13F-HR 1 d434256d13fhr.txt FORM 13F ================================================================================ UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: SEPTEMBER 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: ASSOCIATED BANC-CORP Address: 1200 Hansen Road Green Bay, WI 54304 Form 13F File Number: 28- 00967 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: CHRISTOPHER J. DEL MORAL-NILES Title: EVP, Chief Financial Officer Phone: 920-491-7007 Signature, Place, and Date of Signing: /s/ Christoher J. Del Moral-Niles Green Bay, WI 11/9/12 ------------------------------------- ------------------------------------- ------------------------------------- [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).) ================================================================================ FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 423 Form 13F Information Table Value Total (in thousands): $1,155,329 List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name 1 28-00967 ASSOCIATED TRUST COMPANY, NATIONAL ASSOCIATION ASSETS AS OF 09/30/12 REQUESTED MODEL: BNK REPORT PTR289 4A ASSOCIATED TRUST CO SECURITIES AND EXCHANGE COMMISSION FORM 13F 10/02/12 PAGE 1 AS OF 09/30/12
COL1 COL2 COL3 COL4 COL5 COL6 COL7 COL8 ----------------------------- -------------- --------- -------- ----------------- ------------ ---- ------------------------ INVESTMENT MARKET DISCRETION VOTING AUTHORITY VALUE SHS OR PUT SOLE SHR OTH OTH SOLE SHARED NONE NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT CALL (A) (B) (C) MGR (A) (B) (C) KINDER MORGAN MGMT LLC FRACT EKE55U103 0 422,305 SH X 1 422,305 AON PLC SHS CL A G0408V102 1,067 20,399 SH X 1 20,199 200 NABORS INDUSTRIES LTD SHS G6359F103 8,489 605,080 SH X 1 596,970 5,265 2,845 NABORS INDUSTRIES LTD SHS G6359F103 662 47,189 SH X 1 7,484 39,705 ACE LTD SHS H0023R105 2,466 32,618 SH X 1 31,253 915 450 ACE LTD SHS H0023R105 194 2,565 SH X 1 1,665 900 TRANSOCEAN LTD REG SHS H8817H100 893 19,894 SH X 1 19,894 TRANSOCEAN LTD REG SHS H8817H100 113 2,528 SH X 1 1,823 705 LTD PARTNERSHIP INT IN THE S MS0023544 443 9 SH X 1 9 LTD PARTNERSHIP INT IN THE S MS0023593 2,783 89 SH X 1 89 HATTERAS FUNDS--MULTI STRAT MS0060264 508 5,690 SH X 1 5,690 CHECK POINT SOFTWARE TECH LT ORD M22465104 3,620 75,175 SH X 1 74,895 280 CHECK POINT SOFTWARE TECH LT ORD M22465104 247 5,130 SH X 1 5,130 AT&T INC COM 00206R102 5,407 143,410 SH X 1 142,610 250 550 AT&T INC COM 00206R102 645 17,122 SH X 1 5,288 11,834 ABBOTT LABS COM 002824100 8,775 127,997 SH X 1 121,287 2,200 4,510 ABBOTT LABS COM 002824100 636 9,270 SH X 1 3,910 2,360 3,000 AIR PRODS & CHEMS INC COM 009158106 9,739 117,757 SH X 1 115,592 685 1,480 AIR PRODS & CHEMS INC COM 009158106 385 4,660 SH X 1 2,955 1,705 ALLSTATE CORP COM 020002101 3,173 80,103 SH X 1 74,559 5,544 ALLSTATE CORP COM 020002101 167 4,217 SH X 1 60 4,157 ALTRIA GROUP INC COM 02209S103 3,506 105,009 SH X 1 104,109 900 ALTRIA GROUP INC COM 02209S103 564 16,900 SH X 1 12,800 500 3,600 AMERICAN EXPRESS CO COM 025816109 233 4,090 SH X 1 4,090 AMERICAN EXPRESS CO COM 025816109 97 1,700 SH X 1 1,700 AMGEN INC COM 031162100 1,747 20,725 SH X 1 20,690 35 AMGEN INC COM 031162100 23 275 SH X 1 200 75 ANCHOR BANCORP WIS INC COM 032839102 19 49,001 SH X 1 49,001 APACHE CORP COM 037411105 19,339 223,649 SH X 1 221,501 1,349 799 APACHE CORP COM 037411105 1,176 13,604 SH X 1 4,434 8,470 700 APPLE INC COM 037833100 47,212 70,771 SH X 1 70,224 363 184 APPLE INC COM 037833100 3,105 4,654 SH X 1 1,577 2,677 400 APPLE INC COM 037833100 1,401 2,100 SH PUT X 1 APPLIED MATLS INC COM 038222105 501 44,844 SH X 1 43,844 1,000 APPLIED MATLS INC COM 038222105 7 625 SH X 1 625 ASSOCIATED BANC CORP COM 045487105 54,953 4,175,764 SH X 1 4,004,664 171,100 ASSOCIATED BANC CORP COM 045487105 2,331 177,092 SH X 1 126,665 50,427 AUTOMATIC DATA PROCESSING IN COM 053015103 1,214 20,703 SH X 1 20,703 AUTOMATIC DATA PROCESSING IN COM 053015103 100 1,705 SH X 1 1,705 BB&T CORP COM 054937107 5,809 175,196 SH X 1 170,436 2,760 2,000 BB&T CORP COM 054937107 264 7,950 SH X 1 5,140 2,810
