0001085146-13-000363.txt : 20130212
0001085146-13-000363.hdr.sgml : 20130212
20130211183853
ACCESSION NUMBER: 0001085146-13-000363
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121231
FILED AS OF DATE: 20130212
DATE AS OF CHANGE: 20130211
EFFECTIVENESS DATE: 20130212
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Dominick & Dominick LLC
CENTRAL INDEX KEY: 0001453102
IRS NUMBER: 134023549
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1230
FILING VALUES:
FORM TYPE: 13F-HR/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-13375
FILM NUMBER: 13593695
BUSINESS ADDRESS:
STREET 1: 150 EAST 52ND STREET
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-558-8800
MAIL ADDRESS:
STREET 1: 150 EAST 52ND STREET
CITY: NEW YORK
STATE: NY
ZIP: 10022
13F-HR/A
1
dominickdominick4q2012a1.txt
DOMINICK & DOMINICK 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 [ X]; Amendment Number: 1
This Amendment (Check only one.): [ X] is a restatement.
[ ] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Dominick & Dominick LLC
Address: 150 East 52nd Street
New York, NY 10022
13F File Number: 028-13375
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: Robert X. Reilly
Title: Chief Operating Officer
Phone: 212-558-8902
Signature, Place, and Date of Signing:
/s/ Robert X. Reilly New York, NY February 11, 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: 163
Form 13F Information Table Value Total: $151,576 (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
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
3M CO COM 88579Y101 276 2968 SH SOLE 2968 0 0
ABBOTT LABS COM 002824100 2831 43220 SH SOLE 43220 0 0
AFLAC INC COM 001055102 1737 32700 SH SOLE 32700 0 0
ALLERGAN INC COM 018490102 757 8250 SH SOLE 8250 0 0
ALTRIA GROUP INC COM 02209S103 389 12386 SH SOLE 12386 0 0
AMAZON COM INC COM 023135106 207 824 SH SOLE 824 0 0
AMERICAN EXPRESS CO COM 025816109 646 11238 SH SOLE 11238 0 0
AMERICAN INTL GROUP INC COM NEW 026874784 510 14450 SH SOLE 14450 0 0
AMGEN INC COM 031162100 246 2850 SH SOLE 2850 0 0
ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 804 9200 SH SOLE 9200 0 0
APPLE INC COM 037833100 9769 18358 SH SOLE 18358 0 0
AQUA AMERICA INC COM 03836W103 983 38675 SH SOLE 38675 0 0
AT&T INC COM 00206R102 1541 45721 SH SOLE 45721 0 0
AVON PRODS INC COM 054303102 364 25328 SH SOLE 25328 0 0
BANK OF AMERICA CORPORATION COM 060505104 933 80355 SH SOLE 80355 0 0
BARRICK GOLD CORP COM 067901108 231 6600 SH SOLE 6600 0 0
BAXTER INTL INC COM 071813109 1480 22200 SH SOLE 22200 0 0
BED BATH & BEYOND INC COM 075896100 1347 24100 SH SOLE 24100 0 0
BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 648 7225 SH SOLE 7225 0 0
BLACKROCK MUN TARGET TERM TR COM SHS BEN IN 09257P105 487 20843 SH SOLE 20843 0 0
BLACKSTONE GSO STRATEGIC CR COM SHS BEN IN 09257R101 1245 67110 SH SOLE 67110 0 0
BOEING CO COM 097023105 438 5815 SH SOLE 5815 0 0
