13F-HR 1 shufrorose06302002.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2002 Check here if Amendment (); Amendment Number: This Amendment (Check only one): ( ) is a restatement. (X) adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Shufro Rose & Co, LLC Address: 745 Fifth Avenue 26th Floor New York, NY 10151 13F File Number:28-792 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: Steven J. Glass Title: Managing Director Phone: 212-754-5100 Signature, Place, and Date of Signing: Steven J. Glass New York, NY August 6, 2002 Report Type (Check only one): (X) 13F HOLDINGS REPORT ( ) 13F NOTICE ( ) 13F COMBINATION REPORT I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE AS OF DATE: 06/30/02 RUN DATE: 08/01/02 11:17 A.M. REPORT SUMMARY: NUMBER OF OTHER INCLUDED MANAGERS: 0 FORM 13F INFORMATION TABLE ENTRY TOTAL: 238 FORM 13F INFORMATION TABLE VALUE TOTAL: $584,074,184,.06 LIST OF OTHER INCLUDED MANAGERS: NO. 13F FILE NUMBER NAME Shufro, Rose & CO LLC Page: 1 Form 13F Information Table As of Date: 6/30/2002 - Voting Authority - Title Name of Issuer of Class - CUSIP - Value Shares/ SH/ Put/ Invstmt/ Shared None (X $1000) Prn Amt Prn Call Dscretn - Managers - Sole RICHARDSON EL 8.25% 6-15-06 CONV BND 763165AC1 2,083,350 2,280,000 PRN SOLE 2,280,000 STANDARD COML CV 7.25% 3-31-07 CONV BND 853258AA9 2,734,875 2,860,000 PRN SOLE 2,860,000 ABBOTT LABORATORIES COM 002824100 8,176,827 217,180 SH SOLE 217,180 ADAPTEC COM 00651F108 1,210,918 153,475 SH SOLE 153,475 ADVANCED DIGITAL INFORMATION COM 007525108 286,620 34,000 SH SOLE 34,000 AGERE SYSTEMS CL B COM 00845V209 59,566 39,711 SH SOLE 39,711 AGILENT TECHNOLOGIES COM 00846U101 980,777 41,471 SH SOLE 41,471 AGRIUM INC COM 008916108 8,995,415 956,959 SH SOLE 956,959 ALEXANDER & BALDWIN COM 014482103 3,160,614 123,800 SH SOLE 123,800 ALLEGHANY CORP COM 017175100 6,601,533 34,563 SH SOLE 34,563 ALLMERICA FINANCIAL COM 019754100 4,312,770 93,350 SH SOLE 93,350 AMERICAN EXPRESS COM 025816109 1,915,335 52,735 SH SOLE 52,735 AMERICAN POWER CONVERSION COM 029066107 183,135 14,500 SH SOLE 14,500 AOL TIME WARNER COM 00184A105 1,487,152 101,098 SH SOLE 101,098 APARTMENT INVESTMENT & MGMT COM 03748R101 447,720 9,100 SH SOLE 9,100 APPLIED MATERIALS COM 038222105 3,698,078 194,431 SH SOLE 194,431 APRIA HEALTH GROUP COM 037933108 309,344 13,810 SH SOLE 13,810 ASCENTIAL SOFTWARE COM 04362P108 363,816 130,400 SH SOLE 130,400 ASYST TECHNOLOGIES COM 04648X107 1,023,605 50,300 SH SOLE 50,300 AT & T CORP COM 001957109 468,187 43,756 SH SOLE 43,756 AT&T WIRELESS SERVICES COM 00209A106 81,629 13,954 SH SOLE 13,954 ATLANTIC AMERICAN CORP COM 048209100 23,500 10,000 SH SOLE 10,000 ATMI COM 00207R101 257,255 11,500 SH SOLE 11,500 AUDIOVOX CL A COM 050757103 604,200 76,000 SH SOLE 76,000 