0001398344-12-002820.txt : 20120830 0001398344-12-002820.hdr.sgml : 20120830 20120830133320 ACCESSION NUMBER: 0001398344-12-002820 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120630 FILED AS OF DATE: 20120830 DATE AS OF CHANGE: 20120830 EFFECTIVENESS DATE: 20120830 FILER: COMPANY DATA: COMPANY CONFORMED NAME: New Harbor Financial Group, LLC CENTRAL INDEX KEY: 0001548577 IRS NUMBER: 202077226 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15047 FILM NUMBER: 121065303 BUSINESS ADDRESS: STREET 1: 54 MAIN STREET STREET 2: STE 102 CITY: LEOMINSTER STATE: MA ZIP: 01453 BUSINESS PHONE: 978.537.7701 MAIL ADDRESS: STREET 1: 54 MAIN STREET STREET 2: STE 102 CITY: LEOMINSTER STATE: MA ZIP: 01453 13F-HR 1 fp00055255_13fhr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2011 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: New Harbor Financial Group, LLC Address: 54 Main Street, Ste 102 Leominister, MA 01453 Form 13F File Number: 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: Christine Drisco Title: Chief Compliance Officer Phone: 978.537.7701 Signature, Place, and Date of Signing: /s/ Christine Drisco Leominster, MA August 3, 2012 -------------------- -------------- -------------- [Signature] [City, State] [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 Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] Form 13F File Number Name Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ----------- Form 13F Information Table Entry Total: 165 ----------- Form 13F Information Table Value Total: $ 114,133 ----------- (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
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 ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------- ----------------- --------- ----------- ----------- --- ---- ---------- -------- ------- ------ ---- AMR CORP COM 001765106 1 2,100 SH Sole 2,100 GILEAD SCIENCES INC COM 375558103 7 161 SH Sole 161 3M CO COM 88579Y101 33 400 SH Sole 400 GREAT PANTHER SILVER LTD COM 39115V101 14 7,000 SH Sole 7,000 METLIFE INC COM COM 59156R108 1 33 SH Sole 33 CENTURYLINK INC COM 156700106 1 35 SH Sole 35 FORD MTR CO DEL COM PAR $0.01 345370860 2 162 SH Sole 162 WELLS FARGO & CO NEW COM 949746101 11 400 SH Sole 400 POWERSHARES ETF TRUST WNDRHLL CLN EN 73935X500 1 200 SH Sole 200 SIMON PPTY GROUP INC NEW COM 828806109 27 207 SH Sole 207 EDAP TMS S A SPONSORED ADR 268311107 17 10,000 SH Sole 10,000 HOME DEPOT INC COM 437076102 1 26 SH Sole 26 NORTHERN DYNASTY MINERALS LT COM NEW 66510M204 6 1,000 SH Sole 1,000 ETFS SILVER TR SILVER SHS 26922X107 198 7,180 SH Sole 7,180 SILVER WHEATON CORP COM 828336107 345 11,900 SH Sole 11,900 ISHARES SILVER TRUST ISHARES 46428Q109 54 2,000 SH Sole 2,000 SEADRILL LIMITED SHS SHS G7945E105 411 12,400 SH Sole 12,400 MIDDLESEX WATER CO COM 596680108 1,855 99,424 SH Sole 99,424 