-----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, LjyBd7zv4Tw0wbk5uacx4pow1Yp4vL2XYeZPvroLZwjuV8CzIBs01ItK+R7iT8xi 5PGkSSHM7aM/V41SPqUpGw== 0000950159-09-002020.txt : 20091109 0000950159-09-002020.hdr.sgml : 20091109 20091109105626 ACCESSION NUMBER: 0000950159-09-002020 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: Lockwood Capital Management, Inc. CENTRAL INDEX KEY: 0001372269 IRS NUMBER: 232824427 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11973 FILM NUMBER: 091166960 BUSINESS ADDRESS: STREET 1: 20 VALLEY STREAM PARKWAY CITY: MALVERN STATE: PA ZIP: 19355 BUSINESS PHONE: (610) 695-9150 MAIL ADDRESS: STREET 1: 20 VALLEY STREAM PARKWAY CITY: MALVERN STATE: PA ZIP: 19355 FORMER COMPANY: FORMER CONFORMED NAME: Lockwood Financial Services, Inc. DATE OF NAME CHANGE: 20060810 13F-HR 1 lockwood13fhr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for 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: Lockwood Capital Management, Inc. (formerly known as Lockwood Financial Services, Inc.) Address: 10 Valley Stream Parkway, Malvern, PA 19355 Form 13F File Number: 28-11973 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: Elizabeth C. Detwiler Lockwood Capital Management, Inc. (formerly known as Lockwood Financial Services, Inc.) Title: Assistant Secretary Phone: (610) 695-9150 Signature, Place, and Date of Signing: /s/ Elizabeth C. Detwiler Malvern, PA November 6, 2009 ------------------------- ----------- ----------------- Signature City, State Date 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: 1 Form 13F Information Table Entry Total: 167 ------------- Form 13F Information Table Entry Total: $1,034,958 ---------- (x $1,000) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name --- -------------------- ---- 1 028-12592 The Bank of New York Mellon 2
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - -------- -------- -------- -------- -------- -------- -------- -------- VOTING AUTHORITY TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER NAME OF ISSUE CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------- ------ ----- ----- ------- --- ---- ---------- -------- ---- ------ ---- ABB LTD SPONSORED ADR SPONSORED ADR 000375204 762 38,039 SH DEFINED 1 34,169 0 3,870 ACE LIMITED SHS SHS H0023R105 266 4,973 SH DEFINED 1 4,435 0 538 AEGON N V ORD AMER RE ORD AMER REG 007924103 687 81,149 SH DEFINED 1 73,049 0 8,100 AEROPOSTALE COM 007865108 322 7,414 SH DEFINED 1 6,682 0 732 AGRIUM INC COM 008916108 674 13,542 SH DEFINED 1 12,164 0 1,378 ALLSCRIPTS HEALTHCARE COM 01988P108 449 22,159 SH DEFINED 1 19,785 0 2,374 AMERICAN FINL GROUP H COM 025932104 320 12,563 SH DEFINED 1 11,187 0 1,376 AMERICAN PHYSICIANS C COM 028884104 325 11,274 SH DEFINED 1 10,086 0 1,188 AMERICAN TOWER CORP C CL A 029912201 456 12,522 SH DEFINED 1 11,264 0 1,258 AMERIGROUP CORP COM 03073T102 229 10,314 SH DEFINED 1 9,232 0 1,082 ANAREN MICROWAVE INC COM 032744104 376 22,135 SH DEFINED 1 19,606 