0001172661-12-001066.txt : 20121109 0001172661-12-001066.hdr.sgml : 20121109 20121109072355 ACCESSION NUMBER: 0001172661-12-001066 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121109 DATE AS OF CHANGE: 20121109 EFFECTIVENESS DATE: 20121109 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: 121191711 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 kenroberts3q12.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: September 30, 2012 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 November 9, 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: 105 Form 13F Information Table Value Total: $199,373 (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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- AGILENT TECHNOLOGIES INC COM 00846u101 3515 91410 SH SOLE 78270 0 13140 AIR PRODS & CHEMS INC COM 009158106 2592 31340 SH SOLE 26355 0 4985 ALLEGHENY TECHNOLOGIES INC COM 01741r102 255 8005 SH SOLE 6650 0 1355 ALTRIA GROUP INC COM 02209s103 1300 38935 SH SOLE 33990 0 4945 AMERICAN EXPRESS CO COM 025816109 283 4975 SH SOLE 475 0 4500 ANWORTH MORTGAGE ASSET CP COM 037347101 68 10000 SH SOLE 10000 0 0 APACHE CORP COM 037411105 4041 46732 SH SOLE 39457 0 7275 APPLE INC COM 037833100 6010 9009 SH SOLE 7713 0 1296 AT&T INC COM 00206r102 1276 33837 SH SOLE 28392 0 5445 BAKER HUGHES INC COM 057224107 4129 91290 SH SOLE 77680 0 13610 BANK OF NEW YORK MELLON CORP COM 064058100 742 32805 SH SOLE 27225 0 5580 BARCLAYS BANK PLC ADS7.75%PFD S4 06739h511 566 22060 SH SOLE 17170 0 4890 BAXTER INTL INC COM 071813109 271 4502 SH SOLE 4187 0 315 BBCN BANCORP INC COM 073295107 218 17285 SH SOLE 12930 0 4355 BECTON DICKINSON & CO COM 075887109 1110 14132 SH SOLE 11687 0 2445 BED BATH & BEYOND INC COM 075896100 3614 57365 SH SOLE 48490 0 8875 BERKSHIRE HILLS BANCORP INC COM 084680107 268 11715 SH SOLE 9195 0 2520 BOEING CO COM 097023105 1815 26075 SH SOLE 22590 0 3485 CA INC COM 12673p105 910 35324 SH SOLE 30544 0 4780 CAPITAL ONE FINL CORP COM 14040H105 3849 67516 SH SOLE 57206 0 10310 CARDINAL HEALTH INC COM 14149y108 6025 154610 SH SOLE 131465 0 23145 CARRIZO OIL & CO INC COM 144577103 260 10410 SH SOLE 8425 0 1985 CHESAPEAKE ENERGY CORP COM 165167107 3360 178050 SH SOLE 151255 0 26795 CHESAPEAKE ENERGY CORP PFD CONV 165167842 1330 16305 SH SOLE 13900 0 2405 CHEVRON CORP NEW COM 166764100 699 5995 SH SOLE 5540 0 455 CISCO SYS INC COM 17275r102 2274 119113 SH SOLE 100773 0 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1058 15352 SH SOLE 13332 0 2020 JOHNSON CTLS INC COM 478366107 3304 120599 SH SOLE 102529 0 18070 JOS A BANK CLOTHIERS INC COM 480838101 295 6090 SH SOLE 4685 0 1405 JPMORGAN CHASE & CO COM 46625h100 6902 170497 SH SOLE 143437 0 27060 KEMET CORP COM NEW 488360207 232 52700 SH SOLE 44545 0 8155 KOHLS CORP COM 