0000891092-12-000929.txt : 20120214 0000891092-12-000929.hdr.sgml : 20120214 20120214093416 ACCESSION NUMBER: 0000891092-12-000929 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120214 DATE AS OF CHANGE: 20120214 EFFECTIVENESS DATE: 20120214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MD SASS INVESTORS SERVICES INC CENTRAL INDEX KEY: 0000922940 IRS NUMBER: 132703405 STATE OF INCORPORATION: DE FISCAL YEAR END: 0228 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04057 FILM NUMBER: 12603078 BUSINESS ADDRESS: STREET 1: 1185 AVERNUE OF THE AMERICAS STREET 2: 18TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 2127302000 MAIL ADDRESS: STREET 1: 1185 AVENUE OF THE AMERICAS STREET 2: 18TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 13F-HR 1 e47363_13fhr.txt HOLDINGS REPORT 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: M.D. Sass Investors Services, Inc. Address: 1185 Avenue of the Americas, 18th Floor New York, NY 10036 Form 13 F File Number: 28-04057 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: Rosemary Mooney Title: Senior Vice President & Head of Operations Phone: (212) 843-8956 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).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 113 Form 13F Information Table Value Total: 1,332,944 (Thousands) List of Other Included Managers: 1) M.D. Sass Associates, Inc. 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. 1. 28-12005 M.D. Sass Associates, Inc.
FORM 13F INFORMATION TABLE VOTING AUTHORITY TITLE VALUE SHARES / SH/ PUT / INVSTMT OTHER NAME OF ISSUER OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DSCRETN MANAGER SOLE SHARED NONE ------------------------------------------------------------------------------------------------------------------------------------ ABBOTT LABORATORIES COMMON STOCK 002824100 478 8,500 SH SOLE 8,500 0 0 ANNALY CAP MGMT INC COMMON STOCK 035710409 21,310 1,335,200 SH SOLE 1 1,112,750 0 222,450 ANNALY CAP MGMT INC COMMON STOCK 035710409 11,268 706,000 SH SOLE 660,400 0 45,600 ASPEN TECHNOLOGY INC COMMON STOCK 045327103 46 2,625 SH SOLE 0 0 2,625 AT&T INC COMMON STOCK 00206R102 4,733 156,500 SH SOLE 156,500 0 0 BAKER HUGHES INC COMMON STOCK 057224107 16,420 337,580 SH SOLE 1 281,230 0 56,350 BAKER HUGHES INC COMMON STOCK 057224107 9,344 192,110 SH SOLE 180,160 0 11,950 BALLY TECHNOLOGIES INC COMMON STOCK 05874B107 23,219 586,925 SH SOLE 1 505,175 0 81,750 BALLY TECHNOLOGIES INC COMMON STOCK 05874B107 13,035 329,511 SH SOLE 308,811 0 20,700 BANK OF AMERICA CORPORATION COMMON STOCK 060505104 1,732 311,500 SH SOLE 311,500 0 0 BAXTER INTL INC COMMON STOCK 071813109 19,166 387,343 SH SOLE 1 324,393 0 62,950 BAXTER INTL INC COMMON STOCK 071813109 11,441 231,225 