0 2,529 ANGIODYNAMICS INC COM 03475V101 299 21,728 SH DEFINED 1 19,350 0 2,378 ANIXTER INTL INC COM 035290105 456 11,357 SH DEFINED 1 10,218 0 1,139 ASTRA ZENECA PLC ADR SPONSORED ADR 046353108 813 18,082 SH DEFINED 1 16,262 0 1,820 ATWOOD OCEANICS INC COM 050095108 376 10,660 SH DEFINED 1 9,614 0 1,046 AXA SA SPONSORED ADR SPONSORED ADR 054536107 2,362 87,325 SH DEFINED 1 78,354 0 8,971 BALLY TECHNOLOGIES IN COM 05874B107 289 7,540 SH DEFINED 1 6,686 0 854 BANCO SANTANDER CENT ADR 05964H105 1,337 82,760 SH DEFINED 1 73,816 0 8,944 BARCLAYS PLC ADR ADR 06738E204 256 10,808 SH DEFINED 1 9,755 0 1,053 BARRETT BILL CORP COM COM 06846N104 311 9,489 SH DEFINED 1 8,482 0 1,007 BEACON ROOFING SUPPLY COM 073685109 339 21,238 SH DEFINED 1 18,983 0 2,255 BRITISH AMERICAN TOB SPONSORED ADR 110448107 1,361 21,513 SH DEFINED 1 19,356 0 2,157 BT GROUP PLC ADR ADR 05577E101 1,594 76,621 SH DEFINED 1 68,842 0 7,779 CASS INFORMATION SYST COM 14808P109 226 7,565 SH DEFINED 1 6,759 0 806 CEPHALON INC COM 156708109 299 5,138 SH DEFINED 1 4,673 0 465 CEPHEID INC COM 15670R107 399 30,151 SH DEFINED 1 26,874 0 3,277 CHARLES RIV LABORATOR COM 159864107 205 5,540 SH DEFINED 1 4,912 0 628 CHEESECAKE FACTORY IN COM 163072101 325 17,567 SH DEFINED 1 15,765 0 1,802 CHEMED CORPORATION COM 16359R103 461 10,496 SH DEFINED 1 9,354 0 1,142 CHINA LIFE INS CO LTD SPON ADR REP H 16939P106 1,389 21,137 SH DEFINED 1 19,002 0 2,135 CIENA CORPORATION COM COM NEW 171779309 429 26,338 SH DEFINED 1 23,775 0 2,563 COACH INC COM 189754104 539 16,373 SH DEFINED 1 14,780 0 1,593 CONTINENTAL RES INC O COM 212015101 543 13,860 SH DEFINED 1 12,469 0 1,391 CORPORATE OFFICE PPTY SH BEN INT 22002T108 300 8,144 SH DEFINED 1 7,224 0 920 CROWN CASTLE INTL COR COM 228227104 748 23,846 SH DEFINED 1 21,492 0 2,354 CSG SYS INTL INC COM 126349109 283 17,697 SH DEFINED 1 15,706 0 1,991 DEALERTRACK HLDGS INC COM 242309102 243 12,875 SH DEFINED 1 11,321 0 1,554 DESARROLLADORA HOMEX SPONSORED ADR 25030W100 268 7,083 SH DEFINED 1 6,468 0 615 DIAGEO PLC SPONSORED SPON ADR NEW 25243Q205 986 16,030 SH DEFINED 1 14,276 0 1,754 DIGI INTL INC COM 253798102 263 30,862 SH DEFINED 1 27,377 0 3,485 DIODES INC COM 254543101 434 24,009 SH DEFINED 1 21,457 0 2,552 E.ON-AG-SPON ADR SPONSORED ADR 268780103 510 12,006 SH DEFINED 1 10,793 0 1,213 ECHELON CORP COM 27874N105 226 17,598 SH DEFINED 1 15,745 0 1,853 EDISON INTERNATIONAL COM 281020107 229 6,818 SH DEFINED 1 5,997 0 821 EXPRESS SCRIPTS INC C COM 302182100 576 7,430 SH DEFINED 1 6,679 0 751 EXXON MOBIL CORP COM 30231G102 1,654 24,104 SH DEFINED 1 23,823 0 281 F5 NETWORKS INC COM 315616102 340 8,580 SH DEFINED 1 7,631 0 949 FISERV INC COM 337738108 328 6,807 SH DEFINED 1 6,069 0 738 FOMENTO ECONOMICOMEX SPON ADR UNITS 344419106 948 24,923 SH DEFINED 1 22,378 0 2,545 FORRESTER RESH INC COM 346563109 267 10,004 SH DEFINED 1 8,991 0 1,013 FRANCE TELECOM ADR SP SPONSORED ADR 35177Q105 1,059 39,356 SH DEFINED 1 35,431 0 3,925 FRESENIUS MED CARE