0000919574-13-000912.txt : 20130213 0000919574-13-000912.hdr.sgml : 20130213 20130213155845 ACCESSION NUMBER: 0000919574-13-000912 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130213 DATE AS OF CHANGE: 20130213 EFFECTIVENESS DATE: 20130213 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PINNACLE ASSOCIATES LTD CENTRAL INDEX KEY: 0000743127 IRS NUMBER: 133220717 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-01669 FILM NUMBER: 13602985 BUSINESS ADDRESS: STREET 1: 335 MADISON AVENUE STREET 2: 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2126523200 MAIL ADDRESS: STREET 1: 335 MADISON AVENUE STREET 2: 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 13F-HR 1 d1356654_13f-hr.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 December 31, 2012 Check here if Amendment: | |; Amendment Number: This Amendment (Check only one): | | is a restatement | | adds new holding entries. Institutional Manager Filing this Report: Name: Pinnacle Associates Ltd. Address: 335 Madison Avenue 11th Floor New York, New York 10017 13F File Number: 028-01669 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: Eliott Frank Title: General Counsel/Chief Compliance Officer Phone: (212) 652-3200 Signature, Place and Date of Signing: /s/ Eliott Frank New York, New York February 13, 2013 ----------------------- --------------------------- ---------------------- [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 managers(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 565 Form 13F Information Table Value Total: $4,087,757 (thousands) List of Other Included Managers: NONE FORM 13F INFORMATION TABLE Pinnacle Associates Ltd. December 31, 2012

COL 1 COL 2 COL 3 COL 4 COL 5 COL 6 COL 7 COL 8 TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MNGRS SOLE SHARED NONE -------------- -------- ----- ------- ------- --- ---- ---------- ----- ---- ------ ---- 3M Company COM 88579Y101 6097 65666 SH Sole 65666 AH Belo Corp COM 001282102 349 75157 SH Sole 75157 AMC Networks Inc A COM 00164V103 19821 400415 SH Sole 400415 ASML Holding NV - NY Reg COM N07059210 424 6589 SH Sole 6589 AT&T Inc COM 00206R102 25931 769233 SH Sole 769233 Abbott Laboratories COM 002824100 4993 76226 SH Sole 76226 Accenture PLC Cl A COM G1151C101 5146 77383 SH Sole 77383 Accuray Inc COM 004397105 129 20000 SH Sole 20000 Ace Ltd COM H0023R105 2002 25087 SH Sole 25087 Aerovironment Inc COM 008073108 359 16525 SH Sole 16525 Aflac Inc COM 001055102 6792 127863 SH Sole 127863 Agrium Inc COM 008916108 4666 46723 SH Sole 46723 Akamai Technologies Inc COM 00971T101 1521 37182 SH Sole 37182 Alcoa Inc COM 013817101 292 33608 SH Sole 33608 Allegheny Technologies Inc COM 01741R102 307 10100 SH Sole 10100 AllianceBernstein Holding LP COM 01881G106 297 17050 SH Sole 17050 Alpha Natural Resources Inc COM 02076x102 134 13800 SH Sole 13800 Altria Group Inc COM 02209S103 7241 230327 SH Sole 230327 Amazon.Com Inc COM 023135106 650 2592 SH Sole 2592 Ameren Corporation COM 023608102 524 17051 SH Sole 17051 American Electric Power COM 025537101 3231 75700 SH Sole 75700 American Express COM 025816109 6828 118786 SH Sole 118786 Amgen Inc COM 031162100 8002 92826 SH Sole 92826 Anadarko Petroleum Corp COM 