<SEC-DOCUMENT>0001398344-12-003436.txt : 20121107 <SEC-HEADER>0001398344-12-003436.hdr.sgml : 20121107 <ACCEPTANCE-DATETIME>20121107170543 ACCESSION NUMBER: 0001398344-12-003436 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121107 DATE AS OF CHANGE: 20121107 EFFECTIVENESS DATE: 20121107 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Highmount Capital, LLC CENTRAL INDEX KEY: 0001453819 IRS NUMBER: 753001949 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13376 FILM NUMBER: 121187563 BUSINESS ADDRESS: STREET 1: 12 EAST 49TH STREET CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 646-274-7470 MAIL ADDRESS: STREET 1: 12 EAST 49TH STREET CITY: NEW YORK STATE: NY ZIP: 10017 </SEC-HEADER> <DOCUMENT> <TYPE>13F-HR <SEQUENCE>1 <FILENAME>fp0005763_13fhr.txt <TEXT> 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, 2012 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: Highmount Capital, LLC Address: 12 East 49th Street New York, NY 10017 Form 13F File Number: 028-13376 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: Maarten R. van Hengel Title: Partner Phone: 646-274-7460 Signature, Place, and Date of Signing: /s/ Maarten R. van Hengel New York NY November 6, 2012 ------------------------- ----------- ---------------- [Signature] [City, State] [Date] Report Type (Check only one.): [ ] 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).) [X] 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 Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] Form 13F File Number Name -------------------- -------------------------- 028-01488 Delphi 025-05358 Lateef 028-11741 Westend 025-04207 Driehaus 028-02028 Cramer Rosenthal 028-01203 CS Mckee 028-03691 D.F. Dent 028-13573 Neuberger Berman Group LLC <PAGE> Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ----------- Form 13F Information Table Entry Total: 118 ----------- Form 13F Information Table Value Total: $ 317,310 ----------- (thousands) List of Other Included Managers: Provide a numbered list of the names(s) and Form 13F file numbers(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] NONE <PAGE> <TABLE> <CAPTION> COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------ ---------------- --------- -------- ----------------- -------- ------------- ------------------------ 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 ------------------------------ ---------------- --------- -------- -------- --- ---- -------- ------------- ------- -------- ------- <S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> ISHARES IBOXX INV GR CORP COM 464287242 371 3050 SH Sole 3050 POWERSHARES ETF II-FUND.HY COR COM 73936T557 1890 99165 SH Sole 99165 PROSHARES TR.SENIOR LOAN PTF E COM 73936Q769 251 10050 SH Sole 10050 TEMPLETON EMERGING MARKETS INC COM 880192109 480 28325 SH Sole 28325 3M COMPANY COM 88579Y101 736 7966 SH Sole 7966 ABBOTT LABS COM 002824100 511 7447 SH Sole 7447 ALLSTATE CORP COM 020002101 231 5836 SH Sole 5836 AMERICAN CAMPUS COMMUNITIES COM 024835100 227 5170 SH Sole 5170 AMERICAN EXPRESS COM 025816109 2257 39692 SH Sole 39692 AMGEN COM 031162100 641 7600 SH Sole 7600 ANADARKO PETROLEUM COM 032511107 1386 19825 SH Sole 19825 APACHE