0001140361-12-046997.txt : 20121114
0001140361-12-046997.hdr.sgml : 20121114
20121114084457
ACCESSION NUMBER: 0001140361-12-046997
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: Bollard Group LLC
CENTRAL INDEX KEY: 0001556218
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-15049
FILM NUMBER: 121201114
BUSINESS ADDRESS:
STREET 1: ONE JOY STREET
CITY: BOSTON
STATE: MA
ZIP: 02108
BUSINESS PHONE: 617-720-5800
MAIL ADDRESS:
STREET 1: ONE JOY STREET
CITY: BOSTON
STATE: MA
ZIP: 02108
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: The Bollard Group LLC
Address: One Joy Street
Boston, MA 02108
Form 13F File Number: 028-15049
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: Anastasios Parafestas
Title: Managing Member and Chief Executive Officer
Phone: 617-720-5800
Signature, Place, and Date of Signing:
/s/ Anastasios Parafestas Boston, MA 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:
13F File Number Name
00-00000
--------------- ---------------------------------------------------------------
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 1
Form 13F Information Table Entry Total: 137
Form 13F Information Table Value Total: $ 507,631
--------------
(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.
No. Form 13F File Number Name
1. 028-15050 Anastasios Parafestas
---- -------------------- ----------------------------------------------------
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
------------------------------- -------------- --------- --------- ------------ --- ---- ---------- -------- ---- ------------- ----
3M Co (mmm) COM 88579y101 346.20 3746.000 SH DEFINED 1 0 3,746.00 0
Advisory Board Co (abco) COM 00762w107 1,434.90 30000.000 SH DEFINED 1 0 30,000.00 0
AGL Resources Inc (gas) COM 001204106 2,080.35 50852.000 SH DEFINED 1 0 50,852.00 0
Altria Group Inc (mo) COM 02209s103 2,727.79 81695.000 SH DEFINED 1 0 81,695.00 0
Amazon.com Inc (amzn) COM 023135106 453.45 1783.000 SH DEFINED 1 0 1,783.00 0
American Electric Power Inc COM 025537101 10,066.00 229081.000 SH DEFINED 1 0 229,081.00 0
(aep)
Ancestry.com Inc (acom) COM 032803108 768.57 25551.000 SH DEFINED 1 0 25,551.00 0
Apple Inc (aapl) COM 037833100 800.53 1200.000 SH DEFINED 1 0 1,200.00 0
AT&T Inc (t) COM 00206r102 13,740.19 364471.000 SH DEFINED 1 0 364,471.000 0
Bank of America Corporation COM 060505104 232.93 26380.000 SH DEFINED 1 0 26,380.000 0
(bac)
Barclays Bank PLC iPath S&P ETF 06740c261 3,373.62 374847.000 SH DEFINED 1 0 374,847.00 0
VIX (06740c261)
Baxter Intl Inc (bax) COM 071813109 463.71 7694.000 SH DEFINED 1 0 7,694.00 0
BCE Inc (bce) COM 05534b760 3,722.73 84723.000 SH DEFINED 1 0 84,723.00 0
Boston Scientific Corp (bsx) COM 101137107 58,479.64 10188057.000 SH DEFINED 1 0 10,188,057.00 0
