0001085146-14-001274.txt : 20140627
0001085146-14-001274.hdr.sgml : 20140627
20140623191154
ACCESSION NUMBER: 0001085146-14-001274
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20120930
FILED AS OF DATE: 20140624
DATE AS OF CHANGE: 20140623
EFFECTIVENESS DATE: 20140624
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: 14936163
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
primary_doc.xml
13F-HR/A
LIVE
false
true
false
0000908195
XXXXXXXX
09-30-2012
09-30-2012
true
1
RESTATEMENT
false
SHUFRO ROSE & CO LLC
745 FIFTH AVENUE
26TH FLOOR
NEW YORK
NY
10151-2600
13F HOLDINGS REPORT
028-04541
N
Steven J. Glass
Managing Director
212-754-5100
/s/ Steven J. Glass
New York
NY
06-12-2014
0
279
768325
INFORMATION TABLE
2
form13fInfoTable.xml
DESCRIPTION FOR INFORMATION TABLE
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88579Y101
10391
112440
SH
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112440
ABB LTD
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679
36350
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SOLE
0
0
36350
ABBOTT LABS
COM
002824100
7978
116368
SH
SOLE
0
0
116368
ABERDEEN ASIA PACIFIC INCOM
COM
003009107
317
40800
SH
SOLE
0
0
40800
AGILYSYS INC
COM
00847J105
1288
149865
SH
SOLE
0
0
149865
AGRIUM INC
COM
008916108
10465
100910
SH
SOLE
0
0
100910
AK STL HLDG CORP
COM
001547108
2
40000
SH
SOLE
0
0
40000
ALCOA INC
COM
013817101
5876
663650
SH
SOLE
0
0
663650
ALTRIA GROUP INC
COM
02209S103
248
7450
SH
SOLE
0
0
7450
AMERICAN EAGLE OUTFITTERS NE
COM
02553E106
4316
204770
SH
SOLE
0
0
204770
AMERICAN ELEC PWR INC
COM
025537101
424
9651
SH
SOLE
0
0
9651
AMERICAN EXPRESS CO
COM
025816109
332
5850
SH
SOLE
0
0
5850
AMERICAN SOFTWARE INC
CL A
029683109
188
23050
SH
SOLE
0
0
23050
AMERICAN WTR WKS CO INC NEW
COM
030420103
203
5500
SH
SOLE
0
0
5500
AMETEK INC NEW
COM
031100100
283
7987
SH
SOLE
0
0
7987
AMGEN INC
COM
031162100
14022
166360
SH
SOLE
0
0
166360
AON PLC
SHS CL A
G0408V102
2060
39400
SH
SOLE
0
0
39400
APPLE INC
COM
037833100
695
1042
SH
SOLE
0
0
1042
APPLIED MATLS INC
COM
038222105
690
61804
SH
SOLE
0
0
61804
ASTRO-MED INC NEW
COM
04638F108
86
10004
SH
SOLE
0
0
10004
AT&T INC
COM
00206R102
870
23082
SH
SOLE
0
0
23082
ATC VENTURE GROUP INC
COM
00213J101
7
46500
SH
SOLE
0
0
46500
ATLANTIC AMERN CORP
COM
048209100
206
75300
SH
SOLE
0
0
75300
AUDIOCODES LTD
ORD
M15342104
30
12000
SH
SOLE
0
0
12000
AUGUSTA RES CORP
COM NEW
050912203
264
92000
SH
SOLE
0
0
92000
AUTOMATIC DATA PROCESSING IN
COM
053015103
434
7400
SH
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0
0
7400
AVERY DENNISON CORP
COM
053611109
15245
479130
SH
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0
0
479130
AVX CORP NEW
COM
002444107
5895
614740
SH
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0
0
614740
BAKER HUGHES INC
COM
057224107
6526
144295
SH
SOLE
0
0
144295
BANK OF AMERICA CORPORATION
COM
060505104
810
91766
SH
SOLE
0
0
91766
BANK OF NEW YORK MELLON CORP
COM
064058100
415
18365
SH
SOLE
0
0
18365
BAR HBR BANKSHARES
COM
066849100
4761
133225
SH
SOLE
0
0
133225
