-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, N18+noAkZUG2FLTEvzi9uVJ6jFvvLGicKQBGjAwNlJG7nhveckvWiLv0DWvqdjd2 ER50XEYfmudfCwwsePO0Zg== 0000908195-08-000010.txt : 20081229 0000908195-08-000010.hdr.sgml : 20081225 20081229133017 ACCESSION NUMBER: 0000908195-08-000010 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060930 FILED AS OF DATE: 20081229 DATE AS OF CHANGE: 20081229 EFFECTIVENESS DATE: 20081229 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SHUFRO ROSE & CO LLC CENTRAL INDEX KEY: 0000908195 IRS NUMBER: 135390713 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-04541 FILM NUMBER: 081272022 BUSINESS ADDRESS: STREET 1: 745 FIFTH AVENUE STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10151-2600 BUSINESS PHONE: 2127545100 MAIL ADDRESS: STREET 1: 745 FIFTH AVENUE STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10151-2600 FORMER COMPANY: FORMER CONFORMED NAME: SHUFRO ROSE EHRMAN DATE OF NAME CHANGE: 19930624 13F-HR/A 1 shufrorose09302006a1.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: September 30, 2006 Check here if Amendment (X); Amendment Number: 1 This Amendment (Check only one): (X) is a restatement. ( ) 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 December 22, 2008 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: 09/30/06 RUN DATE: 12/22/08 11:00 A.M. REPORT SUMMARY: NUMBER OF OTHER INCLUDED MANAGERS: 0 FORM 13F INFORMATION TABLE ENTRY TOTAL: 321 FORM 13F INFORMATION TABLE VALUE TOTAL: $911,668,352.72 LIST OF OTHER INCLUDED MANAGERS: NO. 13F FILE NUMBER NAME Shufro, Rose & CO LLC Page: 1 Form 13F Information Table As of Date: 9/30/2006 - - Voting Authority - Title Name of Issuer of Class - CUSIP - Value Shares/ SH/ Put/ Invstmt/ Oth Voting Authority Shared None (X $1000) Prn Amt Prn Call Dscretn Mgrs Sole Shared None NUVEEN NY DIV ADVTG MUNI FD FUND 67066X107 234 15,000 SH SOLE 0 0 15,000 SALOMON(MNP)MUNI PARTNERS FD FUND 794916106 280 19,842 SH SOLE 0 0 19,842 SALOMON MUNICIPAL PRNRS FD II FUND 794918102 252 19,700 SH SOLE 0 0 19,700 VAN KAMPEN TR FOR INVESTMENT FUND 920931102 236 15,673 SH SOLE 0 0 15,673 NETWORK EQP TECH 7.25% 5-15-14 CONV BND 641208AA1 2,692 3,474,000 PRN SOLE 0 0 3,474,000 EATON VANCE LTD DURATION INC PFD 27828H105 835 47,203 SH SOLE 0 0 47,203 HUNTSMAN CORP 5% CONV PFD CONV PFD 447011206 404 10,050 SH SOLE 0 0 10,050 NUVEEN (JQC) PFD CV INC FUND PFD 67073D102 506 37,000 SH SOLE 0 0 37,000 NUVEEN (JTP) QLTY PFD INC FUND PFD 67071S101 269 18,800 SH SOLE 0 0 18,800 NUVEEN (JPS) QLTY PFD FD 2 PFD 67072C105 380 26,000 SH SOLE 0 0 26,000 NUVEEN (JHP) QLTY PFD INC FD 3 PFD 67072W101 541 36,700 SH SOLE 0 0 36,700 ROYAL BANK SCOTLAND 6.40% PFD PFD 780097796 1,929 75,900 SH SOLE 0 0 75,900 DWS MULTI MKT INCOME TR FUND 23338L108 271 26,000 SH SOLE 0 0 26,000 1ST TR / 4 CORNERS SR FLOAT FD FUND 33733U108 631 35,300 SH SOLE 0 0 35,300 LIBERTY ALL-STAR GROWTH FUND FUND 529900102 79 15,601 SH SOLE 0 0 15,601 PUTNAM PREMIER INCOME