0001388076-11-000007.txt : 20110722 0001388076-11-000007.hdr.sgml : 20110722 20110722161305 ACCESSION NUMBER: 0001388076-11-000007 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 FILED AS OF DATE: 20110722 DATE AS OF CHANGE: 20110722 EFFECTIVENESS DATE: 20110722 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Stevens First Principles Investment Advisors CENTRAL INDEX KEY: 0001388076 IRS NUMBER: 330140970 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12317 FILM NUMBER: 11982728 BUSINESS ADDRESS: STREET 1: 4100 NEWPORT PLACE DRIVE, SUITE 720 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: (949) 251-9333 MAIL ADDRESS: STREET 1: 4100 NEWPORT PLACE DRIVE, SUITE 720 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 13F-HR 1 sec13f-06302011.txt 063011 FILING sec13f-093008 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 06/30/11 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: Stevens First Principles Investment Advisors Address: 4100 Newport Place, Suite 720 Newport Beach, CA 92660 13F File Number: 28-12317 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 submission. Person Signing this Report on Behalf of Reporting Manager: Name: Steven Lee Yamshon Title: Chief Compliance Officer Phone: 949-251-9333 Signature, Place, and Date of Signing: /s/ Steven Lee Yamshon Newport Beach, CA 07/22/2011 ----------------------------------- --------------------- ----------- [Signature] [Place] [Date] Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Included Managers: No. 13F File Number Name 01 28-12624 FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 178 Form 13F Information Table Value Total: $129,214 (x1,000) List of Other Included Managers: No. 13F File Number Name 01 28-12624 FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. FORM 13F INFORMATION TABLE - STEVENS FIRST PRINCIPLES INVESTMENT ADVISERS 06/30/11
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x1000)PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE Abbott Laboratories COM 002824100 1,735 32,969 SH SOLE 32,969 Aberdeen Asia-Pacific Income Fund COM 003009107 4,254 580,357 SH DEFINED 572,357 8,000 Aberdeen Australia Equity Fund COM 003011103 222 17,984 SH SOLE 17,984 Accenture PLC SHS CLASS A G1151C101 109 1,800 SH SOLE 1,800 Adams Express Company COM 006212104 239 21,445 SH DEFINED 2,115 19,330 Alcoa Inc COM 013817101 102 6,424 SH SOLE 6,424 Alexander & Baldwin Inc COM 014482103 3,030 62,908 SH SOLE 62,908 Amag Pharmaceuticals Inc COM 00163U106 15 800 SH SOLE 800 Amarin Corporation PLC SPONS ADR NEW 023111206 30 2,100 SH SOLE 2,100 American Express COM 025816109 52 1,000 SH SOLE 1,000 Amicus Therapeutics Inc COM 03152W109 4 600 SH SOLE 600 Apache Corp COM 037411105 86 700 SH SOLE 700 Apartment Investment & Management Co CL A 03748R101 2 60 SH SOLE 60 Apple Inc COM 037833100 2 6 SH SOLE 6 Apple Inc CALL 037833900 10 200 CALL SOLE 200 Archer Daniels Midland Co COM 039483102 3,703 122,815 SH DEFINED 116,415 6,400 AT&T Inc COM 00206R102 16 500 SH SOLE 500 Avista Corp COM 05379B107 257 9,995 SH SOLE 9,995 Barrick Gold Corp COM 067901108 