0000732857-11-000011.txt : 20111028 0000732857-11-000011.hdr.sgml : 20111028 20111028152758 ACCESSION NUMBER: 0000732857-11-000011 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111028 DATE AS OF CHANGE: 20111028 EFFECTIVENESS DATE: 20111028 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GLICKENHAUS & CO CENTRAL INDEX KEY: 0000732857 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 131936873 STATE OF INCORPORATION: NY FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-00654 FILM NUMBER: 111165102 BUSINESS ADDRESS: STREET 1: 546 FIFTH AVENUE STREET 2: 7TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036-5000 BUSINESS PHONE: 212-953-7800 MAIL ADDRESS: STREET 1: 546 FIFTH AVENUE STREET 2: 7TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036-5000 13F-HR 1 f093011.txt FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2011 Institutional Investment Manager Filing this Report: NAME: Glickenhaus & Co. ADDRESS: 546 Fifth Avenue New York, NY 10036 13F File Number: 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: Linda Anderson Title: Director and Principal Phone: 212-953-7872 Signature, Place, and Date of Signing: Linda Anderson New York, NY October 28, 2011 Report Type Type: [X] 13F HOLDINGS REPORT [ ] 13F NOTICE [ ] 13F COMBINATION REPORT List of Other Managers Reporting for this Manager: I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE REPORT SUMMARY: NUMBER OF OTHER INCLUDED MANAGERS: 0 FORM 13F INFORMATION TABLE ENTRY TOTAL: 289 FORM 13F INFORMATION TABLE VALUE TOTAL: $741,581,000 LIST OF OTHER INCLUDED MANAGERS: NO. 13F FILE NUMBER NAME 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 100,000THS ENBRIDGE ENERGY MGT COM CKC50X106 0 99459 SH SOLE 0 0 99459 ABBOTT LABS COM 002824100 11799 230723 SH SOLE 192904 0 37819 AIG 4.250% 09/15/14 CORPORATE BONDS 026874CA3 632 650000 PRN DEFINED 400000 100000 150000 AL AG & MECH UNIV 5.000% 11/01 MUNICIPAL BONDS 010230KX7 453 450000 PRN SOLE 400000 0 50000 ALCOA, INC. COM 013817101 11348 1185738 SH SOLE 1038427 0 147311 AMERIGAS PART 6.25 08/20/19 CORPORATE BONDS 030981AG9 383 400000 PRN SOLE 400000 0 0 AMGEN INC COM 031162100 8299 151000 SH SOLE 123500 0 27500 AMR CORP DEL COM 001765106 277 93500 SH SOLE 85150 0 8350 ANADARKO PETE CODTD 09/19/0 5. CORPORATE BONDS 032511AX5 219 200000 PRN SOLE 200000 0 0 ANADARKO PETE CORP COM 032511107 3300 52340 SH DEFINED 46200 540 5600 ANADARKO PETRO 7.625% 03/15/14 CORPORATE BONDS 032511BD8 2113 1880000 PRN SOLE 1765000 0 115000 AON CORP COM COM 037389103 1717 40900 SH SOLE 33100 0 7800 APPLE COMPUTER