0001085146-11-001079.txt : 20111102 0001085146-11-001079.hdr.sgml : 20111102 20111102113229 ACCESSION NUMBER: 0001085146-11-001079 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111102 DATE AS OF CHANGE: 20111102 EFFECTIVENESS DATE: 20111102 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SFE Investment Counsel CENTRAL INDEX KEY: 0001317784 IRS NUMBER: 953176708 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11318 FILM NUMBER: 111173518 BUSINESS ADDRESS: STREET 1: 1000 WILSHIRE BOULEVARD STREET 2: SUITE 1950 CITY: LOS ANGELES STATE: CA ZIP: 90017 BUSINESS PHONE: 213-612-0220 MAIL ADDRESS: STREET 1: 1000 WILSHIRE BOULEVARD STREET 2: SUITE 1950 CITY: LOS ANGELES STATE: CA ZIP: 90017 13F-HR 1 sfe3q2011.txt SFE INVESTMENT COUNSEL 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, 2011 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: SFE Investment Counsel Address: 801 South Figueroa Street, Suite 2100 Los Angeles, CA 90017 13F File Number: 028-11318 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: Jon Michael Kmett Title: President Phone: 213-612-0220 Signature, Place, and Date of Signing: /s/ Jon Michael Kmett Los Angeles, CA November 01, 2011 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: 76 Form 13F Information Table Value Total: $134,097 (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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M CO COM 88579Y101 2415 33645 SH SOLE 33645 0 0 ABBOTT LABS COM 002824100 4696 91825 SH SOLE 91825 0 0 AMERICAN WTR WKS CO INC NEW COM 030420103 638 21135 SH SOLE 21135 0 0 ANTARES PHARMA INC COM 036642106 104 45000 SH SOLE 45000 0 0 APPLE INC COM 037833100 4270 11197 SH SOLE 11197 0 0 APPLIED MATLS INC COM 038222105 159 15350 SH SOLE 15350 0 0 AT&T INC COM 00206R102 308 10783 SH SOLE 10783 0 0 AZZ INC COM 002474104 1113 28700 SH SOLE 28700 0 0 BANK OF AMERICA CORPORATION COM 060505104 71 11603 SH SOLE 11603 0 0 BE AEROSPACE INC COM 073302101 1482 44760 SH SOLE 44760 0 0 BECTON DICKINSON & CO COM 075887109 4428 60392 SH SOLE 60392 0 0 BED BATH & BEYOND INC COM 075896100 343 5990 SH SOLE 5990 0 0 BOEING CO COM 097023105 2315 38260 SH SOLE 38260 0 0 BREITBURN ENERGY PARTNERS LP COM UT LTD PTN 106776107 6049 347662 SH SOLE 347662 0 0 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 1117 17866 SH SOLE 17866 0 0 CAPSTEAD MTG CORP COM NO PAR 14067E506 322 27890 SH SOLE 27890 0 0 CHESAPEAKE ENERGY CORP COM 165167107 1122 43915 SH SOLE 43915 0 0 CHEVRON CORP NEW COM 166764100 284 3065 SH SOLE 3065 0 0 CISCO SYS INC COM 17275R102 2262 145940 SH SOLE 145940 0 0 CLEAN HARBORS INC COM 184496107 307 5982 SH SOLE 5982 0 0 COLGATE PALMOLIVE CO COM 194162103 369 4162 SH SOLE 4162 0 0 CONSOLIDATED EDISON INC COM 209115104 286 5022 SH SOLE 5022 0 0 CORNING INC COM 219350105 2719 219981 SH SOLE 219981 0 0 COSTCO WHSL CORP NEW COM 22160K105 1281 15600 SH SOLE 15600 0 0 DELUXE CORP COM 248019101 944 50760 SH SOLE 50760 0 0 DOMINION RES INC VA NEW COM 25746u109 1894 37310 SH SOLE 37310 0 0 DONALDSON INC COM 257651109 4087 74588 SH SOLE 74588 0 0 DUKE ENERGY CORP NEW