-----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, OHqUcW3Ed7OdWPXo61cUFvKNjwnIKxpHJPOECtaTjvEnyCzK+RW7OpaTZTrydwH+ 3yEn7R6VPRr99iSvO9oGKg== 0001144204-09-057353.txt : 20091109 0001144204-09-057353.hdr.sgml : 20091109 20091109123801 ACCESSION NUMBER: 0001144204-09-057353 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: FCA CORP /TX CENTRAL INDEX KEY: 0001166402 IRS NUMBER: 760076528 STATE OF INCORPORATION: TX FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10019 FILM NUMBER: 091167335 BUSINESS ADDRESS: STREET 1: 5847 SAN FELIPE # 850 CITY: HOUSTON STATE: TX ZIP: 77057 BUSINESS PHONE: 7137812856 MAIL ADDRESS: STREET 1: 5847 SAN FELIPE CITY: HOUSTON STATE: TX ZIP: 77057 13F-HR 1 v164723_13fhr.txt UNITED STATES SEUCRITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F Report for the Calendar Year or quarter Ended September 30, 2009 If amended report check here: [ ] Amendment Number:___ This Amendment (Check only one): [ ] is a restatement [ ] adds new holding entries FCA Corp - -------------------------------------------------------------------------------- Name of Insitutional Investment Manager 5847 San Felipe, Suite 850 Houston Texas 77057 - -------------------------------------------------------------------------------- Business Address (Street) (City) (State) (Zip Code) 13F File Number: 028-10019 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, and tables are considered integral parts of this form. Person signing this Report on behalf of Reporting Manager: Ruth Willars Chief Compliance Officer 713-260-1431 - -------------------------------------------------------------------------------- Name Title Telephone /s/ Ruth Willars -------------------------------- Manual Signature of Person Duly Authorized to submit this Report Houston, TX 11-04-2009 -------------------------------- Place and Date of Signing Report Type: [X] 13F Holdings Report [ ] 13F Notice [ ] 13F Combination Report Report Summary: Number of other included managers: 0 Form 13F information table entry total: 173 Form 13F table value total: $120,272 List of other included Managers: None FCA Corp Form 13(f) For the Quarter Ended September 30, 2009 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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 1ST CENTURY BANCSHARES INC COM 31943X102 257 62800 SH Sole 62800 3M CO COM 88579Y101 986 13365 SH Sole 13365 AGCO CORP COM 001084102 332 12000 SH Defined 12000 ALAMO GROUP INC COM 011311107 997 63109 SH Sole 63109 ALTO PALERMO S.A.-ADR COM 02151P107 115 17000 SH Defined 17000 AMDOCS LTD COM G02602103 215 8000 SH Defined 8000 AMERICAN BUSINESS BANK COM 02475L105 737 43211 SH Sole 43211 AMERICAN EQUITY INVT LIFE HL COM 025676206 140 20000 SH Defined 20000 AMERICAN EXPRESS CO COM 025816109 603 17785 SH Sole 17785 AMERICAN NATIONAL INSURANCE COM 028591105 383 4498 SH Defined 4498 AMERICAN STATES WATER CO COM 029899101 1640 45319 SH Sole 45319 AMERON INTERNATIONAL CORP COM 030710107 1041 14875 SH Sole 14875 AMGEN INC COM 031162100 1646 27325 SH Sole 27325 ANALOG DEVICES INC COM 032654105 654 23700 SH Sole 23700 ANGLO AMERICAN PLC-UNSP