-----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, QJYEYPPkD0+D1UF5nXWD9GJk3mWwhpuNigLNIXxGRYRAIwiib3Zv2GVKLYXCG+w2 bA6g0e2c8sJ9c7qhtZAfbA== 0001085146-09-003507.txt : 20091116 0001085146-09-003507.hdr.sgml : 20091116 20091116112010 ACCESSION NUMBER: 0001085146-09-003507 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091116 DATE AS OF CHANGE: 20091116 EFFECTIVENESS DATE: 20091116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Narwhal Capital Management CENTRAL INDEX KEY: 0001461287 IRS NUMBER: 202969572 STATE OF INCORPORATION: GA FISCAL YEAR END: 1208 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13509 FILM NUMBER: 091184546 BUSINESS ADDRESS: STREET 1: 531 ROSELANE STREET STREET 2: SUITE 420 CITY: MARIETTA STATE: GA ZIP: 30060 BUSINESS PHONE: 770-344-0172 MAIL ADDRESS: STREET 1: 531 ROSELANE STREET STREET 2: SUITE 420 CITY: MARIETTA STATE: GA ZIP: 30060 13F-HR 1 narw3q09.txt NARWHAL CAPITAL MANAGEMENT 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, 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: Narwhal Capital Management Address: 531 Roselane Street, Suite 420 Marietta, GA 30060 13F File Number: 28-13509 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: Sean Dunehew Title: Chief Compliance Officer Phone: 770-344-0172 Signature, Place, and Date of Signing: /s/ Sean Dunehew Marietta, GA November 10, 2009 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 Form13F Information Table Entry Total: 117 Form13F Information Table Value Total: $131,895 (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 2324 31493 SH SOLE 31493 0 0 ADOBE SYS INC COM 00724f101 947 28650 SH SOLE 28650 0 0 AES CORP COM 00130H105 1355 91400 SH SOLE 91400 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 236 12000 SH SOLE 12000 0 0 ALLIANCE RES PARTNER L P UT LTD PART 01877R108 363 10000 SH SOLE 10000 0 0 ALTRIA GROUP INC COM 02209S103 1714 96262 SH SOLE 96262 0 0 AMAZON COM INC COM 023135106 1909 20450 SH SOLE 20450 0 0 AMGEN INC COM 031162100 1762 29260 SH SOLE 29260 0 0 ANNALY CAP MGMT INC COM 035710409 1334 73550 SH SOLE 73550 0 0 APPLE INC COM 037833100 906 4886 SH SOLE 4886 0 0 AT&T INC COM 00206r102 725 26851 SH SOLE 26851 0 0 BANK OF AMERICA CORPORATION COM 060505104 1915 113202 SH SOLE 113202 0 0 BB&T CORP COM 054937107 232 8500 SH SOLE 8500 0 0 BHP BILLITON LTD SPONSORED ADR 088606108 726 10995 SH SOLE 10995 0 0 BIOVAIL CORP COM 09067J109 309 20000 SH SOLE 20000 0 0 BOEING CO COM 097023105 956 17650 SH SOLE 17650 0 0 BT GROUP PLC ADR 05577e101 952 45750 SH SOLE 45750 0 0 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 1942 40125 SH SOLE 40125 0 0 CATERPILLAR INC DEL COM 149123101 1601 31200 SH SOLE 31200 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 1586 122782 SH SOLE 122782 0 0 CENTURYTEL INC COM 156700106 1137 33837 SH SOLE 33837 0 0 CHEVRON CORP NEW COM 166764100 1825 25917 SH SOLE 25917 0 0 CISCO SYS INC COM 17275r102 2221 94330 SH SOLE 94330 0 0 CITIGROUP INC COM 172967101 378 78000 SH SOLE 78000 0 0 COCA COLA CO COM 191216100 2314 43101 