yes Yes ALTRIA GROUP INC Common Stock 02209S103 8,359 348,020 SH Yes Yes AMERICAN CAPITAL STRATEGIES LTD Common Stock 02503Y103 278 47,799 SH Yes Yes AMERICAN EXPRESS CO Common Stock 25816109 42 1,000 SH Yes Yes AMERICAN TOWER CORP Common Stock 029912201 6,229 121,515 SH Yes Yes AMGEN INC Common Stock 031162100 100 1,823 SH Yes Yes AOL TIME WARNER INC. CMN Common Stock 00184X105 105 4,260 SH Yes Yes APACHE CORP Common Stock 037411105 17 175 SH Yes Yes APPLE COMPUTER, INC. Common Stock 037833100 114 400 SH Yes Yes AQUA AMERICA INC Common Stock 03836W103 4,147 203,280 SH Yes Yes ARCSIGHT INC Common Stock 039666102 13 291 SH Yes Yes AT&T INC COM Common Stock 00206R102 7 245 SH Yes Yes AUTOLIV INC Common Stock 052800109 4,320 66,125 SH Yes Yes AUTOZONE INC NEV Common Stock 053332102 6,444 28,150 SH Yes Yes B&G FOODS INC CLASS A Common Stock 05508R106 13 1,200 SH Yes Yes BAIDU COM INC SPON ADR RESTG ORD SHS CL Common Stock 056752108 6,791 66,175 SH Yes Yes BANCO BILBAO VIZ AR ORDF Common Stock 05946K101 16 1,168 SH Yes Yes BANCOLUMBIA S A Common Stock 05968L102 3,384 51,562 SH Yes Yes BANK NEW YORK MELLON CORP COM Common Stock 064058100 75 2,870 SH Yes Yes BANK OF AMERICA CORP Common Stock 060505104 29 2,250 SH Yes Yes BANNER CORPORATION Common Stock 06652V109 439 203,115 SH Yes Yes BARCLAYS BK PLC Common Stock 06738E204 12 500 SH Yes Yes BARRICK GOLD CORP F Common Stock 067901108 53 1,148 SH Yes Yes BERKSHIRE HATHAWAY INC CL B Common Stock 084670702 307 3,710 SH Yes Yes BILL BARRETT CORPORATION CONVERTIBLE SENIOR NOTES Common Stock 06846NAA2 20 20,000 SH Yes Yes BOISE INC Common Stock 09746Y105 26 4,000 SH Yes Yes BROCADE COMMUNICATIONS SYSTEMS INC Common Stock 111621306 65 11,070 SH Yes Yes CALAMOS CONV OPPORTUNITIES & INCOME FD Common Stock 128117108 51 4,000 SH Yes Yes CAMERON INTERNATIONAL Common Stock 13342B105 5 4,000 SH Yes Yes CENTER FINL CORP CALIF Common Stock 15146E102 455 89,333 SH Yes Yes CHESAPEAKE ENERGY CORPORATION Common Stock 165167107 17 770 SH Yes Yes CHINACAST ED CORP Common Stock 16946T109 924 130,540 SH Yes Yes CIRRUS LOGIC INC Common Stock 172755100 4,314 241,835 SH Yes Yes CISCO SYS INC Common Stock 17275R102 6 275 SH Yes Yes CIT GROUP INC NEW COM Common Stock 125581801 5 122 SH Yes Yes CITIGROUP INC Common Stock 172967101 185 47,216 SH Yes Yes CMS ENERGY CORP Common Stock 125896100 4,190 232,540 SH Yes Yes COGNIZANT TECH SOLUTIONS CORP Common Stock 192446102 6,344 98,400 SH Yes Yes COINSTAR INC Common Stock 19259P300 826 19,204 SH Yes Yes CONCORD MEDICALSERVICES HLDGS LTD ADS EACH 1 REPR Common Stock 206277105 487 69,505 SH Yes Yes CONOCOPHILLIPS Common Stock 20825C104 6 100 SH Yes Yes