AVAYA COM 053499109 68,171 13,772 SH SOLE 13,772 AVNET COM 053807103 228,652 10,398 SH SOLE 10,398 BALDWIN TECHNOLOGY COM 058264102 1,086,546 770,600 SH SOLE 770,600 BELLSOUTH COM 079860102 728,154 23,116 SH SOLE 23,116 BERKSHIRE BANCORP COM 084597103 235,758 7,702 SH SOLE 7,702 BERKSHIRE HATHAWAY B SHARES COM 084670207 5,459,896 2,444 SH SOLE 2,444 BIG LOTS COM 089302103 11,802,883 599,740 SH SOLE 599,740 BLOCKBUSTER INC COM 093679108 1,467,395 54,550 SH SOLE 54,550 BOEING CO COM 097023105 218,250 4,850 SH SOLE 4,850 BOLT TECHNOLOGY COM 097698104 60,750 15,000 SH SOLE 15,000 BOMBAY STORES COM 097924104 6,256,725 1,393,480 SH SOLE 1,393,480 BON-TON STORES COM 09776J101 112,800 24,000 SH SOLE 24,000 BORLAND SOFTWARE COM 099849101 1,895,004 183,981 SH SOLE 183,981 BOSTON ACOUSTICS COM 100534106 194,766 14,300 SH SOLE 14,300 BP PLC COM 055622104 2,100,334 41,599 SH SOLE 41,599 BRIGHTPOINT - NEW COM 109473405 76,864 30,143 SH SOLE 30,143 BRISTOL-MYERS SQUIBB COM 110122108 8,153,762 317,267 SH SOLE 317,267 BROOKTROUT INC COM 114580103 136,800 24,000 SH SOLE 24,000 CANADIAN NATURAL RESOURCES LTD COM 136385101 4,344,647 126,851 SH SOLE 126,851 CAPTARIS COM 14071N104 221,840 75,200 SH SOLE 75,200 CARNIVAL CRUISE LINES COM 143658102 1,355,287 48,945 SH SOLE 48,945 CELERITEK INC COM 150926103 2,794,605 423,425 SH SOLE 423,425 CELLSTAR CORP COM 150925204 47,498 14,660 SH SOLE 14,660 CH ENERGY GROUP COM 12541M102 4,768,434 96,821 SH SOLE 96,821 CHARMING SHOPPES COM 161133103 2,631,744 304,600 SH SOLE 304,600 CHEVRONTEXACO COM 166764100 2,432,246 27,483 SH SOLE 27,483 CIRRUS LOGIC COM 172755100 220,955 29,500 SH SOLE 29,500 - Voting Authority - Title Name of Issuer of Class - CUSIP - Value Shares/ SH/ Put/ Invstmt/ Shared None (X $1000) Prn Amt Prn Call Dscretn - Managers - Sole CITIGROUP COM 172967101 1,679,038 43,330 SH SOLE 43,330 COCA-COLA COM 191216100 271,880 4,855 SH SOLE 4,855 COHU INC COM 192576106 172,800 10,000 SH SOLE 10,000 COMCAST CLASS A SPECIAL COM 200300200 321,840 13,500 SH SOLE 13,500 COMFORT SYSTEMS USA COM 199908104 89,460 18,000 SH SOLE 18,000 COMSHARE COM 205912108 102,960 46,800 SH SOLE 46,800 CONCORD CAMERA COM 206156101 459,090 90,000 SH SOLE 90,000 CONCERTO SOFTWARE COM 20602T106 3,552,885 563,950 SH SOLE 563,950 CONSECO INC COM 208464107 33,000 16,500 SH SOLE 16,500 CONSOLIDATED EDISON COM 209115104 277,053 6,636 SH SOLE 6,636 CONSOLIDATED TOMOKA LAND COM 210226106 3,745,340 186,800 SH SOLE 186,800 CONSUMERS FINANCIAL CORP COM 210520102 2,150 21,500 SH SOLE 21,500 COOLBRANDS INTL SUB VTG SHS COM 21639P208 348,306 73,700 SH SOLE 73,700 CORNING COM 219350105 1,610,138 453,560 SH SOLE 453,560 COVANSYS CORP COM 22281W103 843,000 150,000 SH SOLE 150,000 CPAC COM 126145101 110,160 17,000 SH SOLE 17,000 CRAFTMADE