-----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, WChTobLk/YyeEynwj8Y8YcWy4Fx4hHlswdqs0lHzWrcKSo76qKFqpAqeYp7YVLny BXzWmOgXWJxn6wt18umY/Q== 0001344717-09-000008.txt : 20091113 0001344717-09-000008.hdr.sgml : 20091113 20091113160421 ACCESSION NUMBER: 0001344717-09-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091113 DATE AS OF CHANGE: 20091113 EFFECTIVENESS DATE: 20091113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Estabrook Capital Management CENTRAL INDEX KEY: 0001344717 IRS NUMBER: 200232649 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11540 FILM NUMBER: 091181633 BUSINESS ADDRESS: STREET 1: 875 THIRD AVENUE 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-605-5570 MAIL ADDRESS: STREET 1: 875 THIRD AVENUE 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: Grove Creek Asset Management DATE OF NAME CHANGE: 20051117 13F-HR 1 sec13fq309.txt United States Securities and Exchange Commission Washington, D.C. 20549 Form 13F Form 13F Cover Page Report for the Calendar Year or Quarter Ended: September 30, 2009 Check here if Amendment [ ]; Amendment Number: This Amendment(Check only one.): [ ] is a restatement. [ ] adds a new holdings entries. Institutional Investment Manager Filing this Report: Name: Estabrook Capital Management Address: 875 Third Avenue, 15th Floor New York, NY 10022 Form 13F File Number: 28-11540 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: Dave Foley Title: Vice President Phone: 212-605-5570 Signature, Place, and Date of Signing Dave Foley New York, NY November 13, 2009 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: 242 Form 13F Information Table Value Total: $1,751.56 (thousands) List of Other Included Managers: NONE FORM 13F INFORMATION TABLE ESTABROOK CAPITAL MANAGEMENT LLC DISCRETIONARY OWNERSHIP FOR 13F AS OF DATE: 09/30/09 (ITEM 1) (ITEM 2) (ITEM 3) (ITEM 4) (ITEM 5) (ITEM 6) (ITEM 7) (ITEM 8) INVESTMENT VOTING AUTHORITY DISCRETION (SHARES) ----------------- --------------------------------------- NAME TITLE FAIR SHARES OR SHARED OF OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER SOLE SHARED NONE ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) MGR (A) (B) (C) - ---------------------- ------ ---------- -------------- ------------ ----- ----- ----- -- ------------ ------------ ------------ 3M COMPANY COM COMMON 88579Y101 7,441,254 100,830 X X 87,930 1,600 11,300 A T & T INC (NEW) COMMON 00206R102 24,519,934 907,809 X X 607,647 3,036 297,127 ABBOTT LABS COMMON 002824100 1,917,309 38,757 X X 25,912 120 12,725 ACE LTD SHS COMMON H0023R105 406,831 7,610 X 7,610 0 0 AEGEAN MARINE PETROLE COMMON Y0017S102 2,430,563 108,025 X 87,100 0 20,925 AFLAC INC COMMON 001055102 6,021,767 140,893 X X 131,678 3,000 6,215 AIR PRODS & CHEMS INC COMMON 009158106 475,178 6,125 X 1,325 0 