0001127990-11-000008.txt : 20111114
0001127990-11-000008.hdr.sgml : 20111111
20111114144332
ACCESSION NUMBER: 0001127990-11-000008
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110930
FILED AS OF DATE: 20111114
DATE AS OF CHANGE: 20111114
EFFECTIVENESS DATE: 20111114
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: PAX WORLD MANAGEMENT LLC
CENTRAL INDEX KEY: 0001127990
IRS NUMBER: 271374824
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-05955
FILM NUMBER: 111201212
BUSINESS ADDRESS:
STREET 1: 30 PENHALLOW STREET
STREET 2: SUITE 400
CITY: PORTMOUTH
STATE: NH
ZIP: 03801
BUSINESS PHONE: 8007671729
MAIL ADDRESS:
STREET 1: 30 PENHALLOW STREET
STREET 2: SUITE 400
CITY: PORTMOUTH
STATE: NH
ZIP: 03801
FORMER COMPANY:
FORMER CONFORMED NAME: PAX WORLD MANAGEMENT CORP
DATE OF NAME CHANGE: 20001108
13F-HR
1
form13f.txt
PAX 13F SEPT 2011
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, 2011
Institutional Investment Manger Filing this Report:
Name: Pax World Management LLC
Address: 30 Penhallow Street, Suite 400
Portsmouth, NH 03801
Form 13F File Number: 028-05955
This 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: Alicia DuBois
Title: Chief Financial Officer
Phone: 603-431-8022
Signature, Place and Date of Signing:
/s/ Alicia DuBois Portsmouth, NH 11/14/11
----------------- -------------- --------
(Signature) (City, State) (Date)
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: 194
Form 13F Information Table Value Total: 1302475
(in thousands)
List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all
institutional investment 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
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
3M Co. COM 88579Y101 5439 75769 SH SOLE 75769
ACE, Ltd. SHS H0023R105 1566 25841 SH SOLE 25841
ASML Holding NV NY REG SHS N07059186 1248 36123 SH SOLE 36123
AboveNet, Inc. COM 00374N107 359 6700 SH SOLE 6700
Agilent Technologies, Inc. COM 00846U101 1166 37305 SH SOLE 37305
Air Products & Chemicals, Inc. COM 009158106 4199 54988 SH SOLE 54988
Alexion Pharmaceuticals, Inc. COM 015351109 1013 15818 SH SOLE 15818
Align Technology, Inc. COM 016255101 228 15000 SH SOLE 15000
Allergan, Inc. COM 018490102 475 5767 SH SOLE 5767
Altera Corp. COM 021441100 5678 180077 SH SOLE 180077
Amazon.com, Inc. COM 023135106 1282 5930 SH SOLE 5930
America Movil SAB de CV, Serie SPON ADR L SHS 02364W105 26979 1221880 SH SOLE 1221880
American Express Co. COM 025816109 12126 270060 SH SOLE 270060
American Tower Corp., Class A CL A 029912201 44227 822072 SH SOLE 822072
American Water Works Co., Inc. COM 030420103 2478 82102 SH SOLE 82102
Amgen, Inc. COM 031162100 16623 302504 SH SOLE 302504
Aruba Networks, Inc. COM 043176106 1152 55084 SH SOLE 55084
Autodesk, Inc. COM 052769106 2562 92236 SH SOLE 92236
Autoliv, Inc. COM 052800109 784 16167 SH SOLE 16167
BBVA, ADR SPONSORED ADR 05946K101 523 64300 SH SOLE 64300
BMC Software, Inc. COM 055921100 10666 276605 SH SOLE 276605
Baker Hughes, Inc. COM 057224107 29520 639514 SH SOLE 639514
Bank of New York Mellon Corp., COM 064058100 8423 453070 SH SOLE 453070
Becton Dickinson & Co. COM 075887109 38416 523952 SH SOLE 523952
Bio-Reference Labs, Inc. COM $.01 NEW 09057G602 184 10000 SH SOLE 10000
BlackRock, Inc. COM 09247X101 12257 82813 SH SOLE 82813
BorgWarner, Inc. COM 099724106 11486 189765 SH SOLE 189765
Bravo Brio Restaurant Group, I COM 10567B109 333 20000 SH SOLE 20000
