0001193125-11-312500.txt : 20111115 0001193125-11-312500.hdr.sgml : 20111115 20111115120833 ACCESSION NUMBER: 0001193125-11-312500 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111115 DATE AS OF CHANGE: 20111115 EFFECTIVENESS DATE: 20111115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TDAM USA INC. CENTRAL INDEX KEY: 0001115941 IRS NUMBER: 133849588 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-05929 FILM NUMBER: 111206268 BUSINESS ADDRESS: STREET 1: CANADA TRUST TOWER, BCE PLACE STREET 2: 161 BAY STREET, 35TH, FLOOR CITY: TORONTO STATE: A6 ZIP: M5J 2T2 BUSINESS PHONE: 416-308-5346 MAIL ADDRESS: STREET 1: CANADA TRUST TOWER, BCE PLACE STREET 2: 161 BAY STREET, 35TH, FLOOR CITY: TORONTO STATE: A6 ZIP: M5J 2T2 FORMER COMPANY: FORMER CONFORMED NAME: TD ASSET MANAGEMENT USA INC. DATE OF NAME CHANGE: 20051114 FORMER COMPANY: FORMER CONFORMED NAME: WATERHOUSE ASSET MANAGEMENT INC DATE OF NAME CHANGE: 20040323 FORMER COMPANY: FORMER CONFORMED NAME: TD WATERHOUSE ASSET MANAGEMENT INC DATE OF NAME CHANGE: 20000531 13F-HR 1 d256212d13fhr.txt 13F-HR ================================================================================ 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 30th, 2011 Check here if Amendment [_]: Amendment Number ________________________________ This Amendment (Check only one.): [_] is a restatement [_] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: TDAM USA Inc. Address: Canada Trust Tower, BCE Place, 161 Bay Street, 35th Floor, Toronto, Ontario, M5J 2T2 ________________________________________________ Form 13F File Number: 28-05929 This 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: Barbara Callbeck Title: Managing Director Phone: 416-308-5346 Signature, Place, and Date of Signing: 'Barbara Callbeck' Toronto, Ontario November 10th, 2011 ---------------------- ----------------------- --------------------- [Signature] [City, State] [Date] Report Type (Check only one): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report) [_] 13F NOTICE (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [_] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion is reported by other reporting manager(s).) ================================================================================ FORM 13F SUMMARY PAGE Report summary: Number of Other Included Managers: Two (2) Form 13F Information Table Entry Total: 375 Form 13F Information Table Value Total: US$ 1,607,189 (thousands) LIST OF OTHER INCLUDED MANAGERS: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name --- -------------------- ---------------------------------------------- 1 28-11528 TD Waterhouse Private Investment Counsel Inc. 2 28-04365 TD Bank N.A

FAIR MARKET AMOUNT OF VOTING AUTHORITY VALUE SECURITY INVESTMENT OTHER ---------------------- NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) (SH) DISCRETION MANAGERS SOLE SHARE NONE ------------------------------- ---------------- --------- ----------- --------- ---------- -------- ---- --------- ------- EXXON MOBIL CORP COM 30231G102 68,116 937,854 Defined 2 867,710 70,144 SPDR GOLD TRUST GOLD SHS 78463V107 55,274 349,704 Defined 2 328,881 20,823 CHEVRON CORP NEW COM 166764100 44,064 475,908 Defined 2 441,477 34,431 PROCTER & GAMBLE CO COM 742718109 42,803 677,478 Defined 2 645,829 31,649 INTERNATIONAL BUSINESS MACHS COM 459200101 41,830 239,207 Defined 2 226,404 12,803 SPDR S&P 500 ETF TR TR UNIT 78462F103 40,728 359,945 Defined 2 303,679 56,266 ABBOTT LABS COM 002824100 