AG SPONSORED ADR 358029106 1,329 26,727 SH DEFINED 1 23,963 0 2,764 FUJIFILM HLDGS CORP A ADR 2 ORD 35958N107 314 10,544 SH DEFINED 1 9,555 0 989 GAMESTOP CORPORATION CL A 36467W109 330 12,471 SH DEFINED 1 11,199 0 1,272 GENTEX CORP COM 371901109 383 27,091 SH DEFINED 1 24,159 0 2,932 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 660 16,700 SH DEFINED 1 15,021 0 1,679 GRANITE CONSTRUCTION COM 387328107 241 7,789 SH DEFINED 1 6,907 0 882 GULFMARK OFFSHORE INC COM 402629109 311 9,507 SH DEFINED 1 8,534 0 973 GYMBOREE CORP COM 403777105 376 7,767 SH DEFINED 1 6,947 0 820 H & E EQUIP SVCS INC COM 404030108 336 29,624 SH DEFINED 1 26,262 0 3,362 HOLOGIC INC COM 436440101 351 21,474 SH DEFINED 1 19,335 0 2,139 HOME PPTYS NY INC COM 437306103 265 6,151 SH DEFINED 1 5,429 0 722 HONDA MOTOR CO SPON A AMERN SHS 438128308 577 19,036 SH DEFINED 1 17,128 0 1,908 HUNT, J B TRANSPORT S COM 445658107 275 8,547 SH DEFINED 1 7,739 0 808 IMPERIAL TOBACCO GROU SPONSORED ADR 453142101 1,248 21,579 SH DEFINED 1 19,370 0 2,209 INNERWORKINGS INC COM COM 45773Y105 73 14,835 SH DEFINED 1 13,362 0 1,473 INTERCONTINENTALEXCHA COM 45865V100 358 3,686 SH DEFINED 1 3,310 0 376 ISHARES TR BARCLAYS 1 1-3 YR TRS BB 464287457 44,193 526,042 SH DEFINED 1 444,424 0 81,618 ISHARES TR BARCLAYS 1 BARCLYS 1-3YR CR 464288646 67,719 648,835 SH DEFINED 1 540,101 0 108,734 ISHARES TR BARCLAYS T BARCLYS TIPS BD 464287176 48,823 474,558 SH DEFINED 1 395,432 0 79,127 ISHARES TR MSCI EAFE MSCI EAFE IDX 464287465 53,155 972,114 SH DEFINED 1 815,322 0 156,793 ISHARES TR RUSSELL 10 RUSSELL 1000 464287622 292 5,033 SH DEFINED 1 5,033 0 0 ISHARES TR RUSSELL 10 RUSSELL 1000 VAL 464287598 82,186 1,481,101 SH DEFINED 1 1,246,840 0 234,261 ISHARES TR RUSSELL 20 RUSSELL 2000 464287655 26,332 437,112 SH DEFINED 1 337,912 0 99,200 ISHARES TR RUSSELL MI RUSSELL MIDCAP 464287499 21,411 273,687 SH DEFINED 1 215,571 0 58,117 ISHARES TR RUSSELL MI RUSSELL MCP VL 464287473 63,497 1,792,692 SH DEFINED 1 1,512,760 0 279,933 ISHARES TR S&P GLOBAL S&P GLO INFRAS 464288372 39,703 1,184,091 SH DEFINED 1 1,011,900 0 172,191 JACK IN THE BOX INC COM 466367109 254 12,401 SH DEFINED 1 11,114 0 1,287 JOS A BANK CLOTHIERS COM 480838101 442 9875 SH DEFINED 1 8,834 0 1,041 KANSAS CITY SOUTHERN COM NEW 485170302 390 14,716 SH DEFINED 1 13,227 0 1,489 KBR INC COM COM 48242W106 507 21,785 SH DEFINED 1 19,592 0 2,193 KENSEY NASH CORP COM 490057106 319 11,023 SH DEFINED 1 9,789 0 1,234 KEYCORP COM 493267108 75 11,593 SH DEFINED 1 10,118 0 1,475 LABORATORY CORP AMER COM NEW 50540R409 492 7,483 SH DEFINED 1 6,764 0 719 LANDEC CORP COM COM 514766104 112 17,422 SH DEFINED 1 15,442 0 1,980 LEGG MASON INC COM 524901105 206 6,638 SH DEFINED 1 5,885 0 753 LIHIR GOLD LTD -ADR SPONSORED ADR 532349107 1,970 78,639 SH DEFINED 1 70,719 0 7,920 LKQ CORP COM 501889208 358 19,327 SH DEFINED 1 17,084 0 2,243 LOUISIANA PACIFIC COR COM 546347105 229 34,403 SH DEFINED 1 30,733 0 3,670 MAIDENFORM BRANDS INC COM 