-----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, HzEsqCXcBwrjTvt7XhaOC9vXk/PxGDZIGSEqKx3ooo7kgiUsGQyGt0H/AVmM1jzy MYTXUAg8tr7sYgQz0XiwLQ== 0000860862-09-000008.txt : 20091112 0000860862-09-000008.hdr.sgml : 20091111 20091112111907 ACCESSION NUMBER: 0000860862-09-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091112 DATE AS OF CHANGE: 20091112 EFFECTIVENESS DATE: 20091112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TRAIN BABCOCK ADVISORS LLC CENTRAL INDEX KEY: 0000860862 IRS NUMBER: 133328961 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-02669 FILM NUMBER: 091175260 BUSINESS ADDRESS: STREET 1: 100 PARK AVENUE STREET 2: 27TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-451-3400 MAIL ADDRESS: STREET 1: 100 PARK AVENUE STREET 2: 27TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: TRAIN SMITH COUNSEL ET AL DATE OF NAME CHANGE: 19950216 13F-HR 1 tb13f3q2009.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F SUMMARY PAGE TYPE: 13F-HR SUBMISSION - CONTACT NAME Keith Gilmore PHONE (212) 451-3419 Attached Documents Page (2) FORM 13F FORM 13F COVER PAGE Check here if Amendment [ ]; This Amendment (Check only one.): [] is a restatement. [] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Train, Babcock Advisors LLC Address: 100 PARK AVENUE, 27TH FLOOR NEW YORK, NY 10017-5537 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 submission. Person Signing this Report on Behalf of Reporting Manager: Name: Keith Gilmore Title: Phone: (212) 451-3419 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).) List of Other Managers Reporting for this Manager: UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: NONE (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(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.] 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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- SCHERING PLOUGH CORP PFD CONV 806605705 243 1000 SH Sole 1000 3M COMPANY COM 88579Y101 3293 44617 SH Sole 44407 210 336 4550 SH Defined 4550 140 1900 SH Other 1900 ABBOTT LABORATORIES COM 002824100 7678 155206 SH Sole 154486 720 904 18275 SH Defined 18275 231 4668 SH Other 2800 1868 ACCENTURE LTD COM G1151C101 10248 274964 SH Sole 273714 1250 1105 29650 SH Defined 28650 1000 205 5500 SH Other 3500 2000 ADOBE SYSTEMS INC. COM 00724F101 1050 31766 SH Sole 31766 AETNA INC. COM 00817Y108 223 8000 SH Defined 8000 ALTRIA GROUP INC COM 02209S103 151 8500 SH Sole 8500 45 2500 SH Other 2500 AMGEN INC. COM 031162100 430 7146 SH Sole 7146 12 200 SH Other 200 ANADARKO PETROLEUM CORP COM 032511107 1092 17400 SH Sole 17400 APACHE CORPORATION COM 037411105 275 3000 SH Sole 3000 APPLE INC. COM 037833100 5977 32247 SH Sole 32247 37 200 SH Defined 200 519 2800 SH Other 2800 AT&T INC. COM 00206R102 