ACCO BRANDS CORP COM 00081T108 2 172 SH Sole 172 CANTEL MEDICAL CORP COM 138098108 4 150 SH Sole 150 PFIZER INC COM 717081103 13 580 SH Sole 580 POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 9,257 338,331 SH Sole 338,331 VERIZON COMMUNICATIONS INC COM 92343V104 2,882 71,841 SH Sole 71,841 WHOLE FOODS MKT INC COM 966837106 404 5,800 SH Sole 5,800 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 6,460 165,558 SH Sole 165,558 ISHARES TR DJ OIL EQUIP 464288844 3,549 68,343 SH Sole 68,343 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 15 200 SH Sole 200 ISHARES TR RUSL 2000 VALU 464287630 436 6,642 SH Sole 6,642 SUNOPTA INC COM 8676EP108 37 7,751 SH Sole 7,751 ATLANTIC PWR CORP COM NEW 04878Q863 1,591 111,258 SH Sole 111,258 SPIRE CORP COM 848565107 2 3,400 SH Sole 3,400 ISHARES INC MSCI BRAZIL 464286400 8 135 SH Sole 135 EXPRESS SCRIPTS INC COM 302182100 4 100 SH Sole 100 STARRETT L S CO CL A 855668109 8 602 SH Sole 602 TEXTRON INC COM 883203101 1 64 SH Sole 64 INTEL CORP COM 458140100 411 16,951 SH Sole 16,951 DISNEY WALT CO COM DISNEY 254687106 0 6 SH Sole 6 PENNEY J C INC COM 708160106 11 300 SH Sole 300 CATERPILLAR INC DEL COM 149123101 27 300 SH Sole 300 ISHARES GOLD TRUST ISHARES 464285105 1,707 112,100 SH Sole 112,100 TATA MTRS LTD SPONSORED ADR 876568502 10 600 SH Sole 600 WILLIAMS CLAYTON ENERGY INC COM 969490101 20 265 SH Sole 265 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 54 1,927 SH Sole 1,927 GREEN MTN COFFEE ROASTERS IN COM 393122106 40 900 SH Sole 900 ENTERPRISE PRODS PARTNERS L COM 293792107 1 25 SH Sole 25 ISHARES TR BARCLYS TIPS BD 464287176 9,335 79,999 SH Sole 79,999 BANCOLOMBIA S A SPON ADR PREF SPON ADR PREF 05968L102 12 200 SH Sole 200 NETAPP INC COM 64110D104 4 100 SH Sole 100 VIACOM INC NEW CL B 92553P201 2 45 SH Sole 45 KIMBERLY CLARK CORP COM 494368103 265 3,600 SH Sole 3,600 LINKEDIN CORP COM CL A 53578A108 50 800 SH Sole 800 WESTPORT INNOVATIONS INC COM NEW 960908309 386 11,600 SH Sole 11,600 DEVON ENERGY CORP NEW COM 25179M103 3 44 SH Sole 44 ISHARES TR RUSSELL 2000 464287655 12,368 167,700 SH Sole 167,700 OXYGEN BIOTHERAPEUTICS INC COM NEW 69207P209 0 2 SH Sole 2 LOCKHEED MARTIN CORP COM 539830109 32 400 SH Sole 400 BANK OF AMERICA CORPORATION COM 060505104 21 3,852 SH Sole 3,852 EDWARDS LIFESCIENCES CORP COM 28176E108 28 400 SH Sole 400 AT&T INC COM COM 00206R102 159 5,258 SH Sole 5,258 BROOKS AUTOMATION INC COM 114340102 2 222 SH Sole 222 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 2,422 47,088 SH Sole 47,088 SPDR GOLD TRUST GOLD SHS 78463V107 5,540 36,450 SH Sole 36,450 VANGUARD INDEX FDS SMALL CP ETF 922908751 296 4,251 SH Sole 4,251 UNITEDHEALTH GROUP INC COM 91324P102 102 2,011 SH Sole 2,011 ABBOTT LABS COM 002824100 40 704 SH Sole 704 TRANSOCEAN LTD REG SHS H8817H100 1,520 39,600 SH Sole 39,600 CONOCOPHILLIPS