4,800 ALCATEL-LUCENT SPONSO COMMON 013904305 80,443 17,916 X 15,322 0 2,594 ALLEGHENY TECHNOLOGIE COMMON 01741R102 429,152 12,265 X 6,730 0 5,535 ALLIANCE BERNSTEIN HL COMMON 01881G106 1,819,521 66,698 X 66,698 0 0 ALLSTATE CORP COMMON 020002101 4,382,365 143,121 X X 121,234 2,104 19,783 ALTRIA GROUP INC COM COMMON 02209S103 282,128 15,841 X 4,241 0 11,600 AMDOCS LTD ORD COMMON G02602103 268,800 10,000 X 5,000 0 5,000 AMERICA MOVIL S A DE COMMON 02364W105 475,336 10,845 X X 300 45 10,500 AMERICAN EXPRESS COMP COMMON 025816109 5,701,302 168,180 X 121,874 0 46,306 AMERICAN INTL CORP PF PREFERR 026874800 120,300 10,000 X 10,000 0 0 AMERIGAS PARTNERS L P COMMON 030975106 2,717,416 75,400 X 71,250 0 4,150 AMGEN INC COMMON 031162100 498,102 8,270 X X 3,070 150 5,050 ANADARKO PETE CORP COMMON 032511107 1,339,411 21,352 X 21,052 0 300 ANALOG DEVICES INC COMMON 032654105 551,600 20,000 X 20,000 0 0 ANTRIM ENERGY INC COMMON ZZZZZZZZZ 12,141 12,500 X 12,500 0 0 APACHE CORP COMMON 037411105 3,397,985 37,003 X X 30,297 100 6,606 APCO OIL AND GAS INTE COMMON G0471F109 3,271,234 142,724 X 131,924 0 10,800 APPLE COMPUTER INC COMMON 037833100 902,840 4,871 X X 4,185 115 571 AVI BIOPHARMA INC COM COMMON 002346104 33,196 19,300 X 17,600 0 1,700 AVON PRODUCTS INC COMMON 054303102 18,090,967 532,714 X X 307,079 810 224,825 BAKER HUGHES INC COMMON 057224107 3,048,740 71,466 X X 64,925 2,000 4,541 BANK OF AMERICA COMMON 060505104 51,580,019 3,048,464 X X 1,830,007 15,257 1,203,200 BANK OF NEW YORK MELL COMMON 064058100 3,341,040 115,248 X 92,596 0 22,652 BARCLAYS BANK PLC 6.6 PREFERR 06739F390 426,300 21,000 X 21,000 0 0 BECKMAN COULTER INC COMMON 075811109 220,608 3,200 X 3,200 0 0 BECTON DICKINSON & CO COMMON 075887109 26,082,036 373,936 X X 216,916 545 156,475 BERKSHIRE HATHAWAY IN COMMON 084670207 9,002,007 2,709 X 1,665 0 1,044 BHP BILLITON LTD SPON COMMON 088606108 7,464,147 113,076 X 71,765 0 41,311 BIOGEN IDEC INC COMMON 09062X103 1,035,660 20,500 X 20,000 0 500 BLACK & DECKER CORP. COMMON 091797100 204,139 4,410 X 0 0 4,410 BLACKROCK INC CL A COMMON 09247X101 318,725 1,470 X 0 0 1,470 BORG WARNER AUTOMOTIV COMMON 099724106 598,694 19,785 X 15,855 0 3,930 BP AMOCO ADS COMMON 055622104 1,525,199 28,653 X 27,453 0 1,200 BRISTOL MYERS SQUIBB COMMON 110122108 954,082 42,366 X 35,350 0 7,016 BRITISH AMERN TOB PLC COMMON 110448107 253,000 4,000 X 0 0 4,000 BROWN FORMAN CORP CL COMMON 115637209 207,346 4,300 X 4,300 0 0 BUCKEYE PARTNERS L P COMMON 118230101 1,833,287 37,870 X 21,120 0 16,750 BUNGE LIMITED COM COMMON G16962105 15,922,224 254,308 X X 136,813 350 117,145 BURLINGTON NORTHN SAN COMMON 12189T104 10,270,608 128,656 X X 99,944 2,300 26,412
