0000908195-12-000005.txt : 20121115
0000908195-12-000005.hdr.sgml : 20121115
20121115124006
ACCESSION NUMBER: 0000908195-12-000005
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120930
FILED AS OF DATE: 20121115
DATE AS OF CHANGE: 20121115
EFFECTIVENESS DATE: 20121115
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
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-04541
FILM NUMBER: 121207863
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
1
shufrorose09302012.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, 2012
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 November 15, 2012
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: 09/30/12
RUN DATE: 11/15/12 12:45 P.M.
REPORT SUMMARY:
NUMBER OF OTHER INCLUDED MANAGERS: 0
FORM 13F INFORMATION TABLE ENTRY TOTAL: 255
FORM 13F INFORMATION TABLE VALUE TOTAL: $752,698,907.84
LIST OF OTHER INCLUDED MANAGERS:
NO. 13F FILE NUMBER NAME
Shufro, Rose & CO LLC Page: 1
Form 13F Information Table
As of Date: 9/30/2012
- 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
BLACKROCK MUNIHOLDINGS NY INSD FUND 09255C106 217 13,200 SH SOLE 0 0 13,200
BLACKROCK MUNIYIELD NY INSD FD FUND 09255E102 279 18,500 SH SOLE 0 0 18,500
INVESCO VAN KAMPEN TR NY MUNIS FUND 46131T101 199 12,000 SH SOLE 0 0 12,000
INVESCO VAN KAMPEN TRUST FUND 46131M106 364 22,400 SH SOLE 0 0 22,400
WESTERN ASSET MUN PARTNERS FD FUND 95766P108 256 14,709 SH SOLE 0 0 14,709
HSBC HLDG 12-16-10 $1.55 PFD A PFD 404280604 389 15,400 SH SOLE 0 0 15,400
BLACKROCK FLT RT STRATEGIES FD FUND 09255X100 1,154 76,600 SH SOLE 0 0 76,600
DREYFUS HIGH YIELD STRATEGIES FUND 26200S101 63 14,500 SH SOLE 0 0 14,500
DWS MULTI MKT INCOME TR FUND 23338L108 723 64,100 SH SOLE 0 0 64,100
EATON VANCE FL RT INCOME TRUST FUND 278279104 183 11,000 SH SOLE 0 0 11,000
EATON VANCE LTD DURATION INC FUND 27828H105 722 42,550 SH SOLE 0 0 42,550
1ST TR / 4 CORNERS SR FLOAT FD FUND 33733U108 165 10,500 SH SOLE 0 0 10,500
NUVEEN (JTP) QLTY PFD INC FUND FUND 67071S101 147 16,500 SH SOLE 0 0 16,500
NUVEEN (JHP) QLTY PFD INC FD 3 FUND 67072W101 157 16,850 SH SOLE 0 0 16,850
NUVEEN MULTI-STRATEGY INCOME & FUND 67073B106 98 10,000 SH SOLE 0 0 10,000
NUVEEN MULTI-STRATEGY INC AND FUND 67073D102 158 16,300 SH SOLE 0 0 16,300
PIMCO FLOATING RATE INCOME FD FUND 72201H108 548 41,450 SH SOLE 0 0 41,450
PIMCO (PFN) FLOAT STRATEGY FD FUND 72201J104 346 30,300 SH SOLE 0 0 30,300
PUTNAM PREMIER INCOME TRUST FUND 746853100 128 22,420 SH SOLE 0 0 22,420
TEMPLETON GLOBAL INCOME FUND FUND 880198106 363 38,000 SH SOLE 0 0 38,000