CORPORATION COM 037411105 591 6833 SH Sole 6833 APPLE COM 037833100 6132 9192 SH Sole 9192 ARES CAPITAL CORP COM 04010L103 9720 567121 SH Sole 567121 AT&T INC COM 00206R102 1638 43444 SH Sole 43444 AUTOMATIC DATA PROCESSING COM 053015103 715 12192 SH Sole 12192 BANK OF NEW YORK MELLON CORP COM 064058100 1874 82825 SH Sole 82825 BERKSHIRE HATHAWAY INC.CL B COM 084670702 232 2628 SH Sole 2628 BFC FINANCIAL CORP COM 055384200 28 35212 SH Sole 35212 BOEING CO COM 097023105 251 3605 SH Sole 3605 BRISTOL-MYERS SQUIBB CORP COM 110122108 2697 79909 SH Sole 79909 CAMDEN NATIONAL CORP COM 133034108 330 8917 SH Sole 8917 CAMDEN PROPERTY TRUST COM 133131102 257 3980 SH Sole 3980 CANTEL MEDICAL CORP COM 138098108 856 31618 SH Sole 31618 CAPITAL SOUTHWEST CORP COM 140501107 410 3662 SH Sole 3662 CELGENE CORP COM 151020104 367 4800 SH Sole 4800 CHEVRON CORPORATION COM 166764100 732 6277 SH Sole 6277 CISCO SYSTEMS COM 17275R102 2372 124205 SH Sole 124205 COCA-COLA COM 191216100 2736 72131 SH Sole 72131 COGNIZANT TECHNOLOGY SOLUTIONS COM 192446102 1526 21830 SH Sole 21830 COLGATE PALMOLIVE CO COM 194162103 1006 9378 SH Sole 9378 COMMERCE BANCSHARES INC. COM 200525103 1789 44355 SH Sole 44355 CONOCO PHILLIPS COM 20825C104 1250 21860 SH Sole 21860 CVS CAREMARK CORP COM 126650100 2024 41795 SH Sole 41795 DOMINION RESOURCES INC. NEW COM 25746U109 2155 40699 SH Sole 40699 DU PONT ( E. I. ) DE NEMOURS & COM 263534109 1056 21000 SH Sole 21000 EMC COM 268648102 2659 97505 SH Sole 97505 EMERSON ELECTRIC CO COM 291011104 2531 52442 SH Sole 52442 ESSEX PROPERTY TRUST COM 297178105 259 1745 SH Sole 1745 EXPRESS SCRIPTS HOLDING CO COM 30219G108 432 6896 SH Sole 6896 EXXON MOBIL CORP COM 30231G102 6705 73317 SH Sole 73317 FAMILY DOLLAR STORES, INC. COM 307000109 909 13705 SH Sole 13705 FEDERAL REALTY INV TR COM 313747206 476 4517 SH Sole 4517 FLUOR COM 343412102 1014 18010 SH Sole 18010 FREEPORT-MCMORAN COPPER & GOLD COM 35671D857 1047 26457 SH Sole 26457 GENERAL ELECTRIC CO COM 369604103 1049 46194 SH Sole 46194 GOLDMAN SACHS GROUP INC COM 38141G104 489 4301 SH Sole 4301 GOLUB CAPITAL BDC COM 38173M102 562 35320 SH Sole 35320 GOOGLE INC CL A COM 38259P508 2472 3276 SH Sole 3276 H J HEINZ CO COM 423074103 802 14330 SH Sole 14330 HOME DEPOT COM 437076102 3620 59959 SH Sole 59959 HONEYWELL INTL COM 438516106 220 3687 SH Sole 3687 ILLINOIS TOOL WORKS INC. COM 452308109 825 13880 SH Sole 13880 INDEXIQ GLOBAL AGRIBUSINESS SM COM 45409B834 299 12175 SH Sole 12175 INTERNATIONAL BUSINESS MACHINE COM 459200101 2048 9871 SH Sole 9871 ISHARES FTSE NAREIT RESID PLUS COM 464288562 11703 248575 SH Sole 248575 ISHARES KLD 400 SOCIAL INDEX COM 464288570 208 4000 SH Sole 4000 ISHARES MSCI ALL COUNTRY ASIA COM 464288182 16182 287620 SH Sole 287620 ISHARES MSCI CANADA INDEX COM 464286509 13947 489537 SH Sole 489537 ISHARES MSCI EMERGING MKT COM 464287234 538 13019 SH Sole 13019 ISHARES MSCI SWITZERLAND INDEX COM 464286749 423 17200 SH Sole 17200 ISHARES RUSSELL 1000 GROWTH COM 464287614 625 9375 SH Sole 9375 ISHARES RUSSELL 2000 INDEX COM 464287655 807 9675 SH Sole 9675 ISHARES RUSSELL 3000 INDEX COM 464287689 10141 119518 SH Sole 119518 ISHARES S&P 500 INDEX COM 464287200 