0001085146-13-000204.txt : 20130206 0001085146-13-000204.hdr.sgml : 20130206 20130206153256 ACCESSION NUMBER: 0001085146-13-000204 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130206 DATE AS OF CHANGE: 20130206 EFFECTIVENESS DATE: 20130206 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BAILARD, INC. CENTRAL INDEX KEY: 0000750641 IRS NUMBER: 942149863 STATE OF INCORPORATION: CA FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-01707 FILM NUMBER: 13577642 BUSINESS ADDRESS: STREET 1: 950 TOWER LANE SUITE 1900 CITY: FOSTER CITY STATE: CA ZIP: 94404 BUSINESS PHONE: 6505715800 MAIL ADDRESS: STREET 1: 950 TOWER LANE SUITE 1900 CITY: FOSTER CITY STATE: CA ZIP: 94404 FORMER COMPANY: FORMER CONFORMED NAME: BAILARD BIEHL & KAISER INC DATE OF NAME CHANGE: 19990402 13F-HR 1 bailard4q2012.txt BAILARD, INC. 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: Bailard, Inc. Address: 950 Tower Lane Suite 1900 Foster City, CA 94404 13F File Number: 028-01707 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: Sonya Thadhani Title: Chief Investment Officer Phone: 650-571-5800 Signature, Place, and Date of Signing: /s/ Sonya Thadhani Foster City, CA February 06, 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: 176 Form 13F Information Table Value Total: $491,001 (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 2000 21535 SH SOLE 21535 0 0 ABBOTT LABS COM 002824100 2371 36197 SH SOLE 36197 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 2652 39873 SH SOLE 39873 0 0 ALLSTATE CORP COM 020002101 3081 76702 SH SOLE 76702 0 0 ALNYLAM PHARMACEUTICALS INC COM 02043Q107 704 38550 SH SOLE 38550 0 0 AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 231 10000 SH SOLE 10000 0 0 AMERICAN ASSETS TR INC COM 024013104 380 13600 SH SOLE 13600 0 0 AMERICAN CAMPUS CMNTYS INC COM 024835100 277 6000 SH SOLE 6000 0 0 AMERICAN EXPRESS CO COM 025816109 2789 48527 SH SOLE 48527 0 0 AMERICAN TOWER CORP NEW COM 03027X100 232 3000 SH SOLE 3000 0 0 AMICUS THERAPEUTICS INC COM 03152W109 209 78000 SH SOLE 78000 0 0 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 253 2890 SH SOLE 2890 0 0 ANTHERA PHARMACEUTICALS INC COM 03674U102 1659 2675000 SH SOLE 2675000 0 0 APACHE CORP COM 037411105 1543 19651 SH SOLE 19651 0 0 APPLE INC COM 037833100 7237 13599 SH SOLE 13599 0 0 ARQULE INC COM 04269E107 1214 435000 SH SOLE 435000 0 0 ARRAY BIOPHARMA INC COM 04269X105 1581 425000 SH SOLE 425000 0 0 ASTRAZENECA PLC SPONSORED ADR 046353108 1724 36465 SH SOLE 36465 0 0 AT&T INC COM 00206R102 2701 80115 SH SOLE 80115 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 2176 38219 SH SOLE 38219 0 0 AUTOZONE INC COM 053332102 2757 7780 SH SOLE 7780 0 0 AVALONBAY CMNTYS INC COM 053484101 2894 21347 SH SOLE 21347 0 0 BANK OF AMERICA CORPORATION COM 060505104 119 10232 SH SOLE 10232 0 0 BOSTON PROPERTIES INC COM 101121101 684 6466 SH SOLE 6466 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 2703 82938 SH SOLE 82938 0 0 BT GROUP PLC ADR 05577E101 2540 66780 SH SOLE 66780 0 0 CAMDEN PPTY TR SH BEN INT 133131102 409 6000 SH SOLE 6000 0 0 CARDINAL HEALTH INC COM 14149Y108 2397 58213 SH SOLE 58213 