ESTABROOK CAPITAL MANAGEMENT LLC DISCRETIONARY OWNERSHIP FOR 13F AS OF DATE: 09/30/09 (ITEM 1) (ITEM 2) (ITEM 3) (ITEM 4) (ITEM 5) (ITEM 6) (ITEM 7) (ITEM 8) INVESTMENT VOTING AUTHORITY DISCRETION (SHARES) ----------------- --------------------------------------- NAME TITLE FAIR SHARES OR SHARED OF OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER SOLE SHARED NONE ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) MGR (A) (B) (C) - ---------------------- ------ ---------- -------------- ------------ ----- ----- ----- -- ------------ ------------ ------------ CADBURY PLC SPONS ADR COMMON 12721E102 385,816 7,534 X 3,976 0 3,558 CANADIAN NATL RY CO COMMON 136375102 3,006,026 61,360 X X 45,850 1,360 14,150 CANADIAN PAC RY LTD C COMMON 13645T100 9,275,247 198,401 X X 156,681 1,360 40,360 CARDINAL HEALTH INC. COMMON 14149Y108 1,635,068 61,010 X X 45,087 200 15,723 CAREFUSION CORP COM COMMON 14170T101 636,298 29,188 X X 22,543 100 6,545 CATERPILLAR TRACTOR COMMON 149123101 35,393,883 689,536 X X 369,716 2,540 317,280 CEMEX S A ADR SPSRD N COMMON 151290889 1,144,996 88,622 X 69,935 0 18,687 CHESAPEAKE ENERGY COR COMMON 165167107 595,832 20,980 X 20,000 0 980 CHEVRON CORPORATION COMMON 166764100 15,416,999 218,898 X X 135,530 1,830 81,538 CHINA MOBILE HONG KON COMMON 16941M109 222,959 4,540 X 240 0 4,300 CHUBB CORP COMMON 171232101 5,503,865 109,182 X X 83,394 370 25,418 CISCO SYS INC COMMON 17275R102 32,012,423 1,359,916 X X 828,353 1,515 530,048 CITIGROUP INC. COMMON 172967101 13,332,564 2,754,662 X X 1,398,209 8,065 1,348,388 CITIZENS REPUBLIC BAN COMMON 174420109 15,200 20,000 X 0 0 20,000 CLIFFS NATURAL RESOUR COMMON 18683K101 25,648,018 792,584 X X 454,017 1,825 336,742 COACH INC COM COMMON 189754104 212,696 6,461 X 561 0 5,900 COCA COLA CO COMMON 191216100 1,251,841 23,312 X 13,677 0 9,635 COLGATE PALMOLIVE CO COMMON 194162103 371,102 4,865 X 2,315 0 2,550 COLUMBIA LABS INC COMMON 197779101 30,960 24,000 X 24,000 0 0 COMCAST CORP NEW COM COMMON 20030N101 327,050 19,375 X 5,294 0 14,081 CONOCOPHILLIPS COMMON 20825C104 46,280,668 1,024,816 X X 658,199 7,157 359,459 CONSOL ENERGY INC COM COMMON 20854P109 30,408,065 674,087 X X 392,492 980 280,615 CORNING INC COMMON 219350105 2,049,198 133,847 X 111,447 0 22,400 CORRECTIONS CORP AMER COMMON 22025Y407 310,305 13,700 X 1,200 0 12,500 COSTCO WHOLESALE CORP COMMON 22160K105 25,974,886 460,711 X X 307,766 520 152,425 COVIDIEN PLC ORDINARY COMMON G2554F105 5,944,400 137,411 X X 129,024 750 7,637 CVS CORPORATION COMMON 126650100 437,136 12,231 X 10,831 0 1,400 DDS TECHNOLOGIES USA COMMON 23316W100 30 15,000 X 15,000 0 0 DEERE & CO. COMMON 244199105 257,220 5,993 X 4,963 0 1,030 DENTSPLY INTL INC NEW COMMON 249030107 306,197 8,865 X 3,965 0 4,900 DEUTSCHE BK 6.55% PFD PREFERR 25153X208 456,280 22,000 X 18,500 0 3,500 DEVON ENERGY CORP NEW COMMON 25179M103 1,671,535 24,826 X 23,826 0 1,000 DIONEX CORP COM COMMON 254546104 649,700 10,000 