38,247 747,881 Defined 2 701,945 45,936 JOHNSON & JOHNSON COM 478160104 37,800 593,505 Defined 2 557,442 36,063 MICROSOFT CORP COM 594918104 34,815 1,398,769 Defined 2 1,317,248 81,521 AMERICAN EXPRESS CO COM 025816109 32,943 733,700 Defined 2 692,131 41,569 UNITED TECHNOLOGIES CORP COM 913017109 30,560 434,331 Defined 2 408,736 25,595 COLGATE PALMOLIVE CO COM 194162103 30,375 342,527 Defined 2 318,539 23,988 HOME DEPOT INC COM 437076102 27,432 834,570 Defined 2 784,021 50,549 UNITEDHEALTH GROUP INC COM 91324P102 27,054 586,598 Defined 2 554,749 31,849 3M CO COM 88579Y101 26,478 368,820 Defined 2 347,766 21,054 AT&T INC COM 00206R102 25,879 907,383 Defined 2 849,334 58,049 VERIZON COMMUNICATIONS INC COM 92343V104 24,056 653,705 Defined 2 599,828 53,877 JPMORGAN CHASE & CO COM 46625H100 23,872 792,570 Defined 2 744,658 47,912 E M C CORP MASS COM 268648102 23,705 1,129,331 Defined 2 1,060,784 68,547 ORACLE CORP COM 68389X105 23,033 801,432 Defined 2 762,987 38,445 TARGET CORP COM 87612E106 21,786 444,249 Defined 2 422,998 21,251 WELLS FARGO & CO NEW COM 949746101 21,397 887,095 Defined 2 835,698 51,397 CISCO SYS INC COM 17275R102 21,293 1,373,722 Defined 2 1,294,444 79,278 EXELON CORP COM 30161N101 19,617 460,376 Defined 2 434,591 25,785 APACHE CORP COM 037411105 19,427 242,111 Defined 2 231,646 10,465 ECOLAB INC COM 278865100 19,332 395,428 Defined 2 373,944 21,484 DISNEY WALT CO COM DISNEY 254687106 19,145 634,780 Defined 2 596,539 38,241 ACE LTD SHS H0023R105 19,113 315,395 Defined 2 298,400 16,995 ILLINOIS TOOL WKS INC COM 452308109 18,816 452,316 Defined 2 421,468 30,848 GILEAD SCIENCES INC COM 375558103 18,765 483,643 Defined 2 459,973 23,670 DIAGEO P L C SPON ADR NEW 25243Q205 18,604 245,013 Defined 2 231,669 13,344 ISHARES TR MSCI EAFE INDEX 464287465 18,109 379,006 Defined 2 327,994 51,012 BERKSHIRE HATHAWAY INC DEL CL A 084670108 17,836 167 Defined 2 167 -- CHECK POINT SOFTWARE TECH LT ORD M22465104 17,719 335,835 Defined 2 318,700 17,135 US BANCORP DEL COM NEW 902973304 16,842 715,461 Defined 2 678,725 36,736 YUM BRANDS INC COM 988498101 15,860 321,109 Defined 2 301,423 19,686 THERMO FISHER SCIENTIFIC INC COM 883556102 15,802 312,049 Defined 2 295,261 16,788 PEPSICO INC COM 713448108 15,698 253,597 Defined 2 237,699 15,898 DANAHER CORP DEL COM 235851102 15,611 372,217 Defined 2 354,922 17,295 GENERAL ELECTRIC CO COM 369604103 15,283 1,004,171 Defined 2 944,280 59,891 CAPITAL ONE FINL CORP COM 14040H105 15,085 380,653 Defined 2 361,353 19,300 VALERO ENERGY CORP NEW COM 91913Y100 14,307 804,661 Defined 2 764,772 39,889 QUALCOMM INC COM 747525103 13,781 283,383 Defined 2 269,373 14,010 MCDONALDS CORP COM 580135101 13,490 153,613 Defined 2 139,757 13,856 HEWLETT PACKARD CO COM 428236103 13,255 590,402 Defined 2 561,483 28,919 ISHARES TR BARCLYS 1-3 YR 464287457 13,089 154,777 Defined 2 148,070 6,707 MARATHON OIL CORP COM 565849106 12,882 596,947 Defined 2 566,727 30,220 STARBUCKS CORP COM 855244109 12,700 340,580 Defined 2 322,360 18,220 PHILIP MORRIS INTL INC COM 718172109 12,646 202,728 Defined 2 191,596 11,132 ISHARES TR IBOXX INV CPBD 464287242 11,955 106,450 Defined 2 93,237 13,213 INTEL CORP COM 458140100 11,592 543,355 Defined 2 514,248 29,107 ISHARES TR BARCLYS TIPS BD 464287176 10,845 94,881 Defined 2 87,583 7,298 TORONTO DOMINION BK ONT COM NEW 891160509 9,934 140,021 Defined 2 10,484 129,537 EMERSON ELEC CO COM 291011104 9,568 231,616 Defined 2 210,363 21,253 ISHARES TR BARCLYS 7-10 YR 464287440 9,454 89,976 Defined 