BCB BANCORP INC
COM
055298103
310
29500
SH
SOLE
0
0
29500
BERKSHIRE BANCORP INC DEL
COM NEW
084597202
619
75256
SH
SOLE
0
0
75256
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
2919
22
SH
SOLE
0
0
22
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
5115
57998
SH
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0
0
57998
BIODELIVERY SCIENCES INTL IN
COM
09060J106
103
16300
SH
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0
0
16300
BLACKROCK ENHANCED EQT DIV T
COM
09251A104
311
41266
SH
SOLE
0
0
41266
BLACKROCK FLOAT RATE OME STR
COM
09255X100
1219
80900
SH
SOLE
0
0
80900
BLACKROCK KELSO CAPITAL CORP
COM
092533108
364
37450
SH
SOLE
0
0
37450
BLACKROCK MUNIHLDGS NY QLTY
COM
09255C106
217
13200
SH
SOLE
0
0
13200
BLACKROCK MUNIYIELD NY QLTY
COM
09255E102
317
20984
SH
SOLE
0
0
20984
BLYTH INC
COM NEW
09643P207
5988
230400
SH
SOLE
0
0
230400
BOARDWALK PIPELINE PARTNERS
UT LTD PARTNER
096627104
237
8500
SH
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0
0
8500
BOEING CO
COM
097023105
292
4200
SH
SOLE
0
0
4200
BP PLC
SPONSORED ADR
055622104
5791
136723
SH
SOLE
0
0
136723
BRISTOL MYERS SQUIBB CO
COM
110122108
471
13967
SH
SOLE
0
0
13967
BUCKLE INC
COM
118440106
8170
179845
SH
SOLE
0
0
179845
CAMAC ENERGY INC
COM
131745101
164
349400
SH
SOLE
0
0
349400
CARBO CERAMICS INC
COM
140781105
394
6275
SH
SOLE
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0
6275
CARDIUM THERAPEUTICS INC
COM
141916106
2
12500
SH
SOLE
0
0
12500
CARNIVAL CORP
PAIRED CTF
143658300
287
7885
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0
7885
CARRIAGE SVCS INC
COM
143905107
419
43350
SH
SOLE
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0
43350
CASCADE CORP
COM
147195101
2304
42100
SH
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0
42100
CATERPILLAR INC DEL
COM
149123101
266
3100
SH
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0
0
3100
CERADYNE INC
COM
156710105
6207
254085
SH
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0
254085
CHESAPEAKE ENERGY CORP
COM
165167107
262
13900
SH
SOLE
0
0
13900
CHEVRON CORP NEW
COM
166764100
4384
37616
SH
SOLE
0
0
37616
CHICOS FAS INC
COM
168615102
7364
406675
SH
SOLE
0
0
406675
CHINA SHENGDA PACKAGING GROU
COM
16950V107
22
24500
SH
SOLE
0
0
24500
CISCO SYS INC
COM
17275R102
8079
423126
SH
SOLE
0
0
423126
CITIGROUP INC
COM NEW
172967424
1746
53380
SH
SOLE
0
0
53380
COCA COLA CO
COM
191216100
732
19316
SH
SOLE
0
0
19316
COHEN & STEERS INFRASTRUCTUR
COM
19248A109
346
19044
SH
SOLE
0
0
19044
COMMERCIAL METALS CO
COM
201723103
891
67500
SH
SOLE
0
0
67500
CONOCOPHILLIPS
COM
20825C104
835
14613
SH
SOLE
0
0
14613
CONSOL ENERGY INC
COM
20854P109
492
16400
SH
SOLE
0
0
16400
CONSOLIDATED EDISON INC
COM
209115104
257
4300
SH
SOLE
0
0
4300
CONSOLIDATED TOMOKA LD CO
COM
210226106
2460
74825
SH
SOLE
0
0
74825
COPART INC
COM
217204106
1198
43226
SH
SOLE
0
0
43226
CORNING INC
COM
219350105
6236
474233
SH
SOLE
0
0
474233
CRAY INC
COM NEW
225223304
305
24000
SH
SOLE
0
0
24000
CVS CAREMARK CORPORATION
COM
126650100
4459
92110
SH
SOLE
0
0
92110