WESTERN ASSET GLBL PTNS INC FD FUND 95766G108 240 17,700 SH SOLE 0 0 17,700
ABB LTD SPONSORED ADR COM 000375204 679 36,350 SH SOLE 0 0 36,350
ABBOTT LABORATORIES COM 002824100 7,978 116,368 SH SOLE 0 0 116,368
ABERDEEN ASIA PACIFIC FUND COM 003009107 317 40,800 SH SOLE 0 0 40,800
AGILYSYS COM 00847J105 1,288 149,865 SH SOLE 0 0 149,865
AGRIUM INC COM 008916108 10,465 100,910 SH SOLE 0 0 100,910
ALCOA COM 013817101 5,858 661,650 SH SOLE 0 0 661,650
AMERICAN EAGLE OUTFITTERS COM 02553E106 4,316 204,770 SH SOLE 0 0 204,770
AMERICAN ELECTRIC POWER COM 025537101 424 9,651 SH SOLE 0 0 9,651
AMERICAN EXPRESS COM 025816109 264 4,650 SH SOLE 0 0 4,650
AMERICAN SOFTWARE COM 029683109 147 18,050 SH SOLE 0 0 18,050
AMERICAN WATER WORKS COM 030420103 203 5,500 SH SOLE 0 0 5,500
AMGEN INC COM 031162100 13,938 165,360 SH SOLE 0 0 165,360
AON PLC SHS CL A COM G0408V102 2,060 39,400 SH SOLE 0 0 39,400
APPLE COMPUTER COM 037833100 628 942 SH SOLE 0 0 942
APPLIED MATERIALS COM 038222105 690 61,804 SH SOLE 0 0 61,804
ASTRO-MED INC COM 04638F108 86 10,004 SH SOLE 0 0 10,004
AT&T INC COM 00206R102 638 16,946 SH SOLE 0 0 16,946
ATC VENTURE GROUP COM 00213J101 7 46,500 SH SOLE 0 0 46,500
ATLANTIC AMERICAN CORP COM 048209100 206 75,300 SH SOLE 0 0 75,300
AUDIOCODES LTD ORD COM M15342104 30 12,000 SH SOLE 0 0 12,000
AUGUSTA RESOURCES COM 050912203 31 11,000 SH SOLE 0 0 11,000
AUTOMATIC DATA PROCESSING COM 053015103 434 7,400 SH SOLE 0 0 7,400
AVERY DENNISON COM 053611109 15,214 478,130 SH SOLE 0 0 478,130
AVX COM 002444107 5,895 614,740 SH SOLE 0 0 614,740
BAKER HUGHES COM 057224107 6,526 144,295 SH SOLE 0 0 144,295
BANK OF AMERICA COM 060505104 774 87,658 SH SOLE 0 0 87,658
BANK OF NEW YORK MELLON COM 064058100 415 18,365 SH SOLE 0 0 18,365
BAR HARBOR BANKSHARES COM 066849100 4,761 133,225 SH SOLE 0 0 133,225
BCB BANCORP INC (NJ) COM 055298103 289 27,500 SH SOLE 0 0 27,500
BERKSHIRE BANCORP COM 084597202 619 75,256 SH SOLE 0 0 75,256
Shufro, Rose & CO LLC Page: 2
Form 13F Information Table
As of Date: 9/30/2012
- 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
BERKSHIRE HATHAWAY A SHARES COM 084670108 1,990 15 SH SOLE 0 0 15
BERKSHIRE HATHAWAY B SHARES COM 084670702 5,055 57,318 SH SOLE 0 0 57,318
BIODELIVERY SCIENCES INTL COM 09060J106 103 16,300 SH SOLE 0 0 16,300
BLACKROCK ENHANCED EQU DIV TRT COM 09251A104 267 35,354 SH SOLE 0 0 35,354
BLACKROCK KELSO CAP COM 092533108 360 37,100 SH SOLE 0 0 37,100
BLYTH INC COM 09643P207 5,988 230,400 SH SOLE 0 0 230,400
BOARDWALK PIPELINE PARTNERS COM 096627104 237 8,500 SH SOLE 0 0 8,500