ADR COM 03485P201 188 11830 SH Defined 11830 APPLE INC COM 037833100 2295 12382 SH Sole 12382 ARKEMA-SPONSORED ADR COM 041232109 218 6130 SH Defined 6130 AT&T INC COM 00206R102 908 33603 SH Sole 33603 AUTOMATIC DATA PROCESSING COM 053015103 1786 45450 SH Sole 45450 BANCO BILBAO VIZCAYA-SP ADR COM 05946K101 312 17497 SH Defined 17497 BANCO SANTANDER SA-SPON ADR COM 05964H105 275 17000 SH Defined 17000 BANK OF AMERICA CORP COM 060505104 402 23756 SH Sole 23756 BAXTER INTERNATIONAL INC COM 071813109 890 15616 SH Sole 15616 BHP BILLITON LTD-SPON ADR COM 088606108 528 8000 SH Defined 8000 BIMINI CAPITAL MANAGEMENT-A COM 090319104 3 10000 SH Sole 10000 BNP PARIBAS-ADR COM 05565A202 248 6000 SH Defined 6000 BP PLC-SPONS ADR COM 055622104 249 4680 SH Sole 4680 BUNGE LTD COM G16962105 407 6500 SH Defined 6500 BURLINGTON NORTHERN SANTA FE COM 12189T104 2641 33080 SH Sole 33080 CALIFORNIA WATER SERVICE GRP COM 130788102 1550 39800 SH Sole 39800 CAMDEN PROPERTY TRUST COM 133131102 201 5000 SH Defined 5000 CEMEX SAB-SPONS ADR PART CER COM 151290889 161 12480 SH Defined 12480 CHASE CORP COM 16150R104 315 26950 SH Sole 26950 CHEMED CORP COM 16359R103 228 5200 SH Defined 5200 CHEVRON CORP COM 166764100 1771 25150 SH Sole 25150 CIMAREX ENERGY CO COM 171798101 462 10675 SH Sole 10675 CISCO SYSTEMS INC COM 17275R102 276 11707 SH Sole 11707 CITIGROUP INC COM 172967101 58 11921 SH Sole 11921 COCA-COLA CO/THE COM 191216100 350 6524 SH Sole 6524 COLONIAL BANCGROUP INC COM 195493309 2 23792 SH Sole 23792 CONMED CORP COM 207410101 301 15720 SH Defined 15720 COOPER TIRE & RUBBER COM 216831107 422 24000 SH Sole 24000 CRH PLC-SPONSORED ADR COM 12626K203 255 9200 SH Defined 9200 CVS CAREMARK CORP COM 126650100 2249 62918 SH Sole 62918 DENTSPLY INTERNATIONAL INC COM 249030107 231 6700 SH Defined 6700 DOW CHEMICAL COM 260543103 630 24154 SH Sole 24154 DST SYSTEMS INC COM 233326107 331 7385 SH Defined 7385 DWS GLBL COMMOD STOCK FD INC COM 23338Y100 670 85100 SH Sole 85100 E.ON AG -SPONSORED ADR COM 268780103 340 8000 SH Defined 8000 ELECTRONIC ARTS INC COM 285512109 190 10000 SH Defined 10000 ENERGY SELECT SECTOR SPDR COM 81369Y506 1918 35570 SH Sole 35570 EVEREST RE GROUP LTD COM G3223R108 1651 18830 SH Sole 18830 EXTRA SPACE STORAGE INC COM 30225T102 158 15000 SH Defined 15000 EXXON MOBIL CORP COM 30231G102 1567 22835 SH Sole 22835 FIRST SEISMIC CORP COM 336397104 1 174742 SH Sole 174742 FIRST SOLAR INC COM 336433107 1043 6825 SH Sole 6825 FISERV INC COM 337738108 239 4960 SH Sole 4960 FPL GROUP INC COM 302571104 1149 20800 SH Sole 20800 FRANCE TELECOM SA-SPONS ADR COM 35177Q105 296 11000 SH Defined 11000 FRONTERA RESOURCES CORP COM 359044609 9 35000 SH Sole 35000 GENESEE & WYOMING INC-CL A COM 371559105 3438 113405 SH Sole 113405 GLAXOSMITHKLINE PLC-SPON ADR COM 37733W105 219 5532 SH Sole 5532 237 6000 SH Defined 6000 GRUPO TELEVISA SA-SPONS ADR COM 40049J206 279 15000 SH Defined 15000 HANG LUNG PROPERTIES-SP ADR COM 41043M104 332 18000 SH Defined 18000 HOME DEPOT INC COM 437076102 411 15420 SH Sole 15420 160 6000 SH Defined 6000 HOST HOTELS & RESORTS INC COM 44107P104 177 15000 SH Defined 15000 HOUSTON