REPORT PTR289 4A ASSOCIATED TRUST CO SECURITIES AND EXCHANGE COMMISSION FORM 13F 10/02/12 PAGE 2 AS OF 09/30/12
COL1 COL2 COL3 COL4 COL5 COL6 COL7 COL8 ----------------------------- -------------- --------- -------- --------------- ------------ ---- -------------------- INVESTMENT MARKET DISCRETION VOTING AUTHORITY VALUE SHS OR PUT SOLE SHR OTH OTH SOLE SHARED NONE NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT CALL (A) (B) (C) MGR (A) (B) (C) BHP BILLITON PLC SPONSORED ADR 05545E209 449 7,185 SH X 1 7,185 BHP BILLITON PLC SPONSORED ADR 05545E209 4 70 SH X 1 70 BP PLC SPONSORED ADR 055622104 2,707 63,902 SH X 1 59,000 4,902 BP PLC SPONSORED ADR 055622104 214 5,046 SH X 1 4,168 878 BAKER HUGHES INC COM 057224107 1,218 26,921 SH X 1 26,921 BAKER HUGHES INC COM 057224107 15 330 SH X 1 135 195 BANK OF AMERICA CORPORATION COM 060505104 114 12,946 SH X 1 9,318 3,628 BANK OF AMERICA CORPORATION COM 060505104 35 4,000 SH X 1 4,000 BANK MONTREAL QUE COM 063671101 653 11,062 SH X 1 7,362 3,700 BANK MONTREAL QUE COM 063671101 93 1,571 SH X 1 1,559 12 BANK OF NEW YORK MELLON CORP COM 064058100 359 15,876 SH X 1 14,876 1,000 BANK OF NEW YORK MELLON CORP COM 064058100 12 545 SH X 1 475 70 BAXTER INTL INC COM 071813109 1,225 20,327 SH X 1 20,327 BAXTER INTL INC COM 071813109 78 1,300 SH X 1 1,300 BEHRINGER HARVARD REIT 1 INC 077997195 104 22,347 SH X 1 22,347 BEMIS INC COM 081437105 4,135 131,394 SH X 1 130,714 180 500 BEMIS INC COM 081437105 445 14,125 SH X 1 13,575 550 BERKLEY W R CORP COM 084423102 1,453 38,749 SH X 1 37,134 1,615 BERKLEY W R CORP COM 084423102 209 5,585 SH X 1 3,885 1,700 BERKSHIRE HATHAWAY INC DEL CL A 084670108 1,062 8 SH X 1 8 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 9,261 105,003 SH X 1 104,578 425 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 918 10,405 SH X 1 750 8,655 1,000 BEST BUY INC COM 086516101 176 10,255 SH X 1 10,255 BHP BILLITON LTD SPONSORED ADR 088606108 8,314 121,173 SH X 1 118,573 580 2,020 BHP BILLITON LTD SPONSORED ADR 088606108 365 5,325 SH X 1 4,595 730 BIOCENTRIC ENERGY HLDGS INC COM 09060S106 0 10,000 SH X 1 10,000 BLACKROCK INC COM 09247X101 10,456 58,643 SH X 1 58,313 330 BLACKROCK INC COM 09247X101 632 3,543 SH X 1 300 3,005 238 BOEING CO COM 097023105 6,106 87,738 SH X 1 85,118 675 1,945 BOEING CO COM 097023105 291 4,175 SH X 1 2,455 1,720 BRISTOL MYERS SQUIBB CO COM 110122108 3,228 95,643 SH X 1 87,603 300 7,740 BRISTOL MYERS SQUIBB CO COM 110122108 872 25,847 SH X 1 9,995 14,652 1,200 BROWN FORMAN CORP CL B 115637209 245 3,750 SH X 1 3,750 CSX CORP COM 126408103 75 3,633 SH X 1 3,633 CSX CORP COM 126408103 231 11,145 SH X 1 10,800 345 CVS CAREMARK CORPORATION COM 126650100 2,960 61,127 SH X 1 56,620 4,507 CVS CAREMARK CORPORATION COM 126650100 127 2,623 SH X 1 2,193 430 CAPITAL ONE FINL CORP COM 14040H105 504 8,835 SH X 1 8,235 600 CAPITAL ONE FINL CORP COM 14040H105 639 11,202 SH X 1 6,642 4,560 CATERPILLAR INC DEL COM 149123101 21,216 246,583 SH X 1 239,714 1,715 5,154 CATERPILLAR INC DEL COM 149123101 3,083 35,831 SH X 1 7,110 28,121 600 CELGENE CORP COM 151020104 17,460 228,532 SH X 1 226,417 1,215 900 CELGENE CORP COM 151020104 1,237 16,185 SH X 1 3,835 12,350
REPORT PTR289 4A ASSOCIATED TRUST CO SECURITIES AND EXCHANGE COMMISSION FORM 13F 10/02/12 PAGE 3 AS OF 09/30/12
COL1 COL2 COL3 COL4 COL5 COL6 COL7 COL8 ----------------------------- -------------- --------- -------- --------------- ------------ ---- -------------------- INVESTMENT MARKET DISCRETION VOTING AUTHORITY VALUE SHS OR PUT SOLE SHR OTH OTH SOLE SHARED NONE NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT CALL (A) (B) (C) MGR (A) (B) (C) CHARTER COMMUNICATIONS INC D CL A NEW 16117M305 573 7,630 SH X 1 7,630 CHEVRON CORP NEW COM 166764100 24,179 207,437 SH X 1 200,936 1,525 4,976 CHEVRON CORP NEW COM 166764100 2,132 18,290 SH X 1 8,730 9,560 CISCO SYS INC COM 17275R102 1,403 73,497 SH X 1 73,347 150 CISCO SYS INC COM 17275R102 44 2,320 SH X 1 300 2,020 CLOROX CO DEL COM 189054109 938 13,025 SH X 1 13,025 CLOROX CO DEL COM 189054109 918 12,747 SH X 1 12,747 COCA COLA CO COM 191216100 12,364 325,978 SH X 1 317,798 2,620 