CYBEROPTICS CORP
COM
232517102
73
10100
SH
SOLE
0
0
10100
D R HORTON INC
COM
23331A109
281
13660
SH
SOLE
0
0
13660
DEERE & CO
COM
244199105
242
2935
SH
SOLE
0
0
2935
DELL INC
COM
24702R101
4182
424425
SH
SOLE
0
0
424425
DISNEY WALT CO
COM DISNEY
254687106
1024
19601
SH
SOLE
0
0
19601
DONEGAL GROUP INC
CL A
257701201
323
23030
SH
SOLE
0
0
23030
DOT HILL SYS CORP
COM
25848T109
23
22000
SH
SOLE
0
0
22000
DREYFUS HIGH YIELD STRATEGIE
SH BEN INT
26200S101
77
17775
SH
SOLE
0
0
17775
DU PONT E I DE NEMOURS & CO
COM
263534109
12088
240465
SH
SOLE
0
0
240465
DWS MULTI MKT INCOME TR
SHS
23338L108
723
64100
SH
SOLE
0
0
64100
EATON VANCE FLTING RATE INC
COM
278279104
183
11000
SH
SOLE
0
0
11000
EATON VANCE LTD DUR INCOME F
COM
27828H105
838
49400
SH
SOLE
0
0
49400
EBAY INC
COM
278642103
315
6525
SH
SOLE
0
0
6525
EMERSON ELEC CO
COM
291011104
2006
41561
SH
SOLE
0
0
41561
ENERPLUS CORP
COM
292766102
929
56060
SH
SOLE
0
0
56060
ENGILITY HLDGS INC
COM
29285W104
266
14431
SH
SOLE
0
0
14431
ENTERPRISE PRODS PARTNERS L
COM
293792107
243
4544
SH
SOLE
0
0
4544
ENTROPIC COMMUNICATIONS INC
COM
29384R105
346
59500
SH
SOLE
0
0
59500
ENZO BIOCHEM INC
COM
294100102
40
19629
SH
SOLE
0
0
19629
EQUUS TOTAL RETURN INC
COM
294766100
44
20379
SH
SOLE
0
0
20379
EXAMWORKS GROUP INC
COM
30066A105
9718
651350
SH
SOLE
0
0
651350
EXELIS INC
COM
30162A108
2840
274751
SH
SOLE
0
0
274751
EXELON CORP
COM
30161N101
15629
439271
SH
SOLE
0
0
439271
EXXON MOBIL CORP
COM
30231G102
33659
368062
SH
SOLE
0
0
368062
FEDEX CORP
COM
31428X106
400
4738
SH
SOLE
0
0
4738
FIRST TR SR FLG RTE INCM FD
COM
33733U108
213
13500
SH
SOLE
0
0
13500
FLEXTRONICS INTL LTD
ORD
Y2573F102
3957
659612
SH
SOLE
0
0
659612
FORD MTR CO DEL
COM PAR $0.01
345370860
212
21502
SH
SOLE
0
0
21502
FREEPORT-MCMORAN COPPER & GO
COM
35671D857
858
21700
SH
SOLE
0
0
21700
FREIGHTCAR AMER INC
COM
357023100
7411
416630
SH
SOLE
0
0
416630
FRIEDMAN INDS INC
COM
358435105
1612
157600
SH
SOLE
0
0
157600
GENERAL ELECTRIC CO
COM
369604103
33769
1486993
SH
SOLE
0
0
1486993
GENERAL MLS INC
COM
370334104
607
15250
SH
SOLE
0
0
15250
GENTEX CORP
COM
371901109
1901
111895
SH
SOLE
0
0
111895
GEOGLOBAL RESOURCES INC
COM
37249T109
2
20000
SH
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0
0
20000
GERON CORP
COM
374163103
92
53900
SH
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0
0
53900
GETTY RLTY CORP NEW
COM
374297109
958
53423
SH
SOLE
0
0
53423
GILEAD SCIENCES INC
COM
375558103
1048
15800
SH
SOLE
0
0
15800
GLAXOSMITHKLINE PLC
SPONSORED ADR
37733W105
221
4800
SH
SOLE
0
0
4800
GOLD STD VENTURES CORP
COM
380738104
77
40000
SH
SOLE
0
0
40000
GOLDFIELD CORP
COM
381370105
127
67300
SH
SOLE
0
0
67300
GOODYEAR TIRE & RUBR CO
COM
382550101
126
10375
SH
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0
0
10375
GREATER CHINA FD INC
COM
39167B102
585
51333
SH
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0
0
51333
GSE SYS INC
COM
36227K106
40
20000
SH
SOLE
0
0
20000
GUARANTY BANCORP DEL
COM
40075T102
52
26200
SH
SOLE
0
0
26200
HARDINGE INC
COM
412324303
762
74400
SH
SOLE
0
0
74400
