# EDGAR Filing Document

**Accession Number:** 0001089710
**File Stem:** 0001089710-23-000001
**Filing Date:** 2023-2
**Character Count:** 13819
**Document Hash:** 3a9b5dda6c02884d77341cb875f3d4cd
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001089710-23-000001.hdr.sgml**: 20230208

**ACCESSION NUMBER**: 0001089710-23-000001

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230208

**DATE AS OF CHANGE**: 20230208

**EFFECTIVENESS DATE**: 20230208

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ROANOKE ASSET MANAGEMENT CORP/ NY
- **CENTRAL INDEX KEY:** 0001089710
- **IRS NUMBER:** 132932679
- **STATE OF INCORPORATION:** FL
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-06537
- **FILM NUMBER:** 23598445

**BUSINESS ADDRESS:**
- **STREET 1:** HARBORSIDE 5
- **STREET 2:** 185 HUDSON ST. SUITE 1640
- **CITY:** JERSEY CITY
- **STATE:** NJ
- **ZIP:** 07311
- **BUSINESS PHONE:** 2019851111

**MAIL ADDRESS:**
- **STREET 1:** HARBORSIDE 5
- **STREET 2:** 185 HUDSON ST. SUITE 1640
- **CITY:** JERSEY CITY
- **STATE:** NJ
- **ZIP:** 07311

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**Check here if Amendment** [ ] **Amendment Number:** 

**This Amendment (Check only one.):** [ ] is a restatement.

[ ] adds new holdings entries.

**Institutional Investment Manager Filing this Report:**

**Name:** ROANOKE ASSET MANAGEMENT CORP/ NY<br>**Address:** HARBORSIDE 5<br>185 HUDSON ST. SUITE 1640<br>JERSEY CITY, NJ 07311

**Form 13F File Number:** 028-06537

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:** Adele Weisman<br>**Title:** Senior Vice President<br>**Phone:** 2019851111

**Signature, Place, and Date of Signing:**

Adele Weisman  Jersey City, NJ  02-08-2023<br>[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 are reported in this report, and all holdings are reported by other reporting manager(s).)

[ ] **13F COMBINATION REPORT.** (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion 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:** 109

**Form 13F Information Table Value Total:** $219807

      (round to nearest dollar)

