-----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, UfDBnsiS0f9qUc2ncznPUJySL+fcSllo2T9OWpKBl2iYfsjshYYrF2a9LTkmkUfi XW/iUjBE9tioov5zWORrww== 0001083433-02-000002.txt : 20020414 0001083433-02-000002.hdr.sgml : 20020414 ACCESSION NUMBER: 0001083433-02-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020213 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ASTER INVESTMENT MANAGEMENT CO INC CENTRAL INDEX KEY: 0001083433 IRS NUMBER: 942408246 STATE OF INCORPORATION: MD FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-03533 FILM NUMBER: 02540362 BUSINESS ADDRESS: STREET 1: 60 E SIR FRANCIS DRAKE BLVD STREET 2: STE 306 CITY: LARKSPUR STATE: CA ZIP: 94939 BUSINESS PHONE: 4154616237 MAIL ADDRESS: STREET 1: 60 E SIR FRANCIS DRAKE BLVD. STREET 2: SUITE 306 CITY: LARKSPUR STATE: CA ZIP: 94939 13F-HR 1 aim13fq401.txt ASTER INVESTMENT MANAGEMENT, INC. 13F-HR 12/31/01 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2001 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: Aster Investment Management Co., Inc. Address: 60 East Sir Francis Drake Blvd., Suite 306 Larkspur, CA 94939 13F File Number: 28-01919 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 submission. Person Signing this Report on Behalf of Reporting Manager: Name: Gregg B.Keeling Title: Vice President of Operations Phone: 415-461-8770 Signature, Place and Date of Signing: Gregg B.Keeling Larkspur, CA February 13, 2002 I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. 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: Form 13F Information Table Entry Total: 154 Form 13F Information Table Value Total: $1288931 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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- AVX Corporation COM 002444107 10875 461000 SH DEFINED 461000 Adelphia Communications Corpor COM 006848105 26877 862000 SH DEFINED 862000 Adtran, Inc. COM 00738A106 9277 363500 SH DEFINED 363500 Agrium Inc. COM 008916108 12564 1185300 SH DEFINED 1185300 Albertson's, Inc. COM 013104104 17508 556000 SH DEFINED 556000 Alltel Corporation COM 020039103 11056 179100 SH DEFINED 179100 American Power Conversion Corp COM 029066107 1493 103230 SH SOLE 103230 4144 286600 SH DEFINED 286600 American Tower Corp. COM 029912201 1056 111500 SH SOLE 111500 2623 277000 SH DEFINED 277000 Anglogold Limited COM 035128206 11414 632000 SH DEFINED 632000 Applebee's International, Inc. COM 037899101 2023 59150 SH SOLE 59150 5561 162600 SH DEFINED 162600 Atlantic Coast Airlines Holdin COM 048396105 2131 91500 SH SOLE 91500 4705 202000 SH DEFINED 202000 Autodesk, Inc. COM 052769106 1659 44500 SH SOLE 44500 4007 107500 SH DEFINED 107500 Becton, Dickinson and Co. COM 075887109 22542 680000 SH DEFINED 680000 Bed, Bath & Beyond, Inc. COM 075896100 2436 71862 SH SOLE 71862 5400 159300 SH DEFINED 159300 Borders Group COM 099709107 10894 549100 SH DEFINED 549100 Burlington Coat Factory Wareho COM 121579106 11367 676600 SH DEFINED 676600 CIBER, Inc. COM 17163B102 4784 506200 SH DEFINED 506200 Carnival Corporation COM 143658102 6093 217000 SH DEFINED 217000 Casey's General Stores, Inc. COM 147528103 1944 130500 SH SOLE 130500 4246 285000 SH DEFINED 285000 CenturyTel, Inc. COM 156700106 2055 62650 SH SOLE 62650 26361 803700 SH DEFINED 803700 Citizens Communications Compan COM 17453B101 17913 1680400 SH DEFINED 1680400 Claire's Stores, Inc. COM 179584107 714 47300 SH SOLE 47300 1495 99000 SH DEFINED 99000 Cognos Incorporated