X 10,000 0 0 DOMINION RES INC VA N COMMON 25746U109 1,478,394 42,852 X 34,046 0 8,806 DOVER CORP COMMON 260003108 5,720,937 147,599 X 127,336 0 20,263 DU PONT E I DE NEMOUR COMMON 263534109 19,770,471 615,136 X X 394,879 3,820 216,437 DUKE ENERGY CORP COMMON 26441C105 10,242,821 650,751 X 418,735 0 232,016 E M C CORP MASS COMMON 268648102 10,307,172 604,881 X 453,990 0 150,891 EATON CORP COMMON 278058102 26,077,230 460,810 X X 258,760 944 201,106 EBAY INC COMMON 278642103 1,372,576 58,160 X 50,200 0 7,960 EMERSON ELEC CO COMMON 291011104 35,875,648 895,101 X X 546,295 3,428 345,378 ENBRIDGE ENERGY PARTN COMMON 29250R106 1,281,957 28,450 X 19,380 0 9,070 ENCANA CORP COM COMMON 292505104 32,138,891 557,870 X X 406,459 5,051 146,360 ENI S P A ADR SPONSOR COMMON 26874R108 299,100 6,000 X 6,000 0 0 ENTERPRISE PRODS PART COMMON 293792107 1,786,765 63,092 X 36,695 0 26,397
ESTABROOK CAPITAL MANAGEMENT LLC DISCRETIONARY OWNERSHIP FOR 13F AS OF DATE: 09/30/09 (ITEM 1) (ITEM 2) (ITEM 3) (ITEM 4) (ITEM 5) (ITEM 6) (ITEM 7) (ITEM 8) INVESTMENT VOTING AUTHORITY DISCRETION (SHARES) ----------------- --------------------------------------- NAME TITLE FAIR SHARES OR SHARED OF OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER SOLE SHARED NONE ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) MGR (A) (B) (C) - ---------------------- ------ ---------- -------------- ------------ ----- ----- ----- -- ------------ ------------ ------------ EOG RESOURCES INC. COMMON 26875P101 2,408,261 28,838 X X 18,303 65 10,470 EQT CORP COM COMMON 26884L109 946,359 22,215 X 18,590 0 3,625 EXELON CORP COMMON 30161N101 23,005,073 463,625 X X 267,644 1,218 194,763 EXTERRAN HLDGS INC CO COMMON 30225X103 749,804 31,584 X 31,584 0 0 EXXON MOBIL CORPORATI COMMON 30231G102 21,569,513 314,379 X X 215,184 240 98,955 FACTSET RESH SYS INC COMMON 303075105 2,937,744 44,350 X X 30,750 150 13,450 FEDERAL HOME LN MTG C PREFERR 313400624 18,100 10,000 X 9,000 0 1,000 FEDEX CORP COMMON 31428X106 4,152,595 55,206 X 34,140 0 21,066 FIRST CMNTY BK CORP A COMMON 31985E202 39,273 10,335 X 10,335 0 0 FORD MTR CO DEL PAR $ COMMON 345370860 98,827 13,707 X 0 0 13,707 FPL GROUP INC COMMON 302571104 20,281,229 367,214 X X 235,633 340 131,241 FREEPORT MCMORAN COPP COMMON 35671D857 8,216,802 119,761 X 86,611 0 33,150 GENERAL ELECTRIC COMP COMMON 369604103 37,084,487 2,258,495 X X 1,366,804 13,981 877,710 GENERAL MILLS INC COMMON 370334104 20,843,540 323,758 X X 174,618 1,964 147,176 GENL ELEC CAP CORPPFD PREFERR 369622527 1,027,957 41,300 X 40,000 0 1,300 GILEAD SCIENCES INC C COMMON 375558103 1,857,675 39,950 X X 39,650 300 0 GLAXO PLC COMMON 37733W105 13,788,713 348,993 X X 183,644 1,898 163,451 GOLDCORP INC NEW COM COMMON 380956409 5,888,691 145,868 X 86,588 0 59,280 GOLDMAN SACHS GROUP I COMMON 38141G104 