-----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, T//S2P7FHBKtlinTXYe5R043CTaXSVMW5pMukxhJAgC0BlRPYUG1NfkmQOFwGH8g GPepF5T4KHj/ouck2ACEhQ== 0001144204-09-007329.txt : 20090212 0001144204-09-007329.hdr.sgml : 20090212 20090212133314 ACCESSION NUMBER: 0001144204-09-007329 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081231 FILED AS OF DATE: 20090212 DATE AS OF CHANGE: 20090212 EFFECTIVENESS DATE: 20090212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FCA CORP /TX CENTRAL INDEX KEY: 0001166402 IRS NUMBER: 760076528 STATE OF INCORPORATION: TX FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10019 FILM NUMBER: 09593544 BUSINESS ADDRESS: STREET 1: 5847 SAN FELIPE # 850 CITY: HOUSTON STATE: TX ZIP: 77057 BUSINESS PHONE: 7137812856 MAIL ADDRESS: STREET 1: 5847 SAN FELIPE CITY: HOUSTON STATE: TX ZIP: 77057 13F-HR 1 v139464_13fhr.txt UNITED STATES SEUCRITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F Report for the Calendar Year or quarter Ended December 31, 2008 If amended report check here: [ ] Amendment Number:___ This Amendment (Check only one): [ ] is a restatement [ ] adds new holding entries FCA Corp - -------------------------------------------------------------------------------- Name of Insitutional Investment Manager 5847 San Felipe, Suite 850 Houston Texas 77057 - -------------------------------------------------------------------------------- Business Address (Street) (City) (State) (Zip Code) 13F File Number: 028-10019 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, and tables are considered integral parts of this form. Person signing this Report on behalf of Reporting Manager: Ruth Willars Chief Compliance Officer 713-260-1431 - -------------------------------------------------------------------------------- Name Title Telephone /s/ Ruth Willars -------------------------------- Manual Signature of Person Duly Authorized to submit this Report Houston, TX 2-10-2009 -------------------------------- Place and Date of Signing Report Type: [X] 13F Holdings Report [ ] 13F Notice [ ] 13F Combination Report Report Summary: Number of other included managers: 0 Form 13F information table entry total: 184 Form 13F table value total: $114,959 List of other included Managers: None FCA Corp Form 13(f) For the Quarter Ended December 31, 2008
INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR MKT SHARES OR --------------------- ----------------- OF ID CUSIP VALUE PRINCIPAL SH/ PUT/ SOLE SHARED OTHER OTHER SOLE SHARED OTHER NAME OF ISSUER CLASS NUMBER (X1,000) AMOUNT PRN CALL (A) (B) (C) MANAGERS (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ 1ST CENTURY BANCSHARES INC COMMON STOCK 31943X102 261 62,800 SH 62,800 62,800 3M CO COMMON STOCK 88579Y101 868 15,085 SH 15,085 15,085 AGCO CORP COMMON STOCK 001084102 283 12,000 SH 12,000 12,000 ALAMO GROUP INC COMMON STOCK 011311107 974 65,158 SH 65,158 65,158 ALTO PALERMO S.A.-ADR ADR 02151P107 75 17,000 SH 17,000 17,000 AMDOCS LTD COMMON STOCK G02602103 183 10,000 SH 10,000 10,000 AMERICAN BUSINESS BANK COMMON STOCK 02475L105 800 43,851 SH 43,851 43,851 AMERICAN EXPRESS CO COMMON STOCK 025816109 399 21,485 SH 21,485 21,485 AMERICAN NATIONAL INSURANCE COMMON STOCK 028591105 332 4,498 SH 4,498 4,498 AMERICAN STATES WATER CO COMMON STOCK 029899101 1,619 49,100 SH 49,100 49,100 AMERON INTERNATIONAL CORP COMMON STOCK 030710107 1,018 16,175 SH 16,175 16,175 AMGEN INC COMMON STOCK 031162100 1,740 30,125 SH 30,125 30,125 ANGLO AMERICAN PLC-UNSP ADR ADR 03485P201 137 11,830 SH 11,830 11,830 APPLE INC COMMON STOCK 037833100 1,101 12,900 SH 12,900 12,900 AQUA AMERICA INC COMMON STOCK 03836W103 505 24,550 SH 24,550 24,550 AT&T INC COMMON STOCK 00206R102 956 33,546 SH 33,546 33,546 ATMOS ENERGY CORP COMMON STOCK 049560105 356 15,000 SH 15,000 15,000 AUTOMATIC DATA PROCESSING COMMON STOCK 053015103 205 5,200 SH 5,200 5,200 BANCO BILBAO VIZCAYA-SP ADR ADR 05946K101 215 17,220 SH 17,220 17,220 BANCO SANTANDER SA-SPON ADR ADR 05964H105 161 17,000 SH 17,000 17,000 BANK OF AMERICA CORP COMMON STOCK 060505104 351 24,961 SH 24,961 24,961 BAXTER INTERNATIONAL INC COMMON STOCK 071813109 874 16,300 SH 16,300 16,300 BIMINI CAPITAL MANAGEMENT-A REIT 090319104 0 10,000 SH 10,000 10,000 BLACKROCK LTD DURATION INC CLOSED-END FUND 09249W101 107 10,000 SH 10,000 10,000 BP PLC-SPONS ADR ADR 055622104 219 4,680 SH 4,680 4,680 BUNGE LTD COMMON STOCK G16962105 342 6,607 SH 107 6,500 6,500 107 BURLINGTON NORTHERN SANTA FE COMMON STOCK 12189T104 2,010 26,550 SH 26,550 26,550 CALIFORNIA WATER SERVICE GRP COMMON STOCK 130788102 2,405 51,800 SH 51,800 51,800 CATERPILLAR INC COMMON STOCK 149123101 384 8,600 SH 8,600 8,600 CEMEX SAB-SPONS ADR PART CER ADR 151290889 110 12,000 SH 12,000 12,000 CENTRAL SECURITIES CORP CLOSED-END FUND 155123102 456 31,673 SH 31,673 31,673 CHASE CORP COMMON STOCK 16150R104 329 29,150 SH 29,150 29,150 CHEMED CORP COMMON STOCK 16359R103 207 5,200 SH 5,200 5,200 CHEVRON CORP COMMON STOCK 166764100 345 4,670 SH 4,670 4,670 CIA VALE DO RIO DOCE-ADR ADR 204412209 194 16,000 SH 16,000 16,000 CIMAREX ENERGY CO COMMON STOCK 171798101 223 8,338 SH 8,338 8,338 CISCO SYSTEMS INC COMMON STOCK 17275R102 179 11,007 SH 11,007 11,007 COCA-COLA CO/THE COMMON