UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-Q
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED
MANAGEMENT INVESTMENT COMPANIES
Investment Company Act file number:
811-08549
Oak Associates Funds
(Exact name of registrant as specified in charter)
101 Federal Street, Boston,
Massachusetts 02110
(Address of principal executive offices) (Zip code)
Leslie Manna
Oak
Associates, ltd.
3875 Embassy Parkway, Suite 250
Akron, Ohio 44333-8334
(Name and address of agent for service)
Registrant’s telephone number, including area code:
1-888-462-5386
Date of fiscal year end:
October 31
Date of reporting
period:
November 1, 2012 – January 31, 2013
Item 1. Schedule of Investments
White Oak
White Oak Select Growth Fund - Schedules of Investments
As of
January 31, 2013 (Unaudited)
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Security Description
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Shares
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Value
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COMMON STOCKS (100.0%)
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CONSUMER DISCRETIONARY (5.7%)
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Internet & Catalog Retail (5.7%)
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Amazon.com, Inc.
(a)
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51,300
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$
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13,620,150
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ENERGY (8.3%)
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Energy Equipment & Services (4.6%)
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Transocean, Ltd.
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195,000
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11,058,450
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Oil, Gas & Consumable Fuels (3.7%)
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Exxon Mobil Corp.
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98,000
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8,817,060
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FINANCIALS (30.6%)
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Capital Markets (9.6%)
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The Charles Schwab Corp.
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838,200
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13,855,446
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US Bancorp
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280,000
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9,268,000
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23,123,446
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Commercial Banks (8.9%)
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CIT Group, Inc.
(a)
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254,400
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10,773,840
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M&T Bank Corp.
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60,000
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6,161,400
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TCF Financial Corp.
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325,000
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4,439,500
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21,374,740
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Diversified Financial Services (5.8%)
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JPMorgan Chase & Co.
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295,400
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13,898,570
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Insurance (6.3%)
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ACE, Ltd.
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177,500
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15,146,075
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HEALTH CARE (14.9%)
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Biotechnology (5.0%)
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Amgen, Inc.
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141,100
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12,058,406
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Health Care Equipment & Supplies (3.9%)
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Stryker Corp.
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149,000
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9,334,850
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Health Care Providers & Services (2.9%)
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Express Scripts Holding Co.
(a)
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130,000
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6,944,600
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Pharmaceuticals (3.1%)
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Teva Pharmaceutical Industries, Ltd. ADR
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197,000
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7,484,030
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INFORMATION TECHNOLOGY (40.1%)
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Communications Equipment (9.4%)
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Cisco Systems, Inc.
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630,000
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12,959,100
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Qualcomm, Inc.
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146,100
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9,646,983
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22,606,083
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Computers & Peripherals (4.8%)
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International Business Machines Corp.
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56,900
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11,554,683
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Internet Software & Services (5.6%)
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Google, Inc. - Class A
(a)
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17,900
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13,526,851
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IT Services (4.7%)
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Cognizant Technology Solutions Corp. - Class
A
(a)
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143,000
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11,179,740
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Security Description
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Shares
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Value
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Semiconductors & Semiconductor Equipment (9.6%)
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Broadcom Corp. - Class A
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257,000
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$8,339,650
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KLA-Tencor Corp.
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267,300
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14,677,443
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23,017,093
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Software (6.0%)
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Salesforce.com, Inc.
(a)
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52,600
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9,054,038
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Symantec Corp.
(a)
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250,000
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5,442,500
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14,496,538
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MATERIALS (0.4%)
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Metals & Mining (0.4%)
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Goldcorp, Inc.
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30,000
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1,058,700
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TOTAL COMMON STOCKS
(Cost $223,547,568)
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240,300,065
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SHORT TERM INVESTMENTS
(0.0%)
(b)
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Fidelity Institutional Money Market Government
Portfolio - Class I (7 day yield 0.010%)
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55,677
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55,677
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TOTAL SHORT TERM INVESTMENTS
(Cost $55,677)
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55,677
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TOTAL INVESTMENTS - (100.0%)
(Cost $223,603,245)
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$240,355,742
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Assets in Excess of Other Liabilities -
(0.0%)
(b)
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107,959
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NET ASSETS - (100.0%)
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$240,463,701
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(a)
Non-income producing
security.
(b)
Less than 0.05%.
Common Abbreviations:
ADR - American Depositary Receipt.
Ltd. - Limited.
The accompanying notes are an integral part of the quarterly
schedules of investments.
Pin Oak
Pin Oak Equity Fund - Schedules of Investments
As of
January 31, 2013 (Unaudited)
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Security Description
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Shares
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Value
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COMMON STOCKS (97.4%)
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CONSUMER DISCRETIONARY (15.1%)
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Auto Components (1.8%)
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Visteon Corp.
(a)
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22,300
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$1,255,267
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Hotels, Restaurants & Leisure (0.7%)
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Interval Leisure Group, Inc.
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25,145
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497,871
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Household Durables (0.5%)
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Garmin, Ltd.
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9,300
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352,377
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Internet & Catalog Retail (2.4%)
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Amazon.com, Inc.
(a)
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6,350
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1,685,925
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Media (9.7%)
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DISH Network Corp. - Class A
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56,100
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2,090,847
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The Interpublic Group of Cos., Inc.
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152,000
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1,840,720
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News Corp. - Class A
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109,000
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3,023,660
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6,955,227
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ENERGY (8.9%)
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Energy Equipment & Services (8.9%)
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Diamond Offshore Drilling, Inc.
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35,600
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2,673,204
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Nabors Industries, Ltd.
(a)
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197,600
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3,293,992
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Pioneer Energy Services Corp.
(a)
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50,200
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380,516
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6,347,712
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FINANCIALS (34.6%)
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Capital Markets (9.3%)
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The Bank of New York Mellon Corp.
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77,000
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2,091,320
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The Charles Schwab Corp.
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204,000
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3,372,120
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Morgan Stanley
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49,500
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1,131,075
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6,594,515
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Commercial Banks (16.8%)
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CIT Group, Inc.
(a)
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73,000
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3,091,550
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First Bancorp
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57,735
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733,234
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Great Southern Bancorp, Inc.
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55,845
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1,388,307
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International Bancshares Corp.
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99,500
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1,945,225
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SunTrust Banks, Inc.
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51,200
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1,452,544
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Wells Fargo & Co.
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97,000
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3,378,510
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11,989,370
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Consumer Finance (3.7%)
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Capital One Financial Corp.
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47,400
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2,669,568
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Insurance (4.8%)
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Everest Re Group, Ltd.
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8,400
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972,804
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The Travelers Cos., Inc.
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31,000
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2,432,260
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3,405,064
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INDUSTRIALS (9.1%)
|
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Aerospace & Defense (5.7%)
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Lockheed Martin Corp.
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21,100
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1,832,957
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Raytheon Co.
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42,000
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|
|
2,212,560
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4,045,517
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Machinery (3.4%)
|
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Parker Hannifin Corp.
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26,000
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|
|
2,417,220
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Security Description
|
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Shares
|
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Value
|
|
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INFORMATION TECHNOLOGY (28.5%)
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Electronic Equipment & Instruments (1.2%)
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|
|
Flextronics International, Ltd.
