-----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, UF0yrwR9/gHF2HowGz/8zns/hN7JRSCoadT5wocjgWzRgBmZuAR+Z22iYOV64NYQ AJuTbR1QkhZ9z+MJksKiKQ== 0001083433-06-000004.txt : 20061103 0001083433-06-000004.hdr.sgml : 20061103 20061103130207 ACCESSION NUMBER: 0001083433-06-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060930 FILED AS OF DATE: 20061103 DATE AS OF CHANGE: 20061103 EFFECTIVENESS DATE: 20061103 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: 061185719 BUSINESS ADDRESS: STREET 1: 60 E SIR FRANCIS DRAKE BLVD. STREET 2: SUITE 306 CITY: LARKSPUR STATE: CA ZIP: 94939 BUSINESS PHONE: 4154618770 MAIL ADDRESS: STREET 1: 60 E SIR FRANCIS DRAKE BLVD. STREET 2: SUITE 306 CITY: LARKSPUR STATE: CA ZIP: 94939 13F-HR 1 aim13fq306.txt ASTER INVESTMENT MANAGEMENT INC. 13F- HR Q3 2006 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2006 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 October 31, 2006 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: 169 Form 13F Information Table Value Total: 3392746 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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ABM Industries Inc. COM 000957100 777 41400 SH DEFINED 41400 AMVESCAP PLC COM 03235E100 20318 926900 SH DEFINED 926900 Advent Software, Inc. COM 007974108 1943 53650 SH SOLE 53650 38616 1066438 SH DEFINED 1066438 Affiliated Managers Group Inc COM 008252108 2056 20540 SH SOLE 20540 44724 446745 SH DEFINED 446745 AirTran Holdings Inc. 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