BP PLC Sp ADR (bp) ADR 055622104 4,423.48 104426.000 SH DEFINED 1 0 104,426.00 0
Breitburn Energy Partners LP COM UNIT LP 106776107 971.95 50023.000 SH DEFINED 1 0 50,023.00 0
(bbep)
Bristol-Myers Squibb Co (bmy) COM 110122108 4,642.82 137565.000 SH DEFINED 1 0 137,565.000
Buckeye Partners LP (bpl) COM UNIT LP 118230101 6,688.93 139023.000 SH DEFINED 1 0 139,023.00 0
Caterpillar Inc (cat) COM 149123101 418.93 4869.000 SH DEFINED 1 0 4,869.00 0
Centurylink Inc (ctl) COM 156700106 3,450.89 85418.000 SH DEFINED 1 0 85,418.00 0
Chevron Corp (cvx) COM 166764100 6,440.29 55253.000 SH DEFINED 1 0 55,253.000 0
Church & Dwight Inc (chd) COM 171340102 269.95 5000.000 SH DEFINED 1 0 5,000.00 0
Cincinnati Financial Corp COM 172062101 1,029.57 27187.000 SH DEFINED 1 0 27,187.00 0
(cinf)
Clorox Co (clx) COM 189054109 292.88 4065.000 SH DEFINED 1 0 4,065.00 0
Coca-Cola Co (ko) COM 191216100 282.37 7444.570 SH DEFINED 1 0 7,444.57 0
Colgate Palmolive Co (cl) COM 194162103 353.82 3300.000 SH DEFINED 1 0 3,300.00 0
Compania de Minas Buenaventura ADR 204448104 623.36 16000.000 SH DEFINED 1 0 16,000.00
Sp ADR (bvn)
ConocoPhillips (cop) COM 20825c104 4,417.21 77251.000 SH DEFINED 1 0 77,251.00 0
CPFL Energia SA Sp ADR (cpl) ADR 126153105 700.66 31979.000 SH DEFINED 1 0 31,979.00 0
CVS Caremark Corporation (cvs) COM 126650100 228.25 4714.000 SH DEFINED 1 0 4,714.00 0
Douglas Emmett Inc (dei) COM 25960p109 1,304.17 56531.000 SH DEFINED 1 0 56,531.00 0
Dow Chemical Co (dow) COM 260543103 989.25 34165.000 SH DEFINED 1 0 34,165.000 0
Duke Energy Corp (duk) COM 26441c105 6,593.70 101770.340 SH DEFINED 1 0 101,770.340 0
Duke Realty Corp (dre) COM 264411505 1,310.28 89135.000 SH DEFINED 1 0 89,135.00 0
Eagle Rock Energy Partners LP COM UNIT LP 26985r104 168.47 17622.370 SH DEFINED 1 0 17,622.37
(eroc)
ECA Marcellus Tr I Unit (ect) COM UNIT LP 26827l109 199.86 10307.490 SH DEFINED 1 0 10,307.49 0
El Paso Pipeline Partners LP COM UNIT LP 283702108 3,487.85 93709.000 SH DEFINED 1 0 93,709.00 0
(epb)
Enbridge Energy Management LLC COM UNIT LP 29250x103 15,994.22 505186.970 SH DEFINED 1 0 505,186.97 0
(eeq)
Encana Corp (eca) COM 292505104 341.91 15598.180 SH DEFINED 1 0 15,598.18 0
Energy Transfer Partners LP COM UNIT LP 29273r109 4,782.27 112339.000 SH DEFINED 1 0 112,339.00 0
(etp)
Enterprise Products Partners COM UNIT LP 293792107 22,303.60 416112.000 SH DEFINED 1 0 416,112.00 0
LP (epd)
EQT Corp (eqt) COM 26884l109 414.70 7028.870 SH DEFINED 1 0 7,028.87 0
Equinix Inc (eqix) COM 29444u502 412.10 2000.000 SH DEFINED 1 0 2,000.00 0
EV Energy Partners LP (evep) COM UNIT LP 26926v107 566.90 9125.930 SH DEFINED 1 0 9,125.93 0
Exelon Corp (exc) COM 30161n101 2,269.15 63776.000 SH DEFINED 1 0 63,776.00 0
Exxon Mobil Corp (xom) COM 30231g102 1,578.06 17256.030 SH DEFINED 1 0 17,256.03