COM 26441c105 235 11743 SH SOLE 11743 0 0 E M C CORP MASS COM 268648102 2357 112285 SH SOLE 112285 0 0 EATON CORP COM 278058102 363 10212 SH SOLE 10212 0 0 EXXON MOBIL CORP COM 30231G102 602 8286 SH SOLE 8286 0 0 FIRST SOLAR INC COM 336433107 478 7562 SH SOLE 7562 0 0 FLY LEASING LTD SPONSORED ADR 34407D109 6206 546824 SH SOLE 546824 0 0 GENCO SHIPPING & TRADING LTD SHS Y2685T107 1335 170915 SH SOLE 170915 0 0 GENERAL ELECTRIC CO COM 369604103 427 28050 SH SOLE 28050 0 0 GOOGLE INC CL A 38259p508 500 971 SH SOLE 971 0 0 HCP INC COM 40414l109 510 14540 SH SOLE 14540 0 0 HEALTHCARE SVCS GRP INC COM 421906108 1482 91820 SH SOLE 91820 0 0 HEINZ H J CO COM 423074103 2278 45130 SH SOLE 45130 0 0 HELMERICH & PAYNE INC COM 423452101 534 13160 SH SOLE 13160 0 0 HEXCEL CORP NEW COM 428291108 211 9520 SH SOLE 9520 0 0 INTEL CORP COM 458140100 2779 130251 SH SOLE 130251 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 967 5530 SH SOLE 5530 0 0 ITC HLDGS CORP COM 465685105 561 7240 SH SOLE 7240 0 0 JACOBS ENGR GROUP INC DEL COM 469814107 3679 113923 SH SOLE 113923 0 0 JOHNSON & JOHNSON COM 478160104 723 11345 SH SOLE 11345 0 0 KAYNE ANDERSON MLP INVSMNT C COM 486606106 4923 176955 SH SOLE 176955 0 0 KEYCORP NEW COM 493267108 75 12596 SH SOLE 12596 0 0 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 3081 45057 SH SOLE 45057 0 0 LOWES COS INC COM 548661107 2469 127659 SH SOLE 127659 0 0 MESABI TR CTF BEN INT 590672101 1648 79045 SH SOLE 79045 0 0 MORGAN STANLEY INDIA INVS FD COM 61745C105 252 15022 SH SOLE 15022 0 0 NEXTERA ENERGY INC COM 65339F101 3157 58440 SH SOLE 58440 0 0 NOKIA CORP SPONSORED ADR 654902204 1291 228045 SH SOLE 228045 0 0 NORDIC AMERICAN TANKERS LIMI COM G65773106 2566 181980 SH SOLE 181980 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 909 12707 SH SOLE 12707 0 0 ONEOK PARTNERS LP UNIT LTD PARTN 68268n103 4172 89482 SH SOLE 89482 0 0 PENN VA RESOURCES PARTNERS L COM 707884102 2703 115580 SH SOLE 115580 0 0 PLUM CREEK TIMBER CO INC COM 729251108 4040 116391 SH SOLE 116391 0 0 PROVIDENT ENERGY LTD NEW COM 74386V100 3006 368355 SH SOLE 368355 0 0 QUALCOMM INC COM 747525103 3276 67370 SH SOLE 67370 0 0 RLI CORP COM 749607107 290 4566 SH SOLE 4566 0 0 RPM INTL INC COM 749685103 784 41948 SH SOLE 41948 0 0 SIGMA ALDRICH CORP COM 826552101 3598 58225 SH SOLE 58225 0 0 STERIS CORP COM 859152100 1113 38040 SH SOLE 38040 0 0 SUBURBAN PROPANE PARTNERS L UNIT LTD PARTN 864482104 2206 47532 SH SOLE 47532 0 0 TENNANT CO COM 880345103 240 6785 SH SOLE 6785 0 0 TOWERSTREAM CORP COM 892000100 32 12500 SH SOLE 12500 0 0 UNITED NAT FOODS INC COM 911163103 1624 43836 SH SOLE 43836 0 0 US BANCORP DEL COM NEW 902973304 2137 90787 SH SOLE 90787 0 0 VARIAN MED SYS INC COM 92220p105 576 11034 SH SOLE 11034 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 4512 122601 SH SOLE 122601 0 0 VOLCANO CORPORATION COM 928645100 1684 56832 SH SOLE 56832 0 0 WALGREEN CO COM 931422109 2673 81285 SH SOLE 81285 0 0 WELLS FARGO & CO NEW COM 949746101 3170 131438 SH SOLE 131438 0 0 WHOLE FOODS MKT INC COM 966837106 278 4250 SH SOLE 4250 0 0