264 5,833 SH SOLE 5,833 Berkshire Hathaway Inc CL B CL B NEW 084670702 18 230 SH SOLE 230 Big Lots Inc COM 089302103 3,723 112,295 SH SOLE 112,295 Biomarin Pharmaceutical Inc COM 09061G101 8 300 SH SOLE 300 Boardwalk Pipeline Partners LP UT LTD PARTNER 096627104 496 17,090 SH SOLE 17,090 Boeing Co COM 097023105 1 15 SH SOLE 15 BP PLC ADR 055622104 431 9,730 SH SOLE 9,730 Bristol Myers Squibb Co COM 110122108 20 700 SH SOLE 700 California Water Service Group COM 130788102 943 50,410 SH SOLE 50,410 Canadian Natural Resources Ltd COM 136385101 1 35 SH SOLE 35 Canadian Pacific Railway Ltd COM 13645T100 2,988 47,941 SH SOLE 47,941 Caterpillar Inc COM 149123101 53 500 SH SOLE 500 Celldex Therapeutics Inc COM 15117B103 4 1,000 SH SOLE 1,000 Cenovus Energy Inc COM 15135U109 4,816 127,891 SH DEFINED 119,891 8,000 Central Fund of Canada Ltd CL A 153501101 1,894 92,960 SH SOLE 92,960 Chevron Corp COM 166764100 10 96 SH SOLE 96 Chico's FAS Inc COM 168615102 4 230 SH SOLE 230 Church & Dwight Co COM 171340102 2,619 64,610 SH SOLE 64,610 Cincinnati Financial Corp COM 172062101 2 81 SH SOLE 81 Cisco Systems Inc COM 17275R102 82 5,280 SH SOLE 5,280 Citigroup Inc CALL 172967904 26 80,000 CALL SOLE 80,000 Coca Cola Co COM 191216100 292 4,335 SH SOLE 4,335 Colgate-Palmolive Co COM 194162103 1,104 12,635 SH SOLE 12,635 ConocoPhillips COM 20825C104 1,759 23,400 SH SOLE 23,400 Consolidated-Tomoka Land Co COM 210226106 473 16,540 SH SOLE 16,540 Corning Inc COM 219350105 3,008 165,745 SH SOLE 165,745 Cummins Inc COM 231021106 103 1,000 SH SOLE 1,000 CVS Caremark Corp COM 126650100 3 75 SH SOLE 75 Cytokinetics Inc COM 23282W100 0 200 SH SOLE 200 Deere & Co COM 244199105 82 1,000 SH SOLE 1,000 Dendreon Corp COM 24823Q107 43 1,100 SH SOLE 1,100 DepoMed Inc COM 249908104 10 1,200 SH SOLE 1,200 Derma Sciences Inc COM PAR $.01 249827502 23 2,500 SH SOLE 2,500 Diageo PLC SPON ADR NEW 25243Q205 8 100 SH SOLE 100 DirecTV COM CL A 25490A101 102 2,000 SH SOLE 2,000 Duke Energy Corp COM 26441C105 542 28,770 SH SOLE 28,770 Ecopetrol SA SPON ADS 279158109 33 750 SH SOLE 750 Edison International COM 281020107 78 2,000 SH SOLE 2,000 EI du Pont de Nemours & Co COM 263534109 2,067 38,235 SH SOLE 38,235 EMC Corp COM 268648102 110 4,000 SH SOLE 4,000 Emerson Electric Co COM 291011104 113 2,000 SH SOLE 2,000 Enbridge Energy COM 29250R106 3 102 SH SOLE 102 EnCana Corp COM 292505104 4,334 140,761 SH SOLE 140,761 Endocyte Inc COM 29269A102 9 600 SH SOLE 600 Ensco PLC SPONSORED ADR 29358Q109 123 2,300 SH SOLE 2,300 Exelixis Inc COM 30161Q104 4 500 SH SOLE 500 Express Scripts Inc COM 302182100 92 1,700 SH SOLE 1,700 Exxon Mobil Corp COM 30231G102 3,588 44,090 SH SOLE 44,090 FirstEnergy Corp COM 337932107 9 215 SH SOLE 215 Freeport-McMoRan Copper & Gold Inc COM 35671D857 58 1,100 SH SOLE 1,100 FreightCar America Inc COM 357023100 372 14,675 SH SOLE 14,675 General Electric Co COM 369604103 2 100 SH SOLE 100 Goldcorp Inc COM 380956409 950 19,685 SH SOLE 19,685 Google Inc CL A 38259P508 6 12 SH SOLE 12 Gorman Rupp Co COM 383082104 14 439 SH SOLE 439 Hess Corporation COM 42809H107 127 1,700 SH