0001085146-11-000643.txt : 20110516 0001085146-11-000643.hdr.sgml : 20110516 20110516110051 ACCESSION NUMBER: 0001085146-11-000643 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110516 DATE AS OF CHANGE: 20110516 EFFECTIVENESS DATE: 20110516 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Pathstone Family Office, LLC CENTRAL INDEX KEY: 0001511137 IRS NUMBER: 271957427 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-14122 FILM NUMBER: 11844240 BUSINESS ADDRESS: STREET 1: 285 GRAND AVE STREET 2: FIVE PATRIOT CENTRE CITY: ENGLEWOOD STATE: NJ ZIP: 07631 BUSINESS PHONE: 201-731-7112 MAIL ADDRESS: STREET 1: 285 GRAND AVE STREET 2: FIVE PATRIOT CENTRE CITY: ENGLEWOOD STATE: NJ ZIP: 07631 13F-HR/A 1 patha1_1q2011.txt PATHSTONE FAMILY OFFICE LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2011 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: Pathstone Family Office, LLC Address: Five Patriot Centre 285 Grand Ave Englewood, NJ 07631 13F File Number: 028-14122 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: Matthew Sher Title: Director of Operations and CCO Phone: 201-731-7112 Signature, Place, and Date of Signing: /s/ Matthew Sher Englewood, NJ May 16, 2011 Report Type (Check only one.): [ ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ X] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: Form 13F File Number Name 028-04558 Parametric Portfolio Associates 028-05505 Sawgrass Asset Management, L.L.C. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 135 Form 13F Information Table Value Total: $90,806 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ADVANCED MICRO DEVICES INC COM 007903107 34 4000 SH SOLE 4000 0 0 AES CORP COM 00130H105 65 5000 SH SOLE 5000 0 0 ALEXCO RESOURCE CORP COM 01535P106 12584 1421899 SH SOLE 1421899 0 0 ALTRIA GROUP INC COM 02209s103 1 45 SH SOLE 45 0 0 ALUMINUM CORP CHINA LTD SPON ADR H SHS 022276109 24 1000 SH SOLE 1000 0 0 AMGEN INC COM 031162100 5 100 SH SOLE 100 0 0 ANNALY CAP MGMT INC COM 035710409 87 5000 SH SOLE 5000 0 0 APPLE INC COM 037833100 99 284 SH SOLE 284 0 0 APPLIED MATLS INC COM 038222105 3 200 SH SOLE 200 0 0 AT&T INC COM 00206R102 6 200 SH SOLE 200 0 0 BAKER HUGHES INC COM 057224107 14 1000 SH CALL SOLE 0 0 0 BANK OF AMERICA CORPORATION COM 060505104 111 8400 SH SOLE 8400 0 0 BARRICK GOLD CORP COM 067901108 52 1000 SH SOLE 1000 0 0 BAXTER INTL INC COM 071813109 5 100 SH SOLE 100 0 0 BOEING CO COM 097023105 22 300 SH SOLE 300 0 0 BPZ RESOURCES INC COM 055639108 152 28652 SH SOLE 28652 0 0 BRIGHAM EXPLORATION CO COM 109178103 37 1000 SH SOLE 1000 0 0 CARDICA INC COM 14141r101 103 29000 SH SOLE 29000 0 0 CENOVUS ENERGY INC COM 15135U109 6 1000 SH CALL SOLE 0 0 0 CHESAPEAKE ENERGY CORP COM 165167107 168 5000 SH SOLE 5000 0 0 CHEVRON CORP NEW COM 166764100 13 1000 SH CALL SOLE 0 0 0 CHINA CABLECOM HOLDINGS LTD SHS G21176303 7 16320 SH SOLE 16320 0 0 CISCO SYS INC COM 17275r102 98 5700 SH SOLE 5700 0 0 CIT GROUP INC COM NEW 125581801 7 154 SH SOLE 154 0 0 CITIGROUP INC COM 172967101 276 62500 SH SOLE 62500 0 0 CLEAN ENERGY FUELS CORP COM 184499101 49 3000 SH SOLE 3000 0 0 COCA COLA CO COM 191216100 7 100 SH SOLE 100 0 0 COLONIAL PPTYS TR COM SH BEN INT 195872106 47667 2476174 SH SOLE 2476174 