5,560 COCA COLA CO COM 191216100 693 18,280 SH X 1 14,700 3,580 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 11,026 157,765 SH X 1 157,155 610 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 759 10,855 SH X 1 3,040 7,815 COINSTAR INC COM 19259P300 206 4,569 SH X 1 4,569 COINSTAR INC COM 19259P300 11 250 SH X 1 250 COLGATE PALMOLIVE CO COM 194162103 6,611 61,656 SH X 1 59,196 210 2,250 COLGATE PALMOLIVE CO COM 194162103 931 8,683 SH X 1 4,430 3,053 1,200 COMCAST CORP NEW CL A 20030N101 9,055 253,321 SH X 1 253,321 COMCAST CORP NEW CL A 20030N101 729 20,395 SH X 1 20,395 CONOCOPHILLIPS COM 20825C104 8,113 141,883 SH X 1 137,035 750 4,098 CONOCOPHILLIPS COM 20825C104 426 7,451 SH X 1 1,775 5,641 35 CORNING INC COM 219350105 2,300 174,868 SH X 1 167,498 4,565 2,805 CORNING INC COM 219350105 207 15,710 SH X 1 11,340 4,075 295 COVANCE INC COM 222816100 288 6,160 SH X 1 6,160 CREE INC COM 225447101 419 16,439 SH X 1 14,259 1,150 1,030 CREE INC COM 225447101 5 200 SH X 1 200 CUMMINS INC COM 231021106 11,952 129,615 SH X 1 128,295 815 505 CUMMINS INC COM 231021106 906 9,825 SH X 1 2,315 7,510 CURRENCYSHARES AUSTRALIAN DL AUSTRALIAN DOL 23129U101 499 4,800 SH X 1 4,800 DANAHER CORP DEL COM 235851102 9,802 177,739 SH X 1 176,969 275 495 DANAHER CORP DEL COM 235851102 571 10,355 SH X 1 2,720 7,635 DARDEN RESTAURANTS INC COM 237194105 335 6,000 SH X 1 6,000 DEVON ENERGY CORP NEW COM 25179M103 2,454 40,557 SH X 1 38,440 2,117 DEVON ENERGY CORP NEW COM 25179M103 158 2,605 SH X 1 70 2,535 DIREXION SHS ETF TR 20YR TRES BEAR 25459Y678 479 9,000 SH X 1 6,300 2,700 DISNEY WALT CO COM DISNEY 254687106 10,733 205,304 SH X 1 200,771 1,903 2,630 DISNEY WALT CO COM DISNEY 254687106 607 11,604 SH X 1 9,884 1,720 DISCOVERY COMMUNICATNS NEW COM SER A 25470F104 4,781 80,224 SH X 1 79,239 360 625 DISCOVERY COMMUNICATNS NEW COM SER A 25470F104 391 6,565 SH X 1 1,875 4,690 DISCOVERY COMMUNICATNS NEW COM SER C 25470F302 6,317 112,725 SH X 1 112,725 DISCOVERY COMMUNICATNS NEW COM SER C 25470F302 460 8,200 SH X 1 145 8,055 DOW CHEM CO COM 260543103 1,468 50,716 SH X 1 50,216 500 DOW CHEM CO COM 260543103 23 800 SH X 1 500 300 DU PONT E I DE NEMOURS & CO COM 263534109 188 3,743 SH X 1 3,743
REPORT PTR289 4A ASSOCIATED TRUST CO SECURITIES AND EXCHANGE COMMISSION FORM 13F 10/02/12 PAGE 4 AS OF 09/30/12
COL1 COL2 COL3 COL4 COL5 COL6 COL7 COL8 ----------------------------- -------------- --------- -------- --------------- ------------ ---- --------------------- INVESTMENT MARKET DISCRETION VOTING AUTHORITY VALUE SHS OR PUT SOLE SHR OTH OTH SOLE SHARED NONE NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT CALL (A) (B) (C) MGR (A) (B) (C) DU PONT E I DE NEMOURS & CO COM 263534109 146 2,906 SH X 1 500 2,406 DUKE ENERGY CORP NEW COM NEW 26441C204 425 6,558 SH X 1 6,558 DUKE ENERGY CORP NEW COM NEW 26441C204 11 167 SH X 1 167 E M C CORP MASS COM 268648102 4,397 161,235 SH X 1 160,535 700 E M C CORP MASS COM 268648102 378 13,860 SH X 1 1,360 12,500 EOG RES INC COM 26875P101 3,303 29,479 SH X 1 29,279 100 100 EOG RES INC COM 26875P101 357 3,190 SH X 1 2,980 210 ETFS PLATINUM TR SH BEN INT 26922V101 1,326 8,118 SH X 1 8,118 ETFS PLATINUM TR SH BEN INT 26922V101 41 250 SH X 1 150 100 EAST WEST BANCORP INC COM 27579R104 5,159 244,294 SH X 1 240,379 2,630 1,285 EAST WEST BANCORP INC COM 27579R104 458 21,665 SH X 1 5,095 16,570 EATON CORP COM 278058102 7,132 150,880 SH X 1 150,110 770 EATON CORP COM 278058102 716 15,155 SH X 1 3,295 11,810 50 ECOLAB INC COM 278865100 271 4,174 SH X 1 4,174 ECOLAB INC COM 278865100 4 60 SH X 1 60 EDISON INTL COM 281020107 882 19,310 SH X 1 19,310 EDISON INTL COM 281020107 221 4,832 SH X 1 2,416 2,416 EMERSON ELEC CO COM 291011104 3,376 69,942 SH X 1 29,796 40,146 EXPRESS SCRIPTS HLDG CO COM 30219G108 403 6,438 SH X 1 6,321 117 EXPRESS SCRIPTS HLDG CO COM 30219G108 10 162 SH X 1 162 EXXON MOBIL CORP COM 30231G102 22,702 248,241 SH X 1 238,569 1,759 7,913 EXXON MOBIL CORP COM 30231G102 3,274 35,803 SH X 1 21,077 11,478 3,248 F5 NETWORKS INC COM 315616102 2,682 25,635 SH X 1 25,635 F5 NETWORKS INC COM 315616102 122 1,170 SH X 1 1,170 FED