2 81,493 8,483 SYSCO CORP COM 871829107 9,378 362,080 Defined 2 345,715 16,365 CONOCOPHILLIPS COM 20825C104 9,351 147,677 Defined 2 134,971 12,706 ARCHER DANIELS MIDLAND CO COM 039483102 9,134 368,168 Defined 2 349,608 18,560 SOUTHERN CO COM 842587107 8,551 201,815 Defined 2 189,953 11,862 MERCK & CO INC NEW COM 58933Y105 8,457 258,612 Defined 2 212,248 46,364 PFIZER INC COM 717081103 8,427 476,647 Defined 2 422,646 54,001 L-3 COMMUNICATIONS HLDGS INC COM 502424104 8,352 134,768 Defined 2 128,113 6,655 AUTOMATIC DATA PROCESSING IN COM 053015103 8,278 175,573 Defined 2 152,707 22,866 COCA COLA CO COM 191216100 8,093 119,797 Defined 2 116,857 2,940 UNITED PARCEL SERVICE INC CL B 911312106 7,483 118,491 Defined 2 78,311 40,180 WAL MART STORES INC COM 931142103 5,487 105,718 Defined 2 97,168 8,550 BRISTOL MYERS SQUIBB CO COM 110122108 5,487 174,843 Defined 2 172,113 2,730 SIGMA ALDRICH CORP COM 826552101 5,182 83,859 Defined 2 78,220 5,639 ISHARES TR S&P500 GRW 464287309 5,111 83,462 Defined 2 77,882 5,580 ANALOG DEVICES INC COM 032654105 4,955 158,544 Defined 2 138,512 20,032 SEMPRA ENERGY COM 816851109 4,911 95,362 Defined 2 88,875 6,487 ZIMMER HLDGS INC COM 98956P102 4,813 89,989 Defined 2 81,203 8,786 MEDTRONIC INC COM 585055106 4,729 142,272 Defined 2 131,534 10,738 AUTODESK INC COM 052769106 4,359 156,862 Defined 2 143,593 13,269 NIKE INC CL B 654106103 4,339 50,745 Defined 2 47,240 3,505 ISHARES TR COHEN&ST RLTY 464287564 4,227 68,888 Defined 2 66,541 2,347 ISHARES TR HIGH YLD CORP 464288513 3,985 48,115 Defined 2 44,822 3,293 QUEST DIAGNOSTICS INC COM 74834L100 3,810 77,178 Defined 2 70,307 6,871 STATE STR CORP COM 857477103 3,700 115,059 Defined 2 105,860 9,199

FAIR MARKET AMOUNT OF VOTING AUTHORITY VALUE SECURITY INVESTMENT OTHER -------------------- NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) (SH) DISCRETION MANAGERS SOLE SHARE NONE ------------------------------------- ---------------- --------- ----------- --------- ---------- -------- ---- ------- ------- BANK OF NEW YORK MELLON CORP COM 064058100 3,632 195,394 Defined 2 187,240 8,154 AFLAC INC COM 001055102 3,454 98,821 Defined 2 91,545 7,276 EDAC TECHNOLOGIES CORP COM 279285100 3,452 486,251 Defined 2 -- 486,251 NEXTERA ENERGY INC COM 65339F101 3,378 62,536 Defined 2 60,156 2,380 NORFOLK SOUTHERN CORP COM 655844108 3,303 54,130 Defined 2 38,149 15,981 BAXTER INTL INC COM 071813109 3,190 56,827 Defined 2 52,382 4,445 SCHLUMBERGER LTD COM 806857108 3,054 51,127 Defined 2 48,313 2,814 ISHARES TR S&P 100 IDX FD 464287101 2,935 57,065 Defined 2 55,593 1,472 APPLE INC COM 037833100 2,922 7,663 Defined 2 6,958 705 MONSANTO CO NEW COM 61166W101 2,884 48,031 Defined 2 45,497 2,534 STRYKER CORP COM 863667101 2,871 60,926 Defined 2 53,481 7,445 PRAXAIR INC COM 74005P104 2,764 29,566 Defined 2 25,097 4,469 HONEYWELL INTL INC COM 438516106 2,646 60,264 Defined 2 51,674 8,590 KRAFT FOODS INC CL A 50075N104 2,516 74,921 Defined 2 69,458 5,463 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 2,382 37,993 Defined 2 37,458 535 DU PONT E I DE NEMOURS & CO COM 263534109 2,374 59,398 Defined 2 52,678 6,720 DUKE ENERGY CORP NEW COM 26441C105 2,240 112,060 Defined 2 106,190 5,870 MEDCO HEALTH SOLUTIONS INC COM 58405U102 2,180 46,489 Defined 2 42,061 4,428 ISHARES TR MSCI EMERG MKT 464287234 2,129 60,654 Defined 2 50,516 10,138 APPLE INC COM 037833100 2,087 5,475 Sole PENNICHUCK CORP COM NEW 708254206 2,021 72,214 Defined 2 27,772 44,442 EXXON MOBIL CORP COM 30231G102 2,000 