560305104 373 23,203 SH DEFINED 1 20,525 0 2,678 MARTEK BIOSCIENCES CO COM 572901106 213 9,423 SH DEFINED 1 8,387 0 1,036 MAXIM INTEGRATED PROD COM 57772K101 361 19,895 SH DEFINED 1 18,011 0 1,884 MAXIMUS INC COM 577933104 541 11,601 SH DEFINED 1 10,302 0 1,299 MEDICIS PHARMACEUTICA CL A NEW 584690309 561 26,270 SH DEFINED 1 23,515 0 2,755 MEDNAX INC COM COM 58502B106 426 7,763 SH DEFINED 1 6,900 0 863 MIDDLEBY CORP COM 596278101 449 8,171 SH DEFINED 1 7,318 0 853 MILLICOM INTL CELLULA SHS NEW L6388F110 454 6,242 SH DEFINED 1 5,588 0 654 MITSUBISHI UFJ FINANC SPONSORED ADR 606822104 1,423 266,406 SH DEFINED 1 239,063 0 27,343 MITSUI & CO LTD ADR ADR 606827202 324 1,245 SH DEFINED 1 1,107 0 138 MOOG INC CL A CL A 615394202 244 8,263 SH DEFINED 1 7,373 0 890 NATIONAL BK GREECE S SPONSORED ADR 633643408 78 10,820 SH DEFINED 1 9,868 0 952 NATIONAL GRID PLC ADR SPON ADR NEW 636274300 780 15,994 SH DEFINED 1 14,389 0 1,605 NATIONAL INSTRS CORP COM 636518102 427 15,463 SH DEFINED 1 13,723 0 1,740 NEOGEN CORP COM 640491106 422 13,078 SH DEFINED 1 11,671 0 1,407 NEW JERSEY RES CORP COM 646025106 288 7,934 SH DEFINED 1 7,091 0 843 NIDEC CORP SPON ADR SPONSORED ADR 654090109 1,538 75,657 SH DEFINED 1 67,909 0 7,748 NII HOLDINGS INC CL B CL B NEW 62913F201 563 18,763 SH DEFINED 1 16,810 0 1,953 NOVARTIS AG - ADR SPONSORED ADR 66987V109 1,372 27,235 SH DEFINED 1 24,522 0 2,713 ODYSSEY HEALTHCARE IN COM 67611V101 217 17,372 SH DEFINED 1 15,507 0 1,865 OM GROUP INC COM 670872100 313 10,305 SH DEFINED 1 9,250 0 1,055 OMEGA HEALTHCARE INVS COM 681936100 343 21,427 SH DEFINED 1 19,222 0 2,205 ON SEMICONDUCTOR CORP COM 682189105 468 56,698 SH DEFINED 1 50,822 0 5,876 OPEN TEXT CORP COM 683715106 351 9,403 SH DEFINED 1 8,401 0 1,002 OWENS ILLINOIS COM NEW 690768403 610 16,535 SH DEFINED 1 14,838 0 1,697 PEABODY ENERGY CORP COM 704549104 244 6,556 SH DEFINED 1 5,836 0 720 PETROBRAS BRASILEIRO SP ADR NON VTG 71654V101 2,288 58,201 SH DEFINED 1 52,211 0 5,990 PHILLIPS VAN HEUSEN C COM 718592108 626 14,636 SH DEFINED 1 13,168 0 1,468 PMC-SIERRA INC COM 69344F106 461 48,180 SH DEFINED 1 43,276 0 4,904 PNM RES INC COM 69349H107 287 24,569 SH DEFINED 1 22,129 0 2,440 PORTFOLIO RECOVERY AS COM 73640Q105 403 8,895 SH DEFINED 1 7,890 0 1,005 POWER INTEGRATIONS IN COM 739276103 350 10,516 SH DEFINED 1 9,390 0 1,126 POWERSHARES ETF TRUST WATER RESOURCE 73935X575 15,684 938,621 SH DEFINED 1 795,861 0 142,760 PROVIDENT FINL SVCS I COM 74386T105 247 24,034 SH DEFINED 1 21,526 0 2,508 PRUDENTIAL FINANCIAL COM 744320102 314 6,291 SH DEFINED 1 5,561 0 730 REGAL ENTMT GROUP CLA CL A 758766109 296 24,062 SH DEFINED 1 21,574 0 2,488 REGIONS FINANCIAL COR COM 7591EP100 72 11,562 SH DEFINED 1 10,107 0 1,455 RESOURCES CONNECTION COM 76122Q105 282 16,556 SH DEFINED 1 14,676 0 1,880 RES-CARE INC COM 760943100 246 17,317 SH DEFINED 1 15,426 0 1,891 ROLLINS INC COM 775711104 773 41,027 SH DEFINED 1 36,612 0 4,415 SANOFI-AVENTIS SPONSO SPONSORED ADR 80105N105 769 