AGRI MTG CORP CL A 313148108 41 2,000 SH X 2,000 FIDELITY NATL INFORMATION SV COM 31620M106 564 18,063 SH X 1 17,108 955 FIDELITY NATL INFORMATION SV COM 31620M106 166 5,314 SH X 1 3,542 44 1,728 FIRST MANITOWOC BANCRP INC N COM 32076T108 294 19,914 SH X 1 14,732 5,182 FIRST MANITOWOC BANCRP INC N COM 32076T108 1,177 79,812 SH X 1 79,812 FLUOR CORP NEW COM 343412102 1,795 31,888 SH X 1 31,728 60 100 FLUOR CORP NEW COM 343412102 100 1,770 SH X 1 1,510 260 FRANKLIN RES INC COM 354613101 1,164 9,303 SH X 1 7,903 1,400 FRANKLIN RES INC COM 354613101 625 5,000 SH X 1 2,900 2,100 FREEPORT-MCMORAN COPPER & GO COM 35671D857 10,071 254,435 SH X 1 249,729 1,825 2,881 FREEPORT-MCMORAN COPPER & GO COM 35671D857 719 18,165 SH X 1 4,234 12,785 1,146 GAMESTOP CORP NEW CL A 36467W109 349 16,615 SH X 1 16,340 275 GAMESTOP CORP NEW CL A 36467W109 32 1,500 SH X 1 1,500 GENERAL ELECTRIC CO COM 369604103 15,171 668,025 SH X 1 623,027 1,200 43,798 GENERAL ELECTRIC CO COM 369604103 1,262 55,570 SH X 1 13,055 42,515 GENERAL MLS INC COM 370334104 2,178 54,661 SH X 1 54,311 350 GENERAL MLS INC COM 370334104 796 19,980 SH X 1 1,550 18,430 GILEAD SCIENCES INC COM 375558103 1,926 29,039 SH X 1 29,039 GILEAD SCIENCES INC COM 375558103 21 320 SH X 1 70 250
REPORT PTR289 4A ASSOCIATED TRUST CO SECURITIES AND EXCHANGE COMMISSION FORM 13F 10/02/12 PAGE 5 AS OF 09/30/12
COL1 COL2 COL3 COL4 COL5 COL6 COL7 COL8 ----------------------------- --------------- --------- -------- --------------- ------------ ---- --------------------- INVESTMENT MARKET DISCRETION VOTING AUTHORITY VALUE SHS OR PUT SOLE SHR OTH OTH SOLE SHARED NONE NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT CALL (A) (B) (C) MGR (A) (B) (C) GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 171 3,691 SH X 1 3,691 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 123 2,655 SH X 1 2,655 GOLDMAN SACHS GROUP INC COM 38141G104 1,188 10,448 SH X 1 9,878 450 120 GOLDMAN SACHS GROUP INC COM 38141G104 10 88 SH X 1 88 GOOGLE INC CL A 38259P508 12,913 17,115 SH X 1 16,801 117 197 GOOGLE INC CL A 38259P508 861 1,141 SH X 1 341 780 20 GRAINGER W W INC COM 384802104 292 1,400 SH X 1 1,400 GUESS INC COM 401617105 876 34,475 SH X 1 32,125 1,575 775 GUESS INC COM 401617105 107 4,225 SH X 1 2,675 1,550 HALLIBURTON CO COM 406216101 2,445 72,579 SH X 1 69,882 1,807 890 HALLIBURTON CO COM 406216101 235 6,963 SH X 1 2,656 4,307 HARRIS CORP DEL COM 413875105 509 9,945 SH X 1 9,300 645 HARRIS CORP DEL COM 413875105 13 260 SH X 1 260 HARSCO CORP COM 415864107 1,703 82,954 SH X 1 82,304 650 HARSCO CORP COM 415864107 18 900 SH X 1 400 500 HEWLETT PACKARD CO COM 428236103 1,732 101,508 SH X 1 98,108 3,400 HEWLETT PACKARD CO COM 428236103 20 1,155 SH X 1 155 1,000 HOME DEPOT INC COM 437076102 235 3,890 SH X 1 3,890 HOME DEPOT INC COM 437076102 48 800 SH X 1 800 HOST HOTELS & RESORTS INC COM 44107P104 3,044 189,648 SH X 1 186,498 3,150 HOST HOTELS & RESORTS INC COM 44107P104 3 185 SH X 1 185 HUBBELL INC CL A 443510102 27 370 SH X 1 370 HUBBELL INC CL A 443510102 178 2,400 SH X 1 2,400 HUMANA INC COM 444859102 12,586 179,410 SH X 1 177,830 960 620 HUMANA INC COM 444859102 1,006 14,345 SH X 1 2,480 11,865 ILLINOIS TOOL WKS INC COM 452308109 2,738 46,039 SH X 1 41,139 4,900 ILLINOIS TOOL WKS INC COM 452308109 219 3,680 SH X 1 680 3,000 INTEL CORP COM 458140100 13,949 615,721 SH X 1 597,635 4,105 13,981 INTEL CORP COM 458140100 960 42,361 SH X 1 13,765 25,296 3,300 INTEGRYS ENERGY GROUP INC COM 45822P105 5,039 96,534 SH X 1 95,193 1,341 INTEGRYS ENERGY GROUP INC COM 45822P105 191 3,650 SH X 1 3,550 100 INTERNATIONAL BUSINESS MACHS COM 459200101 6,278 30,265 SH X 1 29,138 27 1,100 INTERNATIONAL BUSINESS MACHS COM 459200101 357 1,720 SH X 1 870 150 700 ISHARES TR BARCLYS TIPS BD 464287176 320 2,630 SH X 1 2,630 ISHARES TR BARCLYS TIPS BD 464287176 152 1,250 SH X 1 250 1,000 ISHARES TR S&P 500 INDEX 464287200 585 4,048 SH X 1 4,048 ISHARES TR MSCI EMERG MKT 464287234 1,001 24,231 SH X 1 24,231 ISHARES TR MSCI EMERG MKT 464287234 45 1,100 SH X 1 1,100 ISHARES TR MSCI EAFE INDEX 464287465 2,376 44,831 SH X 1 44,831 ISHARES TR MSCI EAFE INDEX 464287465 150 2,821 SH X 1 1,550 1,271 ISHARES TR NASDQ BIO INDX 464287556 1,882 13,200 SH X 1 13,200 ISHARES TR NASDQ BIO INDX 464287556 6 45 SH X 1 45
