-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, T7XdkZMv6wnQAIXZuqfTtTP7pqhC6m51gC0V3AHlENGWAxXuLrrKNXqQYvRtiMe1 /awVFSHvZ0Tp0J8P26nkLA== 0001085146-09-003532.txt : 20091116 0001085146-09-003532.hdr.sgml : 20091116 20091116161603 ACCESSION NUMBER: 0001085146-09-003532 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091116 DATE AS OF CHANGE: 20091116 EFFECTIVENESS DATE: 20091116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PACIFIC ASSETS MANAGEMENT LLC CENTRAL INDEX KEY: 0001074264 IRS NUMBER: 943298989 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-07430 FILM NUMBER: 091187056 BUSINESS ADDRESS: STREET 1: 1999 AVENUE OF THE STARS #2530 CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: 310-601-2800 MAIL ADDRESS: STREET 1: 1999 AVENUE OF THE STARS 2530 CITY: LOS ANGELES STATE: CA ZIP: 90067 FORMER COMPANY: FORMER CONFORMED NAME: PACIFIC ASSET MANAGEMENT LLC DATE OF NAME CHANGE: 19990326 13F-HR 1 pam3q09.txt PACIFIC ASSETS MANAGEMENT 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, 2009 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: Pacific Assets Management, LLC Address: 11601 Wilshire Blvd, Suite 2180 Los Angeles, CA 90025 13F File Number: 28-07430 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: Jonathan Glaser Title: Member Manager Phone: 310-601-2800 Signature, Place, and Date of Signing: /s/ Jonathan Glaser Los Angeles, CA November 09, 2009 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 Form13F Information Table Entry Total: 34 Form13F Information Table Value Total: $51,095 (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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ASIA SPECIAL SIT ACQST CORP SHS G0538M105 4551 462500 SH SOLE 462500 0 0 AUGUSTA RES CORP COM NEW 050912203 297 119414 SH SOLE 119414 0 0 CAPITOL ACQUISITION CORP DEL COM 14055E104 776 78567 SH SOLE 78567 0 0 DIREXION SHS ETF TR DLY SMCAP BEAR3X 25459W839 182 15000 SH SOLE 15000 0 0 ENTERPRISE ACQUISITION CORP *W EXP 11/07/201 29365R116 69 264250 SH SOLE 264250 0 0 GLOBAL BRANDS ACQUISITION CO COM 378982102 3332 337100 SH SOLE 337100 0 0 GLOBAL BRANDS ACQUISITION CO *W EXP 12/06/201 378982110 6 29077 SH SOLE 29077 0 0 GOLDEN POND HEALTHCARE INC COM 38116J109 215 27400 SH SOLE 27400 0 0 HECKMANN CORP *W EXP 11/09/201 422680116 20 36350 SH SOLE 36350 0 0 HICKS ACQUISITION CO I INC COM 429086309 976 100000 SH SOLE 100000 0 0 IDEATION ACQUISITION CORP COM 451665103 2063 262100 SH SOLE 262100 0 0 IDEATION ACQUISITION CORP *W EXP 11/19/201 451665111 273 161300 SH SOLE 161300 0 0 INFORMATION SERVICES GROUP I *W EXP 01/31/201 45675Y112 210 1766380 SH SOLE 1766380 0 0 INSIGNIA SYS INC COM 45765Y105 806 212543 SH SOLE 212543 0 0 NETWORK ENGINES INC COM 64121A107 176 158922 SH SOLE 158922 0 0 OSI PHARMACEUTICALS INC NOTE 2.000%12/1 671040AF0 8916 7000000 PRN SOLE 7000000 0 0 OVERTURE ACQUISITION CORP SHS G6830P100 2234 225000 SH SOLE 225000 0 0 READING INTERNATIONAL INC CL A 755408101 3619 880466 SH SOLE 880466 0 0 SANTA MONICA MEDIA CORP *W EXP 03/27/201 802501114 0 89100 SH SOLE 89100 0 0 SAPPHIRE INDUSTRIALS CORP COM 80306T109 3336 335663 SH SOLE 335663 0 0 SECURE AMER ACQUISITION CORP COM 81372L103 414 52450 SH SOLE 52450 0 0 SP ACQUISITION HOLDINGS INC COM 78470A104 1323 136724 SH SOLE 136724 0 0 SPORTS PPTYS ACQUISITION COR COM 84920F107 6140 623675 SH SOLE 623675 0 0 SPORTS PPTYS ACQUISITION COR *W EXP 01/17/201 84920F115 107 595000 SH SOLE 595000 0 0 TM ENTMT & MEDIA INC COM 87260T108 635 81215 SH SOLE 81215 0 0 TM ENTMT & MEDIA INC *W EXP 10/17/201 87260T116 27 93750 SH SOLE 93750 0 0 TREMISIS ENERGY ACQ CORP II COM 89472N101 4069 519000 SH SOLE 519000 0 0 UNITED REFINING ENERGY CORP COM 911360105 2231 224200 SH SOLE 224200 0 0 VANTAGE DRILLING COMPANY ORD SHS G93205113 51 27999 SH SOLE 27999 0 0 WIDEPOINT CORP COM 967590100 447 677854 SH SOLE 677854 0 0 WYETH COM 983024100 607 12500 SH SOLE 12500 0 0 WYETH COM 983024100 125 125000 SH CALL SOLE 0 0 0 YELLOW ROADWAY CORP NOTE 5.000% 8/0 985577AA3 2684 5017000 PRN SOLE 5017000 0 0 YRC WORLDWIDE INC COM 984249102 178 40000 SH SOLE 40000 0 0
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