SH SOLE 218,575 0 12,650 BECTON DICKINSON & CO COMMON STOCK 075887109 2,668 35,700 SH SOLE 35,700 0 0 CAMERON INTERNATIONAL CORP COMMON STOCK 13342B105 25,476 517,900 SH SOLE 1 435,325 0 82,575 CAMERON INTERNATIONAL CORP COMMON STOCK 13342B105 13,156 267,450 SH SOLE 249,950 0 17,500 CARNIVAL CORP COMMON STOCK 143658300 4,543 139,200 SH SOLE 139,200 0 0 CHATHAM LODGING TR COMMON STOCK 16208T102 3,521 326,627 SH SOLE 326,627 0 0 CHICAGO BRIDGE & IRON CO N V COMMON STOCK 167250109 15,977 422,681 SH SOLE 1 354,231 0 68,450 CHICAGO BRIDGE & IRON CO N V COMMON STOCK 167250109 8,575 226,857 SH SOLE 212,557 0 14,300 CISCO SYSTEMS INC COMMON STOCK 17275R102 4,900 271,000 SH SOLE 271,000 0 0 CONSTELLATION ENERGY GROUP INC COMMON STOCK 210371100 4,522 114,000 SH SOLE 114,000 0 0 CORNING INC COMMON STOCK 219350105 3,888 299,500 SH SOLE 299,500 0 0 CVS CAREMARK CORPORATION COMMON STOCK 126650100 31,427 770,650 SH SOLE 1 637,200 0 133,450 CVS CAREMARK CORPORATION COMMON STOCK 126650100 16,646 408,200 SH SOLE 382,000 0 26,200 ENSCO PLC ADR 29358Q109 16,625 354,325 SH SOLE 1 291,600 0 62,725 ENSCO PLC ADR 29358Q109 11,123 237,056 SH SOLE 223,456 0 13,600 ENTERGY CORP NEW COMMON STOCK 29364G103 5,194 71,100 SH SOLE 71,100 0 0 EXELON CORP COMMON STOCK 30161N101 5,074 117,000 SH SOLE 117,000 0 0 F M C CORP COMMON STOCK 302491303 21,022 244,325 SH SOLE 1 203,875 0 40,450 F M C CORP COMMON STOCK 302491303 12,869 149,575 SH SOLE 142,475 0 7,100 FLOWSERVE CORP COMMON STOCK 34354P105 12,107 121,900 SH SOLE 1 101,750 0 20,150 FLOWSERVE CORP COMMON STOCK 34354P105 7,576 76,275 SH SOLE 72,225 0 4,050 GENERAL ELECTRIC CO COMMON STOCK 369604103 5,212 291,000 SH SOLE 291,000 0 0 GOOGLE INC-CL A COMMON STOCK 38259P508 25,678 39,755 SH SOLE 1 33,335 0 6,420 GOOGLE INC-CL A COMMON STOCK 38259P508 15,170 23,487 SH SOLE 22,262 0 1,225 HALLIBURTON CO COMMON STOCK 406216101 17,245 499,700 SH SOLE 1 419,350 0 80,350 HALLIBURTON CO COMMON STOCK 406216101 9,483 274,800 SH SOLE 257,900 0 16,900 HARLEY DAVIDSON INC COMMON STOCK 412822108 0 4 SH SOLE 1 4 0 0 HARRIS CORP DEL COMMON STOCK 413875105 4,595 127,500 SH SOLE 127,500 0 0 HERTZ GLOBAL HOLDINGS INC COMMON STOCK 42805T105 16,526 1,410,100 SH SOLE 1 1,186,100 0 224,000 HERTZ GLOBAL HOLDINGS INC COMMON STOCK 42805T105 9,813 837,300 SH SOLE 790,000 0 47,300 HOME DEPOT INC COMMON STOCK 437076102 15 350 SH SOLE 350 0 0 HOSPIRA INC COMMON STOCK 441060100 19,138 630,150 SH SOLE 1 529,450 0 100,700 HOSPIRA INC COMMON STOCK 441060100 10,523 346,500 SH SOLE 325,900 0 20,600 ILLINOIS TOOL WORKS COMMON STOCK 452308109 4,437 95,000 SH SOLE 95,000 0 0 INTEL CORP COMMON STOCK 458140100 1,479 61,000 SH SOLE 61,000 0 0 JOHNSON & JOHNSON COMMON STOCK 478160104 4,302 65,600 SH SOLE 