Broadcom Corp., Class A CL A 111320107 583 17500 SH SOLE 17500
Brocade Communications Systems COM NEW 111621306 1029 238080 SH SOLE 238080
Brown Shoe Co., Inc. COM 115736100 616 86500 SH SOLE 86500
CB Richard Ellis Group, Inc. CL A 12497T101 896 66603 SH SOLE 66603
California Water Service Group COM 130788102 378 21352 SH SOLE 21352
Canadian Natural Resources, Lt COM 136385101 4099 140040 SH SOLE 140040
Canon, Inc., ADR ADR 138006309 369 8150 SH SOLE 8150
CardioNet, Inc. COM 14159L103 175 58400 SH SOLE 58400
Celgene Corp. COM 151020104 1095 17691 SH SOLE 17691
Centerpoint Energy, Inc. COM 15189T107 988 50353 SH SOLE 50353
Charles Schwab Corp., The COM 808513105 7257 643887 SH SOLE 643887
Chevron Corp. COM 166764100 324 3500 SH SOLE 3500
Cisco Systems, Inc. COM 17275R102 925 59699 SH SOLE 59699
Citrix Systems, Inc. COM 177376100 2071 37983 SH SOLE 37983
Coach, Inc. COM 189754104 1039 20053 SH SOLE 20053
Cognizant Technology Solutions CL A 192446102 10881 173544 SH SOLE 173544
ConocoPhillips COM 20825C104 13070 206409 SH SOLE 206409
Cooper Industries PLC SHS G24140108 1240 26889 SH SOLE 26889
Corn Products International, I COM 219023108 19976 509084 SH SOLE 509084
Credit Suisse Group AG, ADR SPONSORED ADR 225401108 472 18000 SH SOLE 18000
Cummins, Inc. COM 231021106 23193 284018 SH SOLE 284018
Darden Restaurants, Inc. COM 237194105 6948 162525 SH SOLE 162525
Deere & Co. COM 244199105 49047 759599 SH SOLE 759599
Devon Energy Corp. COM 25179M103 1681 30323 SH SOLE 30323
Digital Realty Trust, Inc., RE COM 253868103 9381 170067 SH SOLE 170067
EMC Corp. COM 268648102 55192 2629459 SH SOLE 2629459
EQT Corp. COM 26884L109 34455 645706 SH SOLE 645706
Ecolab, Inc. COM 278865100 2454 50204 SH SOLE 50204
Emerson Electric Co. COM 291011104 23027 557420 SH SOLE 557420
Ensco PLC , ADR SPONSORED ADR 29358Q109 28487 704609 SH SOLE 704609
Expedia, Inc. COM 30212P105 8110 314938 SH SOLE 314938
Expeditors International of Wa COM 302130109 18980 468053 SH SOLE 468053
Express Scripts, Inc. COM 302182100 989 26681 SH SOLE 26681
F.N.B. Corp. COM 302520101 123 14390 SH SOLE 14390
F5 Networks, Inc. COM 315616102 1777 25010 SH SOLE 25010
Fifth Third Bancorp COM 316773100 311 30804 SH SOLE 30804
GameStop Corp., Class A CL A 36467W109 3866 167373 SH SOLE 167373
Gen-Probe, Inc. COM 36866T103 1126 19666 SH SOLE 19666
General Mills, Inc. COM 370334104 3070 79795 SH SOLE 79795
Gilead Sciences, Inc. COM 375558103 25895 667396 SH SOLE 667396
Google, Inc., Class A CL A 38259P508 16405 31892 SH SOLE 31892
HSBC Holdings PLC, ADR SPON ADR NEW 404280406 787 20700 SH SOLE 20700
Hercules Technology Growth Cap COM 427096508 991 116362 SH SOLE 116362
Hess Corp. COM 42809H107 985 18767 SH SOLE 18767
Hologic, Inc. COM 436440101 380 25000 SH SOLE 25000
Horizon Technology Finance Cor COM 44045A102 153 10410 SH SOLE 10410
Hospitality Properties Trust, COM SH BEN INT 44106M102 4248 200087 SH SOLE 200087
IBM COM 459200101 22907 130876 SH SOLE 130876
IDEX Corp. COM 45167R104 550 17650 SH SOLE 17650
Infosys, Ltd., ADR SPONSORED ADR 456788108 255 5000 SH SOLE 5000
Ingersoll-Rand PLC SHS G47791101 7075 251854 SH SOLE 251854
InterDigital, Inc. COM 45867G101 2958 63500 SH SOLE 63500
InterDigital, Inc. CALL 45867G901 233 5000 SH SOLE 5000
Intersections, Inc. COM 460981301 129 10000 SH SOLE 10000
Intuit, Inc. COM 461202103 41745 879946 SH SOLE 879946
Itron, Inc. COM 465741106 477 16185 SH SOLE 16185
