-----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, PMRM96pRmsXB5kWf6paA99OWbWqaJ6qEbPQff4CCgaAFYLu7TDdFcf1+n5etKteD QNZbu0uPiscjaFTv5YSwaw== 0001034642-09-000014.txt : 20091109 0001034642-09-000014.hdr.sgml : 20091109 20091109150459 ACCESSION NUMBER: 0001034642-09-000014 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091109 DATE AS OF CHANGE: 20091109 EFFECTIVENESS DATE: 20091109 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CLIFFORD SWAN INVESTMENT COUNSEL LLC CENTRAL INDEX KEY: 0001034642 IRS NUMBER: 954749812 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06208 FILM NUMBER: 091167995 BUSINESS ADDRESS: STREET 1: 200 SOUTH LOS ROBLES AVE STREET 2: SUITE 320 CITY: PASADENA STATE: CA ZIP: 91101 BUSINESS PHONE: 6267922228 MAIL ADDRESS: STREET 1: 200 SOUTH LOS ROBLES AVENUE STREET 2: SUITE 320 CITY: PASADENA STATE: CA ZIP: 91101 FORMER COMPANY: FORMER CONFORMED NAME: CLIFFORD ASSOCIATES LLC DATE OF NAME CHANGE: 19991223 FORMER COMPANY: FORMER CONFORMED NAME: CLIFFORD ASSOCIATES INC/CA DATE OF NAME CHANGE: 19990326 13F-HR 1 form13f093009.txt FORM 13F FOR THE QUARTER ENDED 09/30/09 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2009 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: Clifford Swan Investment Counsel, LLC Address: 200 South Los Robles Avenue Suite 320 Pasadena, California 91101 13F File Number: 28-6208-3 The institutional investment manager filling 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: Peter J. Boyle Title: Principal Phone: 626-792-2228 Signature, Place, and Date of Signing: PETER J. BOYLE Pasadena, California November 9, 2009 Report Type (check only one.): [ X ] 13 F HOLDINGS REPORT. [ ] 13 F NOTICE. [ ] 13 F COMBINATION REPORT. List of Other Managers Reporting for this Manager: FORM 13 F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13 F Information Table Entry Total: 228 Form 13 F Information Table Value Total: $861,549 List of Other Included Managers: 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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- Eaton Vance Calif Muni Income COM 27826F101 145 11084 SH Sole 5932 5152 Nuveen CA Dividend Advantage M COM 67066Y105 181 13600 SH Sole 13600 PIMCO Calif Mun Inc Fund II COM 72200M108 134 13584 SH Sole 13584 Van Kampen Cal Value Muni In COM 92112B107 233 18233 SH Sole 16281 1952 Nuveen Multi-Strategy Income & COM 67073b106 69 10000 SH Sole 10000 Nuveen Quality Pfd Income Fd COM 67071s101 70 10400 SH Sole 10400 Western Asset High Income Oppo COM 95766k109 142 24395 SH Sole 24395 Western Asset Income Fund COM 95766T100 782 58176 SH Sole 22213 35963 Western Asset Premier Bond Fun COM 957664105 355 27250 SH Sole 11450 15800 Global High Income Fund, Inc COM 37933G108 149 11791 SH Sole 9774 2017 Templeton Global Income Fund COM 880198106 612 65850 SH Sole 38900 26950 DIAMONDS Trust Series I 252787106 791 8150 SH Sole 3400 4750 Midcap SPDR Tr Unit Ser 1 ETF 595635103 251 2004 SH Sole 1109 895 S&P 500 Depository Receipts 78462F103 1189 11263 SH Sole 5703 5560 SPDR S&P Dividend ETF 78464A763 582 13200 SH Sole 7300 5900 Vanguard Total Stock Market ET 922908769 225 4200 SH Sole 4200 iShares MSCI Eafe Index Fund 464287465 487 8913 SH Sole 1200 7713 3M Company COM 88579Y101 9155 124056 SH Sole 76359 47697 AT&T