(a)
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138,000
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|
|
|
$856,980
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Internet Software & Services (6.8%)
|
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Google, Inc. - Class A
(a)
|
|
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3,500
|
|
|
|
2,644,915
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|
IAC/InterActive Corp.
|
|
|
52,856
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|
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|
2,180,310
|
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4,825,225
|
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IT Services (9.6%)
|
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|
Amdocs, Ltd.
|
|
|
92,672
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|
|
|
3,307,464
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|
|
Paychex, Inc.
|
|
|
43,049
|
|
|
|
1,404,689
|
|
|
The Western Union Co.
|
|
|
152,000
|
|
|
|
2,162,960
|
|
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6,875,113
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|
Semiconductors & Semiconductor Equipment (1.6%)
|
|
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|
|
|
|
|
|
|
KLA-Tencor Corp.
|
|
|
20,500
|
|
|
|
1,125,655
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Software (9.3%)
|
|
|
|
|
|
|
|
|
|
BMC Software, Inc.
(a)
|
|
|
47,000
|
|
|
|
1,952,850
|
|
|
Fair Isaac Corp.
|
|
|
41,750
|
|
|
|
1,881,672
|
|
|
Microsoft Corp.
|
|
|
103,300
|
|
|
|
2,837,651
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
6,672,173
|
|
|
|
|
|
|
|
|
|
|
|
|
MATERIALS (1.2%)
|
|
|
|
|
|
|
|
|
|
Metals & Mining (1.2%)
|
|
|
|
|
|
|
|
|
|
Teck Resources, Ltd. - Class B
|
|
|
23,814
|
|
|
|
868,973
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
TOTAL COMMON STOCKS
(Cost $67,229,439)
|
|
|
|
|
|
|
69,439,752
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
SHORT TERM INVESTMENTS (2.3%)
|
|
|
|
|
|
|
|
|
|
Fidelity Institutional Money Market Government
Portfolio - Class I (7 day yield 0.010%)
|
|
|
1,659,276
|
|
|
|
1,659,276
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
TOTAL SHORT TERM INVESTMENTS
(Cost $1,659,276)
|
|
|
|
|
|
|
1,659,276
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
TOTAL INVESTMENTS - (99.7%)
(Cost $68,888,715)
|
|
|
|
|
|
|
$71,099,028
|
|
|
|
|
|
|
Assets in Excess of Other Liabilities - (0.3%)
|
|
|
|
|
|
|
219,077
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
NET ASSETS - (100.0%)
|
|
|
|
|
|
|
$71,318,105
|
|
|
|
|
|
|
|
|
|
|
|
(a)
Non-income producing
security.
Common Abbreviations:
Ltd. - Limited.
The accompanying notes are an integral part of the quarterly schedules
of investments.
Rock Oak
Rock Oak Core Growth Fund - Schedules of Investments
As of
January 31, 2013 (Unaudited)
|
|
|
|
|
|
|
|
|
|
|
Security Description
|
|
Shares
|
|
|
Value
|
|
|
|
|
|
|
|
|
|
COMMON STOCKS (96.3%)
|
|
|
|
|
|
|
|
|
|
CONSUMER DISCRETIONARY (14.0%)
|
|
|
|
|
|
|
|
|
|
Hotels, Restaurants & Leisure (7.6%)
|
|
|
|
|
|
|
|
|
|
Las Vegas Sands Corp.
|
|
|
5,000
|
|
|
|
$276,250
|
|
|
Wynn Resorts, Ltd.
|
|
|
1,800
|
|
|
|
225,396
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
501,646
|
|
|
|
|
|
|
|
|
|
|
|
|
Media (2.4%)
|
|
|
|
|
|
|
|
|
|
DISH Network Corp. - Class A
|
|
|
4,200
|
|
|
|
156,534
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Specialty Retail (4.0%)
|
|
|
|
|
|
|
|
|
|
Staples, Inc.
|
|
|
19,700
|
|
|
|
265,556
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
ENERGY (3.9%)
|
|
|
|
|
|
|
|
|
|
Energy Equipment & Services (3.9%)
|
|
|
|
|
|
|
|
|
|
Transocean, Ltd.
|
|
|
3,600
|
|
|
|
204,156
|
|
|
Weatherford International, Ltd.
(a)
|
|
|
4,200
|
|
|
|
56,070
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
260,226
|
|
|
|
|
|
|
|
|
|
|
|
|
FINANCIALS (20.0%)
|
|
|
|
|
|
|
|
|
|
Capital Markets (3.7%)
|
|
|
|
|
|
|
|
|
|
The Bank of New York Mellon Corp.
|
|
|
9,000
|
|
|
|
244,440
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Commercial Banks (6.2%)
|
|
|
|
|
|
|
|
|
|
Comerica, Inc.
|
|
|
6,000
|
|
|
|
206,160
|
|
|
SunTrust Banks, Inc.
|
|
|
7,200
|
|
|
|
204,264
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
410,424
|
|
|
|
|
|
|
|
|
|
|
|
|
Consumer Finance (7.1%)
|
|
|
|
|
|
|
|
|
|
American Express Co.
|
|
|
4,100
|
|
|
|
241,121
|
|
|
Capital One Financial Corp.
|
|
|
4,000
|
|
|
|
225,280
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
466,401
|
|
|
|
|
|
|
|
|
|
|
|
|
Diversified Financial Services (3.0%)
|
|
|
|
|
|
|
|
|
|
Bank of America Corp.
|
|
|
17,500
|
|
|
|
198,100
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
HEALTH CARE (10.8%)
|
|
|
|
|
|
|
|
|
|
Biotechnology (3.0%)
|
|
|
|
|
|
|
|
|
|
Gilead Sciences, Inc.
(a)
|
|
|
5,000
|
|
|
|
197,250
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Health Care Equipment & Supplies (0.9%)
|
|
|
|
|
|
|
|
|
|
Intuitive Surgical, Inc.
(a)
|
|
|
100
|
|
|
|
57,438
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Health Care Providers & Services (4.1%)
|
|
|
|
|
|
|
|
|
|
AmerisourceBergen Corp.
|
|
|
5,900
|
|
|
|
267,683
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Life Sciences Tools & Services (2.8%)
|
|
|
|
|
|
|
|
|
|
Illumina, Inc.
(a)
|
|
|
3,700
|
|
|
|
187,331
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
INDUSTRIALS (6.3%)
|
|
|
|
|
|
|
|
|
|
Aerospace & Defense (6.3%)
|
|
|
|
|
|
|
|
|
|
General Dynamics Corp.
|
|
|
1,000
|
|
|
|
66,300
|
|
|
Honeywell International, Inc.
|
|
|
3,300
|
|
|
|
225,192
|
|
|
Lockheed Martin Corp.
|
|
|
1,400
|
|
|
|
121,618
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
413,110
|
|
|
|
|
|
|
|
|
|
|
|
|
INFORMATION TECHNOLOGY (36.8%)
|
|
|
|
|
|
|
|
|
|
Communications Equipment (2.2%)
|
|
|
|
|
|
|
|
|
|
F5 Networks, Inc.
(a)
|
|
|
1,400
|
|
|
|
146,832
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Security Description
|
|
Shares
|
|
|
Value
|
|
|
|
|
|
Computers & Peripherals (8.8%)
|
|
|
|
|
|
|
|
|
|
Apple, Inc.
|
|
|
400
|
|
|
|
$182,124
|
|
|
EMC Corp.