342 12676 SH Sole 12676 43 1603 SH Defined 1603 19 700 SH Other 700 BANK OF AMERICA CORP COM 060505104 215 12700 SH Sole 12700 4 250 SH Defined 250 BANK OF NEW YORK MELLON CORP. COM 064058100 341 11759 SH Sole 11759 29 1000 SH Defined 1000 BAXTER INTERNATIONAL COM 071813109 267 4687 SH Sole 4687 BECTON DICKINSON & CO. COM 075887109 8386 120228 SH Sole 119578 650 1279 18330 SH Defined 18330 174 2500 SH Other 2500 BEHRINGER HARVARD REIT I COM 177 163000 SH Other 163000 BEHRINGER HARVARD STRAT OPP I COM 250 250000 SH Other 250000 BEHRINGER HARVARD STRAT OPP II COM BHSOPPII9 100 100000 SH Other 100000 BERKSHIRE HATHAWAY INC-CL A COM 084670108 303 3 SH Sole 3 404 4 SH Defined 4 202 2 SH Other 1 1 BERKSHIRE HATHAWAY INC CL B COM 084670207 542 163 SH Sole 163 106 32 SH Defined 32 219 66 SH Other 29 37 BHP BILLITON LIMITED COM 088606108 360 5454 SH Sole 5454 20 300 SH Defined 300 BP PLC ADS COM 055622104 150 2825 SH Sole 2825 21 400 SH Defined 400 85 1600 SH Other 1600 BRISTOL-MYERS SQUIBB CO. COM 110122108 616 27338 SH Sole 27338 34 1500 SH Defined 1500 BURLINGTON NORTHERN SANTA FE COM 12189T104 934 11703 SH Sole 11703 CANADIAN NATIONAL RAILWAY COM 136375102 1512 30865 SH Sole 30865 CATERPILLAR INC COM 149123101 323 6300 SH Sole 6300 CHEVRON CORP COM 166764100 1402 19912 SH Sole 19912 85 1200 SH Defined 1200 CHINA COMMUNICATIONS CONST COM Y14369105 11 10000 SH Sole 10000 CISCO SYSTEMS INC. COM 17275R102 10010 425219 SH Sole 422994 2225 822 34925 SH Defined 32925 2000 452 19200 SH Other 6500 12700 COCA-COLA COMPANY COM 191216100 486 9055 SH Sole 9055 11 200 SH Defined 200 32 600 SH Other 600 COLGATE-PALMOLIVE CO COM 194162103 1142 14971 SH Sole 14971 92 1200 SH Other 1200 COMPTON PETROLEUM CORP COM 204940100 13 10500 SH Other 10500 CONOCOPHILLIPS COM 20825C104 1731 38339 SH Sole 38339 519 11488 SH Other 11488 COVANCE INC. COM 222816100 2684 49570 SH Sole 49255 315 22 400 SH Defined 400 COVIDIEN LTD. COM G2554F105 6276 145083 SH Sole 144258 825 1064 24587 SH Defined 23962 625 131 3025 SH Other 2400 625 CVS CAREMARK CORP. COM 126650100 4773 133538 SH Sole 133538 457 12791 SH Defined 12791 18 500 SH Other 500 DENTSPLY INTERNATIONAL INC COM 249030107 954 27630 SH Sole 27630 DISCOVER FINANCIAL SERVICES COM 254709108 115 7116 SH Sole 7116 89 5500 SH Other 5500 DOVER CORPORATION COM 260003108 155 4000 SH Sole 4000 155 4000 SH Other 4000 DUPONT DE NEMOURS & CO. COM 263534109 2187 68052 SH Sole 68052 21773 677434 SH Other 65684 611750 EBAY INC. COM 278642103 4076 172700 SH Sole 171775 925 359 15205 SH Defined 15205 76 3200 SH Other 3200 EMC CORPORATION COM 268648102 55 3250 SH Sole 3250 136 8000 SH Other 8000 EMERSON ELECTRIC CO. COM 291011104 645 16085 SH Sole 16085 48 1200 SH Other 1200 EXXON MOBIL CORPORATION COM 30231g102 19195 279771 SH Sole 278621 