13F-HR 1 wealthtrustaxiom4q2012.txt WEALTHTRUST AXIOM, LLC 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 [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Wealthtrust Axiom, LLC Address: 4 Radnor Corporate Center Suite 520 Radnor, PA 19087-8760 13F File Number: 028-12715 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: Albert C. Matt Title: Managing Director and President Phone: (610) 688-0050 Signature, Place, and Date of Signing: /s/ Albert C. Matt Radnor, PA January 30, 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: 187 Form 13F Information Table Value Total: $203,867 (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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ABERDEEN ASIA PACIFIC INCOM COM 003009107 2034 262894 SH SOLE 0 0 262894 ABERDEEN GLOBAL INCOME FD IN COM 003013109 248 17500 SH SOLE 0 0 17500 AGL RES INC COM 001204106 234 5869 SH SOLE 0 0 5869 ALCOA INC COM 013817101 480 55317 SH SOLE 0 0 55317 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 295 36543 SH SOLE 0 0 36543 AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 230 9960 SH SOLE 0 0 9960 AMERICAN SOFTWARE INC CL A 029683109 187 24207 SH SOLE 0 0 24207 ANNALY CAP MGMT INC COM 035710409 763 54384 SH SOLE 0 0 54384 APPLE INC COM 037833100 1652 3106 SH SOLE 0 0 3106 ARCHER DANIELS MIDLAND CO COM 039483102 277 10131 SH SOLE 0 0 10131 ARGAN INC COM 04010E109 210 11700 SH SOLE 0 0 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SPONSORED ADR 37733W105 272 6263 SH SOLE 0 0 6263 GRACE W R & CO DEL NEW COM 38388F108 453 6745 SH SOLE 0 0 6745 GRAFTECH INTL LTD COM 384313102 438 46700 SH SOLE 0 0 46700 GRAHAM CORP COM 384556106 238 12241 SH SOLE 0 0 12241 GREAT PLAINS ENERGY INC COM 391164100 2089 102871 SH SOLE 0 0 102871 GRIFFON CORP COM 398433102 555 48500 SH SOLE 0 0 48500 GSE SYS INC COM 36227K106 85 39500 SH SOLE 0 0 39500 HAWAIIAN ELEC INDUSTRIES COM 419870100 209 8334 SH SOLE 0 0 8334 HONEYWELL INTL INC COM 438516106 211 3325 SH SOLE 0 0 3325 HSBC HLDGS PLC ADR A 1/40PF A 404280604 412 16500 SH SOLE 0 0 16500 ING PRIME RATE TR SH BEN INT 44977W106 132 21400 SH SOLE 0 0 21400 INNOVATIVE SOLUTIONS & SUPPO COM 45769N105 5096 1481464 SH SOLE 0 0 1481464 INTEGRYS ENERGY GROUP INC COM 45822P105 296 5675 SH SOLE 0 0 5675 INTEL CORP COM 458140100 3684 178704 SH SOLE 0 0 178704 INTERNATIONAL BUSINESS MACHS COM 459200101 507 2652 SH SOLE 0 0 2652 INTERNATIONAL SHIPHOLDING CO COM NEW 460321201 658 39952 SH SOLE 0 0 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ENERGY CO COM NEW 53261U205 10 17412 SH SOLE 0 0 17412 LSI INDS INC COM 50216C108 2694 384447 SH SOLE 0 0 384447 MAGNETEK INC COM NEW 559424403 1749 165690 SH SOLE 0 0 165690 MAIDEN HOLDINGS LTD SHS G5753U112 229 25000 SH SOLE 0 0 25000 MANITEX INTL INC COM 563420108 945 132400 SH SOLE 0 0 132400 MERCK & CO INC NEW COM 58933Y105 3556 86861 SH SOLE 0 0 86861 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 91 12500 SH SOLE 0 0 12500 MICROSOFT CORP COM 594918104 972 36418 SH SOLE 0 0 36418 MISONIX INC COM 604871103 812 100850 SH SOLE 0 0 100850 MOD PAC CORP COM 607495108 71 10500 SH SOLE 0 0 10500 NEXTERA ENERGY INC COM 65339F101 210 3035 SH SOLE 0 0 3035 NISOURCE INC COM 65473P105 584 23465 SH SOLE 0 0 23465 NOBLE CORPORATION BAAR NAMEN -AKT H5833N103 539 15496 