BP PLC COM 055622104 5,791 136,723 SH SOLE 0 0 136,723
BRISTOL-MYERS SQUIBB COM 110122108 468 13,867 SH SOLE 0 0 13,867
BUCKLE INC COM 118440106 8,170 179,845 SH SOLE 0 0 179,845
CAMAC ENERGY COM 131745101 92 196,400 SH SOLE 0 0 196,400
CARBO CERAMICS COM 140781105 394 6,275 SH SOLE 0 0 6,275
CARDIUM THERAPEUTICS COM 141916106 2 12,500 SH SOLE 0 0 12,500
CARNIVAL CRUISE LINES COM 143658300 287 7,885 SH SOLE 0 0 7,885
CARRIAGE SERVICES COM 143905107 419 43,350 SH SOLE 0 0 43,350
CASCADE CORP COM 147195101 2,304 42,100 SH SOLE 0 0 42,100
CERADYNE INC COM 156710105 6,207 254,085 SH SOLE 0 0 254,085
CHESAPEAKE ENERGY COM 165167107 243 12,900 SH SOLE 0 0 12,900
CHEVRON CORP COM 166764100 3,769 32,336 SH SOLE 0 0 32,336
CHICOS FAS COM 168615102 7,364 406,675 SH SOLE 0 0 406,675
CHINA SHENGDA PACKAGING GROUP COM 16950V107 22 24,500 SH SOLE 0 0 24,500
CHINACAST EDUCATION COM 16946T109 14 31,500 SH SOLE 0 0 31,500
CISCO SYSTEMS COM 17275R102 8,018 419,926 SH SOLE 0 0 419,926
CITIGROUP COM 172967424 1,746 53,380 SH SOLE 0 0 53,380
COCA-COLA COM 191216100 516 13,616 SH SOLE 0 0 13,616
COHEN & STEERS INFRASTRUCT FD COM 19248A109 336 18,457 SH SOLE 0 0 18,457
COMMERCIAL METALS COM 201723103 891 67,500 SH SOLE 0 0 67,500
CONOCOPHILLIPS COM 20825C104 738 12,913 SH SOLE 0 0 12,913
CONSOLIDATED ENERGY COM 20854P109 411 13,700 SH SOLE 0 0 13,700
CONSOLIDATED TOMOKA LAND COM 210226106 2,322 70,625 SH SOLE 0 0 70,625
COPART INC COM 217204106 1,198 43,226 SH SOLE 0 0 43,226
CORNING COM 219350105 6,203 471,733 SH SOLE 0 0 471,733
CRAY INC COM 225223304 305 24,000 SH SOLE 0 0 24,000
CVS CAREMARK COM 126650100 4,459 92,110 SH SOLE 0 0 92,110
CYBEROPTICS CORP COM 232517102 73 10,100 SH SOLE 0 0 10,100
DELL INC COM 24702R101 4,181 424,275 SH SOLE 0 0 424,275
DISNEY WALT COM 254687106 741 14,176 SH SOLE 0 0 14,176
DONEGAL GROUP COM 257701201 323 23,030 SH SOLE 0 0 23,030
DOT HILL SYSTEMS COM 25848T109 23 22,000 SH SOLE 0 0 22,000
D R HORTON COM 23331A109 281 13,660 SH SOLE 0 0 13,660
DUPONT COM 263534109 11,904 236,821 SH SOLE 0 0 236,821
EBAY COM 278642103 315 6,525 SH SOLE 0 0 6,525
EMERSON ELECTRIC COM 291011104 1,932 40,045 SH SOLE 0 0 40,045
ENERPLUS CORPORATION (ERF) COM 292766102 890 53,760 SH SOLE 0 0 53,760
ENTROPIC COMMUNICATIONS INC COM 29384R105 346 59,500 SH SOLE 0 0 59,500
ENZO BIOCHEM COM 294100102 37 18,579 SH SOLE 0 0 18,579
EQUUS II COM 294766100 42 19,237 SH SOLE 0 0 19,237
EXAMWORKS GROUP INC COM 30066A105 9,718 651,350 SH SOLE 0 0 651,350
EXELIS INC COM 30162A108 2,840 274,751 SH SOLE 0 0 274,751