COOPER COMPANIES INC Common Stock 216648402 3,247 70,260 SH Yes Yes CURRENCYSHARES AUSTRALIAN DLR TR AUSTRALIAN DOLLAR Common Stock 23129U101 163 1,680 SH Yes Yes CURRENCYSHARES JAPANESE YEN Common Stock 23130A102 156 1,315 SH Yes Yes CURRENCYSHARESCDN DLR TR CDN DOLLARS SHS Common Stock 23129X105 237 2,455 SH Yes Yes CURRENCYSHARESS SWISS Common Stock 23129V109 243 2,410 SH Yes Yes CVS CAREMARK CORP Common Stock 126650BH2 1,729 15,000 SH Yes Yes DANAHER CORP Common Stock 235851AF9 5 4,000 SH Yes Yes DEAN FOODS CO Common Stock 242370104 118 11,590 SH Yes Yes DEERE & COMPANY Common Stock 244199105 6,097 87,375 SH Yes Yes DEVON ENERGY CORP Common Stock 25179M103 10 162 SH Yes Yes DIGITAL GENERATION SYS Common Stock 23326R109 577 26,520 SH Yes Yes E M C CORP MASS Common Stock 268648102 8 405 SH Yes Yes E M C CORP MASS NOTE 1.750%12/01/13 Common Stock 268648AM4 28 20,000 SH Yes Yes EATON VANCE ENHANCED EQUITY INCOME FD II Mutual Fund 278277108 6 500 SH Yes Yes EL PASO CORP COM Common Stock 28336L109 92 7,404 SH Yes Yes ELECTRONICS ARTS Common Stock 285512109 11,855 720,764 SH Yes Yes EMERSON ELECTRIC CO Common Stock 291011104 136 2,585 SH Yes Yes ENBRIDGE ENERGY PARTNERS LP Common Stock 29250R106 17 300 SH Yes Yes ENERGY CONVERS 3%13 CVT BOND DUE 06/15/13 Common Stock 292659AA7 19 28,000 SH Yes Yes ENTERPRISE PRODS PARTNERS L P Common Stock 293792107 12 300 SH Yes Yes EXELON CORP Common Stock 30161N101 135 3,170 SH Yes Yes EXXON MOBIL CORP Common Stock 30231G102 11 172 SH Yes Yes FIFTH THIRD BANCORP Common Stock 316773100 0 0 SH Yes Yes FISHER SCIENTIFIC INTL INC Common Stock 338032AX3 9 7,000 SH Yes Yes FORD MOTOR COMPANY Common Stock 345370860 12 970 SH Yes Yes FORMULA SYS 1985 LTD SPONSORED ADR Common Stock 346414105 13 900 SH Yes Yes FOSSIL INC Common Stock 349882100 4,239 78,810 SH Yes Yes FRONTIER COMMUNICATIONS Common Stock 35906A108 9 1,114 SH Yes Yes GENERAL DYNAMICS Common Stock 369550108 96 1,532 SH Yes Yes GILEAD SCIENCES INC Common Stock 375558103 13 370 SH Yes Yes GILEAD SCIENCES INC Common Stock 375558AH6 3 3,000 SH Yes Yes GOLDCORP INC Common Stock 380956409 14 325 SH Yes Yes GRUPO TELEVISA, S.A. GDS REP 20 CPO'S REP 1 L SHARE, 1 A SHARE AND 1 D SHAR Common Stock 40049J206 13 703 SH Yes Yes GT SOLAR INTL INC COM Common Stock 3623E0209 4,377 522,880 SH Yes Yes HANGER ORTHOPEDIC GROUP INC Common Stock 41043F208 438 30,110 SH Yes Yes HEWLETT-PACKARD CO Common Stock 428236103 42 1,000 SH Yes Yes HUMANA INC Common Stock 444859102 67 1,330 SH Yes Yes IGATE CORP Common Stock 45169U105 726 40,023 SH Yes Yes ILLINOIS TOOL WORKS Common Stock 452308109 63 1,340 SH Yes Yes INCYTE CORP Common Stock 45337C102 