0001144204-12-025720.txt : 20120503
0001144204-12-025720.hdr.sgml : 20120503
20120503094521
ACCESSION NUMBER: 0001144204-12-025720
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120331
FILED AS OF DATE: 20120503
DATE AS OF CHANGE: 20120503
EFFECTIVENESS DATE: 20120503
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: SOLARIS ASSET MANAGEMENT LLC
CENTRAL INDEX KEY: 0001364739
IRS NUMBER: 202458685
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-11942
FILM NUMBER: 12807781
BUSINESS ADDRESS:
STREET 1: 598 MADISON AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212 582 4500
MAIL ADDRESS:
STREET 1: 598 MADISON AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10022
13F-HR
1
v311559_13f-hr.txt
13F-HR
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: 03-31-12
------------------------------
Check here if Amendment; [ ] Amendment Number:
This Amendment (Check only one.): [ ] is a restatement.
[ ] adds new holding entries.
Institutional Investment Manager Filing this Report:
Name: Solaris Asset Management
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Address: 598 Madison Avenue - 15th floor
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New York, NY 10022
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Form 13F File Number: 28- 11942
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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: Stephen B. Wells
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Title: President
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Phone: 212-582-4500
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Signature, Place, and Date of Signing:
Stephen B. Wells New York, NY 05-01-12
--------------------------- -------------------------- --------------
[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).)
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
------------------------------
Form 13F Information Table Entry Total: 229
------------------------------
Form 13F Information Table Value Total: $129,966
------------------------------
(thousands)
List of Other Included Managers:
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.
NONE.
Solaris Asset Management
13f
March 31, 2012
Value Investment Other Voting
Name of Issuer Class Cusip (x$1000) Shares Discretion Managers Authority
------------------------------------------------------------------------------------------------------------------------------------
3M CO Common 88579Y101 36 400 Yes No Sole
ABBOTT LABORATORIES Common 002824100 25 400 Yes No Sole
ALLIANCE HOLDINGS GP LP Ltd Partner 01861G100 100 2,300 Yes No Sole
AMAZON.COM INC Common 023135106 1,048 5,175 Yes No Sole
AMERICAN EXPRESS CO Common 025816109 35 600 Yes No Sole
AMERICAN WTR WKS CO INC NEW Common 030420103 922 27,100 Yes No Sole
ANN INC. Common 035623107 50 1,750 Yes No Sole
APACHE CORP Common 037411105 406 4,043 Yes No Sole
APPLE INC Common 037833100 6,531 10,894 Yes No Sole
AQUA AMERICA INC Common 03836W103 60 2,675 Yes No Sole
ASCENA RETAIL GROUP Common 04351G101 107 2,425 Yes No Sole
AT CROSS CO-CL A Common 227478104 447 37,156 Yes No Sole
ATHENA HEALTH Common 04685W103 80 1,075 Yes No Sole
ATLAS ENERGY LP Ltd Partner 04930A104 123 3,720 Yes No Sole
ATLAS PIPELINE PARTNERS LP Ltd Partner 049392103 124 3,500 Yes No Sole