1150 2614 38106 SH Defined 35106 3000 1465 21355 SH Other 5499 15856 FLOWSERVE CORPORATION COM 34354P105 5688 57725 SH Sole 57475 250 729 7400 SH Defined 7400 138 1400 SH Other 1400 GAMESTOP CORP COM 36467W109 1389 52480 SH Sole 51980 500 GENERAL ELECTRIC CO COM 369604103 88 5366 SH Sole 5366 299 18200 SH Other 18200 GOLDMAN SACHS GROUP INC COM 38141G104 380 2060 SH Sole 2060 6 30 SH Defined 30 55 300 SH Other 300 GOOGLE INC COM 38259p508 12830 25875 SH Sole 25746 129 1139 2297 SH Defined 2177 120 159 320 SH Other 200 120 GRAHAM-FIELD HEALTH PDCTS COM 384632105 0 10500 SH Defined 10500 HARTE-HANKS INC. COM 416196103 311 22500 SH Defined 22500 HERSHEY CO. COM 427866108 272 7000 SH Sole 7000 HEWLETT-PACKARD CO COM 428236103 12332 261207 SH Sole 259482 1725 1506 31900 SH Defined 31400 500 415 8800 SH Other 5000 3800 HOME DEPOT INC. COM 437076102 265 9950 SH Sole 9950 32 1200 SH Defined 1200 32 1200 SH Other 1200 HORIZON LINES, INC. COM 44044K101 2495 392844 SH Sole 392844 1 200 SH Defined 200 HSBC HLDGS PLC ADS COM 404280406 79 1378 SH Sole 1378 130 2268 SH Defined 2268 HUBBELL HARVEY INC CLASS B COM 443510201 214 5089 SH Defined 5089 IBM CORP COM 459200101 2311 19317 SH Sole 19317 1065 8906 SH Other 8306 600 INTEL CORPORATION COM 458140100 753 38500 SH Sole 38500 121 6200 SH Defined 6200 90 4600 SH Other 4600 J. CREW GROUP, INC. COM 46612H402 645 18000 SH Sole 18000 788 22000 SH Other 22000 JOHNSON & JOHNSON COM 478160104 13098 215107 SH Sole 214297 810 1551 25466 SH Defined 25466 711 11678 SH Other 2378 9300 KRAFT FOODS INC COM 50075N104 286 10880 SH Sole 10880 93 3530 SH Other 3530 LABORATORY CORP OF AMERICA COM 50540R409 437 6650 SH Sole 6650 M&T BANK CORP. COM 55261F104 623 10000 SH Sole 10000 MCDONALD'S CORP. COM 580135101 8030 140701 SH Sole 139801 900 884 15491 SH Defined 13591 1900 263 4600 SH Other 1500 3100 MCKESSON CORP COM 58155Q103 1435 24100 SH Sole 24100 MICROSOFT CORPORATION COM 594918104 411 15983 SH Sole 15983 57 2200 SH Defined 2200 69 2700 SH Other 2700 MORGAN STANLEY COM 617446448 1276 41332 SH Sole 41332 225 7300 SH Other 7300 NOBLE CORP COM H5833N103 7422 195517 SH Sole 194667 850 439 11575 SH Defined 10575 1000 53 1400 SH Other 1400 NORDIC AMER. TANKER SHIP. LTD COM G65773106 296 10000 SH Sole 10000 ORACLE CORPORATION COM 68389x105 8505 408127 SH Sole 406227 1900 624 29950 SH Defined 28450 1500 188 9000 SH Other 5000 4000 PAYCHEX, INC. COM 704326107 8122 279602 SH Sole 278502 1100 1000 34440 SH Defined 34140 300 145 5000 SH Other 5000 PEPSICO, INC. COM 713448108 7971 135891 SH Sole 135416 475 793 13520 SH Defined 12720 800 245 4175 SH Other 1400 2775 PFIZER INC. COM 717081103 50 3000 SH Sole 3000 297 17950 SH Defined 17950 60 3600 SH Other 3600 PHILIP MORRIS INTL COM 718172109 463 9500 SH Sole 9500 122 2500 SH Other 2500 