**List of Other Included Managers:**

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

**NONE**

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| ABBOTT LABORATORIES | COM | 002824100 |  | 4768 | 43425 | SH |  | SOLE |  | 42460 | 0 | 0 |
| ABBVIE INC | COM | 00287Y109 |  | 493 | 3050 | SH |  | SOLE |  | 3050 | 0 | 0 |
| ACTIVISION BLIZZARD INC | COM | 00507V109 |  | 3432 | 44835 | SH |  | SOLE |  | 43910 | 0 | 0 |
| ADVANCED MICRO DEVICES | COM | 007903107 |  | 6461 | 99760 | SH |  | SOLE |  | 96241 | 0 | 0 |
| AMAZON.COM INC | COM | 023135106 |  | 2741 | 32635 | SH |  | SOLE |  | 32035 | 0 | 0 |
| AMERICAN ELECTRIC POWER | COM | 025537101 |  | 447 | 4710 | SH |  | SOLE |  | 4710 | 0 | 0 |
| AMGEN INC | COM | 031162100 |  | 707 | 2690 | SH |  | SOLE |  | 2690 | 0 | 0 |
| APPLE INC | COM | 037833100 |  | 3036 | 23368 | SH |  | SOLE |  | 23368 | 0 | 0 |
| APPLIED MATERIALS INC | COM | 038222105 |  | 6948 | 71345 | SH |  | SOLE |  | 70635 | 0 | 0 |
| ASHLAND GLOBAL HOLDINGS INC | COM | 044186104 |  | 369 | 3435 | SH |  | SOLE |  | 3435 | 0 | 0 |
| AT INC | COM | 00206R102 |  | 655 | 35594 | SH |  | SOLE |  | 35594 | 0 | 0 |
| ATLAS SPINE INC. | COM | 011111111 |  | 50 | 25000 | SH |  | SOLE |  | 25000 | 0 | 0 |
| AUTOMATIC DATA PROCESSING | COM | 053015103 |  | 998 | 4180 | SH |  | SOLE |  | 4180 | 0 | 0 |
| BANK OF AMERICA CORP | COM | 060505104 |  | 5693 | 171883 | SH |  | SOLE |  | 169993 | 0 | 0 |
| BOEING CO/THE | COM | 097023105 |  | 5102 | 26781 | SH |  | SOLE |  | 26101 | 0 | 0 |
| BRISTOL-MYERS SQUIBB CO | COM | 110122108 |  | 4287 | 59577 | SH |  | SOLE |  | 58100 | 0 | 0 |
| CANADIAN NATURAL RESOURCES | COM | 136385101 |  | 3546 | 63865 | SH |  | SOLE |  | 62770 | 0 | 0 |
| CHEVRON CORP | COM | 166764100 |  | 1929 | 10749 | SH |  | SOLE |  | 10749 | 0 | 0 |
| CHIPOTLE MEXICAN GRILL INC | COM | 169656105 |  | 1970 | 1420 | SH |  | SOLE |  | 1385 | 0 | 0 |
| CISCO SYSTEMS INC | COM | 17275R102 |  | 3893 | 81726 | SH |  | SOLE |  | 79393 | 0 | 0 |
| CITIGROUP INC | COM | 172967424 |  | 2115 | 46752 | SH |  | SOLE |  | 45239 | 0 | 0 |
| COCA-COLA CO/THE | COM | 191216100 |  | 4242 | 66695 | SH |  | SOLE |  | 65935 | 0 | 0 |
| CONCERT PHARMACEUTICALS INC | COM | 206022105 |  | 58 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| CONOCOPHILLIPS | COM | 20825C104 |  | 316 | 2676 | SH |  | SOLE |  | 2676 | 0 | 0 |
| CONSOLIDATED EDISON INC | COM | 209115104 |  | 291 | 3055 | SH |  | SOLE |  | 3055 | 0 | 0 |
| CONSTELLATION BRANDS INC-A | COM | 21036P108 |  | 591 | 2550 | SH |  | SOLE |  | 2550 | 0 | 0 |