65,600 0 0 JOHNSON CTLS INC COMMON STOCK 478366107 18,193 582,000 SH SOLE 1 485,600 0 96,400 JOHNSON CTLS INC COMMON STOCK 478366107 8,473 271,050 SH SOLE 251,650 0 19,400 KOHLS CORP COMMON STOCK 500255104 13,112 265,700 SH SOLE 1 221,100 0 44,600 KOHLS CORP COMMON STOCK 500255104 10,542 213,625 SH SOLE 204,725 0 8,900 LIBERTY INTERACTIVE CORP - A COMMON STOCK 53071M104 21,585 1,331,150 SH SOLE 1 1,107,000 0 224,150 LIBERTY INTERACTIVE CORP - A COMMON STOCK 53071M104 13,759 848,550 SH SOLE 805,450 0 43,100 LILLY ELI & CO COMMON STOCK 532457108 4,750 114,300 SH SOLE 114,300 0 0 LOCKHEED MARTIN CORP COMMON STOCK 539830109 4,644 57,400 SH SOLE 57,400 0 0 LOWES COS INC COMMON STOCK 548661107 4,383 172,700 SH SOLE 172,700 0 0 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 4,845 94,200 SH SOLE 94,200 0 0 MCKESSON CORP COMMON STOCK 58155Q103 27,017 346,775 SH SOLE 1 291,025 0 55,750 MCKESSON CORP COMMON STOCK 58155Q103 15,878 203,800 SH SOLE 192,150 0 11,650 MEDTRONIC INC COMMON STOCK 585055106 4,777 124,900 SH SOLE 124,900 0 0 METLIFE INC COMMON STOCK 59156R108 20,076 643,875 SH SOLE 1 539,025 0 104,850 METLIFE INC COMMON STOCK 59156R108 16,993 545,000 SH SOLE 522,800 0 22,200 MICROSOFT CORP COMMON STOCK 594918104 4,569 176,000 SH SOLE 176,000 0 0 MYLAN INC COMMON STOCK 628530107 26,778 1,247,800 SH SOLE 1 1,033,600 0 214,200 MYLAN INC COMMON STOCK 628530107 14,490 675,200 SH SOLE 634,800 0 40,400 NEWMONT MINING CORP COMMON STOCK 651639106 22,564 376,000 SH SOLE 1 316,000 0 60,000 NEWMONT MINING CORP COMMON STOCK 651639106 10,118 168,600 SH SOLE 156,300 0 12,300 NEXTERA ENERGY INC COMMON STOCK 65339F101 4,749 78,000 SH SOLE 78,000 0 0 NOKIA CORP SPONSORED ADR ADR 654902204 2,482 515,000 SH SOLE 515,000 0 0 NYSE EURONEXT COMMON STOCK 629491101 21,355 818,200 SH SOLE 1 686,200 0 132,000 NYSE EURONEXT COMMON STOCK 629491101 13,310 509,950 SH SOLE 481,850 0 28,100 OCCIDENTAL PETE CORP DEL COMMON STOCK 674599105 19,295 205,918 SH SOLE 1 168,468 0 37,450 OCCIDENTAL PETE CORP DEL COMMON STOCK 674599105 12,008 128,150 SH SOLE 121,000 0 7,150 PARTNERRE LTD COMMON STOCK G6852T105 4,321 67,300 SH SOLE 67,300 0 0 PEPSICO INC COMMON STOCK 713448108 4,412 66,500 SH SOLE 66,500 0 0 PRUDENTIAL FINL INC COMMON STOCK 744320102 21,374 426,450 SH SOLE 1 358,800 0 67,650 PRUDENTIAL FINL INC COMMON STOCK 744320102 11,485 229,150 SH SOLE 214,850 0 14,300 PUBLIC SVC ENTERPRISE GROUP COMMON STOCK 744573106 5,067 153,500 SH SOLE 153,500 0 0 QUALCOMM INC COMMON STOCK 747525103 23,354 426,950 SH SOLE 1 358,250 0 68,700 QUALCOMM INC COMMON STOCK 747525103 13,750 251,375 SH SOLE 237,675 0 13,700 QUANTA SVCS INC COMMON STOCK 74762E102 248 11,500 SH SOLE 11,500 0 0 RAYTHEON CO COMMON STOCK 755111507 4,548 94,000 SH