UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13f Cover Page
Report for the Calendar Year or Quarter Ended March 31, 2013
If amended report check here: |_| Amendment Number: ____
This Amendment (Check only one): |_| is a restatement
|_| adds new holding
entries.
AFAM Capital, Inc.
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Name of Institutional Investment Manager
12117 FM 2244. Bldg. 3-#170, Austin, TX 78738
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Business Address (Street) (City) (State) (Zip)
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, and tables, are considered integral parts of this form.
Person Signing this Report on Behalf of Reporting Manager:
John Buckingham Chief Investment Officer 512-354-7044
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Name (Title) (Phone)
/s/ John Buckingham
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(Manual Signature of Person Duly
Authorized to Submit This Report)
Austin, TX May 14, 2013
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(Place and Date of Signing)
Report Type:
[X] 13F HOLDINGS REPORT.
[_] 13F NOTICE.
[_] 13F COMBINATION REPORT.
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 131
Form 13F Information Table Value Total: $731,139 (thousands)
List of Other Included Managers:
Name and 13F file numbers of ALL Institutional Investment Managers with respect
to which this schedule is filed (other than the one filing this report): (List
in alphabetical order).
[If there are no entries in this list, state "NONE" and omit the column headings
and list entries.]
13F File Numbers will be assigned to Institutional Investment Managers after
they file their first report.
13F File No.: Name: 13F File No.: Name:
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1. 6.
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2. 7.
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3. 8.
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4. 9.
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5. 10.
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AL FRANK ASSET MANAGEMENT QUARTER END 06/30/2012
FORM 13F INFORMATION TABLE
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
-------------- --------------- ------ --------- -------- -------------------------- ----- ------- -----
3M Corp. COMMON 88579Y101 2,314 21,765 SH Sole 13,661 8,104
3M Corp. COMMON 88579Y101 2,314 21,765 SH Sole 15,561 6,204
Abbott Laboratories COMMON 002824100 2,897 82,008 SH Sole 59,798 22,210
AbbVie Inc. COMMON 00287Y109 3,277 80,359 SH Sole 59,121 21,238
Aceto Corp COMMON 004446100 4,013 362,539 SH Sole 260,153 102,386
Activision Blizzard COMMON 00507V109 4,860 333,577 SH Sole 232,264 101,312
Aetna COMMON 00817Y108 5,042 98,612 SH Sole 74,468 24,144
Alpha & Omega Semiconductor
Inc. COMMON g6331p104 633 71,275 SH Sole 70,000 1,275
American Software COMMON 029683109 2,993 359,686 SH Sole 270,853 88,833
Ameriprise Financial COMMON 03076C106 7,061 95,877 SH Sole 72,621 23,256
Anworth Mortgage Asset Corp COMMON 037347101 1,219 192,613 SH Sole 172,776 19,837
Apache COMMON 037411105 3,753 48,638 SH Sole 35,748 12,890
Apple Computer COMMON 037833100 5,558 12,557 SH Sole 9,193 3,364
Archer-Daniels-Midland COMMON 039483102 6,418 190,278 SH Sole 143,859 46,418
Baker Hughes COMMON 057224107 4,179 90,048 SH Sole 62,938 27,110
Bank of NY Mellon Corp. COMMON 064058100 4,450 159,000 SH Sole 110,713 48,287
Barclays Capital High Yield
Bond ETF 78464a417 68,006 1,654,246 SH Sole 1,616,359 37,887
Baxter International COMMON 071813109 6,705 92,303 SH Sole 70,180 22,122
BB&T Corporation COMMON 054937107 4,500 143,355 SH Sole 110,314 33,041
Benchmark Electronics COMMON 08160h101 4,576 253,936 SH Sole 181,949 71,987
Best Buy COMMON 086516101 254 11,449 SH Sole 7,796 3,653
BHP Billiton COMMON 088606108 2,364 34,547 SH Sole 30,779 3,768
