0001418870-13-000002.txt : 20130514 0001418870-13-000002.hdr.sgml : 20130514 20130514155552 ACCESSION NUMBER: 0001418870-13-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130514 DATE AS OF CHANGE: 20130514 EFFECTIVENESS DATE: 20130514 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SMITH HAYES Advisers, Inc CENTRAL INDEX KEY: 0001418870 IRS NUMBER: 470805744 STATE OF INCORPORATION: NE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12662 FILM NUMBER: 13841460 BUSINESS ADDRESS: STREET 1: 1225 L STREET STREET 2: SUITE 200 CITY: LINCOLN STATE: NE ZIP: 68508 BUSINESS PHONE: 402-476-3000 MAIL ADDRESS: STREET 1: 1225 L STREET STREET 2: SUITE 200 CITY: LINCOLN STATE: NE ZIP: 68508 13F-HR 1 smithhayes113.txt 13F- HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2013 Check here if Amendment [ ]: Amendment Number: Institutional Investment Manager Filing this Report: Name: SMITH HAYES Advisers, Inc Address: 1225 L. Street, Suite 200 Lincoln, NE 68508 13F file Number: 28-12662 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: Teresa O'Grady Title: VP of Compliance Phone: 402-476-3000 Signature, Place, and Date of Signing: Teresa O'Grady Lincoln, Nebraska May 14, 2013 Report Type (Check only one.): [ X ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers:0 Form 13F Information Table Entry Total:231 Form 13F Information Table Value Total:$226,018 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M Co COM 88579y101 865 9321 SH SOLE 9321 ACE Ltd COM h0023r105 307 3850 SH SOLE 3850 ACI Worldwide Inc COM 004498101 817 18700 SH SOLE 15000 3700 AFLAC Inc COM 001055102 433 8150 SH SOLE 8150 AT&T Inc COM 00206r102 1658 49191 SH SOLE 49191 Abbott Laboratories COM 002824100 2664 40667 SH SOLE 40667 Adcare Health Sys Inc COM 00650w300 242 50934 SH SOLE 50934 Alcoa Inc COM 013817101 96 11102 SH SOLE 11102 Allied World Assurance Com COM h01531104 366 4650 SH SOLE 4650 Allstate Corp COM 020002101 224 5575 SH SOLE 5575 Altria Group Inc COM 02209s103 344 10955 SH SOLE 10955 American Express Co COM 025816109 345 6005 SH SOLE 6005 American States Wtr Co COM 029899101 2376 49526 SH SOLE 49526 Anadarko Petroleum Corp COM 032511107 612 8239 SH SOLE 8239 Apache Corporation COM 037411105 734 9357 SH SOLE 9357 Apple Computer Inc COM 037833100 2518 4731 SH SOLE 900 3831 Autodesk Inc COM 052769106 1107 31325 SH SOLE 22000 9325 Automatic Data Processing Inc COM 053015103 2582 45356 SH SOLE 45356 BB&T Corp COM 054937107 322 11045 SH SOLE 11045 Bank of America Corp COM 060505104 194 16716 SH SOLE 16716 Baxter International COM 071813109 293 4400 SH SOLE 4400 Beam Inc COM 073730103 202 3300 SH SOLE 3300 Becton Dickinson & Company COM 075887109 2923 37383 SH SOLE 37383 Berkshire Hathaway Inc Cl B Ne COM 084670702 6428 71665 SH SOLE 71665 Berkshire Hathaway Inc Class A COM 084670108 2547 19 SH SOLE 19 Big Lots Inc