13 800 SH Yes Yes INFINERA CORP Common Stock 45667G103 11 902 SH Yes Yes INTEL Common Stock 458140100 101 5,250 SH Yes Yes INTL BUSINESS MACHINES COM Common Stock 459200101 196 1,460 SH Yes Yes INTUIT INC Common Stock 461202103 6,001 136,975 SH Yes Yes ISHARES BARCLAYS TIPS BOND Mutual Fund 464287176 6,091 55,850 SH Yes Yes ISHARES COMEX GOLD TRUST Common Stock 464285105 51 4,000 SH Yes Yes ISHARES DOW JONES SELECT DIVIDEND INDEX Common Stock 464287168 287 6,130 SH Yes Yes ISHARES GSCI COMMODITY INDEXED TR - CUSIP? Common Stock 46428R107 10 340 SH Yes Yes ISHARES IBOXX $ INVEST GRADE CORP BOND - CUSIP? Common Stock 464287242 8,566 75,746 SH Yes Yes ISHARES INC MSCI MALAYSIA FREE INDEX FD Common Stock 464286830 33 2,375 SH Yes Yes ISHARES INC MSCI SINGAPORE INDEX FD Common Stock 464286673 2,945 222,770 SH Yes Yes ISHARES INC MSCI SOUTH AFRICA INDEX FD Common Stock 464286780 3,004 44,690 SH Yes Yes ISHARES INC MSCI SWEDEN INDEX FD Common Stock 464286756 2,898 100,035 SH Yes Yes ISHARES INCORPORATED MSCI THAILAND Common Stock 464286624 3,268 52,660 SH Yes Yes ISHARES MSCI CHILE INDEX Common Stock 464286640 2,984 40,320 SH Yes Yes ISHARES MSCI EAFE INDEX Mutual Fund 464287465 74 1,344 SH Yes Yes ISHARES MSCI EMERGING MKTS Mutual Fund 464287234 110 2,450 SH Yes Yes ISHARES MSCI TURKEY IDX TURKEY INDEX FUND ETF Common Stock 464286715 3028 43,245 SH Yes Yes ISHARES SILVER TR ISHARES Mutual Fund 46428Q109 3069 144,025 SH Yes Yes ISHARES TR 1-3 YR TREAS INDEX FD Mutual Fund 464287457 1480 17,541 SH Yes Yes ISHARES TR BARCLAYS CAPITAL 1-3 YR CR BD FD Common Stock 464288646 12,348 117,550 SH Yes Yes ISHARES TR COHEN & ST RLTY ETF Common Stock 464287564 1,085 17,521 SH Yes Yes ISHARES TR DOW JONES US TELECOM Common Stock 464287713 1,177 54,027 SH Yes Yes ISHARES TR IBOXX HIGH YIELD CORP BD FD Mutual Fund 464288513 1,844 20,565 SH Yes Yes ISHARES TR JPMORGAN USD EMERGING MKTS BDFD Common Stock 464288281 591 5,310 SH Yes Yes ISHARES TR LEHMAN INTER CR BD FD Common Stock 464288638 497 4,580 SH Yes Yes ISHARES TR NASDAQ BIOTECHNOLOGY INDEX Common Stock 464287556 26 300 SH Yes Yes ISHARES TR RUSSELL 1000 VALUE INDEX FD Mutual Fund 464287598 982 16,650 SH Yes Yes ISHARES TR RUSSELL 2000 INDEX FD Mutual Fund 464287655 52 774 SH Yes Yes ISHARES TR RUSSELL 2000 VALUE Mutual Fund 464287630 1,551 25,014 SH Yes Yes ISHARES TR S&P NATL MUN BD FD Mutual Fund 464288414 102 960 SH Yes Yes ISHARES TR S&P U S PFD STK INDEX FD Common Stock 464288687 1,442 36,250 SH Yes Yes ISHARES TRUST BARCLAYS AGGREGATE BOND FUND Common Stock 464287226 2,576 23,711 SH Yes Yes ISHARES TRUST DOW JONES US REAL ESTATE INDEX FUND Mutual Fund 464287739 2,326 