WIRE & CABLE CO COM 44244K109 630 57000 SH Sole 57000 HRPT PROPERTIES TRUST COM 40426W101 76 10100 SH Defined 10100 INCONTACT INC COM 45336E109 31 10500 SH Sole 10500 INGLES MARKETS INC -CL A COM 457030104 2172 137211 SH Sole 137211 INTEL CORP COM 458140100 625 31918 SH Sole 31918 INTEROIL CORP COM 460951106 471 12000 SH Defined 12000 INTL BUSINESS MACHINES CORP COM 459200101 373 3115 SH Sole 3115 INTL SPEEDWAY CORP-CL A COM 460335201 218 7900 SH Sole 7900 ISHARES COHEN & STEERS RLTY COM 464287564 734 15088 SH Sole 15088 146 3000 SH Defined 3000 ISHARES DJ US ENERGY SECTOR COM 464287796 350 10990 SH Sole 10990 ISHARES DJ US TRANSPORT AVG COM 464287192 391 5700 SH Sole 5700 ISHARES FTSE/XINHUA CHINA 25 COM 464287184 278 6800 SH Sole 6800 ISHARES MSCI AUSTRALIA INDEX COM 464286103 1175 52000 SH Defined 52000 ISHARES MSCI EAFE GROWTH INX COM 464288885 347 6500 SH Sole 6500 ISHARES MSCI EAFE INDEX FUND COM 464287465 2860 52305 SH Sole 52305 ISHARES MSCI EMERGING MKT IN COM 464287234 1658 42605 SH Sole 42605 ISHARES MSCI EMU COM 464286608 1265 33286 SH Sole 33286 ISHARES MSCI JAPAN INDEX FD COM 464286848 762 76620 SH Sole 76620 ISHARES MSCI PACIFIC EX JPN COM 464286665 232 5715 SH Sole 5715 ISHARES NASDAQ BIOTECH INDX COM 464287556 252 3100 SH Sole 3100 ISHARES S&P EUROPE 350 COM 464287861 1385 35932 SH Sole 35932 ISHARES S&P GLBL HEALTHCARE COM 464287325 2023 41850 SH Sole 41850 ISHARES S&P LATIN AMERICA 40 COM 464287390 329 7670 SH Sole 7670 ISHARES S&P MIDCAP 400 COM 464287507 1801 26114 SH Sole 26114 ISHARES S&P MIDCAP 400/VALUE COM 464287705 1103 17520 SH Sole 17520 JAMES HARDIE INDS-SPONS ADR COM 47030M106 412 12100 SH Defined 12100 JANUS CAPITAL GROUP INC COM 47102X105 780 55000 SH Sole 55000 JOHN HAN BK & THRIFT OPP FD COM 409735206 601 42503 SH Sole 42503 JOHNSON & JOHNSON COM 478160104 1985 32604 SH Sole 32604 KINGFISHER PLC-SPONS ADR COM 495724403 81 12000 SH Defined 12000 KITE REALTY GROUP TRUST COM 49803T102 42 10000 SH Defined 10000 KMG CHEMICALS INC COM 482564101 953 85908 SH Sole 85908 KVH INDUSTRIES INC COM 482738101 360 36000 SH Defined 36000 LASALLE HOTEL PROPERTIES COM 517942108 236 12000 SH Defined 12000 LMP REAL ESTATE INCOME FUND COM 50208C108 141 16000 SH Defined 16000 LOWE'S COS INC COM 548661107 1449 69200 SH Sole 69200 168 8000 SH Defined 8000 LUBRIZOL CORP COM 549271104 433 6055 SH Defined 6055 LUFKIN INDUSTRIES INC COM 549764108 532 10000 SH Defined 10000 MEDALLION FINANCIAL CORP COM 583928106 1083 129506 SH Sole 129506 MICROFINANCIAL INC COM 595072109 2182 628900 SH Sole 628900 MICROSOFT CORP COM 594918104 720 28010 SH Sole 28010 MIDCAP SPDR TRUST SERIES 1 COM 595635103 997 7961 SH Sole 7961 NESTLE SA-SPONS ADR FOR REG COM 641069406 331 7750 SH Defined 7750 NEXEN INC COM 65334H102 1174 52003 SH Sole 52003 NFJ DVD INTEREST & PR STRAT COM 65337H109 1084 80868 SH Sole 80868 NICE SYSTEMS LTD-SPONS ADR COM 653656108 304 10000 SH Defined 10000 NORFOLK SOUTHERN CORP COM 655844108 388 9000 SH Defined 9000 NORTHROP GRUMMAN CORP COM 666807102 233 4500 SH Sole 4500 NORTHWEST NATURAL GAS CO COM 667655104 208 5000 SH Defined 5000 NORTHWEST PIPE COMPANY COM 