INTERNATIONAL COM 22413E104 3,078,654 202,543 SH SOLE 202,543 CREDENCE SYSTEMS COM 225302108 5,049,523 284,160 SH SOLE 284,160 DEPARTMENT 56 COM 249509100 3,607,974 221,620 SH SOLE 221,620 DIGI INTERNATIONAL COM 253798102 483,927 146,600 SH SOLE 146,600 DIODES INC COM 254543101 85,300 10,000 SH SOLE 10,000 DISNEY WALT COM 254687106 9,956,407 526,794 SH SOLE 526,794 DONNELLY CORP CLASS A COM 257870105 1,848,815 68,500 SH SOLE 68,500 DUKE ENERGY COM 264399106 5,305,660 170,600 SH SOLE 170,600 DUPONT COM 263534109 30,933,968 696,711 SH SOLE 696,711 ELECTRONIC CLEARING HOUSE NEW COM 285562500 15,406 10,625 SH SOLE 10,625 EL PASO ELECTRIC COM 283677854 8,692,537 627,620 SH SOLE 627,620 EMERSON ELECTRIC COM 291011104 231,163 4,320 SH SOLE 4,320 ETHAN ALLEN INTERIORS COM 297602104 8,435,826 242,061 SH SOLE 242,061 EXULT INC COM 302284104 318,500 49,000 SH SOLE 49,000 EXXON MOBIL COM 30231G102 37,416,552 914,383 SH SOLE 914,383 FIRST DATA COM 319963104 700,104 18,820 SH SOLE 18,820 FIRST NATIONAL BANK ALASKA COM 32112J106 1,842,650 1,345 SH SOLE 1,345 FIRST TENNESSEE NATIONAL COM 337162101 306,400 8,000 SH SOLE 8,000 FLEETBOSTON FINANCIAL COM 339030108 731,919 22,625 SH SOLE 22,625 FLEXIINTERNATIONAL SOFTWARE COM 338923105 4,250 50,000 SH SOLE 50,000 FLEXTRONICS INTERNATIONAL LTD COM Y2573F102 807,116 113,200 SH SOLE 113,200 FOOTSTAR INC COM 344912100 431,724 17,643 SH SOLE 17,643 FORD MOTOR CO COM 345370860 356,592 22,287 SH SOLE 22,287 FRANKLIN CE LTD COM 125151100 320,100 106,700 SH SOLE 106,700 GANNETT CO COM 364730101 10,219,707 134,647 SH SOLE 134,647 GAP INC COM 364760108 10,470,725 737,375 SH SOLE 737,375 GENENCOR INTERNATIONAL COM 368709101 323,070 33,000 SH SOLE 33,000 GENERAL ELECTRIC COM 369604103 49,246,983 1,695,249 SH SOLE 1,695,249 GENERAL MOTORS COM 370442105 4,847,701 90,696 SH SOLE 90,696 GERMANY FUND COM 374143105 2,075,389 300,781 SH SOLE 300,781 GIGA TRONICS COM 375175106 37,600 16,000 SH SOLE 16,000 GLATFELTER COM 377316104 1,769,324 94,113 SH SOLE 94,113 GLENAYRE TECHNOLOGIES COM 377899109 470,498 376,700 SH SOLE 376,700 GLOBAL INDUSTRIES COM 379336100 139,101 19,900 SH SOLE 19,900 GOODYEAR TIRE & RUBBER COM 382550101 196,492 10,502 SH SOLE 10,502 - Voting Authority - Title Name of Issuer of Class - CUSIP - Value Shares/ SH/ Put/ Invstmt/ Shared None (X $1000) Prn Amt Prn Call Dscretn - Managers - Sole GOODYS FAMILY CLOTHING COM 382588101 321,464 28,100 SH SOLE 28,100 GREAT LAKES CHEMICAL COM 390568103 5,789,787 218,565 SH SOLE 218,565 GSI LUMONICS COM 36229U102 934,010 121,300 SH SOLE 121,300 GTSI CORP COM 36238K103 144,558 18,415 SH SOLE 18,415 GUIDANT COM 401698105 3,904,809 129,170 SH SOLE 129,170 H & Q LIFE SCIENCES COM 404053100 223,858 15,396 SH SOLE 15,396 HANSON INDUSTRIES ADR COM 411352404 5,793,945 