43,980 SH Yes Yes ISHARES TRUST S&P GLOBAL MATERIALS INDEX FD Common Stock 464288695 38 600 SH Yes Yes ISTAR FINL INC FRNT 10/01/12 0% Common Stock 45031UBF7 4 5,000 SH Yes Yes JA SOLAR HOLDINGS CO LTD 4.50000% 05/15/2013JA SOLAR HOLDINGS CO LTD Common Stock 466090AA5 26 27,000 SH Yes Yes JP MORGAN EXCH TRAD NOTE ALERIAN MLP Common Stock 46625H365 3,813 113,010 SH Yes Yes KEYCORP NEW Common Stock 493267108 31 3,900 SH Yes Yes KINDER MORGAN ENERGY PTNRS LP Common Stock 494550106 0 1 SH Yes Yes KINDER MORGAN MGMT LLC Common Stock 49455U100 0 3 SH Yes Yes KKR FINL CORP Common Stock 48248A306 64 7,290 SH Yes Yes KOHLS CORP Common Stock 500255104 30 560 SH Yes Yes L-3 COMMUNICATIONS CORP DEBT 3.000% 8/01/35 Common Stock 502413AW7 6 6,000 SH Yes Yes LIHUA INTERNATIONAL INC Common Stock 532352101 481 55,563 SH Yes Yes LINCOLN NATIONAL CORP IND Common Stock 534187109 42 1,768 SH Yes Yes LINEAR TECH CORP SR CNVRT NTS Common Stock 535678AD8 10 10,000 SH Yes Yes LUBRIZOL CORPORATION Common Stock 549271104 4,168 39,335 SH Yes Yes M & T BANK CORPORATION Common Stock 55261F104 5,674 69,355 SH Yes Yes MAGELLAN MIDSTREAM PARTNERS LP Common Stock 559080106 26 506 SH Yes Yes MARKET VECTORS ETF TR INDONESIA ETF Common Stock 57060U753 3,026 34,935 SH Yes Yes MARKET VECTORS ETF TR JR GOLD MINES ETF Common Stock 57060U100 428 7,550 SH Yes Yes MARKET VECTORS ETF TRUST AGRIBUSINESS Common Stock 57060U605 27 585 SH Yes Yes MARKET VECTORS GOLD MINERS Common Stock 57060U589 2,861 51,150 SH Yes Yes MARRIOTT INTL INC Common Stock 571903202 0 1 SH Yes Yes MARSHALL & ILSLEY CORP Common Stock 571837103 48 6,850 SH Yes Yes MASSEY ENERGY CO SR NT CONV Common Stock 576203AJ2 11 12,000 SH Yes Yes MASTERCARD INC Common Stock 57636Q104 13 57 SH Yes Yes MCDONALDS CORP Common Stock 580135101 8,445 113,335 SH Yes Yes MERCK & CO INC Common Stock 58933Y105 5 126 SH Yes Yes MICROSOFT Common Stock 594918104 54 2,200 SH Yes Yes MOLSON COORS BREWING Common Stock 60871RAA8 8 7,000 SH Yes Yes MOLSON COORS BREWING CO CL B Common Stock 60871R209 238 5,047 SH Yes Yes MOLYCORP INC DEL Common Stock 608753109 28 1,000 SH Yes Yes NABORS INDS 0.940% 5/15/11 Common Stock 629568AP1 7 7,000 SH Yes Yes NALCO HOLDING CO Common Stock 62985Q101 69 2,730 SH Yes Yes NETSCOUT SYSTEMS INC Common Stock 64115T104 620 30,215 SH Yes Yes NEWMONT MINING CORP HOLDING CO NEW Common Stock 651639106 6,141 97,765 SH Yes Yes NII HLDGS INC NOTE 3.125% 6/15/12 Common Stock 62913FAJ1 32 33,000 SH Yes Yes NOVOGEN LIMITED SPONSORED ADR Common Stock 67010F103 1 1,800 SH Yes Yes ORACLE CORPORATION Common Stock 68389X105 1,358 50,566 SH Yes Yes ORBITAL SCIENCES CORP Common Stock 685564106 459 