-----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, I3Gwe3yJGQdjVTgHGrqtq1FlbD8/z4Q/kNe8+UCR41uXieYeVzT9TWIrvknd9DVY tq9ZujIb0MRk4Ti3GjlAFQ== 0001083433-07-000004.txt : 20071106 0001083433-07-000004.hdr.sgml : 20071106 20071106114759 ACCESSION NUMBER: 0001083433-07-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070930 FILED AS OF DATE: 20071106 DATE AS OF CHANGE: 20071106 EFFECTIVENESS DATE: 20071106 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: 071216599 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 aim13fq307.txt ASTER INVESTMENT MANAGEMENT CO 13F-HR Q3 2007 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2007 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 November 5, 2007 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: 168 Form 13F Information Table Value Total: 3697748 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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M Co. COM 88579Y101 1276 13640 SH DEFINED 13640 ABM Industries Inc. COM 000957100 8400 420400 SH DEFINED 420400 ACI Worldwide, Inc. COM 004498101 900 40290 SH SOLE 40290 10175 455240 SH DEFINED 455240 AT&T Inc. COM 00206R102 1226 28980 SH DEFINED 28980 Abbott Laboratories COM 002824100 22091 412000 SH DEFINED 412000 Advent Software, Inc. 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