BioMed Realty COMMON 09063H107 3,673 170,048 SH Sole 127,335 42,712
Bristow Group Inc COMMON 110394103 7,500 113,740 SH Sole 82,657 31,083
Brocade Communications
Systems COMMON 111621306 2,622 454,424 SH Sole 298,107 156,317
CA Inc. COMMON 12673P105 1,017 40,405 SH Sole 32,750 7,655
California Water Service COMMON 130788102 2,429 122,036 SH Sole 81,613 40,423
Cardinal Health COMMON 14149Y108 663 15,923 SH Sole 13,816 2,107
Caterpillar COMMON 149123101 4,990 57,380 SH Sole 42,922 14,458
Celanese Corp COMMON 150870103 5,033 114,249 SH Sole 80,379 33,870
Chesapeake Energy COMMON 165167107 2,359 115,570 SH Sole 77,250 38,320
Cisco Systems COMMON 17275R102 5,872 281,027 SH Sole 197,248 83,779
Comcast Corp CL A COMMON 20030N101 7,354 175,181 SH Sole 128,270 46,911
Cooper Tire COMMON 216831107 8,838 344,436 SH Sole 256,258 88,178
Corning COMMON 219350105 4,167 312,629 SH Sole 244,810 67,819
Covidien PLC COMMON G2554F113 6,040 89,040 SH Sole 68,606 20,434
Credit Suisse Group COMMON 225401108 3,583 136,744 SH Sole 96,178 40,566
CSX COMMON 126408103 651 26,447 SH Sole 22,142 4,305
Deere & Co. COMMON 244199105 4,965 57,746 SH Sole 42,940 14,806
Diamond Offshore COMMON 25271c102 4,181 60,106 SH Sole 44,591 15,515
Diodes COMMON 254543101 482 22,955 SH Sole 6,902 16,053
Direxion Daily Devel Mkts
Bull 3X Shares ETF 25459W789 793 16,101 SH Sole 15,977 124
Direxion Daily Emerg Mkts
Bull 3X Shares ETF 25459y686 715 7,426 SH Sole 7,361 65
Direxion Daily Mid Cap Bull
3X Shares ETF 25459W730 282 5,193 SH Sole 5,151 42
Direxion Daily Real Estate
Bull 3x ETF 25459w755 355 3,666 SH Sole 3,644 22
Direxion Daily S&P 500 Bull
3X Shares ETF 25459W862 649 5,579 SH Sole 5,535 44
Direxion Daily Small Cap Bull
3X Shares ETF 25459W847 321 3,609 SH Sole 3,577 32
Disney, Walt COMMON 254687106 7,478 131,649 SH Sole 99,214 32,435
DuPont COMMON 263534109 2,605 52,999 SH Sole 41,064 11,935
Eaton Corp PLC COMMON G29183103 7,889 128,799 SH Sole 99,063 29,736
ENI SPA ADR COMMON 26874r108 2,416 53,827 SH Sole 45,429 8,398
Ericsson COMMON 294821608 4,977 395,011 SH Sole 270,020 124,991
Exelon COMMON 30161N101 1,003 29,096 SH Sole 23,065 6,031
Exxon Mobil COMMON 30231G102 5,809 64,471 SH Sole 50,392 14,079
Foot Locker COMMON 344849104 1,332 38,899 SH Sole 30,663 8,236
Freeport McMoran Copper & Gold COMMON 35671D857 4,385 132,484 SH Sole 94,478 38,006
General Dynamics COMMON 369550108 4,500 63,826 SH Sole 46,324 17,502
Goldman Sachs Group COMMON 38141G104 2,708 18,406 SH Sole 12,229 6,177
Hasbro COMMON 418056107 7,004 159,408 SH Sole 117,144 42,264
Ingram Micro COMMON 457153104 3,270 166,157 SH Sole 106,653 59,504
Intel COMMON 458140100 5,428 248,586 SH Sole 183,091 65,495
Int'l Business Machines COMMON 459200101 6,740 31,601 SH Sole 23,891 7,710
iShares Barclays MBS Bond Fund ETF 464288588 27,288 252,808 SH Sole 247,005 5,803
iShares Barclays Tip ETF 464287176 1,154 9,515 SH Sole 9,515 -
iShares Emerging Markets High
Yield Bond Fund ETF 464286285 13,867 254,770 SH Sole 249,061 5,709
iShares IBOXX $ High Yield Corp
Bond Fund ETF 464288513 649 6,882 SH Sole 6,882 -
iShares JPMorgan Emerging
Market Bond Fund ETF 464288281 13,858 117,809 SH Sole 115,228 2,581
iShares Trust Comex Gold ETF ETF 464285105 1,365 87,969 SH Sole 87,245 724
iShares Trust Russell 2000 ETF 464287655 495 5,240 SH Sole 5,240 -
iShares Trust Russell 2000
Value ETF 464287630 471 5,625 SH Sole 5,625 -
JP Morgan Chase COMMON 46625H100 6,567 138,378 SH Sole 103,721 34,657
Keycorp COMMON 493267108 941 94,436 SH Sole 88,368 6,068
KLA-Tencor COMMON 482480100 3,770 71,486 SH Sole 51,921 19,565
Kohl's COMMON 500255104 3,917 84,907 SH Sole 59,827 25,080
L-3 Communications Holdings COMMON 502424104 4,905 60,613 SH Sole 44,180 16,433
Lexmark International COMMON 529771107 3,434 130,092 SH Sole 109,481 20,611
Lockheed Martin COMMON 539830109 6,044 62,620 SH Sole 46,217 16,402