30,010 SH Yes Yes POWER-ONE INC Common Stock 73930R102 879 96,740 SH Yes Yes POWERSHARES DB AGRICULTURE FUND Mutual Fund 73936B408 107 3,900 SH Yes Yes POWERSHARES DB COMMODITY INDEX FUND Common Stock 73935S105 48 2,000 SH Yes Yes POWERSHARES EXCHANGETRADED FD TR II DWA EMERGING MKTSPORT Common Stock 73936Q207 2,813 160,670 SH Yes Yes POWERSHARES INDIA PORTFOLIO Common Stock 73935L100 25 1,000 SH Yes Yes POWERSHARES QQQ TR UNIT SER 1 Mutual Fund 73935A104 227 4,630 SH Yes Yes POWERSHS EXCH TRAD FD TR POWERSHARES DWA TECH Common Stock 73935X153 184 8,750 SH Yes Yes PRAXAIR INC Common Stock 74005P104 222 2,462 SH Yes Yes PROLOGIS CONV NOTES Common Stock 743410AS1 6 6,000 SH Yes Yes PROSHARES SHORT RUSSELL2000 ETF Common Stock 74347R826 2,072 54,622 SH Yes Yes PROSHARES TR SHORT S&P 500 PROSHARES Mutual Fund 74347R503 875 17,903 SH Yes Yes PROSHS ULTRASHORT DOW30 PROSHARES TRUST Common Stock 74347R867 74 3,000 SH Yes Yes PUBLIC SERVICE ENTERPRISE GROUP INC Common Stock 744573106 4 107 SH Yes Yes PUT (AAPL) APPLE INC JAN 22 11 $100 (100 SHS) Common Stock 037833950 2 170 SH PUT Yes Yes PUT (BP) BP PLC ADR (CNV INTOJAN 21 12 $2.5 (100 SHS) Common Stock 055622954 1 200 SH PUT Yes Yes REDHAT INC Common Stock 756577102 4,204 102,530 SH Yes Yes RESEARCH IN MOTION LTD Common Stock 760975102 23 475 SH Yes Yes RIO TINTO PLC SPON ADR Common Stock 767204100 4 76 SH Yes Yes RIVERBED TECHNOLOGY INC Common Stock 768573107 9 200 SH Yes Yes ROYAL BK OF SCOTLND ORDF Common Stock 780097689 0 70 SH Yes Yes ROYAL DUTCH SHELL PLC SPONSORED ADR REPSTG B SHS Common Stock 780259107 20 344 SH Yes Yes SAN JUAN BASIN ROYALTY TR-UBI Common Stock 798241105 74 3,000 SH Yes Yes SANDISK CORP SR NT CV 1.00000% 05/15/2013 Common Stock 80004CAC5 39 43,000 SH Yes Yes SCHLUMBERGER LTD Common Stock 806857108 95 1,550 SH Yes Yes SCOTTS MIRACLE GRO CO Common Stock 810186106 4,203 81,250 SH Yes Yes SEACOR HOLDINGS INC Common Stock 811904101 50 590 SH Yes Yes SEASPAN CORP SHS ISIN #MHY756381098 Common Stock Y75638109 1,147 92,938 SH Yes Yes SECTOR SPDR TR SHS BEN INT UTILITIES Mutual Fund 81369Y886 1,444 46,030 SH Yes Yes SIEMENS A G SPON ADR Common Stock 826197501 11 109 SH Yes Yes SILVER WHEATON CORP COM ISIN #CA8283361076 Common Stock 828336107 5,605 210,330 SH Yes Yes SIMPSON MANUFACTURING CO INC Common Stock 829073105 1,727 67,000 SH Yes Yes SPDR BARCLAYS CAPITAL CONV BOND Common Stock 78464A359 37 940 SH Yes Yes SPDR BARCLAYS CAPITAL INTL TREASURY BOND Common Stock 78464A516 3,040 50,695 SH Yes Yes SPDR GOLD TRUST Mutual Fund 78463V107 1,500 11,730 SH Yes Yes SPDR INDEX SHS FDS S&P EMERGING MKTS SM CAP ETF Common Stock 78463X756 2,748 50,180 SH