BP PLC SPONSORED ADR 055622104 547 13132 SH SOLE 13132 0 0
BRISTOL MYERS SQUIBB CO COM 110122108 738 22646 SH SOLE 22646 0 0
CATERPILLAR INC DEL COM 149123101 2261 25233 SH SOLE 25233 0 0
CERNER CORP COM 156782104 543 7000 SH SOLE 7000 0 0
CHARLES RIV LABS INTL INC COM 159864107 326 8700 SH SOLE 8700 0 0
CHEVRON CORP NEW COM 166764100 3589 33191 SH SOLE 33191 0 0
CHIMERA INVT CORP COM 16934Q109 39 15000 SH SOLE 15000 0 0
CINTAS CORP COM 172908105 705 17233 SH SOLE 17233 0 0
CISCO SYS INC COM 17275R102 515 26200 SH SOLE 26200 0 0
CITIGROUP INC COM NEW 172967424 201 5093 SH SOLE 5093 0 0
CLEAN ENERGY FUELS CORP COM 184499101 311 24995 SH SOLE 24995 0 0
CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 18914E106 213 18104 SH SOLE 18104 0 0
COACH INC COM 189754104 838 15100 SH SOLE 15100 0 0
COCA COLA CO COM 191216100 1064 29350 SH SOLE 29350 0 0
COCA COLA FEMSA S A B DE C V SPON ADR REP L 191241108 1267 8500 SH SOLE 8500 0 0
COHEN & STEERS SLT PFD INCM COM 19248Y107 582 21749 SH SOLE 21749 0 0
CONOCOPHILLIPS COM 20825C104 569 9818 SH SOLE 9818 0 0
CONSOLIDATED EDISON INC COM 209115104 998 17975 SH SOLE 17975 0 0
CORNING INC COM 219350105 440 34900 SH SOLE 34900 0 0
COSTCO WHSL CORP NEW COM 22160K105 385 3900 SH SOLE 3900 0 0
CVS CAREMARK CORPORATION COM 126650100 925 19135 SH SOLE 19135 0 0
CYTORI THERAPEUTICS INC COM 23283K105 91 32350 SH SOLE 32350 0 0
DANAHER CORP DEL COM 235851102 446 7980 SH SOLE 7980 0 0
DEERE & CO COM 244199105 1302 15066 SH SOLE 15066 0 0
DIREXION SHS ETF TR DLY SMCAP BEAR3X 25459W110 162 12000 SH SOLE 12000 0 0
DISNEY WALT CO COM DISNEY 254687106 2129 42751 SH SOLE 42751 0 0
DOLLAR GEN CORP NEW COM 256677105 251 5700 SH SOLE 5700 0 0
DOMINION RES INC VA NEW COM 25746U109 419 8080 SH SOLE 8080 0 0
DOW CHEM CO COM 260543103 218 6750 SH SOLE 6750 0 0
DU PONT E I DE NEMOURS & CO COM 263534109 2541 56490 SH SOLE 56490 0 0
DUFF & PHELPS GLB UTL INC FD COM 26433C105 487 28880 SH SOLE 28880 0 0
DUNKIN BRANDS GROUP INC COM 265504100 315 9500 SH SOLE 9500 0 0
E M C CORP MASS COM 268648102 248 9800 SH SOLE 9800 0 0
EATON CORP PLC SHS G29183103 306 5650 SH SOLE 5650 0 0
EATON VANCE RISK MNGD DIV EQ COM 27829G106 131 12562 SH SOLE 12562 0 0
EATON VANCE TAX MNGD GBL DV COM 27829F108 123 14000 SH SOLE 14000 0 0
ECOLAB INC COM 278865100 1186 16500 SH SOLE 16500 0 0
EDWARDS LIFESCIENCES CORP COM 28176E108 334 3700 SH SOLE 3700 0 0
EMERSON ELEC CO COM 291011104 800 15104 SH SOLE 15104 0 0
EMULEX CORP COM NEW 292475209 154 21050 SH SOLE 21050 0 0
ENTERPRISE PRODS PARTNERS L COM 293792107 363 7251 SH SOLE 7251 0 0
EXXON MOBIL CORP COM 30231G102 8533 98593 SH SOLE 98593 0 0
FEDEX CORP COM 31428X106 633 6900 SH SOLE 6900 0 0
FIRSTENERGY CORP COM 337932107 470 11263 SH SOLE 11263 0 0
FORD MTR CO DEL COM PAR $0.01 345370860 147 11350 SH SOLE 11350 0 0
FREEPORT-MCMORAN COPPER & GO COM 35671D857 233 6825 SH SOLE 6825 0 0
GASTAR EXPL LTD COM NEW 367299203 28 22900 SH SOLE 22900 0 0