162,523 SH SOLE 162,523 HEWLETT PACKARD COM 428236103 4,966,306 325,020 SH SOLE 325,020 HOLLINGER COM 435569108 175,020 14,585 SH SOLE 14,585 HOME DEPOT COM 437076102 4,616,226 125,680 SH SOLE 125,680 HORIZON OFFSHORE COM 44043J105 411,872 48,800 SH SOLE 48,800 HUDSON UNITED BANCORP COM 444165104 1,500,257 52,530 SH SOLE 52,530 HUNTCO INC COM 445661101 42 41,900 SH SOLE 41,900 IGEN INTERNATIONAL COM 449536101 800,100 25,400 SH SOLE 25,400 INPUT/OUTPUT COM 457652105 1,039,950 115,550 SH SOLE 115,550 INTEGRALVISION COM 45811H106 6,038 17,500 SH SOLE 17,500 INTEGRATED DEVICE TECHNOLOGY COM 458118106 646,419 35,635 SH SOLE 35,635 INTEL COM 458140100 544,647 29,811 SH SOLE 29,811 INTL BUSINESS MACHINES COM 459200101 5,236,128 72,724 SH SOLE 72,724 INTERNATIONAL PAPER COM 460146103 889,511 20,411 SH SOLE 20,411 JACO ELECTRONICS COM 469783104 61,100 13,000 SH SOLE 13,000 JAPAN SMALLER CAP FUND COM 47109U104 500,174 62,600 SH SOLE 62,600 JOHNSON & JOHNSON COM 478160104 1,073,055 20,533 SH SOLE 20,533 KIMBERLY-CLARK COM 494368103 3,494,382 56,361 SH SOLE 56,361 KIRBY CORP COM 497266106 5,332,545 218,100 SH SOLE 218,100 KREISLER MANUFACTURING CORP COM 500773106 98,321 12,769 SH SOLE 12,769 KULICKE & SOFFA INDUSTRIES COM 501242101 787,385 63,550 SH SOLE 63,550 LABOR READY COM 505401208 274,950 47,000 SH SOLE 47,000 LADENBURG THALMANN FINL SVCS COM 50575Q102 19,936 66,452 SH SOLE 66,452 LAZARE KAPLAN INTL COM 521078105 2,257,255 315,700 SH SOLE 315,700 LCC INTERNATIONAL COM 501810105 138,710 97,000 SH SOLE 97,000 LENNOX INTERNATIONAL COM 526107107 291,798 16,220 SH SOLE 16,220 LIBERTY MEDIA SER A NEW COM 530718105 376,570 37,657 SH SOLE 37,657 LINENS N THINGS COM 535679104 1,944,977 59,280 SH SOLE 59,280 LIGHTBRIDGE INC COM 532226107 102,625 12,500 SH SOLE 12,500 LOUISIANA PACIFIC COM 546347105 109,077 10,300 SH SOLE 10,300 LUCENT TECHNOLOGIES COM 549463107 249,329 150,198 SH SOLE 150,198 M & T BANK COM 55261F104 9,503,409 110,814 SH SOLE 110,814 MACDERMID COM 554273102 7,339,240 341,360 SH SOLE 341,360 MATTEL INC COM 577081102 423,813 20,105 SH SOLE 20,105 MATTSON TECHNOLOGY COM 577223100 2,024,946 438,300 SH SOLE 438,300 MELLON FINANCIAL COM 58551A108 1,680,216 53,459 SH SOLE 53,459 MERCK & CO COM 589331107 8,425,027 166,371 SH SOLE 166,371 MERIDIAN RESOURCE CORP COM 58977Q109 128,340 34,500 SH SOLE 34,500 MERRILL LYNCH COM 590188108 6,083,303 150,205 SH SOLE 150,205 MFRI INC COM 552721102 517,505 240,700 SH SOLE 240,700 MICROSOFT COM 594918104 1,047,779 19,155 SH SOLE 19,155 MILBROOK PRESS COM 600179105 491,400 234,000 SH SOLE 234,000 MILLEA HOLDINGS COM 60032R106 5,412,823 132,830 SH SOLE 132,830 MONMOUTH REAL ESTATE INVT CORP COM 609720107 176,400 24,500 SH SOLE 24,500 MORGAN CHASE J P & CO COM 46625H100 15,999,250 471,676 SH SOLE 