Yes Yes SPDR S&P DEP RCPT Mutual Fund 78462F103 3,815 33,430 SH Yes Yes SPDR SER TR S&P DIVID ETF Common Stock 78464A763 437 8,710 SH Yes Yes SPROTT PHYSICAL GOLDT TRUST Common Stock 85207H104 3,006 262,300 SH Yes Yes SUNPOWER CORP COM CL A Common Stock 867652109 126 8,780 SH Yes Yes SUNTECH POWER HOLDINGS CO SERIES CONVERTIBLE 3% 03/15/2013 Common Stock 86800CAE4 28 32,000 SH Yes Yes TATA MOTORS LTD SPONSORED ADR Common Stock 876568502 32 1,250 SH Yes Yes TECH DATA CORP SR DB CV Common Stock 878237AE6 9 9,000 SH Yes Yes TEEKAY SHIPPING CORPISIN #MHY8564W1030 Common Stock Y8564W103 38 1,420 SH Yes Yes TEVA PHARM FINL CO BV Common Stock 88165FAA0 8 7,000 SH Yes Yes TITANIUM METALS CORPCOM NEW Common Stock 888339207 40 2,000 SH Yes Yes TOTAL SA Common Stock 89151E109 82 1,580 SH Yes Yes TRANSOCEAN INC NEW F Common Stock H8817H100 13 200 SH Yes Yes TYCO ELECTRONICS LTDSHS Common Stock H8912P106 0 6 SH Yes Yes TYCO INTL LTD Common Stock H89128104 0 6 SH Yes Yes ULTRASHORT REAL EST PS Common Stock 74347X583 11 534 SH Yes Yes UNION PACIFIC CORP Common Stock 907818108 6,353 77,660 SH Yes Yes UNITED STS OIL FD LPUNITS Common Stock 91232N108 63 1,800 SH Yes Yes UNITED TECHNOLOGIES CORP Common Stock 913017109 7 104 SH Yes Yes VANGUARD BD INDEX FDINC SHORT TERM BD Common Stock 921937835 2,787 34,090 SH Yes Yes VANGUARD INDEX TR VANGUARD TOTAL STK Common Stock 922908769 877 15,020 SH Yes Yes VANGUARD INTL EQUITYINDEX FDS TOTAL WORLD STK INDEX FD Common Stock 922042742 583 13,013 SH Yes Yes VANGUARD TOTAL BOND MARKET ETF Common Stock 921937835 1,909 23,095 SH Yes Yes VERISIGN INC SDCV 3.250% 8/15/37 Common Stock 92343EAD4 22 20,000 SH Yes Yes VERIZON COMMUNICATIONS Common Stock 92343V104 113 3,461 SH Yes Yes VISA INC Common Stock 92826C839 19 250 SH Yes Yes VMWARE INC CL A CLASS A Common Stock 928563402 4,112 48,405 SH Yes Yes WALTER INVT MGMT CORP COM Common Stock 93317W102 1 63 SH Yes Yes WATERS CP Common Stock 941848103 73 1,030 SH Yes Yes WATSON PHARMACEUTICALS INC Common Stock 942683103 99 2,350 SH Yes Yes WELLCARE HEALTH PLANS INC FORMERLY Common Stock 94946T106 96 3,310 SH Yes Yes WHOLE FOODS MARKET INC Common Stock 966837106 1 36 SH Yes Yes WILLAMETTE VALLEY VINEYARDS INC Common Stock 969136100 1 300 SH Yes Yes WisdomTree Dreyfus Chinese Yuan FD Common Stock 97717W182 233 9,190 SH Yes Yes WISDOMTREE TR BRAZILIAN REAL FD Common Stock 97717W240 275 9,525 SH Yes Yes WISDOMTREE TR INDIA EARNINGS FD Common Stock 97717W422 263 9,975 SH Yes Yes YUM! BRANDS INC Common Stock 988498101 6,267 136,060 SH Yes Yes ZIX CORP COM Common Stock 98974P100 1,185 417,214 SH Yes Yes
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