GENERAL ELECTRIC CO COM 369604103 4194 199817 SH SOLE 199817 0 0
GENERAL MLS INC COM 370334104 423 10460 SH SOLE 10460 0 0
GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 1164 26770 SH SOLE 26770 0 0
GOOGLE INC CL A 38259P508 286 405 SH SOLE 405 0 0
HARRIS & HARRIS GROUP INC COM 413833104 68 20538 SH SOLE 20538 0 0
HEINZ H J CO COM 423074103 326 5650 SH SOLE 5650 0 0
HERCULES OFFSHORE INC COM 427093109 71 11500 SH SOLE 11500 0 0
HESS CORP COM 42809H107 461 8700 SH SOLE 8700 0 0
HEWLETT PACKARD CO COM 428236103 259 18200 SH SOLE 18200 0 0
HOME DEPOT INC COM 437076102 476 7700 SH SOLE 7700 0 0
HONEYWELL INTL INC COM 438516106 1641 102007 SH SOLE 102007 0 0
INGERSOLL-RAND PLC SHS G47791101 360 7500 SH SOLE 7500 0 0
INTEL CORP COM 458140100 226 10982 SH SOLE 10982 0 0
INTELLICHECK MOBILISA INC COM 45817G102 83 127140 SH SOLE 127140 0 0
INTERNATIONAL BUSINESS MACHS COM 459200101 4346 22686 SH SOLE 22686 0 0
INTERNATIONAL FLAVORS&FRAGRA COM 459506101 772 11600 SH SOLE 11600 0 0
INTUIT COM 461202103 315 5301 SH SOLE 5301 0 0
ISHARES TR MSCI EMERG MKT 464287234 612 13809 SH SOLE 13809 0 0
ISHARES TR IBOXX INV CPBD 464287242 1406 66061 SH SOLE 66061 0 0
ISHARES TR CORE S&P MCP ETF 464287507 376 3702 SH SOLE 3702 0 0
ISHARES TR DJ INTL SEL DIVD 464288448 357 10600 SH SOLE 10600 0 0
JOHNSON & JOHNSON COM 478160104 4615 65838 SH SOLE 65838 0 0
JPMORGAN CHASE & CO COM 46625H100 1626 36982 SH SOLE 36982 0 0
KIMBERLY CLARK CORP COM 494368103 255 3021 SH SOLE 3021 0 0
KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 285 3578 SH SOLE 3578 0 0
LABORATORY CORP AMER HLDGS COM NEW 50540R409 502 5800 SH SOLE 5800 0 0
LAS VEGAS SANDS CORP COM 517834107 380 8222 SH SOLE 8222 0 0
MACYS INC COM 55616P104 1248 31991 SH SOLE 31991 0 0
MARKET VECTORS ETF TR MKTVEC INTMUETF 57060U845 296 12500 SH SOLE 12500 0 0
MARRIOTT INTL INC NEW CL A 571903202 354 9500 SH SOLE 9500 0 0
MASTERCARD INC CL A 57636Q104 418 850 SH SOLE 850 0 0
MCDONALDS CORP COM 580135101 1450 16437 SH SOLE 16437 0 0
MERCK & CO INC NEW COM 58933Y105 6133 149808 SH SOLE 149808 0 0
MICROSOFT CORP COM 594918104 515 19263 SH SOLE 19263 0 0
MONDELEZ INTL INC CL A 609207105 224 8815 SH SOLE 8815 0 0
MONSANTO CO NEW COM 61166W101 267 2825 SH SOLE 2825 0 0
MORGAN STANLEY COM NEW 617446448 199 10412 SH SOLE 10412 0 0
MOSAIC CO NEW COM 61945C103 402 7100 SH SOLE 7100 0 0
NIKE INC CL B 654106103 1182 22900 SH SOLE 22900 0 0
NOVARTIS A G SPONSORED ADR 66987V109 1871 29557 SH SOLE 29557 0 0
NOVO-NORDISK A S ADR 670100205 555 3400 SH SOLE 3400 0 0
NUVEEN INTER DURATION MN TMF COM 670671106 354 23600 SH SOLE 23600 0 0
NUVEEN LG/SHT COMMODITY TOTR COM UT BEN INT 670731108 509 24000 SH SOLE 24000 0 0
NUVEEN PFD & INCOME TERM FD COM 67075A106 785 31960 SH SOLE 31960 0 0
OMNICARE INC COM 681904108 259 7176 SH SOLE 7176 0 0
ORACLE CORP COM 68389X105 1226 36800 SH SOLE 36800 0 0
PEPCO HOLDINGS INC COM 713291102 551 28100 SH SOLE 28100 0 0