REPORT PTR289 4A ASSOCIATED TRUST CO SECURITIES AND EXCHANGE COMMISSION FORM 13F 10/02/12 PAGE 6 AS OF 09/30/12
COL1 COL2 COL3 COL4 COL5 COL6 COL7 COL8 ----------------------------- --------------- --------- -------- ----------------- ------------ ---- ---------------------- INVESTMENT MARKET DISCRETION VOTING AUTHORITY VALUE SHS OR PUT SOLE SHR OTH OTH SOLE SHARED NONE NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT CALL (A) (B) (C) MGR (A) (B) (C) ISHARES TR COHEN&ST RLTY 464287564 324 4,165 SH X 1 4,165 ISHARES TR RUSSELL1000VAL 464287598 615 8,520 SH X 1 8,520 ISHARES TR RUSSELL1000VAL 464287598 58 800 SH X 1 800 ISHARES TR RUSSELL1000GRW 464287614 298 4,465 SH X 1 4,465 ISHARES TR RUSSELL 2000 464287655 958 11,476 SH X 1 11,476 ISHARES TR RUSSELL 2000 464287655 179 2,145 SH X 1 1,100 1,045 ISHARES TR S&P SMLCAP 600 464287804 1,448 18,783 SH X 1 16,983 1,800 ISHARES TR S&P SMLCAP 600 464287804 14 180 SH X 1 180 ISHARES TR S&P NTL AMTFREE 464288414 459 4,102 SH X 1 4,102 JPMORGAN CHASE & CO COM 46625H100 11,944 295,054 SH X 1 287,973 1,265 5,816 JPMORGAN CHASE & CO COM 46625H100 1,242 30,683 SH X 1 6,653 18,030 6,000 JOHNSON & JOHNSON COM 478160104 12,317 178,747 SH X 1 172,267 80 6,400 JOHNSON & JOHNSON COM 478160104 815 11,825 SH X 1 5,970 5,855 JOHNSON CTLS INC COM 478366107 9,359 341,585 SH X 1 328,785 7,890 4,910 JOHNSON CTLS INC COM 478366107 553 20,170 SH X 1 4,775 15,395 JOY GLOBAL INC COM 481165108 1,533 27,343 SH X 1 25,808 625 910 JOY GLOBAL INC COM 481165108 134 2,390 SH X 1 1,415 975 JUNIPER NETWORKS INC COM 48203R104 184 10,730 SH X 1 10,730 JUNIPER NETWORKS INC COM 48203R104 10 600 SH X 1 600 KELLOGG CO COM 487836108 123 2,380 SH X 1 2,380 KELLOGG CO COM 487836108 165 3,200 SH X 1 3,200 KIMBERLY CLARK CORP COM 494368103 95,957 1,118,643 SH X 1 589,209 715 528,719 KIMBERLY CLARK CORP COM 494368103 11,165 130,164 SH X 1 94,939 525 34,700 KINDER MORGAN MANAGEMENT LLC SHS 49455U100 875 11,452 SH X 1 11,349 103 KINDER MORGAN MANAGEMENT LLC SHS 49455U100 10 133 SH X 1 103 30 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 202 2,450 SH X 1 2,450 KOHLS CORP COM 500255104 160 3,131 SH X 1 2,631 500 KOHLS CORP COM 500255104 40 775 SH X 1 775 KRAFT FOODS INC CL A 50075N104 4,757 115,051 SH X 1 113,833 315 903 KRAFT FOODS INC CL A 50075N104 651 15,754 SH X 1 12,588 675 2,491 LIFESPAN INC COM 53221W101 0 50,000 SH X 1 50,000 LILLY ELI & CO COM 532457108 738 15,566 SH X 1 15,416 150 LILLY ELI & CO COM 532457108 142 3,000 SH X 1 1,400 1,600 LORILLARD INC COM 544147101 1,486 12,763 SH X 1 11,083 1,680 LORILLARD INC COM 544147101 5 40 SH X 1 40 MACYS INC COM 55616P104 708 18,809 SH X 1 18,809 MANITOWOC INC COM 563571108 1,645 123,308 SH X 1 121,936 1,372 MANITOWOC INC COM 563571108 4 312 SH X 1 312 MCDONALDS CORP COM 580135101 12,645 137,817 SH X 1 134,892 2,000 925 MCDONALDS CORP COM 580135101 746 8,135 SH X 1 3,330 4,780 25 MEDTRONIC INC COM 585055106 1,037 24,057 SH X 1 24,057 MEDTRONIC INC COM 585055106 199 4,625 SH X 1 125 4,500
REPORT PTR289 4A ASSOCIATED TRUST CO SECURITIES AND EXCHANGE COMMISSION FORM 13F 10/02/12 PAGE 7 AS OF 09/30/12
COL1 COL2 COL3 COL4 COL5 COL6 COL7 COL8 ----------------------------- -------------- --------- -------- --------------- ------------ ---- --------------------- INVESTMENT MARKET DISCRETION VOTING AUTHORITY VALUE SHS OR PUT SOLE SHR OTH OTH SOLE SHARED NONE NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT CALL (A) (B) (C) MGR (A) (B) (C) MENASHA CORP COM 585250905 874 465 SH X 1 450 15 MERCK & CO INC NEW COM 58933Y105 7,099 157,428 SH X 1 153,757 200 3,471 MERCK & CO INC NEW COM 58933Y105 347 7,689 SH X 1 6,722 390 577 MICROSOFT CORP COM 594918104 10,467 351,717 SH X 1 331,632 410 19,675 MICROSOFT CORP COM 594918104 759 25,492 SH X 1 10,830 5,982 8,680 MICROCHIP TECHNOLOGY INC COM 595017104 3,643 111,277 SH X 1 104,312 6,965 MICROCHIP TECHNOLOGY INC COM 595017104 18 550 SH X 1 400 150 MONSANTO CO NEW COM 61166W101 205 