0001085146-13-000694.txt : 20130408 0001085146-13-000694.hdr.sgml : 20130408 20130408164753 ACCESSION NUMBER: 0001085146-13-000694 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130408 DATE AS OF CHANGE: 20130408 EFFECTIVENESS DATE: 20130408 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PEKIN SINGER STRAUSS ASSET MANAGEMENT /IL CENTRAL INDEX KEY: 0001020317 IRS NUMBER: 363667359 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-05740 FILM NUMBER: 13748794 BUSINESS ADDRESS: STREET 1: 21 S CLARK ST. STREET 2: SUITE 3325 CITY: CHICAGO STATE: IL ZIP: 60603 BUSINESS PHONE: 3125547529 MAIL ADDRESS: STREET 1: 21 S CLARK ST. STREET 2: SUITE 3325 CITY: CHICAGO STATE: IL ZIP: 60603 FORMER COMPANY: FORMER CONFORMED NAME: Pekin Singer Strauss Asset Management Inc. DATE OF NAME CHANGE: 20060117 FORMER COMPANY: FORMER CONFORMED NAME: PEKIN SINGER & SHAPIRO ASSET MANAGEMENT /IL DATE OF NAME CHANGE: 19990324 13F-HR/A 1 pekinsinger_a14q2012.txt PEKIN, SINGER STRAUSS ASSET MANAGEMENT, INC. 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, 2012 Check here if Amendment [ X ]; Amendment Number: 1 This Amendment (Check only one.): [ X ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Pekin, Singer Strauss Asset Management, Inc. Address: 161 North Clark Street Suite 2200 Chicago, IL 60601 13F File Number: 028-05740 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: William Schmidle Title: Chief Financial Officer Phone: 312-554-7526 Signature, Place, and Date of Signing: /s/ William Schmidle Chicago, IL April 08, 2013 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 Form 13F Information Table Entry Total: 116 Form 13F Information Table Value Total: $504,034 (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 247 2658 SH SOLE 0 0 2658 ABBOTT LABS COM 002824100 1604 24494 SH SOLE 0 0 24494 ACE LTD SHS H0023R105 539 6756 SH SOLE 0 0 6756 ALBANY MOLECULAR RESH INC COM 012423109 4693 888799 SH SOLE 0 0 888799 ALLIANCEBERNSTEIN HOLDING LP UNIT LTD PARTN 01881G106 2906 166715 SH SOLE 0 0 166715 ALLSTATE CORP COM 020002101 249 6191 SH SOLE 0 0 6191 ALTRIA GROUP INC COM 02209S103 761 24216 SH SOLE 0 0 24216 AMERICAN ELEC PWR INC COM 025537101 403 9452 SH SOLE 0 0 9452 ANNALY CAP MGMT INC COM 035710409 8453 602065 SH SOLE 0 0 602065 AON PLC SHS CL A G0408V102 11026 198273 SH SOLE 0 0 198273 APPLE INC COM 037833100 2970 5580 SH SOLE 0 0 5580 AT&T INC COM 00206R102 1113 33014 SH SOLE 0 0 33014 AUTOMATIC DATA PROCESSING IN COM 053015103 285 5000 SH SOLE 0 0 5000 AVON PRODS INC COM 054303102 20920 1456830 SH SOLE 0 0 1456830 BANK NEW YORK MELLON CORP COM 064058100 6087 236834 SH SOLE 0 0 236834 BANK OF AMERICA CORPORATION COM 060505104 440 37900 SH SOLE 0 0 37900 BAXTER INTL INC COM 071813109 280 4199 SH SOLE 0 0 4199 BECTON DICKINSON & CO COM 075887109 205 2617 SH SOLE 0 0 2617 BERKSHIRE HATHAWAY INC DEL CL A 084670108 402 3 SH SOLE 0 0 3 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1025 11429 SH SOLE 0 0 11429 BOARDWALK PIPELINE PARTNERS UT LTD PARTNER 096627104 514 20650 