COM 20825C104 7 100 SH Sole 100 TORONTO DOMINION BK ONT COM NEW 891160509 1 12 SH Sole 12 SPDR SERIES TRUST DB INT GVT ETF 78464A490 3,271 57,643 SH Sole 57,643 NSTAR COM 67019E107 9 200 SH Sole 200 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 10 172 SH Sole 172 ISHARES TR MSCI EMERG MKT 464287234 2 47 SH Sole 47 CBS CORP NEW CL B 124857202 1 45 SH Sole 45 JOHNSON & JOHNSON COM 478160104 39 600 SH Sole 600 TORO CO COM 891092108 5 90 SH Sole 90 CURRENCYSHARES SWEDISH KRONA SWEDISH KRONA 23129R108 36 250 SH Sole 250 POWERSHARES ETF TRUST DYN BIOT & GEN 73935X856 2 100 SH Sole 100 SPDR SERIES TRUST S&P BIOTECH 78464A870 13 200 SH Sole 200 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 56 733 SH Sole 733 MICROSOFT CORP COM 594918104 16 600 SH Sole 600 VEOLIA ENVIRONNEMENT SPONSORED ADR 92334N103 6 500 SH Sole 500 ABERDEEN ASIA PACIFIC INCOM COM 003009107 11 1,500 SH Sole 1,500 MERCK & CO INC NEW COM 58933Y105 8 200 SH Sole 200 ENERPLUS CORP COM COM 292766102 13 500 SH Sole 500 POOL CORPORATION COM 73278L105 3 105 SH Sole 105 ANADARKO PETE CORP COM 032511107 47 616 SH Sole 616 TANZANIAN ROYALTY EXPL CORP COM COM 87600U104 1 500 SH Sole 500 APPLE INC COM 037833100 44 108 SH Sole 108 MARKET VECTORS ETF TR JR GOLD MINERS E 57060U589 2 100 SH Sole 100 BHP BILLITON LTD SPONSORED ADR 088606108 749 10,600 SH Sole 10,600 EATON VANCE TAX MNGD GBL DV COM 27829F108 41 5,000 SH Sole 5,000 HIBBETT SPORTS INC COM 428567101 23 500 SH Sole 500 GENERAL ELECTRIC CO COM 369604103 283 15,814 SH Sole 15,814 SCHLUMBERGER LTD COM 806857108 993 14,539 SH Sole 14,539 TEMPLETON GLOBAL INCOME FD COM 880198106 27 2,840 SH Sole 2,840 FRONTIER COMMUNICATIONS CORP COM 35906A108 1 169 SH Sole 169 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 8,053 144,240 SH Sole 144,240 BEAM INC COM COM 073730103 38 736 SH Sole 736 SMARTHEAT INC COM 83172F104 1 2,165 SH Sole 2,165 BIOGEN IDEC INC COM 09062X103 11 100 SH Sole 100 COCA COLA CO COM 191216100 1 12 SH Sole 12 PROCTER & GAMBLE CO COM 742718109 109 1,632 SH Sole 1,632 MARRIOTT VACATIONS WRLDWDE C COM 57164Y107 1 36 SH Sole 36 JDS UNIPHASE CORP COM PAR $0.001 COM PAR $0.001 46612J507 4 375 SH Sole 375 LEGACY RESERVES LP UNIT LP INT 524707304 30 1,080 SH Sole 1,080 PERMA-FIX ENVIRONMENTAL SVCS COM 714157104 3 2,000 SH Sole 2,000 HECLA MNG CO COM COM 422704106 52 10,000 SH Sole 10,000 HONEYWELL INTL INC COM 438516106 18 333 SH Sole 333 BARRICK GOLD CORP COM 067901108 32 700 SH Sole 700 FORTUNE BRANDS HOME & SEC IN COM 34964C106 13 736 SH Sole 736 KINDER MORGAN MANAGEMENT LLC SHS 49455U100 0 5 SH Sole 5 STANLEY BLACK & DECKER INC COM COM 854502101 85 1,250 SH Sole 1,250 MARRIOTT INTL INC NEW CL A 571903202 11 367 SH Sole 367 AMGEN INC COM 031162100 12 188 SH Sole 188 SPDR SERIES TRUST OILGAS EQUIP 78464A748 2,541 73,300 SH Sole 73,300 COVIDIEN PLC SHS G2554F113 