20,803 SH DEFINED 1 18,759 0 2,044 SEMTECH CORP COM 816850101 339 19,937 SH DEFINED 1 17,732 0 2,205 SENSIENT TECHNOLOGIES COM 81725T100 352 12,672 SH DEFINED 1 11,393 0 1,279 SHIRE PHARMACEUTICALS SPONSORED ADR 82481R106 1,328 25,402 SH DEFINED 1 22,796 0 2,606 SPDR GOLD TR GOLD SHS GOLD SHS 78463V107 53,452 540,736 SH DEFINED 1 455,463 0 85,273 SPDR INDEX SHS FDS S& S&P INTL SMLCP 78463X871 4,418 172,589 SH DEFINED 1 159,889 0 12,700 SPDR SER TR LEHMAN IN LEHMN INTL ETF 78464A516 43,753 748,805 SH DEFINED 1 627,214 0 121,590 STANDARD & POORS DEPO UNIT SER 1 78462F103 171,022 1,619,676 SH DEFINED 1 1,363,343 0 256,333 STATOIL ASA SPONSORED SPONSORED ADR 85771P102 208 9,220 SH DEFINED 1 8,272 0 948 STERLITE INDS INDIA L ADS 859737207 375 23,487 SH DEFINED 1 21,106 0 2,381 STIFEL FINL CORP COM 860630102 490 8,919 SH DEFINED 1 7,973 0 946 STRATASYS INC COM 862685104 231 13,460 SH DEFINED 1 12,088 0 1,372 SUNTRUST BANKS INC COM 867914103 430 19,055 SH DEFINED 1 17,162 0 1,893 SYBASE INC COM 871130100 470 12,092 SH DEFINED 1 10,826 0 1,266 SYNGENTA AG ADR SPONS SPONSORED ADR 87160A100 1,203 26,175 SH DEFINED 1 23,488 0 2,687 SYNNEX CORP COM 87162W100 492 16,150 SH DEFINED 1 14,447 0 1,703 TAL INTL GROUP INC CO COM 874083108 202 14,220 SH DEFINED 1 12,718 0 1,502 TECHNE CORP COM 878377100 321 5,139 SH DEFINED 1 4,584 0 555 TELEFONICA DE ESPANA SPONSORED ADR 879382208 2,296 27,698 SH DEFINED 1 24,839 0 2,859 TOTAL S A SPONSORED A SPONSORED ADR 89151E109 2,436 41,115 SH DEFINED 1 36,919 0 4,196 TOYOTA MTR LTD ADR SP ADR REP2COM 892331307 466 5,937 SH DEFINED 1 5,358 0 579 TREEHOUSE FOODS INC C COM 89469A104 227 6,377 SH DEFINED 1 5,663 0 714 TRIUMPH GROUP INC COM 896818101 307 6,403 SH DEFINED 1 5,740 0 663 TURKCELL ILETISIM HIZ SPON ADR NEW 900111204 863 48,296 SH DEFINED 1 43,578 0 4,718 ULTIMATE SOFTWARE GRO COM 90385D107 345 11,996 SH DEFINED 1 10,743 0 1,253 ULTRA PETE CORP COM COM 903914109 438 8,940 SH DEFINED 1 7,975 0 965 UNILEVER PLC ADR SPON SPON ADR NEW 904767704 729 25,403 SH DEFINED 1 22,914 0 2,489 UNITED BANKSHARES INC COM 909907107 226 11,550 SH DEFINED 1 10,214 0 1,336 UNITED NAT FOODS INC COM 911163103 377 15,763 SH DEFINED 1 14,029 0 1,734 URBAN OUTFITTERS INC COM 917047102 315 10,443 SH DEFINED 1 9,380 0 1,063 VALE SA ADR REPSTG PF ADR REPSTG PFD 91912E204 654 31,866 SH DEFINED 1 28,614 0 3,252 VANGUARD BD INDEX FD TOTAL BND MKT 921937835 93,786 1,179,698 SH DEFINED 1 979,744 0 199,955 VANGUARD EMERG MARKT EMR MKT ETF 922042858 13,041 338,470 SH DEFINED 1 304,842 0 33,628 VANGUARD SPECIALIZED DIV APP ETF 921908844 111,781 2,518,148 SH DEFINED 1 2,076,540 0 441,608 VIROPHARMA INC COM 928241108 219 22,778 SH DEFINED 1 20,313 0 2,465 VODAFONE GROUP INC AD COM 92857W209 1,104 49,087 SH DEFINED 1 44,092 0 4,995 WARNACO GROUP INC CL COM NEW 934390402 439 10,014 SH DEFINED 1 8,973 0 1,041 ZOLTEK COS INC COM 98975W104 109 10,394 SH DEFINED 1 9,377 0 1,017
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