EXELON CORP COM 30161N101 15,629 439,271 SH SOLE 0 0 439,271
EXXON MOBIL COM 30231G102 33,467 365,962 SH SOLE 0 0 365,962
Shufro, Rose & CO LLC Page: 3
Form 13F Information Table
As of Date: 9/30/2012
- 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
FLEXTRONICS INTERNATIONAL LTD COM Y2573F102 3,957 659,612 SH SOLE 0 0 659,612
FORD MOTOR CO COM 345370860 199 20,202 SH SOLE 0 0 20,202
FREEPORT MCMORAN COPPER & GOLD COM 35671D857 847 21,400 SH SOLE 0 0 21,400
FREIGHTCAR AMERICA COM 357023100 7,411 416,630 SH SOLE 0 0 416,630
FRIEDMAN INDUSTRIES COM 358435105 1,539 150,450 SH SOLE 0 0 150,450
GENERAL ELECTRIC COM 369604103 33,449 1,472,892 SH SOLE 0 0 1,472,892
GENERAL MILLS COM 370334104 607 15,250 SH SOLE 0 0 15,250
GENTEX CORP COM 371901109 1,901 111,895 SH SOLE 0 0 111,895
GERON CORP COM 374163103 83 48,900 SH SOLE 0 0 48,900
GETTY REALTY COM 374297109 793 44,212 SH SOLE 0 0 44,212
GILEAD SCIENCES COM 375558103 1,048 15,800 SH SOLE 0 0 15,800
GOLDFIELD CORP COM 381370105 127 67,300 SH SOLE 0 0 67,300
GREATER CHINA FUND COM 39167B102 585 51,333 SH SOLE 0 0 51,333
GSE SYSTEMS INC COM 36227K106 40 20,000 SH SOLE 0 0 20,000
GUARANTY BANCORP COM 40075T102 52 26,200 SH SOLE 0 0 26,200
HARDINGE INC COM 412324303 742 72,400 SH SOLE 0 0 72,400
HARRIS & HARRIS GROUP COM 413833104 2,117 558,800 SH SOLE 0 0 558,800
HARSCO CORP COM 415864107 6,947 338,390 SH SOLE 0 0 338,390
HCC INSURANCE HOLDINGS COM 404132102 10,097 297,940 SH SOLE 0 0 297,940
HEALTHCARE SERVICES GROUP COM 421906108 730 31,975 SH SOLE 0 0 31,975
HEINZ H J COM 423074103 207 3,700 SH SOLE 0 0 3,700
HEWLETT PACKARD COM 428236103 6,717 393,748 SH SOLE 0 0 393,748
HOME DEPOT COM 437076102 1,707 28,291 SH SOLE 0 0 28,291
ILLINOIS TOOL WORKS COM 452308109 9,529 160,235 SH SOLE 0 0 160,235
IMMUCELL CORP NEW COM 452525306 251 49,263 SH SOLE 0 0 49,263
INTEL COM 458140100 28,627 1,263,630 SH SOLE 0 0 1,263,630
INTELLIGENT SYSTEMS COM 45816D100 127 85,993 SH SOLE 0 0 85,993
INTL BUSINESS MACHINES COM 459200101 4,016 19,363 SH SOLE 0 0 19,363
INTL PAPER COM 460146103 8,413 231,638 SH SOLE 0 0 231,638
INTL RECTIFIER COM 460254105 5,587 334,794 SH SOLE 0 0 334,794
ISHARES SILVER TRUST COM 46428Q109 301 9,000 SH SOLE 0 0 9,000
ITT CORP NEW COM 450911201 5,233 259,748 SH SOLE 0 0 259,748
JACOBS ENGINEERING GROUP COM 469814107 8,461 209,285 SH SOLE 0 0 209,285
JAPAN EQUITY FUND COM 471057109 2,617 514,250 SH SOLE 0 0 514,250
JAPAN SMALLER CAP FUND COM 47109U104 1,578 218,932 SH SOLE 0 0 218,932
JEFFERIES GROUP COM 472319102 176 12,900 SH SOLE 0 0 12,900