STOCK 191216100 260 5,744 SH 5,744 5,744 COHEN & STEERS SEL UTILITY CLOSED-END FUND 19248A109 268 26,000 SH 26,000 26,000 COMMUNITY SOUTHERN BANK-CW08 EQUITY WRT 20405A114 0 2,000 SH 2,000 2,000 CONSTELLATION ENERGY GROUP COMMON STOCK 210371100 376 15,000 SH 15,000 15,000 COOPER TIRE & RUBBER COMMON STOCK 216831107 200 32,548 SH 32,548 32,548 CRH PLC-SPONSORED ADR ADR 12626K203 239 9,200 SH 9,200 9,200 CVS CAREMARK CORP COMMON STOCK 126650100 1,893 65,875 SH 65,875 65,875 DESARROLLADORA HOMEX-ADR ADR 25030W100 205 9,000 SH 9,000 9,000 DIME BANCORP-WT EQUITY WRT 25429Q110 0 260 SH 260 260 DOW CHEMICAL COMMON STOCK 260543103 360 23,835 SH 23,835 23,835 DST SYSTEMS INC COMMON STOCK 233326107 280 7,385 SH 7,385 7,385 DUKE REALTY CORP REIT 264411505 151 13,800 SH 13,800 13,800 DWS GLBL COMMOD STOCK FD INC CLOSED-END FUND 23338Y100 498 91,300 SH 91,300 91,300 E.ON AG -SPONSORED ADR ADR 268780103 326 8,000 SH 8,000 8,000 EATON VANCE LTD DURATION FND CLOSED-END FUND 27828H105 103 10,400 SH 10,400 10,400 ELECTRONIC ARTS INC COMMON STOCK 285512109 160 10,000 SH 10,000 10,000 ENERGY SELECT SECTOR SPDR ETF 81369Y506 1,734 36,290 SH 36,290 36,290 EQUITY ONE INC REIT 294752100 206 11,660 SH 11,660 11,660 EVEREST RE GROUP LTD COMMON STOCK G3223R108 330 4,330 SH 4,330 4,330 EXTRA SPACE STORAGE INC REIT 30225T102 155 15,000 SH 15,000 15,000 EXXON MOBIL CORP COMMON STOCK 30231G102 1,969 24,669 SH 24,669 24,669 FIRST SEISMIC CORP COMMON STOCK 336397104 2 229,681 SH 229,681 229,681 FIRST TRUST ENH EQUITY INC CLOSED-END FUND 337318109 97 10,964 SH 10,964 10,964 FIRST TRUST/FOUR CRNS SR F 2 CLOSED-END FUND 33733U108 94 13,445 SH 13,445 13,445 FPL GROUP INC COMMON STOCK 302571104 2,071 41,150 SH 41,150 41,150 FRANCE TELECOM SA-SPONS ADR ADR 35177Q105 421 15,000 SH 15,000 15,000 FRONTERA RESOURCES CORP COMMON STOCK 359044609 14 35,000 SH 35,000 35,000 GENERAL MOTORS CORP COMMON STOCK 370442105 54 17,000 SH 17,000 17,000 GENESEE & WYOMING INC-CL A COMMON STOCK 371559105 3,679 120,630 SH 120,630 120,630 GLAXOSMITHKLINE PLC-SPON ADR ADR 37733W105 504 13,532 SH 5,532 8,000 8,000 5,532 GRUPO TELEVISA SA-SPONS ADR ADR 40049J206 224 15,000 SH 15,000 15,000 HANG LUNG PROPERTIES-SP ADR ADR 41043M104 197 18,000 SH 18,000 18,000 HIGHLAND CREDIT STRATEGIES F CLOSED-END FUND 43005Q107 70 12,295 SH 12,295 12,295 HOME DEPOT INC COMMON STOCK 437076102 552 23,970 SH 17,970 6,000 6,000 17,970 HOST HOTELS & RESORTS INC REIT 44107P104 114 15,000 SH 15,000 15,000 HOUSTON WIRE & CABLE CO COMMON STOCK 44244K109 573 61,500 SH 61,500 61,500 HRPT PROPERTIES TRUST REIT 40426W101 34 10,100 SH 10,100 10,100 ING GROEP N.V.