0 0 CF INDS HLDGS INC COM 125269100 1647 8105 SH SOLE 8105 0 0 CHEVRON CORP NEW COM 166764100 5240 48458 SH SOLE 48458 0 0 CISCO SYS INC COM 17275R102 2066 105142 SH SOLE 105142 0 0 COACH INC COM 189754104 256 4605 SH SOLE 4605 0 0 COCA COLA CO COM 191216100 2289 63138 SH SOLE 63138 0 0 COMPANHIA ENERGETICA DE MINA SP ADR N-V PFD 204409601 217 20000 SH SOLE 20000 0 0 CONOCOPHILLIPS COM 20825C104 3217 55480 SH SOLE 55480 0 0 CORINTHIAN COLLEGES INC COM 218868107 51 20800 SH SOLE 20800 0 0 COSTCO WHSL CORP NEW COM 22160K105 1904 19288 SH SOLE 19288 0 0 DANAHER CORP DEL COM 235851102 520 9300 SH SOLE 9300 0 0 DISCOVER FINL SVCS COM 254709108 2320 60182 SH SOLE 60182 0 0 DISH NETWORK CORP CL A 25470M109 3994 109723 SH SOLE 109723 0 0 DOUGLAS EMMETT INC COM 25960P109 368 15800 SH SOLE 15800 0 0 DOW CHEM CO COM 260543103 1835 56764 SH SOLE 56764 0 0 DR REDDYS LABS LTD ADR 256135203 499 15000 SH SOLE 15000 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 2838 44485 SH SOLE 44485 0 0 E M C CORP MASS COM 268648102 2432 96139 SH SOLE 96139 0 0 EMCOR GROUP INC COM 29084Q100 530 15300 SH SOLE 15300 0 0 ENDOCYTE INC COM 29269A102 1006 112000 SH SOLE 112000 0 0 ENERGYSOLUTIONS INC COM 292756202 138 44100 SH SOLE 44100 0 0 ENTEROMEDICS INC COM NEW 29365M208 108 38700 SH SOLE 38700 0 0 EQUITY ONE COM 294752100 408 19400 SH SOLE 19400 0 0 EQUITY RESIDENTIAL SH BEN INT 29476L107 497 8762 SH SOLE 8762 0 0 EXTRA SPACE STORAGE INC COM 30225T102 437 11996 SH SOLE 11996 0 0 EXXON MOBIL CORP COM 30231G102 5996 69282 SH SOLE 69282 0 0 FEDERAL REALTY INVT TR SH BEN INT NEW 313747206 965 9275 SH SOLE 9275 0 0 FEI CO COM 30241L109 300 5400 SH SOLE 5400 0 0 FIRSTENERGY CORP COM 337932107 1562 37394 SH SOLE 37394 0 0 GAP INC DEL COM 364760108 1732 55807 SH SOLE 55807 0 0 GENERAL DYNAMICS CORP COM 369550108 1925 27790 SH SOLE 27790 0 0 GENERAL ELECTRIC CO COM 369604103 2472 117769 SH SOLE 117769 0 0 GENERAL MLS INC COM 370334104 1753 43377 SH SOLE 43377 0 0 GLOBAL CASH ACCESS HLDGS INC COM 378967103 163 20800 SH SOLE 20800 0 0 GOOGLE INC CL A 38259P508 1343 1898 SH SOLE 1898 0 0 HARLEY DAVIDSON INC COM 412822108 1769 36230 SH SOLE 36230 0 0 HDFC BANK LTD ADR REPS 3 SHS 40415F101 489 12000 SH SOLE 12000 0 0 HUMANA INC COM 444859102 2776 40456 SH SOLE 40456 0 0 ICICI BK LTD ADR 45104G104 741 17000 SH SOLE 17000 0 0 IDENIX PHARMACEUTICALS INC COM 45166R204 802 165300 SH SOLE 165300 0 0 IMMUNOMEDICS INC COM 452907108 526 180000 SH SOLE 180000 0 0 INFOSYS LTD SPONSORED ADR 456788108 211 5000 SH SOLE 5000 0 0 INGERSOLL-RAND PLC SHS G47791101 2351 49020 SH SOLE 49020 0 0 INTEL CORP COM 458140100 2728 132275 SH SOLE 132275 0 0 INTERMUNE INC COM 45884X103 2151 222000 SH SOLE 222000 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 6960 36336 SH SOLE 36336 0 0 ISHARES INC MSCI TAIWAN 464286731 681 50000 SH SOLE 50000 0 0 ISHARES TR BARCLYS TIPS BD 464287176 226 1858 SH SOLE 1858 0 0 ISHARES TR CORE S&P500 ETF 464287200 284 1986 SH SOLE 1986 0 0 ISHARES TR CORE TOTUSBD ETF 464287226 29591 266397 SH SOLE 266397 0 0 ISHARES TR MSCI EMERG MKT 464287234 44927 1013016 SH SOLE 1013016 0 0 ISHARES TR IBOXX INV CPBD 