0001140361-12-047037.txt : 20121114
0001140361-12-047037.hdr.sgml : 20121114
20121114104645
ACCESSION NUMBER: 0001140361-12-047037
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120930
FILED AS OF DATE: 20121114
DATE AS OF CHANGE: 20121114
EFFECTIVENESS DATE: 20121114
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: CASTLEROCK ASSET MANAGEMENT INC
CENTRAL INDEX KEY: 0001134576
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-06185
FILM NUMBER: 121201704
BUSINESS ADDRESS:
STREET 1: 101 PARK AVENUE 6TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10178
BUSINESS PHONE: 2128787654
MAIL ADDRESS:
STREET 1: 101 PARK AVENUE 6TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10178
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: 9/30/2012
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: CastleRock Asset Management, Inc.
Address: 101 Park Avenue, 23rd Floor
New York, NY 10178
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: Paul P. Tanico
Title: Principal
Phone: 212-251-3300
Signature, Place, and Date of Signing:
/s/ Paul P. Tanico New York, NY 11/14/2012
--------------------------------- --------------------------------- ----------
[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:
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 17
Form 13F Information Table Value Total: $ 81,783
--------------
(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
---------------------------- ---------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ----
ABERCROMBIE & FITCH CO CL A 002896207 3,261 96,124 SH SOLE 96,124 0 0
AMARIN CORP PLC SPONS ADR NEW 023111206 3,702 294,401 SH SOLE 294,401 0 0
AMERICAN AXLE & MFG HLDGS IN COM 024061103 282 25,000 SH SOLE 25,000 0 0
AMERICAN INTL GROUP INC COM NEW 026874784 10,328 314,967 SH SOLE 314,967 0 0
APPLE INC COM 037833100 6,770 10,148 SH SOLE 10,148 0 0
BIOGEN IDEC INC COM 09062X103 5,566 37,304 SH SOLE 37,304 0 0
CAPITAL ONE FINL CORP COM 14040H105 1,580 27,721 SH SOLE 27,721 0 0
CBS CORP NEW CL B 124857202 5,356 147,438 SH SOLE 147,438 0 0
CORNING INC COM 219350105 4,559 346,670 SH SOLE 346,670 0 0
DECKERS OUTDOOR CORP COM 243537107 3,057 83,442 SH SOLE 83,442 0 0
EQUINIX INC COM NEW 29444U502 8,147 39,538 SH SOLE 39,538 0 0
JOY GLOBAL INC COM 481165108 1,714 30,566 SH SOLE 30,566 0 0
KINDER MORGAN INC DEL *W EXP 05/25/201 49456B119 1,931 553,220 SH SOLE 553,220 0 0
KINDER MORGAN INC DEL COM 49456B101 5,264 148,187 SH SOLE 148,187 0 0
LYONDELLBASELL INDUSTRIES SHS - A - N53745100 5,436 105,236 SH SOLE 105,236 0 0
NATIONAL OILWELL VARCO INC COM 637071101 8,013 100,029 SH SOLE 100,029 0 0
UNITED RENTALS INC COM 911363109 6,818 208,428 SH SOLE 208,428 0 0