COM 19244C109 7602 304100 SH DEFINED 304100 Coherent, Inc. COM 192479103 7560 244500 SH DEFINED 244500 Compuware Corporation COM 205638109 13783 1169000 SH DEFINED 1169000 Concord Camera Corp. COM 206156101 8110 1024000 SH DEFINED 1024000 Concurrent Computer Corp. COM 206710204 15996 1077200 SH DEFINED 1077200 Cost Plus, Inc. COM 221485105 2119 79974 SH SOLE 79974 4717 178000 SH DEFINED 178000 Cross Country, Inc. COM 22748P105 937 35350 SH SOLE 35350 2931 110600 SH DEFINED 110600 Davita, Inc. COM 89151A107 2645 108200 SH SOLE 108200 29110 1190600 SH DEFINED 1190600 Dial Corporation COM 25247D101 16874 983900 SH DEFINED 983900 EchoStar Communications Corpor COM 278762109 14037 511000 SH DEFINED 511000 Ethan Allen Interiors, Inc. COM 297602104 1844 44345 SH SOLE 44345 4741 114000 SH DEFINED 114000 Expeditors International of Wa COM 302130109 2184 38348 SH SOLE 38348 4271 75000 SH DEFINED 75000 FMC Technologies COM 30249U101 5606 340800 SH DEFINED 340800 Fairfax Financial Holdings Lim COM 303901102 5321 51500 SH DEFINED 51500 FileNET Corporation COM 316869106 1000 49300 SH SOLE 49300 10585 521700 SH DEFINED 521700 Gadzooks, Inc. COM 362553109 6043 439800 SH DEFINED 439800 Genesis Microchip Incorporated COM 371933102 1662 25130 SH SOLE 25130 3081 46600 SH DEFINED 46600 Gold Fields Limited COM 38059T106 3049 630000 SH DEFINED 630000 HEALTHSOUTH Corporation COM 421924101 21058 1420900 SH DEFINED 1420900 Haemonetics Corporation COM 405024100 11058 326000 SH DEFINED 326000 Harris Corporation COM 413875105 17131 561500 SH DEFINED 561500 Health Care REIT, Inc. COM 42217K106 4921 202100 SH DEFINED 202100 Health Management Associates COM 421933102 1952 106066 SH SOLE 106066 5086 276400 SH DEFINED 276400 Healthcare Realty Trust COM 421946104 22425 800900 SH DEFINED 800900 Hyperion Solutions Corporation COM 44914M104 3376 170000 SH DEFINED 170000 InFocus Corp. COM 45665B106 15172 689000 SH DEFINED 689000 International Flavors & Fragra COM 459506101 12003 404000 SH DEFINED 404000 Intimate Brands, Inc. COM 461156101 11094 746600 SH DEFINED 746600 JDA Software Group, Inc. COM 46612K108 1596 71400 SH SOLE 71400 4933 220700 SH DEFINED 220700 Jack in the Box COM 466367109 2075 75360 SH SOLE 75360 6425 233300 SH DEFINED 233300 KEMET Corporation COM 488360108 1968 110900 SH SOLE 110900 5174 291500 SH DEFINED 291500 Keane, Inc. COM 486665102 8113 450000 SH DEFINED 450000 Kohl's Corporation COM 500255104 3287 46665 SH SOLE 46665 6480 92000 SH DEFINED 92000 Lincare Holdings, Inc. COM 532791100 2256 78750 SH SOLE 78750 28624 999100 SH DEFINED 999100 McKesson Corporation COM 58155Q103 14923 399000 SH DEFINED 399000 Mercury General Corp. COM 589400100 2273 52050 SH SOLE 52050 5392 123500 SH DEFINED 123500 Molex Incorporated (Class A) COM 608554200 1604 59309 SH SOLE 59309 4204 155400 SH DEFINED 155400 Mylan Laboratories, Inc. COM 628530107 16237 433000 SH DEFINED 433000 Nautica Enterprises, Inc. COM 639089101 4437 346900 SH DEFINED 346900 Newfield Exploration Company COM 651290108 14374 404800 SH DEFINED 404800 Newmont Mining COM 651639106 11388 595900 SH DEFINED 595900 Office Depot, Inc. COM 676220106 13390 722200 SH DEFINED 722200 Omnicare, Inc. COM 681904108 23867 959300 SH DEFINED 959300 P.F. Chang's China Bistro COM 69333Y108 2306 48750 SH SOLE 48750 4825 102000 SH DEFINED 102000 PCTEL, Inc. COM 69325Q105 5280 543800 SH DEFINED 543800 Pacific Century Financial Corp COM 694058108 1894 73144 SH SOLE 73144 5124 197900 