471,676 - Voting Authority - Title Name of Issuer of Class - CUSIP - Value Shares/ SH/ Put/ Invstmt/ Shared None (X $1000) Prn Amt Prn Call Dscretn - Managers - Sole MOTOROLA COM 620076109 479,436 33,248 SH SOLE 33,248 MOVADO GROUP COM 624580106 2,651,313 105,420 SH SOLE 105,420 MUNICIPAL PARTNERS FUND COM 62622C101 277,200 21,000 SH SOLE 21,000 NASDAQ 100 SHARES COM 631100104 202,095 7,752 SH SOLE 7,752 NEOMAGIC CORP COM 640497103 725,116 272,600 SH SOLE 272,600 NETWORK EQUIPMENT TECHNOLOGIES COM 641208103 3,074,457 714,990 SH SOLE 714,990 NEW GERMANY FUND COM 644465106 2,645,064 523,775 SH SOLE 523,775 NEW PLAN EXCEL REALTY TRUST COM 648053106 331,197 15,900 SH SOLE 15,900 NOVELL COM 670006105 145,811 45,424 SH SOLE 45,424 OAK TECHNOLOGY COM 671802106 2,063,936 455,615 SH SOLE 455,615 OCE NV ADR COM 674627203 181,920 16,000 SH SOLE 16,000 OFFICEMAX INC COM 67622M108 991,287 168,300 SH SOLE 168,300 ORTHOLOGIC CORP COM 68750J107 131,614 23,800 SH SOLE 23,800 PALM COM 696642107 469,644 266,843 SH SOLE 266,843 PAREXEL INTERNATIONAL COM 699462107 372,858 26,805 SH SOLE 26,805 PCTEL COM 69325Q105 846,091 124,995 SH SOLE 124,995 PEABODY ENERGY COM 704549104 8,081,065 285,550 SH SOLE 285,550 PEPSICO INC COM 713448108 2,015,965 41,825 SH SOLE 41,825 PERKINELMER COM 714046109 5,429,860 491,390 SH SOLE 491,390 PETSMART COM 716768106 373,732 23,300 SH SOLE 23,300 PFIZER INC COM 717081103 7,475,370 213,582 SH SOLE 213,582 PHARMACIA COM 71713U102 270,651 7,227 SH SOLE 7,227 PIONEER STANDARD ELECTRONICS COM 723877106 600,542 57,800 SH SOLE 57,800 PREVIO COM 74138B105 29,800 20,000 SH SOLE 20,000 PROGRESS FINANCIAL COM 743266108 111,999 11,500 SH SOLE 11,500 RADISYS CORP COM 750459109 360,530 31,000 SH SOLE 31,000 REPUBLIC FIRST BANCORP COM 760416107 95,250 15,000 SH SOLE 15,000 ROBOTIC VISION SYSTEMS COM 771074101 130,916 142,300 SH SOLE 142,300 ROYAL DUTCH PETROLEUM COM 780257804 475,985 8,612 SH SOLE 8,612 ROYCE VALUE TRUST COM 780910105 3,688,896 222,894 SH SOLE 222,894 SAFEWAY COM 786514208 344,296 11,795 SH SOLE 11,795 SANDISK CORP COM 80004C101 124,000 10,000 SH SOLE 10,000 SARA LEE COM 803111103 611,233 29,614 SH SOLE 29,614 SBC COMMUNICATIONS COM 78387G103 1,852,570 60,740 SH SOLE 60,740 SCHERING-PLOUGH COM 806605101 256,234 10,416 SH SOLE 10,416 SCHLUMBERGER LTD COM 806857108 599,385 12,890 SH SOLE 12,890 SCHNITZER STEEL INDUSTRIES COM 806882106 1,435,176 64,300 SH SOLE 64,300 SCIENCE DYNAMICS CORP COM 808631105 3,364 44,850 SH SOLE 44,850 SCIENTIFIC GAMES CL A COM 80874P109 1,994,607 251,210 SH SOLE 251,210 SCM MICROSYSTEMS COM 784018103 548,580 41,000 SH SOLE 41,000 SCUDDER MULTI-MARKET INCOME TR COM 81118Q101 127,176 16,800 SH SOLE 16,800 SHERWIN WILLIAMS COM 824348106 1,149,312 38,400 SH SOLE 38,400 SIFCO INDUSTRIES COM 