(a)
|
|
|
6,900
|
|
|
|
169,809
|
|
|
Western Digital Corp.
|
|
|
4,800
|
|
|
|
225,600
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
577,533
|
|
|
|
|
|
|
|
|
|
|
|
|
IT Services (6.1%)
|
|
|
|
|
|
|
|
|
|
Cognizant Technology Solutions Corp. - Class
A
(a)
|
|
|
3,200
|
|
|
|
250,176
|
|
|
Mastercard, Inc. - Class A
|
|
|
300
|
|
|
|
155,520
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
405,696
|
|
|
|
|
|
|
|
|
|
|
|
|
Semiconductors & Semiconductor Equipment (4.0%)
|
|
|
|
|
|
|
|
|
|
Broadcom Corp. - Class A
|
|
|
3,900
|
|
|
|
126,555
|
|
|
Linear Technology Corp.
|
|
|
3,700
|
|
|
|
135,494
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
262,049
|
|
|
|
|
|
|
|
|
|
|
|
|
Software (15.7%)
|
|
|
|
|
|
|
|
|
|
CA, Inc.
|
|
|
8,300
|
|
|
|
206,006
|
|
|
Salesforce.com, Inc.
(a)
|
|
|
1,250
|
|
|
|
215,162
|
|
|
Symantec Corp.
(a)
|
|
|
13,200
|
|
|
|
287,364
|
|
|
VMware, Inc. - Class A
(a)
|
|
|
3,000
|
|
|
|
229,440
|
|
|
Workday, Inc. - Class A
(a)
|
|
|
1,800
|
|
|
|
96,156
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1,034,128
|
|
|
|
|
|
|
|
|
|
|
|
|
MATERIALS (4.5%)
|
|
|
|
|
|
|
|
|
|
Chemicals (4.5%)
|
|
|
|
|
|
|
|
|
|
CF Industries Holdings, Inc.
|
|
|
1,300
|
|
|
|
297,921
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
TOTAL COMMON STOCKS
(Cost $4,867,778)
|
|
|
|
|
|
|
6,350,298
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
SHORT TERM INVESTMENTS (1.3%)
|
|
|
|
|
|
|
|
|
|
Fidelity Institutional Money Market Government
Portfolio - Class I (7 day yield 0.010%)
|
|
|
83,844
|
|
|
|
83,844
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
TOTAL SHORT TERM INVESTMENTS
(Cost $83,844)
|
|
|
|
|
|
|
83,844
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
TOTAL INVESTMENTS - (97.6%)
(Cost $4,951,622)
|
|
|
|
|
|
|
$6,434,142
|
|
|
|
|
|
|
Assets in Excess of Other Liabilities - (2.4%)
|
|
|
|
|
|
|
155,883
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
NET ASSETS - (100.0%)
|
|
|
|
|
|
|
$6,590,025
|
|
|
|
|
|
|
|
|
|
|
|
(a)
Non-income producing
security.
Common Abbreviations:
Ltd. - Limited.
The accompanying notes are an integral part of the quarterly schedules
of investments.
River Oak
River Oak Discovery Fund - Schedules of Investments
As of
January 31, 2013 (Unaudited)
|
|
|
|
|
|
|
|
|
|
|
Security Description
|
|
Shares
|
|
|
Value
|
|
|
|
|
|
|
|
|
|
COMMON STOCKS (99.6%)
|
|
|
|
|
|
|
|
|
|
CONSUMER DISCRETIONARY (22.3%)
|
|
|
|
|
|
|
|
|
|
Diversified Consumer Services (8.9%)
|
|
|
|
|
|
|
|
|
|
Capella Education Co.
(a)
|
|
|
9,100
|
|
|
|
$248,612
|
|
|
Coinstar, Inc.
(a)
|
|
|
6,300
|
|
|
|
320,544
|
|
|
DeVry, Inc.
|
|
|
10,600
|
|
|
|
266,802
|
|
|
K12, Inc.
(a)
|
|
|
10,000
|
|
|
|
184,600
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1,020,558
|
|
|
|
|
|
|
|
|
|
|
|
|
Hotels, Restaurants & Leisure (2.7%)
|
|
|
|
|
|
|
|
|
|
Ctrip.com International, Ltd. ADR
(a)
|
|
|
15,700
|
|
|
|
311,017
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Leisure Equipment & Products (2.7%)
|
|
|
|
|
|
|
|
|
|
LeapFrog Enterprises, Inc.
(a)
|
|
|
34,300
|
|
|
|
309,043
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Media (5.0%)
|
|
|
|
|
|
|
|
|
|
Morningstar, Inc.
|
|
|
3,300
|
|
|
|
223,377
|
|
|
Valassis Communications, Inc.
|
|
|
12,500
|
|
|
|
350,750
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
574,127
|
|
|
|
|
|
|
|
|
|
|
|
|
Specialty Retail (3.0%)
|
|
|
|
|
|
|
|
|
|
Express, Inc.
(a)
|
|
|
18,800
|
|
|
|
345,544
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
CONSUMER STAPLES (8.1%)
|
|
|
|
|
|
|
|
|
|
Beverages (3.8%)
|
|
|
|
|
|
|
|
|
|
The Boston Beer Co., Inc. - Class A
(a)
|
|
|
3,100
|
|
|
|
435,054
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Food Products (4.3%)
|
|
|
|
|
|
|
|
|
|
B&G Foods, Inc.
|
|
|
15,725
|
|
|
|
498,483
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
ENERGY (11.6%)
|
|
|
|
|
|
|
|
|
|
Energy Equipment & Services (9.1%)
|
|
|
|
|
|
|
|
|
|
Atwood Oceanics, Inc.
(a)
|
|
|
4,700
|
|
|
|
248,019
|
|
|
Dril-Quip, Inc.
(a)
|
|
|
5,100
|
|
|
|
413,559
|
|
|
Oceaneering International, Inc.
|
|
|
6,100
|
|
|
|
385,581
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1,047,159
|
|
|
|
|
|
|
|
|
|
|
|
|
Oil, Gas & Consumable Fuels (2.5%)
|
|
|
|
|
|
|
|
|
|
Alpha Natural Resources, Inc.
(a)
|
|
|
32,400
|
|
|
|
287,064
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
FINANCIALS (18.4%)
|
|
|
|
|
|
|
|
|
|
Capital Markets (5.8%)
|
|
|
|
|
|
|
|
|
|
Janus Capital Group, Inc.
|
|
|
29,400
|
|
|
|
273,420
|
|
|
Stifel Financial Corp.
(a)
|
|
|
10,700
|
|
|
|
394,295
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
667,715
|
|
|
|
|
|
|
|
|
|
|
|
|
Commercial Banks (5.7%)
|
|
|
|
|
|
|
|
|
|
PrivateBancorp, Inc.
|
|
|
21,300
|
|
|
|
365,721
|
|
|
Zions Bancorporation
|
|
|
12,600
|
|
|
|
293,832
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
659,553
|
|
|
|
|
|
|
|
|
|
|
|
|
Insurance (3.1%)
|
|
|
|
|
|
|
|
|
|
Assurant, Inc.
|
|
|
9,300
|
|
|
|
355,632
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Thrifts & Mortgage Finance (3.8%)
|
|
|
|
|
|
|
|
|
|
ViewPoint Financial Group, Inc.
|
|
|
20,600
|
|
|
|
435,690
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
HEALTH CARE (2.9%)
|
|
|
|
|
|
|
|
|
|
Biotechnology (2.9%)
|
|
|
|
|
|
|
|
|
|
Cubist Pharmaceuticals, Inc.