21,909,076 118,845 X X 65,284 557 53,004 GOLDMAN SACHS PFD 6.0 PREFERR 73941X577 714,051 34,000 X 34,000 0 0 GOLDMAN SACHS PFD 6.2 PREFERR 38144X500 201,280 8,000 X 6,000 0 2,000 GREATER CHINA FD INC MUTUAL 39167B102 246,610 20,115 X 0 0 20,115 GULFMARK OFFSHORE INC COMMON 402629109 45,834,952 1,399,968 X X 966,411 11,350 422,207 HALLIBURTON CO COMMON 406216101 23,230,531 856,583 X X 507,170 2,237 347,176 HARD TO TREAT DISEASE COMMON 41164A103 1,580 100,000 X 100,000 0 0 HARSCO CORP COMMON 415864107 283,280 8,000 X 0 0 8,000 HEWLETT PACKARD CO. COMMON 428236103 4,953,840 104,932 X X 85,749 315 18,868 HOME DEPOT INC COMMON 437076102 420,992 15,803 X 10,945 0 4,858 HONEYWELL INTERNATION COMMON 438516106 25,138,365 676,672 X X 442,065 545 234,062 HSBC FINANCE CORP PER PREFERR 40429C607 870,240 42,000 X 40,000 0 2,000 HUMANA INC COMMON 444859102 845,255 22,661 X 21,256 0 1,405 ILLINOIS TOOL WORKS I COMMON 452308109 623,993 14,610 X 13,220 0 1,390 IMPERIAL OIL LTD COMMON 453038408 285,225 7,500 X 7,500 0 0 INGERSOLL-RAND PLC COMMON G47791101 1,118,535 36,470 X 28,009 0 8,461 INTEL CORPORATION COMMON 458140100 7,502,825 383,384 X 337,491 0 45,893 INTERNATIONAL BUSINES COMMON 459200101 47,315,710 395,583 X X 262,841 338 132,404 INTERNATIONAL PAPER C COMMON 460146103 551,304 24,800 X 17,300 0 7,500 ITAU UNIBANCO BANCO B COMMON 465562106 2,645,947 131,313 X 114,400 0 16,913 J.P. MORGAN CHASE & C COMMON 46625H100 28,455,306 649,368 X X 472,308 1,920 175,140 JOHNSON & JOHNSON COMMON 478160104 44,714,084 734,342 X X 460,469 2,259 271,614 KELLOGG CO COMMON 487836108 1,524,555 30,968 X 28,358 0 2,610 KINDER MORGAN EGY PTN COMMON 494550106 805,600 14,913 X 4,828 0 10,085 LEGACY RESERVES LP UN COMMON 524707304 537,528 31,750 X 30,750 0 1,000 LILLY ELI & CO COMMON 532457108 2,592,954 78,503 X 65,468 0 13,035 LIMITED STORES INC COMMON 532716107 13,362,057 786,466 X X 416,264 3,615 366,587
ESTABROOK CAPITAL MANAGEMENT LLC DISCRETIONARY OWNERSHIP FOR 13F AS OF DATE: 09/30/09 (ITEM 1) (ITEM 2) (ITEM 3) (ITEM 4) (ITEM 5) (ITEM 6) (ITEM 7) (ITEM 8) INVESTMENT VOTING AUTHORITY DISCRETION (SHARES) ----------------- --------------------------------------- NAME TITLE FAIR SHARES OR SHARED OF OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER SOLE SHARED NONE ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) MGR (A) (B) (C) - ---------------------- ------ ---------- -------------- ------------ ----- ----- ----- -- ------------ ------------ ------------ L-3 COMMUNICATIONS HL COMMON 502424104 200,800 2,500 X 300 0 2,200 M & T BK CORP COMMON 55261F104 925,764 14,855 X 12,400 0 2,455 MACYS INC COM COMMON 55616P104 790,860 43,240 X 33,416 0 9,824 MARATHON OIL CORP COM COMMON 565849106 6,698,330 209,979 X 125,219 0 84,760 MARSH MCLENNAN COMMON 571748102 204,764 8,280 X 6,000 