0001172661-12-000079.txt : 20120210 0001172661-12-000079.hdr.sgml : 20120210 20120210121855 ACCESSION NUMBER: 0001172661-12-000079 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120210 DATE AS OF CHANGE: 20120210 EFFECTIVENESS DATE: 20120210 FILER: COMPANY DATA: COMPANY CONFORMED NAME: KEN ROBERTS INVESTMENT MANAGEMENT INC CENTRAL INDEX KEY: 0001056516 IRS NUMBER: 000000000 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06910 FILM NUMBER: 12590723 BUSINESS ADDRESS: STREET 1: 601 WEST RIVERSIDE AVE STREET 2: SUITE 1670 CITY: SPOKANE STATE: WA ZIP: 99201 BUSINESS PHONE: 5096245591 MAIL ADDRESS: STREET 1: 601 WEST RIVERSIDE AVE STREET 2: SUITE 1670 CITY: SPOKANE STATE: WA ZIP: 99201 13F-HR 1 KenRoberts4q11.txt FORM 13F HOLDINGS REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2011 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: Ken Roberts Investment Management, Inc. Address: 717 W. Sprague Avenue Suite 1166 Spokane, WA 99201 13F File Number: 028-06910 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: Leslie Yates Title: President Phone: (509) 624-5591 Signature, Place, and Date of Signing: /s/ Leslie Yates Spokane, WA February 10, 2012 Report Type (Check only one.): [ 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: 93 Form 13F Information Table Value Total: $185,024 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE 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 CO COM 88579y101 953 11660 SH SOLE 8020 0 3640 ABBOTT LABS COM 002824100 2201 39150 SH SOLE 29835 0 9315 AIR PRODS & CHEMS INC COM 009158106 3252 38175 SH SOLE 31605 0 6570 ALTRIA GROUP INC COM 02209s103 552 18634 SH SOLE 16310 0 2324 AMERICAN EXPRESS CO COM 025816109 2720 57660 SH SOLE 42410 0 15250 APACHE CORP COM 037411105 3497 38605 SH SOLE 30795 0 7810 APPLE INC COM 037833100 4105 10137 SH SOLE 8436 0 1701 AT&T INC COM 00206r102 820 27127 SH SOLE 22622 0 4505 BAKER HUGHES INC COM 057224107 1828 37585 SH SOLE 32095 0 5490 BANK OF AMERICA CORPORATION COM 060505104 610 109639 SH SOLE 95075 0 14564 BANK OF NEW YORK MELLON CORP COM 064058100 624 31360 SH SOLE 20925 0 10435 BARCLAYS BANK PLC ADS7.75%PFD S4 06739h511 439 20810 SH SOLE 16660 0 4150 BECTON DICKINSON & CO COM 075887109 1054 14110 SH SOLE 10205 0 3905 BOEING CO COM 097023105 4356 59380 SH SOLE 48110 0 11270 CAPITAL ONE FINL CORP COM 14040H105 4925 116450 SH SOLE 93165 0 23285 CARRIZO OIL & CO INC COM 144577103 210 7965 SH SOLE 6890 0 1075 CASUAL MALE RETAIL GRP INC COM NEW 148711302 137 40185 SH SOLE 35650 0 4535 CHESAPEAKE ENERGY CORP COM 165167107 3649 163700 SH SOLE 132390 0 31310 CHESAPEAKE ENERGY CORP PFD CONV 165167842 569 6100 SH SOLE 5025 0 1075 CHEVRON CORP NEW COM 166764100 4893 45987 SH SOLE 36384 0 9603 CISCO SYS INC COM 17275r102 4925 272414 SH SOLE 223669 0 48745 CONAGRA FOODS INC COM 205887102 577 21865 SH SOLE 18490 0 3375 CONOCOPHILLIPS COM 20825c104 1624 22284 SH SOLE 16989 0 5295 CVS CAREMARK CORPORATION COM 126650100 5794 142073 SH SOLE 112598 0 29475 DOW CHEM CO COM 260543103 4493 156220 SH SOLE 125135 0 31085 DU PONT E I DE NEMOURS & CO COM 263534109 1493 32620 SH SOLE 24940 0 7680 E M C CORP MASS COM 268648102 3127 145150 SH SOLE 119335 0 25815 EATON CORP COM 278058102 4356 100060 SH SOLE 80440 0 19620 ELLIS PERRY INTL INC COM 288853104 335 23580 SH SOLE 20950 0 2630 EXPRESS SCRIPTS INC COM 302182100 2829 63300 SH SOLE 51580 0 11720 EXXON MOBIL CORP COM 30231g102 949 11200 SH SOLE 10375 0 825 FIRST NIAGARA FINL GP INC COM 33582v108 231 26720 SH SOLE 23015 0 3705 FLOWSERVE CORP COM 34354p105 1657 16680 SH SOLE 12710 0 3970 FREEPORT-MCMORAN COPPER & GO COM 35671d857 409 11120 SH SOLE 9155 0 1965 GENERAL ELECTRIC CO COM 369604103 8397 468823 SH SOLE 387979 