TRUST FUND 746853100 872 140,089 SH SOLE 0 0 140,089 SALOMON GLOBAL PARTNERS INC FD FUND 794914101 186 15,700 SH SOLE 0 0 15,700 TEMPLETON DRAGON FD INC FUND 88018T101 1,519 69,400 SH SOLE 0 0 69,400 ADAPTEC COM 00651F108 8,115 1,840,275 SH SOLE 0 0 1,840,275 AGCO CORP COM 001084102 2,022 79,795 SH SOLE 0 0 79,795 AGILYSYS COM 00847J105 4,695 334,450 SH SOLE 0 0 334,450 AGRIUM INC COM 008916108 18,295 677,860 SH SOLE 0 0 677,860 ALASKA PACIFIC BANCSHARES COM 011757101 563 25,900 SH SOLE 0 0 25,900 ALBANY MOLECULAR RESEARCH COM 012423109 1,226 131,000 SH SOLE 0 0 131,000 ALLOY INC COM 019855303 204 17,275 SH SOLE 0 0 17,275 ALLTEL CORP COM 020039103 627 11,300 SH SOLE 0 0 11,300 AMERICAN AXLE & MANUFACTURING COM 024061103 2,682 160,750 SH SOLE 0 0 160,750 AMERICAN EXPRESS COM 025816109 2,883 51,420 SH SOLE 0 0 51,420 AMERICAN FINANCIAL GROUP COM 025932104 234 5,000 SH SOLE 0 0 5,000 AMERICAN INTL GROUP COM 026874107 9,936 149,969 SH SOLE 0 0 149,969 AMERICAN POWER CONVERSION COM 029066107 8,422 383,535 SH SOLE 0 0 383,535 AMERICAN SOFTWARE COM 029683109 137 20,000 SH SOLE 0 0 20,000 AMERISERV FINANCIAL COM 03074A102 198 44,762 SH SOLE 0 0 44,762 AMGEN INC COM 031162100 261 3,660 SH SOLE 0 0 3,660 APAC CUSTOMER SERVICES COM 00185E106 135 51,100 SH SOLE 0 0 51,100 APPLE COMPUTER COM 037833100 277 3,600 SH SOLE 0 0 3,600 APPLIED MATERIALS COM 038222105 3,449 194,577 SH SOLE 0 0 194,577 ASYST TECHNOLOGIES COM 04648X107 742 109,765 SH SOLE 0 0 109,765 AT&T INC COM 00206R102 624 19,182 SH SOLE 0 0 19,182 AUTOMATIC DATA PROCESSING COM 053015103 551 11,655 SH SOLE 0 0 11,655 AVAYA COM 053499109 517 45,257 SH SOLE 0 0 45,257 BANK OF AMERICA COM 060505104 2,228 41,601 SH SOLE 0 0 41,601 BAR HARBOR BANKSHARES COM 066849100 5,785 194,150 SH SOLE 0 0 194,150 BAUSCH & LOMB COM 071707103 7,256 144,755 SH SOLE 0 0 144,755 BEAR STEARNS COMPANIES COM 073902108 834 5,958 SH SOLE 0 0 5,958 BELLSOUTH COM 079860102 527 12,333 SH SOLE 0 0 12,333 BERKSHIRE BANCORP COM 084597202 1,396 87,270 SH SOLE 0 0 87,270 BERKSHIRE HATHAWAY A SHARES COM 084670108 1,916 20 SH SOLE 0 0 20 BERKSHIRE HATHAWAY B SHARES COM 084670207 7,271 2,291 SH SOLE 0 0 2,291 BNCCORP INC COM 055936108 200 16,500 SH SOLE 0 0 16,500 BOMBAY STORES COM 097924104 131 96,200 SH SOLE 0 0 96,200 Shufro, Rose & CO LLC Page: 2 Form 13F Information Table As of Date: 9/30/2006 - - Voting Authority - Title Name of Issuer of Class - CUSIP - Value Shares/ SH/ Put/ Invstmt/ Oth Voting Authority Shared None (X $1000) Prn Amt Prn Call Dscretn Mgrs Sole Shared None BORLAND SOFTWARE COM 099849101 1,282 223,800 SH SOLE 0 0 223,800 BOSTON COMMUNICATIONS GROUP COM 100582105 449 221,200 SH SOLE 0 0 221,200 BP PLC COM 055622104 1,857 28,318 SH SOLE 0 0 28,318 BRESLER & REINER COM 107336109 705 25,300 SH SOLE 0 0 25,300 BRIGGS & STRATTON CORP COM 109043109 275 10,000 SH SOLE 0 0 10,000 BRISTOL-MYERS SQUIBB COM 110122108 568 22,809 SH SOLE 0 0 22,809 BROOKS AUTOMATION COM 114340102 3,818 