SOLE 94,000 0 0 REINSURANCE GROUP AMER INC COMMON STOCK 759351604 14,843 284,072 SH SOLE 1 236,097 0 47,975 REINSURANCE GROUP AMER INC COMMON STOCK 759351604 6,832 130,754 SH SOLE 121,441 0 9,313 SANOFI AVENTIS ADR 80105N105 21,279 582,350 SH SOLE 1 482,050 0 100,300 SANOFI AVENTIS ADR 80105N105 13,326 364,700 SH SOLE 345,100 0 19,600 SARA LEE CORP COMMON STOCK 803111103 24,497 1,294,750 SH SOLE 1 1,083,450 0 211,300 SARA LEE CORP COMMON STOCK 803111103 13,604 719,050 SH SOLE 676,750 0 42,300 SPDR S&P 500 ETF TRUST TR UNIT 78462F103 126 1,000 SH SOLE 1,000 0 0 STANLEY BLACK & DECKER INC COMMON STOCK 854502101 20,786 307,492 SH SOLE 1 257,767 0 49,725 STANLEY BLACK & DECKER INC COMMON STOCK 854502101 10,468 154,850 SH SOLE 144,550 0 10,300 STAPLES INC COMMON STOCK 855030102 4,368 314,500 SH SOLE 314,500 0 0 STATE STR CORP COMMON STOCK 857477103 25,240 626,150 SH SOLE 1 520,350 0 105,800 STATE STR CORP COMMON STOCK 857477103 13,601 337,400 SH SOLE 315,200 0 22,200 SUNTRUST BKS INC COMMON STOCK 867914103 885 50,000 SH SOLE 50,000 0 0 SYSCO CORP COMMON STOCK 871829107 4,130 140,800 SH SOLE 140,800 0 0 TRW AUTOMOTIVE HLDGS CORP COMMON STOCK 87264S106 19,294 591,850 SH SOLE 1 502,000 0 89,850 TRW AUTOMOTIVE HLDGS CORP COMMON STOCK 87264S106 10,874 333,550 SH SOLE 314,650 0 18,900 TYCO INTERNATIONAL LTD COMMON STOCK H89128104 23,770 508,895 SH SOLE 1 421,945 0 86,950 TYCO INTERNATIONAL LTD COMMON STOCK H89128104 13,560 290,308 SH SOLE 274,508 0 15,800 UNITED PARCEL SERVICE INC COMMON STOCK 911312106 2,964 40,500 SH SOLE 40,500 0 0 VISA INC COMMON STOCK 92826C839 17,676 174,093 SH SOLE 1 145,843 0 28,250 VISA INC COMMON STOCK 92826C839 10,610 104,500 SH SOLE 98,650 0 5,850 WALGREEN CO COMMON STOCK 931422109 4,562 138,000 SH SOLE 138,000 0 0 WATSON PHARMACEUTICALS INC COMMON STOCK 942683103 20,798 344,675 SH SOLE 1 289,900 0 54,775 WATSON PHARMACEUTICALS INC COMMON STOCK 942683103 12,306 203,950 SH SOLE 192,250 0 11,700 WEATHERFORD INTERNATIONAL LTD COMMON STOCK H27013103 9,727 664,400 SH SOLE 1 568,700 0 95,700 WEATHERFORD INTERNATIONAL LTD COMMON STOCK H27013103 6,248 426,800 SH SOLE 396,700 0 30,100 WELLS FARGO & CO NEW COMMON STOCK 949746101 3,685 133,700 SH SOLE 133,700 0 0 WYNDHAM WORLDWIDE CORP COMMON STOCK 98310W108 24,764 654,600 SH SOLE 1 548,250 0 106,350 WYNDHAM WORLDWIDE CORP COMMON STOCK 98310W108 13,066 345,400 SH SOLE 324,500 0 20,900 XEROX CORP COMMON STOCK 984121103 19,753 2,481,550 SH SOLE 1 2,077,550 0 404,000 XEROX CORP COMMON STOCK 984121103 13,302 1,671,100 SH SOLE 1,586,800 0 84,300 TOTAL ENTRIES: 113 TOTAL VALUE (X$1000): 1,332,944 TOTAL SHARES PRN/AMT: 41,314,893 TOTAL SOLE SHARES/PRN AMT: 36,810,635 TOTAL SHARED SHARES/PRN AMT: 0 TOTAL NONE SHARES/PRN AMT: 4,504,258