Inc. COM 00206R102 4730 175125 SH Sole 114090 61035 Abbott Laboratories COM 002824100 15884 321084 SH Sole 247903 73181 Accenture PLC Cl A COM G1151C101 14652 393135 SH Sole 315395 77740 Adobe Systems COM 00724F101 3106 94003 SH Sole 64703 29300 Agilent Technologies COM 00846U101 9303 334269 SH Sole 314346 19923 Albemarle Corp. COM 012653101 2034 58800 SH Sole 58800 Altria Group, Inc. COM 02209S103 3158 177300 SH Sole 110020 67280 America Movil S.A. de C.V. Ser COM 02364W105 670 15280 SH Sole 11850 3430 American Express Co. COM 025816109 4269 125936 SH Sole 96967 28969 American Phonemeter Corp-A COM 028870103 0 10000 SH Sole 10000 Amgen, Inc. COM 031162100 5075 84261 SH Sole 51046 33215 Anadarko Petroleum COM 032511107 559 8914 SH Sole 8914 Apache Corp COM 037411105 2289 24928 SH Sole 18896 6032 Apple Computer, Inc. COM 037833100 453 2442 SH Sole 1967 475 Applied Materials Inc. COM 038222105 147 11000 SH Sole 9000 2000 Automatic Data Proc. COM 053015103 4775 121511 SH Sole 82991 38520 Avery Dennison Corp. COM 053611109 477 13237 SH Sole 9507 3730 BHP Billiton ADR COM 088606108 73 1100 SH Sole 100 1000 BMC Software Inc. COM 055921100 691 18400 SH Sole 6400 12000 BP PLC - Spons ADR COM 055622104 15392 289151 SH Sole 99363 189788 BRE Properties Cl A COM 05564E106 3460 110553 SH Sole 65875 44678 Baldor Electric Co COM 057741100 715 26168 SH Sole 23170 2998 Bank of America Corp. COM 060505104 1647 97364 SH Sole 71858 25506 Bank of New York Mellon Corp. COM 064058100 11415 393769 SH Sole 333936 59833 Bard (C.R.) COM 067383109 315 4010 SH Sole 2700 1310 Baxter Intl Inc. COM 071813109 1315 23067 SH Sole 14165 8902 Becton Dickinson & Co. COM 075887109 1269 18200 SH Sole 700 17500 Bed Bath & Beyond COM 075896100 1134 30218 SH Sole 15700 14518 Bemis Company COM 081437105 719 27765 SH Sole 5365 22400 Berkshire Hathaway (100=1 Clas COM 1309198 1212 1200 SH Sole 900 300 Berkshire Hathaway A COM 084670108 1616 16 SH Sole 14 2 Berkshire Hathaway B COM 084670207 8610 2591 SH Sole 2029 562 Boeing Co. COM 097023105 2650 48930 SH Sole 35044 13886 Boswell J G Co COM 101205102 272 565 SH Sole 565 Bristol-Myers Squibb Co. COM 110122108 4035 179161 SH Sole 112373 66788 Burlington Northern Inc. COM 12189T104 963 12068 SH Sole 10618 1450 Campbell Soup Co. COM 134429109 382 11700 SH Sole 7900 3800 Canon Inc. ADR COM 138006309 2143 53598 SH Sole 30799 22799 Casey's General Stores COM 147528103 599 19100 SH Sole 15750 3350 Caterpillar Inc. COM 149123101 2380 46373 SH Sole 33047 13326 Cathay Intl Hld COM 8 19000 SH Sole 19000 Cedar Fair L.P. COM 150185106 159 15060 SH Sole 13060 2000 Chevron Corp. COM 166764100 21096 299532 SH Sole 198718 100814 Chubb Corp. COM 171232101 447 8860 SH Sole 8300 560 Cintas Corp. COM 172908105 487 16075 SH Sole 10800 5275 Cisco Systems, Inc. COM 17275R102 15532 659797 SH Sole 523910 135887 Citigroup Inc. COM 172967101 490 101290 SH Sole 43890 57400 Clorox Company COM 189054109 2291 38943 SH Sole 17160 21783 Coca-Cola Company COM 191216100 2263 42145 SH Sole 36530 5615 Colgate-Palmolive Co. COM 194162103 13988 183377 SH Sole 153449 29928 Comcast Corp. Class A COM 20030N101 222 13157 SH Sole 10938 2219 Computer Sciences Corp. COM 205363104 417 7920 SH Sole 6370 1550 ConocoPhillips COM 20825C104 6612 146418 SH Sole 118136 28282 