464287242 1092 9025 SH SOLE 9025 0 0 ISHARES TR BARCLYS 20+ YR 464287432 333 2750 SH SOLE 2750 0 0 ISHARES TR BARCLYS 1-3 YR 464287457 476 5635 SH SOLE 5635 0 0 ISHARES TR MSCI EAFE INDEX 464287465 47386 833383 SH SOLE 833383 0 0 ISHARES TR COHEN&ST RLTY 464287564 647 8232 SH SOLE 8232 0 0 ISHARES TR RUSL 2000 VALU 464287630 44530 589729 SH SOLE 589729 0 0 ISHARES TR DJ US REAL EST 464287739 876 13551 SH SOLE 13551 0 0 ISHARES TR S&P SMLCP VALU 464287879 3661 45258 SH SOLE 45258 0 0 ISHARES TR S&P CAL AMTFR MN 464288356 248 2155 SH SOLE 2155 0 0 ISHARES TR S&P GLO INFRAS 464288372 1864 52200 SH SOLE 52200 0 0 ISHARES TR S&P NTL AMTFREE 464288414 25257 228285 SH SOLE 228285 0 0 ISHARES TR HIGH YLD CORP 464288513 425 4558 SH SOLE 4558 0 0 ISHARES TR BARCLYS MBS BD 464288588 302 2800 SH SOLE 2800 0 0 ISHARES TR BARCLYS 1-3YR CR 464288646 1145 10856 SH SOLE 10856 0 0 JACOBS ENGR GROUP INC DEL COM 469814107 613 14400 SH SOLE 14400 0 0 JOHNSON & JOHNSON COM 478160104 4324 61683 SH SOLE 61683 0 0 JONES GROUP INC COM 48020T101 160 14500 SH SOLE 14500 0 0 JPMORGAN CHASE & CO COM 46625H100 1369 31144 SH SOLE 31144 0 0 KEYCORP NEW COM 493267108 100 11878 SH SOLE 11878 0 0 KIMBALL INTL INC CL B 494274103 164 14100 SH SOLE 14100 0 0 KIMBERLY CLARK CORP COM 494368103 3130 37070 SH SOLE 37070 0 0 KITE RLTY GROUP TR COM 49803T102 148 26550 SH SOLE 26550 0 0 LIBERTY PPTY TR SH BEN INT 531172104 465 13000 SH SOLE 13000 0 0 LIGAND PHARMACEUTICALS INC COM NEW 53220K504 881 42500 SH SOLE 42500 0 0 MACYS INC COM 55616P104 1917 49135 SH SOLE 49135 0 0 MARATHON OIL CORP COM 565849106 1356 44227 SH SOLE 44227 0 0 MATTEL INC COM 577081102 2533 69172 SH SOLE 69172 0 0 MCCLATCHY CO CL A 579489105 170 52100 SH SOLE 52100 0 0 MCDONALDS CORP COM 580135101 2573 29167 SH SOLE 29167 0 0 MERCK & CO INC NEW COM 58933Y105 1795 43837 SH SOLE 43837 0 0 MICROSOFT CORP COM 594918104 4796 179553 SH SOLE 179553 0 0 MOBILE TELESYSTEMS OJSC SPONSORED ADR 607409109 280 15000 SH SOLE 15000 0 0 MSC INDL DIRECT INC CL A 553530106 543 7200 SH SOLE 7200 0 0 NATIONAL OILWELL VARCO INC COM 637071101 711 10400 SH SOLE 10400 0 0 NETAPP INC COM 64110D104 1629 48558 SH SOLE 48558 0 0 NORFOLK SOUTHERN CORP COM 655844108 1752 28339 SH SOLE 28339 0 0 NORTHROP GRUMMAN CORP COM 666807102 3193 47252 SH SOLE 47252 0 0 OFFICEMAX INC DEL COM 67622P101 155 15900 SH SOLE 15900 0 0 ORACLE CORP COM 68389X105 2498 74979 SH SOLE 74979 0 0 OREXIGEN THERAPEUTICS INC COM 686164104 525 100000 SH SOLE 100000 0 0 PANDORA MEDIA INC COM 698354107 289 31500 SH SOLE 31500 0 0 PARTNER COMMUNICATIONS CO LT ADR 70211M109 113 18900 SH SOLE 18900 0 0 PEPSICO INC COM 713448108 1709 24979 SH SOLE 24979 0 0 PFIZER INC COM 717081103 353 14066 SH SOLE 14066 0 0 PHILIP MORRIS INTL INC COM 718172109 1322 15808 SH SOLE 15808 0 0 PNC FINL SVCS GROUP INC COM 693475105 2150 36864 SH SOLE 36864 0 0 POWERSHARES GLOBAL ETF TRUST WK VRDO TX FR 73936T433 305 12199 SH SOLE 12199 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 4154 63786 SH SOLE 63786 0 0 PPG INDS INC COM 693506107 3145 23233 SH SOLE 23233 0 0 PROCTER & GAMBLE CO COM 742718109 776 11431 SH SOLE 11431 0 0 PS