0 80844 GENERAL MTRS CO JR PFD CNV SRB 37045v209 267 7810 SH SOLE 6130 0 1680 GENUINE PARTS CO COM 372460105 452 7380 SH SOLE 6555 0 825 GOLDCORP INC NEW COM 380956409 4529 102350 SH SOLE 85500 0 16850 HEALTH CARE REIT INC COM 42217k106 692 12695 SH SOLE 11115 0 1580 HEWLETT PACKARD CO COM 428236103 4007 155565 SH SOLE 125725 0 29840 ILLINOIS TOOL WKS INC COM 452308109 781 16725 SH SOLE 11360 0 5365 INTEL CORP COM 458140100 2089 86163 SH SOLE 65730 0 20433 INTERNATIONAL BUSINESS MACHS COM 459200101 2581 14037 SH SOLE 11194 0 2843 ISHARES TR IBOXX INV CPBD 464287242 538 4730 SH SOLE 2900 0 1830 ITRON INC COM 465741106 207 5795 SH SOLE 4520 0 1275 JABIL CIRCUIT INC COM 466313103 1394 70920 SH SOLE 52975 0 17945 JOHNSON & JOHNSON COM 478160104 550 8390 SH SOLE 7075 0 1315 JOHNSON CTLS INC COM 478366107 617 19740 SH SOLE 15380 0 4360 JPMORGAN CHASE & CO COM 46625h100 5209 156669 SH SOLE 126014 0 30655 KEY TRONICS CORP COM 493144109 417 88825 SH SOLE 78825 0 10000 KIMBERLY CLARK CORP COM 494368103 848 11525 SH SOLE 9480 0 2045 KOHLS CORP COM 500255104 3133 63490 SH SOLE 51220 0 12270 KRAFT FOODS INC CL A 50075N104 517 13845 SH SOLE 12200 0 1645 LOCKHEED MARTIN CORP COM 539830109 372 4600 SH SOLE 3920 0 680 MARATHON OIL CORP COM 565849106 3595 122830 SH SOLE 98435 0 24395 MCDERMOTT INTL INC COM 580037109 206 17890 SH SOLE 15945 0 1945 MCKESSON CORP COM 58155q103 3775 48450 SH SOLE 40390 0 8060 MEDCO HEALTH SOLUTIONS INC COM 58405u102 4753 85033 SH SOLE 69633 0 15400 MERCK & CO INC NEW COM 58933y105 2201 58375 SH SOLE 42830 0 15545 MICRON TECHNOLOGY INC COM 595112103 106 16925 SH SOLE 14725 0 2200 MICROSOFT CORP COM 594918104 6180 238059 SH SOLE 193164 0 44895 MODINE MFG CO COM 607828100 385 40685 SH SOLE 36150 0 4535 NABORS INDUSTRIES LTD SHS G6359F103 264 15225 SH SOLE 13775 0 1450 NORDSTROM INC COM 655664100 683 13735 SH SOLE 9995 0 3740 NUCOR CORP COM 670346105 331 8365 SH SOLE 7305 0 1060 OMNIVISION TECHNOLOGIES INC COM 682128103 229 18705 SH SOLE 16365 0 2340 ORACLE CORP COM 68389x105 5882 229325 SH SOLE 186650 0 42675 PEABODY ENERGY CORP COM 704549104 3239 97820 SH SOLE 78485 0 19335 PEPSICO INC COM 713448108 9212 138844 SH SOLE 110134 0 28710 PFIZER INC COM 717081103 746 34491 SH SOLE 29826 0 4665 PMC-SIERRA INC COM 69344f106 206 37425 SH SOLE 33385 0 4040 POTLATCH CORP NEW COM 737630103 387 12435 SH SOLE 10730 0 1705 QUALCOMM INC COM 747525103 3884 71010 SH SOLE 55020 0 15990 SCHLUMBERGER LTD COM 806857108 4036 59083 SH SOLE 48750 0 10333 SCHULMAN A INC COM 808194104 284 13430 SH SOLE 12070 0 1360 SEAGATE TECHNOLOGY PLC SHS g7945m107 306 18670 SH SOLE 16585 0 2085 SOUTHWEST AIRLS CO COM 844741108 496 57900 SH SOLE 54675 0 3225 SPDR SERIES TRUST BRCLYS YLD ETF 78464a417 818 21265 SH SOLE 18265 0 3000 STANCORP FINL GROUP INC COM 852891100 224 6085 SH SOLE 5415 0 670 STAPLES INC COM 855030102 2349 169090 SH SOLE 137830 0 31260 STILLWATER MNG CO COM 86074q102 157 15035 SH SOLE 12435 0 2600 SYSCO CORP COM 871829107 431 14690 SH SOLE 12190 0 2500 TARGET CORP COM 87612e106 5135 100260 SH SOLE 80875 0 19385 TESCO CORP COM 88157k101 211 16670 SH SOLE 14825 0 1845 VERIZON COMMUNICATIONS INC COM 92343v104 693 17265 SH SOLE 13925 0 3340 WALGREEN CO COM 931422109 761 23010 SH SOLE 15575 0 7435 WASTE MGMT INC DEL COM 94106L109 430 13136 SH SOLE 11136 0 2000 WEATHERFORD INTERNATIONAL LT REG SHS h27013103 3027 206780 SH SOLE 170775 0 36005 WESTERN ASST MNG MUN FD INC COM 95766m105 320 23900 SH SOLE 23300 0 600 WHIRLPOOL CORP COM 963320106 224 4725 SH SOLE 4150 0 575 WILLBROS GROUP INC DEL COM 969203108 109 29690 SH SOLE 25540 0 4150 XEROX CORP COM 984121103 3182 399780 SH SOLE 329715 0 70065 XYLEM INC COM 98419m100 3777 147005 SH SOLE 120005 0 27000