032511107 3648 49090 SH Sole 49090 Annaly Capital Management COM 035710409 1958 139459 SH Sole 139459 Apache Corp COM 037411105 473 6029 SH Sole 6029 Apple Inc COM 037833100 17658 33181 SH Sole 33181 Applied Industrial Tech Inc COM 03820c105 910 21673 SH Sole 21673 Applied Materials COM 038222105 300 26243 SH Sole 26243 Archer-Daniels Midland Co COM 039483102 1148 41922 SH Sole 41922 Ariad Pharmaceuticals COM 04033A100 259 13500 SH Sole 13500 Arris Group Inc COM 04269q100 24939 1669275 SH Sole 1669275 Atmel Corp COM 049513104 44811 6841348 SH Sole 6841348 Autoliv Inc COM 052800109 639 9480 SH Sole 9480 Automatic Data Processing COM 053015103 748 13132 SH Sole 13132 Avnet Inc COM 053807103 38313 1251649 SH Sole 1251649 Avon Products Inc COM 054303102 800 55680 SH Sole 55680 BB&T Corporation COM 054937107 3210 110288 SH Sole 110288 BCE Inc COM 05534b760 275 6400 SH Sole 6400 BGC Partners INC-CL A COM 05541t101 85 24665 SH Sole 24665 Baker Hughes Inc COM 057224107 1044 25565 SH Sole 25565 Bank of America Corp COM 060505104 11259 969773 SH Sole 969773 Bank of New York Mellon Corp COM 064058100 2659 103462 SH Sole 103462 Barnes & Noble Inc COM 067774109 601 39805 SH Sole 39805 Barrick Gold Crp COM 067901108 2149 61370 SH Sole 61370 Baxter Intl Inc COM 071813109 5754 86321 SH Sole 86321 Baytex Energy Corp COM 07317Q105 792 18319 SH Sole 18319 Becton Dickinson & Co COM 075887109 5800 74180 SH Sole 74180 Belden Inc COM 077454106 2229 49550 SH Sole 49550 Belo (A.H.) 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1647 43015 SH Sole 43015 Union Pac Corp COM 907818108 1562 12425 SH Sole 12425 United Continental Holdings COM 910047109 641 27417 SH Sole 27417 United Parcel Service -Cl B COM 911312106 2348 31842 SH Sole 31842 United States Steel Corp COM 912909108 10874 455934 SH Sole 455934 United Tech Corp COM 913017109 13936 169927 SH Sole 169927 Unitedhealth Group Inc COM 91324P102 2457 45307 SH Sole 45307 Urstadt Biddle CL A COM 917286205 327 16600 SH Sole 16600 Valero Energy Corp New COM 91913Y100 303 8870 SH Sole 8870 Valley National Bancorp COM 919794107 94 10100 SH Sole 10100 Valspar Corp COM 920355104 62012 993779 SH Sole 993779 Vanguard Natural Resources COM 92205F106 390 15000 SH Sole 15000 Varian Medical Systems Inc COM 92220P105 2060 29330 SH Sole 29330 Verizon Communications COM 92343V104 12854 297065 SH Sole 297065 Vertex Pharmaceuticals Com COM 92532F100 894 21325 SH Sole 21325 Viacom Inc Class A COM 92553P102 376 6925 SH Sole 6925 Viacom Inc Class B COM 92553P201 8118 153923 SH 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Inc COM 984332106 3611 181460 SH Sole 181460 eBay Inc COM 278642103 647 12690 SH Sole 12690 ABB Ltd - Spon ADR ADR 000375204 5473 263271 SH Sole 263271 Alcatel-Lucent ADR ADR 013904305 28 20310 SH Sole 20310 Anglogold Ashanti Ltd-Spon A ADR 035128206 316 10063 SH Sole 10063 Arm Holdings PLC - Spons ADR ADR 042068106 327 8650 SH Sole 8650 BHP Billiton Ltd - Sp ADR ADR 088606108 717 9143 SH Sole 9143 BP Plc - Spons ADR ADR 055622104 1712 41115 SH Sole 41115 Banco Bilbao Vizcaya -Sp ADR ADR 05946K101 473 50242 SH Sole 50242 Cie Gen Geophysique Sa - Sp ADR 204386106 568 18625 SH Sole 18625 Cpfl Energia Sa-Adr ADR 126153105 505 