(a)
|
|
|
7,750
|
|
|
|
333,560
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Security Description
|
|
Shares
|
|
|
Value
|
|
|
|
|
|
INFORMATION TECHNOLOGY (30.0%)
|
|
|
|
|
|
|
|
|
|
Computers & Peripherals (3.5%)
|
|
|
|
|
|
|
|
|
|
QLogic Corp.
(a)
|
|
|
35,300
|
|
|
|
$407,715
|
|
|
STEC, Inc.
(a)
|
|
|
100
|
|
|
|
506
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
408,221
|
|
|
|
|
|
|
|
|
|
|
|
|
Electronic Equipment & Instruments (10.2%)
|
|
|
|
|
|
|
|
|
|
Dolby Laboratories, Inc. - Class A
|
|
|
9,500
|
|
|
|
306,945
|
|
|
Hollysys Automation Technologies, Ltd.
(a)
|
|
|
37,200
|
|
|
|
490,296
|
|
|
Itron, Inc.
(a)
|
|
|
4,800
|
|
|
|
222,672
|
|
|
Newport Corp.
(a)
|
|
|
10,258
|
|
|
|
147,920
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1,167,833
|
|
|
|
|
|
|
|
|
|
|
|
|
Internet Software & Services (7.1%)
|
|
|
|
|
|
|
|
|
|
MercadoLibre, Inc.
|
|
|
6,200
|
|
|
|
548,080
|
|
|
Sohu.com, Inc.
(a)
|
|
|
5,600
|
|
|
|
268,128
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
816,208
|
|
|
|
|
|
|
|
|
|
|
|
|
IT Services (2.9%)
|
|
|
|
|
|
|
|
|
|
Unisys Corp.
(a)
|
|
|
15,200
|
|
|
|
337,592
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Semiconductors & Semiconductor Equipment (3.7%)
|
|
|
|
|
|
|
|
|
|
Veeco Instruments, Inc.
(a)
|
|
|
13,500
|
|
|
|
424,575
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Software (2.6%)
|
|
|
|
|
|
|
|
|
|
Fortinet, Inc.
(a)
|
|
|
5,800
|
|
|
|
136,822
|
|
|
SolarWinds, Inc.
(a)
|
|
|
2,900
|
|
|
|
157,818
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
294,640
|
|
|
|
|
|
|
|
|
|
|
|
|
MATERIALS (3.2%)
|
|
|
|
|
|
|
|
|
|
Metals & Mining (3.2%)
|
|
|
|
|
|
|
|
|
|
Lynas Corp., Ltd. ADR
(a)
|
|
|
50,000
|
|
|
|
34,480
|
|
|
Walter Energy, Inc.
|
|
|
8,900
|
|
|
|
334,195
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
368,675
|
|
|
|
|
|
|
|
|
|
|
|
|
TELECOMMUNICATION SERVICES (3.1%)
|
|
|
|
|
|
|
|
|
|
Wireless Telecommunication Services (3.1%)
|
|
|
|
|
|
|
|
|
|
Boingo Wireless, Inc.
(a)
|
|
|
45,100
|
|
|
|
349,074
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
TOTAL COMMON STOCKS
(Cost $8,652,427)
|
|
|
|
|
|
|
11,447,017
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
SHORT TERM INVESTMENTS (0.5%)
|
|
|
|
|
|
|
|
|
|
Fidelity Institutional Money Market Government
Portfolio - Class I (7 day yield 0.010%)
|
|
|
63,000
|
|
|
|
63,000
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
TOTAL SHORT TERM INVESTMENTS
(Cost $63,000)
|
|
|
|
|
|
|
63,000
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
TOTAL INVESTMENTS - (100.1%)
(Cost $8,715,427)
|
|
|
|
|
|
|
$11,510,017
|
|
|
|
|
|
|
Liabilities in Excess of Other Assets - (-0.1%)
|
|
|
|
|
|
|
(12,877)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
NET ASSETS - (100.0%)
|
|
|
|
|
|
|
$11,497,140
|
|
|
|
|
|
|
|
|
|
|
|
(a)
Non-income producing
security.
Common Abbreviations:
ADR - American Depositary Receipt.
Ltd. - Limited.
The accompanying notes are an integral part of the quarterly schedules of investments.
Red Oak
Red
Oak Technology Select Fund - Schedules of Investments
As of January 31, 2013 (Unaudited)
|
|
|
|
|
|
|
|
|
|
|
Security Description
|
|
Shares
|
|
|
Value
|
|
|
|
|
|
|
|
|
|
COMMON STOCKS (98.9%)
|
|
|
|
|
|
|
|
|
|
CONSUMER DISCRETIONARY (2.5%)
|
|
|
|
|
|
|
|
|
|
Internet & Catalog Retail (2.5%)
|
|
|
|
|
|
|
|
|
|
Amazon.com, Inc.
(a)
|
|
|
6,450
|
|
|
|
$1,712,475
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
INDUSTRIALS (6.6%)
|
|
|
|
|
|
|
|
|
|
Aerospace & Defense (6.6%)
|
|
|
|
|
|
|
|
|
|
Huntington Ingalls Industries, Inc.
|
|
|
38,466
|
|
|
|
1,704,044
|
|
|
Northrop Grumman Corp.
|
|
|
45,000
|
|
|
|
2,926,800
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
4,630,844
|
|
|
|
|
|
|
|
|
|
|
|
|
INFORMATION TECHNOLOGY (89.8%)
|
|
|
|
|
|
|
|
|
|
Communications Equipment (5.0%)
|
|
|
|
|
|
|
|
|
|
Cisco Systems, Inc.
|
|
|
142,000
|
|
|
|
2,920,940
|
|
|
Research In Motion, Ltd.
(a)
|
|
|
43,100
|
|
|
|
559,438
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
3,480,378
|
|
|
|
|
|
|
|
|
|
|
|
|
Computers & Peripherals (18.4%)
|
|
|
|
|
|
|
|
|
|
Apple, Inc.
|
|
|
3,960
|
|
|
|
1,803,028
|
|
|
Dell, Inc.
|
|
|
115,300
|
|
|
|
1,526,572
|
|
|
EMC Corp.
(a)
|
|
|
26,000
|
|
|
|
639,860
|
|
|
Hewlett-Packard Co.
|
|
|
99,500
|
|
|
|
1,642,745
|
|
|
International Business Machines Corp.
|
|
|
13,600
|
|
|
|
2,761,752
|
|
|
Lexmark International, Inc. - Class A
|
|
|
76,000
|
|
|
|
1,828,560
|
|
|
Western Digital Corp.
|
|
|
55,900
|
|
|
|
2,627,300
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
12,829,817
|
|
|
|
|
|
|
|
|
|
|
|
|
Electronic Equipment & Instruments (7.7%)
|
|
|
|
|
|
|
|
|
|
Arrow Electronics, Inc.
(a)
|
|
|
48,900
|
|
|
|
1,878,738
|
|
|
Corning, Inc.
|
|
|
179,000
|
|
|
|
2,148,000
|
|
|
Flextronics International, Ltd.