POLO RESOURCES LTD COM G6844A107 40 500000 SH Sole 500000 PPG INDUSTRIES INC. COM 693506107 349 6000 SH Sole 6000 PROCTER & GAMBLE CO. COM 742718109 9054 156326 SH Sole 155626 700 1621 27986 SH Defined 27986 362 6250 SH Other 2500 3750 QUALCOMM INC. COM 747525103 346 7690 SH Sole 7690 189 4200 SH Other 3200 1000 RESEARCH IN MOTION COM 760975102 232 3431 SH Sole 3431 RESOLUTION LTD COM G7521S106 15 10000 SH Sole 10000 ROYAL DUTCH SHELL PLC COM 780259206 136 2383 SH Sole 2383 1453 25400 SH Defined 25400 SABA SOFTWARE INC. COM 784932600 316 75000 SH Sole 75000 SCHLUMBERGER LTD. COM 806857108 8552 143495 SH Sole 142660 835 931 15625 SH Defined 15625 131 2200 SH Other 2200 STATE STREET CORP COM 857477103 8305 157898 SH Sole 157298 600 2550 48486 SH Defined 47986 500 537 10200 SH Other 2500 7700 SYSCO CORPORATION COM 871829107 6353 255652 SH Sole 254127 1525 956 38475 SH Defined 38475 115 4625 SH Other 4000 625 TARGET CORPORATION COM 87612E106 463 9924 SH Sole 9924 6 133 SH Defined 133 TRANSOCEAN INC COM h8817h100 6574 76861 SH Sole 76406 455 399 4666 SH Defined 4666 TREDEGAR CORP COM 894650100 147 10160 SH Sole 10160 UNILEVER N.V. COM 904784709 3428 118776 SH Sole 118776 VCA ANTECH INC COM 918194101 5259 195564 SH Sole 194154 1410 228 8485 SH Defined 8485 VERIZON COMMUNICATIONS, INC. COM 92343V104 967 31959 SH Sole 31959 83 2741 SH Defined 1741 1000 70 2300 SH Other 2300 WALGREEN COMPANY COM 931422109 634 16914 SH Sole 16114 800 93 2490 SH Other 2490 WALT DISNEY COMPANY COM 254687106 43 1567 SH Sole 1567 165 6000 SH Other 6000 WELLS FARGO & CO COM 949746101 1861 66044 SH Sole 66044 37 1300 SH Defined 1300 87 3075 SH Other 3075 WELLS REIT II COM 120 120000 SH Other 120000 WESTERN UNION COM 959802109 42 2200 SH Sole 2200 530 28000 SH Defined 28000 XTO ENERGY INC COM 98385X106 282 6832 SH Sole 6832 CONSUMER DISCRETIONARY SELECT 81369Y407 1694 61650 SH Sole 61650 ENERGY SELECT SECTOR ETF 81369Y506 2412 44725 SH Sole 44725 FINANCIAL SELECT SECTOR SPDR F 81369Y605 241 16100 SH Sole 16100 HEALTH CARE SELECT SECTOR SPDR 81369Y209 210 7325 SH Sole 7325 INDUSTRIAL SELECT SECTOR SPDR 81369Y704 1802 68425 SH Sole 68425 ISHARES MSCI EAFE INDEX FUND 464287465 919 16800 SH Sole 16800 ISHARES MSCI EMERGING MKT INDE 464287234 878 22575 SH Sole 22575 23 600 SH Other 600 ISHARES S&P GLOBAL FINANCIALS 464287333 588 12300 SH Sole 12300 ISHARES S&P SMALL CAP 600 INDE 464287804 1168 22325 SH Sole 22325 ISHARES TR DJ US HEALTHCR 464287762 1105 18750 SH Sole 18750 ISHARES TR RUSL 2000 VALU 464287630 222 3935 SH Other 3935 ISHARES TR RUSSELL 1000 464287622 1511 26000 SH Sole 26000 ISHARES TR RUSSELL MCP VL 464287473 203 5730 SH Sole 5730 ISHARES TR RUSSELL1000GRW 464287614 755 16300 SH Sole 16300 MIDCAP SPDR TR UNIT SER 1 595635103 2360 18842 SH Sole 18842 30 240 SH