667746101 897 26750 SH Sole 26750 NOVARTIS AG-ADR COM 66987V109 1525 30275 SH Sole 30275 OIL SERVICES HOLDRS TRUST COM 678002106 887 7550 SH Sole 7550 OLD MUTUAL PLC-UNSPON ADR COM 680031200 380 30000 SH Defined 30000 PARKER DRILLING CO COM 701081101 431 79000 SH Sole 79000 PENTAIR INC COM 709631105 377 12760 SH Defined 12760 PFIZER INC COM 717081103 261 15750 SH Sole 15750 PLATINUM UNDERWRITERS HLDGS COM G7127P100 771 21519 SH Sole 21519 PORTUGAL TELECOM SGPS-SP ADR COM 737273102 215 20300 SH Defined 20300 POWERSHARES GLOBAL WATER POR COM 73936T623 1790 102400 SH Sole 102400 PRAXAIR INC COM 74005P104 1694 20735 SH Sole 20735 PROGRESS ENERGY INC COM 743263105 1417 36274 SH Sole 36274 PRUDENTIAL FINANCIAL INC COM 744320102 58 1168 SH Sole 1168 250 5000 SH Defined 5000 RED ALERT GROUP INC COM 75629Q105 0 25067 SH Sole 25067 REGAL BELOIT CORP COM 758750103 680 14870 SH Sole 14870 RGC RESOURCES INC COM 74955L103 607 22052 SH Sole 22052 ROYCE MICRO-CAP TRUST INC COM 780915104 533 73042 SH Sole 73042 ROYCE VALUE TRUST COM 780910105 2925 283066 SH Sole 283066 RYDEX S&P EQ WGT HEALTHCARE COM 78355W841 1160 22350 SH Sole 22350 SAP AG-SPONSORED ADR COM 803054204 244 5000 SH Defined 5000 SIEMENS AG-SPONS ADR COM 826197501 279 3000 SH Defined 3000 STRATUS MEDIA GROUP INC COM 863165106 149 64919 SH Sole 64919 SUBURBAN PROPANE PARTNERS LP COM 864482104 1101 26329 SH Sole 26329 SWS GROUP INC COM 78503N107 147 10191 SH Sole 10191 TEVA PHARMACEUTICAL-SP ADR COM 881624209 20 400 SH Sole 400 414 8198 SH Defined 8198 TEXAS INSTRUMENTS INC COM 882508104 204 8600 SH Sole 8600 TOTAL SA-SPON ADR COM 89151E109 308 5200 SH Defined 5200 UDR INC COM 902653104 258 16375 SH Sole 16375 119 7565 SH Defined 7565 UNILEVER N V -NY SHARES COM 904784709 260 9000 SH Defined 9000 UNITED FIRE & CASUALTY CO COM 910331107 838 46837 SH Sole 46837 UNITED TECHNOLOGIES CORP COM 913017109 2106 34566 SH Sole 34566 VALE SA-SP ADR COM 91912E105 231 10000 SH Defined 10000 VALERO ENERGY CORP COM 91913Y100 37 1900 SH Sole 1900 388 20000 SH Defined 20000 VALMONT INDUSTRIES COM 920253101 852 10000 SH Sole 10000 VARIAN SEMICONDUCTOR EQUIP COM 922207105 460 14000 SH Defined 14000 VITRAN CORP INC COM 92850E107 144 16000 SH Defined 16000 VTEX ENERGY INC COM 92908G104 0 10000 SH Sole 10000 WASTE MANAGEMENT INC COM 94106L109 1467 49190 SH Sole 49190 WEATHERFORD INTL LTD COM H27013103 2960 142800 SH Sole 142800 WELLS FARGO & CO COM 949746101 440 15600 SH Sole 15600 WGL HOLDINGS INC COM 92924F106 1391 41971 SH Sole 41971 WILLIAMS COS INC COM 969457100 2889 161668 SH Sole 161668 WYNDHAM WORLDWIDE CORP COM 98310W108 163 10000 SH Defined 10000 ISHARES BARCLAYS 7-10 YEAR COM 464287440 233 2520 SH Sole 2520 ISHARES BARCLAYS TIPS BOND COM 464287176 267 2600 SH Sole 2600 ISHARES S&P CALI MUNI BOND COM 464288356 498 4600 SH Sole 4600 MORGAN STANLEY INSD CA MUNI COM 61745P825 154 11280 SH Sole 11280 NUVEEN CA SEL T/F INC PORT COM 67063R103 177 12930 SH Sole 12930 VAN KAMPEN SENIOR INCOME TRS COM 920961109 73 18600 SH Sole 18600 FORD MOTOR CAP TR II 6.5% CUM CONV 345395206 206 6850 SH Sole 6850
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