0 0 CONSOL ENERGY INC COM 20854P109 54 1000 SH SOLE 1000 0 0 CONTINENTAL RESOURCES INC COM 212015101 71 1000 SH SOLE 1000 0 0 CORNING INC COM 219350105 216 10500 SH SOLE 10500 0 0 CROSS CTRY HEALTHCARE INC COM 227483104 2 200 SH SOLE 200 0 0 DARA BIOSCIENCES INC COM NEW 23703p205 102 33100 SH SOLE 33100 0 0 DELL INC COM 24702R101 1 100 SH SOLE 100 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 1 100 SH SOLE 100 0 0 DIAMOND OFFSHORE DRILLING IN COM 25271C102 12 1000 SH CALL SOLE 0 0 0 DIANA SHIPPING INC COM Y2066G104 24 2000 SH SOLE 2000 0 0 E M C CORP MASS COM 268648102 8 300 SH SOLE 300 0 0 EBAY INC COM 278642103 16 500 SH SOLE 500 0 0 ENERGEN CORP COM 29265N108 63 1000 SH SOLE 1000 0 0 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 104 2000 SH SOLE 2000 0 0 ENSTAR GROUP LIMITED SHS G3075P101 200 2000 SH SOLE 2000 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 43 1000 SH SOLE 1000 0 0 EXXON MOBIL CORP COM 30231G102 8 1000 SH CALL SOLE 0 0 0 FEI CO COM 30241L109 37 1100 SH SOLE 1100 0 0 FERRELLGAS PARTNERS L.P. UNIT LTD PART 315293100 26 1000 SH SOLE 1000 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 319 21500 SH SOLE 21500 0 0 GENERAL ELECTRIC CO COM 369604103 97 4850 SH SOLE 4850 0 0 GENERAL MTRS CO COM 37045v100 155 5000 SH SOLE 5000 0 0 GEO GROUP INC COM 36159r103 26 1000 SH SOLE 1000 0 0 GEOKINETICS INC COM PAR $0.01 372910307 42 5000 SH SOLE 5000 0 0 GERON CORP COM 374163103 101 20000 SH SOLE 20000 0 0 GOODRICH PETE CORP COM NEW 382410405 22 1000 SH SOLE 1000 0 0 GOOGLE INC CL A 38259p508 587 1000 SH SOLE 1000 0 0 HALLIBURTON CO COM 406216101 25 500 SH SOLE 500 0 0 HALLIBURTON CO COM 406216101 13 1000 SH CALL SOLE 0 0 0 HASBRO INC COM 418056107 0 5 SH SOLE 5 0 0 HELIX ENERGY SOLUTIONS GRP I COM 42330P107 52 3000 SH SOLE 3000 0 0 HESS CORP COM 42809H107 13 1000 SH CALL SOLE 0 0 0 HOME DEPOT INC COM 437076102 11 300 SH SOLE 300 0 0 INFINERA CORPORATION COM 45667G103 2 296 SH SOLE 296 0 0 INTEL CORP COM 458140100 10 500 SH SOLE 500 0 0 ISHARES TR COHEN&ST RLTY 464287564 70 1000 SH SOLE 1000 0 0 ISHARES TR DJ US REAL EST 464287739 383 6450 SH SOLE 6450 0 0 ISHARES TR MSCI EAFE INDEX 464287465 13167 219142 SH SOLE 219142 0 0 ISHARES TR MSCI EMERG MKT 464287234 289 5935 SH SOLE 5935 0 0 ISHARES TR RUSSELL MIDCAP 464287499 1258 11541 SH SOLE 11541 0 0 ISHARES TR RUSSELL1000GRW 464287614 46 760 SH SOLE 760 0 0 ISHARES TR RUSSELL1000VAL 464287598 1541 22442 SH SOLE 22442 0 0 ISHARES TR S&P MC 400 GRW 464287606 24 215 SH SOLE 215 0 0 ISHARES TR S&P MIDCP VALU 464287705 12 140 SH SOLE 140 0 0 JOHNSON & JOHNSON COM 478160104 30 500 SH SOLE 500 0 0 KINDER MORGAN INC DEL COM 49456B101 59 2000 SH SOLE 2000 0 0 KINROSS GOLD CORP COM NO PAR 496902404 158 10000 SH SOLE 10000 0 0 KNOT INC COM 499184109 4 304 SH SOLE 304 0 0 KODIAK OIL & GAS CORP COM 50015Q100 67 10000 SH SOLE 10000 0 0 KRISPY KREME DOUGHNUTS INC COM 501014104 1 200 SH SOLE 200 0 0 LEGACY RESERVES LP UNIT LP INT 524707304 31 1000 SH SOLE 1000 0 0 LOWES COS INC COM 548661107 11 400 SH SOLE 400 0 0 MARATHON OIL CORP COM 565849106 11 1000 SH CALL SOLE 0 0 0 MERCK & CO INC NEW COM 58933Y105 66 2000 SH SOLE 2000 0 0 MICROSOFT CORP COM 594918104 35 1400 SH SOLE 1400 0 0 MORGAN STANLEY COM NEW 