826546103 299,730 58,200 SH SOLE 58,200 SOMERA COMMUNICATIONS COM 834458101 107,100 15,000 SH SOLE 15,000 SPARTON CORP COM 847235108 436,500 48,500 SH SOLE 48,500 SPEEDFAM IPEC COM 847705100 4,174,132 796,590 SH SOLE 796,590 STARRETT L S COM 855668109 5,287,350 209,400 SH SOLE 209,400 STEIN MART COM 858375108 344,230 29,000 SH SOLE 29,000 STEWART & STEVENSON SERVICES COM 860342104 5,767,274 325,100 SH SOLE 325,100 STIFEL FINANCIAL CORP COM 860630102 125,000 10,000 SH SOLE 10,000 SUN MICROSYSTEMS COM 866810104 66,803 13,334 SH SOLE 13,334 - Voting Authority - Title Name of Issuer of Class - CUSIP - Value Shares/ SH/ Put/ Invstmt/ Shared None (X $1000) Prn Amt Prn Call Dscretn - Managers - Sole SWISS ARMY BRANDS COM 870827102 935,505 103,945 SH SOLE 103,945 SWISS HELVETIA FUND COM 870875101 5,982,533 522,492 SH SOLE 522,492 SYMBOL TECHNOLOGIES COM 871508107 121,550 14,300 SH SOLE 14,300 SYMMETRICOM INC COM 871543104 2,063,619 565,375 SH SOLE 565,375 SYNTELLECT INC COM 87161L105 9,760 16,000 SH SOLE 16,000 SYSCO CORP COM 871829107 207,308 7,616 SH SOLE 7,616 SYSTEMAX INC COM 871851101 48,000 20,000 SH SOLE 20,000 TECHNITROL INC COM 878555101 246,980 10,600 SH SOLE 10,600 TECUMSEH PRODUCTS CL A COM 878895200 5,642,935 106,310 SH SOLE 106,310 TECUMSEH PRODUCTS CL B COM 878895101 409,836 8,200 SH SOLE 8,200 TELLABS COM 879664100 2,420,635 390,425 SH SOLE 390,425 THREE FIVE SYSTEMS COM 88554L108 718,200 63,000 SH SOLE 63,000 TIMBERLINE SOFTWARE COM 887134104 92,480 17,000 SH SOLE 17,000 TRANSACTION SYSTEMS ARCHITECTS COM 893416107 4,909,212 417,450 SH SOLE 417,450 TRANSOCEAN COM G90078109 4,236,992 136,019 SH SOLE 136,019 TRENWICK GROUP LTD COM G9032C109 6,439,500 858,600 SH SOLE 858,600 TUPPERWARE COM 899896104 517,276 24,881 SH SOLE 24,881 TWIN DISC COM 901476101 3,330,000 225,000 SH SOLE 225,000 UNION PACIFIC COM 907818108 14,411,704 227,745 SH SOLE 227,745 USEC INC COM 90333E108 4,514,400 513,000 SH SOLE 513,000 VARIAN INSTRUMENTS COM 922206107 3,555,305 107,900 SH SOLE 107,900 VERITAS DGC COM 92343P107 604,800 48,000 SH SOLE 48,000 VERIZON COMMUNICATIONS COM 92343V104 543,310 13,532 SH SOLE 13,532 VIRBAC CORP COM 927649103 159,500 25,000 SH SOLE 25,000 VISTEON COM 92839U107 7,210,391 507,774 SH SOLE 507,774 VODAFONE GROUP PLC NEW COM 92857W100 815,656 59,755 SH SOLE 59,755 WAL-MART STORES COM 931142103 1,127,705 20,500 SH SOLE 20,500 WASHINGTON MUTUAL COM 939322103 1,274,617 34,347 SH SOLE 34,347 WORLDCOM - NEW COM 98157D106 485,888 585,407 SH SOLE 585,407 WYETH COM 983024100 1,675,827 32,731 SH SOLE 32,731 XCEL ENERGY COM 98389B100 229,783 13,702 SH SOLE 13,702 YUM BRANDS COM 988498101 994,910 34,014 SH SOLE 34,014 3COM COM 885535104 44,990 10,225 SH SOLE 10,225 3M COMPANY COM 88579Y101 455,100 3,700 SH SOLE 3,700 Line Count: 238