HARRIS & HARRIS GROUP INC
COM
413833104
2119
559300
SH
SOLE
0
0
559300
HARSCO CORP
COM
415864107
6947
338390
SH
SOLE
0
0
338390
HCC INS HLDGS INC
COM
404132102
10097
297940
SH
SOLE
0
0
297940
HEALTHCARE SVCS GRP INC
COM
421906108
730
31975
SH
SOLE
0
0
31975
HEINZ H J CO
COM
423074103
262
4700
SH
SOLE
0
0
4700
HEWLETT PACKARD CO
COM
428236103
6725
394248
SH
SOLE
0
0
394248
HOME DEPOT INC
COM
437076102
1768
29291
SH
SOLE
0
0
29291
HONEYWELL INTL INC
COM
438516106
210
3529
SH
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0
0
3529
HSBC HLDGS PLC
ADR A 1/40PF A
404280604
389
15400
SH
SOLE
0
0
15400
ILLINOIS TOOL WKS INC
COM
452308109
9529
160235
SH
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0
0
160235
IMMUCELL CORP
COM PAR $0.10
452525306
260
50963
SH
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0
0
50963
INTEL CORP
COM
458140100
28777
1270250
SH
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0
0
1270250
INTELLIGENT SYS CORP NEW
COM
45816D100
137
93072
SH
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0
0
93072
INTERNATIONAL BUSINESS MACHS
COM
459200101
4390
21163
SH
SOLE
0
0
21163
INTERNATIONAL RECTIFIER CORP
COM
460254105
5587
334794
SH
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0
0
334794
INTL PAPER CO
COM
460146103
8431
232138
SH
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0
0
232138
INVESCO VAN KAMPEN TR INV MU
COM
46131M106
364
22400
SH
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0
0
22400
INVESCO VAN KAMPEN TR NY MUN
COM
46131T101
268
16203
SH
SOLE
0
0
16203
ISHARES SILVER TRUST
ISHARES
46428Q109
301
9000
SH
SOLE
0
0
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ITT CORP NEW
COM NEW
450911201
5233
259748
SH
SOLE
0
0
259748
J & J SNACK FOODS CORP
COM
466032109
859
15000
SH
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0
0
15000
JACOBS ENGR GROUP INC DEL
COM
469814107
8461
209285
SH
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0
0
209285
JAPAN EQUITY FD INC
COM
471057109
2617
514250
SH
SOLE
0
0
514250
JAPAN SMALLER CAPTLZTN FD IN
COM
47109U104
1578
218932
SH
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0
0
218932
JEFFERIES GROUP INC NEW
COM
472319102
176
12900
SH
SOLE
0
0
12900
JETBLUE AIRWAYS CORP
COM
477143101
144
30137
SH
SOLE
0
0
30137
JOHNSON & JOHNSON
COM
478160104
4751
68946
SH
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0
0
68946
JOHNSON CTLS INC
COM
478366107
13723
500851
SH
SOLE
0
0
500851
JPMORGAN CHASE & CO
COM
46625H100
17062
421503
SH
SOLE
0
0
421503
KELLOGG CO
COM
487836108
2147
41565
SH
SOLE
0
0
41565
KELLY SVCS INC
CL A
488152208
5988
475250
SH
SOLE
0
0
475250
KIMBERLY CLARK CORP
COM
494368103
497
5800
SH
SOLE
0
0
5800
KOHLS CORP
COM
500255104
2282
44555
SH
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0
0
44555
KONINKLIJKE PHILIPS ELECTRS
NY REG SH NEW
500472303
264
11269
SH
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0
0
11269
L-3 COMMUNICATIONS HLDGS INC
COM
502424104
6607
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SH