292,612 SH SOLE 0 0 292,612 BRUKER BIOSCIENCES COM 116794108 5,519 787,400 SH SOLE 0 0 787,400 CABELA'S INC COM 126804301 11,712 538,990 SH SOLE 0 0 538,990 CALAMP CORP COM 128126109 873 143,500 SH SOLE 0 0 143,500 CALIFORNIA PIZZA KITCHEN COM 13054D109 10,903 364,285 SH SOLE 0 0 364,285 CARNIVAL CRUISE LINES COM 143658300 749 15,930 SH SOLE 0 0 15,930 CARRIAGE SERVICES COM 143905107 326 70,100 SH SOLE 0 0 70,100 CASUAL MALE RETAIL GROUP COM 148711104 142 10,400 SH SOLE 0 0 10,400 CBS CLASS B COM 124857202 879 31,206 SH SOLE 0 0 31,206 C & D TECHNOLOGIES COM 124661109 170 24,050 SH SOLE 0 0 24,050 CHARMING SHOPPES COM 161133103 11,099 777,300 SH SOLE 0 0 777,300 CHEMICAL FINANCIAL COM 163731102 691 23,285 SH SOLE 0 0 23,285 CHESAPEAKE ENERGY COM 165167107 965 33,300 SH SOLE 0 0 33,300 CHEVRON CORP COM 166764100 2,875 44,332 SH SOLE 0 0 44,332 CHICOS FAS COM 168615102 811 37,700 SH SOLE 0 0 37,700 CIMAREX ENERGY COM 171798101 1,300 36,950 SH SOLE 0 0 36,950 CISCO SYSTEMS COM 17275R102 622 27,052 SH SOLE 0 0 27,052 CITIGROUP COM 172967101 5,737 115,512 SH SOLE 0 0 115,512 CITIZENS BANKING COM 174420109 446 17,000 SH SOLE 0 0 17,000 CMGI INC COM 125750109 1,074 1,013,430 SH SOLE 0 0 1,013,430 COCA-COLA COM 191216100 305 6,845 SH SOLE 0 0 6,845 COLGATE PALMOLIVE COM 194162103 3,290 52,990 SH SOLE 0 0 52,990 COLLINS & AIKMAN COM 194830204 0 14,400 SH SOLE 0 0 14,400 COMCAST NEW CLASS A COM 20030N101 767 20,835 SH SOLE 0 0 20,835 COMMERCE GROUP COM 200641108 8,712 289,920 SH SOLE 0 0 289,920 COMMUNITY BANK SYSTEMS COM 203607106 1,149 51,875 SH SOLE 0 0 51,875 CONCORD CAMERA COM 206156101 49 99,400 SH SOLE 0 0 99,400 CONOCOPHILLIPS COM 20825C104 236 3,976 SH SOLE 0 0 3,976 CONSOLIDATED EDISON COM 209115104 232 5,030 SH SOLE 0 0 5,030 COOLBRANDS INTERNATIONAL COM 21639P208 177 301,000 SH SOLE 0 0 301,000 CORGI INTERNATIONAL LTD ADR COM 21872Q103 111 106,500 SH SOLE 0 0 106,500 CORNING COM 219350105 323 13,233 SH SOLE 0 0 13,233 COSTCO WHOLESALE COM 22160K105 670 13,500 SH SOLE 0 0 13,500 COST PLUS COM 221485105 1,466 122,500 SH SOLE 0 0 122,500 COUNTRYWIDE FINANCIAL COM 222372104 381 10,900 SH SOLE 0 0 10,900 CRAWFORD & CO COM 224633107 1,571 231,500 SH SOLE 0 0 231,500 CREDENCE SYSTEMS COM 225302108 3,850 1,350,950 SH SOLE 0 0 1,350,950 CURAGEN COM 23126R101 48 14,000 SH SOLE 0 0 14,000 DESIGN WITHIN REACH COM 250557105 183 30,000 SH SOLE 0 0 30,000 DIGIMARC CORP COM 253807101 329 42,500 SH SOLE 0 0 42,500 DISCOVERY HOLDING CLASS A COM 25468Y107 169 11,709 SH SOLE 0 0 11,709 DISNEY WALT COM 254687106 5,795 187,487 SH SOLE 0 0 187,487 DOLLAR TREE STORES COM 256747106 10,674 344,795 SH SOLE 0 0 344,795 DOT HILL SYSTEMS COM 25848T109 39 10,000 SH SOLE 0 0 10,000 DOW CHEMICAL COM 260543103 8,032 206,065 SH SOLE 0 0 206,065 Shufro, Rose & CO LLC Page: 3 Form 13F Information Table As of Date: 9/30/2006 - - Voting Authority - Title Name of Issuer of Class - CUSIP - Value Shares/ SH/ Put/ Invstmt/ Oth Voting Authority Shared