27,539 Sole ULTRA PETROLEUM CORP COM 903914109 1,971 71,092 Defined 2 68,489 2,603 LOCKHEED MARTIN CORP COM 539830109 1,905 26,219 Defined 2 22,469 3,750 EXPRESS SCRIPTS INC COM 302182100 1,897 51,179 Defined 2 51,179 -- ISHARES TR S&P MIDCP VALU 464287705 1,893 28,672 Defined 2 25,881 2,791 BECTON DICKINSON & CO COM 075887109 1,844 25,146 Defined 2 25,146 -- LORILLARD INC COM 544147101 1,813 16,378 Defined 2 15,878 500 KIMBERLY CLARK CORP COM 494368103 1,763 24,834 Defined 2 22,184 2,650 ISHARES TR S&P MC 400 GRW 464287606 1,676 18,651 Defined 2 16,430 2,221 ISHARES TR S&P SMLCP VALU 464287879 1,669 28,191 Defined 2 24,951 3,240 NOVARTIS A G SPONSORED ADR 66987V109 1,559 27,958 Defined 2 19,568 8,390 ISHARES TR S&P GBL INF 464287291 1,557 28,493 Defined 2 28,193 300 JOHNSON CTLS INC COM 478366107 1,536 58,230 Defined 2 34,230 24,000 BANK OF AMERICA CORPORATION COM 060505104 1,359 222,126 Defined 2 209,545 12,581 CATERPILLAR INC DEL COM 149123101 1,318 17,849 Defined 2 17,199 650 PROCTER & GAMBLE CO COM 742718109 1,292 20,449 Sole JOHNSON & JOHNSON COM 478160104 1,283 20,139 Sole UGI CORP NEW COM 902681105 1,282 48,792 Defined 2 48,792 -- INTERNATIONAL BUSINESS MACHS COM 459200101 1,279 7,307 Sole ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 1,272 20,673 Defined 2 15,135 5,538 CVS CAREMARK CORPORATION COM 126650100 1,257 37,418 Defined 2 37,418 -- CHURCH & DWIGHT INC COM 171340102 1,253 28,348 Defined 2 23,668 4,680 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1,242 17,421 Sole SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1,208 51,200 Defined 2 16,200 35,000 ISHARES TR RUSL 2000 GROW 464287648 1,205 16,396 Defined 2 15,772 624 UNION PAC CORP COM 907818108 1,190 14,566 Defined 2 13,063 1,503 WALGREEN CO COM 931422109 1,189 36,148 Defined 2 27,880 8,268 MARATHON PETE CORP COM 56585A102 1,187 43,870 Defined 2 43,015 855 BOEING CO COM 097023105 1,165 19,259 Defined 2 18,070 1,189 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1,158 16,306 Defined 2 16,306 -- MICROSOFT CORP COM 594918104 1,146 46,028 Sole COCA COLA CO COM 191216100 1,122 16,611 Sole AT&T INC COM 00206R102 1,118 39,201 Sole ISHARES TR RUSSELL MCP GR 464287481 1,110 22,352 Defined 2 21,006 1,346 ISHARES TR MSCI EAFE INDEX 464287465 1,106 23,167 Defined 1 ALTRIA GROUP INC COM 02209S103 1,103 41,123 Defined 2 33,466 7,657 MCCORMICK & CO INC COM NON VTG 579780206 1,101 23,860 Defined 2 22,685 1,175 ISHARES TR S&P SMLCP GROW 464287887 1,078 16,726 Defined 2 13,778 2,948 WAL MART STORES INC COM 931142103 1,042 20,069 Sole ISHARES TR BARCLYS 1-3YR CR 464288646 1,037 9,970 Defined 1 CHEVRON CORP NEW COM 166764100 1,026 11,092 Sole GENERAL ELECTRIC CO COM 369604103 1,010 66,268 Sole GOOGLE INC CL A 38259P508 1,001 1,947 Sole DEERE & CO COM 244199105 977 15,137 Defined 2 12,325 2,812 SYNGENTA AG SPONSORED ADR 87160A100 959 18,487 Defined 2 14,087 4,400 BARD C R INC COM 067383109 956 10,926 Defined 2 10,186 740 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 924 37,094 Defined 2 20,694 16,400 LOWES COS INC COM 548661107 901 46,595 Defined 2 37,145 9,450 PRICE T ROWE GROUP INC COM 74144T108 892 18,680 Defined 2 18,555 125 JPMORGAN CHASE & CO COM 46625H100 886 29,364 Sole NOVO-NORDISK A S ADR 670100205 880 8,845 Defined 2 7,705 1,140 MCDONALDS CORP COM 580135101 871 9,917 Sole ORACLE CORP COM 68389X105 868 30,200 Sole EXPEDITORS INTL WASH INC COM 302130109 841 20,750 Defined 2 20,570 180 PFIZER INC COM 717081103 837 47,365 Sole CIMAREX ENERGY CO COM 171798101 815 14,629 Defined 2 14,484 145 FEDEX CORP COM 31428X106 795 11,747 Defined 2 11,747 -- DOMINION RES INC VA NEW COM 25746U109 790 15,552 Defined 2 15,552 --