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0
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92148
LAKELAND INDS INC
COM
511795106
378
63697
SH
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0
0
63697
LAYNE CHRISTENSEN CO
COM
521050104
6053
308700
SH
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0
0
308700
LEGG MASON INC
COM
524901105
523
21200
SH
SOLE
0
0
21200
LEXINGTON REALTY TRUST
COM
529043101
366
37963
SH
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0
0
37963
LINN ENERGY LLC
UNIT LTD LIAB
536020100
606
14700
SH
SOLE
0
0
14700
LOUISIANA PAC CORP
COM
546347105
568
45500
SH
SOLE
0
0
45500
LOWES COS INC
COM
548661107
202
6700
SH
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0
0
6700
M & T BK CORP
COM
55261F104
1575
16559
SH
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0
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16559
MAGELLAN PETE CORP
COM
559091301
28
27500
SH
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0
0
27500
MANHATTAN BRIDGE CAPITAL INC
COM
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35
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SH
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MARVELL TECHNOLOGY GROUP LTD
ORD
G5876H105
3791
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0
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414125
MEAD JOHNSON NUTRITION CO
COM
582839106
15
14800
SH
SOLE
0
0
14800
MEADOWBROOK INS GROUP INC
COM
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930
121000
SH
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0
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MEDTRONIC INC
COM
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SH
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MERCK & CO INC NEW
COM
58933Y105
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SH
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MEREDITH CORP
COM
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7922
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METLIFE INC
COM
59156R108
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MFS INTER INCOME TR
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MICROSOFT CORP
COM
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MIDDLEBURG FINANCIAL CORP
COM
596094102
2102
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SH
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118371
MOBILE MINI INC
COM
60740F105
7899
473050
SH
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0
473050
MONMOUTH REAL ESTATE INVT CO
CL A
609720107
251
22500
SH
SOLE
0
0
22500
MYLAN INC
COM
628530107
238
9770
SH
SOLE
0
0
9770
NATIONAL FUEL GAS CO N J
COM
636180101
211
3910
SH
SOLE
0
0
3910
NATIONAL WESTN LIFE INS CO
CL A
638522102
8799
61430
SH
SOLE
0
0
61430
NAVIOS MARITIME HOLDINGS INC
COM
Y62196103
84
23500
SH
SOLE
0
0
23500
NEW YORK CMNTY BANCORP INC
COM
649445103
532
37600
SH
SOLE
0
0
37600
NEWMONT MINING CORP
COM
651639106
308
5500
SH
SOLE
0
0
5500
NEWPORT CORP
COM
651824104
7072
639475
SH
SOLE
0
0
639475
NORTHEAST UTILS
COM
664397106