24083 SH Sole 24083 Diageo Plc - Sponsored ADR ADR 25243Q205 248 2127 SH Sole 2127 Doctor Reddy's Lab - ADR ADR 256135203 735 22075 SH Sole 22075 Electrolux AB- Spons ADR B ADR 010198208 212 3985 SH Sole 3985 Embraer SA - ADR ADR 29082A107 695 24370 SH Sole 24370 Focus Media Holding ADR ADR 34415V109 798 31076 SH Sole 31076 Fresenius Medical Care ADR ADR 358029106 813 23702 SH Sole 23702 GlaxoSmithkline PLC ADR ADR 37733W105 1735 39918 SH Sole 39918 HSBC Holdings Plc - Spon ADR ADR 404280406 1254 23631 SH Sole 23631 Honda Motor Co Ltd - Spon AD ADR 438128308 434 11742 SH Sole 11742 ING Groep Nv - Spons ADR ADR 456837103 965 101640 SH Sole 101640 Infosys Ltd - Sp ADR ADR 456788108 294 6955 SH Sole 6955 Kubota Corp Spons ADR ADR 501173207 248 4302 SH Sole 4302 Logitech International SA - ADR H50430232 581 77069 SH Sole 77069 Makita Corp-Spons Adr ADR 560877300 383 8235 SH Sole 8235 Melco Crown Entertainme-Adr ADR 585464100 236 14000 SH Sole 14000 Mitsubishi UFJ Financial-ADR ADR 606822104 282 52054 SH Sole 52054 Nomura Holdings Inc - ADR ADR 65535H208 238 40480 SH Sole 40480 Novartis AG - Spon ADR ADR 66987V109 5187 81941 SH Sole 81941 Novo-Nordisk A/S ADR ADR 670100205 1089 6673 SH Sole 6673 Petroleo Brasileiro Sa-ADR ADR 71654V408 245 12590 SH Sole 12590 Prudential Plc Adr ADR 74435K204 798 27953 SH Sole 27953 Rio Tinto Plc Sponsored ADR ADR 767204100 11073 190620 SH Sole 190620 Royal Dutch Shell Plc Spon A ADR 780259206 759 11006 SH Sole 11006 Ryanair Hldgs Plc - Spon ADR ADR 783513104 523 15260 SH Sole 15260 SAP AG - Spon ADR ADR 803054204 926 11516 SH Sole 11516 Sanofi ADR ADR 80105n105 5358 113086 SH Sole 113086 Siemens Ag - Spon ADR ADR 826197501 560 5112 SH Sole 5112 Sony Corp- Sponsored ADR ADR 835699307 136 12134 SH Sole 12134 Statoil Asa ADR ADR 85771P102 592 23657 SH Sole 23657 Syngenta AG - Spon ADR ADR 87160A100 6829 84522 SH Sole 84522 Taiwan Semiconductors-Sp ADR ADR 874039100 308 17962 SH Sole 17962 Tenaris SA - ADR ADR 88031m109 668 15947 SH Sole 15947 Teva Pharmaceutical-Spon ADR ADR 881624209 5821 155889 SH Sole 155889 Total S A Sponsored ADR ADR 89151E109 4185 80472 SH Sole 80472 Unilever Plc-ADR ADR 904767704 852 22013 SH Sole 22013 Vale SA Sponsored ADR ADR 91912E105 5420 258565 SH Sole 258565 Veolia Environnement ADR ADR 92334N103 697 56930 SH Sole 56930 Vodafone Group Plc- Spons AD ADR 92857W209 8456 335697 SH Sole 335697 Volvo AB Spons ADR ADR 928856400 222 16220 SH Sole 16220 Kinder Morgan Inc. Wt Exp 2/ WT 49456b119 232 61257 SH Sole 61257 (Sector SPDR) AMEX Tech Sele ETF 81369Y803 257 8906 SH Sole 8906 (Sector SPDR) AMEX Utilities ETF 81369Y886 343 9816 SH Sole 9816 Alerian MLP ETF ETF 00162Q866 8274 518760 SH Sole 518760 Consumer Discretionary Sel S ETF 81369Y407 495 10435 SH Sole 10435 ETF Market Vectors Agribusin ETF 57060u605 245 4650 SH Sole 4650 Energy Select Sector SPDR Fu ETF 81369Y506 758 10615 SH Sole 10615 Financial Select SPDR Index ETF 81369Y605 834 50880 SH Sole 50880 Guggenheim BRIC Fund ETF 18383M100 1276 35419 SH Sole 35419 ISHARES TR 1-3 YR TRS BD ETF 464287457 1024 12130 SH Sole 12130 ISHARES TR DJ OIL EQUIP ETF 464288844 413 8100 SH Sole 8100 Ishares Inc MSCI Brazil ETF 464286400 2362 42231 SH Sole 42231 