None (X $1000) Prn Amt Prn Call Dscretn Mgrs Sole Shared None D R HORTON COM 23331A109 8,112 338,725 SH SOLE 0 0 338,725 DRUGSTORE.COM COM 262241102 1,090 316,200 SH SOLE 0 0 316,200 DUPONT COM 263534109 20,302 473,910 SH SOLE 0 0 473,910 EMERSON ELECTRIC COM 291011104 212 2,539 SH SOLE 0 0 2,539 ENERVEST DIVERS INCOME(EVDVF) COM 292963105 62 10,000 SH SOLE 0 0 10,000 ENESCO GROUP COM 292973104 101 381,800 SH SOLE 0 0 381,800 ENZO BIOCHEM COM 294100102 625 51,340 SH SOLE 0 0 51,340 EPLUS INC COM 294268107 97 10,000 SH SOLE 0 0 10,000 ESPEED INC COM 296643109 1,180 128,300 SH SOLE 0 0 128,300 ETHAN ALLEN INTERIORS COM 297602104 11,626 335,450 SH SOLE 0 0 335,450 EUROPEAN EQUITY FUND COM 298768102 3,145 297,282 SH SOLE 0 0 297,282 EXXON MOBIL COM 30231G102 26,555 395,755 SH SOLE 0 0 395,755 FAMILY DOLLAR STORES COM 307000109 912 31,200 SH SOLE 0 0 31,200 FASTENAL COM 311900104 1,126 29,200 SH SOLE 0 0 29,200 FRIEDMAN BILLINGS RAMSEY GROUP COM 358434108 2,146 267,300 SH SOLE 0 0 267,300 FEDERAL SIGNAL COM 313855108 9,223 604,805 SH SOLE 0 0 604,805 FEDEX CORP COM 31428X106 4,554 41,905 SH SOLE 0 0 41,905 FIFTH THIRD BANCORP COM 316773100 605 15,900 SH SOLE 0 0 15,900 FIRST ALBANY COMPANIES COM 318465101 3,859 918,900 SH SOLE 0 0 918,900 FIRST BANK OF DELAWARE COM 319307104 411 142,047 SH SOLE 0 0 142,047 FIRST DATA COM 319963104 2,134 50,820 SH SOLE 0 0 50,820 FIRST NATIONAL BANK ALASKA COM 32112J106 6,109 3,047 SH SOLE 0 0 3,047 FIRST NIAGARA FINANCIAL COM 33582V108 775 53,200 SH SOLE 0 0 53,200 FLEXIINTERNATIONAL SOFTWARE COM 338923105 17 75,000 SH SOLE 0 0 75,000 FLEXTRONICS INTERNATIONAL LTD COM Y2573F102 11,171 883,831 SH SOLE 0 0 883,831 FORD MOTOR CO COM 345370860 134 16,602 SH SOLE 0 0 16,602 FOREST LABORATORIES COM 345838106 263 5,200 SH SOLE 0 0 5,200 FOSSIL INC COM 349882100 1,626 75,500 SH SOLE 0 0 75,500 FOUNDRY NETWORKS COM 35063R100 854 65,000 SH SOLE 0 0 65,000 FRANKLIN BANK COM 352451108 1,264 63,600 SH SOLE 0 0 63,600 FREDS INC COM 356108100 807 64,000 SH SOLE 0 0 64,000 FRIEDMAN INDUSTRIES COM 358435105 633 75,700 SH SOLE 0 0 75,700 GENAERA CORP COM 36867G100 4 10,000 SH SOLE 0 0 10,000 GENERAL ELECTRIC COM 369604103 56,760 1,607,946 SH SOLE 0 0 1,607,946 GERON CORP COM 374163103 302 48,300 SH SOLE 0 0 48,300 GIGA TRONICS COM 375175106 22 15,700 SH SOLE 0 0 15,700 GLATFELTER COM 377316104 421 31,100 SH SOLE 0 0 31,100 GLAXO SMITHKLINE PLC COM 37733W105 279 5,255 SH SOLE 0 0 5,255 GLOBAL AIRCRAFT SOLUTIONS COM 378964100 20 20,000 SH SOLE 0 0 20,000 GREATER CHINA FUND COM 39167B102 469 24,765 SH SOLE 0 0 24,765 GSI GROUP COM 36229U102 93 10,000 SH SOLE 0 0 10,000 HANCOCK FABRICS COM 409900107 399 139,200 SH SOLE 0 0 139,200 HEALTH FITNESS COM 42217V102 75 47,500 SH SOLE 0 0 47,500 HEARST-ARGYLE TELEVISION COM 422317107 7,170 312,450 SH SOLE 0 0 312,450 HELEN OF TROY LTD BERMUDA COM G4388N106 439 25,000 SH SOLE 0 0 25,000 HEWITT ASSOCIATES COM 42822Q100 485 20,000 SH SOLE 0 0 20,000 HEWLETT