JETBLUE AIRWAYS COM 477143101 142 29,800 SH SOLE 0 0 29,800
J & J SNACK FOODS COM 466032109 859 15,000 SH SOLE 0 0 15,000
JOHNSON & JOHNSON COM 478160104 4,454 64,646 SH SOLE 0 0 64,646
JOHNSON CONTROLS COM 478366107 13,723 500,851 SH SOLE 0 0 500,851
KELLOGG COM 487836108 2,147 41,565 SH SOLE 0 0 41,565
KELLY SERVICES CL A COM 488152208 5,988 475,250 SH SOLE 0 0 475,250
KIMBERLY-CLARK COM 494368103 394 4,600 SH SOLE 0 0 4,600
KOHLS CORP COM 500255104 2,282 44,555 SH SOLE 0 0 44,555
LAKELAND INDUSTRIES COM 511795106 373 62,697 SH SOLE 0 0 62,697
LAYNE CHRISTENSEN CO COM 521050104 6,053 308,700 SH SOLE 0 0 308,700
LEGG MASON COM 524901105 523 21,200 SH SOLE 0 0 21,200
LEXINGTON PROPERTY TRUST COM 529043101 339 35,123 SH SOLE 0 0 35,123
LOUISIANA PACIFIC COM 546347105 568 45,500 SH SOLE 0 0 45,500
LOWES COMPANIES COM 548661107 202 6,700 SH SOLE 0 0 6,700
L 3 COMMUNICATIONS HOLDINGS COM 502424104 6,454 90,015 SH SOLE 0 0 90,015
Shufro, Rose & CO LLC Page: 4
Form 13F Information Table
As of Date: 9/30/2012
- 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
M & T BANK CORP COM 55261F104 1,575 16,559 SH SOLE 0 0 16,559
MAGELLAN PETROLEUM COM 559091301 28 27,500 SH SOLE 0 0 27,500
MANHATTAN BRIDGE CAPITAL COM 562803106 35 33,975 SH SOLE 0 0 33,975
MARVELL TECHNOLOGY GROUP COM G5876H105 3,791 414,125 SH SOLE 0 0 414,125
MEADOWBROOK INSURANCE GROUP COM 58319P108 930 121,000 SH SOLE 0 0 121,000
MEDTRONIC COM 585055106 17,081 396,148 SH SOLE 0 0 396,148
MERCK & CO COM 58933Y105 1,839 40,795 SH SOLE 0 0 40,795
MEREDITH CORP COM 589433101 7,922 226,350 SH SOLE 0 0 226,350
METLIFE COM 59156R108 9,831 285,290 SH SOLE 0 0 285,290
MFS INTERMED INCOME TRUST COM 55273C107 1,141 177,780 SH SOLE 0 0 177,780
MICROSOFT COM 594918104 13,062 438,915 SH SOLE 0 0 438,915
MIDDLEBURG FINANCIAL CORP COM 596094102 2,102 118,371 SH SOLE 0 0 118,371
MOBILE MINI COM 60740F105 7,899 473,050 SH SOLE 0 0 473,050
MONMOUTH REAL ESTATE INVT CORP COM 609720107 223 20,000 SH SOLE 0 0 20,000
JPMORGAN CHASE & CO COM 46625H100 16,960 418,993 SH SOLE 0 0 418,993
MYLAN INC COM 628530107 238 9,770 SH SOLE 0 0 9,770
NATIONAL FUEL GAS COM 636180101 211 3,910 SH SOLE 0 0 3,910
NATIONAL WESTERN LIFE INS COM 638522102 8,799 61,430 SH SOLE 0 0 61,430
NAVIOS MARITIME COM Y62196103 84 23,500 SH SOLE 0 0 23,500
NEWPORT CORP COM 651824104 7,072 639,475 SH SOLE 0 0 639,475
NEW YORK COMMUNITY BANCORP COM 649445103 455 32,200 SH SOLE 0 0 32,200
NEWMONT MINING COM 651639106 280 5,000 SH SOLE 0 0 5,000
NORTHEAST UTILITIES COM 664397106 219 5,748 SH SOLE 0 0 5,748