JPMorgan Chase & Co. COM 46625H100 15908 528143 SH SOLE 528143
Jamba, Inc. COM 47023A101 381 295600 SH SOLE 295600
JetBlue Airways Corp. COM 477143101 123 30000 SH SOLE 30000
Johnson Controls, Inc. COM 478366107 4472 169594 SH SOLE 169594
Juniper Networks, Inc. COM 48203R104 4430 256643 SH SOLE 256643
Keynote Systems, Inc. COM 493308100 211 10000 SH SOLE 10000
Kimberly-Clark Corp. COM 494368103 1708 24049 SH SOLE 24049
Landstar System, Inc. COM 515098101 938 23713 SH SOLE 23713
Ligand Pharmaceuticals, Inc., COM NEW 53220K504 192 14000 SH SOLE 14000
Lowe's Cos., Inc. COM 548661107 3683 190413 SH SOLE 190413
Lufkin Industries, Inc. COM 549764108 964 18122 SH SOLE 18122
Macy's, Inc. COM 55616P104 3722 141426 SH SOLE 141426
Marriott International, Inc., CL A 571903202 1081 39668 SH SOLE 39668
McCormick & Schmick's Seafood COM 579793100 132 19056 SH SOLE 19056
McDonald's Corp. COM 580135101 8865 100949 SH SOLE 100949
Mead Johnson Nutrition Co. COM 582839106 370 5379 SH SOLE 5379
Molycorp, Inc. COM 608753109 1808 55000 SH SOLE 55000
Mylan, Inc. COM 628530107 21272 1251293 SH SOLE 1251293
NIKE, Inc., Class B CL B 654106103 1904 22264 SH SOLE 22264
Natus Medical, Inc. COM 639050103 461 48460 SH SOLE 48460
NetApp, Inc. COM 64110D104 8679 255715 SH SOLE 255715
Netgear, Inc. COM 64111Q104 1417 54740 SH SOLE 54740
Noble Corp. NAMEN AKT H5833N103 2782 94780 SH SOLE 94780
Noble Energy, Inc. COM 655044105 9913 140014 SH SOLE 140014
Nordson Corp. COM 655663102 16253 408980 SH SOLE 408980
Nuance Communications, Inc. COM 67020Y100 1222 60006 SH SOLE 60006
Nucor Corp. COM 670346105 10622 335721 SH SOLE 335721
OGE Energy Corp. COM 670837103 722 15106 SH SOLE 15106
Och-Ziff Capital Mgmt. Group, CL A 67551U105 2452 268586 SH SOLE 268586
Oneok, Inc. COM 682680103 44082 667509 SH SOLE 667509
Oracle Corp. COM 68389x105 12388 431040 SH SOLE 431040
Pall Corp. COM 696429307 2329 54927 SH SOLE 54927
Pentair, Inc. COM 709631105 6054 189120 SH SOLE 189120
PepsiCo, Inc. COM 713448108 2643 42703 SH SOLE 42703
Pfizer, Inc. COM 717081103 7393 418161 SH SOLE 418161
Pharmaceutical Product Develop COM 717124101 436 17000 SH SOLE 17000
Philippine Long Distance Telep SPONSORED ADR 718252604 272 5500 SH SOLE 5500
Plum Creek Timber Co., Inc., R COM 729251108 8501 244914 SH SOLE 244914
Pool Corp. COM 73278L105 262 10000 SH SOLE 10000
Portugal Telecom SGPS SA, ADR SPONSORED ADR 737273102 314 43300 SH SOLE 43300
Potash Corp. of Saskatchewan, COM 73755L107 6779 156843 SH SOLE 156843
ProAssurance Corp. COM 74267C106 479 6648 SH SOLE 6648
Procter & Gamble Co., The COM 742718109 18090 286332 SH SOLE 286332
Qualcomm, Inc. COM 747525103 52904 1087889 SH SOLE 1087889
Quanta Services, Inc. COM 74762E102 1061 56455 SH SOLE 56455
Range Resources Corp. COM 75281A109 12726 217691 SH SOLE 217691
Red Hat, Inc. COM 756577102 1304 30856 SH SOLE 30856
Rio Tinto PLC, ADR SPONSORED ADR 767204100 17774 403232 SH SOLE 403232
Riverbed Technology, Inc. COM 768573107 8021 401847 SH SOLE 401847
Rogers Corp. COM 775133101 286 7300 SH SOLE 7300
Roper Industries, Inc. COM 776696106 2306 33461 SH SOLE 33461
Rosetta Resources, Inc. COM 777779307 8411 245783 SH SOLE 245783
Ruby Tuesday, Inc. COM 781182100 123 17230 SH SOLE 17230
Salesforce.com, Inc. COM 79466L302 682 5972 SH SOLE 5972
Sasol Ltd., ADR SPONSORED ADR 803866300 6243 153765 SH SOLE 153765
Sirius XM Radio, Inc. COM 82967N108 234 155000 SH SOLE 155000
Skullcandy, Inc. COM 83083J104 2017 142742 SH SOLE 142742