-SPONSORED ADR ADR 456837103 154 13,842 SH 13,842 13,842 INGLES MARKETS INC -CL A COMMON STOCK 457030104 2,767 157,303 SH 157,303 157,303 INTEGRYS ENERGY GROUP INC COMMON STOCK 45822P105 962 22,388 SH 22,388 22,388 INTEL CORP COMMON STOCK 458140100 523 35,700 SH 35,700 35,700 INTERCONTINENTAL HOTELS-ADR ADR 45857P301 159 19,003 SH 19,003 19,003 INTEROIL CORP COMMON STOCK 460951106 206 15,000 SH 15,000 15,000 INTL BUSINESS MACHINES CORP COMMON STOCK 459200101 851 10,108 SH 10,108 10,108 INTL SPEEDWAY CORP-CL A COMMON STOCK 460335201 227 7,900 SH 7,900 7,900 ISHARES BARCLAYS 7-10 YEAR ETF 464287440 248 2,520 SH 2,520 2,520 ISHARES COHEN & STEERS RLTY ETF 464287564 938 21,238 SH 21,238 21,238 ISHARES DJ US ENERGY SECTOR ETF 464287796 337 11,890 SH 11,890 11,890 ISHARES DJ US REAL ESTATE ETF 464287739 267 7,160 SH 960 6,200 6,200 960 ISHARES DJ US TRANSPORT AVG ETF 464287192 361 5,700 SH 5,700 5,700 ISHARES MSCI EAFE GROWTH INX ETF 464288885 307 6,750 SH 6,750 6,750 ISHARES MSCI EAFE INDEX FUND ETF 464287465 2,603 58,034 SH 58,034 58,034 ISHARES MSCI EMERGING MKT IN ETF 464287234 1,123 44,973 SH 44,973 44,973 ISHARES MSCI EMU ETF 464286608 1,051 34,330 SH 34,330 34,330 ISHARES MSCI JAPAN INDEX FD ETF 464286848 748 78,120 SH 78,120 78,120 ISHARES MSCI UNITED KINGDOM ETF 464286699 203 16,600 SH 16,600 16,600 ISHARES NASDAQ BIOTECH INDX ETF 464287556 327 4,600 SH 4,600 4,600 ISHARES RUSSELL 3000 GROWTH ETF 464287671 315 10,480 SH 10,480 10,480 ISHARES RUSSELL 3000 VALUE ETF 464287663 202 3,129 SH 3,129 3,129 ISHARES S&P 500 GROWTH INDEX ETF 464287309 203 4,525 SH 4,525 4,525 ISHARES S&P CALI MUNI BOND ETF 464288356 264 2,600 SH 2,600 2,600 ISHARES S&P EUROPE 350 ETF 464287861 1,488 47,776 SH 47,776 47,776 ISHARES S&P GLBL HEALTHCARE ETF 464287325 2,081 46,000 SH 46,000 46,000 ISHARES S&P MIDCAP 400 ETF 464287507 1,441 27,014 SH 27,014 27,014 ISHARES S&P MIDCAP 400/VALUE ETF 464287705 1,066 21,195 SH 21,195 21,195 ISHARES S&P SMALLCAP 600 ETF 464287804 885 20,135 SH 20,135 20,135 ISHARES S&P SMALLCAP 600/VAL ETF 464287879 1,867 38,390 SH 38,390 38,390 JAMES HARDIE INDS-SPONS ADR ADR 47030M106 198 12,100 SH 12,100 12,100 JANUS CAPITAL GROUP INC COMMON STOCK 47102X105 442 55,025 SH 55,025 55,025 JOHN HAN BK & THRIFT OPP FD CLOSED-END FUND 409735206 590 42,992 SH 42,992 42,992 JOHNSON & JOHNSON COMMON STOCK 478160104 943 15,768 SH 15,768 15,768 KAYNE ANDERSON ENERGY TOT RT CLOSED-END FUND 48660P104 128 11,104 SH 11,104 11,104 KINGFISHER PLC-SPONS ADR ADR 495724403 47 12,000 SH 12,000 12,000 KITE REALTY GROUP TRUST REIT 49803T102 56 10,000 SH 10,000 10,000 KMG