(a)
|
|
|
20,000
|
|
|
|
124,200
|
|
|
Ingram Micro, Inc. - Class A
(a)
|
|
|
66,600
|
|
|
|
1,210,788
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
5,361,726
|
|
|
|
|
|
|
|
|
|
|
|
|
Internet Software & Services (8.7%)
|
|
|
|
|
|
|
|
|
|
Google, Inc. - Class A
(a)
|
|
|
3,850
|
|
|
|
2,909,406
|
|
|
IAC/InterActive Corp.
|
|
|
65,000
|
|
|
|
2,681,250
|
|
|
Yahoo!, Inc.
(a)
|
|
|
25,100
|
|
|
|
492,713
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
6,083,369
|
|
|
|
|
|
|
|
|
|
|
|
|
IT Services (17.3%)
|
|
|
|
|
|
|
|
|
|
Accenture PLC - Class A
|
|
|
50,900
|
|
|
|
3,659,201
|
|
|
Alliance Data Systems Corp.
(a)
|
|
|
23,000
|
|
|
|
3,624,800
|
|
|
Computer Sciences Corp.
|
|
|
44,000
|
|
|
|
1,839,200
|
|
|
Total System Services, Inc.
|
|
|
124,000
|
|
|
|
2,883,000
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
12,006,201
|
|
|
|
|
|
|
|
|
|
|
|
|
Semiconductors & Semiconductor Equipment (16.3%)
|
|
|
|
|
|
|
|
|
|
Applied Materials, Inc.
|
|
|
207,000
|
|
|
|
2,672,370
|
|
|
Intel Corp.
|
|
|
36,500
|
|
|
|
767,960
|
|
|
KLA-Tencor Corp.
|
|
|
65,100
|
|
|
|
3,574,641
|
|
|
Marvell Technology Group, Ltd.
|
|
|
124,400
|
|
|
|
1,150,700
|
|
|
NVIDIA Corp.
|
|
|
26,000
|
|
|
|
318,760
|
|
|
Spansion, Inc. - Class A
(a)
|
|
|
94,662
|
|
|
|
1,088,613
|
|
|
Xilinx, Inc.
|
|
|
48,000
|
|
|
|
1,751,520
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
11,324,564
|
|
|
|
|
|
|
|
|
|
|
|
|
Software (16.4%)
|
|
|
|
|
|
|
|
|
|
CA, Inc.
|
|
|
119,000
|
|
|
|
2,953,580
|
|
|
Check Point Software Technologies, Ltd.
(a)
|
|
|
49,400
|
|
|
|
2,470,000
|
|
|
Symantec Corp.
(a)
|
|
|
174,000
|
|
|
|
3,787,980
|
|
|
|
|
|
|
|
|
|
|
|
|
Security Description
|
|
Shares
|
|
|
Value
|
|
|
|
|
|
Software (continued)
|
|
|
|
|
|
|
|
|
|
Synopsys, Inc.
(a)
|
|
|
66,800
|
|
|
|
$2,233,792
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
11,445,352
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
TOTAL COMMON STOCKS
|
|
|
|
|
|
|
|
|
|
(Cost $72,668,846)
|
|
|
|
|
|
|
68,874,726
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
SHORT TERM INVESTMENTS (1.2%)
|
|
|
|
|
|
|
|
|
|
Fidelity Institutional Money Market Government
Portfolio - Class I (7 day yield 0.010%)
|
|
|
819,019
|
|
|
|
819,019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
TOTAL SHORT TERM INVESTMENTS
(Cost $819,019)
|
|
|
|
|
|
|
819,019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
TOTAL INVESTMENTS - (100.1%)
(Cost $73,487,865)
|
|
|
|
|
|
|
$69,693,745
|
|
|
|
|
|
|
Liabilities in Excess of Other Assets - (-0.1%)
|
|
|
|
|
|
|
(37,274)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
NET ASSETS - (100.0%)
|
|
|
|
|
|
|
$69,656,471
|
|
|
|
|
|
|
|
|
|
|
|
(a)
Non-income producing
security.
Common Abbreviations:
Ltd. - Limited.
PLC - Public Limited Company.
The accompanying notes are an integral part of the quarterly schedules of investments.
Black Oak
Black Oak Emerging Technology Fund - Schedules of Investments
As of January 31, 2013 (Unaudited)
|
|
|
|
|
|
|
|
|
|
|
Security Description
|
|
Shares
|
|
|
Value
|
|
|
|
|
|
|
|
|
|
COMMON STOCKS (99.9%)
|
|
|
|
|
|
|
|
|
|
HEALTH CARE (5.9%)
|
|
|
|
|
|
|
|
|
|
Life Sciences Tools & Services (5.9%)
|
|
|
|
|
|
|
|
|
|
Illumina, Inc.
(a)
|
|
|
11,300
|
|
|
|
$572,119
|
|
|
Life Technologies Corp.
(a)
|
|
|
15,200
|
|
|
|
983,288
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1,555,407
|
|
|
|
|
|
|
|
|
|
|
|
|
INFORMATION TECHNOLOGY (92.8%)
|
|
|
|
|
|
|
|
|
|
Communications Equipment (5.3%)
|
|
|
|
|
|
|
|
|
|
Qualcomm, Inc.
|
|
|
21,150
|
|
|
|
1,396,535
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Computers & Peripherals (12.2%)
|
|
|
|
|
|
|
|
|
|
Apple, Inc.
|
|
|
1,500
|
|
|
|
682,965
|
|
|
NetApp, Inc.
(a)
|
|
|
33,400
|
|
|
|
1,202,400
|
|
|
Western Digital Corp.
|
|
|
28,100
|
|
|
|
1,320,700
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
3,206,065
|
|
|
|
|
|
|
|
|
|
|
|
|
Electronic Equipment & Instruments (13.0%)
|
|
|
|
|
|
|
|
|
|
Amphenol Corp. - Class A
|
|
|
12,000
|
|
|
|
810,840
|
|
|
Arrow Electronics, Inc.
(a)
|
|
|
21,000
|
|
|
|
806,820
|
|
|
Dolby Laboratories, Inc. - Class A
|
|
|
9,800
|
|
|
|
316,638
|
|
|
Itron, Inc.
(a)
|
|
|
24,800
|
|
|
|
1,150,472
|
|
|
Newport Corp.
(a)
|
|
|
24,142
|
|
|
|
348,128
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
3,432,898
|
|
|
|
|
|
|
|
|
|
|
|
|
Internet Software & Services (11.9%)
|
|
|
|
|
|
|
|
|
|
MercadoLibre, Inc.
|
|
|
16,000
|
|
|
|
1,414,400
|
|
|
NetEase.com, Inc. ADR
|
|
|
19,800
|
|
|
|
919,116
|
|
|
Sohu.com, Inc.
(a)
|
|
|
16,900
|
|
|
|
809,172
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
3,142,688
|
|
|
|
|
|
|
|
|
|
|
|
|
IT Services (9.4%)
|
|
|
|
|
|
|
|
|
|
Cognizant Technology Solutions Corp. - Class
A
(a)
|
|
|
19,150
|
|
|
|
1,497,147
|
|
|
Unisys Corp.
(a)
|
|
|
43,500
|
|
|
|
966,135
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
2,463,282
|
|
|
|
|
|
|
|
|
|
|
|
|
Semiconductors & Semiconductor Equipment (15.2%)
|
|
|
|
|
|
|
|
|
|
Lam Research Corp.