SH SOLE 43101 0 0 COCA COLA FEMSA S A B DE C V SPON ADR REP L 191241108 1566 32551 SH SOLE 32551 0 0 CONOCOPHILLIPS COM 20825c104 1144 25329 SH SOLE 25329 0 0 COPANO ENERGY L L C COM UNITS 217202100 182 10000 SH SOLE 10000 0 0 COVENANT TRANSN GROUP INC CL A 22284P105 147 30000 SH SOLE 30000 0 0 COVENTRY HEALTH CARE INC COM 222862104 856 42875 SH SOLE 42875 0 0 COVIDIEN PLC SHS G2554F105 865 20000 SH SOLE 20000 0 0 DIAGEO P L C SPON ADR NEW 25243Q205 492 8000 SH SOLE 8000 0 0 DIAMONDS TR UNIT SER 1 252787106 3000 30900 SH SOLE 30900 0 0 DIREXION SHS ETF TR DLY FIN BULL NEW 25459w516 821 10000 SH SOLE 10000 0 0 E M C CORP MASS COM 268648102 1617 94905 SH SOLE 94905 0 0 EBAY INC COM 278642103 1071 45400 SH SOLE 45400 0 0 ENI S P A SPONSORED ADR 26874R108 1301 26100 SH SOLE 26100 0 0 EXELON CORP COM 30161N101 1992 40136 SH SOLE 40136 0 0 EXPEDIA INC DEL COM 30212p105 625 26100 SH SOLE 26100 0 0 EXXON MOBIL CORP COM 30231G102 3174 46258 SH SOLE 46258 0 0 FEDERAL NATL MTG ASSN COM 313586109 170 112000 SH SOLE 112000 0 0 FEDERATED INVS INC PA CL B 314211103 683 25900 SH SOLE 25900 0 0 FIRST SOLAR INC COM 336433107 254 1660 SH SOLE 1660 0 0 FOMENTO ECONOMICO MEXICANO S SPON ADR UNITS 344419106 955 25100 SH SOLE 25100 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 368 51000 SH SOLE 51000 0 0 FPL GROUP INC COM 302571104 1720 31147 SH SOLE 31147 0 0 GENERAL DYNAMICS CORP COM 369550108 1560 24153 SH SOLE 24153 0 0 GENERAL ELECTRIC CO COM 369604103 989 60250 SH SOLE 60250 0 0 GENERAL MLS INC COM 370334104 2500 38838 SH SOLE 38838 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 897 22700 SH SOLE 22700 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 2332 12652 SH SOLE 12652 0 0 HEWLETT PACKARD CO COM 428236103 699 14800 SH SOLE 14800 0 0 HOME DEPOT INC COM 437076102 1797 67451 SH SOLE 67451 0 0 HONDA MOTOR LTD AMERN SHS 438128308 455 15000 SH SOLE 15000 0 0 INTEL CORP COM 458140100 1321 67489 SH SOLE 67489 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 2278 19042 SH SOLE 19042 0 0 ISHARES TR DJ INTL SEL DIVD 464288448 473 15000 SH SOLE 15000 0 0 ISHARES TR INDEX S&P 500 INDEX 464287200 1668 15730 SH SOLE 15730 0 0 ISHARES TR INDEX MSCI EMERG MKT 464287234 239 6150 SH SOLE 6150 0 0 ISHARES TR INDEX DJ SEL DIV INX 464287168 784 19000 SH SOLE 19000 0 0 ISHARES TR INDEX S&P MC 400 GRW 464287606 369 5000 SH SOLE 5000 0 0 ITT CORP NEW COM 450911102 535 10250 SH SOLE 10250 0 0 JOHNSON & JOHNSON COM 478160104 3214 52792 SH SOLE 52792 0 0 JPMORGAN CHASE & CO COM 46625H100 2724 62167 SH SOLE 62167 0 0 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 924 17108 SH SOLE 17108 0 0 KRAFT FOODS INC CL A 50075N104 940 35774 SH SOLE 35774 0 0 L-1 IDENTITY SOLUTIONS INC COM 50212A106 558 79775 SH SOLE 79775 0 0 L-3 COMMUNICATIONS HLDGS INC COM 502424104 2452 30533 SH SOLE 30533 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 526 8000 SH SOLE 8000 0 0 LOCKHEED MARTIN CORP COM 539830109 625 8000 SH SOLE 8000 0 0 LORILLARD INC COM 544147101 396 5325 SH SOLE 5325 0 0 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 