CHEMICALS INC COMMON STOCK 482564101 455 91,528 SH 91,528 91,528 KVH INDUSTRIES INC COMMON STOCK 482738101 186 36,000 SH 36,000 36,000 LACLEDE GROUP INC/THE COMMON STOCK 505597104 937 20,000 SH 20,000 20,000 LIFEPOINT HOSPITALS INC COMMON STOCK 53219L109 343 15,000 SH 15,000 15,000 LMP REAL ESTATE INCOME FUND CLOSED-END FUND 50208C108 77 16,000 SH 16,000 16,000 LOWE'S COS INC COMMON STOCK 548661107 1,684 78,253 SH 70,253 8,000 8,000 70,253 LUBRIZOL CORP COMMON STOCK 549271104 293 8,055 SH 8,055 8,055 LUFKIN INDUSTRIES INC COMMON STOCK 549764108 345 10,000 SH 10,000 10,000 MEDALLION FINANCIAL CORP COMMON STOCK 583928106 986 129,275 SH 129,275 129,275 METROCORP BANCSHARES INC COMMON STOCK 591650106 75 10,000 SH 10,000 10,000 MICROFINANCIAL INC COMMON STOCK 595072109 1,308 647,400 SH 647,400 647,400 MICROSOFT CORP COMMON STOCK 594918104 635 32,651 SH 32,651 32,651 MIDCAP SPDR TRUST SERIES 1 ETF 595635103 969 9,976 SH 9,976 9,976 NESTLE SA-SPONS ADR FOR REG ADR 641069406 308 7,750 SH 7,750 7,750 NETFLIX INC COMMON STOCK 64110L106 1,883 63,013 SH 63,013 63,013 NEW IRELAND FUND INC CLOSED-END FUND 645673104 62 13,350 SH 13,350 13,350 NEXEN INC COMMON STOCK 65334H102 914 52,003 SH 52,003 52,003 NFJ DVD INTEREST & PR STRAT CLOSED-END FUND 65337H109 912 70,412 SH 70,412 70,412 NICE SYSTEMS LTD-SPONS ADR ADR 653656108 225 10,000 SH 10,000 10,000 NORFOLK SOUTHERN CORP COMMON STOCK 655844108 423 9,000 SH 9,000 9,000 NORTHROP GRUMMAN CORP COMMON STOCK 666807102 203 4,500 SH 4,500 4,500 NORTHWEST NATURAL GAS CO COMMON STOCK 667655104 265 6,000 SH 6,000 6,000 NORTHWEST PIPE COMPANY COMMON STOCK 667746101 1,285 30,150 SH 30,150 30,150 NOVARTIS AG-ADR ADR 66987V109 1,621 32,575 SH 32,575 32,575 OIL SERVICES HOLDRS TRUST ETF 678002106 704 9,550 SH 9,550 9,550 ORACLE CORP COMMON STOCK 68389X105 454 25,620 SH 25,620 25,620 O'REILLY AUTOMOTIVE INC COMMON STOCK 686091109 1,814 59,000 SH 59,000 59,000 PARKER DRILLING CO COMMON STOCK 701081101 229 79,000 SH 79,000 79,000 PENTAIR INC COMMON STOCK 709631105 302 12,760 SH 12,760 12,760 PETROQUEST ENERGY INC COMMON STOCK 716748108 68 10,000 SH 10,000 10,000 PFIZER INC COMMON STOCK 717081103 299 16,900 SH 16,900 16,900 PIMCO CORPORATE INCOME FUND CLOSED-END FUND 72200U100 156 13,600 SH 13,600 13,600 PORTUGAL TELECOM SGPS-SP ADR ADR 737273102 174 20,300 SH 20,300 20,300 POWERSHARES GLOBAL WATER POR ETF 73936T623 1,389 105,000 SH 105,000 105,000 PRAXAIR INC COMMON STOCK 74005P104 1,243 20,947 SH 20,947 20,947 PROGRESS ENERGY INC COMMON STOCK 743263105 1,559 39,124 SH 39,124 39,124 PUBLIC STORAGE REIT 74460D109 318 4,000 SH 4,000 4,000 RED