NOVARTIS AG ADR COM 66987V109 276 4,515 SH SOLE 0 0 4,515
NYSE EURONEXT COM 629491101 307 12,485 SH SOLE 0 0 12,485
OCLARO INC COM 67555N206 111 41,340 SH SOLE 0 0 41,340
OLD REPUBLIC COM 680223104 518 55,775 SH SOLE 0 0 55,775
OMEGA PROTEIN COM 68210P107 1,116 162,700 SH SOLE 0 0 162,700
ONE BEACON INSURANCE LTD COM G67742109 208 15,500 SH SOLE 0 0 15,500
OPKO HEALTH INC COM 68375N103 60 14,500 SH SOLE 0 0 14,500
ORBOTECH LTD-ORD COM M75253100 320 37,400 SH SOLE 0 0 37,400
PEPSICO INC COM 713448108 741 10,475 SH SOLE 0 0 10,475
PDC ENERGY INC COM 69327R101 1,785 56,450 SH SOLE 0 0 56,450
PFIZER INC COM 717081103 10,457 420,821 SH SOLE 0 0 420,821
PHILLIPS 66 COM 718546104 330 7,128 SH SOLE 0 0 7,128
PHILIPS ELECTRONICS COM 500472303 264 11,269 SH SOLE 0 0 11,269
POWERSHARES QQQ TRUST SERIES 1 COM 73935A104 230 3,363 SH SOLE 0 0 3,363
PROCTER & GAMBLE COM 742718109 3,955 57,027 SH SOLE 0 0 57,027
PROSPECT CAPITAL COM 74348T102 1,742 151,300 SH SOLE 0 0 151,300
QUALCOMM COM 747525103 2,005 32,100 SH SOLE 0 0 32,100
QUEST DIAGNOSTICS COM 74834L100 7,806 123,065 SH SOLE 0 0 123,065
RAMCO GERSHENSON PROPERTIES TR COM 751452202 694 55,400 SH SOLE 0 0 55,400
RAND CAPITAL CORP COM 752185108 250 92,423 SH SOLE 0 0 92,423
RESEARCH FRONTIERS COM 760911107 208 46,950 SH SOLE 0 0 46,950
ROYAL DUTCH SHELL PLC ADR A COM 780259206 659 9,504 SH SOLE 0 0 9,504
SALISBURY BANCORP COM 795226109 1,260 50,425 SH SOLE 0 0 50,425
SANDISK CORP COM 80004C101 574 13,235 SH SOLE 0 0 13,235
SANOFI AVENTIS COM 80105N105 663 15,400 SH SOLE 0 0 15,400
SCHLUMBERGER LTD COM 806857108 352 4,870 SH SOLE 0 0 4,870
SCHEIN (HENRY) COM 806407102 808 10,200 SH SOLE 0 0 10,200
SCHMITT INDUSTRIES COM 806870200 279 86,000 SH SOLE 0 0 86,000
Shufro, Rose & CO LLC Page: 5
Form 13F Information Table
As of Date: 9/30/2012
- 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
SEABOARD CORP COM 811543107 474 210 SH SOLE 0 0 210
SENECA FOODS NEW COM 817070501 1,248 41,800 SH SOLE 0 0 41,800
SIMPSON MANUFACTURING COM 829073105 4,708 164,535 SH SOLE 0 0 164,535
SKECHERS USA COM 830566105 7,906 387,590 SH SOLE 0 0 387,590
SLM CORPORATION COM 78442P106 259 16,500 SH SOLE 0 0 16,500
SOCIEDAD QUIMICA MINERA CHILE COM 833635105 400 6,500 SH SOLE 0 0 6,500
SONOCO PRODUCTS COM 835495102 13,554 437,376 SH SOLE 0 0 437,376
SOUTHWEST AIRLINES COM 844741108 94 10,800 SH SOLE 0 0 10,800
SPDR S&P BIOTECH ETF COM 78464A870 541 5,800 SH SOLE 0 0 5,800
S & P MIDCAP 400 SPDR COM 78467Y107 581 3,234 SH SOLE 0 0 3,234
STRATTEC SECURITY COM 863111100 2,792 131,435 SH SOLE 0 0 131,435