SolarWinds, Inc. COM 83416B109 887 40282 SH SOLE 40282
SonoSite, Inc. COM 83568G104 300 9896 SH SOLE 9896
Southwestern Energy Co. COM 845467109 1518 45551 SH SOLE 45551
St. Jude Medical, Inc. COM 790849103 5757 159065 SH SOLE 159065
Stanley Black & Decker, Inc. COM 854502101 1387 28258 SH SOLE 28258
State Street Corp. COM 857477103 10041 312233 SH SOLE 312233
Statoil ASA, ADR SPONSORED ADR 85771P102 23923 1110136 SH SOLE 1110136
Stericycle, Inc. COM 858912108 3854 47750 SH SOLE 47750
SuccessFactors, Inc. COM 864596101 811 35283 SH SOLE 35283
Suncor Energy, Inc. COM 867224107 12947 508916 SH SOLE 508916
Syngenta AG, ADR SPONSORED ADR 87160A100 19366 373361 SH SOLE 373361
TSMC, ADR SPONSORED ADR 874039100 5147 450264 SH SOLE 450264
Talisman Energy, Inc. COM 87425E103 1307 106539 SH SOLE 106539
Target Corp. COM 87612E106 7485 152623 SH SOLE 152623
Tenaris SA, ADR SPONSORED ADR 88031M109 340 13350 SH SOLE 13350
Teradata Corp. COM 88076W103 4017 75033 SH SOLE 75033
Terex Corp. COM 880779103 526 51220 SH SOLE 51220
Teva Pharmaceutical Industries COM 881624209 26508 712189 SH SOLE 712189
Texas Instruments, Inc. COM 882508104 1432 53715 SH SOLE 53715
TheStreet, Inc. COM 88368Q103 486 245678 SH SOLE 245678
Thermo Fisher Scientific, Inc. COM 883556102 6969 137619 SH SOLE 137619
Thoratec Corp. COM NEW 885175307 1038 31814 SH SOLE 31814
Time Warner, Inc. COM NEW 887317303 8395 280123 SH SOLE 280123
Timken Co. COM 887389104 12322 375454 SH SOLE 375454
Tootsie Roll Industries, Inc. COM 890516107 524 21709 SH SOLE 21709
Trimble Navigation, Ltd. COM 896239100 1190 35482 SH SOLE 35482
Trina Solar, Ltd., ADR SPON ADR 89628E104 239 39300 SH SOLE 39300
Unilever PLC, ADR SPON NEW ADR 904767704 671 21500 SH SOLE 21500
Union Pacific Corp. COM 907818108 1650 20198 SH SOLE 20198
United Financial Bancorp, Inc. COM 91030T109 543 39697 SH SOLE 39697
United Parcel Service, Inc., C CL B 911312106 1757 27819 SH SOLE 27819
United Therapeutics Corp. COM 91307C102 707 18859 SH SOLE 18859
VF Corp. COM 918204108 2092 17219 SH SOLE 17219
Vale SA, ADR ADR 91912E105 4220 185080 SH SOLE 185080
Vascular Solutions, Inc. COM 92231M109 655 57243 SH SOLE 57243
Veolia Environnement SA, ADR SPONSORED ADR 92334N103 317 21740 SH SOLE 21740
Vodafone Group PLC, ADR SPONS ADR NEW 92857W209 26708 1041264 SH SOLE 1041264
Volcano Corp. COM 928645100 1356 45777 SH SOLE 45777
Watsco, Inc. COM 942622200 3470 67900 SH SOLE 67900
Watts Water Technologies, Inc. CL A 942749102 661 24800 SH SOLE 24800
Westell Technologies, Inc., Cl CL A 957541105 536 248304 SH SOLE 248304
Westwood Holdings Group, Inc. COM 961765104 579 16761 SH SOLE 16761
Whole Foods Market, Inc. COM 966837106 1953 29908 SH SOLE 29908
Willis Group Holdings PLC SHS G96666105 13417 390370 SH SOLE 390370
ePlus, Inc. COM 294268107 214 8673 SH SOLE 8673
interCLICK, Inc. COM NEW 458483203 65 11789 SH SOLE 11789
Pax MSCI EAFE ESG Index ETF MSCI ESG IDX 70422P206 207 10230 SH SOLE 10230
Pax MSCI North America ESG Ind MSCI NOAM ESG 70422P107 1053 42135 SH SOLE 42135
ProShares UltraShort Euro ULTRASHRT EURO 74347W882 11339 588131 SH SOLE 588131
SPDR Gold Shares GOLD SHS 78463V107 4173 26400 SH SOLE 26400
iShares Barclays TIPS Bond Fun BARCLAY TIPS BD 464287176 5726 50100 SH SOLE 50100
Health Care REIT, Inc., 7.625% COM 42217K403 1087 42588 SH SOLE 42588
PNC Financial Services Group W* EXP 12/31/201 693475121 537 60100 SH SOLE 60100