SH DEFINED 197900 Pall Corp COM 696429307 15497 644100 SH DEFINED 644100 Parexel International COM 699462107 7149 498200 SH DEFINED 498200 Park Place Entertainment Corpo COM 700690100 18651 2033900 SH DEFINED 2033900 Paychex, Inc. COM 704326107 1749 50178 SH SOLE 50178 4747 136200 SH DEFINED 136200 Pinnacle Systems, Inc. COM 723481107 9869 1243000 SH DEFINED 1243000 Plantronics, Inc COM 727493108 1713 66800 SH SOLE 66800 4133 161200 SH DEFINED 161200 Power Integrations, Inc. COM 739276103 10575 463000 SH DEFINED 463000 Progress Software COM 743312100 3836 222000 SH DEFINED 222000 Province Healthcare Company COM 743977100 2527 81900 SH SOLE 81900 6632 214900 SH DEFINED 214900 REMEC, Inc. COM 759543101 8854 886300 SH DEFINED 886300 RadioShack Corporation COM 750438103 1630 54150 SH SOLE 54150 5249 174400 SH DEFINED 174400 Raytheon Company COM 755111408 19859 611600 SH DEFINED 611600 Red Hat, Inc. COM 756577102 3088 435000 SH DEFINED 435000 Regis Corporation COM 758932107 2437 94530 SH SOLE 94530 6120 237400 SH DEFINED 237400 Renal Care Group, Inc. COM 759930100 2348 73150 SH SOLE 73150 6426 200200 SH DEFINED 200200 Republic Services, Inc. COM 760759100 2556 127975 SH SOLE 127975 6622 331600 SH DEFINED 331600 SAFECO Corp. COM 786429100 12803 411000 SH DEFINED 411000 SBC Communications Inc. COM 78387G103 22123 564800 SH DEFINED 564800 Sensient Technologies Corp. COM 81725T100 10120 486300 SH DEFINED 486300 Service Master Company COM 81760N109 13901 1007300 SH DEFINED 1007300 Silicon Valley Bancshares COM 827064106 818 30600 SH SOLE 30600 1983 74200 SH DEFINED 74200 Six Flags, Inc. COM 83001P109 23737 1543400 SH DEFINED 1543400 Sonic Corporation COM 835451105 2419 67200 SH SOLE 67200 5515 153200 SH DEFINED 153200 Sprint FON Group COM 852061100 22819 1136400 SH DEFINED 1136400 Storage Technology Corp. COM 862111200 19980 966600 SH DEFINED 966600 Symbol Technologies, Inc. COM 871508107 12099 761900 SH DEFINED 761900 Synopsys, Inc. COM 871607107 2400 40630 SH SOLE 40630 5511 93300 SH DEFINED 93300 TRICON Global Restaurants COM 895953107 11808 240000 SH DEFINED 240000 Tektronix, Inc. COM 879131100 2004 77750 SH SOLE 77750 5184 201100 SH DEFINED 201100 Thermo Electron Corporation COM 883556102 11169 468100 SH DEFINED 468100 Tom Brown, Inc. New COM 115660201 11803 437000 SH DEFINED 437000 Tommy Hilfiger, Inc. COM G8915Z102 15482 1126000 SH DEFINED 1126000 Toys "R" Us, Inc. COM 892335100 16644 802500 SH DEFINED 802500 Transocean Sedco Forex, Inc. COM G90078109 12108 358000 SH DEFINED 358000 Tweeter Home Entertainment Gro COM 901167106 1531 52800 SH SOLE 52800 5336 184000 SH DEFINED 184000 USA Education, Inc. COM 78442A109 5680 67600 SH DEFINED 67600 UTi Worldwide, Inc. COM G87210103 3180 162500 SH DEFINED 162500 Ultimate Electronics, Inc. COM 903849107 324 10800 SH SOLE 10800 Ultratech Stepper, Inc. COM 904034105 6608 400000 SH DEFINED 400000 United Stationers COM 913004107 2169 64450 SH SOLE 64450 5047 150000 SH DEFINED 150000 VF Corporation COM 918204108 21693 556100 SH DEFINED 556100 Valassis Communications Inc. COM 918866104 22918 643400 SH DEFINED 643400 Viasys Healthcare,Inc. COM 92553Q209 1190 58892 SH DEFINED 58892 Waste Management, Inc. COM 94106L109 45239 1417700 SH DEFINED 1417700 Zale Corporation COM 988858106 15768 376500 SH DEFINED 376500 Zebra Technologies Corporation COM 989207105 1793 32300 SH SOLE 32300 5001 90100 SH DEFINED 90100
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