Ishares Silver Trust Ishares ETF 46428Q109 237 8085 SH Sole 8085 Market Vectors Pref Ex-Finan ETF 57061r791 1298 63347 SH Sole 63347 PIMCO Total Return ETF ETF 72201R775 1018 9335 SH Sole 9335 Palladium Trust ETF ETF 26923a106 288 4165 SH Sole 4165 Pimco Broad US Tips Index FN ETF 72201r403 968 15810 SH Sole 15810 Pimco Enhanced Short Maturit ETF 72201r833 5289 52120 SH Sole 52120 Powershares Financial Prefer ETF 73935x229 2502 136861 SH Sole 136861 Powershares Gbl ETF Trust Ag ETF 73936T565 1935 131780 SH Sole 131780 Powershares QQQ Trust ETF 73935A104 884 13572 SH Sole 13572 Powershares S&P 500 Low Vola ETF 73937b779 656 23697 SH Sole 23697 ProShares UltraShort S&P 500 ETF 74347B300 470 8677 SH Sole 8677 SPDR Barclays Cap High Yield ETF 78464A417 3834 94177 SH Sole 94177 SPDR Barclays Capital Conv S ETF 78464a359 280 6950 SH Sole 6950 SPDR Barclays Capital Tips E ETF 78464a656 957 15762 SH Sole 15762 SPDR Dow Jones Indl Avrg ETF ETF 78467X109 512 3918 SH Sole 3918 SPDR Dow Jones Intl Real Est ETF 78463X863 341 8254 SH Sole 8254 SPDR Gold Trust ETF 78463V107 4772 29451 SH Sole 29451 SPDR S & P Mid-Cap 400 ETF T ETF 78467Y107 13473 72548 SH Sole 72548 SPDR S&P 500 ETF Tr ETF 78462F103 15732 110468 SH Sole 110468 Vanguard Bd Index Fd Short T ETF 921937827 8039 99264 SH Sole 99264 Vanguard Bd Index Fd Tot Mkt ETF 921937835 5936 70639 SH Sole 70639 Vanguard Dividend Appreciati ETF 921908844 2039 34225 SH Sole 34225 Vanguard FTSE All World Ex U ETF 922042775 15201 332264 SH Sole 332264 Vanguard FTSE Emerging Marke ETF 922042858 9007 202273 SH Sole 202273 Vanguard High Div Yield ETF ETF 921946406 11378 230412 SH Sole 230412 Vanguard Intermediate-Term C ETF 92206c870 2795 31885 SH Sole 31885 Vanguard Large Cap ETF ETF 922908637 4998 76708 SH Sole 76708 Vanguard Mid-Cap ETF ETF 922908629 542 6575 SH Sole 6575 Vanguard REIT ETF ETF 922908553 2191 33298 SH Sole 33298 Vanguard Short Term Corp Bon ETF 92206C409 5875 73145 SH Sole 73145 Vanguard Small-Cap ETF ETF 922908751 15829 195663 SH Sole 195663 Wisdomtree EM Corp Bond Fund ETF 97717x784 741 9168 SH Sole 9168 Wisdomtree Emrg Mkts Debt ETF 97717X867 5200 97277 SH Sole 97277 Wisdomtree Emrg Mkts Small C ETF 97717w281 7630 154320 SH Sole 154320 iShares Barclays Aggregate B ETF 464287226 1266 11398 SH Sole 11398 iShares Barclays TIPS Bond F ETF 464287176 5297 43633 SH Sole 43633 iShares Dow Jones US Real Es ETF 464287739 440 6810 SH Sole 6810 iShares Iboxx Investment Gr ETF 464287242 4186 34594 SH Sole 34594 iShares Inc MSCI Cda Index ETF 464286509 341 12010 SH Sole 12010 iShares MSCI EAFE Growth Inx ETF 464288885 218 3635 SH Sole 3635 iShares MSCI EAFE Index Fund ETF 464287465 1474 25928 SH Sole 25928 iShares MSCI EAFE Small Cap ETF 464288273 7284 178930 SH Sole 178930 iShares MSCI Emerging Mkt In ETF 464287234 3415 77003 SH Sole 77003 iShares MSCI Japan ETF 464286848 125 12855 SH Sole 12855 iShares Morningstar Large Gr ETF 464287119 314 4100 SH Sole 4100 iShares S&P 500 Index Fund ETF 464287200 2401 16777 SH Sole 16777 iShares S&P 500 Value Index ETF 464287408 946 14255 SH Sole 14255 iShares S&P GSSI Natural Res ETF 464287374 593 15528 SH Sole 15528 iShares S&P Global Tech Sect ETF 464287291 698 10365 SH Sole 10365 