SOLE 1,700 Home Depot Inc COM 437076102 5 150 SH SOLE 150 Icagen Inc COM NEW 45104P500 12 2,000 SH SOLE 2,000 Imperial Oil Ltd COM NEW 453038408 4,396 94,365 SH DEFINED 89,465 4,900 Incyte Corp COM 45337C102 8 400 SH SOLE 400 Insulet Corp COM 45784P101 11 500 SH SOLE 500 Intel Corp COM 458140100 3,521 158,873 SH SOLE 158,873 Intl Business Mach COM 459200101 77 450 SH SOLE 450 iShares COMEX Gold Trust ETF 464285105 9,317 636,415 SH DEFINED 601,015 35,400 iShares Lehman 1-3 Yr Treasury Fund ETF 464287457 90 1,064 SH SOLE 1,064 iShares MSCI Emerging Markets Index ETF 464287234 24 500 SH SOLE 500 iShares MSCI Japan Index CALL 464286908 25 20,000 CALL SOLE 20,000 iShares MSCI Japan Index ETF 464286848 2 200 SH SOLE 200 iShares S&P Natural Resources Fund ETF 464287374 3 65 SH SOLE 65 iShares Silver Trust ETF 46428Q109 27 800 SH SOLE 800 Johnson Controls Inc COM 478366107 67 1,600 SH SOLE 1,600 Juniper Networks Inc COM 48203R104 69 2,200 SH SOLE 2,200 Kellogg Co COM 487836108 100 1,800 SH SOLE 1,800 Kimberly Clark Corp COM 494368103 739 11,105 SH DEFINED 9,505 1,600 Kimco Realty Corp COM 49446R109 9 480 SH SOLE 480 Kohls Corp COM 500255104 85 1,700 SH SOLE 1,700 Liberty Global Inc - A COM SER A 530555101 18 400 SH SOLE 400 Liberty Global Inc - C COM SER C 530555309 17 400 SH SOLE 400 Liberty Media Corp - Capital CAP COM SER A 53071M302 43 500 SH SOLE 500 Liberty Media Corp - Interactive INT COM SER A 53071M104 34 2,000 SH SOLE 2,000 Liberty Media Corporation LIB STAR COM A 53071M708 30 400 SH SOLE 400 Lindsay Corp COM 535555106 965 14,020 SH SOLE 14,020 Linkedin Corp COM CL A 53578A108 9 100 SH SOLE 100 Lowe's Companies Inc COM 548661107 192 8,220 SH SOLE 8,220 Magellan Midstream Partners Lp COM UNIT RP LP 559080106 1 12 SH SOLE 12 Mako Surgical Corp COM 560879108 9 300 SH SOLE 300 MannKind Corp COM 56400P201 2 590 SH SOLE 590 Market Vectors Gold Miners ETF ETF 57060U100 4,311 78,975 SH DEFINED 76,839 2,136 McDonald's Corp COM 580135101 312 3,696 SH SOLE 3,696 Medco Health Solutions Inc COM 58405U102 19 342 SH SOLE 342 Medtronic Inc COM 585055106 3,638 94,425 SH DEFINED 91,925 2,500 Merck & Co Inc COM 58933Y105 16 450 SH SOLE 450 Microsoft Corp COM 594918104 5 204 SH SOLE 204 Mks Instruments Inc COM 55306N104 1,960 74,175 SH SOLE 74,175 Mosaic Co COM 61945C103 54 800 SH SOLE 800 National Fuel Gas COM 636180101 1,960 26,925 SH SOLE 26,925 National-Oilwell Varco Inc COM 637071101 3,261 41,700 SH SOLE 41,700 Neoprobe Corp COM 640518106 2 500 SH SOLE 500 Newmont Mining Corp COM 651639106 874 16,185 SH SOLE 16,185 NextEra Energy Inc COM 65339F101 2,572 44,760 SH DEFINED 42,640 2,120 Norfolk Southern Corp COM 655844108 93 1,242 SH SOLE 1,242 Nuveen Municipal Value Fund COM 670928100 427 46,075 SH DEFINED 35,275 10,800 Onyx Pharmaceuticals COM 683399109 4 100 SH SOLE 100 Oracle Corp COM 68389X105 105 3,200 SH SOLE 3,200 Pepco Hldgs Inc Com COM 713291102 259 13,210 SH SOLE 13,210 PepsiCo Inc COM 713448108 30 420 SH SOLE 420 Petroleo Brasileiro SA SPONSORED ADR 71654V408 8 245 SH SOLE 245 Pfizer Inc COM 717081103 2 96 SH SOLE 96 Pinnacle West Capital Corp COM 