Fifth Third Bancorp (fitb) COM 316773100 313.71 20233.000 SH DEFINED 1 0 20,233.00 0
FirstEnergy Corp (fe) COM 337932107 2,073.76 47024.000 SH DEFINED 1 0 47,024.00 0
Franklin Street Properties COM 35471r106 884.65 79914.000 SH DEFINED 1 0 79,914.00 0
Corp (fsp)
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
------------------------------- -------------- --------- --------- ------------ --- ---- ---------- -------- ---- ------------- ----
Freeport-McMoran Copper & Gold COM 35671d857 399.12 10084.000 SH DEFINED 1 0 10,084.00 0
(fcx)
Gallagher Arthur J & Co (ajg) COM 363576109 1,234.32 34459.000 SH DEFINED 1 0 34,459.00 0
Gartner Inc (it) COM 366651107 1,769.44 38391.000 SH DEFINED 1 0 38,391.00 0
General Electric Co (ge) COM 369604103 6,122.16 269580.000 SH DEFINED 1 0 269,580.00 0
Goldman Sachs Group Inc (gs) COM 38141g104 341.04 3000.000 SH DEFINED 1 0 3,000.00 0
Google Inc Cl A (goog) COM 38259p508 754.50 1000.000 SH DEFINED 1 0 1,000.00 0
HCP Inc (hcp) COM 40414l109 1,359.71 30569.000 SH DEFINED 1 0 30,569.00 0
Health Care REIT Inc (hcn) COM 42217k106 1,984.75 34374.000 SH DEFINED 1 0 34,374.00 0
Hess Corp (hes) COM 42809h107 524.22 9758.390 SH DEFINED 1 0 9,758.39 0
Hewlett Packard Co (hpq) COM 428236103 204.58 11992.000 SH DEFINED 1 0 11,992.00 0
Holly Energy Partners LP (hep) COM UNIT LP 435763107 5,629.38 84716.000 SH DEFINED 1 0 84,716.00 0
Home Depot Inc (hd) COM 437076102 202.18 3349.000 SH DEFINED 1 0 3,349.00 0
Innophos Holdings Inc (iphs) COM 45774n108 1,899.01 39163.000 SH DEFINED 1 0 39,163.00 0
International Business COM 459200101 456.39 2200.000 SH DEFINED 1 0 2,200.00 0
Machines (ibm)
Johnson & Johnson (jnj) COM 478160104 976.68 14173.300 SH DEFINED 1 0 14,173.30 0
JPMorgan Chase & Co (jpm) COM 46625h100 5,207.99 128656.000 SH DEFINED 1 0 128,656.00 0
KBR Inc (kbr) COM 48242W106 202.78 6800.000 SH DEFINED 1 0 6,800.00 0
Keppel Ltd Sp ADR (kpely) ADR 492051305 688.51 37044.000 SH DEFINED 1 0 37,044.00 0
KeyCorp (key) COM 493267108 548.62 62772.000 SH DEFINED 1 0 62,772.00 0
Kimberly Clark Corp (kmb) COM 494368103 349.55 3130.000 SH DEFINED 1 0 3,130.00 0
Kinder Morgan Energy Partners COM UNIT LP 494550106 2,985.59 36189.000 SH DEFINED 1 0 36,189.00 0
LP (kmp)
Kinder Morgan Management LLC COM 49456B101 14,499.37 189782.310 SH DEFINED 1 0 189,782.31 0
(kmr)
Lilly Eli & Co (lly) COM 532457108 11,514.57 242872.130 SH DEFINED 1 0 242,872.130 0
Linn Energy LLC Unit Ltd Liab COM UNIT LP 536020100 417.77 10130.230 SH DEFINED 1 0 10,130.23 0
(line)
Lockheed Martin Corp (lmt) COM 539830109 342.24 3665.000 SH DEFINED 1 0 3,665.00
Lorillard Inc (lo) COM 544147101 2,448.94 21030.000 SH DEFINED 1 0 21,030.00 0
Magellan Midstream Partners LP COM UNIT LP 559080106 11,187.45 127915.000 SH DEFINED 1 0 127,915.00 0
(mmp)