Defined 240 9 75 SH Other 75 POWERSHARES QQQ TRUST UNIT SER 73935A104 1452 34375 SH Sole 34375 POWERSHARES UNSURED NATIONAL M 73936T474 338 13919 SH Other 13919 SELECT SECTOR SPDR TR SBI INT- 81369Y886 337 11500 SH Sole 11500 SPDR INDEX SHS FDS ASIA PACIF 78463X301 243 3500 SH Sole 3500 SPDR SERIES TRUST S&P BIOTECH 78464A870 589 10975 SH Sole 10975 SPDR TR UNIT SER 1 78462F103 4475 42382 SH Sole 42382 3 25 SH Defined 25 63 600 SH Other 100 500 VANGUARD EMERGING MKT ETF 922042858 802 20807 SH Sole 20807 1 15 SH Defined 15 VANGUARD EUROPE PAC ETF 921943858 853 24875 SH Sole 24875 VANGUARD INDEX FDS MID CAP ETF 922908629 304 5350 SH Sole 5350 VANGUARD INDEX FDS SMALL CP ET 922908751 450 8095 SH Sole 8095 22 400 SH Other 400 VANGUARD WORLD FDS INDUSTRIAL 92204A603 357 7200 SH Sole 7200 VANGUARD WORLD FDS INF TECH ET 92204A702 1161 23275 SH Sole 23275 AJM INVESTMENTS LLC 200 200000 SH Sole 200000 AMERICAN CENTY MUT FDS INC NEW 025083338 403 66312.4470 SH Sole 66312.4470 39 6417.4160 SH Defined 6417.4160 BNY MELLON INTERNATIONAL APPRE 05569M566 195 16560.8800 SH Other 987.3940 15573.4860 BRANDYWINE BLUE FD INC COM 10532B101 580 28078.0330 SH Sole 28078.0330 58 2807.9160 SH Defined 2807.9160 COLUMBIA ACORN TR INTL CL Z 197199813 464 14143.9030 SH Sole 14143.9030 COLUMBIA BALANCED FD INC NEW M 19765P232 210 10934.1960 SH Sole 10934.1960 DODGE & COX FDS INTL STK FD 256206103 500 15806.7540 SH Sole 15806.7540 17 535.1800 SH Defined 535.1800 25 803.0800 SH Other 803.0800 DODGE & COX STK FD COM 256219106 1625 17618.6680 SH Sole 17618.6680 DREYFUS PREMIER INTL FDS INC G 261986582 91 13901.1200 SH Other 13901.1200 EURO PAC GROWTH FD CL F 298706409 435 11585.9640 SH Other 9705.5920 1880.3720 FAIRHOLME FD COM 304871106 297 10608.9790 SH Other 10608.9790 FIDELITY INVT TR SOUTHEAST ASI 315910851 371 15006.9910 SH Sole 15006.9910 42 1716.4630 SH Defined 1716.4630 45 1824.8080 SH Other 1824.8080 FIRST EAGLE FDS INC OVERSEAS F 32008F200 568 28119.8040 SH Sole 28119.8040 FRANKLIN MUTUAL SHARES FUND - 628380107 353 19106.0310 SH Other 19106.0310 GROWTH FD AMER INC CL F 399874403 364 14089.0340 SH Other 10363.8760 3725.1580 HARBOR INTERNATIONAL FUND INST 411511306 1356 25766.4860 SH Sole 25766.4860 105 2002.4090 SH Defined 2002.4090 88 1678.2960 SH Other 1678.2960 OPPENHEIMER DEVELOPING MKTS FD 683974109 228 8624.6060 SH Other 7154.4160 1470.1900 T. ROWE PRICE CAPITAL APPRECIA 77954M105 178 10083.1630 SH Other 10083.1630 THIRD AVE TR INTL VALUE FD 884116500 175 11143.2540 SH Other 11143.2540 THORNBURG INVT TR GLOBAL VAL A 885215657 209 8757.6300 SH Other 8757.6300 VANGUARD STAR FD TOTAL INTL ST 921909602 143 10000.0790 SH Sole 10000.0790 ARTISIAN INT'L-AS OF 09/30/200 1317 1 SH Sole 1 CUMBERLAND PTNRS 09/30/09 1766 1 SH Sole 1
-----END PRIVACY-ENHANCED MESSAGE-----