617446448 3 100 SH SOLE 100 0 0 MOSAIC CO COM 61945a107 394 5000 SH SOLE 5000 0 0 MOTOROLA MOBILITY HLDGS INC COM 620097105 37 1512 SH SOLE 1512 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 77 1726 SH SOLE 1726 0 0 MURPHY OIL CORP COM 626717102 9 1000 SH CALL SOLE 0 0 0 NORFOLK SOUTHERN CORP COM 655844108 3 38 SH SOLE 38 0 0 NORTHERN OIL & GAS INC NEV COM 665531109 27 1000 SH SOLE 1000 0 0 NOVAGOLD RES INC COM NEW 66987e206 26 2000 SH SOLE 2000 0 0 NYSE EURONEXT COM 629491101 215 6100 SH SOLE 6100 0 0 ODYSSEY MARINE EXPLORATION I COM 676118102 31 10000 SH SOLE 10000 0 0 OPKO HEALTH INC COM 68375N103 373 100000 SH SOLE 100000 0 0 ORACLE CORP COM 68389x105 7 200 SH SOLE 200 0 0 PFIZER INC COM 717081103 82 4040 SH SOLE 4040 0 0 PHILIP MORRIS INTL INC COM 718172109 9 132 SH SOLE 132 0 0 PILGRIMS PRIDE CORP NEW COM 72147K108 1 100 SH SOLE 100 0 0 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 64 1000 SH SOLE 1000 0 0 PROCTER & GAMBLE CO COM 742718109 37 600 SH SOLE 600 0 0 PROLOGIS SH BEN INT 743410102 32 2000 SH SOLE 2000 0 0 REPUBLIC SVCS INC COM 760759100 225 7500 SH SOLE 7500 0 0 RESOLUTE ENERGY CORP COM 76116A108 45 2500 SH SOLE 2500 0 0 SATCON TECHNOLOGY CORP COM 803893106 39 10000 SH SOLE 10000 0 0 SBA COMMUNICATIONS CORP COM 78388J106 40 1000 SH SOLE 1000 0 0 SEADRILL LIMITED SHS G7945E105 36 1000 SH SOLE 1000 0 0 SEANERGY MARITIME HLDGS CORP SHS Y73760103 24 40000 SH SOLE 40000 0 0 SEMICONDUCTOR MFG INTL CORP SPONSORED ADR 81663n206 19 5000 SH SOLE 5000 0 0 SENOMYX INC COM 81724q107 66 11000 SH SOLE 11000 0 0 SINA CORP ORD G81477104 321 3000 SH SOLE 3000 0 0 SIRIUS XM RADIO INC COM 82967N108 37 22000 SH SOLE 22000 0 0 SONDE RES CORP COM 835426107 54 15000 SH SOLE 15000 0 0 SOUTHWESTERN ENERGY CO COM 845467109 86 2000 SH SOLE 2000 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 244 1741 SH SOLE 1741 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 274 2066 SH SOLE 2066 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 5569 31019 SH SOLE 31019 0 0 SPDR SERIES TRUST S&P 500 GROWTH 78464A409 6 100 SH SOLE 100 0 0 ST JOE CO COM 790148100 75 3000 SH SOLE 3000 0 0 STARBUCKS CORP COM 855244109 55 1500 SH SOLE 1500 0 0 STATOIL ASA SPONSORED ADR 85771P102 28 1000 SH SOLE 1000 0 0 SYMANTEC CORP COM 871503108 74 4000 SH SOLE 4000 0 0 SYNERON MEDICAL LTD ORD SHS M87245102 52 4000 SH SOLE 4000 0 0 SYNOVUS FINL CORP COM 87161C105 44 18500 SH SOLE 18500 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 1 122 SH SOLE 122 0 0 TARGA RESOURCES PARTNERS LP COM UNIT 87611X105 35 1000 SH SOLE 1000 0 0 TEEKAY OFFSHORE PARTNERS L P PARTNERSHIP UN y8565j101 61 2000 SH SOLE 2000 0 0 TEJON RANCH CO COM 879080109 37 1000 SH SOLE 1000 0 0 TEMPLETON DRAGON FD INC COM 88018T101 124 4000 SH SOLE 4000 0 0 TETRA TECHNOLOGIES INC DEL COM 88162f105 31 2000 SH SOLE 2000 0 0 ULTRA PETROLEUM CORP COM 903914109 49 1000 SH SOLE 1000 0 0 UNITED PARCEL SERVICE INC CL B 911312106 7 100 SH SOLE 100 0 0 VERIZON COMMUNICATIONS INC COM 92343v104 39 1000 SH SOLE 1000 0 0 VISA INC COM CL A 92826C839 18 250 SH SOLE 250 0 0 WAL MART STORES INC COM 931142103 5 100 SH SOLE 100 0 0 WELLS FARGO & CO NEW COM 949746101 127 4000 SH SOLE 4000 0 0 YAHOO INC COM 984332106 4 200 SH SOLE 200 0 0