2,248 SH X 1 2,048 200 MOODYS CORP COM 615369105 33 750 SH X 1 750 MOODYS CORP COM 615369105 380 8,600 SH X 1 200 8,400 MOSAIC CO NEW COM 61945C103 1,426 24,744 SH X 1 23,454 995 295 MOSAIC CO NEW COM 61945C103 16 280 SH X 1 80 200 MULLINS WHEY INC 625200902 632 300 SH X 1 300 NYSE EURONEXT COM 629491101 4,551 184,614 SH X 1 181,194 3,420 NYSE EURONEXT COM 629491101 127 5,160 SH X 1 3,725 1,335 100 NEENAH PAPER INC COM 640079109 326 11,382 SH X 1 11,382 NEENAH PAPER INC COM 640079109 44 1,530 SH X 1 630 900 NESTLE S A SPONSORED ADR 641069406 509 8,071 SH X 1 7,155 916 NESTLE S A SPONSORED ADR 641069406 237 3,750 SH X 1 3,750 NEWMONT MINING CORP COM 651639106 2,463 43,966 SH X 1 43,721 145 100 NEWMONT MINING CORP COM 651639106 74 1,325 SH X 1 800 525 NEXTERA ENERGY INC COM 65339F101 3,305 46,994 SH X 1 46,614 380 NEXTERA ENERGY INC COM 65339F101 58 830 SH X 1 770 60 NOKIA CORP SPONSORED ADR 654902204 26 10,100 SH X 1 10,100 NORDSTROM INC COM 655664100 7,177 130,065 SH X 1 130,065 NORDSTROM INC COM 655664100 607 11,005 SH X 1 190 9,750 1,065 NORTHERN TR CORP COM 665859104 2,898 62,432 SH X 1 61,977 80 375 NORTHERN TR CORP COM 665859104 77 1,650 SH X 1 1,325 325 NOVARTIS A G SPONSORED ADR 66987V109 3,175 51,827 SH X 1 51,552 175 100 NOVARTIS A G SPONSORED ADR 66987V109 59 960 SH X 1 780 180 NUVEEN DIVID ADVANTAGE MUN F COM 67066V101 158 10,000 SH X 1 10,000 OSHKOSH CORP COM 688239201 1,952 71,175 SH X 1 70,850 325 OSHKOSH CORP COM 688239201 7 265 SH X 1 265 PPG INDS INC COM 693506107 6 55 SH X 1 55 PPG INDS INC COM 693506107 276 2,400 SH X 1 2,400 PENTAIR INC COM 709631105 89 2,000 SH X 1 2,000 PENTAIR INC COM 709631105 205 4,600 SH X 1 4,600 PEPSICO INC COM 713448108 9,720 137,353 SH X 1 123,861 1,042 12,450 PEPSICO INC COM 713448108 820 11,588 SH X 1 9,103 2,010 475 PETSMART INC COM 716768106 475 6,880 SH X 1 80 6,800 PFIZER INC COM 717081103 11,221 451,551 SH X 1 416,175 500 34,876 PFIZER INC COM 717081103 1,139 45,855 SH X 1 30,515 815 14,525
REPORT PTR289 4A ASSOCIATED TRUST CO SECURITIES AND EXCHANGE COMMISSION FORM 13F 10/02/12 PAGE 8 AS OF 09/30/12
COL1 COL2 COL3 COL4 COL5 COL6 COL7 COL8 ---------------------------- --------------- --------- -------- --------------- ------------ ---- -------------------- INVESTMENT MARKET DISCRETION VOTING AUTHORITY VALUE SHS OR PUT SOLE SHR OTH OTH SOLE SHARED NONE NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT CALL (A) (B) (C) MGR (A) (B) (C) PHILIP MORRIS INTL INC COM 718172109 23,287 258,915 SH X 1 257,242 125 1,548 PHILIP MORRIS INTL INC COM 718172109 2,570 28,575 SH X 1 15,525 9,450 3,600 PHILLIPS 66 COM 718546104 3,439 74,161 SH X 1 73,285 876 PHILLIPS 66 COM 718546104 193 4,164 SH X 1 888 3,258 18 PLEXUS CORP COM 729132100 331 10,942 SH X 1 6,628 4,314 PLUM CREEK TIMBER CO INC COM 729251108 5,997 136,786 SH X 1 133,889 664 2,233 PLUM CREEK TIMBER CO INC COM 729251108 115 2,634 SH X 1 1,815 744 75 POTASH CORP SASK INC COM 73755L107 7,006 161,346 SH X 1 159,721 1,025 600 POTASH CORP SASK INC COM 73755L107 501 11,531 SH X 1 2,951 8,580 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 14 200 SH X 1 200 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 343 5,000 SH X 1 5,000 PRICE T ROWE GROUP INC COM 74144T108 10,726 169,447 SH X 1 169,052 295 100 PRICE T ROWE GROUP INC COM 74144T108 702 11,085 SH X 1 2,730 8,355 PROCTER & GAMBLE CO COM 742718109 14,282 205,906 SH X 1 202,956 813 2,137 PROCTER & GAMBLE CO COM 742718109 1,088 15,690 SH X 1 14,005 1,685 PROSHARES TR SHRT 20+YR TRE 74347X849 349 12,000 SH X 1 12,000 PRUDENTIAL FINL INC COM 744320102 900 16,511 SH X 1 16,511 QUALCOMM INC COM 747525103 15,596 249,659 SH X 1 240,624 75 8,960 QUALCOMM INC COM 747525103 1,014 16,225 SH X 1 4,240 11,985 ROCHE HLDG LTD SPONSORED ADR 771195104 1,888 40,401 SH X 1 40,181 120 100 ROCHE HLDG LTD SPONSORED ADR 771195104 226 4,835 SH X 1 4,350 485 ROCKWELL AUTOMATION INC COM 773903109 517 7,435 SH X 1 7,435 ROCKWELL AUTOMATION INC COM 773903109 35 500 SH X 1 500 RYDEX ETF TRUST GUG RUSS TOP 50 78355W205 625 5,830 SH X 1 5,830 SPDR S&P 500 ETF TR TR UNIT 78462F103 8,931 62,037 SH X 1 57,160 4,877 