ATLAS RESOURCE PARTNERS LP Ltd Partner 04941A101 11 379 Yes No Sole
AUTODESK INC Common 052769106 836 19,750 Yes No Sole
AUXILIUM PHARMACEUTICALS INC Common 05334D107 19 1,000 Yes No Sole
AXT INC Common 00246W103 51 8,000 Yes No Sole
BAXTER INTERNATIONAL Common 071813109 23 382 Yes No Sole
BB&T CORP Common 054937107 135 4,300 Yes No Sole
BE AEROSPACE INC Common 073302101 107 2,300 Yes No Sole
BEAVER COAL LTD Common 074799107 9 8 Yes No Sole
BERKSHIRE HATHAWAY INC-CL B Common 084670702 16 200 Yes No Sole
BK OF AMERICA PFD 8.625% SER M Preferred 060505559 1,494 58,250 Yes No Sole
BOARDWALK PIPELINE PARTNERS LP Ltd Partner 096627104 111 4,200 Yes No Sole
BRISTOL-MYERS SQUIBB CO Common 110122108 1,002 29,675 Yes No Sole
BUCKEYE PARTNERS LP Ltd Partner 118230101 263 4,300 Yes No Sole
CABELA'S INC Common 126804301 91 2,375 Yes No Sole
CALUMET SPECIALTY PRODUCTS Common 131476103 34 1,300 Yes No Sole
CANADIAN PACIFIC RAILWAY LTD Common 13645T100 750 9,870 Yes No Sole
CARNIVAL CORP Common 143658300 74 2,300 Yes No Sole
CBS CORP Common 124857202 2,443 72,050 Yes No Sole
CENTURYLINK INC Common 156700106 77 2,000 Yes No Sole
CERNER CORP Common 156782104 2,450 32,175 Yes No Sole
CHART INDUSTRIES INC Common 16115Q308 104 1,425 Yes No Sole
CHECK POINT SOFTWARE TECH Common M22465104 1,979 31,000 Yes No Sole
CHESAPEAKE ENERGY CORP Common 165167107 49 2,100 Yes No Sole
CHESAPEAKE MIDSTREAM PARTNERS Ltd Partner 16524K108 146 4,900 Yes No Sole
CHEVRONTEXACO CORP Common 166764100 165 1,540 Yes No Sole
CHIPOTLE MEXICAN GRILLE INC Common 169656105 418 1,000 Yes No Sole
CIMAREX ENERGY CO Common 171798101 234 3,100 Yes No Sole
CINTAS CORP Common 172908105 2,893 73,950 Yes No Sole
CISCO SYSTEMS INC Common 17275R102 11 500 Yes No Sole
CITIGROUP INC Common 172967424 1,250 34,210 Yes No Sole
CITRIX SYSTEMS INC Common 177376100 1,624 20,575 Yes No Sole
CITY TELECOM Common 178677209 68 5,100 Yes No Sole
CLEARWIRE CORP - CLASS A Common 18538Q105 15 6,400 Yes No Sole
CNH GLOBAL N.V. Common N20935206 52 1,300 Yes No Sole
COACH INC Common 189754104 282 3,650 Yes No Sole
COBALT INTL ENERGY INC Common 19075F106 398 13,250 Yes No Sole
COMCAST CORP-CL A Common 20030N101 92 3,050 Yes No Sole
COMPANHIA DE BEBIDAS PFD ADR Preferred 20441W203 728 17,625 Yes No Sole
CONOCOPHILLIPS Common 20825C104 553 7,275 Yes No Sole
CONSOL ENERGY INC Common 20854P109 815 23,900 Yes No Sole
COPANO ENERGY LLC-UNITS Common 217202100 400 11,200 Yes No Sole
CREDIT SUISSE GROUP SPON ADR Common 225401108 1 49 Yes No Sole
CSX CORP Common 126408103 58 2,700 Yes No Sole
CUBESMART Common 229663109 27 2,300 Yes No Sole
CVS CORP Common 126650100 2,029 45,300 Yes No Sole
DCP MIDSTREAM PARTNERS LP Ltd Partner 23311P100 183 4,000 Yes No Sole
DEAN FOODS CO NEW Common 242370104 893 73,700 Yes No Sole
DECKERS OUTDOOR CORP Common 243537107 38 600 Yes No Sole
DELUXE CORP Common 248019101 338 14,450 Yes No Sole
DILLARDS CAPITAL TRUST Preferred 25406P200 2,049 81,550 Yes No Sole
DISCOVER FINL SVCS Common 254709108 2,805 84,125 Yes No Sole
DORCHESTER MINERALS LP Ltd Partner 25820R105 45 1,700 Yes No Sole
DR PEPPER SNAPPLE GROUP INC Common 26138E109 639 15,900 Yes No Sole
DU PONT (E.I.) DE NEMOURS Common 263534109 2,120 40,075 Yes No Sole
EAST WEST BANCORP INC Common 27579R104 2,116 91,625 Yes No Sole
