-----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, Tyxy+J+UM33ILkykgE6RysnpjRNfiribvLejKnAl4DPweAk35TWtdVaeyw38dY84 LwiW7xDwvwaYJOwWC8vnSw== 0001298983-09-000156.txt : 20091116 0001298983-09-000156.hdr.sgml : 20091116 20091113181846 ACCESSION NUMBER: 0001298983-09-000156 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091116 DATE AS OF CHANGE: 20091113 EFFECTIVENESS DATE: 20091116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Weiss Asset Management LLC CENTRAL INDEX KEY: 0001298983 IRS NUMBER: 331025012 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12910 FILM NUMBER: 091183073 BUSINESS ADDRESS: STREET 1: 29 COMMONWEALTH AVENUE, 10TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617-778-7780 MAIL ADDRESS: STREET 1: 29 COMMONWEALTH AVENUE, 10TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 FORMER COMPANY: FORMER CONFORMED NAME: Weiss Asset Management, LLC DATE OF NAME CHANGE: 20040728 13F-HR 1 wam13fhrq32009.txt FILING 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:Weiss Asset Management LLC Address: 29 Commonwealth Avenue, 10th Floor, Boston, MA 02116 Form 13F File Number: 028-12910 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: Georgiy Nikitin Title: Chief Compliance Officer Phone: (617) 778-7780 Signature, Place, and Date of Signing: /s/ Georgiy Nikitin Boston, MA November 13, 2009 - ----------------------------- --------------------- ------------------------- [Signature] [City, State] [Date] Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: None FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers:1 Form 13F Information Table Entry Total:62 Form 13F Information Table Value Total:$ 95,705 (thousands) List of Other Included Managers: No.:Form 13F File Number: Name: 1 28-12279Andrew Weiss
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 AMOUNT AND TYPE OF VOTING AUTHORITY SECURITY VALUE SHR OR INVESTMENT OTHER NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT SH/PRN PUT/CALL DISCRETION MANAGERS SOLE SHARED NONE AFLAC INC COM 001055102 172 4,032 SH SHARED-DEFINED 4,032 0 AU OPTRONICS CORP SPONSORED ADR 002255107 3,867 399,490 SH SHARED-DEFINED 399,490 0 ADVANCED SEMICONDUCTOR SPONSORED ADR 00756M404 1,684 407,810 SH SHARED-DEFINED 407,810 0 ENGR ALLSTATE CORP COM 020002101 143 4,659 SH SHARED-DEFINED 4,659 0 AMERICAN EXPRESS CO COM 025816109 312 9,210 SH SHARED-DEFINED 9,210 0 AMERICAN INTL GROUP INC COM NEW ADDED 026874784 1,933 43,811 SH SHARED-DEFINED 43,811 0 BB&T CORP COM 054937107 134 4,914 SH SHARED-DEFINED 4,914 0 BANCO BRADESCO S A SP ADR PFD NEW 059460303 646 32,500 SH SHARED-DEFINED 32,500 0 BANK OF AMERICA COM 060505104 980 57,928 SH SHARED-DEFINED 57,928 0 CORPORATION BANK OF NEW YORK MELLON COM 064058100 289 9,965 SH SHARED-DEFINED 9,965 0 CORP CME GROUP INC COM 12572Q105 166 539 SH SHARED-DEFINED 539 0 CENTER BANCORP INC COM 151408101 2,302 305,669 SH SHARED-DEFINED 305,669 0 CHUBB CORP COM 171232101 154 3,061 SH SHARED-DEFINED 3,061 0 CHUNGHWA TELECOM CO LTD SPONS ADR NEW 0 17133Q403 2,872 159,185 SH SHARED-DEFINED 159,185 0 CITIGROUP INC COM 172967101 97 19,985 SH SHARED-DEFINED 19,985 0 DWS RREEF REAL ESTATE COM 23338X102 224 254,807 SH SHARED-DEFINED 254,807 0 FD II ELRON ELECTR INDS LTD ORD 290160100 229 43,748 SH SHARED-DEFINED 43,748 0 GOLDEN POND HEALTHCARE *W EXP 11/06/201 38116J117 8 56,605 SH SHARED-DEFINED 