FAIR MARKET AMOUNT OF VOTING AUTHORITY VALUE SECURITY INVESTMENT OTHER ------------------ NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) (SH) DISCRETION MANAGERS SOLE SHARE NONE ------------------------------------- ---------------- --------- ----------- --------- ---------- -------- ---- ------ ------ WELLS FARGO & CO NEW COM 949746101 788 32,602 Sole INTEL CORP COM 458140100 783 36,708 Sole VERIZON COMMUNICATIONS INC COM 92343V104 777 21,110 Sole GREEN MTN COFFEE ROASTERS IN COM 393122106 771 8,300 Defined 2 8,300 -- LAKELAND BANCORP INC COM 511637100 771 98,611 Defined 2 98,611 -- INTERNATIONAL FLAVORS&FRAGRA COM 459506101 769 13,680 Defined 2 12,320 1,360 CSX CORP COM 126408103 766 41,016 Defined 2 41,016 -- CIGNA CORP COM 125509109 761 18,150 Defined 2 18,150 -- LINEAR TECHNOLOGY CORP COM 535678106 755 27,320 Defined 2 22,355 4,965 HEINZ H J CO COM 423074103 746 14,785 Defined 2 13,485 1,300 ISHARES TR RUSL 2000 VALU 464287630 739 12,952 Defined 2 12,739 213 ABBOTT LABS COM 002824100 738 14,397 Sole TEVA PHARMACEUTICAL INDS LTD ADR 881624209 737 19,802 Defined 2 18,767 1,035 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 728 20,329 Defined 2 6,829 13,500 NUCOR CORP COM 670346105 706 22,314 Defined 2 21,514 800 PG&E CORP COM 69331C108 704 16,645 Defined 2 15,420 1,225 AMGEN INC COM 031162100 672 12,223 Defined 2 10,127 2,096 TOOTSIE ROLL INDS INC COM 890516107 657 27,252 Defined 2 -- 27,252 TEXAS INSTRS INC COM 882508104 657 24,646 Defined 2 23,586 1,060 STAPLES INC COM 855030102 651 48,954 Defined 2 48,482 472 CLOROX CO DEL COM 189054109 651 9,813 Defined 2 8,198 1,615 AIR PRODS & CHEMS INC COM 009158106 633 8,289 Defined 2 8,089 200 NATIONAL OILWELL VARCO INC COM 637071101 620 12,101 Defined 2 11,501 600 GOOGLE INC CL A 38259P508 613 1,190 Defined 2 645 545 ISHARES TR RUSSELL 2000 464287655 612 9,525 Defined 2 6,655 2,870 BEMIS INC COM 081437105 610 20,817 Defined 2 16,137 4,680 MERCK & CO INC NEW COM 58933Y105 606 18,515 Sole TECHNE CORP COM 878377100 604 8,874 Defined 2 6,784 2,090 CONSOLIDATED EDISON INC COM 209115104 592 10,376 Defined 2 8,376 2,000 EXXON MOBIL CORP COM 30231G102 587 8,085 Defined 1 ANADARKO PETE CORP COM 032511107 585 9,272 Defined 2 4,213 5,059 DENTSPLY INTL INC NEW COM 249030107 581 18,915 Defined 2 18,915 -- AVON PRODS INC COM 054303102 577 29,423 Defined 2 26,773 2,650 PROCTER & GAMBLE CO COM 742718109 562 8,900 Defined 1 SCHLUMBERGER LTD COM 806857108 553 9,263 Sole ISHARES INC MSCI EMU INDEX 464286608 553 20,250 Defined 2 20,250 -- CISCO SYS INC COM 17275R102 543 34,996 Sole METLIFE INC COM 59156R108 542 19,365 Defined 2 19,365 -- GALLAGHER ARTHUR J & CO COM 363576109 542 20,612 Defined 2 14,035 6,577 BB&T CORP COM 054937107 541 25,356 Defined 2 25,356 -- ISHARES TR RUSSELL MCP VL 464287473 539 13,982 Defined 2 13,296 686 KRAFT FOODS INC CL A 50075N104 526 15,667 Sole GENERAL MLS INC COM 370334104 523 13,575 Defined 2 13,575 -- SPDR GOLD TRUST GOLD SHS 78463V107 522 3,300 Defined 1 GOLDMAN SACHS GROUP INC COM 38141G104 520 5,505 Defined 2 5,355 150 AMAZON COM INC COM 023135106 519 2,400 Sole CONOCOPHILLIPS COM 20825C104 518 8,184 Sole FRANKLIN RES INC COM 354613101 514 5,376 Defined 2 5,376 -- FASTENAL CO COM 311900104 500 15,034 Defined 2 14,906 128 CANADIAN NAT RES LTD COM 136385101 485 16,430 Defined 1 