Consolidated Edison Ny COM 209115104 383 9350 SH Sole 2500 6850 Corning Inc. COM 219350105 317 20700 SH Sole 19300 1400 Costco Wholesale Corp. COM 22160K105 19557 346877 SH Sole 268190 78687 Cummins Inc COM 231021106 1827 40782 SH Sole 782 40000 Danaher Corp. COM 235851102 206 3063 SH Sole 912 2151 Dell Inc. COM 24702R101 165 10823 SH Sole 10195 628 Devon Energy Corp. COM 25179M103 123 1825 SH Sole 1825 Disney Co., Walt COM 254687106 2504 91205 SH Sole 72280 18925 Dominion Resources Inc. COM 25746U109 203 5896 SH Sole 5896 Dow Chemical Company COM 260543103 493 18922 SH Sole 9534 9388 Du Pont E I De Nemours COM 263534109 473 14717 SH Sole 11275 3442 Duke Energy Corp. COM 26441C105 197 12544 SH Sole 3108 9436 EMC Corporation COM 268648102 4347 255127 SH Sole 206851 48276 Ecolab, Inc. COM 278865100 1513 32727 SH Sole 27902 4825 Edison International COM 281020107 523 15573 SH Sole 13173 2400 Emerson Electric Co. COM 291011104 11563 288492 SH Sole 178522 109970 Enbridge Energy Partners LP COM 29250R106 392 8700 SH Sole 5500 3200 Energizer Holdings, Inc. COM 29266R108 883 13317 SH Sole 12300 1017 Equity Residential COM 29476L107 428 13950 SH Sole 8150 5800 Exelon Corp COM 30161N101 210 4225 SH Sole 1741 2484 Express Scripts, Inc. COM 302182100 225 2900 SH Sole 1500 1400 ExxonMobil Corporation COM 30231G102 42817 624066 SH Sole 407470 216596 FPL Group Inc. COM 302571104 483 8741 SH Sole 5141 3600 Farmers and Merchants Bank COM 308243104 596 152 SH Sole 77 75 First Industrial Realty Trust COM 32054K103 105 20000 SH Sole 20000 FirstEnergy Corp. COM 337932107 385 8421 SH Sole 7421 1000 Frontier Communications Corp. COM 35906A108 90 12000 SH Sole 6204 5796 Gannett Inc. COM 364730101 127 10155 SH Sole 1355 8800 Gen-ID Lab Services, Inc. COM 36868E104 0 40000 SH Sole 40000 General Dynamics COM 369550108 13 198 SH Sole 198 General Electric Co. COM 369604103 24439 1488359 SH Sole 1030573 457786 Genworth Financial Inc-Cl A COM 37247D106 3330 278686 SH Sole 242751 35935 GlaxoSmithKline PLC-ADR COM 37733W105 520 13168 SH Sole 6283 6885 Goldman Sachs Group Inc. COM 38141G104 1150 6238 SH Sole 5438 800 Google Inc-CL A COM 38259P508 477 962 SH Sole 677 285 Harsco Corp COM 415864107 202 5708 SH Sole 5708 Heinz, H J Company COM 423074103 2110 53072 SH Sole 17555 35517 Hewlett-Packard Co. COM 428236103 54419 1152711 SH Sole 1063841 88870 Highlands Insurance Group COM 431032101 0 10000 SH Sole 10000 Home Depot, Inc. COM 437076102 3566 133842 SH Sole 96279 37563 Honeywell Int'l Inc. COM 438516106 3917 105432 SH Sole 102912 2520 Hubbell Inc. COM 443510201 242 5750 SH Sole 5750 Illinois Tool Works Inc. COM 452308109 3104 72687 SH Sole 48677 24010 Ingersoll-Rand PLC COM G47791101 6390 208352 SH Sole 179081 29271 Intel Corp. COM 458140100 15096 771396 SH Sole 580893 190503 International Bus Mach COM 459200101 26797 224040 SH Sole 156708 67332 Intuit Inc. COM 461202103 590 20700 SH Sole 20700 J.P. Morgan Chase & Co. COM 46625H100 9541 217723 SH Sole 132978 84745 Jacobs Engineering Group Inc. COM 469814107 15852 344983 SH Sole 277576 67407 Johnson & Johnson COM 478160104 26964 442832 SH Sole 331121 111711 Johnson Controls Inc. COM 478366107 14144 553359 SH Sole 458574 94785 Kellogg Co. COM 487836108 1302 26443 SH Sole 6693 19750 Keycorp New COM 493267108 