SH SOLE 0 0 15496 NORDIC AMERICAN TANKERS LIMI COM G65773106 2277 260300 SH SOLE 0 0 260300 NORTH AMERN ENERGY PARTNERS COM 656844107 88 25950 SH SOLE 0 0 25950 NOVARTIS A G SPONSORED ADR 66987V109 1092 17260 SH SOLE 0 0 17260 NRG ENERGY INC COM NEW 629377508 728 31683 SH SOLE 0 0 31683 NTS INC NEV COM 62943B105 17 20000 SH SOLE 0 0 20000 NUSTAR ENERGY LP UNIT COM 67058H102 287 6771 SH SOLE 0 0 6771 NUVEEN PA INVT QUALITY MUN F COM 670972108 175 11190 SH SOLE 0 0 11190 NUVEEN QUALITY PFD INCOME FD COM 67071S101 137 15900 SH SOLE 0 0 15900 NUVEEN SR INCOME FD COM 67067Y104 211 29000 SH SOLE 0 0 29000 NV ENERGY INC COM 67073Y106 1032 56931 SH SOLE 0 0 56931 OLIN CORP COM PAR $1 680665205 551 25546 SH SOLE 0 0 25546 ORION ENERGY SYSTEMS INC COM 686275108 75 45376 SH SOLE 0 0 45376 PALATIN TECHNOLOGIES INC COM PAR $ .01 696077403 18 30135 SH SOLE 0 0 30135 PARK ELECTROCHEMICAL CORP COM 700416209 234 9125 SH SOLE 0 0 9125 PENN WEST PETE LTD NEW COM 707887105 751 69174 SH SOLE 0 0 69174 PERCEPTRON INC COM 71361F100 203 34544 SH SOLE 0 0 34544 PERICOM SEMICONDUCTOR CORP COM 713831105 421 52500 SH SOLE 0 0 52500 PFIZER INC COM 717081103 5970 238071 SH SOLE 0 0 238071 PHILLIPS 66 COM 718546104 364 6857 SH SOLE 0 0 6857 PIONEER ENERGY SVCS CORP COM 723664108 3571 491900 SH SOLE 0 0 491900 PLUG POWER INC COM NEW 72919P202 12 25000 SH SOLE 0 0 25000 POINTS INTL LTD COM NEW 730843208 6653 597288 SH SOLE 0 0 597288 POWERSECURE INTL INC COM 73936N105 6855 877806 SH SOLE 0 0 877806 PROCTER & GAMBLE CO COM 742718109 585 8631 SH SOLE 0 0 8631 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 154 30500 SH SOLE 0 0 30500 PVR PARTNERS L P COM UNIT REPTG L 693665101 1715 66025 SH SOLE 0 0 66025 RAYTHEON CO COM NEW 755111507 332 5771 SH SOLE 0 0 5771 REPUBLIC FIRST BANCORP INC COM 760416107 31 15000 SH SOLE 0 0 15000 RETRACTABLE TECHNOLOGIES INC COM 76129W105 258 297644 SH SOLE 0 0 297644 ROCKWELL AUTOMATION INC COM 773903109 226 2698 SH SOLE 0 0 2698 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 618 8968 SH SOLE 0 0 8968 RTI INTL METALS INC COM 74973W107 308 11200 SH SOLE 0 0 11200 SCHLUMBERGER LTD COM 806857108 838 12097 SH SOLE 0 0 12097 SEANERGY MARITIME HLDGS CORP SHS Y73760129 32 30900 SH SOLE 0 0 30900 SEQUENOM INC COM NEW 817337405 56 12000 SH SOLE 0 0 12000 SONIC FDRY INC COM NEW 83545R207 2073 354456 SH SOLE 0 0 354456 SOUTHERN CO COM 842587107 284 6646 SH SOLE 0 0 6646 SPAN AMER MED SYS INC COM 846396109 184 10295 SH SOLE 0 0 10295 SPDR GOLD TRUST GOLD SHS 78463V107 370 2288 SH SOLE 0 0 2288 STAR BULK CARRIERS CORP SHS NEW Y8162K121 88 14336 SH SOLE 0 0 14336 STATOIL ASA SPONSORED ADR 85771P102 1583 63251 SH SOLE 0 0 63251 STEC INC COM 784774101 1597 323995 SH SOLE 0 0 323995 STUDENT TRANSN INC COM 86388A108 4147 675481 SH SOLE 0 0 675481 SUNOCO LOGISTICS PRTNRS L P COM UNITS 86764L108 226 4557 SH SOLE 0 0 4557 SUNOPTA INC COM 8676EP108 735 130725 SH SOLE 0 0 130725 SUSQUEHANNA BANCSHARES INC P COM 869099101 257 24616 SH SOLE 0 0 24616 SYNERGETICS USA INC COM 87160G107 377 78700 SH SOLE 0 0 78700 SYNERGY RES CORP COM 87164P103 172 32000 SH SOLE 0 0 32000 TE CONNECTIVITY LTD REG SHS H84989104 318 8585 SH SOLE 0 0 8585 TECO ENERGY INC COM 872375100 243 14545 SH SOLE 0 0 14545 TELUS 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