SPDR S&P 500 ETF TR TR UNIT 78462F103 884 6,138 SH X 1 3,688 2,450 SPDR GOLD TRUST GOLD SHS 78463V107 14,904 86,709 SH X 1 85,804 905 SPDR GOLD TRUST GOLD SHS 78463V107 387 2,250 SH X 1 1,150 1,100 SPX CORP COM 784635104 636 9,719 SH X 1 9,719 SPX CORP COM 784635104 34 527 SH X 1 527 SPDR SERIES TRUST S&P REGL BKG 78464A698 326 11,387 SH X 1 11,387 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 2,054 11,414 SH X 1 9,931 983 500 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 272 1,510 SH X 1 800 710 SCHLUMBERGER LTD COM 806857108 22,556 311,849 SH X 1 308,107 2,242 1,500 SCHLUMBERGER LTD COM 806857108 1,374 19,003 SH X 1 5,828 13,175 SCHWEITZER-MAUDUIT INTL INC COM 808541106 377 11,424 SH X 1 3,924 7,500 SCHWEITZER-MAUDUIT INTL INC COM 808541106 33 988 SH X 1 88 900 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 253 6,883 SH X 1 5,722 1,161 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 316 7,878 SH X 1 6,350 1,528 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 48 1,200 SH X 1 1,200 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 2,185 61,000 SH X 1 61,000 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 104 2,900 SH X 1 1,200 1,700
REPORT PTR289 4A ASSOCIATED TRUST CO SECURITIES AND EXCHANGE COMMISSION FORM 13F 10/02/12 PAGE 9 AS OF 09/30/12
COL1 COL2 COL3 COL4 COL5 COL6 COL7 COL8 ----------------------------- -------------- --------- -------- --------------- ------------ ---- --------------------- INVESTMENT MARKET DISCRETION VOTING AUTHORITY VALUE SHS OR PUT SOLE SHR OTH OTH SOLE SHARED NONE NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT CALL (A) (B) (C) MGR (A) (B) (C) SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 1,382 18,815 SH X 1 17,920 795 100 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 93 1,260 SH X 1 340 920 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 370 23,707 SH X 1 23,707 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 482 13,183 SH X 1 13,183 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 22 600 SH X 1 600 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 5,490 178,111 SH X 1 176,399 1,712 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 55 1,800 SH X 1 1,800 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 1,108 30,435 SH X 1 30,435 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 66 1,800 SH X 1 1,500 300 SIGMA ALDRICH CORP COM 826552101 403 5,598 SH X 1 5,598 SIGMA ALDRICH CORP COM 826552101 115 1,600 SH X 1 1,600 SOUTHERN CO COM 842587107 5,117 111,023 SH X 1 108,173 1,140 1,710 SOUTHERN CO COM 842587107 149 3,240 SH X 1 2,165 1,075 STATE STR CORP COM 857477103 1,457 34,721 SH X 1 34,656 65 STATE STR CORP COM 857477103 63 1,505 SH X 1 1,130 375 SUNTRUST BKS INC COM 867914103 772 27,293 SH X 1 27,013 280 SUNTRUST BKS INC COM 867914103 3 90 SH X 1 90 SYSCO CORP COM 871829107 3,886 124,277 SH X 1 123,572 85 620 SYSCO CORP COM 871829107 112 3,575 SH X 1 3,250 325 TARGET CORP COM 87612E106 195 3,065 SH X 1 3,065 TARGET CORP COM 87612E106 38 600 SH X 1 450 150 TENARIS S A SPONSORED ADR 88031M109 954 23,407 SH X 1 23,247 60 100 TENARIS S A SPONSORED ADR 88031M109 74 1,825 SH X 1 1,660 165 TEREX CORP NEW COM 880779103 445 19,720 SH X 1 19,720 TEREX CORP NEW COM 880779103 12 550 SH X 1 550 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 7,983 192,784 SH X 1 184,894 1,625 6,265 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 381 9,210 SH X 1 4,530 4,680 TEXAS INSTRS INC COM 882508104 1,164 42,240 SH X 1 41,640 600 TEXAS INSTRS INC COM 882508104 6 210 SH X 1 210 THERMO FISHER SCIENTIFIC INC COM 883556102 1,618 27,495 SH X 1 27,425 70 THERMO FISHER SCIENTIFIC INC COM 883556102 35 600 SH X 1 475 125 3M CO COM 88579Y101 7,501 81,163 SH X 1 69,503 70 11,590 3M CO COM 88579Y101 870 9,415 SH X 1 1,600 615 7,200 TIME WARNER INC COM NEW 887317303 8,469 186,806 SH X 1 184,562 150 2,094 TIME WARNER INC COM NEW 887317303 146 3,220 SH X 1 2,115 1,105 50% INTEREST IN TWEET BROS R 901160903 1,196 1 SH X 1 1 US BANCORP DEL COM NEW 902973304 14,458 421,527 SH X 1 410,316 1,600 9,611 US BANCORP DEL COM NEW 902973304 3,003 87,556 SH X 1 38,397 39,310 9,849 UNION PAC CORP COM 907818108 491 4,140 SH X 1 3,940 200 UNION PAC CORP COM 907818108 52 440 SH X 1 440 UNITED PARCEL SERVICE INC CL B 911312106 1,908 26,662 SH X 1 26,537 125 UNITED PARCEL SERVICE INC CL B 911312106 63 875 SH X 1 600 275 UNITED TECHNOLOGIES CORP COM 913017109 100 1,283 SH X 1 1,283