COM 089302103 350 12300 SH SOLE 12300 Boeing Company COM 097023105 1485 19704 SH SOLE 19704 BorgWarner Inc COM 099724106 1544 21560 SH SOLE 7000 14560 Boston Scientific Corp COM 101137107 128 22367 SH SOLE 22000 367 Bottomline Technologies Inc COM 101388106 528 20000 SH SOLE 20000 Bristol-Myers Squibb COM 110122108 839 25749 SH SOLE 25749 Brocade Comm Sys Inc New COM 111621306 265 49767 SH SOLE 38000 11767 CBRE Clarion Global Real Estat COM 12504g100 203 22923 SH SOLE 22923 CME Group Inc COM 12572q105 1163 22951 SH SOLE 22951 CSX Corp. COM 126408103 242 12260 SH SOLE 12260 CVS Caremark Corp COM 126650100 1803 37288 SH SOLE 37288 Cabelas Inc COM 126804301 271 6500 SH SOLE 6500 Calamos Conv Opportunities & I COM 128117108 168 14060 SH SOLE 14060 Calamos Global Dynamic Inc Fd COM 12811l107 178 21315 SH SOLE 21315 Caterpillar Inc COM 149123101 1095 12222 SH SOLE 12222 Chevron Corp COM 166764100 1650 15257 SH SOLE 15257 Cisco Systems Inc COM 17275r102 1721 87588 SH SOLE 87588 Citigroup Inc COM 172967424 649 16405 SH SOLE 12700 3705 Clorox Company COM 189054109 1166 15928 SH SOLE 15928 Coca Cola Company COM 191216100 2290 63182 SH SOLE 63182 Colgate Palmolive Co COM 194162103 2246 21485 SH SOLE 21485 Comcast Corp New CL A COM 20030n101 692 18528 SH SOLE 18528 Compass Minerals Intl Inc COM 20451n101 323 4330 SH SOLE 4330 Conagra Foods Inc COM 205887102 1359 46052 SH SOLE 46052 ConocoPhillips COM 20825c104 1916 33037 SH SOLE 33037 Consolidated Edison Hldg Co COM 209115104 286 5155 SH SOLE 5155 Corning Inc COM 219350105 152 12073 SH SOLE 12073 Costco Companies Inc COM 22160k105 240 2430 SH SOLE 2430 Cummins Engine Co COM 231021106 319 2945 SH SOLE 2945 DNP Select Income Fd Inc COM 23325p104 273 28817 SH SOLE 28817 Danaher Corp COM 235851102 218 3900 SH SOLE 3900 Deere & Co. COM 244199105 519 6000 SH SOLE 6000 Devon Energy Corp COM 25179m103 1066 20489 SH SOLE 7900 12589 Disney, Walt Company COM 254687106 1434 28801 SH SOLE 28801 Duke Energy Corp Com COM 26441c204 1291 20232 SH SOLE 20232 E I duPont De Nemours COM 263534109 1800 40019 SH SOLE 40019 ELEMENTS Lnkd Rogers Intl Comm COM 870297801 178 20675 SH SOLE 20675 EMC Corporation Mass COM 268648102 1236 48860 SH SOLE 28200 20660 Eastman Chemical Company COM 277432100 313 4600 SH SOLE 4600 Eaton Corp plc COM g29183103 1840 33964 SH SOLE 11600 22364 Eli Lilly & Co COM 532457108 474 9607 SH SOLE 9607 Emerson Electric Co COM 291011104 888 16760 SH SOLE 16760 Endurance Specialty Holdings L COM G30397106 758 19090 SH SOLE 19090 Ensco Plc Com COM g3157s106 868 14650 SH SOLE 14650 Exxon Mobil Corporation COM 30231G102 4151 47960 SH SOLE 47960 Ford Motor Company New COM 345370860 423 32686 SH SOLE 25500 7186 Gabelli Dividend & Income Trus COM 36242h104 226 13996 SH SOLE 13996 Gabelli Healthcare & Wellness COM 36246k103 99 11502 SH SOLE 11502 Gasco Energy Inc COM 367220100 