| CORCEPT THERAPEUTICS INC | COM | 218352102 |  | 305 | 15000 | SH |  | SOLE |  | 15000 | 0 | 0 |
| CVS HEALTH CORP | COM | 126650100 |  | 3591 | 38538 | SH |  | SOLE |  | 37272 | 0 | 0 |
| DANAHER CORP | COM | 235851102 |  | 4746 | 17879 | SH |  | SOLE |  | 16492 | 0 | 0 |
| DARDEN RESTAURANTS INC | COM | 237194105 |  | 645 | 4660 | SH |  | SOLE |  | 4660 | 0 | 0 |
| DEVON ENERGY CORP | COM | 25179M103 |  | 461 | 7500 | SH |  | SOLE |  | 7500 | 0 | 0 |
| DEXCOM INC | COM | 252131107 |  | 347 | 3060 | SH |  | SOLE |  | 3060 | 0 | 0 |
| EDWARDS LIFESCIENCES CORP | COM | 28176E108 |  | 228 | 3060 | SH |  | SOLE |  | 3060 | 0 | 0 |
| ELI LILLY  CO | COM | 532457108 |  | 5698 | 15575 | SH |  | SOLE |  | 15315 | 0 | 0 |
| EMERSON ELECTRIC CO | COM | 291011104 |  | 2942 | 30623 | SH |  | SOLE |  | 30133 | 0 | 0 |
| ENTERPRISE PRODUCTS PARTNERS | COM | 293792107 |  | 1253 | 51951 | SH |  | SOLE |  | 50273 | 0 | 0 |
| EOG RESOURCES INC | COM | 26875P101 |  | 2156 | 16643 | SH |  | SOLE |  | 16253 | 0 | 0 |
| EXXON MOBIL CORP | COM | 30231G102 |  | 619 | 5609 | SH |  | SOLE |  | 5609 | 0 | 0 |
| FORTIVE CORP | COM | 34959J108 |  | 1468 | 22854 | SH |  | SOLE |  | 21824 | 0 | 0 |
| GELTECH SOLUTIONS INC | COM | 368537106 |  | 0 | 14000 | SH |  | SOLE |  | 14000 | 0 | 0 |
| GENERAL MILLS INC | COM | 370334104 |  | 496 | 5910 | SH |  | SOLE |  | 5910 | 0 | 0 |
| GILEAD SCIENCES INC | COM | 375558103 |  | 2944 | 34287 | SH |  | SOLE |  | 33118 | 0 | 0 |
| GSK PLC | COM | 37733w204 |  | 1316 | 37444 | SH |  | SOLE |  | 37444 | 0 | 0 |
| HALEON PLC | COM | 405552100 |  | 391 | 48855 | SH |  | SOLE |  | 48855 | 0 | 0 |
| HEXCEL CORP | COM | 428291108 |  | 4017 | 68253 | SH |  | SOLE |  | 66047 | 0 | 0 |
| HOME DEPOT INC | COM | 437076102 |  | 8023 | 25399 | SH |  | SOLE |  | 24411 | 0 | 0 |
| HUMANA INC | COM | 444859102 |  | 1467 | 2865 | SH |  | SOLE |  | 2865 | 0 | 0 |
| INTL BUSINESS MACHINES CORP | COM | 459200101 |  | 767 | 5445 | SH |  | SOLE |  | 5445 | 0 | 0 |
| JOHNSON  JOHNSON | COM | 478160104 |  | 751 | 4250 | SH |  | SOLE |  | 4250 | 0 | 0 |
| JPMORGAN CHASE  CO | COM | 46625H100 |  | 3297 | 24583 | SH |  | SOLE |  | 23131 | 0 | 0 |
| LAM RESEARCH CORP | COM | 512807108 |  | 2450 | 5830 | SH |  | SOLE |  | 5690 | 0 | 0 |
| LANTRONIX INC | COM | 516548203 |  | 454 | 105000 | SH |  | SOLE |  | 105000 | 0 | 0 |
| LIVEPERSON INC | COM | 538146101 |  | 353 | 34800 | SH |  | SOLE |  | 34800 | 0 | 0 |
| LUNDIN MINING CORP | COM | 550372106 |  | 92 | 15000 | SH |  | SOLE |  | 15000 | 0 | 0 |