(a)
|
|
|
23,800
|
|
|
|
979,132
|
|
|
Linear Technology Corp.
|
|
|
26,200
|
|
|
|
959,444
|
|
|
Marvell Technology Group, Ltd.
|
|
|
106,600
|
|
|
|
986,050
|
|
|
NVIDIA Corp.
|
|
|
56,650
|
|
|
|
694,529
|
|
|
TriQuint Semiconductor, Inc.
(a)
|
|
|
74,600
|
|
|
|
391,650
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
4,010,805
|
|
|
|
|
|
|
|
|
|
|
|
|
Software (25.8%)
|
|
|
|
|
|
|
|
|
|
ANSYS, Inc.
(a)
|
|
|
16,600
|
|
|
|
1,221,760
|
|
|
CA, Inc.
|
|
|
44,500
|
|
|
|
1,104,490
|
|
|
Citrix Systems, Inc.
(a)
|
|
|
14,200
|
|
|
|
1,038,872
|
|
|
Fortinet, Inc.
(a)
|
|
|
22,700
|
|
|
|
535,493
|
|
|
Salesforce.com, Inc.
(a)
|
|
|
6,800
|
|
|
|
1,170,484
|
|
|
VMware, Inc. - Class A
(a)
|
|
|
15,200
|
|
|
|
1,162,496
|
|
|
Workday, Inc. - Class A
(a)
|
|
|
10,300
|
|
|
|
550,226
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
6,783,821
|
|
|
|
|
|
|
|
|
|
|
|
|
MATERIALS (0.6%)
|
|
|
|
|
|
|
|
|
|
Metals & Mining (0.6%)
|
|
|
|
|
|
|
|
|
|
Lynas Corp., Ltd. ADR
(a)
|
|
|
250,000
|
|
|
|
172,400
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
TELECOMMUNICATION SERVICES (0.6%)
|
|
|
|
|
|
|
|
|
|
Wireless Telecommunication Services (0.6%)
|
|
|
|
|
|
|
|
|
|
Boingo Wireless, Inc.
(a)
|
|
|
20,000
|
|
|
|
154,800
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
TOTAL COMMON STOCKS
(Cost $24,394,391)
|
|
|
|
|
|
|
26,318,701
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Security Description
|
|
Shares
|
|
|
Value
|
|
|
|
|
|
SHORT TERM INVESTMENTS (0.2%)
|
|
|
|
|
|
|
|
|
|
Fidelity Institutional Money Market Government
Portfolio - Class I (7 day yield 0.010%)
|
|
|
53,713
|
|
|
|
$53,713
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
TOTAL SHORT TERM INVESTMENTS
(Cost $53,713)
|
|
|
|
|
|
|
53,713
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
TOTAL INVESTMENTS - (100.1%)
(Cost $24,448,104)
|
|
|
|
|
|
|
$26,372,414
|
|
|
|
|
|
|
Liabilities in Excess of Other Assets - (-0.1%)
|
|
|
|
|
|
|
(32,251)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
NET ASSETS - (100.0%)
|
|
|
|
|
|
|
$26,340,163
|
|
|
|
|
|
|
|
|
|
|
|
(a)
Non-income producing
security.
Common Abbreviations:
ADR - American Depositary Receipt.
Ltd. - Limited.
The accompanying notes are an integral part of the quarterly schedules of investments.
Live Oak
Live Oak Health Sciences Fund - Schedules of Investments
As of
January 31, 2013 (Unaudited)
|
|
|
|
|
|
|
|
|
|
|
Security Description
|
|
Shares
|
|
|
Value
|
|
|
|
|
|
|
|
|
|
COMMON STOCKS (98.6%)
|
|
|
|
|
|
|
|
|
|
HEALTH CARE (98.6%)
|
|
|
|
|
|
|
|
|
|
Biotechnology (4.4%)
|
|
|
|
|
|
|
|
|
|
Amgen, Inc.
|
|
|
16,800
|
|
|
|
$1,435,728
|
|
|
Targacept, Inc.
(a)
|
|
|
23,881
|
|
|
|
107,226
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1,542,954
|
|
|
|
|
|
|
|
|
|
|
|
|
Health Care Equipment & Supplies (27.8%)
|
|
|
|
|
|
|
|
|
|
Baxter International, Inc.
|
|
|
5,800
|
|
|
|
393,472
|
|
|
Becton Dickinson and Co.
|
|
|
16,900
|
|
|
|
1,420,276
|
|
|
Boston Scientific Corp.
(a)
|
|
|
147,500
|
|
|
|
1,101,825
|
|
|
CareFusion Corp.
(a)
|
|
|
14,900
|
|
|
|
462,496
|
|
|
Covidien PLC
|
|
|
15,100
|
|
|
|
941,334
|
|
|
CR Bard, Inc.
|
|
|
13,100
|
|
|
|
1,337,117
|
|
|
Greatbatch, Inc.
(a)
|
|
|
37,884
|
|
|
|
1,005,441
|
|
|
Medtronic, Inc.
|
|
|
19,000
|
|
|
|
885,400
|
|
|
Stryker Corp.
|
|
|
10,500
|
|
|
|
657,825
|
|
|
Zimmer Holdings, Inc.
|
|
|
21,300
|
|
|
|
1,588,980
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
9,794,166
|
|
|
|
|
|
|
|
|
|
|
|
|
Health Care Providers & Services (28.8%)
|
|
|
|
|
|
|
|
|
|
AmerisourceBergen Corp.
|
|
|
44,200
|
|
|
|
2,005,354
|
|
|
Cardinal Health, Inc.
|
|
|
35,800
|
|
|
|
1,568,398
|
|
|
McKesson Corp.
|
|
|
17,750
|
|
|
|
1,867,833
|
|
|
Molina Healthcare, Inc.
(a)
|
|
|
22,275
|
|
|
|
639,515
|
|
|
Patterson Cos., Inc.
|
|
|
29,200
|
|
|
|
1,054,996
|
|
|
PharMerica Corp.
(a)
|
|
|
73,392
|
|
|
|
1,062,716
|
|
|
UnitedHealth Group, Inc.
|
|
|
16,700
|
|
|
|
922,007
|
|
|
WellPoint, Inc.
|
|
|
15,700
|
|
|
|
1,017,674
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
10,138,493
|
|
|
|
|
|
|
|
|
|
|
|
|
Life Sciences Tools & Services (8.7%)
|
|
|
|
|
|
|
|
|
|
Agilent Technologies, Inc.
|
|
|
25,500
|
|
|
|
1,141,890
|
|
|
Techne Corp.
|
|
|
8,900
|
|
|
|
637,952
|
|
|
Waters Corp.