PACKARD COM 428236103 12,099 329,783 SH SOLE 0 0 329,783 HOME DEPOT COM 437076102 4,636 127,820 SH SOLE 0 0 127,820 HOOPER HOLMES COM 439104100 2,877 853,800 SH SOLE 0 0 853,800 HUDSON HOLDING COM 443793104 9 10,000 SH SOLE 0 0 10,000 HUMAN GENOME SCIENCES COM 444903108 357 31,002 SH SOLE 0 0 31,002 Shufro, Rose & CO LLC Page: 4 Form 13F Information Table As of Date: 9/30/2006 - - Voting Authority - Title Name of Issuer of Class - CUSIP - Value Shares/ SH/ Put/ Invstmt/ Oth Voting Authority Shared None (X $1000) Prn Amt Prn Call Dscretn Mgrs Sole Shared None IDERA PHARMACEUTICALS COM 45168K306 44 10,749 SH SOLE 0 0 10,749 IMMERSION CORP COM 452521107 292 40,900 SH SOLE 0 0 40,900 INFOCUS GROUP COM 45665B106 168 59,200 SH SOLE 0 0 59,200 INTEL COM 458140100 18,500 899,407 SH SOLE 0 0 899,407 INTERPUBLIC GROUP OF COMPANIES COM 460690100 960 97,000 SH SOLE 0 0 97,000 INTERVIDEO INC COM 46114Y101 337 26,500 SH SOLE 0 0 26,500 INTL BUSINESS MACHINES COM 459200101 13,053 159,311 SH SOLE 0 0 159,311 INTL COAL GROUP COM 45928H106 4,353 1,031,710 SH SOLE 0 0 1,031,710 INTL PAPER COM 460146103 29,197 843,125 SH SOLE 0 0 843,125 INTERNATIONAL RECTIFIER COM 460254105 3,461 99,355 SH SOLE 0 0 99,355 INTERPOOL INC COM 46062R108 8,121 361,590 SH SOLE 0 0 361,590 JAKKS PACIFIC COM 47012E106 962 54,000 SH SOLE 0 0 54,000 JAPAN EQUITY FUND COM 471057109 8,094 995,600 SH SOLE 0 0 995,600 JOHNSON & JOHNSON COM 478160104 11,066 170,417 SH SOLE 0 0 170,417 JOY GLOBAL COM 481165108 357 9,500 SH SOLE 0 0 9,500 KADANT COM 48282T104 11,863 483,055 SH SOLE 0 0 483,055 KEMET CORP COM 488360108 3,366 417,200 SH SOLE 0 0 417,200 KIMBERLY-CLARK COM 494368103 950 14,540 SH SOLE 0 0 14,540 KINDRED HEALTHCARE COM 494580103 1,156 38,900 SH SOLE 0 0 38,900 KYOCERA CORP ADR COM 501556203 6,176 72,210 SH SOLE 0 0 72,210 LA BARGE INC COM 502470107 173 16,700 SH SOLE 0 0 16,700 LEAPFROG ENTERPRISES COM 52186N106 1,403 176,928 SH SOLE 0 0 176,928 LEAR CORP COM 521865105 503 24,300 SH SOLE 0 0 24,300 LEXINGTON PROPERTY TRUST COM 529043101 4,001 188,950 SH SOLE 0 0 188,950 LIBBEY INC COM 529898108 170 15,200 SH SOLE 0 0 15,200 LIBERTY MEDIA HLDG CAPITAL A COM 53071M302 4,751 56,851 SH SOLE 0 0 56,851 LIBERTY GLOBAL A COM 530555101 626 24,354 SH SOLE 0 0 24,354 LIBERTY MEDIA HLDG INTRACTVE A COM 53071M104 5,780 283,658 SH SOLE 0 0 283,658 LSI LOGIC COM 502161102 1,851 225,300 SH SOLE 0 0 225,300 M & T BANK COM 55261F104 11,933 99,483 SH SOLE 0 0 99,483 MANHATTAN PHARMACEUTICALS COM 563118207 7 10,000 SH SOLE 0 0 10,000 MANULIFE FINANCIAL COM 56501R106 259 8,040 SH SOLE 0 0 8,040 MARSH & MCLENNAN COM 571748102 686 24,400 SH SOLE 0 0 24,400 MCDATA CORP CL B COM 580031102 104 21,200 SH SOLE 0 0 21,200 MEADOWBROOK INSURANCE GROUP COM 58319P108 541 48,100 SH SOLE 0 0 48,100 MEDTRONIC COM 585055106 457 9,858 SH SOLE 0 0 9,858 MELLON FINANCIAL COM 58551A108 1,228 31,413 SH SOLE 0 0 31,413 MEMORY PHARMACEUTICALS COM 58606R403 33 33,000 SH SOLE 0 0 33,000 MERCK & CO COM 589331107 1,202 28,703 SH SOLE 0 0 28,703 MEREDITH CORP COM 589433101 2,996 60,745 SH SOLE 0 0 60,745 MERRILL LYNCH COM 590188108 11,391 145,633 SH SOLE 0 0 145,633 META FINANCIAL GROUP COM 59100U108 546 22,217 SH SOLE 0 0 22,217 METLIFE COM 59156R108 13,799 243,465 SH SOLE 0 0 243,465 MFA MORTGAGE INVESTMENTS COM 55272X102 1,487 199,600 SH SOLE 0 0 199,600 MFS CHARTER INCOME TRUST COM 552727109 746 88,800 SH SOLE 0 0 88,800 MICHAELS STORES COM 594087108 539 12,400 SH SOLE 0 0 12,400 MICROSOFT COM 594918104 1,008 36,912 SH SOLE 0 0 36,912 MITTAL STEEL COM 60684P101 625 18,000 SH SOLE 0 0 18,000 MONACO COACH COM 60886R103 9,715 872,155 SH SOLE 0 0 872,155 MONMOUTH REAL ESTATE INVT CORP COM 609720107 310 38,750 SH SOLE 0 0 38,750 JPMORGAN CHASE & CO COM 46625H100 24,620 524,296 SH SOLE 0 0 524,296 Shufro, Rose & CO LLC Page: 5 Form 13F Information Table As of Date: 9/30/2006 - - Voting Authority - Title Name of Issuer of Class - CUSIP - Value Shares/ SH/ Put/ Invstmt/ Oth Voting Authority Shared None (X $1000) Prn Amt Prn Call Dscretn Mgrs Sole Shared None MORGAN STANLEY COM 617446448 526 7,221 SH SOLE 0 0 7,221 MORGAN STANLEY ASIA PACIFIC FD COM 61744U106 1,974 117,400 SH SOLE 0 0 117,400 MYLAN LABORATORIES COM 628530107 483 24,000 SH SOLE 0 0 24,000 NANOPHASE TECHNOLOGIES COM 630079101 71 11,800 SH SOLE 0 0 11,800 NASDAQ 100 SHARES COM 631100104 396 9,747 SH SOLE 0 0 9,747 NATURES SUNSHINE PRODUCTS COM 639027101 229 22,000 SH SOLE 0 0 22,000 NATIONAL WESTERN LIFE INSUR COM 638522102 11,151 48,510 SH SOLE 0 0 48,510 NBTY INC COM 628782104 380 13,000 SH SOLE 0 0 13,000 NEOMAGIC CORP COM 640497202 522 186,660 SH SOLE 0 0 186,660 NESTLE SA ADR COM 641069406 360 4,150 SH SOLE 0 0 4,150 NETWORK EQUIPMENT TECHNOLOGIES COM 641208103 3,291 798,900 SH SOLE 0 0 798,900 NEWALLIANCE BANCSHARES COM 650203102 235 16,059 SH SOLE 0 0 16,059 NEWCASTLE INVESTMENT COM 65105M108 1,548 56,500 SH SOLE 0 0 56,500 NEWPORT CORP COM 651824104 2,257 138,500 SH SOLE 0 0 138,500 NOVELL COM 670006105 256 42,000 SH SOLE 0 0 42,000 NYSE GROUP COM 62949W103 920 12,311 SH SOLE 0 0 12,311 OLD REPUBLIC COM 680223104 1,499 67,711 SH SOLE 0 0 67,711 ON ASSIGNMENT COM 682159108 484 49,400 SH SOLE 0 0 49,400 ORACLE COM 68389X105 342 19,295 SH SOLE 0 0 19,295 OVERLAND STORAGE COM 690310107 3,674 569,700 SH SOLE 0 0 569,700 PAMRAPO BANCORP COM 697738102 744 38,500 SH SOLE 0 0 38,500 PARAMETRIC TECHNOLOGY NEW COM 699173209 698 40,000 SH SOLE 0 0 40,000 PATHMARK STORES COM 70322A101 706 71,000 SH SOLE 0 0 71,000 PCTEL COM 69325Q105 410 39,100 SH SOLE 0 0 39,100 PDI INC COM 69329V100 543 46,750 SH SOLE 0 0 46,750 PEPSICO INC COM 713448108 1,918 29,403 SH SOLE 0 0 29,403 PFIZER INC COM 717081103 16,610 585,709 SH SOLE 0 0 585,709 PHILIPS ELECTRONICS COM 500472303 440 12,584 SH SOLE 0 0 12,584 PHOENIX TECHNOLOGIES LTD COM 719153108 804 187,100 SH SOLE 0 0 187,100 PIPER JAFFRAY COM 724078100 527 8,700 SH SOLE 0 0 8,700 PLANAR SYSTEMS COM 726900103 