-----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, Vr6IfnEyoL6VosOE+ow5Ck8bISZfjh5FRqIk0vfM/yxYFMW+xGM3sUY2bzZIyUTs 44P65zvIwwF8i+onm/L9+A== 0001406995-09-000014.txt : 20091116 0001406995-09-000014.hdr.sgml : 20091116 20091113175327 ACCESSION NUMBER: 0001406995-09-000014 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091116 DATE AS OF CHANGE: 20091113 EFFECTIVENESS DATE: 20091116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Cutter & CO Brokerage, Inc. CENTRAL INDEX KEY: 0001406995 IRS NUMBER: 431477566 STATE OF INCORPORATION: MO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12698 FILM NUMBER: 091182975 BUSINESS ADDRESS: STREET 1: 15415 CLAYTON ROAD CITY: BALLWIN STATE: MO ZIP: 63011 BUSINESS PHONE: 636-537-8770 MAIL ADDRESS: STREET 1: 15415 CLAYTON ROAD CITY: BALLWIN STATE: MO ZIP: 63011 13F-HR 1 cutter13fsept09.txt 13FCUTTERSEPT09 Form 13F Cover Page Report for the Calendar Year or Quarter Ended: Sept. 30, 2009 Institutional Investment Manager Filing this Report: Name: Cutter & CO Brokerage, Inc. Address: 15415 Clayton Road Ballwin, MO 63011 13F File Number 28- 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: Deborah Castiglioni Title: CEO Phone: 636-537-8770 Signature Place Date of Signing: 11/13/2009 Deborah Castiglioni Ballwin, MO Officer Cutter & CO Brokerage, Inc. Report Type (X) 13F Holdings Report List of Other Managers Reporting for this Manager: None Form 13F Summary Page Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 149 Form 13F Information Table Value Total 107,802 NAME OF TITLE OF Value Shares/Prn Invstm Other Sole ISSUER CLASS CUSIP x$1000 Amt Sh/Prn Put/Ca Dscret Managers Voting ABRAXAS PETE COPP COM 003830106 167 93250 SH SOLE None ACETO CORP COM 004446100 1133 171175 SH SOLE NONE ACORN ENERGY INC COM 004848107 978 179168 SH SOLE NONE ADAPTEC INC COM 0651F108 114 34000 SH SOLE NONE AGL RES INC COM 001204106 1492 42302 SH SOLE None ALAMO GROU INC COM 011311107 395 25025 SH SOLE None ALLETE INC COM COM 018522300 685 20411 SH SOLE NONE ALLIANT ENERGY CORP COM 018802108 1342 48190 SH SOLE None ALTRIA GROUP INC COM 02209S103 240 13479 SH SOLE NONE AMERICAN OIL GAS INC COM 028723104 69 34800 SH SOLE NONE AMERICAN PACIFIC COM 028740108 763 99795 SH SOLE NONE AQUA AMERICA INC COM 03836W103 2088 118391 SH SOLE NONE ARTESIAN RESOURCES CORP COM 043113208 1242 73834 SH SOLE NONE AT T INC COM 00206R102 992 36725 SH SOLE NONE ATP OIL & GAS CORP COM 00208J108 232 12970 SH SOLE None AVISTA CORP COM 05379B107 1851 91562 SH SOLE None AXESSTEL INC COM 05459T101 69 57550 SH SOLE NONE BERKSHIRE HATHAWAY CL B COM 084670207 1981 596 SH SOLE NONE BIODELIVERY SCIENCE COM 09060J106 266 55325 SH SOLE None BP PLC SPONS ADR COM 055622104 306 5746 SH SOLE NONE BRISTOL MYERS SQUIBB CO COM 110122108 369 16394 SH SOLE NONE CALIFORNIA WTR SVC GROUPCOM 130788102 227 5841 SH SOLE NONE CAMCO FINANCIAL CORP COM 132618109 100 46006 SH SOLE NONE CANO PET INC COM 137801106 50 39100 SH SOLE None CAPSTONE TURBINE CORP COM 14067D102 40 30500 SH SOLE NONE CASCAL N.V. COM N18429109 745 118300 SH SOLE None CECO ENVIRONMENTAL CORP COM 125141101 752 200491 SH SOLE None CEMEX SAB DE CV SPON ADR NEW 151290889 210 16269 SH SOLE None CENTERPOINT ENERGY INC COM 15189T107 1446 116328 SH SOLE None CHESAPEAKE UTILS CORP COM 165303108 2295 74046 SH SOLE None COMPASS DIVERSIFIED H COM 20451Q104 