0 2,280 MCDERMOTT INTERNATION COMMON 580037109 22,590,218 893,954 X X 544,037 1,715 348,202 MCDONALDS CORP COMMON 580135101 206,993 3,627 X 727 0 2,900 MCGRAW HILL INC COMMON 580645109 376,723 14,985 X 12,375 0 2,610 MEDCO HEALTH SOLUTION COMMON 58405U102 365,378 6,606 X 5,906 0 700 MERCK & COMPANY COMMON 589331107 5,714,814 180,677 X X 97,289 225 83,163 MERRILL LYNCH CAP TRU PREFERR 59024T203 372,200 20,000 X 20,000 0 0 MESABI TR CTF BEN INT COMMON 590672101 101,500 10,000 X 8,500 0 1,500 MICROSOFT CORPORATION COMMON 594918104 9,232,194 358,950 X X 272,388 4,000 82,562 MONSANTO CO COMMON 61166W101 9,198,216 118,840 X X 96,755 125 21,960 MORGAN STANLEY COMMON 617446448 28,841,426 933,984 X X 556,040 2,440 375,504 MORGAN STANLEY 6.45% PREFERR 61753R200 807,710 37,000 X 36,000 0 1,000 MOTOROLA INC. COMMON 620076109 267,261 31,113 X 3,000 0 28,113 NATIONAL CITY CAP TR PREFERR 63540X201 247,800 12,000 X 12,000 0 0 NATIONAL FUEL GAS CO COMMON 636180101 32,205,163 703,016 X X 393,178 2,069 307,769 NATIONAL-OILWELL INC COMMON 637071101 25,727,135 596,502 X X 419,383 3,302 173,817 NCR CORP NEW COMMON 62886E108 149,878 10,845 X 4,795 0 6,050 NESTLE ADR COMMON 641069406 7,990,733 187,761 X 117,393 0 70,368 NEWMONT MNG CORP COMMON 651639106 1,908,707 43,360 X 34,110 0 9,250 NEXEN INC COM COMMON 65334H102 677,100 30,000 X 30,000 0 0 NOKIA CORP COMMON 654902204 22,867,858 1,564,149 X X 1,094,273 4,200 465,676 NORDSTROM INC COMMON 655664100 820,182 26,856 X X 16,240 1,816 8,800 NORFOLK SOUTHN CORP COMMON 655844108 29,797,460 691,196 X X 410,015 1,754 279,427 NORTHROP GRUMMAN CORP COMMON 666807102 870,746 16,826 X 16,694 0 132 NOVELL INC COMMON 670006105 149,732 33,200 X 33,200 0 0 NUCOR CORP COMMON 670346105 343,596 7,309 X 1,309 0 6,000 NVIDIA CORP COM COMMON 67066G104 257,163 17,110 X 60 0 17,050 OMNICOM GROUP COMMON 681919106 285,657 7,733 X 7,733 0 0 OPEN JT STK CO VIMPEL COMMON 68370R109 475,317 25,418 X 2,018 0 23,400 ORACLE SYS CORP COMMON 68389X105 337,087 16,175 X 4,865 0 11,310 OVERSEAS SHIPHOLDING COMMON 690368105 1,819,172 48,680 X 33,970 0 14,710 PATRIOT TRANSN HLDG I COMMON 70337B102 6,481,675 85,850 X X 74,550 3,500 7,800 PAYCHEX INC COMMON 704326107 267,260 9,200 X 500 0 8,700 PENNEY J C INC COMMON 708160106 401,456 11,895 X 8,415 0 3,480 PEOPLES UNITED FINANC COMMON 712704105 4,976,679 319,838 X 315,380 0 4,458 PEPSICO INC COMMON 713448108 2,654,130 45,246 X 35,203 0 10,043 PETROBRAS BRASILEIRO COMMON 71654V101 52,712,273 1,340,938 X X 757,144 2,394 581,400 PETROBRAS BRASILEIRO COMMON 71654V408 495,720 10,800 X 6,800 0 4,000 PFIZER INC COMMON 717081103 12,498,014 755,167 X X 421,050 1,216 332,901 PHILIP MORRIS INTL IN COMMON 718172109 454,501 9,325 X 3,575 0 5,750 PLAINS ALL AMERN PIPE COMMON 726503105 596,215 12,880 X 9,480 0 3,400