BUSINESS PKS INC CALIF COM 69360J107 641 9860 SH SOLE 9860 0 0 PUBLIC STORAGE COM 74460D109 290 2000 SH SOLE 2000 0 0 QUALCOMM INC COM 747525103 1237 20000 SH SOLE 20000 0 0 QUANTA SVCS INC COM 74762E102 527 19300 SH SOLE 19300 0 0 REGENCY CTRS CORP COM 758849103 754 16000 SH SOLE 16000 0 0 REYNOLDS AMERICAN INC COM 761713106 1781 42997 SH SOLE 42997 0 0 SAREPTA THERAPEUTICS INC COM 803607100 991 38400 SH SOLE 38400 0 0 SAUL CTRS INC COM 804395101 265 6200 SH SOLE 6200 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 583 17185 SH SOLE 17185 0 0 SEAGATE TECHNOLOGY PLC SHS G7945M107 1903 62573 SH SOLE 62573 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 5465 333425 SH SOLE 333425 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 227 7880 SH SOLE 7880 0 0 SILICONWARE PRECISION INDS L SPONSD ADR SPL 827084864 160 30000 SH SOLE 30000 0 0 SIMON PPTY GROUP INC NEW COM 828806109 493 3121 SH SOLE 3121 0 0 SL GREEN RLTY CORP COM 78440X101 644 8398 SH SOLE 8398 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 6109 37704 SH SOLE 37704 0 0 SPDR INDEX SHS FDS MSCI ACWI EXUS 78463X848 664 20625 SH SOLE 20625 0 0 SPDR INDEX SHS FDS MACQU GLBIN100 78463X855 225 5600 SH SOLE 5600 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 54384 381884 SH SOLE 381884 0 0 SPDR SERIES TRUST NUVN BR SHT MUNI 78464A425 4402 181062 SH SOLE 181062 0 0 SPDR SERIES TRUST S&P BK ETF 78464A797 210 8800 SH SOLE 8800 0 0 STATE STR CORP COM 857477103 2427 51628 SH SOLE 51628 0 0 STERLITE INDS INDIA LTD ADS 859737207 646 75000 SH SOLE 75000 0 0 STONERIDGE INC COM 86183P102 77 15000 SH SOLE 15000 0 0 SUNPOWER CORP COM 867652406 323 57542 SH SOLE 57542 0 0 SYNERGY PHARMACEUTICALS DEL COM NEW 871639308 1368 260000 SH SOLE 260000 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 863 50288 SH SOLE 50288 0 0 TARGACEPT INC COM 87611R306 466 106500 SH SOLE 106500 0 0 TATA MTRS LTD SPONSORED ADR 876568502 727 25300 SH SOLE 25300 0 0 TAUBMAN CTRS INC COM 876664103 754 9575 SH SOLE 9575 0 0 TRANSOCEAN LTD REG SHS H8817H100 1455 32580 SH SOLE 32580 0 0 TRANZYME INC COM 89413J102 111 205000 SH SOLE 205000 0 0 TRAVELERS COMPANIES INC COM 89417E109 2665 37103 SH SOLE 37103 0 0 UDR INC COM 902653104 259 10900 SH SOLE 10900 0 0 UNITED TECHNOLOGIES CORP COM 913017109 1876 22880 SH SOLE 22880 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1773 32684 SH SOLE 32684 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 563 6700 SH SOLE 6700 0 0 VANGUARD INDEX FDS LARGE CAP ETF 922908637 1260 19340 SH SOLE 19340 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1089 23799 SH SOLE 23799 0 0 VENTAS INC COM 92276F100 369 5700 SH SOLE 5700 0 0 VORNADO RLTY TR SH BEN INT 929042109 400 5000 SH SOLE 5000 0 0 WAL-MART STORES INC COM 931142103 2388 35005 SH SOLE 35005 0 0 WELLS FARGO & CO NEW COM 949746101 2897 84746 SH SOLE 84746 0 0 WIPRO LTD SPON ADR 1 SH 97651M109 350 40000 SH SOLE 40000 0 0 XENOPORT INC COM 98411C100 249 32000 SH SOLE 32000 0 0 YM BIOSCIENCES INC COM 984238105 2483 865000 SH SOLE 865000 0 0 YUM BRANDS INC COM 988498101 1064 16020 SH SOLE 16020 0 0 ZYNGA INC CL A 98986T108 48 20400 SH SOLE 20400 0 0