14 300 SH Sole 300 EATON VANCE TXMGD GL BUYWR O COM 27829C105 1,310 127,384 SH Sole 127,384 INTERNATIONAL BUSINESS MACHS COM 459200101 93 506 SH Sole 506 INTUITIVE SURGICAL INC COM NEW 46120E602 12 25 SH Sole 25 STAR GAS PARTNERS L P UNIT LTD PARTNR 85512C105 5 1,000 SH Sole 1,000 PRUDENTIAL FINL INC COM COM 744320102 1 21 SH Sole 21 CHESAPEAKE ENERGY CORP COM COM 165167107 0 9 SH Sole 9 DOMINION RES INC VA NEW COM 25746U109 5 100 SH Sole 100 GOLDCORP INC NEW COM 380956409 358 8,100 SH Sole 8,100 VANGUARD WORLD FD EXTENDED DUR 921910709 13 110 SH Sole 110 MAGELLAN PETE CORP COM 559091301 7 7,000 SH Sole 7,000 AUTOMATIC DATA PROCESSING IN COM 053015103 38 700 SH Sole 700 CHEVRON CORP NEW COM 166764100 194 1,822 SH Sole 1,822 ISHARES TR FTSE CHINA25 IDX 464287184 14 400 SH Sole 400 CENTRAL GOLDTRUST TR UNIT 153546106 4,741 80,123 SH Sole 80,123 SPDR S&P 500 ETF TR TR UNIT 78462F103 37 296 SH Sole 296 ETFS GOLD TR SHS 26922Y105 124 800 SH Sole 800 COMTECH TELECOMMUNICATIONS C COM NEW 205826209 3 90 SH Sole 90 HARRIS CORP DEL COM 413875105 11 300 SH Sole 300 ISHARES TR S&P 500 INDEX 464287200 290 2,305 SH Sole 2,305 PEPSICO INC COM 713448108 89 1,346 SH Sole 1,346 BAXTER INTL INC COM COM 071813109 26 533 SH Sole 533 VALE S A ADR 91912E105 2 100 SH Sole 100 MORGAN STANLEY COM NEW 617446448 3 200 SH Sole 200 EXXON MOBIL CORP COM 30231G102 831 9,800 SH Sole 9,800 ALCATEL-LUCENT SPONSORED ADR 013904305 0 105 SH Sole 105 OTTER TAIL CORP COM 689648103 22 1,000 SH Sole 1,000 ORACLE CORP COM 68389X105 21 800 SH Sole 800 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 85 1,000 SH Sole 1,000 XILINX INC COM COM 983919101 16 500 SH Sole 500 AMAZON COM INC COM 023135106 121 700 SH Sole 700 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 10 300 SH Sole 300 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 8,493 69,700 SH Sole 69,700 ISHARES TR S&P GRWTH ALL 464289867 2 62 SH Sole 62 DOW CHEM CO COM 260543103 12 400 SH Sole 400 TENET HEALTHCARE CORP COM 88033G100 0 1 SH Sole 1 WALGREEN CO COM 931422109 3 102 SH Sole 102 TIFFANY & CO NEW COM 886547108 20 300 SH Sole 300 ENDEAVOUR SILVER CORP COM 29258Y103 10 1,000 SH Sole 1,000 TARGET CORP COM 87612E106 32 619 SH Sole 619 CENTRAL FD CDA LTD CL A 153501101 7,182 366,243 SH Sole 366,243 PENN WEST PETE LTD NEW COM 707887105 10 500 SH Sole 500 CURRENCYSHARES CDN DLR TR CDN DOLLAR SHS 23129X105 1,958 20,054 SH Sole 20,054 DEERE & CO COM 244199105 696 9,000 SH Sole 9,000 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 6,473 191,800 SH Sole 191,800 BLUE COAT SYSTEMS INC COM NEW 09534T508 3 100 SH Sole 100 ELDORADO GOLD CORP NEW COM 284902103 37 2,700 SH Sole 2,700 UNION PAC CORP COM 907818108 913 8,614 SH Sole 8,614 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 526 9,627 SH Sole 9,627 MINES MGMT INC COM 603432105 10 5,200 SH Sole 5,200