(a)
|
|
|
14,000
|
|
|
|
1,281,980
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
3,061,822
|
|
|
|
|
|
|
|
|
|
|
|
|
Pharmaceuticals (28.9%)
|
|
|
|
|
|
|
|
|
|
AstraZeneca PLC ADR
|
|
|
28,100
|
|
|
|
1,353,858
|
|
|
Eli Lilly & Co.
|
|
|
18,000
|
|
|
|
966,420
|
|
|
GlaxoSmithKline PLC ADR
|
|
|
25,600
|
|
|
|
1,167,616
|
|
|
Johnson & Johnson
|
|
|
13,700
|
|
|
|
1,012,704
|
|
|
Merck & Co., Inc.
|
|
|
27,500
|
|
|
|
1,189,375
|
|
|
Novartis AG ADR
|
|
|
16,700
|
|
|
|
1,132,594
|
|
|
Pfizer, Inc.
|
|
|
58,800
|
|
|
|
1,604,064
|
|
|
Sanofi ADR
|
|
|
22,892
|
|
|
|
1,114,383
|
|
|
Teva Pharmaceutical Industries, Ltd. ADR
|
|
|
16,700
|
|
|
|
634,433
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
10,175,447
|
|
|
|
|
|
|
|
|
|
|
|
|
TOTAL COMMON STOCKS
(Cost $25,565,836)
|
|
|
|
|
|
|
34,712,882
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Security Description
|
|
Shares
|
|
|
Value
|
|
|
|
|
|
SHORT TERM INVESTMENTS (1.3%)
|
|
|
|
|
|
|
|
|
|
Fidelity Institutional Money Market Government
Portfolio - Class I (7 day yield 0.010%)
|
|
|
465,022
|
|
|
|
$465,022
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
TOTAL SHORT TERM INVESTMENTS
(Cost $465,022)
|
|
|
|
|
|
|
465,022
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
TOTAL INVESTMENTS - (99.9%)
(Cost $26,030,858)
|
|
|
|
|
|
|
$35,177,904
|
|
|
|
|
|
|
Assets in Excess of Other Liabilities - (0.1%)
|
|
|
|
|
|
|
33,237
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
NET ASSETS - (100.0%)
|
|
|
|
|
|
|
$35,211,141
|
|
|
|
|
|
|
|
|
|
|
|
(a)
Non-income producing
security.
Common Abbreviations:
ADR - American Depositary Receipt.
AG - Aktiengesellschaft is a German term that refers
to a corporation that is limited by shares, i.e., owned by shareholders.
Ltd. - Limited.
PLC - Public Limited Company.
The
accompanying notes are an integral part of the quarterly schedules of investments.
As
of January 31, 2013 (Unaudited)
1. ORGANIZATION:
The Oak Associates Funds (the “Trust”), a
Massachusetts business trust, is registered under the Investment Company Act of 1940 (the “1940 Act”), as amended, as an open-end management investment company with seven funds: White Oak Select Growth Fund, Pin Oak Equity Fund, Rock Oak
Core Growth Fund and River Oak Discovery Fund (diversified funds); Red Oak Technology Select Fund, Black Oak Emerging Technology Fund and Live Oak Health Sciences Fund (non-diversified funds) (collectively referred to as “Funds” and
individually referred to as a “Fund”). The assets of each Fund are segregated, and a shareholder’s interest is limited to the Fund in which shares are held.
2. SIGNIFICANT ACCOUNTING POLICIES:
The following is a summary of significant
accounting policies followed by the Funds.
Use of Estimates –
These policies are in conformity with U.S. generally accepted
accounting principles (“GAAP”). The preparation of the Schedule of Investments in accordance with GAAP requires management to make estimates and assumptions that affect the reported amounts and disclosures in the Schedule of Investments
during the reporting period. Management believes the estimates and security valuations are appropriate; however, actual results may differ from those estimates, and the security valuations reflected in the Schedule of Investments may differ from the
value the Funds ultimately realize upon the sale of the securities.
Security Valuation –
Investments in equity securities, which
are traded on a national exchange, are stated at the last quoted sales price if readily available for such equity securities on each business day. Investments in equity securities, which are reported on the NASDAQ national market system are valued
at the official closing price; other equity securities traded in the over-the-counter market and listed equity securities for which no sale was reported on that date are stated at the last quoted bid price. Debt obligations exceeding sixty days to
maturity for which market quotations are readily available are valued at the most recently quoted bid price. Debt obligations with sixty days or less remaining until maturity may be valued at their amortized cost, which approximates market value.
Redeemable securities issued by open-end registered investment companies are valued at the investment company’s applicable net asset
value.
Securities for which market prices are not “readily available” are valued in accordance with Fair Value Procedures
established by the Funds’ Board of Trustees. The Funds’ Fair Value Procedures are implemented through a Fair Value Committee (the “Committee”) designated by the Funds’ Board of Trustees. Some of the more common reasons that
may necessitate that a security be valued using Fair Value Procedures include: the security’s trading has been halted or suspended; the security has been de-listed from a national exchange; the security’s primary trading market is
temporarily closed at a time when under normal conditions it would be open; the security has not been traded for an extended period of time; the security’s primary pricing source is not able or willing to provide a price; a significant event
with respect to a security or securities has occurred after the close of the market or exchange on which the security or securities principally trades and before the time the Fund calculates net asset value; or trading of the security is subject to
local government-imposed restrictions. When a security is valued in accordance with the Fair Value Procedures, the Committee will determine the value after taking into consideration relevant information reasonably available to the Committee.
Security Transactions and Investment Income –
Security transactions are accounted for on the date the security is purchased or
sold (trade date). Dividend income is recognized on the ex-dividend date and interest income is recognized on the accrual basis. Withholding taxes on foreign dividends have been
provided for in accordance with the Fund’s understanding of the applicable country’s tax rules and rates. Costs used in determining realized gains and losses on the sales of investment
securities are those of the specific securities sold.
3. UNREALIZED APPRECIATION AND DEPRECIATION ON INVESTMENTS (TAX BASIS):
At January 31, 2013, the total cost of securities for Federal income tax purposes and the aggregate gross unrealized appreciation and depreciation for securities held by the Funds is as follows:
|
|
|
|
|
|
|
|
|
|
|
As of January 31, 2013
|
|
White Oak
Select Growth
|
|
Pin Oak
Equity
|
|
Rock Oak
Core Growth
|
|
River Oak
Discovery
|
|
Gross appreciation (excess of value over tax cost)
|
|
22,458,543
|
|
4,973,619
|
|
1,559,159
|
|
2,916,108
|
|
Gross depreciation (excess of tax cost over value)
|
|
(5,706,046)
|
|
(2,763,306)
|
|
(76,639)
|
|
(127,801)
|
|
Net unrealized appreciation/(depreciation)
|
|
16,752,497
|
|
2,210,313
|
|
1,482,520
|
|
2,778,307
|
|
Cost of investment for income tax purposes
|
|
223,603,245
|
|
68,888,715
|
|
4,951,622
|
|
8,721,710
|
|
|
|
|
|
|
|
|
|
|
|
As of January 31, 2013
|
|
Red Oak
Technology
Select
|
|
Black Oak
Emerging
Technology
|
|
Live Oak
Health
Sciences
|
|
|
|
Gross appreciation (excess of value over tax cost)
|
|
3,018,148
|
|
3,814,116
|
|
9,590,579
|
|
|
Gross depreciation (excess of tax cost over value)
|
|
(7,803,655)
|
|
(1,890,005)
|
|
(446,113)
|
|
|
Net unrealized appreciation/(depreciation)
|
|
(4,785,507)
|
|
1,924,111
|
|
9,144,466
|
|
|
Cost of investment for income tax purposes
|
|
74,479,252
|
|
24,448,303
|
|
26,033,438
|
|
4. FAIR VALUE MEASUREMENTS:
A three-tier hierarchy has been established to
classify fair value measurements for disclosure purposes. Inputs refer broadly to the assumptions that market participants would use in pricing the asset or liability, including assumptions about risk. Inputs may be observable and unobservable.