219
5748
SH
SOLE
0
0
5748
NOVARTIS A G
SPONSORED ADR
66987V109
276
4515
SH
SOLE
0
0
4515
NUVEEN CR STRATEGIES INCM FD
COM SHS
67073D102
158
16300
SH
SOLE
0
0
16300
NUVEEN PFD INCOME OPPRTNY FD
COM
67073B106
108
11000
SH
SOLE
0
0
11000
NUVEEN QUALITY PFD INC FD 3
COM
67072W101
157
16850
SH
SOLE
0
0
16850
NUVEEN QUALITY PFD INCOME FD
COM
67071S101
163
18300
SH
SOLE
0
0
18300
NUVEEN QUALITY PFD INCOME FD
COM
67072C105
95
10000
SH
SOLE
0
0
10000
NYSE EURONEXT
COM
629491101
307
12485
SH
SOLE
0
0
12485
OCLARO INC
COM NEW
67555N206
111
41340
SH
SOLE
0
0
41340
OLD REP INTL CORP
COM
680223104
518
55775
SH
SOLE
0
0
55775
OMEGA PROTEIN CORP
COM
68210P107
1131
164900
SH
SOLE
0
0
164900
ONEBEACON INSURANCE GROUP LT
CL A
G67742109
229
17100
SH
SOLE
0
0
17100
OPKO HEALTH INC
COM
68375N103
60
14500
SH
SOLE
0
0
14500
ORBOTECH LTD
ORD
M75253100
320
37400
SH
SOLE
0
0
37400
PDC ENERGY INC
COM
69327R101
1795
56750
SH
SOLE
0
0
56750
PEMBINA PIPELINE CORP
COM
706327103
217
7760
SH
SOLE
0
0
7760
PEPSICO INC
COM
713448108
762
10775
SH
SOLE
0
0
10775
PFIZER INC
COM
717081103
10529
423721
SH
SOLE
0
0
423721
PHILIP MORRIS INTL INC
COM
718172109
292
3250
SH
SOLE
0
0
3250
PHILLIPS 66
COM
718546104
430
9278
SH
SOLE
0
0
9278
PIMCO INCOME STRATEGY FUND
COM
72201H108
561
42450
SH
SOLE
0
0
42450
PIMCO INCOME STRATEGY FUND I
COM
72201J104
357
31300
SH
SOLE
0
0
31300
PNC FINL SVCS GROUP INC
COM
693475105
214
3400
SH
SOLE
0
0
3400
POWERSHARES QQQ TRUST
UNIT SER 1
73935A104
235
3438
SH
SOLE
0
0
3438
PROCTER & GAMBLE CO
COM
742718109
4156
59927
SH
SOLE
0
0
59927
PROSPECT CAPITAL CORPORATION
COM
74348T102
1918
166500
SH
SOLE
0
0
166500
PUTNAM PREMIER INCOME TR
SH BEN INT
746853100
151
26416
SH
SOLE
0
0
26416
PVR PARTNERS L P
COM UNIT REPTG L
693665101
455
17943
SH
SOLE
0
0
17943
QUALCOMM INC
COM
747525103
2798
44800
SH
SOLE
0
0
44800
QUEST DIAGNOSTICS INC
COM
74834L100
7806
123065
SH
SOLE
0
0
123065
RAMCO-GERSHENSON PPTYS TR
COM SH BEN INT
751452202
694
55400
SH
SOLE
0
0
55400
RAND CAP CORP
COM
752185108
262
96923
SH
SOLE
0
0
96923
RAYTHEON CO
COM NEW
755111507
205
3600
SH
SOLE
0
0
3600
RESEARCH FRONTIERS INC
COM
760911107
208
46950
SH
SOLE
0
0
46950
ROYAL DUTCH SHELL PLC
SPONS ADR A
780259206
659
9504
SH
SOLE
0
0
9504
SALISBURY BANCORP INC
COM
795226109
1260
50425
SH
SOLE
0
0
50425
SANDISK CORP
COM
80004C101
618
14235
SH
SOLE
0
0
14235
SANOFI
SPONSORED ADR
80105N105
663
15400
SH
SOLE
0
0
15400
SCHEIN HENRY INC
COM
806407102
808
10200
SH
SOLE
0
0
10200
SCHLUMBERGER LTD
COM
806857108
352
4870
SH
SOLE
0
0
4870
SCHMITT INDS INC ORE
COM NEW
806870200
279
86000
SH
SOLE
0
0
86000
SEABOARD CORP
COM
811543107
474
210
SH
SOLE
0
0
210
SENECA FOODS CORP NEW
CL A
817070501
1292
43300
SH
SOLE
0
0
43300
SIMPSON MANUFACTURING CO INC
COM
829073105
4708
164535
SH
SOLE
0
0
164535
SKECHERS U S A INC
CL A
830566105
7914
387990
SH
SOLE
0
0
387990
SLM CORP
COM
78442P106
259
16500
SH
SOLE
0
0
16500
SOCIEDAD QUIMICA MINERA DE C
SPON ADR SER B
833635105
400
6500
SH
SOLE
0
0
6500
SONOCO PRODS CO
COM
835495102
13554
437376
SH
SOLE
0
0
437376
SOUTHWEST AIRLS CO