NIKE INC CL B 654106103 483 5,648 Sole GRAINGER W W INC COM 384802104 481 3,215 Defined 2 1,215 2,000 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 480 18,718 Defined 2 16,203 2,515 TRANSOCEAN LTD REG SHS H8817H100 461 9,646 Defined 2 1,127 8,519 QUALCOMM INC COM 747525103 457 9,400 Sole SHERWIN WILLIAMS CO COM 824348106 457 6,148 Defined 2 6,148 -- ST JUDE MED INC COM 790849103 456 12,600 Defined 2 12,600 -- LILLY ELI & CO COM 532457108 455 12,305 Defined 2 12,055 250 FREEPORT- MCMORAN COPPER & GO COM 35671D857 452 14,839 Defined 2 14,471 368 BANK OF AMERICA CORPORATION COM 060505104 446 72,589 Sole CITIGROUP INC COM NEW 172967424 444 17,346 Sole WILLIAMS COS INC DEL COM 969457100 437 17,960 Defined 2 3,960 14,000 DOW CHEM CO COM 260543103 428 19,041 Defined 2 17,146 1,895 FORTUNE BRANDS INC COM 349631101 424 7,845 Defined 2 4,645 3,200 JOHNSON & JOHNSON COM 478160104 422 6,626 Defined 1 WELLS FARGO & CO NEW COM 949746101 421 17,475 Defined 1 CITIGROUP INC COM NEW 172967424 413 16,134 Defined 2 15,045 1,089 ADOBE SYS INC COM 00724F101 410 16,957 Defined 2 16,457 500 GOLDMAN SACHS GROUP INC COM 38141G104 409 4,321 Sole MOTOROLA SOLUTIONS INC COM NEW 620076307 406 9,700 Sole PROGRESS ENERGY INC COM 743263105 404 7,817 Defined 2 7,817 -- DIAMOND OFFSHORE DRILLING IN COM 25271C102 403 7,370 Defined 2 7,370 -- GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 399 9,657 Defined 2 9,657 -- ALLSTATE CORP COM 020002101 396 16,650 Sole PFIZER INC COM 717081103 395 22,363 Defined 1 PEOPLES UNITED FINANCIAL INC COM 712704105 394 34,593 Defined 2 23,107 11,486 PITNEY BOWES INC COM 724479100 394 20,968 Defined 2 968 20,000 APPLIED MATLS INC COM 038222105 392 37,901 Defined 2 37,401 500 MICROSOFT CORP COM 594918104 390 15,670 Defined 1

FAIR MARKET AMOUNT OF VOTING AUTHORITY VALUE SECURITY INVESTMENT OTHER ------------------ NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) (SH) DISCRETION MANAGERS SOLE SHARE NONE ------------------------------------- ---------------- --------- ----------- --------- ---------- -------- ---- ------ ------ CHEVRON CORP NEW COM 166764100 389 4,209 Defined 1 HCP INC COM 40414L109 386 11,000 Sole BARRICK GOLD CORP COM 067901108 385 8,177 Defined 1 CARDINAL HEALTH INC COM 14149Y108 385 9,200 Sole COMCAST CORP NEW CL A 20030N101 378 18,004 Sole JACOBS ENGR GROUP INC DEL COM 469814107 377 11,675 Defined 2 11,675 -- EATON VANCE CORP COM NON VTG 278265103 371 16,648 Defined 2 10,748 5,900 BHP BILLITON LTD SPONSORED ADR 088606108 368 5,535 Defined 2 5,495 40 EL PASO CORP COM 28336L109 362 20,700 Sole VISA INC COM CL A 92826C839 356 4,155 Sole AMERICAN SCIENCE & ENGR INC COM 029429107 354 5,800 Defined 2 5,800 -- UNITED TECHNOLOGIES CORP COM 913017109 354 5,030 Defined 1 KOHLS CORP COM 500255104 354 7,200 Sole ACTIVISION BLIZZARD INC COM 00507V109 347 29,200 Sole PRICE T ROWE GROUP INC COM 74144T108 346 7,237 Sole UNITED PARCEL SERVICE INC CL B 911312106 343 5,428 Sole BOSTON PROPERTIES INC COM 101121101 337 3,779 Sole MOHAWK INDS INC COM 608190104 336 7,839 Defined 2 7,710 129 DISNEY WALT CO COM DISNEY 254687106 332 11,015 Sole PRUDENTIAL FINL INC COM 744320102 332 7,089 Defined 2 7,014 75 NOBLE CORPORATION BAAR NAMEN -AKT H5833N103 331 11,275 Defined 2 11,275 -- PAYCHEX INC COM 704326107 330 12,503 Defined 2 10,943 1,560 PEPSICO INC COM 713448108 329 5,319 Defined 1 HUMANA INC COM 444859102 327 4,500 Sole BP PLC SPONSORED ADR 055622104 325 9,010 Defined 2 9,010 -- COLGATE PALMOLIVE CO COM 194162103 324 