ESTABROOK CAPITAL MANAGEMENT LLC DISCRETIONARY OWNERSHIP FOR 13F AS OF DATE: 09/30/09 (ITEM 1) (ITEM 2) (ITEM 3) (ITEM 4) (ITEM 5) (ITEM 6) (ITEM 7) (ITEM 8) INVESTMENT VOTING AUTHORITY DISCRETION (SHARES) ----------------- --------------------------------------- NAME TITLE FAIR SHARES OR SHARED OF OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER SOLE SHARED NONE ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) MGR (A) (B) (C) - ---------------------- ------ ---------- -------------- ------------ ----- ----- ----- -- ------------ ------------ ------------ PNC FINANCIAL GROUP COMMON 693475105 14,676,536 302,048 X X 228,308 2,000 71,740 POTASH CORP SASK INC COMMON 73755L107 11,520,970 127,529 X X 73,978 304 53,247 PPG INDS INC COMMON 693506107 552,762 9,496 X 7,911 0 1,585 PPL CORP COMMON 69351T106 237,016 7,812 X 2,000 0 5,812 PRAXAIR INC COMMON 74005P104 36,536,996 447,264 X X 266,676 1,499 179,089 PROCTER & GAMBLE CO COMMON 742718109 19,930,554 344,105 X X 230,095 280 113,730 PUBLIC SVC ENTERPRISE COMMON 744573106 439,217 13,970 X 12,470 0 1,500 QUALCOMM INC COMMON 747525103 719,500 15,996 X X 3,600 200 12,196 QUESTAR CORP COMMON 748356102 19,067,710 507,660 X X 258,369 2,275 247,016 RAYTHEON CO NEW COM COMMON 755111507 395,944 8,254 X 7,785 0 469 REGIONS FINANCIAL COR COMMON 7591EP100 142,892 23,010 X 18,541 0 4,469 RELM WIRELESS CORP CO COMMON 759525108 43,886 14,727 X 14,727 0 0 RENAISSANCERE HLDGS L COMMON G7496G103 4,537,742 82,866 X 82,187 0 679 ROCHE HLDG LTD SPONSO COMMON 771195104 745,212 18,466 X 18,000 0 466 ROYAL DUTCH SHELL PLC COMMON 780259107 223,638 4,010 X 4,010 0 0 ROYAL DUTCH SHELL PLC COMMON 780259206 1,517,651 26,537 X X 13,704 2,000 10,833 SAN JUAN BASIN RTY TR COMMON 798241105 343,140 19,000 X 16,000 0 3,000 SANOFI-AVENTIS ADR COMMON 80105N105 1,749,287 47,342 X 29,382 0 17,960 SCHLUMBERGER COMMON 806857108 20,482,196 343,661 X X 219,867 1,206 122,588 SIGMA ALDRICH CORP COMMON 826552101 3,447,055 63,858 X 51,463 0 12,395 SONOCO PRODUCTS COMMON 835495102 2,778,015 100,872 X X 88,376 2,750 9,746 SPDR TR UNIT SER 1 COMMON 78462F103 1,245,962 11,800 X 11,800 0 0 SPECTRA ENERGY CORP C COMMON 847560109 762,032 40,234 X 21,676 0 18,558 ST JUDE MED INC COMMON 790849103 224,073 5,744 X 5,744 0 0 STAPLES INC COMMON 855030102 361,071 15,550 X 3,150 0 12,400 STRYKER CORP COMMON 863667101 3,206,904 70,590 X 45,500 0 25,090 SUNCOR ENERGY INC COMMON 867224107 392,256 11,350 X 5,350 0 6,000 SUNOCO LOGISTICS PART COMMON 86764L108 1,878,225 31,700 X 21,800 0 9,900 SUPERIOR ENERGY SVCS COMMON 868157108 1,007,770 44,750 X 43,650 0 1,100 SYSCO CORP COMMON 871829107 444,691 17,895 X 1,895 0 16,000 TARGET CORP COMMON 87612E106 3,896,800 83,479 X 57,441 0 26,038 TECO ENERGY INC COMMON 872375100 3,008,347 213,661 X 157,893 0 55,768 TEPPCO PARTNERS LP UT COMMON 