979 26050 SH SOLE 26050 0 0 MANITOWOC INC COM 563571108 142 15000 SH SOLE 15000 0 0 MERCK & CO INC COM 589331107 1046 33062 SH SOLE 33062 0 0 MICROSOFT CORP COM 594918104 2077 80761 SH SOLE 80761 0 0 NOKIA CORP SPONSORED ADR 654902204 563 38500 SH SOLE 38500 0 0 NORFOLK SOUTHERN CORP COM 655844108 694 16100 SH SOLE 16100 0 0 NORTHROP GRUMMAN CORP COM 666807102 1343 25950 SH SOLE 25950 0 0 NOVARTIS A G SPONSORED ADR 66987v109 1040 20650 SH SOLE 20650 0 0 NSTAR COM 67019E107 700 22000 SH SOLE 22000 0 0 NUVEEN MUN ADVANTAGE FD INC COM 67062h106 1306 91500 SH SOLE 91500 0 0 NUVEEN MUN VALUE FD INC COM 670928100 1426 143500 SH SOLE 143500 0 0 PFIZER INC COM 717081103 1684 101773 SH SOLE 101773 0 0 PHILIP MORRIS INTL INC COM 718172109 1991 40842 SH SOLE 40842 0 0 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 292 6300 SH SOLE 6300 0 0 PROCTER & GAMBLE CO COM 742718109 2823 48731 SH SOLE 48731 0 0 PROGRESS ENERGY INC COM 743263105 1096 28050 SH SOLE 28050 0 0 QUALCOMM INC COM 747525103 419 9325 SH SOLE 9325 0 0 QUEST DIAGNOSTICS INC COM 74834L100 1506 28850 SH SOLE 28850 0 0 RAYTHEON CO COM NEW 755111507 1310 27300 SH SOLE 27300 0 0 RESEARCH IN MOTION LTD COM 760975102 1062 15700 SH SOLE 15700 0 0 REYNOLDS AMERICAN INC COM 761713106 824 18500 SH SOLE 18500 0 0 SANOFI AVENTIS SPONSORED ADR 80105n105 370 10000 SH SOLE 10000 0 0 SCHWAB CHARLES CORP NEW COM 808513105 409 21350 SH SOLE 21350 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 3813 38575 SH SOLE 38575 0 0 SUNOCO LOGISTICS PRTNRS L P COM UNITS 86764L108 356 6000 SH SOLE 6000 0 0 SWEDISH EXPT CR CORP RG ENRGY ETN22 870297306 352 60000 SH SOLE 60000 0 0 TC PIPELINES LP UT COM LTD PRT 87233q108 1167 30625 SH SOLE 30625 0 0 TELE NORTE LESTE PART S A SPON ADR PFD 879246106 827 44000 SH SOLE 44000 0 0 TEPPCO PARTNERS L P UT LTD PARTNER 872384102 552 15900 SH SOLE 15900 0 0 TEXAS INSTRS INC COM 882508104 528 22300 SH SOLE 22300 0 0 TITANIUM METALS CORP COM NEW 888339207 192 20000 SH SOLE 20000 0 0 TRANSCANADA CORP COM 89353D107 678 21850 SH SOLE 21850 0 0 TUPPERWARE BRANDS CORP COM 899896104 2329 58350 SH SOLE 58350 0 0 TYCO ELECTRONICS LTD SWITZER SHS H8912P106 512 23000 SH SOLE 23000 0 0 TYCO INTERNATIONAL LTD SHS H89128104 1862 54000 SH SOLE 54000 0 0 UNITED CMNTY BKS BLAIRSVLE G CAP STK 90984P105 68 13503 SH SOLE 13503 0 0 UNITED STATES OIL FUND LP UNITS 91232N108 535 14770 SH SOLE 14770 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1678 67030 SH SOLE 67030 0 0 VEOLIA ENVIRONNEMENT SPONSORED ADR 92334N103 504 13100 SH SOLE 13100 0 0 VERIZON COMMUNICATIONS INC COM 92343v104 411 13566 SH SOLE 13566 0 0 VULCAN MATLS CO COM 929160109 443 8200 SH SOLE 8200 0 0 WAL MART STORES INC COM 931142103 313 6378 SH SOLE 6378 0 0 WASTE MGMT INC DEL COM 94106L109 1449 48575 SH SOLE 48575 0 0 WELLPOINT INC COM 94973v107 1197 25275 SH SOLE 25275 0 0 WELLS FARGO & CO NEW COM 949746101 272 9644 SH SOLE 9644 0 0 ZIMMER HLDGS INC COM 98956P102 828 15500 SH SOLE 15500 0 0
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