INC COM 037833100 210 550 SH SOLE 550 0 0 ARCELORMITTAL STEEL 6.125% 06/ CORPORATE BONDS 03938LAF1 676 700000 PRN SOLE 600000 0 100000 ASTRATA GROUP INC COM COM 04634R106 0 76435 SH SOLE 76435 0 0 ATLANTA GA TAX ALLOC 5.000% 12 MUNICIPAL BONDS 047849CD4 216 200000 PRN SOLE 200000 0 0 AURORA OIL & GAS CORP COM COM 052036100 3 254700 SH SOLE 254700 0 0 AVERY DENNISON CORP COM 053611109 1495 59600 SH SOLE 56800 0 2800 AXIS CAPITAL HLDGS LTD COM G0692U109 6613 254940 SH SOLE 221842 0 33098 B A S F A G SPONSORED ADR COM 055262505 377 6100 SH SOLE 5900 0 200 BANK OF AMERICA COM 060505104 8831 1443036 SH SOLE 1256225 0 186811 BANK OF AMERICA CORPORATION 7. PREFERRED STOCKS 060505682 213 278 SH SOLE 18 0 260 BANK OF NEW YORK MELLON CORPOR COM 064058100 354 19057 SH SOLE 19057 0 0 BEAZER HOMES USA INC COM 07556Q105 49 32700 SH SOLE 31900 0 800 BELL CAL COP 5.00 09/01/23 MUNICIPAL BONDS 07786EBR4 245 245000 PRN SOLE 245000 0 0 BERKSHIRE HATHAWDTD 08/15/1 2. CORPORATE BONDS 084670BB3 503 500000 PRN DEFINED 0 500000 0 BLACK RAVEN ENERGY, INC. COM 092164102 0 30469 SH SOLE 30469 0 0 BLACK RAVEN WTS. @ 2.50 EXP.12 WARRANT AND RIGH 999999999 0 30469 SH SOLE 30469 0 0 BOARDWALK PIPELINE PART. COM 096627104 5030 196188 SH SOLE 182275 0 13913 BP P L C SPONSORED ADR COM 055622104 399 11065 SH DEFINED 425 3000 7640 BP PRUDHOE BAY RTY TR UNIT BEN COM 055630107 2397 22749 SH SOLE 16462 0 6287 CABOT OIL & GAS CORP COM 127097103 2306 37248 SH SOLE 22400 0 14848 CALIFORNIA ST RFDG 5.250% 10/0 MUNICIPAL BONDS 130628V98 225 225000 PRN SOLE 225000 0 0 CALUMET SPECIALTY PRODS PTNRUT COM 131476103 207 12200 SH SOLE 11500 0 700 CAPE CORAL FL WTR & SWR BAN 6. MUNICIPAL BONDS 139372NR3 200 200000 PRN SOLE 200000 0 0 CAPLEASE INC PFD SER A PREFERRED STOCKS 140288200 385 16500 SH SOLE 500 0 16000 CASE NEW HOLLAND 7.75 09/01/13 CORPORATE BONDS 147446AP3 313 300000 PRN SOLE 300000 0 0 CHESAPEAKE ENERGY CORP COM 165167107 208 8150 SH SOLE 7850 0 300 CHEVRONTEXACO CORPORATION COM 166764100 1010 10908 SH DEFINED 7861 2900 147 CHINA AGRITECH INC COM NEW COM 16937A200 181 312930 SH SOLE 287530 0 25400 CHUBB CORP COM 171232101 931 15523 SH SOLE 14575 0 948 CIT GRP 7.00 05/01/16 CORPORATE BONDS 125581FW3 1334 1375534 PRN SOLE 1050534 0 325000 CITIZENS PPTY INS FL 4.000% 06 MUNICIPAL BONDS 176553EM3 1013 975000 PRN SOLE 850000 0 125000 CNOOC LTD SPONSORED ADR COM 126132109 753 4700 SH SOLE 4600 0 100 COMCAST CORP CL A SPL COM 20030N200 541 26092 SH SOLE 22950 0 3142 COMPTON CA REDEV 5.000% 08/01/ MUNICIPAL BONDS 204712HF3 293 300000 PRN SOLE 300000 0 0 CONOCOPHILLIPS COM