1911 13235 SH Sole 13235 ISHARES S&P MIDCAP 400 COM 464287507 2436 24690 SH Sole 24690 ISHARES S&P SMALLCAP 600 INDEX COM 464287804 1323 17166 SH Sole 17166 ISHARES TRUST-DJ SELECT DIVIDE COM 464287168 755 13083 SH Sole 13083 JOHNSON & JOHNSON COM 478160104 4043 58675 SH Sole 58675 JPMORGAN CHASE COM 46625H100 3214 79403 SH Sole 79403 KAYNE ANDERSON MLP INVESTMENT COM 486606106 14201 454590 SH Sole 454590 KIMBERLY-CLARK COM 494368103 1084 12635 SH Sole 12635 KIRBY CORP COM US4972661 415 7500 SH Sole 7500 MARKET VECTORS - AGRIBUSINESS COM 57060U605 9627 185890 SH Sole 185890 MARKET VECTORS-GOLD MINERS ETF COM 57060U100 15699 292409 SH Sole 292409 MC DONALDS CORP COM 580135101 305 3323 SH Sole 3323 MERCK & CO COM 58933Y105 793 17582 SH Sole 17582 METLIFE INC COM 59156R108 1762 51140 SH Sole 51140 MICHAEL KORS HOLDINGS LTD COM G60754101 1042 19585 SH Sole 19585 MICROSOFT CORP COM 594918104 3367 113139 SH Sole 113139 MONDELEZ INTERNATIONAL INC COM 609207105 417 10092 SH Sole 10092 MONSANTO COM 61166W101 3289 36140 SH Sole 36140 NEWMONT MINING CORP COM 651639106 383 6840 SH Sole 6840 NIKE INC COM 654106103 1514 15955 SH Sole 15955 OCCIDENTAL PETROLEUM COM 674599105 1412 16404 SH Sole 16404 ORACLE COM 68389X105 2835 90110 SH Sole 90110 PARKER HANNIFIN CORP COM 701094104 1327 15872 SH Sole 15872 PAYCHEX COM 704326107 2051 61599 SH Sole 61599 PEABODY ENERGY CORP COM 704549104 912 40935 SH Sole 40935 PEPSICO INC COM 713448108 3308 46745 SH Sole 46745 PFIZER COM 717081103 4038 162486 SH Sole 162486 PNC FINANCIAL SERVICES GROUP COM 693475105 261 4129 SH Sole 4129 POWERSHARES CLEANTECH PORTFOLI COM 73935X278 452 20850 SH Sole 20850 POWERSHARES GLOBAL CLEAN ENERG COM 73936T615 231 30300 SH Sole 30300 POWERSHARES WATER RESOURCES COM 73935X575 8849 454015 SH Sole 454015 POWERSHARES WILDERHILL CLEAN E COM 73935x500 199 48000 SH Sole 48000 PROCTER & GAMBLE CO COM 742718109 3741 53940 SH Sole 53940 QUALCOMM COM 747525103 2527 40444 SH Sole 40444 SCHLUMBERGER COM 806857108 2999 41464 SH Sole 41464 SPDR S&P 500 ETF TRUST COM 78462f103 11933 82882 SH Sole 82882 SPDR S&P MIDCAP 400 ETF TRUST COM 78467Y107 7316 40664 SH Sole 40664 TARGET COM 87612E106 2234 35205 SH Sole 35205 THE TRAVELERS COMPANIES INC COM 89417E109 318 4664 SH Sole 4664 TORTOISE ENERGY INFRASTRUCTURE COM 89147L100 19416 479632 SH Sole 479632 TRIANGLE CAPITAL COM 895848109 492 19160 SH Sole 19160 UNITED PARCEL SVC INC CL B COM 911312106 370 5175 SH Sole 5175 UNITED TECHNOLOGIES COM 913017109 3184 40671 SH Sole 40671 US BANCORP COM 902973304 689 20100 SH Sole 20100 VANGUARD MSCI EAFE ETF COM 921943858 332 10100 SH Sole 10100 VANGUARD MSCI EMERGING MARKETS COM 922042858 11212 268741 SH Sole 268741 VANGUARD TOTL SM ETF COM 922908769 3298 44775 SH Sole 44775 VERIZON COMMUNICATIONS COM 92343V104 398 8727 SH Sole 8727 WAL MART STORES COM 931142103 453 6140 SH Sole 6140 WALGREEN COM 931422109 497 13645 SH Sole 13645 WINDSTREAM CORPORATION COM 97381W104 556 55125 SH Sole 55125 WISDOMTREE EMERGING MARKETS EQ COM 97717W315 16582 308969 SH Sole 308969 XENITH CORP COM 98410X105 409 87000 SH Sole 87000 XEROX CORP COM 984121103 182 24805 SH Sole 24805 </TABLE> </TEXT> </DOCUMENT> </SEC-DOCUMENT>