SUNCOR ENERGY NEW COM 867224107 256 7,810 SH SOLE 0 0 7,810
SUPERIOR INDUSTRIES INTL COM 868168105 2,157 126,215 SH SOLE 0 0 126,215
SWISS HELVETIA FUND COM 870875101 3,393 315,064 SH SOLE 0 0 315,064
SYMMETRICOM INC COM 871543104 139 20,000 SH SOLE 0 0 20,000
SYSCO CORP COM 871829107 378 12,100 SH SOLE 0 0 12,100
SYSTEMAX COM 871851101 4,287 363,080 SH SOLE 0 0 363,080
TARGET CORP COM 87612E106 994 15,664 SH SOLE 0 0 15,664
TEJON RANCH CO COM 879080109 1,928 64,200 SH SOLE 0 0 64,200
TEMPLETON DRAGON FD COM 88018T101 635 24,800 SH SOLE 0 0 24,800
TERADYNE COM 880770102 2,947 207,310 SH SOLE 0 0 207,310
TESORO CORPORATION COM 881609101 649 15,500 SH SOLE 0 0 15,500
TEVA PHARMACEUTICAL COM 881624209 17,760 428,885 SH SOLE 0 0 428,885
TEXAS INSTRUMENTS COM 882508104 25,175 913,629 SH SOLE 0 0 913,629
THERMO FISHER SCIENTIFIC COM 883556102 12,074 205,242 SH SOLE 0 0 205,242
TICC CAPITAL CORP COM 87244T109 150 14,500 SH SOLE 0 0 14,500
TIME WARNER CABLE COM 88732J207 540 5,688 SH SOLE 0 0 5,688
TIME WARNER COM 887317303 927 20,454 SH SOLE 0 0 20,454
TRINITY INDUSTRIES COM 896522109 821 27,400 SH SOLE 0 0 27,400
UNILEVER PLC COM 904767704 2,369 64,890 SH SOLE 0 0 64,890
UNION PACIFIC COM 907818108 506 4,266 SH SOLE 0 0 4,266
UNITED PARCEL SERVICE COM 911312106 706 9,875 SH SOLE 0 0 9,875
UNITED TECHNOLOGIES COM 913017109 786 10,050 SH SOLE 0 0 10,050
VALERO ENERGY COM 91913Y100 551 17,400 SH SOLE 0 0 17,400
VEOLIA ENVIRONNEMENT ADR COM 92334N103 423 39,100 SH SOLE 0 0 39,100
VERIZON COMMUNICATIONS COM 92343V104 258 5,670 SH SOLE 0 0 5,670
VISHAY INTERTECHNOLOGY COM 928298108 245 25,000 SH SOLE 0 0 25,000
VISHAY PRECISION GROUP COM 92835K103 6,860 490,724 SH SOLE 0 0 490,724
VISTAPRINT NV COM N93540107 4,630 135,600 SH SOLE 0 0 135,600
VODAFONE GROUP PLC NEW COM 92857W209 13,771 483,280 SH SOLE 0 0 483,280
WALGREEN COM 931422109 663 18,200 SH SOLE 0 0 18,200
WALKER & DUNLOP COM 93148P102 6,078 395,500 SH SOLE 0 0 395,500
WAL-MART STORES COM 931142103 671 9,100 SH SOLE 0 0 9,100
WARWICK VALLEY TELEPHONE COM 936750108 373 28,700 SH SOLE 0 0 28,700
WASHINGTON POST COM 939640108 1,820 5,016 SH SOLE 0 0 5,016
WEATHERFORD INTL (BERMUDA) COM H27013103 687 54,200 SH SOLE 0 0 54,200
XYLEM INC COM 98419M100 754 29,990 SH SOLE 0 0 29,990
YM BIOSCIENCES COM 984238105 27 15,000 SH SOLE 0 0 15,000
ZALICUS INC COM 98887C105 7 10,000 SH SOLE 0 0 10,000
3M COMPANY COM 88579Y101 10,058 108,840 SH SOLE 0 0 108,840
CALL MEAD JOHNSON OCT 75 OPT 8J08826 15 14,800 SH SOLE 0 0 14,800
Line Count: 255