3279 313158 SH SOLE None COMSTOCK RES INC COM 205768203 1233 30755 SH SOLE None CONNECTICUT WTR SVC INC COM 207797101 916 40913 SH SOLE None CONOCOPHILLIPS COM 20825C104 810 17930 SH SOLE None CONTANGO OIL & GAS CO COM 21075N204 1408 27585 SH SOLE None CREDO PETRO COPR COM 225439207 788 77850 SH SOLE NONE CURAGEN CORP COM 23126R101 15 10150 SH SOLE None CYBEROPTICS CORP COM 232517102 88 12650 SH SOLE NONE DELTA NATURAL GAS INC COM 247748106 2889 109033 SH SOLE None DIAGEO PLC SPON ADR NEW 25243Q205 1154 18766 SH SOLE None DNP SELECT INCOME FD COM 23325P104 737 82556 SH SOLE NONE DOMINION RES INC VA NEW COM 25746U109 289 8375 SH SOLE NONE DOVER CORP COMMON COM 260003108 328 8460 SH SOLE NONE DUKE ENERGY CORP COM 26441C105 236 15007 SH SOLE NONE EAGLE BULK SHIPPING INC COM Y2187A101 60 11772 SH SOLE None EL PASO CORPORATION COM 28336L109 1094 105991 SH SOLE NONE ELECTRO SCIENTIFIC INDS COM 285229100 583 43550 SH SOLE NONE ELECTRO-OPTICAL SCIENCESCOM 285192100 688 71866 SH SOLE NONE ENBRIDGE ENERGY MGMT LLCCOM 29250X103 2200 48782 SH SOLE NONE ENERGEN CORP COM 29265N108 686 15910 SH SOLE None ENERGY INC COM 29269V106 1982 230518 SH SOLE NONE ENERGY INCOME AND GRW FDCOM 292697109 1040 48007 SH SOLE NONE EXXON MOBIL CORP COM 30231G102 1370 19969 SH SOLE None FARMER BROS CO COM COM 307675108 487 23530 SH SOLE NONE FLA PUBLIC UTIL CO COM 341135101 1956 160975 SH SOLE None FOOT LOCKER INC COM 344849104 315 26400 SH SOLE NONE FREQUENCY ELECTRONIC COM 358010106 168 36200 SH SOLE None FROZEN FOOD EXPRESS IND COM 359360104 86 29300 SH SOLE NONE GENERAL ELECTRIC CO COM 369604103 636 38749 SH SOLE None GLACIER BANCORP INC COM 37637Q105 406 27198 SH SOLE NONE HARVEST ENERGY TR UNIT 41752X101 84 13020 SH SOLE None HARVERTY FURNITURE CO INC 419596101 401 33950 SH SOLE NONE HAWK CORP COM 420089104 436 31793 SH SOLE NONE HAWKINS INC COM 420261109 316 13506 SH SOLE NONE HEINZ H J CO COMMON COM 423074103 379 9545 SH SOLE NONE HENRY BROS ELECTRONICS COM 426286100 216 44325 SH SOLE None HUNTINGTON BANCSHARES INCOM 446150104 92 19432 SH SOLE NONE INDUSTRIAS BACHOCO SAF COM 456463108 265 12600 SH SOLE NONE ING CLARION GLOBAL R/E COM 44982G104 90 13804 SH SOLE NONE ITT CORP COM 450911102 1712 32824 SH SOLE None JOHN WILEY & SONS INC CL A 968223206 2306 66293 SH SOLE None JOHNSON JOHNSON COM 478160104 402 6605 SH SOLE NONE JP MORGAN CHASE CO COM 46625H100 367 8364 SH SOLE NONE KAISER ALUMINUM CORP COM 483007704 803 22092 SH SOLE NONE KAN CITY LIFE INS CO COM 484836101 276 8872 SH SOLE NONE KANSAS CITY SOUTHERN COM 485170302 689 26025 SH SOLE None KINDER MORGAN MGMT LLC COM 49455U100 1051 22197 SH SOLE NONE LACLEDE GROUP INC COM 505597104 1459 45375 SH SOLE NONE LEGGETT PLATT INC COM 524660107 223 11500 SH SOLE NONE LEUCADIA NATL CORP COM 527288104 1855 75028 SH SOLE None MANITOWOC COMPANY INC COM 563571108 169 17894 SH SOLE NONE MARATHON OIL CORP COM 565849106 216 6775 SH SOLE None MCDONALDS CORP COM 580135101 238 4162 SH SOLE NONE MDU RES GROUP INC COM 552690109 1210 58044 SH SOLE None MERRIMAN CUHAN FORD GRP COM 590418109 22 15000 SH SOLE NONE MESA LABS INC COM 59064R109 361 15791 SH SOLE NONE MGE ENERGY INC COM 55277P104 873 23922 SH SOLE None MIDDLESEX WATER CO COM 596680108 694 45998 SH SOLE None MITCHAM INDS INC. COM 606501104 68 11000 SH SOLE None MONMOUTH REAL EST CL A COM 609720107 419 60206 SH SOLE