ALERT GROUP INC COMMON STOCK 75629Q105 0 25,067 SH 25,067 25,067 REGAL BELOIT CORP COMMON STOCK 758750103 677 17,820 SH 17,820 17,820 RGC RESOURCES INC COMMON STOCK 74955L103 592 23,212 SH 23,212 23,212 ROYCE MICRO-CAP TRUST INC CLOSED-END FUND 780915104 455 80,984 SH 80,984 80,984 ROYCE VALUE TRUST CLOSED-END FUND 780910105 1,995 237,738 SH 237,738 237,738 RYDEX S&P EQ WGT HEALTHCARE ETF 78355W841 1,142 27,700 SH 27,700 27,700 SCANA CORP COMMON STOCK 80589M102 216 6,075 SH 6,075 6,075 SENIOR HOUSING PROP TRUST REIT 81721M109 185 10,300 SH 3,500 6,800 6,800 3,500 SIEMENS AG-SPONS ADR ADR 826197501 227 3,000 SH 3,000 3,000 SIRIUS XM RADIO INC COMMON STOCK 82967N108 11 92,000 SH 92,000 92,000 SMURFIT-STONE CONTAINER CORP COMMON STOCK 832727101 9 35,000 SH 35,000 35,000 SPDR TRUST SERIES 1 ETF 78462F103 448 4,961 SH 4,961 4,961 SUBURBAN PROPANE PARTNERS LP LTD PART 864482104 931 26,255 SH 26,255 26,255 SWS GROUP INC COMMON STOCK 78503N107 193 10,191 SH 10,191 10,191 TEVA PHARMACEUTICAL-SP ADR ADR 881624209 451 10,598 SH 400 10,198 10,198 400 TOTAL SA-SPON ADR ADR 89151E109 288 5,200 SH 5,200 5,200 TS&W/CLAYMORE T/A BALANCED CLOSED-END FUND 87280R108 124 18,607 SH 18,607 18,607 UCN INC COMMON STOCK 902636109 13 10,500 SH 10,500 10,500 UDR INC REIT 902653104 424 30,744 SH 23,744 7,000 7,000 23,744 UNILEVER N V -NY SHARES NY REG SHRS 904784709 221 9,000 SH 9,000 9,000 UNITED FIRE & CASUALTY CO COMMON STOCK 910331107 1,840 59,237 SH 59,237 59,237 UNITED TECHNOLOGIES CORP COMMON STOCK 913017109 2,501 46,666 SH 46,666 46,666 VAN KAMPEN BOND FUND CLOSED-END FUND 920955101 190 11,600 SH 11,600 11,600 VAN KAMPEN SENIOR INCOME TRS CLOSED-END FUND 920961109 48 18,600 SH 18,600 18,600 VARIAN SEMICONDUCTOR EQUIP COMMON STOCK 922207105 217 12,000 SH 12,000 12,000 VITRAN CORP INC COMMON STOCK 92850E107 100 16,000 SH 16,000 16,000 VTEX ENERGY INC COMMON STOCK 92908G104 0 10,000 SH 10,000 10,000 WAL-MART STORES INC COMMON STOCK 931142103 207 3,700 SH 3,700 3,700 WASTE MANAGEMENT INC COMMON STOCK 94106L109 1,807 54,520 SH 54,520 54,520 WEATHERFORD INTL LTD COMMON STOCK G95089101 1,660 153,400 SH 153,400 153,400 WELLS FARGO & CO COMMON STOCK 949746101 495 16,800 SH 16,800 16,800 WGL HOLDINGS INC COMMON STOCK 92924F106 2,104 64,371 SH 64,371 64,371 WILLIAMS COS INC COMMON STOCK 969457100 2,341 161,668 SH 161,668 161,668 WISCONSIN ENERGY CORP COMMON STOCK 976657106 1,012 24,105 SH 24,105 24,105 WYNDHAM WORLDWIDE CORP COMMON STOCK 98310W108 66 10,000 SH 10,000 10,000 XCEL ENERGY INC COMMON STOCK 98389B100 749 40,358 SH 40,358 40,358
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