MarkWest Energy Partners LP COM UNIT LP 570759100 4,846.05 89049.000 SH DEFINED 1 0 89,049.00 0
(mwe)
Mattel Inc (mat) COM 577081102 376.94 10627.000 SH DEFINED 1 0 10,627.00 0
McDonalds Corp (mcd) COM 580135101 526.10 5734.020 SH DEFINED 1 0 5,734.02 0
Merck & Co Inc (mrk) COM 58933y105 3,604.44 79930.000 SH DEFINED 1 0 79,930.00 0
Microsoft Corp (msft) COM 594918104 866.85 29128.000 SH DEFINED 1 0 29,128.00 0
ModusLink Global Solutions Inc COM 60786L107 296.68 80400.000 SH DEFINED 1 0 80,400.00 0
(mlnk)
Morgan Stanley (ms) COM 617446448 1,997.60 119331.000 SH DEFINED 1 0 119,331.00 0
Multimedia Games Holding Co COM 625453105 387.30 24622.000 SH DEFINED 1 0 24,622.00 0
Inc (mgam)
National Retail Properties Inc COM 637417106 1,315.01 43115.000 SH DEFINED 1 0 43,115.00 0
(nnn)
NextEra Energy Inc (nee) COM 65339f101 9,521.77 135387.000 SH DEFINED 1 0 135,387.00 0
NiSource Inc (ni) COM 65473p105 1,377.50 54062.000 SH DEFINED 1 0 54,062.00 0
Norfolk Southern Corp (nsc) COM 655844108 254.52 4000.000 SH DEFINED 1 0 4,000.00 0
Occidental Petroleum Corp COM 674599105 860.60 10000.000 SH DEFINED 1 0 10,000.00 0
(oxy)
Oneok Partners LP (oks) COM UNIT LP 68268n103 10,843.16 182238.000 SH DEFINED 1 0 182,238.00 0
Oracle Corp (orcl) COM 68389x105 496.53 15783.000 SH DEFINED 1 0 15,783.00 0
P T Pasifik Satelit Nusantara ADR 69365q106 0.00 534504.000 SH DEFINED 1 0 534,504.00 0
Sp ADR (psnry)
Pepco Holdings Inc (pom) COM 713291102 950.82 50308.000 SH DEFINED 1 0 50,308.00 0
PepsiCo Inc (pep) COM 713448108 945.91 13366.000 SH DEFINED 1 0 13,366.00 0
Pfizer Inc (pfe) COM 717081103 843.38 33939.000 SH DEFINED 1 0 33,939.00 0
Philip Morris Intl Inc (pm) COM 718172109 5,469.79 60816.000 SH DEFINED 1 0 60,816.00 0
Phillips 66 (psx) COM 718546104 1,778.71 38359.000 SH DEFINED 1 0 38,359.00 0
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
------------------------------- -------------- --------- --------- ------------ --- ---- ---------- -------- ---- ------------- ----
Plains All American Pipeline COM UNIT LP 726503105 19,477.99 220839.000 SH DEFINED 1 0 220,839.00 0
LP (paa)
Plum Creek Timber Co Inc (pcl) COM 729251108 6,211.34 141682.000 SH DEFINED 1 0 141,682.00 0
PPL Corp (ppl) COM 69351t106 7,587.45 261186.000 SH DEFINED 1 0 261,186.00 0
Praxair Inc (px) COM 74005p104 225.00 2166.000 SH DEFINED 1 0 2,166.00 0
ProShares Trust Short S&P 500 ETF 74347r503 23,965.23 703205.000 SH DEFINED 1 0 703,205.00 0
(sh)
ProShares Trust UltraShort S&P ETF 74347r883 18,856.35 1383445.000 SH DEFINED 1 0 1,383,445.00 0
500 (74347r883)
Public Service Enterprise COM 744573106 4,489.95 139526.000 SH DEFINED 1 0 139,526.00 0
Group (peg)
Qualcomm Inc (qcom) COM 747525103 430.92 6898.000 SH DEFINED 1 0 6,898.00 0
Range Resources Corp (rrc) COM 75281a109 489.38 7004.120 SH DEFINED 1 0 7,004.12 0
