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 18340
CLIFFS NATURAL RESOURCES INC COM 18683k101 480 12255 SH SOLE 10575 0 1680
CONAGRA FOODS INC COM 205887102 1460 52930 SH SOLE 45410 0 7520
CONMED CORP COM 207410101 292 10260 SH SOLE 8000 0 2260
CONOCOPHILLIPS COM 20825c104 2288 40019 SH SOLE 35214 0 4805
CVS CAREMARK CORPORATION COM 126650100 4319 89203 SH SOLE 73633 0 15570
DARDEN RESTAURANTS INC COM 237194105 1247 22365 SH SOLE 19045 0 3320
DOW CHEM CO COM 260543103 5706 197080 SH SOLE 168145 0 28935
DU PONT E I DE NEMOURS & CO COM 263534109 2542 50567 SH SOLE 43227 0 7340
E M C CORP MASS COM 268648102 3509 128680 SH SOLE 107980 0 20700
EATON CORP COM 278058102 6015 127252 SH SOLE 108592 0 18660
ENCORE CAP GROUP INC COM 292554102 322 11390 SH SOLE 9300 0 2090
EXACTECH INC COM 30064e109 290 16280 SH SOLE 12765 0 3515
EXPRESS SCRIPTS HLDG CO COM 30219g108 3286 52465 SH SOLE 41955 0 10510
EXXON MOBIL CORP COM 30231g102 535 5850 SH SOLE 5850 0 0
FERRO CORP COM 315405100 222 64765 SH SOLE 52650 0 12115
FIRST NIAGARA FINL GP INC COM 33582v108 1193 147815 SH SOLE 125050 0 22765
FLOWSERVE CORP COM 34354p105 1092 8545 SH SOLE 7050 0 1495
FLUSHING FINL CORP COM 343873105 253 16035 SH SOLE 12110 0 3925
FREEPORT-MCMORAN COPPER & GO COM 35671d857 5851 147827 SH SOLE 126492 0 21335
GENERAL ELECTRIC CO COM 369604103 4518 198948 SH SOLE 168989 0 29959
GENERAL MTRS CO JR PFD CNV SRB 37045v209 347 9320 SH SOLE 7225 0 2095
GIVEN IMAGING ORD SHS M52020100 221 15175 SH SOLE 12155 0 3020
GOLDCORP INC NEW COM 380956409 2886 62935 SH SOLE 53310 0 9625
HEALTH CARE REIT INC COM 42217k106 1335 23125 SH SOLE 20205 0 2920
HEWLETT PACKARD CO COM 428236103 1152 67499 SH SOLE 57324 0 10175
HOSPITALITY PPTYS TR COM SH BEN INT 44106m102 1148 48290 SH SOLE 42220 0 6070
INGREDION INC COM 457187102 287 5205 SH SOLE 4100 0 1105
INTEL CORP COM 458140100 2205 97343 SH SOLE 82430 0 14913
ISHARES TR IBOXX INV CPBD 464287242 499 4100 SH SOLE 2810 0 1290
JABIL CIRCUIT INC COM 466313103 5450 291110 SH SOLE 248080 0 43030
JOHNSON & JOHNSON COM 478160104 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