329 50593 SH Sole 36193 14400 Kimberly-Clark Corp. COM 494368103 1049 17785 SH Sole 11450 6335 Kinder Morgan Energy Prtnrs COM 494550106 181 3358 SH Sole 2025 1333 Kohls Corp COM 500255104 6016 105459 SH Sole 85352 20107 Kraft Foods Inc. COM 50075N104 2557 97334 SH Sole 62806 34528 Lilly Eli & Co. COM 532457108 286 8663 SH Sole 1973 6690 Lincoln National Corp. COM 534187109 394 15188 SH Sole 15188 Lockheed Martin Corp. COM 539830109 1385 17743 SH Sole 16743 1000 Lowe's Companies COM 548661107 12139 579709 SH Sole 456010 123699 Magellan Midstream Partners COM 559080106 502 13350 SH Sole 8600 4750 Manulife Financial Corporation COM 56501R106 260 12400 SH Sole 12400 Marathon Oil Corporation COM 565849106 360 11295 SH Sole 2957 8338 Marriott Int'l, Inc. COM 571903202 202 7307 SH Sole 7207 100 Marsh & McLennan Companies COM 571748102 697 28200 SH Sole 3000 25200 Matthews International Corp Cl COM 577128101 234 6600 SH Sole 6600 McDonald's Corp. COM 580135101 8378 146808 SH Sole 109943 36866 McGraw-Hill Companies, Inc. COM 580645109 476 18920 SH Sole 12360 6560 Medco Health Solutions, Inc. COM 58405U102 443 8005 SH Sole 6216 1789 Medtronic Inc. COM 585055106 12176 330868 SH Sole 264450 66418 Merck & Co., Inc. New COM 53933Y105 1156 36546 SH Sole 19434 17112 Meredith Corp. COM 589433101 557 18600 SH Sole 5600 13000 Microsoft Corp. COM 594918104 12264 476836 SH Sole 327462 149374 Minerals Technologies Inc. COM 603158106 721 15150 SH Sole 13540 1610 Monsanto Company COM 61166W101 188 2424 SH Sole 2224 200 Motorola Inc. COM 620076109 90 10534 SH Sole 7636 2898 Nestle Sponsored ADR COM 641069406 896 21057 SH Sole 15030 6027 NewMarket Corp COM 651587107 1210 13000 SH Sole 13000 News Corp. Inc. Class A COM 65248E104 326 27236 SH Sole 27182 54 Nike, Inc. COM 654106103 2698 41700 SH Sole 34600 7100 Nokia Corp. ADR A COM 654902204 293 20010 SH Sole 4860 15150 Nordstrom Inc. COM 655664100 296 9700 SH Sole 6400 3300 Norfolk Southern Corp. COM 655844108 336 7800 SH Sole 5100 2700 Northrop Grumman Corp. COM 666807102 1411 27263 SH Sole 27263 Novartis AG ADS COM 66987V109 6965 138257 SH Sole 107229 31028 Nucor Corp. COM 670346105 6255 133062 SH Sole 111585 21477 Occidental Petroleum COM 674599105 927 11830 SH Sole 3830 8000 Oneok Partners LP COM 68268N103 532 10050 SH Sole 6200 3850 Oracle Systems COM 68389X105 7477 358792 SH Sole 302123 56669 PPG Industries, Inc. COM 693506107 806 13845 SH Sole 6755 7090 PS Business Parks Inc COM 69360J107 249 4854 SH Sole 4854 Paccar Inc. COM 693718108 176 4675 SH Sole 3475 1200 Pall Corp. COM 696429307 1691 52375 SH Sole 41350 11025 PepsiCo Inc. COM 713448108 12332 210225 SH Sole 150010 60215 Pfizer, Inc. COM 717081103 5040 304507 SH Sole 178332 126175 Philip Morris Intl COM 718172109 7779 159605 SH Sole 105175 54430 Pitney Bowes Inc. COM 724479100 205 8233 SH Sole 8233 Plains All American Pipeline L COM 726503105 927 20033 SH Sole 13044 6989 Plum Creek Timber L.P. COM 729251108 818 26683 SH Sole 26600 83 Precision Castparts Corp COM 740189105 10862 106625 SH Sole 93528 13097 Procter & Gamble Co. COM 742718109 19841 342563 SH Sole 222168 120395 Progress Energy COM 743263105 228 5832 SH Sole 800 5032 Protective Life Corp. COM 743674103 512 23920 SH Sole 18720 5200 Public Storage COM 395 5252 SH Sole 5252 