COM
844741108
94
10800
SH
SOLE
0
0
10800
SPDR S&P MIDCAP 400 ETF TR
UTSER1 S&PDCRP
78467Y107
581
3234
SH
SOLE
0
0
3234
SPDR SERIES TRUST
S&P BIOTECH
78464A870
541
5800
SH
SOLE
0
0
5800
STILLWATER MNG CO
COM
86074Q102
33
10000
SH
SOLE
0
0
10000
STRATTEC SEC CORP
COM
863111100
2792
131435
SH
SOLE
0
0
131435
SUNCOR ENERGY INC NEW
COM
867224107
256
7810
SH
SOLE
0
0
7810
SUPERIOR INDS INTL INC
COM
868168105
2157
126215
SH
SOLE
0
0
126215
SWISS HELVETIA FD INC
COM
870875101
3393
315064
SH
SOLE
0
0
315064
SYMMETRICOM INC
COM
871543104
153
22000
SH
SOLE
0
0
22000
SYSCO CORP
COM
871829107
412
13204
SH
SOLE
0
0
13204
SYSTEMAX INC
COM
871851101
4287
363080
SH
SOLE
0
0
363080
TARGET CORP
COM
87612E106
1078
16997
SH
SOLE
0
0
16997
TEJON RANCH CO
COM
879080109
1928
64200
SH
SOLE
0
0
64200
TEMPLETON DRAGON FD INC
COM
88018T101
635
24800
SH
SOLE
0
0
24800
TEMPLETON GLOBAL INCOME FD
COM
880198106
382
40000
SH
SOLE
0
0
40000
TERADYNE INC
COM
880770102
2947
207310
SH
SOLE
0
0
207310
TESORO CORP
COM
881609101
649
15500
SH
SOLE
0
0
15500
TEVA PHARMACEUTICAL INDS LTD
ADR
881624209
17780
429385
SH
SOLE
0
0
429385
TEXAS INSTRS INC
COM
882508104
25202
914629
SH
SOLE
0
0
914629
THERMO FISHER SCIENTIFIC INC
COM
883556102
12074
205242
SH
SOLE
0
0
205242
TICC CAPITAL CORP
COM
87244T109
150
14500
SH
SOLE
0
0
14500
TIME WARNER CABLE INC
COM
88732J207
540
5688
SH
SOLE
0
0
5688
TIME WARNER INC
COM NEW
887317303
927
20454
SH
SOLE
0
0
20454
TITANIUM METALS CORP
COM NEW
888339207
153
12000
SH
SOLE
0
0
12000
TRINITY INDS INC
COM
896522109
821
27400
SH
SOLE
0
0
27400
TWO HBRS INVT CORP
COM
90187B101
117
10000
SH
SOLE
0
0
10000
UNILEVER PLC
SPON ADR NEW
904767704
2428
66490
SH
SOLE
0
0
66490
UNION PAC CORP
COM
907818108
909
7666
SH
SOLE
0
0
7666
UNITED PARCEL SERVICE INC
CL B
911312106
814
11375
SH
SOLE
0
0
11375
UNITED TECHNOLOGIES CORP
COM
913017109
943
12050
SH
SOLE
0
0
12050
VALERO ENERGY CORP NEW
COM
91913Y100
551
17400
SH
SOLE
0
0
17400
VEOLIA ENVIRONNEMENT
SPONSORED ADR
92334N103
423
39100
SH
SOLE
0
0
39100
VERIZON COMMUNICATIONS INC
COM
92343V104
492
10816
SH
SOLE
0
0
10816
VISHAY INTERTECHNOLOGY INC
COM
928298108
245
25000
SH
SOLE
0
0
25000
VISHAY PRECISION GROUP INC
COM
92835K103
6860
490724
SH
SOLE
0
0
490724
VISTAPRINT N V
SHS
N93540107
4630
135600
SH
SOLE
0
0
135600
VODAFONE GROUP PLC NEW
SPONS ADR NEW
92857W209
13874
486895
SH
SOLE
0
0
486895
WALGREEN CO
COM
931422109
663
18200
SH
SOLE
0
0
18200
WALKER & DUNLOP INC
COM
93148P102
6078
395500
SH
SOLE
0
0
395500
WAL-MART STORES INC
COM
931142103
671
9100
SH
SOLE
0
0
9100
WARWICK VALLEY TEL CO
COM
936750108
373
28700
SH
SOLE
0
0
28700
WASHINGTON POST CO
CL B
939640108
1820
5016
SH
SOLE
0
0
5016
WEATHERFORD INTERNATIONAL LT
REG SHS
H27013103
687
54200
SH
SOLE
0
0
54200
WESTERN ASSET GLB PTNRS INCO
COM
95766G108
320
23600
SH
SOLE
0
0
23600
WESTERN ASST MN PRT FD INC
COM
95766P108
345
19753
SH
SOLE
0
0
19753
XYLEM INC
COM
98419M100
754
29990
SH
SOLE
0
0
29990
YM BIOSCIENCES INC
COM
984238105
27
15000
SH
SOLE
0
0
15000
ZALICUS INC
COM
98887C105
7
10000
SH
SOLE
0
0
10000