56,605 0 INC GOLDMAN SACHS GROUP INC COM 38141G104 702 3,808 SH SHARED-DEFINED 3,808 0 ICICI BK LTD ADR 45104G104 6,742 174,850 SH SHARED-DEFINED 174,850 0 INDIA FD INC COM 454089103 167 5,759 SH SHARED-DEFINED 5,759 0 INFOSYS TECHNOLOGIES SPONSORED ADR 456788108 13,717 282,880 SH SHARED-DEFINED 282,880 0 LTD ISHARES INC MSCI SINGAPORE 464286673 2,423 225,411 SH SHARED-DEFINED 225,411 0 ISHARES INC MSCI TAIWAN 464286731 9,633 783,164 SH SHARED-DEFINED 783,164 0 ISHARES INC MSCI GERMAN 464286806 180 8,098 SH SHARED-DEFINED 8,098 0 ISHARES INC MSCI MALAYSIA 464286830 2,818 277,901 SH SHARED-DEFINED 277,901 0 ISHARES INC MSCI HONG KONG 464286871 15,650 1,008,369 SH SHARED-DEFINED 1,008,369 0 ISHARES TR INDEX FTSE XNHUA 464287184 11,180 273,094 SH SHARED-DEFINED 273,094 0 IDX ITAU UNIBANCO HLDG SA SPON ADR REP PF 465562106 753 37,375 SH SHARED-DEFINED 37,375 0 JPMORGAN CHASE & CO COM 46625H100 1,439 32,849 SH SHARED-DEFINED 32,849 0 LEADIS TECHNOLOGY INC COM 52171N103 2,741 2,740,818 SH SHARED-DEFINED 2,740,818 0 MASTERCARD INC CL A 57636Q104 133 658 SH SHARED-DEFINED 658 0 METLIFE INC COM 59156R108 172 4,527 SH SHARED-DEFINED 4,527 0 MORGAN STANLEY COM NEW 617446448 269 8,711 SH SHARED-DEFINED 8,711 0 NYSE EURONEXT COM 629491101 180 6,232 SH SHARED-DEFINED 6,232 0 NEUROBIOLOGICAL TECH COM NEW 64124W304 279 310,211 SH SHARED-DEFINED 310,211 0 INC NEUBERGER BERMAN DIV COM 64127J102 316 32,430 SH SHARED-DEFINED 32,430 0 ADVANT NUVEEN REAL ESTATE COM 67071B108 89 11,375 SH SHARED-DEFINED 11,375 0 INCOME FD NUVEEN INSD FLA PREM COM 67101V108 170 12,495 SH SHARED-DEFINED 12,495 0 INCOME PNC FINL SVCS GROUP INC COM 693475105 187 3,857 SH SHARED-DEFINED 3,857 0 PETROLEO BRASILEIRO SA SP ADR NON VTG 71654V101 639 16,250 SH SHARED-DEFINED 16,250 0 PETRO PETROLEO BRASILEIRO SA SPONSORED ADR 71654V408 746 16,250 SH SHARED-DEFINED 16,250 0 PETRO POWERSHARES INDIA ETF INDIA PORT 73935L100 551 26,036 SH SHARED-DEFINED 26,036 0 TR PRUDENTIAL FINL INC COM 744320102 190 3,815 SH SHARED-DEFINED 3,815 0 SANTA MONICA MEDIA CORP COM 802501106 - 182,845 SH SHARED-DEFINED 182,845 0 SANTA MONICA MEDIA CORP *W EXP 03/27/201 802501114 - 50,050 SH SHARED-DEFINED 50,050 0 SANTA MONICA MEDIA CORP UNIT 99/99/9999 802501205 - 33,540 SH SHARED-DEFINED 33,540 0 SCHWAB CHARLES CORP NEW COM 808513105 159 8,315 SH SHARED-DEFINED 8,315 0 SILICONWARE PRECISION SPONSD ADR SPL 827084864 2,498 347,975 SH SHARED-DEFINED 347,975 0 INDS L SIMON PPTY GROUP INC COM 828806109 134 1,936 SH SHARED-DEFINED 1,936 0 NEW STATE STR CORP COM 857477103 200 3,810 SH SHARED-DEFINED 3,810 0 STONELEIGH PARTNERS *W EXP 05/31/201 861923126 - 59,030 SH SHARED-DEFINED 59,030 0 ACQUS CO DELETED TAIWAN GREATER CHINA FD SH BEN INT 874037104 793 134,216 SH SHARED-DEFINED 134,216 0 TEMPLETON RUS AND EAST COM 88022F105 191 10,053 SH SHARED-DEFINED 10,053 0 EUR F TRAVELERS COMPANIES INC COM 89417E109 255 5,181 SH SHARED-DEFINED 5,181 0 US BANCORP DEL COM NEW 902973304 336 15,358 SH SHARED-DEFINED 15,358 0 VALE S A ADR 91912E105 752 32,500 SH SHARED-DEFINED 32,500 0 VALE S A ADR REPSTG PFD 91912E204 667 32,500 SH SHARED-DEFINED 32,500 0 VISA INC COM CL A 92826C839 272 3,940 SH SHARED-DEFINED 3,940 0 WELLS FARGO & CO NEW COM 949746101 1,018 36,132 SH SHARED-DEFINED 36,132 0 ACE LTD SHS H0023R105 149 2,778 SH SHARED-DEFINED 2,778 0
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