Public Storage Inc. COM 74460D109 4597 61102 SH Sole 20165 40937 QUALCOMM, Inc. COM 747525103 963 21414 SH Sole 5014 16400 Raytheon Company COM 755111507 321 6700 SH Sole 3300 3400 Realty Income Corp. COM 756109104 341 13278 SH Sole 8306 4972 Regions Financial Corp. COM 7591EP100 65 10500 SH Sole 500 10000 Reliance Steel & Aluminum COM 759509102 285 6700 SH Sole 2700 4000 Roche Dividend Right Cert COM H69293217 500 3100 SH Sole 3100 Rockwell Automation, Inc. COM 773903109 248 5815 SH Sole 5440 375 Rockwell Collins COM 774341101 272 5355 SH Sole 4980 375 Royal Dutch Shell PLC-ADR A COM 780259206 2743 47969 SH Sole 35428 12541 SYSCO Corp. COM 871829107 8309 334366 SH Sole 215861 118505 Sara Lee Corp. COM 803111103 287 25766 SH Sole 11400 14366 Schering Plough Corp. COM 806605101 1013 35847 SH Sole 30197 5650 Schlumberger Ltd COM 806857108 25681 430883 SH Sole 326865 104018 Sempra Energy COM 816851109 870 17473 SH Sole 8952 8521 Sigma-Aldrich Corp. COM 826552101 15159 280829 SH Sole 199174 81655 Southern Company COM 842587107 389 12275 SH Sole 1800 10475 Southwest Water COM 845331107 1643 333872 SH Sole 333872 Sovran Self Storage COM 84610H108 400 13150 SH Sole 12350 800 Sport Chalet Class A COM 849163209 61 33900 SH Sole 28000 5900 Starbucks Corp. COM 855244109 288 13970 SH Sole 12270 1700 Stericycle, Inc. COM 858912108 24 500 SH Sole 500 Stryker Corporation COM 863667101 11861 261077 SH Sole 214828 46249 Symantec Corporation COM 871503108 374 22712 SH Sole 11400 11312 Target Corp COM 87612E106 7594 162673 SH Sole 128251 34422 Telefonos De Mexico Sa COM 879403780 202 11600 SH Sole 10400 1200 Telemex Internactional SAB ADR COM 879690105 162 11600 SH Sole 10400 1200 Teva Pharmaceutical Industries COM 881624209 2496 49363 SH Sole 33770 15593 Texas Instruments COM 882508104 2483 104799 SH Sole 81697 23102 Timestrip PLC COM B0Z7YX6 U 2 20000 SH Sole 20000 Toll Brothers, Inc. COM 889478103 364 18650 SH Sole 11550 7100 Tootsie Roll Inds COM 890516107 724 30465 SH Sole 17050 13415 Transocean Ltd. COM H8817H100 2261 26440 SH Sole 19175 7265 Tredegar Corporation COM 894650100 479 33000 SH Sole 33000 U.S. Bancorp COM 902973304 166 7584 SH Sole 3284 4300 Unilever N V COM 904784709 312 10803 SH Sole 9403 1400 Union Pacific COM 907818108 887 15200 SH Sole 12800 2400 United Parcel Service COM 911312106 28791 509845 SH Sole 478129 31716 United Technologies COM 913017109 2656 43591 SH Sole 38541 5050 UnitedHealth Group Inc. COM 91324P102 455 18170 SH Sole 14220 3950 Vanguard Small-Cap ETF COM 922908751 225 4056 SH Sole 4056 Verigy Ltd. COM Y93691106 356 30600 SH Sole 30366 234 Verizon Comm. COM 92343V104 4120 136116 SH Sole 97474 38642 Vodafone Group Plc COM 92857W209 3350 148873 SH Sole 111066 37807 Wal-Mart Stores, Inc. COM 931142103 5928 120748 SH Sole 81292 39456 Walgreen Co. COM 931422109 19015 507459 SH Sole 432716 74743 Wells Fargo & Co. COM 949746101 15309 543259 SH Sole 453071 90188 Wesco Financial COM 950817106 430 1321 SH Sole 1321 Wisconsin Energy Corp. COM 976657106 353 7813 SH Sole 1500 6313 Wyeth COM 983024100 10842 223182 SH Sole 122317 100865 Zimmer Holdings Inc. COM 98956P102 674 12606 SH Sole 5730 6876 iShares Goldman Sachs Tech Ind COM 464287549 241 4900 SH Sole 4300 600
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