EBAY INC Common 278642103 2,343 63,500 Yes No Sole
EDWARDS LIFESCIENCES CORP Common 28176E108 1,007 13,850 Yes No Sole
ELECTRONIC ARTS INC Common 285512109 377 22,892 Yes No Sole
ENBRIDGE ENERGY MANAGEMENT L Ltd Partner 29250X103 48 1,511 Yes No Sole
ENBRIDGE ENERGY PARTNERS LP Ltd Partner 29250R106 658 21,250 Yes No Sole
ENERGY TRANSFER EQUITY Ltd Partner 29273V100 40 1,000 Yes No Sole
ENERGY TRANSFER PARTNERS LP Ltd Partner 29273R109 235 5,000 Yes No Sole
ENTERGY CORP NEW Common 29364G103 67 1,000 Yes No Sole
ENTERPRISE PRODUCTS PARTNERS Ltd Partner 293792107 20 405 Yes No Sole
ERTS UNVESTED OPTIONS Call 285512109 109 6,582 Yes No Sole
ERTS VESTED OPTIONS Call 285512109 637 38,618 Yes No Sole
ETRACS BBG CMCI GOLD ETN Exchange
traded note 902641810 146 3,300 Yes No Sole
EV ENERGY PARTNER LP Ltd Partner 26926V107 424 6,100 Yes No Sole
EXTRA SPACE STORAGE Common 30225T102 26 900 Yes No Sole
FORD MOTOR CO Common 345370860 20 1,600 Yes No Sole
FPC CAPITAL I SERIES A PFD Preferred 302552203 115 4,500 Yes No Sole
GAP INC Common 364760108 528 20,200 Yes No Sole
GENERAL ELECTRIC CO Common 369604103 967 48,200 Yes No Sole
GENESIS ENERGY L P UNIT LP INT Ltd Partner 371927104 197 6,400 Yes No Sole
GOOGLE INC CL A Common 38259P508 426 665 Yes No Sole
GREENBRIER COMPANIES INC Common 393657101 49 2,500 Yes No Sole
HARRIS & HARRIS GROUP INC Common 413833104 12 3,000 Yes No Sole
HCP INC Common 40414L109 28 700 Yes No Sole
HESS CORP Common 42809H107 734 12,450 Yes No Sole
HEXCEL CORP NEW Common 428291108 52 2,150 Yes No Sole
HOSPITALITY PROPERTIES TRUST REIT 44106M102 64 2,400 Yes No Sole
IAC/INTERACTIVECORP Common 44919P508 3,739 76,175 Yes No Sole
IBERIABANK CORP Common 450828108 48 900 Yes No Sole
ICONIX BRAND GROUP INC Common 451055107 44 2,550 Yes No Sole
IMMERSION CORPORATION Common 452521107 9 1,700 Yes No Sole
ING GROEP NV 6.375 PFD Preferred 456837608 624 28,500 Yes No Sole
ING GROEP NV 7.375% SERIES Preferred 456837707 418 17,500 Yes No Sole
INTEL CORP Common 458140100 933 33,175 Yes No Sole
INTERCONTINENTAL HOTELS ADR Common 45857P301 3,295 141,900 Yes No Sole
INTL BUSINESS MACHINES CORP Common 459200101 2,251 10,788 Yes No Sole
INTL FCSTONE INC Common 46116V105 50 2,350 Yes No Sole
INTUITIVE SURGICAL INC Common 46120E602 27 50 Yes No Sole
INVENSENSE INC Common 46123D205 20 1,100 Yes No Sole
ION GEOPHYSICAL CORP Common 462044108 20 3,100 Yes No Sole
IROBOT CORP Common 462726100 30 1,100 Yes No Sole
IRON MOUNTAIN INC Common 462846106 1,930 67,025 Yes No Sole
ISHARES MSCI BRAZIL IDX ETF 464286400 3,477 53,775 Yes No Sole
J C PENNEY CO INC Common 708160106 2,265 63,925 Yes No Sole
JOHNSON & JOHNSON Common 478160104 26 400 Yes No Sole
JP MORGAN ALERIAN MLP INDEX Exchange
traded note 46625H365 1,161 29,650 Yes No Sole
JPM CHASE CAP XI PFD 5.875% Preferred 46626V20 25 1,000 Yes No Sole
JPMORGAN CHASE & CO Common 46625H100 14 300 Yes No Sole
KANSAS CITY SOUTHERN Common 485170302 118 1,650 Yes No Sole
KINDER MORGAN ENERGY PRTNRS Ltd Partner 494550106 914 11,050 Yes No Sole
KINDER MORGAN MANAGEMENT LLC Common 49455U100 467 6,254 Yes No Sole
LEGACY RESERVES Ltd Partner 524707304 69 2,400 Yes No Sole
LEGG MASON INC Common 524901105 462 16,550 Yes No Sole
LILLY ELI & CO Common 532457108 189 4,700 Yes No Sole