Rayonier Inc (ryn) COM 754907103 12,489.56 254837.000 SH DEFINED 1 0 254,837.00 0
Regency Energy Partners LP COM UNIT LP 75885y107 3,344.72 143427.000 SH DEFINED 1 0 143,427.00 0
(rgp)
Royal Dutch Shell PLC Sp ADR A ADR 780259206 7,252.72 104491.000 SH DEFINED 1 0 104,491.00 0
(rdsa)
Schlumberger Ltd (slb) COM 806857108 333.66 4613.000 SH DEFINED 1 0 4,613.00 0
Seadrill Limited (sdrl) COM g7945e105 6,753.37 172192.000 SH DEFINED 1 0 172,192.00 0
Select Sector SPDR Tr SBI ETF 81369y506 660.91 9000.000 SH DEFINED 1 0 9,000.00 0
Energy (xle)
Senior Housing Properties COM 81721m109 1,002.16 46013.000 SH DEFINED 1 0 46,013.00 0
Trust (snh)
Southern Co (so) COM 842587107 2,701.10 58605.000 SH DEFINED 1 0 58,605.00 0
Southern Copper Corp (scco) COM 84265v105 10,207.08 297063.000 SH DEFINED 1 0 297,063.00 0
Spectra Energy Corp (se) COM 847560109 3,720.73 126728.000 SH DEFINED 1 0 126,728.00 0
Spectra Energy Partners LP COM UNIT LP 84756n109 3,322.67 104388.000 SH DEFINED 1 0 104,388.00 0
(sep)
Stag Industrial Inc (stag) COM 85254j102 180.29 11088.000 SH DEFINED 1 0 11,088.00 0
Stanley Black & Decker Inc COM 854502101 3,429.95 44983.000 SH DEFINED 1 0 44,983.00 0
(swk)
State Street Corp (stt) COM 857477103 209.80 5000.000 SH DEFINED 1 0 5,000.00 0
Targa Resources Corp (trgp) COM 87612g101 330.12 6557.850 SH DEFINED 1 0 6,557.85 0
Targa Resources Partners LP COM UNIT LP 87612G101 296.73 6920.000 SH DEFINED 1 0 6,920.00 0
(ngls)
TC Pipelines LP (tcp) COM UNIT LP 87233q108 5,560.85 123164.000 SH DEFINED 1 0 123,164.00 0
Teekay LNG Partners LP (tgp) COM UNIT LP y8564m105 4,139.40 110032.000 SH DEFINED 1 0 110,032.00 0
Tyco International Ltd (tyc) COM h89128104 2,698.90 47972.000 SH DEFINED 1 0 47,972.00 0
Union Pacific Corp (unp) COM 907818108 339.72 2862.000 SH DEFINED 1 0 2,862.00 0
United Technologies Corp (utx) COM 913017109 709.46 9062.000 SH DEFINED 1 0 9,062.00 0
US Bancorp Del (usb) COM 902973304 4,491.07 130935.000 SH DEFINED 1 0 130,935.00 0
Verizon Communications Inc COM 92343v104 13,699.12 300617.000 SH DEFINED 1 0 300,617.00 0
(vz)
Vodafone Group PLC Sp ADR ADR 92857w209 3,598.27 126255.000 SH DEFINED 1 0 126,255.00 0
(vod)
Wal-Mart Stores Inc (wmt) COM 931142103 852.24 11548.000 SH DEFINED 1 0 11,548.00 0
Wells Fargo & Co (wfc) COM 949746101 416.98 12076.000 SH DEFINED 1 0 12,076.00 0
Western Gas Partners LP (wes) COM UNIT LP 958254104 508.36 10084.430 SH DEFINED 1 0 10,084.43 0
Westpac Banking Corp Sp ADR ADR 961214301 8,178.34 63729.000 SH DEFINED 1 0 63,729.00 0
(wbk)
Weyerhaeuser Co (wy) COM 962166104 452.67 17317.000 SH DEFINED 1 0 17,317.00 0
Williams Partners LP (wpz) COM UNIT LP 96950f104 582.24 10648.160 SH DEFINED 1 0 10,648.16 0
Windstream Corp (win) COM 97381w104 1,709.75 169450.000 SH DEFINED 1 0 169,450.00 0