500255104 4806 93830 SH SOLE 79895 0 13935 LANDEC CORP COM 514766104 176 15335 SH SOLE 11115 0 4220 LOCKHEED MARTIN CORP COM 539830109 462 4945 SH SOLE 4330 0 615 MARATHON OIL CORP COM 565849106 4299 145394 SH SOLE 124199 0 21195 MCKESSON CORP COM 58155q103 4585 53290 SH SOLE 44965 0 8325 MERCK & CO INC NEW COM 58933y105 907 20114 SH SOLE 15499 0 4615 MICROSOFT CORP COM 594918104 4723 158696 SH SOLE 134141 0 24555 MODINE MFG CO COM 607828100 235 31855 SH SOLE 25555 0 6300 NATIONAL FUEL GAS CO N J COM 636180101 312 5770 SH SOLE 4645 0 1125 NEWMONT MINING CORP COM 651639106 4525 80775 SH SOLE 68060 0 12715 NEWPARK RES INC COM PAR $.01NEW 651718504 188 25310 SH SOLE 18555 0 6755 NUCOR CORP COM 670346105 511 13365 SH SOLE 11635 0 1730 OCZ TECHNOLOGY GROUP INC COM 67086e303 168 48555 SH SOLE 39840 0 8715 OMNICELL INC COM 68213n109 176 12690 SH SOLE 9875 0 2815 OMNIVISION TECHNOLOGIES INC COM 682128103 273 19565 SH SOLE 16375 0 3190 ORACLE CORP COM 68389x105 4598 146145 SH SOLE 122495 0 23650 PEABODY ENERGY CORP COM 704549104 2507 112485 SH SOLE 96795 0 15690 PEPSICO INC COM 713448108 283 4000 SH SOLE 3000 0 1000 PFIZER INC COM 717081103 398 15996 SH SOLE 13761 0 2235 PHOTRONICS INC COM 719405102 193 35930 SH SOLE 29410 0 6520 PORTFOLIO RECOVERY ASSOCS IN COM 73640q105 357 3415 SH SOLE 2640 0 775 QUALCOMM INC COM 747525103 4301 68855 SH SOLE 56975 0 11880 RUDOLPH TECHNOLOGIES INC COM 781270103 203 19380 SH SOLE 14990 0 4390 SAFEWAY INC COM NEW 786514208 1052 65355 SH SOLE 56350 0 9005 SCHLUMBERGER LTD COM 806857108 2206 30498 SH SOLE 25845 0 4653 SMITHFIELD FOODS INC COM 832248108 201 10250 SH SOLE 7435 0 2815 SOUTHWEST AIRLS CO COM 844741108 3625 413360 SH SOLE 349600 0 63760 SPDR SERIES TRUST BRCLYS YLD ETF 78464a417 1747 43445 SH SOLE 36240 0 7205 STAPLES INC COM 855030102 2349 203900 SH SOLE 171160 0 32740 STEELCASE INC CL A 858155203 863 87570 SH SOLE 74545 0 13025 STRYKER CORP COM 863667101 736 13215 SH SOLE 12500 0 715 SYSCO CORP COM 871829107 450 14380 SH SOLE 12725 0 1655 TARGET CORP COM 87612e106 1195 18835 SH SOLE 16135 0 2700 TESCO CORP COM 88157k101 161 15045 SH SOLE 11885 0 3160 TTM TECHNOLOGIES INC COM 87305r109 205 21720 SH SOLE 17725 0 3995 UNIVERSAL ELECTRS INC COM 913483103 238 13550 SH SOLE 10570 0 2980 VERIZON COMMUNICATIONS INC COM 92343v104 1175 25795 SH SOLE 21495 0 4300 WALGREEN CO COM 931422109 5763 158147 SH SOLE 135457 0 22690 WASTE MGMT INC DEL COM 94106L109 1255 39112 SH SOLE 33747 0 5365 WEATHERFORD INTERNATIONAL LT REG SHS h27013103 2232 176000 SH SOLE 147630 0 28370 WELLPOINT INC COM 94973v107 5150 88785 SH SOLE 75330 0 13455 WESTERN ASST MNG MUN FD INC COM 95766m105 340 22080 SH SOLE 21480 0 600 XEROX CORP COM 984121103 3341 455195 SH SOLE 384760 0 70435 XYLEM INC COM 98419m100 2382 94710 SH SOLE 78780 0 15930