3,650 Defined 1 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 323 4,720 Defined 2 4,720 -- CVS CAREMARK CORPORATION COM 126650100 322 9,565 Sole ROGERS COMMUNICATIONS INC CL B 775109200 321 9,323 Defined 1 INTUITIVE SURGICAL INC COM NEW 46120E602 321 880 Sole PRECISION CASTPARTS CORP COM 740189105 316 2,035 Defined 2 2,035 -- ENTERPRISE PRODS PARTNERS L COM 293792107 315 7,835 Defined 2 2,885 4,950 TALISMAN ENERGY INC COM 87425E103 312 25,440 Defined 2 25,440 -- AMGEN INC COM 031162100 312 5,671 Sole HEWLETT PACKARD CO COM 428236103 309 13,700 Sole MCDONALDS CORP COM 580135101 307 3,501 Defined 1 AMAZON COM INC COM 023135106 307 1,420 Defined 2 1,420 -- WAL MART STORES INC COM 931142103 306 5,905 Defined 1 GENERAL ELECTRIC CO COM 369604103 306 20,057 Defined 1 AMERICAN EXPRESS CO COM 025816109 302 6,731 Sole PUBLIC SVC ENTERPRISE GROUP COM 744573106 301 9,012 Defined 2 5,812 3,200 POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 300 11,669 Defined 2 11,047 622 REPUBLIC SVCS INC COM 760759100 298 10,632 Sole BRISTOL MYERS SQUIBB CO COM 110122108 298 9,500 Sole MASSMUTUAL CORPORATE INVS IN COM 576292106 298 17,526 Defined 2 17,526 -- POWERSHARES ETF TRUST DWA TECH LDRS 73935X153 297 13,545 Defined 2 -- 13,545 COCA COLA CO COM 191216100 296 4,375 Defined 1 MERCK & CO INC NEW COM 58933Y105 293 8,955 Defined 1 PATTERSON COMPANIES INC COM 703395103 288 10,050 Defined 2 6,580 3,470 UNITEDHEALTH GROUP INC COM 91324P102 285 6,169 Sole TYCO INTERNATIONAL LTD SHS H89128104 284 6,964 Defined 2 6,964 -- TOYOTA MOTOR CORP SP ADR REP2COM 892331307 283 4,141 Defined 2 4,096 45 XEROX CORP COM 984121103 279 39,962 Sole ISHARES TR S&P SMLCAP 600 464287804 278 4,756 Defined 2 4,756 -- DISH NETWORK CORP CL A 25470M109 276 11,000 Sole AVALONBAY CMNTYS INC COM 053484101 274 2,400 Sole ISHARES TR BARCLY USAGG B 464287226 274 2,485 Defined 2 2,485 -- SOUTHWESTERN ENERGY CO COM 845467109 273 8,196 Sole HARTFORD FINL SVCS GROUP INC COM 416515104 271 16,770 Defined 2 16,770 -- FLOWSERVE CORP COM 34354P105 270 3,650 Defined 2 3,650 -- ROCKVILLE FINL INC NEW COM 774188106 270 28,438 Defined 2 28,438 -- FOREST LABS INC COM 345838106 268 8,715 Defined 2 8,715 -- INGERSOLL-RAND PLC SHS G47791101 267 9,517 Sole LINCOLN ELEC HLDGS INC COM 533900106 267 9,210 Defined 2 9,210 -- SCANA CORP NEW COM 80589M102 267 6,591 Defined 2 5,391 1,200 GENERAL DYNAMICS CORP COM 369550108 266 4,675 Defined 2 4,605 70 COSTCO WHSL CORP NEW COM 22160K105 265 3,223 Defined 2 2,913 310 FREEPORT- MCMORAN COPPER & GO COM 35671D857 262 8,608 Sole GOOGLE INC CL A 38259P508 260 505 Defined 1 CATERPILLAR INC DEL COM 149123101 259 3,511 Sole CAMERON INTERNATIONAL CORP COM 13342B105 258 6,200 Sole AMERICAN INTL GROUP INC COM NEW 026874784 248 11,300 Sole SPRINT NEXTEL CORP COM SER 1 852061100 245 80,700 Sole COACH INC COM 189754104 243 4,698 Defined 2 2,198 2,500 NATIONAL FUEL GAS CO N J COM 636180101 243 5,000 Defined 2 5,000 -- INTERNATIONAL BUSINESS MACHS COM 459200101 243 1,390 Defined 1 SMUCKER J M CO COM NEW 832696405 241 3,300 Sole ISHARES SILVER TRUST ISHARES 46428Q109 240 8,290 Defined 2 7,920 370 MANULIFE FINL CORP COM 56501R106 240 20,914 Defined 1