REPORT PTR289 4A ASSOCIATED TRUST CO SECURITIES AND EXCHANGE COMMISSION FORM 13F 10/02/12 PAGE 10 AS OF 09/30/12
COL1 COL2 COL3 COL4 COL5 COL6 COL7 COL8 ----------------------------- ---------------- --------- -------- --------------- ------------ ---- --------------------- INVESTMENT MARKET DISCRETION VOTING AUTHORITY VALUE SHS OR PUT SOLE SHR OTH OTH SOLE SHARED NONE NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT CALL (A) (B) (C) MGR (A) (B) (C) UNITED TECHNOLOGIES CORP COM 913017109 352 4,500 SH X 1 4,500 UNITEDHEALTH GROUP INC COM 91324P102 13,303 240,074 SH X 1 237,049 3,025 UNITEDHEALTH GROUP INC COM 91324P102 825 14,885 SH X 1 3,250 10,635 1,000 V F CORP COM 918204108 2,625 16,474 SH X 1 16,474 V F CORP COM 918204108 52 325 SH X 1 325 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 2,529 42,382 SH X 1 42,382 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 58 640 SH X 1 640 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 329 3,650 SH X 1 3,650 VANGUARD WORLD FDS INF TECH ETF 92204A702 127 1,725 SH X 1 1,725 VANGUARD WORLD FDS INF TECH ETF 92204A702 95 1,300 SH X 1 1,300 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 2,106 50,476 SH X 1 50,476 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 13 315 SH X 1 200 115 VANGUARD INDEX FDS LARGE CAP ETF 922908637 523 7,962 SH X 1 7,962 VANGUARD INDEX FDS TOTAL STK MKT 922908769 2,409 32,702 SH X 1 32,702 VERIZON COMMUNICATIONS INC COM 92343V104 2,200 48,271 SH X 1 46,757 50 1,464 VERIZON COMMUNICATIONS INC COM 92343V104 168 3,683 SH X 1 924 2,759 VISA INC COM CL A 92826C839 1,066 7,935 SH X 1 7,935 VISA INC COM CL A 92826C839 4 30 SH X 1 30 VITAMIN SHOPPE INC COM 92849E101 1,976 33,875 SH X 1 33,875 VITAMIN SHOPPE INC COM 92849E101 23 400 SH X 1 400 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 15,846 556,017 SH X 1 548,133 3,255 4,629 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 981 34,434 SH X 1 8,710 25,624 100 WABCO HLDGS INC COM 92927K102 4,385 76,035 SH X 1 76,035 WABCO HLDGS INC COM 92927K102 348 6,040 SH X 1 100 5,940 WAL-MART STORES INC COM 931142103 822 11,141 SH X 1 10,391 750 WAL-MART STORES INC COM 931142103 192 2,600 SH X 1 600 2,000 WALGREEN CO COM 931422109 4,987 136,861 SH X 1 135,272 1,589 WALGREEN CO COM 931422109 825 22,630 SH X 1 6,660 9,570 6,400 WASTE MGMT INC DEL COM 94106L109 1,058 32,990 SH X 1 31,957 1,033 WASTE MGMT INC DEL COM 94106L109 164 5,105 SH X 1 900 4,205 WATERSTONE FINANCIAL INC COM 941888109 104 20,000 SH X 1 20,000 WELLS FARGO & CO NEW COM 949746101 7,724 223,704 SH X 1 149,579 1,705 72,420 WELLS FARGO & CO NEW COM 949746101 279 8,071 SH X 1 5,823 1,395 853 WESTERN ASSET HIGH INCM OPP COM 95766K109 67 10,000 SH X 1 10,000 WESTERN ASSET CLYM INFL SEC COM SH BEN INT 95766Q106 176 13,264 SH X 1 13,264 WISCONSIN ENERGY CORP COM 976657106 469 12,439 SH X 1 11,239 900 300 WISCONSIN ENERGY CORP COM 976657106 20 530 SH X 1 200 330 XCEL ENERGY INC COM 98389B100 3,399 122,654 SH X 1 121,786 348 520 XCEL ENERGY INC COM 98389B100 97 3,496 SH X 1 2,205 1,291 YUM BRANDS INC COM 988498101 330 4,975 SH X 1 4,975 YUM BRANDS INC COM 988498101 96 1,440 SH X 1 1,440 ZIMMER HLDGS INC COM 98956P102 2,319 34,299 SH X 1 33,424 60 815
REPORT PTR289 4A ASSOCIATED TRUST CO SECURITIES AND EXCHANGE COMMISSION FORM 13F 10/02/12 PAGE 11 AS OF 09/30/12
COL1 COL2 COL3 COL4 COL5 COL6 COL7 COL8 ----------------- -------------- --------- --------- --------------- ------------ ---- ----------------- INVESTMENT MARKET DISCRETION VOTING AUTHORITY VALUE SHS OR PUT SOLE SHR OTH OTH SOLE SHARED NONE NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT CALL (A) (B) (C) MGR (A) (B) (C) ZIMMER HLDGS INC COM 98956P102 264 3,911 SH X 1 2,062 1,849 FINAL TOTALS 1,155,329
FORM 13F INFORMATION TABLE ENTRY TOTAL 423