COM 20825C104 472 7459 SH SOLE 5129 0 2330 CONSTELLATION ENERGY PARTNER COM 21038E101 187 67333 SH SOLE 55233 0 12100 CORNING INC COM 219350105 151 12244 SH SOLE 2000 0 10244 COVANTA HLDG CORP COM 22282E102 1595 105000 SH SOLE 88000 0 17000 CT 5.000% 11/01/14 MUNICIPAL BONDS 20772GT73 283 250000 PRN SOLE 250000 0 0 CVR PARTNERS, LP COM 126633106 5367 228100 SH SOLE 208900 0 19200 D R HORTON INC COM 23331A109 1020 112820 SH SOLE 91344 0 21476 DELAWARE CNTY PA IDA PECO 4.00 MUNICIPAL BONDS 246015BL4 207 200000 PRN SOLE 200000 0 0 DENBURY RES INC COM 247916208 2032 176703 SH SOLE 159003 0 17700 DEVON ENERGY CORP COM 25179M103 13536 244154 SH SOLE 213499 0 30655 DHT MARITIME,INC COM Y2065G105 1201 588774 SH SOLE 419922 0 168852 DIANA CONTAINERSHIPS INC COM COM Y2069P101 113 24671 SH SOLE 8044 0 16627 DIANA SHIPPING INC COM Y2066G104 2057 277217 SH SOLE 237375 0 39842 DOW CHEMICAL CORP COM 260543103 8941 398064 SH SOLE 349746 0 48318 DREYFUS STRATEGIC MUN BD FD CO MUNICIPAL BOND F 26202F107 342 40000 SH SOLE 40000 0 0 DU PONT E I DE NEMOURS CO COM 263534109 1212 30325 SH SOLE 29700 0 625 DUKE ENERGY CORP COM 26441C105 1505 75308 SH SOLE 70708 0 4600 DUPONT FABROS TECHNOLOGY INC. COM 26613Q106 839 42600 SH SOLE 41500 0 1100 DUTCHESS CNTY NY IDA BARD C 5. MUNICIPAL BONDS 267041FT3 379 350000 PRN SOLE 250000 0 100000 EDGAR ONLINE INC COM COM 279765101 109 182096 SH SOLE 8300 0 173796 ENBRIDGE ENERGY PARTNERS L PCO COM 29250R106 4930 179456 SH SOLE 171656 0 7800 ENCORE ENERGY LP COM 29257A106 10204 545070 SH SOLE 487221 0 57849 ENERGY TRANSFER PARTNERS COM 29273R109 22862 557470 SH SOLE 493260 0 64210 ENERPLUS CORPORATION COM 292766102 12361 503711 SH SOLE 453523 0 50188 ENSCO INTERNATIONAL SPONS ADR COM 29358Q109 4531 112079 SH SOLE 101379 0 10700 ENTERPRISE PRODS PART. COM 293792107 59460 1480956 SH SOLE 1351535 0 129421 EOG RESOURCES INC. COM 26875P101 5525 77802 SH SOLE 66802 0 11000 EQUAL ENERGY LTD COM 29390Q109 340 78078 SH SOLE 73066 0 5012 ERIE CNTY NY 5.250% 04/01/16 MUNICIPAL BONDS 295084CN5 375 335000 PRN SOLE 200000 0 135000 ESCROW ATLAS ENERGY SPECIAL SITUATIO 049ESC106 0 203570 SH SOLE 185357 0 18213 EVOLUTION PETROLEUM CORP COM COM 30049A107 173 24501 SH SOLE 24501 0 0 EXCEL MARITIME CARRIERS LTD CO COM V3267N107 1063 510992 SH SOLE 409532 0 101460 EXXON CORPORATION COM 30231G102 1551 21357 SH DEFINED 8082 4200 9075 E-470 PPUB HWY COLO 5.750% 09/ MUNICIPAL BONDS 26822LAD6 331 315000 PRN SOLE 115000 0 200000 FIRST INTERSTATE BANK SYSTEMS COM 32055Y201 352 32900 SH SOLE 30600 0 2300 FL DEPT OF CHILD 5.00% 04/01/1 MUNICIPAL