8 120000 SH SOLE 120000 General Electric Co COM 369604103 2678 127604 SH SOLE 127604 General Mills COM 370334104 356 8802 SH SOLE 8802 Google Inc COM 38259p508 212 300 SH SOLE 300 H.B. Fuller COM 359694106 296 8500 SH SOLE 8500 HRT Participacoes EM Petroleo COM 404275109 15 11640 SH SOLE 11640 Halliburton Company COM 406216101 1195 34447 SH SOLE 34447 Heinz (H.J.) COM 423074103 329 5712 SH SOLE 5712 Hershey Foods COM 427866108 535 7404 SH SOLE 7404 Hexcel Corp COM 428291108 426 15800 SH SOLE 12500 3300 Home Depot Inc. COM 437076102 1355 21900 SH SOLE 12200 9700 Honeywell Inc COM 438516106 284 4469 SH SOLE 4469 IBM Corp COM 459200101 2010 10495 SH SOLE 10495 Illinois Tool Works COM 452308109 423 6961 SH SOLE 6961 Ingersoll-Rand plc COM g47791101 311 6480 SH SOLE 6480 Intel Corporation COM 458140100 3201 155222 SH SOLE 155222 J P Morgan Chase & Co. COM 46625h100 2029 46142 SH SOLE 7300 38842 JDS Uniphase Corp COM 46612J507 358 26550 SH SOLE 18000 8550 Jack Henry & Assoc Inc COM 426281101 393 10000 SH SOLE 10000 Johnson & Johnson COM 478160104 3819 54480 SH SOLE 5000 49480 Johnson Control Inc COM 478366107 2544 82936 SH SOLE 15000 67936 Kellogg Company COM 487836108 686 12284 SH SOLE 12284 Kennametal Inc COM 489170100 240 6000 SH SOLE 6000 Keycorp COM 493267108 109 13000 SH SOLE 13000 Kimberly-Clark Corp COM 494368103 250 2962 SH SOLE 2962 Kraft Foods Group Inc COM 50076q106 246 5420 SH SOLE 5420 Lam Research Corp COM 512807108 343 9500 SH SOLE 9000 500 Leggett & Platt Inc COM 524660107 431 15848 SH SOLE 15848 Level 3 Communications Inc COM 52729n308 253 10967 SH SOLE 10967 Lockheed Martin Corp COM 539830109 514 5569 SH SOLE 5569 Lowes Companies Inc. COM 548661107 307 8650 SH SOLE 8650 MDU Resources Group COM 552690109 1236 58204 SH SOLE 58204 Macquarie Infrastructure Co COM 55608b105 257 5642 SH SOLE 5642 Market Vectors ETF Tr Agribusi COM 57060u605 709 13440 SH SOLE 500 12940 Market Vectors Gold Miners ETF COM 57060u100 566 12203 SH SOLE 12203 Marsh & McLennan Cos COM 571748102 272 7900 SH SOLE 7900 Martin Marietta Materials COM 573284106 205 2175 SH SOLE 2175 Masco Corporation COM 574599106 197 11800 SH SOLE 11800 McDonald's Corp COM 580135101 1006 11405 SH SOLE 11405 McGraw-Hill Companies COM 580645109 1597 29205 SH SOLE 29205 Medtronic Inc COM 585055106 1033 25190 SH SOLE 25190 Mera Pharmaceuticals Inc COM 58732r103 0 50000 SH SOLE 50000 Merck & Company Inc COM 58933y105 1730 42261 SH SOLE 8600 33661 Microsoft Corp COM 594918104 3848 144076 SH SOLE 14000 130076 Mondelez Intl Inc Com COM 609207105 218 8572 SH SOLE 8572 Monsanto Co New COM 61166w101 226 2384 SH SOLE 2384 Morgan Stanley Asia Pacific Fd COM 61744u106 346 23125 SH SOLE 23125 Motorcar Prts & Accessrs COM 620071100 417 63500 SH SOLE 63500 National Oilwell Varco Inc COM 637071101 1230 17998 SH SOLE 9449 8549 Nelnet Inc COM 64031n108 1063 