SH SOLE 0 0 20650 BP PLC SPONSORED ADR 055622104 7500 180107 SH SOLE 0 0 180107 BRISTOL MYERS SQUIBB CO COM 110122108 1312 40263 SH SOLE 0 0 40263 CANADIAN NATL RY CO COM 136375102 3399 37347 SH SOLE 0 0 37347 CASTLE A M & CO COM 148411101 162 11000 SH SOLE 0 0 11000 CATERPILLAR INC DEL COM 149123101 351 3917 SH SOLE 0 0 3917 CBOE HLDGS INC COM 12503M108 616 20899 SH SOLE 0 0 20899 CENTRAL FD CDA LTD CL A 153501101 12022 571658 SH SOLE 0 0 571658 CENTRAL GOLDTRUST TR UNIT 153546106 35442 564539 SH SOLE 0 0 564539 CHEVRON CORP NEW COM 166764100 1834 16960 SH SOLE 0 0 16960 CINTAS CORP COM 172908105 234 5725 SH SOLE 0 0 5725 CME GROUP INC COM 12572Q105 1378 27190 SH SOLE 0 0 27190 COACH INC COM 189754104 350 6300 SH SOLE 0 0 6300 COHEN & STEERS INFRASTRUCTUR COM 19248A109 327 17450 SH SOLE 0 0 17450 COMCAST CORP NEW CL A SPL 20030N200 323 9000 SH SOLE 0 0 9000 COMPANHIA DE BEBIDAS DAS AME SPON ADR PFD 20441W203 231 5500 SH SOLE 0 0 5500 CONOCOPHILLIPS COM 20825C104 1359 23440 SH SOLE 0 0 23440 DANAHER CORP DEL COM 235851102 309 5520 SH SOLE 0 0 5520 DOMINION RES INC VA NEW COM 25746U109 408 7876 SH SOLE 0 0 7876 DOW CHEM CO COM 260543103 488 15100 SH SOLE 0 0 15100 DU PONT E I DE NEMOURS & CO COM 263534109 285 6335 SH SOLE 0 0 6335 DUKE ENERGY CORP NEW COM NEW 26441C204 336 5267 SH SOLE 0 0 5267 DUN & BRADSTREET CORP DEL NE COM 26483E100 401 5097 SH SOLE 0 0 5097 EMERSON ELEC CO COM 291011104 1793 33865 SH SOLE 0 0 33865 ENTERPRISE PRODS PARTNERS L COM 293792107 378 7555 SH SOLE 0 0 7555 ETFS GOLD TR SHS 26922Y105 6390 38689 SH SOLE 0 0 38689 EXELON CORP COM 30161N101 3077 103462 SH SOLE 0 0 103462 EXXON MOBIL CORP COM 30231G102 8056 93080 SH SOLE 0 0 93080 FEMALE HEALTH CO COM 314462102 277 38600 SH SOLE 0 0 38600 FREEPORT-MCMORAN COPPER & GO COM 35671D857 512 14985 SH SOLE 0 0 14985 GABELLI EQUITY TR INC COM 362397101 70 12530 SH SOLE 0 0 12530 GENERAL ELECTRIC CO COM 369604103 4668 222397 SH SOLE 0 0 222397 GOOGLE INC CL A 38259P508 16149 22830 SH SOLE 0 0 22830 HOME DEPOT INC COM 437076102 435 7038 SH SOLE 0 0 7038 ILLINOIS TOOL WKS INC COM 452308109 423 6950 SH SOLE 0 0 6950 INTEL CORP COM 458140100 290 14075 SH SOLE 0 0 14075 INTERNATIONAL BUSINESS MACHS COM 459200101 1173 6126 SH SOLE 0 0 6126 ISHARES SILVER TRUST ISHARES 46428Q109 308 10500 SH SOLE 0 0 10500 ISHARES TR CORE S&P500 ETF 464287200 2340 16350 SH SOLE 0 0 16350 ISHARES TR JPMORGAN USD 464288281 883 7195 SH SOLE 0 0 7195 ITERIS INC COM 46564T107 18 10635 SH SOLE 0 0 10635 JOHNSON & JOHNSON COM 478160104 7988 113948 SH SOLE 0 0 113948 JPMORGAN CHASE & CO COM 46625H100 1272 28921 SH SOLE 0 0 28921 KAYNE ANDERSON MLP INVSMNT C COM 486606106 280 9500 SH SOLE 0 0 9500 KINDER MORGAN INC DEL COM 49456B101 573 16225 SH SOLE 0 0 16225 KRAFT FOODS GROUP INC COM 50076Q106 205 4512 SH SOLE 0 0 4512 MANULIFE FINL CORP COM 56501R106 417 30698 SH SOLE 0 0 30698 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 253 5450 SH SOLE 0 0 5450 MCDONALDS CORP COM 580135101 296 3357 SH SOLE 0 0 3357 MEDTRONIC INC COM 585055106 571 13927 