LINDSAY MANUFACTURING CO Common 535555106 56 850 Yes No Sole
LINN ENERGY Ltd Partner 536020100 839 22,000 Yes No Sole
LIVEPERSON INC Common 538146101 135 8,075 Yes No Sole
LUFKIN INDS INC Common 549764108 16 200 Yes No Sole
LULULEMON ATHLETICA INC Common 550021109 108 1,450 Yes No Sole
LYONDELLBASELL INDU-CLA Common N53745100 1,408 32,250 Yes No Sole
MAGELLAN MIDSTREAM PARTNERS Ltd Partner 559080106 951 13,150 Yes No Sole
MARKWEST ENERGY PARTNERS LP Ltd Partner 570759100 412 7,050 Yes No Sole
MEDCO HEALTH SOLUTIONS INC Common 58405U102 190 2,700 Yes No Sole
MEDICIS PHARMACEUTICAL CL A Common 584690309 70 1,850 Yes No Sole
MERCADOLIBRE INC Common 58733R102 66 675 Yes No Sole
MERCK & CO. INC. Common 58933Y105 424 11,050 Yes No Sole
MICROSOFT CORP Common 594918104 756 23,450 Yes No Sole
MONSTER WORLDWIDE INC Common 611742107 29 3,000 Yes No Sole
MORGAN ST CAP TR V PFD 5.75% Preferred 617466206 42 1,750 Yes No Sole
MOTOROLA SOLUTIONS INC Common 620076307 2,831 55,700 Yes No Sole
MURPHY OIL CORP Common 626717102 1,653 29,375 Yes No Sole
NABORS INDUSTRIES LTD Common G6359F103 568 32,475 Yes No Sole
NATIONAL OILWELL VARCO INC Common 637071101 1,236 15,550 Yes No Sole
NAVIOS MARITIME PARTNERS LP Ltd Partner Y62267102 47 2,800 Yes No Sole
NEW YORK TIMES CO CL A Common 650111107 10 1,500 Yes No Sole
NIKE INC -CL B Common 654106103 1,004 9,255 Yes No Sole
NOBLE ENERGY INC Common 655044105 166 1,700 Yes No Sole
NU SKIN ASIA PACIFIC INC CL A Common 67018T105 100 1,725 Yes No Sole
NUANCE COMMUNICATIONS INC Common 67020Y100 51 2,000 Yes No Sole
NUSTAR GP HOLDINGS LLC Ltd Partner 67059L102 97 2,800 Yes No Sole
OASIS PETROLEUM INC Common 674215108 38 1,225 Yes No Sole
ONEOK PARTNERS LP Ltd Partner 68268N103 317 5,800 Yes No Sole
PAR PHARMACEUTICAL COS INC Common 69888P106 77 2,000 Yes No Sole
PARKER HANNIFIN CORP Common 701094104 25 300 Yes No Sole
PARTNERRE LTD PFD SER C Preferred G6852T204 995 39,750 Yes No Sole
PARTNERRE LTD PFD SER D Preferred G68603409 331 13,200 Yes No Sole
PARTNERRE LTD PFD SER E Preferred G68603508 491 18,800 Yes No Sole
PAYCHEX INC Common 704326107 155 5,000 Yes No Sole
PENN VA RESOURCE PARTNERS L P Ltd Partner 707884102 208 9,508 Yes No Sole
PFIZER INC Common 717081103 1,692 74,725 Yes No Sole
PG&E CORP Common 69331C108 1,230 28,325 Yes No Sole
PHILIP MORRIS INTERNATIONAL IN Common 718172109 540 6,090 Yes No Sole
PLAINS ALL AMER PIPELINE LP Ltd Partner 726503105 565 7,200 Yes No Sole
PNC FINL SVCS GROUP INC Common 693475105 916 14,200 Yes No Sole
PROSPERITY BANCSHARES Common 743606105 63 1,375 Yes No Sole
PRUDENTIAL FINANCIAL INC Common 744320508 196 7,250 Yes No Sole
PUBLIC STORAGE INC REIT 74460D109 55 400 Yes No Sole
QUALCOMM INC Common 747525103 3,665 53,850 Yes No Sole
REGENCY ENERGY PARTNERS LP Ltd Partner 75885Y107 241 9,800 Yes No Sole
ROBERT HALF INTL INC Common 770323103 1,441 47,550 Yes No Sole
ROCKWOOD HOLDINGS INC Common 774415103 59 1,125 Yes No Sole
ROSETTA RESOURCES INC. Common 777779307 57 1,175 Yes No Sole
RPX CORPORATION Common 74972G103 15 900 Yes No Sole
SALIX PHARMACEUTICALS LTD DEL Common 795435106 92 1,750 Yes No Sole
SALLY BEAUTY HOLDINGS INC Common 79546E104 3,501 141,150 Yes No Sole
SANOFI-AVENTIS SPONSORED ADR Common 80105N105 1,404 36,225 Yes No Sole
SAPIENT CORP Common 803062108 48 3,850 Yes No Sole