35675 SH SOLE 35675 Nestle S A Spons ADR COM 641069406 284 4367 SH SOLE 4367 Nielsen Holdings N.V. COM n63218106 522 17075 SH SOLE 8000 9075 Nike Inc Cl B COM 654106103 417 8080 SH SOLE 8080 Noble Corp COM h5833n103 1057 30352 SH SOLE 14700 15652 Norfolk Southern Corp COM 655844108 372 6016 SH SOLE 6016 Northeast Utilities COM 664397106 1153 29494 SH SOLE 29494 Novartis Ag Spon ADR COM 66987v109 295 4653 SH SOLE 4653 Nucor Inc. COM 670346105 301 6977 SH SOLE 6977 Nuveen Floating Rate Inc Opp F COM 6706en100 190 15509 SH SOLE 15509 Nuveen Quality Pfd Inc Fd COM 67071s101 120 13835 SH SOLE 13835 Omni Bio Pharmaceutical Inc COM 68216l100 8 16500 SH SOLE 16500 Oracle Corp COM 68389x105 1090 32716 SH SOLE 32716 P P G Industries Inc COM 693506107 254 1878 SH SOLE 1878 Pentair Ltd Com COM h6169q108 1758 35762 SH SOLE 14800 20962 Pepsico Inc COM 713448108 4542 66381 SH SOLE 66381 Pfizer Inc COM 717081103 2114 84301 SH SOLE 84301 Philip Morris Intl Inc COM 718172109 550 6580 SH SOLE 6580 Phillips 66 Com COM 718546104 592 11140 SH SOLE 6000 5140 PowerShares DB Commodity Index COM 73935s105 680 24461 SH SOLE 24461 Precision Castparts Corp COM 740189105 829 4375 SH SOLE 4375 Procter & Gamble Co COM 742718109 3691 54363 SH SOLE 54363 RenaissanceRe Hldgs Ltd COM g7496g103 1090 13414 SH SOLE 13414 Riverbed Technology Inc COM 768573107 197 10000 SH SOLE 10000 Rockwell Automation Inc COM 773903109 1235 14706 SH SOLE 14706 Rockwell Collins Inc COM 774341101 635 10919 SH SOLE 10919 SPDR Gold Tr Gold COM 78463v107 346 2134 SH SOLE 2134 Schlumberger LTD COM 806857108 928 13387 SH SOLE 5200 8187 Schwab Charles Corp New COM 808513105 243 16950 SH SOLE 16950 Sempra Energy COM 816851109 228 3210 SH SOLE 3210 Smucker Jam Co New COM 832696405 414 4800 SH SOLE 4800 Solarwinds Inc COM 83416b109 829 15800 SH SOLE 12000 3800 Solutionary Inc Cl A-1 COM 834999781 0 30777 SH SOLE 30777 Solutionary Inc Cl A-2 COM 834999799 0 28250 SH SOLE 28250 Source Capital COM 836144105 246 4717 SH SOLE 4717 Southern Company COM 842587107 357 8337 SH SOLE 8337 Southwest Gas Corp COM 844895102 426 10051 SH SOLE 10051 Spectra Energy Corp COM 847560109 1685 61552 SH SOLE 61552 Standard & Poors Dep Recpts Bo COM 78462f103 2899 20357 SH SOLE 17500 2857 Stanley Black & Decker Inc COM 854502101 325 4400 SH SOLE 4400 Steel Dynamics Inc COM 858119100 255 18588 SH SOLE 18588 Suncor Energy Inc COM 867224107 315 9548 SH SOLE 9548 Sysco Corp COM 871829107 1067 33691 SH SOLE 33691 T Rowe Price Group Inc COM 74144t108 1064 16335 SH SOLE 16335 TJX Companies Inc. COM 872540109 773 18207 SH SOLE 18207 TOTAL SA ADR COM 89151e109 351 6741 SH SOLE 6741 Target Corp COM 87612e106 490 8286 SH SOLE 8286 Teva Pharmaceutical Inds Ltd COM 881624209 562 15061 SH SOLE 15061 Tierone Corp COM 88650R108 0 12300 SH SOLE 12300 Tiffany & Co COM 886547108 201 3500 SH SOLE 3500 Time Warner