BONDS 34160EBQ6 254 250000 PRN SOLE 250000 0 0 FL MUN LN COUNCIL 5.250% 11/01 MUNICIPAL BONDS 342815GF8 475 470000 PRN SOLE 470000 0 0 FL MUN PWR 5.000% 10/01/13 MUNICIPAL BONDS 342816WP6 214 200000 PRN SOLE 200000 0 0 FORD MTR CO DEL COM PAR $0.00 COM 345370860 1690 174800 SH DEFINED 155800 800 18200 FORD MTR CR CO DTD 10/25/0 7.2 CORPORATE BONDS 345397TY9 250 250000 PRN SOLE 250000 0 0 FOREST OIL CORP COM PAR $0.01 COM 346091705 173 12000 SH SOLE 12000 0 0 FORTESCUE METALS GROUP FOREIGN COMMON S Q39360104 19104 4447350 SH DEFINED 4167900 1600 277850 FREEPORT MCMORAN COPPER&GOLDCL COM 35671D857 2371 77850 SH SOLE 67650 0 10200 GENERAL ELEC CO COM 369604103 6110 401424 SH DEFINED 317076 3000 81348 GENERAL MARITIME COM Y2693R101 12 46900 SH SOLE 45560 0 1340 GIBRALTAR INDUSTRIES INC COM 374689107 1157 142511 SH SOLE 141111 0 1400 GLOBAL GEOPHYSICAL SERV. COM 37946S107 1207 151412 SH SOLE 136612 0 14800 GLOBE SPECIALTY METALS INC COM COM 37954N206 247 17000 SH SOLE 17000 0 0 GRAFTECH INTL LTD COM COM 384313102 1499 118000 SH DEFINED 106100 200 11700 GULF COAST TX WSTE DISP 5.000% MUNICIPAL BONDS 401905BV5 206 190000 PRN SOLE 190000 0 0 HARRIS CNTY TX MTA 4.000% 11/0 MUNICIPAL BONDS 41421NAH7 219 200000 PRN SOLE 200000 0 0 HARTFORD FINL SVCS GROUP INC COM 416515104 1225 75900 SH SOLE 72000 0 3900 HEWLETT PACKARD CO COM 428236103 8264 368092 SH SOLE 299520 0 68572 HOLYOKE MA 5.000% 06/15/15 MUNICIPAL BONDS 4367043J7 219 200000 PRN SOLE 175000 0 25000 HONEYWELL INTERNATIONAL, INC. COM 438516106 452 10300 SH SOLE 9900 0 400 HUNTSVILLE AL PUB ED BLDG 5.65 MUNICIPAL BONDS 447156AK6 247 320000 PRN SOLE 320000 0 0 I B M COM 459200101 20000 114370 SH SOLE 90452 0 23918 ICAHN ENTERPRISES 8.000% 01/15 CORPORATE BONDS 451102AH0 996 1000000 PRN SOLE 850000 0 150000 ILLINOIS FIN AUTH REV PROVE 5. MUNICIPAL BONDS 45200FT82 218 200000 PRN SOLE 200000 0 0 INDO MINES, LTD. FOREIGN COMMON S XR6068347 278 650000 SH SOLE 650000 0 0 INERGY L P COM 456615103 5754 229988 SH SOLE 218517 0 11471 INGERSOLL RAND 9.500% 04/15/14 CORPORATE BONDS 45687AAE2 555 470000 PRN SOLE 470000 0 0 INGERSOLL-RAND PLC COM G47791101 2879 102500 SH SOLE 94650 0 7850 INTERNATIONAL PAPER CO COM 460146103 429 18445 SH SOLE 12255 0 6190 ISTAR FINL INC COM COM 45031U101 64 10980 SH SOLE 9775 0 1205 J.P. MORGAN CHASE & CO COM 46625H100 1300 43152 SH DEFINED 29671 2000 11481 JAX ELEC FL 4.000% 10/01/13 MUNICIPAL BONDS 46613QEJ9 261 245000 PRN SOLE 245000 0 0 JOHN DEERE CAP. 5.25 10/01/12 GOVERNMENT AGENC 24422EQW2 475 455000 PRN SOLE 400000 0 55000 JOHNSON & JOHNSON COM 478160104 