SH SOLE 0 0 13927 MERCK & CO INC NEW COM 58933Y105 3388 82761 SH SOLE 0 0 82761 MFA FINANCIAL INC COM 55272X102 609 75050 SH SOLE 0 0 75050 MICROSOFT CORP COM 594918104 21918 820604 SH SOLE 0 0 820604 MOLEX INC COM 608554101 1466 53653 SH SOLE 0 0 53653 MONDELEZ INTL INC CL A 609207105 349 13725 SH SOLE 0 0 13725 NABORS INDUSTRIES LTD SHS G6359F103 21798 1508508 SH SOLE 0 0 1508508 NEWELL RUBBERMAID INC COM 651229106 546 24524 SH SOLE 0 0 24524 NEWMONT MINING CORP COM 651639106 376 8100 SH SOLE 0 0 8100 NEXTERA ENERGY INC COM 65339F101 293 4240 SH SOLE 0 0 4240 NOBLE CORPORATION BAAR NAMEN -AKT H5833N103 10746 308625 SH SOLE 0 0 308625 NOKIA CORP SPONSORED ADR 654902204 49 12475 SH SOLE 0 0 12475 NOVARTIS A G SPONSORED ADR 66987V109 22884 361516 SH SOLE 0 0 361516 PDI INC COM 69329V100 4936 649468 SH SOLE 0 0 649468 PEPSICO INC COM 713448108 3223 47093 SH SOLE 0 0 47093 PFIZER INC COM 717081103 474 18883 SH SOLE 0 0 18883 PHILIP MORRIS INTL INC COM 718172109 1934 23121 SH SOLE 0 0 23121 PICO HLDGS INC COM NEW 693366205 5116 252389 SH SOLE 0 0 252389 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 215 4750 SH SOLE 0 0 4750 PROCTER & GAMBLE CO COM 742718109 1794 26432 SH SOLE 0 0 26432 RADIO ONE INC CL D NON VTG 75040P405 122 160160 SH SOLE 0 0 160160 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 588 8535 SH SOLE 0 0 8535 SANFILIPPO JOHN B & SON INC COM 800422107 22295 1226323 SH SOLE 0 0 1226323 SEALED AIR CORP NEW COM 81211K100 25810 1474027 SH SOLE 0 0 1474027 SK TELECOM LTD SPONSORED ADR 78440P108 23544 1487300 SH SOLE 0 0 1487300 SPDR GOLD TRUST GOLD SHS 78463V107 7367 45472 SH SOLE 0 0 45472 SPDR S&P 500 ETF TR TR UNIT 78462F103 410 2876 SH SOLE 0 0 2876 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 37462 2636290 SH SOLE 0 0 2636290 SPROTT PHYSICAL SILVER TR TR UNIT 85207K107 2496 207305 SH SOLE 0 0 207305 STAPLES INC COM 855030102 17102 1500200 SH SOLE 0 0 1500200 STARBUCKS CORP COM 855244109 605 11285 SH SOLE 0 0 11285 SUPERVALU INC COM 868536103 41 16626 SH SOLE 0 0 16626 SYKES ENTERPRISES INC COM 871237103 4208 276488 SH SOLE 0 0 276488 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 328 8794 SH SOLE 0 0 8794 TRANSOCEAN LTD REG SHS H8817H100 346 7751 SH SOLE 0 0 7751 UNION PAC CORP COM 907818108 287 2279 SH SOLE 0 0 2279 UNITED TECHNOLOGIES CORP COM 913017109 427 5201 SH SOLE 0 0 5201 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 2738 61488 SH SOLE 0 0 61488 VERIZON COMMUNICATIONS INC COM 92343V104 750 17339 SH SOLE 0 0 17339 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 453 17989 SH SOLE 0 0 17989 WALGREEN CO COM 931422109 986 26645 SH SOLE 0 0 26645 WAL-MART STORES INC COM 931142103 15154 222099 SH SOLE 0 0 222099 WELLS FARGO & CO NEW COM 949746101 312 9138 SH SOLE 0 0 9138 WESTERN UN CO COM 959802109 26617 1955683 SH SOLE 0 0 1955683 WILLIS GROUP HOLDINGS PUBLIC SHS G96666105 16306 486320 SH SOLE 0 0 486320 ZEBRA TECHNOLOGIES CORP CL A 989207105 1738 44200 SH SOLE 0 0 44200 ZYNGA INC CL A 98986T108 144 61000 SH SOLE 0 0 61000