0001140361-11-051955.txt : 20111107
0001140361-11-051955.hdr.sgml : 20111107
20111107103324
ACCESSION NUMBER: 0001140361-11-051955
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110930
FILED AS OF DATE: 20111107
DATE AS OF CHANGE: 20111107
EFFECTIVENESS DATE: 20111107
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Newfleet Asset Management, LLC
CENTRAL INDEX KEY: 0001044207
IRS NUMBER: 943239114
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-06450
FILM NUMBER: 111183190
BUSINESS ADDRESS:
STREET 1: 909 MONTGOMERY STREET
STREET 2: 5TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94133
BUSINESS PHONE: 415 486-6727
MAIL ADDRESS:
STREET 1: 909 MONTGOMERY STREET
STREET 2: 5TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94133
FORMER COMPANY:
FORMER CONFORMED NAME: SCM ADVISORS LLC
DATE OF NAME CHANGE: 20070209
FORMER COMPANY:
FORMER CONFORMED NAME: SENECA CAPITAL MANAGEMENT LLC
DATE OF NAME CHANGE: 19990326
13F-HR
1
form13fhr.txt
NONE
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: 9/30/2011
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: Newfleet Asset Management
Address: 909 Montgomery Street
Suite 500
San Francisco, CA 94133
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.
Persons Signing this Report on Behalf of Reporting Manager:
Name: Mark Palmer
Title: Chief Compliance Officer
Phone: (415) 486-6726
Signature, Place, and Date of Signing:
/s/ Mark Palmer San Francisco, CA 11/4/2011
--------------------------------- --------------------------------- ----------
[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:
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 103
Form 13F Information Table Value Total: $ 92,492
--------------
(In Thousands)
List of Other Included Managers:
Provide a numbered list of the name(s) and 13F file number(s) of all
institutional investment managers with respect to which this report is filed,
other than the manager filing this report.
NONE
FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
------------------------------------- -------------- --------- -------- ----------------- ---------- -------- ------------------
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE
------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ----
21VIANET GROUP INC - ADR COM 90138A103 130 12805 SH SOLE 12805 0 0
ABB LIMITED SPONSORED ADR COM 000375204 977 57177 SH SOLE 57177 0 0
AGRIUM INC COM 008916108 983 14742 SH SOLE 14742 0 0
AKORN INC COM COM 009728106 187 23960 SH SOLE 23960 0 0
ALEXION PHARMACEUTICALS INC COM 015351109 1753 27362 SH SOLE 27362 0 0
ALLERGAN INC COM 018490102 1496 18154 SH SOLE 18154 0 0
ALTERA CORP COM 021441100 1026 32550 SH SOLE 32550 0 0
ALTRA HOLDINGS INC COM COM 02208R106 124 10690 SH SOLE 10690 0 0
ANDERSONS INC COM 034164103 963 28625 SH SOLE 28625 0 0
APPLE INC COM 037833100 3923 10287 SH SOLE 10287 0 0
ATMEL CORP COM 049513104 813 100715 SH SOLE 100715 0 0
BAKER HUGHES INC COM 057224107 811 17570 SH SOLE 17570 0 0