NONE MS EMERG MKTS DEBT COM 61744H105 189 19700 SH SOLE None MUELLER WTR PROD INC COM 624758108 168 30689 SH SOLE None MULTI-COLOR CORP COM 625383104 160 10381 SH SOLE NONE NAM TAI ELECTRS PAR$0.02COM 629865205 346 64000 SH SOLE NONE NAPCO SECURITY TECHN COM 630402105 15 10981 SH SOLE NONE NATIONAL TECHINAL SYS COM 638104109 62 11720 SH SOLE NONE NATURAL FUEL GAS COM 636180101 2283 49834 SH SOLE None NGAS RESOURCES INC COM 62912T103 932 390158 SH SOLE None NGP CAPITAL RESOURCES COM 62912R107 314 43297 SH SOLE None NOVO NORDISK A S ADR COM 670100205 970 15408 SH SOLE NONE NV ENERGY INC COM 67073Y106 901 77725 SG SOLE NONE NYSE EURONEXT COM 629491101 860 29752 SH SOLE NONE PENGROWTH ENERGY TRUST-ACOM 706902509 341 32419 SH SOLE NONE PENNICHUCK CORP COM 708254206 1187 54533 SH SOLE NONE PEPSICO INCORPORATED COM 713448108 303 5164 SH SOLE NONE PFIZER INC COM 717081103 776 46885 SH SOLE None PLEXUS CORPORATION COM 729132100 230 8750 SH SOLE NONE PORTLAND GENERAL ELEC COM 736508847 864 43795 SH SOLE NONE POSCO SPONSORED ADR COM 693483109 575 5530 SH SOLE NONE POWERSHARES GLOBAL WATE COM 73935X575 192 11495 SH SOLE None PROCTER GAMBLE CO COM 742718109 298 5143 SH SOLE NONE PROVIDENCE & WORCESTER COM 743737108 1407 137659 SH SOLE None QUESTAR CORP COM 748356102 933 24835 SH SOLE None READY MIX INC COM 755747102 139 37440 SH SOLE None RGC RESOURCES INC COM 74955L103 1049 38088 SH SOLE None ROSETTA RESOURCES INC COM 777779307 501 34120 SH SOLE None RUBAN FINL CORP COM 78176P108 266 35100 SH SOLE NONE S J W CORP COM 784305104 1338 58570 SH SOLE NONE SANFILIPPO JOHN B SON COM 800422107 291 25000 SH SOLE NONE SCANA CORP NEW COM 80589M102 362 10370 SH SOLE None SENECA FOODS CORP NEW COM 817070501 204 7438 SH SOLE NONE SOUTHERN COMPANY COM 842587107 875 27640 SH SOLE NONE SOUTHERN UN CO NEW COM 844030106 840 40425 SH SOLE NONE SOUTHWEST WTR CO COM 845331107 1182 240244 SH SOLE None SPECTRA ENERGY CORP COM 847560109 318 16813 SH SOLE NONE SUNCOR ENERGY INC NEW COM 867224107 429 12426 SH SOLE NONE SUNOPTA INC COM 8676EP108 255 62850 SH SOLE None SW GAS CORP COM COM 844895102 310 12100 SH SOLE None SYCAMORE NETWORKS INC COM 871206108 67 22200 SH SOLE NONE TALISMAN ENERGY INC COM 87425E103 566 32650 SH SOLE None TANGER FACTRY OUTLET COM 875465106 220 5900 SH SOLE NONE TELLABS INC COM 879664100 369 53300 SH SOLE NONE THOMPSON CREEK METALS COM 884768102 316 26162 SH SOLE NONE TIME WARNER INC NEW COM 887317303 416 14447 SH SOLE None TPRTPOSE EMERGU OMFRA COM 89147L100 630 23550 SH SOLE NONE TRINITY INDUSTRIES INC COM 896522109 618 35965 SH SOLE None TYSON FOODS INC COM 902494103 635 50250 SH SOLE NONE UMH PROPERTIES INC COM 903002103 445 54542 SH SOLE NONE UNITIL CORP COM 913259107 2232 99415 SH SOLE NONE UQM TECHNOLOGIES INC COM 903213106 69 12000 SH SOLE NONE VEOLIA ENVIRONMENT COM 92334N103 589 15305 SH SOLE NONE VERSAR INC COM 925297103 538 110600 SH SOLE NONE VILLAGE SUPER MTK CL A COM 927107409 6426 218067 SH SOLE NONE VULCAN MATERIALS CO COM 929160109 647 11966 SH SOLE NONE WAL-MART STORE INC COM 931142103 445 9065 SH SOLE None WELLS FARGO COMPANY COM 949746101 260 9237 SH SOLE NONE WILLIAM COMPANIE INC COM 969457100 527 29500 SH SOLE NONE WINTHROP REALTY TR COM 976391300 624 64045 SH SOLE None WSTRN ASST MUNI FD INC COM 958435109 240 26500 SH SOLE None
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