1321 20744 SH SOLE 13769 0 6975 JUNIPER NETWORKS INC COM COM 48203R104 405 23450 SH SOLE 20450 0 3000 KANSAS CITY MO SPL OB 5.250% 0 MUNICIPAL BONDS 485106CB2 232 200000 PRN SOLE 200000 0 0 KINDER MORGAN EGY PTNS L P UT COM 494550106 342 5000 SH SOLE 5000 0 0 LA ST CIT PPY 5.000% 06/01/16 MUNICIPAL BONDS 546456AY0 391 365000 PRN SOLE 365000 0 0 LABORATORY CORP AMER HLDGS COM COM 50540R409 518 6550 SH SOLE 6350 0 200 LANCASTER CA REDEV TAX ALL 5.2 MUNICIPAL BONDS 513799QS8 393 400000 PRN SOLE 400000 0 0 LIBERTY MEDIA HLDG CORP INT CO COM 53071M104 246 16653 SH SOLE 15478 0 1175 LINCOLN NATIONAL COM 534187109 1212 77555 SH SOLE 65655 0 11900 LONG ISLAND POWER 5.00% DUE 9/ MUNICIPAL BONDS 542690VC3 205 200000 PRN SOLE 200000 0 0 LYNAS CORPORATION LTD FOREIGN COMMON S Q5683J103 156 150000 SH SOLE 150000 0 0 MA 5.500% 11/01/11 MUNICIPAL BONDS 57582NDH5 301 300000 PRN SOLE 75000 0 225000 MAGNA INTL INC CL A COM 559222401 811 24600 SH DEFINED 22400 200 2000 MARKWEST ENERGY PARTNERS L PUN COM 570759100 515 11200 SH SOLE 11100 0 100 MAS H & E COVENANT 5.000% 07/0 MUNICIPAL BONDS 57586DAJ2 278 260000 PRN SOLE 260000 0 0 MASS ED FIN AUTH 5.500% 01/01/ MUNICIPAL BONDS 57563RHK8 324 300000 PRN SOLE 200000 0 100000 MASS HLTH & ED CAREGROUP 5.375 MUNICIPAL BONDS 57586C4F9 253 230000 PRN SOLE 115000 0 115000 MASS H&E 5.00 05/15/25 MUNICIPAL BONDS 57585K8T8 247 240000 PRN SOLE 140000 0 100000 MASS H&E SIMMONS COLL 6.000% 1 MUNICIPAL BONDS 57586EEB3 538 500000 PRN SOLE 400000 0 100000 MASS PORT 5.750% 07/01/12 MUNICIPAL BONDS 575895XR3 416 400000 PRN SOLE 200000 0 200000 MCDONALDS CORP COM 580135101 474 5399 SH SOLE 5399 0 0 METLIFE INC COM 59156R108 7012 250349 SH SOLE 210749 0 39600 MFS INTER INCOME TRUST SH BEN CORPORATE BOND F 55273C107 96 16034 SH SOLE 16034 0 0 MIAMI FL 5.000% 01/01/15 MUNICIPAL BONDS 5933885A5 521 490000 PRN SOLE 465000 0 25000 MIAMI FL GO 5.000% 01/01/19 MUNICIPAL BONDS 5933885F4 772 745000 PRN SOLE 745000 0 0 MICROSOFT CORP COM 594918104 224 9000 SH SOLE 5000 0 4000 MO JT ELEC 5.000% 01/01/16 MUNICIPAL BONDS 606092AE4 487 455000 PRN SOLE 255000 0 200000 MOLY MINES, LTD. FOREIGN COMMON S Q6320J100 3490 9408302 SH DEFINED 8658202 10000 740100 MONMOUTH REAL ESTATE INVT COCL COM 609720107 94 11900 SH SOLE 2400 0 9500 MORGAN STANLY DN WTTR COM 617446448 4214 311940 SH SOLE 260290 0 51650 NAVIOS MARITIME ACQUIS CORP SH COM Y62159101 1613 475884 SH DEFINED 393084 2600 80200 NAVIOS MARITIME HOLDINGS COM Y62196103 21846 6891487 SH SOLE 6495131 0 396356 NAVIOS MARITIME PART. 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