BED BATH & BEYOND INC COM 075896100 372 6490 SH SOLE 6490 0 0
BIOMARIN PHARMACEUTICAL INC COM 09061G101 236 7390 SH SOLE 7390 0 0
BOINGO WIRELESS INC COM COM 09739C102 138 19325 SH SOLE 19325 0 0
BRIGHAM EXPLORATION CO COM 109178103 951 37628 SH SOLE 37628 0 0
BROADCOM CORP COM 111320107 1400 42043 SH SOLE 42043 0 0
BROADSOFT INC COM COM 11133B409 892 29395 SH SOLE 29395 0 0
BUNGE LIMITED COM G16962105 225 3865 SH SOLE 3865 0 0
CATERPILLAR INC COM 149123101 1040 14080 SH SOLE 14080 0 0
CB RICHARD ELLIS GROUP INC CL A COM 12497T101 515 38240 SH SOLE 38240 0 0
CELANESE CORP DEL SER A COM 150870103 579 17795 SH SOLE 17795 0 0
CELGENE CORP COM 151020104 1529 24703 SH SOLE 24703 0 0
CIRRUS LOGIC INC COM 172755100 172 11650 SH SOLE 11650 0 0
CISCO SYSTEMS INC COM 17275R102 1563 100806 SH SOLE 100806 0 0
CITRIX SYS INC COM 177376100 1359 24920 SH SOLE 24920 0 0
CLARCOR INC COM 179895107 1454 35135 SH SOLE 35135 0 0
COCA COLA ENTERPRISES INC COM COM 19122T109 1106 44440 SH SOLE 44440 0 0
COLGATE-PALMOLIVE COMPANY COM 194162103 358 4040 SH SOLE 4040 0 0
CONSUMER DISC SELECT SECTOR SPDR FUND COM 81369Y407 1572 45085 SH SOLE 45085 0 0
CONSUMER STAPLES SPDR COM 81369Y308 760 25620 SH SOLE 25620 0 0
EBAY INC COM 278642103 1607 54480 SH SOLE 54480 0 0
ELAN ADR COM 284131208 187 17760 SH SOLE 17760 0 0
EMC CORPORATION COM 268648102 1591 75774 SH SOLE 75774 0 0
EMERSON ELEC CO COM 291011104 922 22320 SH SOLE 22320 0 0
ENSCO INTERNATIONAL SPONS ADR COM 29358Q109 1072 26515 SH SOLE 26515 0 0
EXPRESS SCRIPTS INC COM 302182100 1002 27040 SH SOLE 27040 0 0
FEDEX CORP COM 31428X106 1047 15470 SH SOLE 15470 0 0
FMC CORP COM 302491303 1447 20914 SH SOLE 20914 0 0
GOLDMAN SACHS GROUP INC COM 38141G104 751 7947 SH SOLE 7947 0 0
GOOGLE INC CL A COM 38259P508 1734 3365 SH SOLE 3365 0 0
HALLIBURTON CO COM 406216101 882 28908 SH SOLE 28908 0 0
HEINZ H J COMPANY COM 423074103 1050 20800 SH SOLE 20800 0 0
HERBALIFE LTD COM G4412G101 279 5208 SH SOLE 5208 0 0
HERTZ GLOBAL HOLDINGS INC COM COM 42805T105 123 13780 SH SOLE 13780 0 0
ICG GROUP INC COM COM 44928D108 175 19010 SH SOLE 19010 0 0
INFORMATICA CORP COM COM 45666Q102 744 18160 SH SOLE 18160 0 0
INTERNATIONAL BUSINESS MACHINES CO COM 459200101 2150 12293 SH SOLE 12293 0 0
INTUIT INC COM 461202103 1344 28330 SH SOLE 28330 0 0
INTUITIVE SURGICAL INC COM 46120E602 1029 2825 SH SOLE 2825 0 0
ISHARES BARCLAYS MBS BOND FUND COM 464288588 1812 16749 SH SOLE 16749 0 0
JOY GLOBAL INC COM 481165108 880 14103 SH SOLE 14103 0 0
JPMORGAN CHASE & CO COM 46625H100 1061 35210 SH SOLE 35210 0 0
KEYNOTE SYS INC COM COM 493308100 746 35320 SH SOLE 35320 0 0
KLA-TENCOR CORP COM 482480100 1108 28935 SH SOLE 28935 0 0
KOHLS CORP COM 500255104 740 15080 SH SOLE 15080 0 0
LECROY CORP COM 52324W109 104 13140 SH SOLE 13140 0 0
LIBERTY MEDIA CORP INTERACTIVE SER A COM 53071M104 952 64500 SH SOLE 64500 0 0
LKQ CORP COM 501889208 985 40775 SH SOLE 40775 0 0
LOWES COMPANIES INC COM 548661107 1071 55360 SH SOLE 55360 0 0
FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
------------------------------------- -------------- --------- -------- ----------------- ---------- -------- ------------------
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE
------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ----
LUFKIN INDS INC COM 549764108 726 13645 SH SOLE 13645 0 0
MCCORMICK & COMPANY COM 579780206 881 19095 SH SOLE 19095 0 0
MCDERMOTT INTERNATIONAL INC COM 580037109 852 79225 SH SOLE 79225 0 0
MICROSOFT CORP COM 594918104 417 16768 SH SOLE 16768 0 0
MODINE MFG CO COM COM 607828100 126 13955 SH SOLE 13955 0 0
MONSANTO CO COM 61166W101 1367 22769 SH SOLE 22769 0 0
NATIONAL-OILWELL VARCO INC COM 637071101 1045 20395 SH SOLE 20395 0 0
NOBLE ENERGY INC COM 655044105 261 3685 SH SOLE 3685 0 0
NORFOLK SOUTHERN CORP COM 655844108 1298 21265 SH SOLE 21265 0 0
OCZ TECHNOLOGY GROUP INC COM COM 67086E303 150 30910 SH SOLE 30910 0 0
ORACLE CORP COM 68389X105 1728 60136 SH SOLE 60136 0 0
OWENS CORNING NEW COM 690742101 743 34265 SH SOLE 34265 0 0
PETROQUEST ENERGY INC COM 716748108 728 132405 SH SOLE 132405 0 0
PHILIP MORRIS INTERNATIONAL INC COM 718172109 410 6568 SH SOLE 6568 0 0
PIONEER NAT RES CO COM COM 723787107 1074 16333 SH SOLE 16333 0 0
PVH CORPORATION COM 693656100 1220 20940 SH SOLE 20940 0 0
QUALCOMM INC COM 747525103 1395 28683 SH SOLE 28683 0 0
ROWAN COS INC COM 779382100 251 8315 SH SOLE 8315 0 0
SANDRIDGE ENERGY INC COM COM 80007P307 676 121510 SH SOLE 121510 0 0
SAP AG SPONSORED ADR COM 803054204 932 18415 SH SOLE 18415 0 0
SM ENERGY COMPANY COM 78454L100 1193 19669 SH SOLE 19669 0 0
SMUCKER J M CO NEW COM 832696405 236 3240 SH SOLE 3240 0 0
SPDR KBW REGIONAL BANKING ET COM 78464A698 264 13690 SH SOLE 13690 0 0
SPDR SERIES TRUST S&P HOMEBUILDERS COM 78464A888 1074 80840 SH SOLE 80840 0 0
STIFEL FINL CORP COM COM 860630102 580 21820 SH SOLE 21820 0 0
STRYKER CORP COM 863667101 271 5751 SH SOLE 5751 0 0
SUPER MICRO COMPUTER INC COM COM 86800U104 153 12250 SH SOLE 12250 0 0
SUPERIOR ENERGY SVCS INC COM COM 868157108 774 29490 SH SOLE 29490 0 0
SXC HEALTH SOLUTIONS CORP COM COM 78505P100 1157 20780 SH SOLE 20780 0 0
SYMANTEC CORP COM 871503108 1016 62360 SH SOLE 62360 0 0
TERADATA CORP COM 88076W103 1347 25155 SH SOLE 25155 0 0
TEVA PHARMACEUTICAL INDS ADR COM 881624209 943 25325 SH SOLE 25325 0 0
THORATEC LABS CORP COM 885175307 1243 38085 SH SOLE 38085 0 0
TRACTOR SUPPLY CO COM 892356106 1040 16635 SH SOLE 16635 0 0
UNITED TECHNOLOGIES CORP COM 913017109 1266 17988 SH SOLE 17988 0 0
VALUECLICK INC COM 92046N102 175 11260 SH SOLE 11260 0 0
VELTI LTD COM G93285107 126 19110 SH SOLE 19110 0 0
VMWARE INC CL A COM COM 928563402 1241 15445 SH SOLE 15445 0 0
VOLCANO CORPORATION COM COM 928645100 201 6770 SH SOLE 6770 0 0
WELLS FARGO & CO COM 949746101 1196 49585 SH SOLE 49585 0 0
WHOLE FOODS MARKET INC COM 966837106 1131 17320 SH SOLE 17320 0 0
WILLIAMS SONOMA INC COM 969904101 1324 43005 SH SOLE 43005 0 0
YUM BRANDS INC COM 988498101 259 5251 SH SOLE 5251 0 0