PEPSICO INC COM 713448108 1060 15487 SH SOLE 15487 0 0
PFIZER INC COM 717081103 340 13548 SH SOLE 13548 0 0
PHILIP MORRIS INTL INC COM 718172109 917 10961 SH SOLE 10961 0 0
PIMCO ETF TR INTER MUN BD ST 72201R866 816 15000 SH SOLE 15000 0 0
POTASH CORP SASK INC COM 73755L107 294 7214 SH SOLE 7214 0 0
PPL CORP COM 69351T106 784 27400 SH SOLE 27400 0 0
PROCTER & GAMBLE CO COM 742718109 1566 23065 SH SOLE 23065 0 0
PROSHARES TR PSHS ULTSH 20YRS 74347B201 308 4850 SH SOLE 4850 0 0
PUBLIC SVC ENTERPRISE GROUP COM 744573106 253 8270 SH SOLE 8270 0 0
QUALCOMM INC COM 747525103 518 8370 SH SOLE 8370 0 0
ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 2009 29135 SH SOLE 29135 0 0
SANOFI SPONSORED ADR 80105N105 824 17400 SH SOLE 17400 0 0
SCANA CORP NEW COM 80589M102 403 8833 SH SOLE 8833 0 0
SCHLUMBERGER LTD COM 806857108 2193 31640 SH SOLE 31640 0 0
SHERWIN WILLIAMS CO COM 824348106 715 4650 SH SOLE 4650 0 0
SIRIUS XM RADIO INC COM 82967N108 32 11000 SH SOLE 11000 0 0
SOUTHERN CO COM 842587107 1434 33500 SH SOLE 33500 0 0
SPDR GOLD TRUST GOLD SHS 78463V107 817 5041 SH SOLE 5041 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 887 6225 SH SOLE 6225 0 0
SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 184 12950 SH SOLE 12950 0 0
STAR SCIENTIFIC INC COM 85517P101 47 17600 SH SOLE 17600 0 0
STARWOOD HOTELS&RESORTS WRLD COM 85590A401 356 6215 SH SOLE 6215 0 0
STONE HBR EMERG MRKTS INC FD COM 86164T107 442 17859 SH SOLE 17859 0 0
SYNTHESIS ENERGY SYS INC COM 871628103 27 25045 SH SOLE 25045 0 0
TARGET CORP COM 87612E106 1299 21950 SH SOLE 21950 0 0
TELEFLEX INC COM 879369106 570 8000 SH SOLE 8000 0 0
TIFFANY & CO NEW COM 886547108 2489 43400 SH SOLE 43400 0 0
TIME WARNER CABLE INC COM 88732J207 243 2500 SH SOLE 2500 0 0
TOTAL S A SPONSORED ADR 89151E109 1027 19750 SH SOLE 19750 0 0
TOWERSTREAM CORP COM 892000100 60 18400 SH SOLE 18400 0 0
UNILEVER N V N Y SHS NEW 904784709 372 9725 SH SOLE 9725 0 0
UNITED PARCEL SERVICE INC CL B 911312106 1537 20850 SH SOLE 20850 0 0
UNITED TECHNOLOGIES CORP COM 913017109 3727 45450 SH SOLE 45450 0 0
UNITEDHEALTH GROUP INC COM 91324P102 1128 20800 SH SOLE 20800 0 0
VANGUARD BD INDEX FD INC INTERMED TERM 921937819 812 9200 SH SOLE 9200 0 0
VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 2462 30400 SH SOLE 30400 0 0
VERIZON COMMUNICATIONS INC COM 92343V104 749 17319 SH SOLE 17319 0 0
VERMILLION INC COM NEW 92407M206 51 38500 SH SOLE 38500 0 0
VISA INC COM CL A 92826C839 221 1457 SH SOLE 1457 0 0
W P CAREY INC COM 92936U109 845 16207 SH SOLE 16207 0 0
WALGREEN CO COM 931422109 2228 60200 SH SOLE 60200 0 0
WAL-MART STORES INC COM 931142103 374 5485 SH SOLE 5485 0 0
WASTE MGMT INC DEL COM 94106L109 1488 44110 SH SOLE 44110 0 0
WELLS FARGO & CO NEW COM 949746101 566 16564 SH SOLE 16564 0 0
WINDSTREAM CORP COM 97381W104 85 10286 SH SOLE 10286 0 0
XCEL ENERGY INC COM 98389B100 227 8500 SH SOLE 8500 0 0
ZYNGA INC CL A 98986T108 132 56100 SH SOLE 56100 0 0