Inc New COM 887317303 706 14770 SH SOLE 14770 Tortoise Pipeline & Energy Fd COM 89148h108 390 16009 SH SOLE 16009 Travelers Cos Inc COM 89417e109 464 6461 SH SOLE 3100 3361 Trinity Industries COM 896522109 247 6900 SH SOLE 6900 U S Bancorp New COM 902973304 1676 52463 SH SOLE 52463 Union Pacific COM 907818108 2929 23300 SH SOLE 4300 19000 United Parcel Svc Inc COM 911312106 342 4635 SH SOLE 4635 United Technologies Corp. COM 913017109 1304 15895 SH SOLE 15895 Valero Energy Corporation COM 91913y100 225 6590 SH SOLE 6590 ValueClick Inc COM 92046n102 973 50154 SH SOLE 40000 10154 Vangaurd Index Funds COM 922908629 330 4000 SH SOLE 4000 Vanguard Emerging Mkts ETF VIP COM 922042858 541 12141 SH SOLE 12141 Vanguard Int'l Equity Index Fd COM 922042775 595 13007 SH SOLE 13007 Vanguard REIT Index Fd COM 922908553 233 3536 SH SOLE 3536 Vanguard Small Cap ETF COM 922908751 324 4000 SH SOLE 4000 Vanguard Spec Div Fd Apprec In COM 921908844 751 12600 SH SOLE 12600 Verisk Analytics Inc Cl A COM 92345y106 246 4825 SH SOLE 4825 Verizon Communications COM 92343v104 980 22658 SH SOLE 22658 Visa Inc Cl A COM 92826c839 4090 26986 SH SOLE 7000 19986 Vodafone Group PLC New Sponsd COM 92857W209 1654 65658 SH SOLE 65658 W R Berkley Corp COM 084423102 540 14300 SH SOLE 6000 8300 Wal-Mart Stores Inc COM 931142103 1266 18562 SH SOLE 18562 Walgreen Company COM 931422109 855 23091 SH SOLE 23091 Waste Management Inc COM 94106l109 284 8407 SH SOLE 8407 Waters Corp COM 941848103 374 4295 SH SOLE 4295 Weatherford Int'l Ltd COM h27013103 128 11430 SH SOLE 11430 Wells Fargo Corp COM 949746101 2334 68289 SH SOLE 68289 Western Asset Claymore Inf Lnk COM 95766r104 440 33300 SH SOLE 33300 Western Asset Claymore Inf Lnk COM 95766q106 138 10500 SH SOLE 10500 Western Asset Emerging Mkts De COM 95766a101 214 9795 SH SOLE 9795 Windstream Corp COM 97381w104 190 22914 SH SOLE 22914 Zimmer Hldgs Inc COM 98956p102 345 5180 SH SOLE 5180 eBay Inc COM 278642103 518 10150 SH SOLE 10150 iShares Tr Dow Jones US Oil & COM 464288851 1078 16960 SH SOLE 400 16560 iShares Tr Dow Jones US Utils COM 464287697 389 4500 SH SOLE 4500 iShares Tr Goldman Sachs Nat R COM 464287374 343 9001 SH SOLE 9001 iShares Tr MSCI Emerging Mkts COM 464287234 376 8478 SH SOLE 8478 iShares Tr Russell 1000 Index COM 464287622 4086 51627 SH SOLE 51627 iShares Tr S&P Global Hlthcare COM 464287325 327 5075 SH SOLE 5075 iShares Tr S&P Midcap 400 Inde COM 464287507 2283 22446 SH SOLE 22446 iShares Tr S&P Smallcap 600 In COM 464287804 1704 21818 SH SOLE 21818 iShares Trust High Divid Equit COM 46429b663 314 5340 SH SOLE 5340 iShares Trust MSCI EAFE Index COM 464287465 624 10978 SH SOLE 10978 iShares iBoxx $ High Yld Corp COM 464288513 588 6301 SH SOLE 6301 iShares Tr S&P US Pfd Stk Inde PFD 464288687 454 11456 SH SOLE 11456 First Industrial Rlty Tr REIT 32054k103 201 14300 SH SOLE 14300