Manpower Inc. COMMON 56418H100 6,887 121,413 SH Sole 90,132 31,281
Marathon Oil COMMON 565849106 5,196 154,096 SH Sole 120,001 34,095
Market Vectors Emerging
Markets Local Currency Bond ETF 57060u522 28,029 1,036,558 SH Sole 1,013,207 23,351
Market Vectors International
High Yield Bond ETF ETF 57061R205 14,363 534,339 SH Sole 522,383 11,956
Marvell Tech COMMON g5876h105 2,957 279,663 SH Sole 180,513 99,150
McKesson COMMON 58155Q103 6,374 59,041 SH Sole 44,513 14,528
MDC Holdings COMMON 552676108 6,648 181,389 SH Sole 138,413 42,976
Merck & Co. COMMON 58933Y105 1,419 32,112 SH Sole 28,079 4,033
Metlife COMMON 59156r108 3,452 90,797 SH Sole 67,079 23,718
Microchip Tech COMMON 595017104 3,176 86,364 SH Sole 68,663 17,701
Microsoft COMMON 594918104 6,078 212,475 SH Sole 164,257 48,218
Nash Finch Company COMMON 631158102 1,608 82,147 SH Sole 61,799 20,348
Navios Maritime Holdings Inc. COMMON Y62196103 5,427 1,187,441 SH Sole 890,967 296,474
New York Community COMMON 649445103 1,417 98,776 SH Sole 82,176 16,600
Newmont Mining Corp
Holding Co. COMMON 651639106 1,077 25,700 SH Sole 19,673 6,027
Nippon Telegraph and
Telephone COMMON 654624105 4,608 211,965 SH Sole 149,944 62,021
Norfolk Southern COMMON 655844108 6,889 89,375 SH Sole 65,707 23,668
Novartis COMMON 66987V109 5,918 83,072 SH Sole 64,078 18,994
Nvidia COMMON 67066G104 3,833 298,768 SH Sole 206,483 92,285
Pepsico COMMON 713448108 1,771 22,388 SH Sole 16,993 5,395
PetMed Express COMMON 716382106 1,515 112,926 SH Sole 95,098 17,828
PNC Bank COMMON 693475105 3,640 54,729 SH Sole 38,542 16,187
Portugal Telecom Spons ADR COMMON 737273102 5,551 1,119,111 SH Sole 838,834 280,277
ProShares Trust II ETF 74347W692 791 72,581 SH Sole 72,019 562
Protective Life COMMON 743674103 8,357 233,422 SH Sole 177,144 56,278
Prudential COMMON 744320102 4,897 83,012 SH Sole 59,979 23,033
Raytheon Co. COMMON 755111507 1,279 21,748 SH Sole 19,271 2,477
Royal Caribbean Cruises COMMON v7780t103 5,344 160,870 SH Sole 110,568 50,302
Royal Dutch Shell Group A COMMON 780259206 3,234 49,631 SH Sole 33,789 15,842
Seagate Tech COMMON g7945m107 7,193 196,778 SH Sole 149,684 47,094
Ship Finance Int'l COMMON G81075106 3,482 197,367 SH Sole 158,929 38,438
Staples COMMON 855030102 4,566 340,273 SH Sole 245,924 94,349
TCF Financial COMMON 872275102 3,663 244,884 SH Sole 180,031 64,853
Thermo Fisher Scientific COMMON 883556102 6,041 78,976 SH Sole 56,336 22,640
Timken Company COMMON 887389104 2,361 41,732 SH Sole 25,155 16,577
Total SA ADR COMMON 89151e109 2,745 57,203 SH Sole 47,049 10,154
Tsakos Energy COMMON G9108L108 1,073 246,660 SH Sole 167,313 79,347
Tutor Perini Corp COMMON 901109108 4,154 215,222 SH Sole 153,509 61,713
Tyson Foods COMMON 902494103 6,722 270,841 SH Sole 196,403 74,438
U R S COMMON 903236107 3,722 78,508 SH Sole 48,464 30,044
United Online COMMON 911268100 4,733 784,909 SH Sole 590,742 194,167
UnitedHealth Group, Inc COMMON 91324p102 2,897 50,631 SH Sole 36,611 14,020
Vanguard Intermediate Term
Corporate Bond ETF 92206c870 62,707 717,723 SH Sole 701,452 16,271
Vanguard Long-Term Corporate
Bond ETF 92206c813 27,775 311,453 SH Sole 304,687 6,766
Vanguard Short-Term Bond ETF 921937827 663 8,189 SH Sole 8,125 64
Vanguard Short-Term Corporate
Bond ETF 92206c409 13,641 169,801 SH Sole 166,039 3,762
Walgreen COMMON 931422109 7,801 163,618 SH Sole 122,334 41,284
Wal-Mart Stores COMMON 931142103 4,700 62,815 SH Sole 45,530 17,285
Waste Management COMMON 94106L109 6,305 160,795 SH Sole 119,865 40,930
Wells Fargo & Co. COMMON 949746101 4,145 112,052 SH Sole 85,365 26,687
Western Digital COMMON 958102105 1,135 22,565 SH Sole 12,573 9,992
Whirpool COMMON 963320106 7,369 62,203 SH Sole 45,312 16,891
World Wrestling Ent COMMON 98156Q108 410 46,445 SH Sole 34,966 11,479
Xyratex COMMON G98268108 3,908 394,737 SH Sole 261,181 133,556
Yamana Gold COMMON 98462Y100 4,615 300,665 SH Sole 224,652 76,013