| MASTERCARD INC - A | COM | 57636Q104 |  | 18398 | 52909 | SH |  | SOLE |  | 52132 | 0 | 0 |
| MCDONALD'S CORP | COM | 580135101 |  | 1372 | 5208 | SH |  | SOLE |  | 5208 | 0 | 0 |
| MCKESSON CORP | COM | 58155Q103 |  | 2194 | 5850 | SH |  | SOLE |  | 5850 | 0 | 0 |
| META PLATFORMS INC | COM | 30303m102 |  | 2492 | 20712 | SH |  | SOLE |  | 20367 | 0 | 0 |
| MICROSOFT CORP | COM | 594918104 |  | 6981 | 29109 | SH |  | SOLE |  | 28719 | 0 | 0 |
| MID-AMERICA APARTMENT COMM | COM | 59522J103 |  | 571 | 3635 | SH |  | SOLE |  | 3635 | 0 | 0 |
| MOODY'S CORP | COM | 615369105 |  | 241 | 866 | SH |  | SOLE |  | 866 | 0 | 0 |
| MORGAN STANLEY | COM | 617446448 |  | 3514 | 41333 | SH |  | SOLE |  | 40473 | 0 | 0 |
| NEXTERA ENERGY INC | COM | 65339F101 |  | 1950 | 23330 | SH |  | SOLE |  | 23330 | 0 | 0 |
| NUCOR CORP | COM | 670346105 |  | 1624 | 12320 | SH |  | SOLE |  | 12320 | 0 | 0 |
| NVIDIA CORP | COM | 67066G104 |  | 1109 | 7590 | SH |  | SOLE |  | 7415 | 0 | 0 |
| OCEANAGOLD CORP | COM | 675222103 |  | 95 | 50000 | SH |  | SOLE |  | 50000 | 0 | 0 |
| OPTION CARE HEALTH INC | COM | 68404L201 |  | 3132 | 104095 | SH |  | SOLE |  | 101595 | 0 | 0 |
| ORACLE CORP | COM | 68389X105 |  | 3116 | 38125 | SH |  | SOLE |  | 35623 | 0 | 0 |
| PAYPAL HOLDINGS INC | COM | 70450Y103 |  | 2955 | 41496 | SH |  | SOLE |  | 39906 | 0 | 0 |
| PIONEER NATURAL RESOURCES CO | COM | 723787107 |  | 3181 | 13928 | SH |  | SOLE |  | 13698 | 0 | 0 |
| PROSHARES ULTRA FINANCIALS | COM | 74347X633 |  | 613 | 13440 | SH |  | SOLE |  | 13440 | 0 | 0 |
| PROSHARES ULTRA QQQ | COM | 74347R206 |  | 1682 | 48000 | SH |  | SOLE |  | 48000 | 0 | 0 |
| QUALCOMM INC | COM | 747525103 |  | 6114 | 55612 | SH |  | SOLE |  | 54470 | 0 | 0 |
| RAINMAKER SYSTEMS COM NEW | COM | 750875304 |  | 0 | 151100 | SH |  | SOLE |  | 151100 | 0 | 0 |
| ROYAL CARIBBEAN CRUISES LTD | COM | v7780t103 |  | 1757 | 35540 | SH |  | SOLE |  | 34255 | 0 | 0 |
| SALESFORCE.COM INC | COM | 79466L302 |  | 2893 | 21820 | SH |  | SOLE |  | 21365 | 0 | 0 |
| SCHLUMBERGER LTD | COM | 806857108 |  | 241 | 4500 | SH |  | SOLE |  | 4500 | 0 | 0 |
| SERVICENOW INC | COM | 81762P102 |  | 1382 | 3560 | SH |  | SOLE |  | 3470 | 0 | 0 |
| SKYWORKS SOLUTIONS INC | COM | 83088M102 |  | 1876 | 20585 | SH |  | SOLE |  | 20160 | 0 | 0 |
| SPDR GOLD SHARES | COM | 78463V107 |  | 833 | 4910 | SH |  | SOLE |  | 4910 | 0 | 0 |
| SPDR S 500 ETF TRUST | COM | 78462F103 |  | 294 | 770 | SH |  | SOLE |  | 770 | 0 | 0 |
| STARBUCKS CORP | COM | 855244109 |  | 6496 | 65482 | SH |  | SOLE |  | 64196 | 0 | 0 |
| TARGA RESOURCES CORP | COM | 87612G101 |  | 384 | 5222 | SH |  | SOLE |  | 5222 | 0 | 0 |