SEADRILL LTD Common G7945E105 223 5,950 Yes No Sole
SIMON PROPERTY GROUP INC REIT 828806109 175 1,200 Yes No Sole
SM ENERGY CO Common 78454L100 87 1,225 Yes No Sole
SOLARWINDS, INC. Common 83416B109 52 1,350 Yes No Sole
SOUTHWESTERN ENERGY CO Common 845467109 593 19,370 Yes No Sole
SOVRAN SELF STORAGE INC REIT 84610H108 27 550 Yes No Sole
SPECTRA ENERGY CORP Common 847560109 163 5,175 Yes No Sole
SPECTRA ENERGY PARTNERS LP Ltd Partner 84756N109 51 1,600 Yes No Sole
SPIRIT AEROSYSTEMS HOLDINGS Common 848574109 114 4,650 Yes No Sole
SPX CORP Common 784635104 1,973 25,450 Yes No Sole
STANLEY BLACK & DECKER INC Common 854502101 20 255 Yes No Sole
STARBUCKS CORP Common 855244109 123 2,200 Yes No Sole
STIFEL FINANCIAL CORP Common 860630102 855 22,587 Yes No Sole
STONEMOR PARTNERS LP Ltd Partner 86183Q100 138 5,650 Yes No Sole
STRATEGIC HOTELS & RESORTS INC Common 86272T106 71 10,850 Yes No Sole
SUNOCO LOGISTICS PARTNERS LP Ltd Partner 86764L108 234 6,200 Yes No Sole
SUNTRUST BKS INC Common 867914103 133 5,500 Yes No Sole
TARGA RESOURCES PARTNERS LP Ltd Partner 87611X105 545 13,150 Yes No Sole
TARGET CORP Common 87612E106 130 2,229 Yes No Sole
TC PIPELINES Ltd Partner 87233Q108 184 4,100 Yes No Sole
TEEKAY LNG PARTNERS LP Ltd Partner Y8564M105 133 3,400 Yes No Sole
TEEKAY OFFSHORE PARTNERS L P Ltd Partner Y8565J101 139 4,800 Yes No Sole
TELEFLEX INC Common 879369106 537 8,775 Yes No Sole
TERRA NITROGEN CO L P COM UNIT Ltd Partner 881005201 176 700 Yes No Sole
TEXAS INSTRUMENTS INC Common 882508104 13 400 Yes No Sole
TIBCO SOFTWARE INC Common 88632Q103 31 1,000 Yes No Sole
TRACTOR SUPPLY CO Common 892356106 2,808 31,010 Yes No Sole
UMH PROPERTIES INC REIT 903002103 35 3,200 Yes No Sole
UNION PACIFIC CORP Common 907818108 245 2,275 Yes No Sole
UNITED TECHNOLOGIES CORP Common 913017109 564 6,800 Yes No Sole
URSTADT BIDDLE - CL A Common 917286205 66 3,324 Yes No Sole
URSTADT BIDDLE PROPERTIES Common 917286106 1,006 53,802 Yes No Sole
US BANCORP Common 902973304 127 4,000 Yes No Sole
V F CORP Common 918204108 734 5,025 Yes No Sole
VANGUARD DIV APPREC ETF ETF 921908844 1,494 25,515 Yes No Sole
VERISK ANALYTICS INC Common 92345Y106 141 3,000 Yes No Sole
VITAMIN SHOPPE INC Common 92849E101 151 3,425 Yes No Sole
W.P. CAREY & CO. LLC Common 92930Y107 56 1,200 Yes No Sole
WABCO HOLDINGS INC Common 92927K102 45 750 Yes No Sole
WACHOVIA PFD 7.25% SER A Preferred 92977V206 658 25,500 Yes No Sole
WELLS FARGO & COMPANY Common 949746101 2,936 86,000 Yes No Sole
WESTERN ALLIANCE BANCORP Common 957638109 60 7,100 Yes No Sole
WESTERN GAS PARTNERS Common 958254104 97 2,100 Yes No Sole
WESTPORT INNOVATIONS INC Common 960908309 44 1,075 Yes No Sole
WHOLE FOODS MKT INC Common 966837106 241 2,900 Yes No Sole
WILLIAMS COS INC Common 969457100 185 6,000 Yes No Sole
WILLIAMS PARTNERS L P Ltd Partner 96950F104 350 6,179 Yes No Sole
WISDOM TREE EMERGING MARKETS ETF 97717W315 58 1,000 Yes No Sole
WISDOM TREE INTERNATIONAL DIV ETF 97717W786 79 1,900 Yes No Sole
WOLVERINE WORLD WIDE INC Common 978097103 24 650 Yes No Sole
WPX ENERGY INC Common 98212B103 36 1,999 Yes No Sole
YM BIOSCIENCES INC (USD) Common 984238105 9 5,000 Yes No Sole
ZION BANCORP PFD 9.5% 12/29/49 Preferred 989701503 1,455 55,800 Yes No Sole
-------------------
TOTAL 129,966 3,275,139
===================