723484101 1,776 39,835 SH SOLE 39,835 Plum Creek Timber Company Inc COM 729251108 2,147 52,971 SH DEFINED 43,851 9,120 PNC Financial Services Group Inc COM 693475105 125 2,100 SH SOLE 2,100 Pope Resources LP DEPOSITRY RCPT 732857107 988 21,717 SH SOLE 21,717 Potash Corp Of Saskatchewan Inc COM 73755L107 34 600 SH SOLE 600 Potlatch Corp COM 737630103 4,734 134,222 SH DEFINED 122,722 11,500 PowerShares DB Agriculture Fund ETF 73936B408 13 415 SH SOLE 415 Powershares DB Commodity Index Fund UNIT BEN INT 73935S105 3 110 SH SOLE 110 Primoris Services Corporation COM 74164F103 39 3,000 SH SOLE 3,000 Progress Energy Inc COM 743263105 34 715 SH SOLE 715 Protalix Biotherapeutics Inc COM 74365A101 9 1,500 SH SOLE 1,500 Prudential Finl Inc COM 744320102 108 1,700 SH SOLE 1,700 Rayonier Inc COM 754907103 2,772 42,422 SH SOLE 42,422 Raytheon Co COM NEW 755111507 636 12,756 SH SOLE 12,756 Reliance Steel & Aluminum Co COM 759509102 25 500 SH SOLE 500 Royal Dutch Shell SPONS ADR A 780259206 87 1,225 SH SOLE 1,225 Royal Dutch Shell Plc ADR SPON ADR B 780259107 641 8,940 SH DEFINED 5,640 3,300 SAIC Inc COM 78390X101 42 2,484 SH SOLE 2,484 Sanofi-Aventis SA ADR SPONSORED ADR 80105N105 108 2,700 SH SOLE 2,700 Scotts Miracle-Gro Co CL A 810186106 120 2,330 SH SOLE 2,330 Seaboard Corp COM 811543107 213 88 SH SOLE 88 Sensient Technologies Corp COM 81725T100 1,584 42,735 SH DEFINED 36,235 6,500 Sirius XM Radio Inc COM 82967N108 8 3,500 SH SOLE 3,500 Southern Co COM 842587107 661 16,370 SH SOLE 16,370 SPDR Gold Trust ETF 78463V107 5,366 36,756 SH DEFINED 33,806 2,950 Spectra Energy Corp COM 847560109 2,321 84,660 SH SOLE 84,660 Staples Inc COM 855030102 9 540 SH SOLE 540 Starwood Hotels & Rsrts Inc COM 85590A401 101 1,800 SH SOLE 1,800 Stryker Corp COM 863667101 65 1,100 SH SOLE 1,100 Swiss Helvetia Fund Inc COM 870875101 2 163 SH SOLE 163 Syngenta AG SPONSORED ADR 87160A100 125 1,850 SH DEFINED 0 1,850 Targacept Inc COM 87611R306 13 600 SH SOLE 600 TECO Energy Inc COM 872375100 4,671 247,277 SH SOLE 247,277 Tejon Ranch Co COM 879080109 9 250 SH SOLE 250 Texas Pacific Land Trust SUB CTF P I T 882610108 70 1,545 SH SOLE 1,545 Andersons Inc COM 034164103 1,674 39,617 SH SOLE 39,617 THQ Inc COM NEW 872443403 4 1,000 SH SOLE 1,000 Time Warner Inc COM NEW 887317303 0 2 SH SOLE 2 Tootsie Roll Industries COM 890516107 191 6,541 SH SOLE 6,541 Total SA SPONSORED ADR 89151E109 1,286 22,235 SH DEFINED 18,535 3,700 Trius Therapeutics Inc COM 89685K100 8 1,000 SH SOLE 1,000 Union Pacific Corp COM 907818108 72 690 SH SOLE 690 United Parcel Svc Inc CL B 911312106 73 1,000 SH SOLE 1,000 US Bancorp Del Com New COM NEW 902973304 46 1,800 SH SOLE 1,800 US SPDR S&P Dividend ETF ETF 78464A763 8 150 SH SOLE 150 Vale SA ADR ADR 91912E105 4 130 SH SOLE 130 Vanguard Value ETF ETF 922908744 3 50 SH SOLE 50 Viacom Inc - B CL B 92553P201 87 1,700 SH SOLE 1,700 Walt Disney Co COM 254687106 63 1,625 SH SOLE 1,625 Western Union Co COM 959802109 1,260 62,915 SH DEFINED 57,025 5,890 Weyerhaeuser Co COM 962166104 3,030 138,624 SH SOLE 138,624 Ziopharm Oncology Inc COM 98973P101 12 2,000 SH SOLE 2,000