Observable inputs are inputs that reflect the assumptions market participants would use in pricing the asset or liability that are developed based on market data obtained from sources independent of the reporting entity. Unobservable inputs are
inputs that reflect the reporting entity’s own assumptions about the assumptions market participants would use in pricing the asset or liability that are developed based on the best information available.
Various inputs are used in determining the value of each Fund’s investments as of the reporting period end. The designated input levels are not
necessarily an indication of the risk or liquidity associated with these investments. These inputs are categorized in the following hierarchy under applicable financial accounting standards:
Level 1
- Unadjusted quoted prices in active markets for identical,
unrestricted assets or liabilities that a Fund has the ability to access at the measurement date;
Level 2
- Quoted prices which are not active, quoted prices for similar assets or liabilities in active markets or inputs other than quoted prices that are observable (either directly or indirectly) for substantially the full term of the asset or
liability, and;
Level 3 -
Significant unobservable prices or inputs (including the Fund’s own
assumptions in determining the fair value of investments) where there is little or no market activity for the asset and liability at the measurement date.
The following is a summary of the inputs used to value each Fund’s investments as of January 31, 2013:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Level 1
|
|
|
Level 2
|
|
|
Level 3
|
|
|
Total
|
|
|
WHITE OAK SELECT GROWTH FUND
|
|
|
|
|
|
|
|
|
|
|
Assets
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Common Stocks
|
|
$
|
240,300,065
|
|
|
$
|
–
|
|
|
$
|
–
|
|
|
$
|
240,300,065
|
|
|
Short Term Investments
|
|
|
55,677
|
|
|
|
–
|
|
|
|
–
|
|
|
|
55,677
|
|
|
Total
|
|
$
|
240,355,742
|
|
|
$
|
–
|
|
|
$
|
–
|
|
|
$
|
240,355,742
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
PIN OAK EQUITY FUND
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Assets
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Common Stocks
|
|
$
|
69,439,752
|
|
|
$
|
–
|
|
|
$
|
–
|
|
|
$
|
69,439,752
|
|
|
Short Term Investments
|
|
|
1,659,276
|
|
|
|
–
|
|
|
|
–
|
|
|
|
1,659,276
|
|
|
Total
|
|
$
|
71,099,028
|
|
|
$
|
–
|
|
|
$
|
–
|
|
|
$
|
71,099,028
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
ROCK OAK CORE GROWTH FUND
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Assets
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Common Stocks
|
|
$
|
6,350,298
|
|
|
$
|
–
|
|
|
$
|
–
|
|
|
$
|
6,350,298
|
|
|
Short Term Investments
|
|
|
83,844
|
|
|
|
–
|
|
|
|
–
|
|
|
|
83,844
|
|
|
Total
|
|
$
|
6,434,142
|
|
|
$
|
–
|
|
|
$
|
–
|
|
|
$
|
6,434,142
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
RIVER OAK DISCOVERY FUND
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Assets
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Common Stocks
|
|
$
|
11,447,017
|
|
|
$
|
–
|
|
|
$
|
–
|
|
|
$
|
11,447,017
|
|
|
Short Term Investments
|
|
|
63,000
|
|
|
|
–
|
|
|
|
–
|
|
|
|
63,000
|
|
|
Total
|
|
$
|
11,510,017
|
|
|
$
|
–
|
|
|
$
|
–
|
|
|
$
|
11,510,017
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
RED OAK TECHNOLOGY SELECT FUND
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Assets
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Common Stocks
|
|
$
|
68,874,726
|
|
|
$
|
–
|
|
|
$
|
–
|
|
|
$
|
68,874,726
|
|
|
Short Term Investments
|
|
|
819,019
|
|
|
|
–
|
|
|
|
–
|
|
|
|
819,019
|
|
|
Total
|
|
$
|
69,693,745
|
|
|
$
|
–
|
|
|
$
|
–
|
|
|
$
|
69,693,745
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
BLACK OAK EMERGING TECHNOLOGY FUND
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Assets
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Common Stocks
|
|
$
|
26,318,701
|
|
|
$
|
–
|
|
|
$
|
–
|
|
|
$
|
26,318,701
|
|
|
Short Term Investments
|
|
|
53,713
|
|
|
|
–
|
|
|
|
–
|
|
|
|
53,713
|
|
|
Total
|
|
$
|
26,372,414
|
|
|
$
|
–
|
|
|
$
|
–
|
|
|
$
|
26,372,414
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
LIVE OAK HEALTH SCIENCES FUND
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Assets
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Common Stocks
|
|
$
|
34,712,882
|
|
|
$
|
–
|
|
|
$
|
–
|
|
|
$
|
34,712,882
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Short Term Investments
|
|
|
465,022
|
|
|
|
–
|
|
|
|
–
|
|
|
|
465,022
|
|
|
Total
|
|
$
|
35,177,904
|
|
|
$
|
–
|
|
|
$
|
–
|
|
|
$
|
35,177,904
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
The above tables are presented by levels of disaggregation for each asset class. For detailed descriptions of the
underlying industries, see the accompanying Statements of Investments. There were no significant transfers between Level 1 and Level 2 during the period. There were no Level 3 securities held during the period ended January 31, 2013.
Item 2. Controls and Procedures
(a) The certifying officers, whose certifications are included herewith, have evaluated the Registrant’s disclosure controls and
procedures within 90 days of the filing date of this report. In their opinion, based on their evaluation, the Registrant’s disclosure controls and procedures are adequately designed, and are operating effectively to ensure, that information
required to be disclosed by the Registrant in the reports it files or submits under the Securities Exchange Act of 1934 is recorded, processed, summarized and reported within the time periods specified in the Securities and Exchange
Commission’s rules and forms.
(b) There were no significant changes in the Registrant’s internal control over
financial reporting that occurred during the Registrant’s last fiscal quarter that have materially affected, or are reasonably likely to materially affect, the Registrant’s internal control over financial reporting.
Item 3. Exhibits.
(a) A separate certification for the principal executive officer and the principal financial officer of the Registrant as required by
Rule 30a-2(a) under the Investment Company Act of 1940, as amended (17 CFR 270.30a-2(a)), are filed herewith.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the Registrant has duly caused this report to be signed on its behalf by the undersigned,
thereunto duly authorized.
OAK ASSOCIATES FUNDS
|
|
|
|
|
|
|
By
|
|
/s/ Leslie Manna
|
|
|
|
|
|
Leslie Manna
|
|
|
|
|
|
President
|
|
|
|
|
|
|
|
Date:
|
|
April 1, 2013
|
|
|
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report
has been signed below by the following persons on behalf of the Registrant and in the capacities and on the dates indicated.
|
|
|
|
|
|
|
By
|
|
/s/ Leslie Manna
|
|
|
|
|
|
Leslie Manna
|
|
|
|
|
|
President and Principal Executive Officer
|
|
|
|
|
|
|
|
Date:
|
|
April 1, 2013
|
|
|
|
|
|
|
|
|
|
By
|
|
/s/ Pete Greenly
|
|
|
|
|
|
Pete Greenly
|
|
|
|
|
|
Treasurer and Principal Financial Officer
|
|
|
|
|
|
|
|
Date:
|
|
April 1, 2013
|
|
|
Nyxio Technologies (CE) (USOTC:NYXO)
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