5,591 492,600 SH SOLE 0 0 492,600 PMA CAPITAL CL A COM 693419202 154 17,500 SH SOLE 0 0 17,500 PNC FINANCIAL SERVICES GROUP COM 693475105 1,233 17,025 SH SOLE 0 0 17,025 PRICESMART INC COM 741511109 399 26,440 SH SOLE 0 0 26,440 PROCTER & GAMBLE COM 742718109 218 3,526 SH SOLE 0 0 3,526 QLT INC COM 746927102 121 16,000 SH SOLE 0 0 16,000 QUALCOMM COM 747525103 379 10,442 SH SOLE 0 0 10,442 QUICKSILVER COM 74838C106 366 30,200 SH SOLE 0 0 30,200 RAYTHEON COM 755111507 207 4,323 SH SOLE 0 0 4,323 REGAL-BELOIT COM 758750103 4,972 114,300 SH SOLE 0 0 114,300 REGENERON PHARMACEUTICALS COM 75886F107 382 24,400 SH SOLE 0 0 24,400 REPUBLIC FIRST BANCORP COM 760416107 768 57,943 SH SOLE 0 0 57,943 RESTORATION HARDWARE COM 760981100 292 33,700 SH SOLE 0 0 33,700 RICHARDSON ELECTRONICS COM 763165107 280 31,024 SH SOLE 0 0 31,024 ROHM & HAAS COM 775371107 217 4,600 SH SOLE 0 0 4,600 THE ROWE COMPANIES COM 779528108 30 69,800 SH SOLE 0 0 69,800 ROYAL DUTCH SHELL PLC ADR A COM 780259206 559 8,460 SH SOLE 0 0 8,460 SAFECO COM 786429100 424 7,200 SH SOLE 0 0 7,200 SAKS INC COM 79377W108 21,004 1,215,540 SH SOLE 0 0 1,215,540 SALISBURY BANCORP COM 795226109 992 25,200 SH SOLE 0 0 25,200 SCHEIN (HENRY) COM 806407102 1,594 31,800 SH SOLE 0 0 31,800 Shufro, Rose & CO LLC Page: 6 Form 13F Information Table As of Date: 9/30/2006 - - Voting Authority - Title Name of Issuer of Class - CUSIP - Value Shares/ SH/ Put/ Invstmt/ Oth Voting Authority Shared None (X $1000) Prn Amt Prn Call Dscretn Mgrs Sole Shared None SCHLUMBERGER LTD COM 806857108 329 5,318 SH SOLE 0 0 5,318 SCHMITT INDUSTRIES COM 806870200 967 142,700 SH SOLE 0 0 142,700 SCIENCE DYNAMICS COM 808631105 28 469,350 SH SOLE 0 0 469,350 SEABOARD CORP COM 811543107 1,048 870 SH SOLE 0 0 870 SEATTLE GENETICS COM 812578102 48 10,000 SH SOLE 0 0 10,000 SE FINANCIAL COM 78412R108 677 52,325 SH SOLE 0 0 52,325 SEMCO ENERGY COM 78412D109 62 11,000 SH SOLE 0 0 11,000 SENECA FOODS NEW COM 817070501 715 26,400 SH SOLE 0 0 26,400 SIFCO INDUSTRIES COM 826546103 190 45,300 SH SOLE 0 0 45,300 SILICON STORAGE TECHNOLOGY COM 827057100 300 73,000 SH SOLE 0 0 73,000 SIMPLETECH COM 828823104 373 41,000 SH SOLE 0 0 41,000 SIMPSON MANUFACTURING COM 829073105 484 17,935 SH SOLE 0 0 17,935 SITEL CORP COM 82980K107 336 111,800 SH SOLE 0 0 111,800 SONOSITE COM 83568G104 8,548 301,005 SH SOLE 0 0 301,005 SPANISH BROADCASTING SYSTEM A COM 846425882 152 35,000 SH SOLE 0 0 35,000 SPANSION INC COM 84649R101 2,190 131,400 SH SOLE 0 0 131,400 STARRETT L S COM 855668109 777 54,400 SH SOLE 0 0 54,400 STATE STREET COM 857477103 8,023 128,585 SH SOLE 0 0 128,585 STONERIDGE COM 86183P102 2,061 289,500 SH SOLE 0 0 289,500 SUN MICROSYSTEMS COM 866810104 133 26,840 SH SOLE 0 0 26,840 SONOCO PRODUCTS COM 835495102 9,625 286,120 SH SOLE 0 0 286,120 SUNTERRA CORPORATION COM 86787D208 720 63,575 SH SOLE 0 0 63,575 SUPERIOR INDUSTRIES INTL COM 868168105 1,992 118,700 SH SOLE 0 0 118,700 SWISS HELVETIA FUND COM 