FAIR AMOUNT MARKET OF VOTING AUTHORITY VALUE SECURITY INVESTMENT OTHER ------------------ NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) (SH) DISCRETION MANAGERS SOLE SHARE NONE ------------------------------------- ---------------- --------- --------- -------- ---------- -------- ---- ------ ------ LINCOLN NATL CORP IND COM 534187109 239 15,292 Defined 2 14,656 636 KELLOGG CO COM 487836108 239 4,488 Defined 2 4,413 75 ITT CORP NEW COM 450911102 238 5,673 Defined 2 5,673 -- APPLE INC COM 037833100 238 625 Defined 1 PALL CORP COM 696429307 237 5,590 Defined 2 5,590 -- GREENHAVEN CONT CMDTY INDEX UNIT BEN INT 395258106 237 7,800 Defined 2 7,800 -- UBS AG SHS NEW H89231338 236 20,658 Defined 2 20,658 -- ISHARES TR DJ US INDUSTRL 464287754 235 4,280 Defined 2 4,280 -- WEYERHAEUSER CO COM 962166104 234 15,033 Sole PEABODY ENERGY CORP COM 704549104 234 6,895 Sole SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 230 1,616 Defined 2 1,616 -- ISHARES TR CONS SRVC IDX 464287580 227 3,550 Defined 2 3,550 -- MORGAN STANLEY COM NEW 617446448 225 16,664 Defined 2 15,924 740 STANLEY BLACK & DECKER INC COM 854502101 221 4,500 Sole ISHARES TR S&P MIDCAP 400 464287507 220 2,826 Defined 2 2,826 -- ALLERGAN INC COM 018490102 220 2,672 Defined 2 2,672 -- BANCORP NEW JERSEY INC NEW COM 059915108 219 23,000 Defined 2 23,000 -- AUTOLIV INC COM 052800109 218 4,500 Defined 2 4,500 -- FORD MTR CO DEL COM PAR $0.01 345370860 218 22,533 Sole CENTERPOINT ENERGY INC COM 15189T107 218 11,100 Sole NEXTERA ENERGY INC COM 65339F101 216 4,000 Sole ALCOA INC COM 013817101 212 22,150 Defined 2 21,050 1,100 DU PONT E I DE NEMOURS & CO COM 263534109 203 5,087 Sole MASTERCARD INC CL A 57636Q104 202 636 Sole HATTERAS FINL CORP COM 41902R103 201 8,000 Defined 2 -- 8,000 EBAY INC COM 278642103 201 6,800 Sole TELEFONICA S A SPONSORED ADR 879382208 200 10,468 Defined 2 10,384 84 LEXICON PHARMACEUTICALS INC COM 528872104 42 45,500 Sole VANTAGE DRILLING COMPANY ORD SHS G93205113 56 44,900 Sole SCORPIO TANKERS INC SHS Y7542C106 161 30,467 Defined 2 11,467 19,000 CHIMERA INVT CORP COM 16934Q109 69 25,000 Defined 2 -- 25,000 MANNKIND CORP COM 56400P201 83 21,900 Sole MANITOWOC INC COM 563571108 138 20,500 Defined 2 -- 20,500 STEELCASE INC CL A 858155203 126 20,000 Defined 2 -- 20,000 GERON CORP COM 374163103 41 19,500 Sole BANK OF AMERICA CORPORATION COM 060505104 100 16,305 Defined 1 INVESCO VAN KAMP DYN CRDT OP COM 46132R104 160 15,000 Defined 2 -- 15,000 CAPSTONE TURBINE CORP COM 14067D102 15 15,000 Defined 2 15,000 -- NEW YORK TIMES CO CL A 650111107 86 14,800 Defined 2 14,800 -- ISHARES INC MSCI JAPAN 464286848 127 13,395 Defined 1 AMERICAN CAP LTD COM 02503Y103 91 13,311 Sole UNITED ONLINE INC COM 911268100 68 13,000 Sole MICROMET INC COM 59509C105 62 13,000 Sole BOSTON PRIVATE FINL HLDGS IN COM 101119105 75 12,700 Sole MASCO CORP COM 574599106 87 12,280 Defined 2 12,280 -- SILICON IMAGE INC COM 82705T102 72 12,200 Sole CORNING INC COM 219350105 149 12,069 Defined 2 8,419 3,650 ANNALY CAP MGMT INC COM 035710409 200 12,000 Defined 2 2,000 10,000 VALLEY NATL BANCORP COM 919794107 127 11,986 Defined 2 11,986 -- MFA FINANCIAL INC COM 55272X102 83 11,892 Sole NEWS CORP CL A 65248E104 176 11,379 Sole FRONTIER COMMUNICATIONS CORP COM 35906A108 66 10,826 Defined 2 7,764 3,062 PIMCO INCOME STRATEGY FUND I COM 72201J104 94 10,760 Defined 2 300 10,460 SANOFI RIGHT 12/31/2020 80105N113 11 10,673 Defined 2 10,673 -- BEBE STORES INC COM 075571109 71 10,500 Sole DELTEK INC COM 24784L105 63 10,500 Sole PIMCO CORPORATE OPP FD COM 72201B101 165 10,000 Defined 2 -- 10,000 XEROX CORP COM 984121103 70 10,000 Defined 2 -- 10,000 MF GLOBAL HLDGS LTD COM 55277J108 41 10,000 Defined 2 10,000 -- ------------------------------------- --------- 375 1,607,189 ------------------------------------- ---------