iShares S&P Latin Amer 40 ETF 464287390 6546 149320 SH Sole 149320 iShares S&P National AMT Fre ETF 464288414 4668 42188 SH Sole 42188 iShares S&P Smallcap 600 Gro ETF 464287887 395 4703 SH Sole 4703 iShares S&P Smallcap 600 Val ETF 464287879 1802 22272 SH Sole 22272 iShares Tr DJ Sel Div Inx ETF 464287168 3203 55951 SH Sole 55951 iShares Tr Russell 1000 Grow ETF 464287614 1227 18736 SH Sole 18736 iShares Tr S&P 100 Index Fd ETF 464287101 776 11992 SH Sole 11992 iShares Tr S&P Midcap 400 ETF 464287507 712 6999 SH Sole 6999 iShares Tr S&P Smlcap 600 ETF 464287804 1065 13638 SH Sole 13638 iShares iBoxx High Yield Cor ETF 464288513 12318 131959 SH Sole 131959 ishares Barclays 1-3 year Cr ETF 464288646 1862 17654 SH Sole 17654 Allianzgi NFJ Dv In & Pr Str COM 01883A107 2149 137750 SH Sole 137750 General American Investors COM 368802104 237 8526 SH Sole 8526 Nuveen Diversif Currency Opp COM 67090N109 145 11273 SH Sole 11273 Apache Corp. 6% 8/1/13 PFD 037411808 225 4925 SH Sole 4925 Barclays Bank 7.10% Spons A PFD 06739H776 420 16750 SH Sole 16750 Barclays Bank Plc Sp Ads Pfd PFD 06739h511 201 8000 SH Sole 8000 Metlife Inc 6.5% 9/15/10 PFD 59156r603 870 34500 SH Sole 34500 Aberdeen Asia-Pacific Prime COM 003009107 681 88009 SH Sole 88009 Blackrock Global Floating Ra COM 091941104 375 24948 SH Sole 24948 Blackrock Income Opportunity COM 092475102 755 66600 SH Sole 66600 Calamos Convertible Opp&Inc, COM 128117108 537 45000 SH Sole 45000 Eaton Vance Float Rt Inc. Tr COM 278279104 769 45115 SH Sole 45115 Archer Daniels Conv CONV 039483AW2 401 400000 PRN Sole 400000 Goodrich Petroleum Corp CONV 382410AC2 494 525000 PRN Sole 525000 Intel Corp CONV 458140AD2 311 300000 PRN Sole 300000 Kinross Gold Corp CONV 496902AD9 296 295000 PRN Sole 295000 Micron Technology Inc (Conv. CONV 595112AH6 1372 1380000 PRN Sole 1380000 Nasdaq Omx Group CONV 631103AA6 547 545000 PRN Sole 545000 RTI International Metals(Con CONV 74973WAA5 1104 1015000 PRN Sole 1015000 Stillwater Mining CONV 86074QAF9 716 715000 PRN Sole 715000 AmeriGas Partners LP Unit LP Int 030975106 1403 36215 SH Sole 36215 Boardwalk Pipeline Partners UT LTD PARTNER 096627104 1434 57574 SH Sole 57574 El Paso Pipeline Partners L COM UNIT LPI 283702108 569 15401 SH Sole 15401 Enbridge Energy Partners Lp COM 29250R106 283 10129 SH Sole 10129 Energy Transfer Partners LP UNIT LTD PARTN 29273r109 1006 23423 SH Sole 23423 Enterprise Prods Partners Ma COM 293792107 3715 74190 SH Sole 74190 HI-Crush Partners LP COM UNIT LTD 428337109 183 12156 SH Sole 12156 Kayne Anderson MLP Investmen COM 486606106 8318 282258 SH Sole 282258 Kinder Morgan Energy Prtnrs UT LTR PARTNER 494550106 3297 41327 SH Sole 41327 Kkr & Co Lp COM UNITS 48248M102 704 46219 SH Sole 46219 Magellan Midstream Partners COM UNIT RP LP 559080106 998 23097 SH Sole 23097 Suburban Propane Partners LP UNIT LTD PARTN 864482104 361 9281 SH Sole 9281 Teekay LNG Partners LP PRTNRSP UNITS Y8564M105 540 14297 SH Sole 14297 Teekay Offshore Partners LP PARTNERSHIP UN Y8565J101 347 13350 SH Sole 13350 Terra Nitrogen Company Lp COM UNIT 881005201 282 1316 SH Sole 1316 Tortoise MLP Fund Inc COM 89148B101 312 12748 SH Sole 12748

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