870875101 12,394 656,480 SH SOLE 0 0 656,480 SYMMETRICOM INC COM 871543104 2,195 272,100 SH SOLE 0 0 272,100 SYNOPSYS INC COM 871607107 197 10,000 SH SOLE 0 0 10,000 SYSCO CORP COM 871829107 225 6,755 SH SOLE 0 0 6,755 TARGET CORP COM 87612E106 1,011 18,300 SH SOLE 0 0 18,300 TARRAGON REALTY INVESTORS COM 876287103 184 17,700 SH SOLE 0 0 17,700 TASTY BAKING COM 876553306 354 38,800 SH SOLE 0 0 38,800 TECUMSEH PRODUCTS CLASS A COM 878895200 185 12,180 SH SOLE 0 0 12,180 TELLABS COM 879664100 703 64,200 SH SOLE 0 0 64,200 TERADYNE COM 880770102 2,166 164,600 SH SOLE 0 0 164,600 TEXAS INSTRUMENTS COM 882508104 298 8,980 SH SOLE 0 0 8,980 THERMO ELECTRON COM 883556102 3,657 93,000 SH SOLE 0 0 93,000 TIME WARNER COM 887317105 2,969 162,900 SH SOLE 0 0 162,900 TOOTSIE ROLL INDUSTRIES COM 890516107 207 7,076 SH SOLE 0 0 7,076 TRANSATLANTIC HOLDINGS COM 893521104 8,718 144,320 SH SOLE 0 0 144,320 TYCO INTERNATIONAL LTD COM 902124106 354 12,650 SH SOLE 0 0 12,650 UNIONBANCORP COM 908908106 327 17,100 SH SOLE 0 0 17,100 UNITED CAPITAL COM 909912107 523 19,600 SH SOLE 0 0 19,600 UNUMPROVIDENT CORP COM 91529Y106 1,023 52,800 SH SOLE 0 0 52,800 USEC INC COM 90333E108 365 37,900 SH SOLE 0 0 37,900 UTSTARCOM INC COM 918076100 3,225 363,640 SH SOLE 0 0 363,640 VALENCE TECH COM 918914102 439 226,700 SH SOLE 0 0 226,700 VARIAN INC COM 922206107 15,948 347,679 SH SOLE 0 0 347,679 VERIZON COMMUNICATIONS COM 92343V104 255 6,891 SH SOLE 0 0 6,891 VIACOM CLASS B COM 92553P201 7,701 207,144 SH SOLE 0 0 207,144 VILLAGE SUPERMARKET COM 927107409 334 5,000 SH SOLE 0 0 5,000 VIRBAC CORP COM 927649103 1,072 205,500 SH SOLE 0 0 205,500 VISHAY INTERTECHNOLOGY COM 928298108 213 15,200 SH SOLE 0 0 15,200 Shufro, Rose & CO LLC Page: 7 Form 13F Information Table As of Date: 9/30/2006 - - Voting Authority - Title Name of Issuer of Class - CUSIP - Value Shares/ SH/ Put/ Invstmt/ Oth Voting Authority Shared None (X $1000) Prn Amt Prn Call Dscretn Mgrs Sole Shared None VITESSE SEMICONDUCTOR COM 928497106 970 979,862 SH SOLE 0 0 979,862 VODAFONE GROUP PLC NEW COM 92857W209 471 20,627 SH SOLE 0 0 20,627 VORNADO REALTY TRUST COM 929042109 212 1,950 SH SOLE 0 0 1,950 WAL-MART STORES COM 931142103 566 11,486 SH SOLE 0 0 11,486 WASHINGTON POST COM 939640108 1,345 1,826 SH SOLE 0 0 1,826 WATSON PHARMACEUTICALS COM 942683103 10,355 395,710 SH SOLE 0 0 395,710 WESTAFF INC COM 957070105 809 198,000 SH SOLE 0 0 198,000 WILSONS LEATHER EXPERTS COM 972463103 185 70,100 SH SOLE 0 0 70,100 WIRELESS FACILITIES COM 97653A103 1,787 835,300 SH SOLE 0 0 835,300 WRIGLEY WILLIAM JR COM 982526105 7,700 167,180 SH SOLE 0 0 167,180 WYETH COM 983024100 901 17,732 SH SOLE 0 0 17,732 YUM BRANDS COM 988498101 968 18,601 SH SOLE 0 0 18,601 ZEBRA TECHNOLOGIES COM 989207105 285 8,000 SH SOLE 0 0 8,000 3COM COM 885535104 881 199,900 SH SOLE 0 0 199,900 3M COMPANY COM 88579Y101 27,406 368,266 SH SOLE 0 0 368,266 Line Count: 321
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