872384102 432,090 12,445 X 6,600 0 5,845 TERADATA CORP DEL COM COMMON 88076W103 14,500,288 526,900 X X 323,097 1,843 201,960 TEVA PHARMACEUTICAL I COMMON 881624209 2,170,794 42,935 X X 31,130 175 11,630 TEXAS INSTRUMENTS INC COMMON 882508104 6,146,726 259,465 X X 165,679 3,612 90,174 TEXTRON INC COMMON 883203101 297,986 15,700 X 15,700 0 0 TIFFANY & CO NEW COMMON 886547108 4,915,465 127,575 X X 123,000 2,000 2,575 TIME WARNER INC COM COMMON 887317303 238,529 8,288 X 3,236 0 5,052 TRANSOCEAN LTD ZUG NA COMMON H8817H100 11,755,329 137,441 X X 92,837 516 44,088 TRAVELERS COMPANIES I COMMON 89417E109 906,472 18,413 X 16,750 0 1,663 TYCO ELECTRONICS LTD FOREIGN H8912P106 218,299 9,798 X X 8,149 750 899 U S BANCORP COMMON 902973304 14,304,091 654,350 X X 435,188 3,072 216,090 UNILEVER PLC ADR SPON COMMON 904767704 537,004 18,724 X 5,560 0 13,164 UNION PAC CORP COMMON 907818108 18,205,608 312,007 X X 260,136 3,290 48,581
ESTABROOK CAPITAL MANAGEMENT LLC DISCRETIONARY OWNERSHIP FOR 13F AS OF DATE: 09/30/09 (ITEM 1) (ITEM 2) (ITEM 3) (ITEM 4) (ITEM 5) (ITEM 6) (ITEM 7) (ITEM 8) INVESTMENT VOTING AUTHORITY DISCRETION (SHARES) ----------------- --------------------------------------- NAME TITLE FAIR SHARES OR SHARED OF OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER SOLE SHARED NONE ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) MGR (A) (B) (C) - ---------------------- ------ ---------- -------------- ------------ ----- ----- ----- -- ------------ ------------ ------------ UNITED TECHNOLOGIES C COMMON 913017109 26,194,706 429,915 X X 258,813 1,350 169,752 UNITEDHEALTH GROUP IN COMMON 91324P102 1,465,942 58,544 X 54,004 0 4,540 USB CAPITAL 6.500% 00 PREFERR 91731L207 216,047 9,070 X 7,070 0 2,000 VALE S A ADR COMMON 91912E105 23,136,985 1,000,302 X X 572,383 3,348 424,571 VEOLIA ENVIRONNEMENT COMMON 92334N103 769,223 19,985 X 18,146 0 1,839 VERIZON COMMUNICATION COMMON 92343V104 36,715,235 1,212,925 X X 773,576 3,953 435,396 VULCAN MATERIALS CO COMMON 929160109 2,528,800 46,769 X 33,714 0 13,055 WACHOVIA CAP TRUST TR PREFERR 92978U207 365,274 16,725 X 9,000 0 7,725 WAL MART STORES INC COMMON 931142103 715,879 14,583 X X 6,714 130 7,739 WALGREEN CO COMMON 931422109 391,187 10,440 X 4,390 0 6,050 WEATHERFORD INTERNATI COMMON H27013103 51,270,701 2,473,261 X X 1,692,437 18,690 762,134 WELLS FARGO NEW COMMON 949746101 4,278,967 151,844 X X 126,991 100 24,753 WESTERN UN CO COM COMMON 959802109 1,434,647 75,827 X 35,842 0 39,985 WIPRO LTD SPON ADR 1 COMMON 97651M109 251,300 14,000 X 0 0 14,000 WYETH COMMON 983024100 1,744,799 35,916 X 19,076 0 16,840 XCEL ENERGY INC COMMON 98389B100 531,216 27,610 X 22,800 0 4,810 ZIMMER HLDGS INC COMMON 98956P102 2,053,175 38,413 X 32,496 0 5,917 TOTAL 1,751,564,051
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