| TARGET CORP | COM | 87612E106 |  | 1214 | 8145 | SH |  | SOLE |  | 8145 | 0 | 0 |
| TEXAS INSTRUMENTS INC | COM | 882508104 |  | 4286 | 25940 | SH |  | SOLE |  | 24902 | 0 | 0 |
| TOPGOLF CALLAWAY BRANS CORP | COM | 131193104 |  | 2432 | 123130 | SH |  | SOLE |  | 119410 | 0 | 0 |
| TRANSWITCH CORP COM | COM | 894065309 |  | 0 | 97836 | SH |  | SOLE |  | 97836 | 0 | 0 |
| UNITEDHEALTH GROUP INC | COM | 91324P102 |  | 3857 | 7275 | SH |  | SOLE |  | 7125 | 0 | 0 |
| VACCINOGEN INC | COM | 918641101 |  | 0 | 52679 | SH |  | SOLE |  | 52679 | 0 | 0 |
| VERIZON COMMUNICATIONS INC | COM | 92343V104 |  | 441 | 11205 | SH |  | SOLE |  | 11205 | 0 | 0 |
| VISA INC-CLASS A SHARES | COM | 92826C839 |  | 318 | 1530 | SH |  | SOLE |  | 1530 | 0 | 0 |
| VISHAY INTERTECHNOLOGY INC | COM | 928298108 |  | 294 | 13610 | SH |  | SOLE |  | 13610 | 0 | 0 |
| WALT DISNEY CO/THE | COM | 254687106 |  | 3063 | 35258 | SH |  | SOLE |  | 34478 | 0 | 0 |
| WASTE MANAGEMENT INC | COM | 94106L109 |  | 1403 | 8941 | SH |  | SOLE |  | 8941 | 0 | 0 |
| WILLIAMS COS INC | COM | 969457100 |  | 2864 | 87057 | SH |  | SOLE |  | 87057 | 0 | 0 |
| YOUNG AUST MINES LTD | COM | 9a4qhq938 |  | 0 | 17700 | SH |  | SOLE |  | 17700 | 0 | 0 |
| AT INC 4.75  PREF STOCK SER | PFD | 00206r706 |  | 427 | 24500 | SH |  | SOLE |  | 24500 | 0 | 0 |
| BANK OF AMERICA NON CUM PREF 4 | PFD | 06055H871 |  | 245 | 13000 | SH |  | SOLE |  | 13000 | 0 | 0 |
| BANK OF AMERICA NON CUM PREF 6 | PFD | 060505229 |  | 431 | 18000 | SH |  | SOLE |  | 18000 | 0 | 0 |
| CAPITAL ONE PAR PREF 4.80  SER | PFD | 14040h782 |  | 496 | 28500 | SH |  | SOLE |  | 28500 | 0 | 0 |
| GOLDMAN SACHS NON CUM PFD 6.37 | PFD | 38148b108 |  | 372 | 15000 | SH |  | SOLE |  | 15000 | 0 | 0 |
| JPM CHASE NON CUM 5.75  PREF S | PFD | 48128b655 |  | 212 | 9000 | SH |  | SOLE |  | 9000 | 0 | 0 |
| JPMORGAN CHASE  CO 4.55  NONC | PFD | 48128b580 |  | 215 | 11550 | SH |  | SOLE |  | 11550 | 0 | 0 |
| KEYCORP 5.625 PFD  9/15/24 | PFD | 493267868 |  | 519 | 25000 | SH |  | SOLE |  | 25000 | 0 | 0 |
| KEYCORP 5.65  SER F | PFD | 493267876 |  | 312 | 15000 | SH |  | SOLE |  | 15000 | 0 | 0 |
| MORGAN STANLEY PERP 4.25  PFD | PFD | 61762v861 |  | 429 | 25000 | SH |  | SOLE |  | 25000 | 0 | 0 |
| SCHWAB 4.45 PERP PFD | PFD | 808513865 |  | 296 | 16000 | SH |  | SOLE |  | 16000 | 0 | 0 |
| DODGE  COX STOCK FUND | MUT | 256219106 |  | 1420 | 6583 | SH |  | SOLE |  | 6583 | 0 | 0 |
| MATTHEWS PACIFIC TIGER | MUT | 577130107 |  | 357 | 17706 | SH |  | SOLE |  | 17706 | 0 | 0 |

---