0001172661-14-001747.txt : 20141114 0001172661-14-001747.hdr.sgml : 20141114 20141114064041 ACCESSION NUMBER: 0001172661-14-001747 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140930 FILED AS OF DATE: 20141114 DATE AS OF CHANGE: 20141114 EFFECTIVENESS DATE: 20141114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Allen Investment Management LLC CENTRAL INDEX KEY: 0001326234 IRS NUMBER: 341975156 STATE OF INCORPORATION: NY FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11378 FILM NUMBER: 141220404 BUSINESS ADDRESS: STREET 1: 711 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2128328000 MAIL ADDRESS: STREET 1: 711 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001326234 XXXXXXXX 09-30-2014 09-30-2014 false Allen Investment Management LLC
711 Fifth Avenue New York NY 10022
13F HOLDINGS REPORT 028-11378 N
Howard M. Felson Vice President 212-832-8000 /s/ Howard M. Felson New York NY 11-14-2014 1 201 1206697 1 0001389544 028-12302 ALLEN OPERATIONS LLC
INFORMATION TABLE 2 infotable.xml 3M CO COM 88579Y101 453 3200 SH DFND 1 3200 0 0 ABBOTT LABS COM 002824100 335 8060 SH DFND 1 8060 0 0 ABBVIE INC COM 00287Y109 602 10426 SH DFND 1 10426 0 0 ABERDEEN ASIA PACIFIC INCOM COM 003009107 545 92451 SH DFND 1 92451 0 0 ACTAVIS PLC SHS G0083B108 13270 55000 SH DFND 1 55000 0 0 AIR PRODS & CHEMS INC COM 009158106 711 5459 SH DFND 1 5459 0 0 ALASKA AIR GROUP INC COM 011659109 320 7340 SH DFND 1 7340 0 0 ALLERGAN INC COM 018490102 49440 277461 SH DFND 1 277461 0 0 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 541 72072 SH DFND 1 72072 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 28636 530082 SH DFND 1 530082 0 0 ANADARKO PETE CORP COM 032511107 21302 210000 SH DFND 1 210000 0 0 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 24412 220229 SH DFND 1 220229 0 0 APPLE INC COM 037833100 1277 12679 SH DFND 1 12679 0 0 APPLIED MATLS INC COM 038222105 564 26115 SH DFND 1 26115 0 0 ASTRAZENECA PLC SPONSORED ADR 046353108 7501 105000 SH DFND 1 105000 0 0 AUTODESK INC COM 052769106 243 4414 SH DFND 1 4414 0 0 AVENUE INCOME CR STRATEGIES COM 05358E106 420 25028 SH DFND 1 25028 0 0 AVIS BUDGET GROUP COM 053774105 406 7399 SH DFND 1 7399 0 0 BAIDU INC SPON ADR REP A 056752108 262 1201 SH DFND 1 1201 0 0 BAKER HUGHES INC COM 057224107 212 3258 SH DFND 1 3258 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 1448 7 SH DFND 1 7 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 404 2927 SH DFND 1 2927 0 0 BLACKHAWK NETWORK HLDGS INC CL B 09238E203 262 8124 SH DFND 1 8124 0 0 BLACKROCK BUILD AMER BD TR SHS 09248X100 525 24981 SH DFND 1 24981 0 0 BLACKROCK INCOME TR INC COM 09247F100 135 21202 SH DFND 1 21202 0 0 BLACKROCK KELSO CAPITAL CORP COM 092533108 420 49167 SH DFND 1 49167 0 0 BLACKROCK MULTI-SECTOR INC T COM 09258A107 231 12995 SH DFND 1 12995 0 0 BLACKSTONE GSO FLTING RTE FU COM 09256U105 349 20307 SH DFND 1 20307 0 0 BLACKSTONE GSO STRATEGIC CR COM SHS BEN IN 09257R101 332 19812 SH DFND 1 19812 0 0 BOEING CO COM 097023105 12853 100902 SH DFND 1 100902 0 0 CELGENE CORP COM 151020104 463 4890 SH DFND 1 4890 0 0 CENTRAL GOLDTRUST TR UNIT 153546106 1734 41922 SH DFND 1 41922 0 0 CHARTER COMMUNICATIONS INC D CL A NEW 16117M305 3262 21552 SH DFND 1 21552 0 0 CHENIERE ENERGY INC COM NEW 16411R208 19607 245000 SH DFND 1 245000 0 0 CHENIERE ENERGY PTNRS LP HLD COM REP LLC IN 16411W108 20253 828000 SH DFND 1 828000 0 0 CHIMERA INVT CORP COM 16934Q109 557 183209 SH DFND 1 183209 0 0 CIGNA CORPORATION COM 125509109 215 2375 SH DFND 1 2375 0 0 CLEAR CHANNEL OUTDOOR HLDGS CL A 18451C109 1240 184000 SH DFND 1 184000 0 0 CLIFFS NAT RES INC COM 18683K101 345 33195 SH DFND 1 33195 0 0 COCA COLA CO COM 191216100 2639 61854 SH DFND 1 61854 0 0 COMCAST CORP NEW CL A 20030N101 209 3890 SH DFND 1 3890 0 0 COMCAST CORP NEW CL A SPL 20030N200 16161 302072 SH DFND 1 302072 0 0 CONAGRA FOODS INC COM 205887102 11331 342962 SH DFND 1 342962 0 0 CONCUR TECHNOLOGIES INC COM 206708109 44387 350000 SH DFND 1 350000 0 0 CONOCOPHILLIPS COM 20825C104 531 6936 SH DFND 1 6936 0 0 CONSTELLATION BRANDS INC CL A 21036P108 2453 28146 SH DFND 1 28146 0 0 COVIDIEN PLC SHS G2554F113 47581 550000 SH DFND 1 550000 0 0 CVS HEALTH CORP COM 126650100 10135 127346 SH DFND 1 127346 0 0 DANAHER CORP DEL COM 235851102 1060 13953 SH DFND 1 13953 0 0 DARDEN RESTAURANTS INC COM 237194105 633 12302 SH DFND 1 12302 0 0 DARLING INGREDIENTS INC COM 237266101 238 12976 SH DFND 1 12976 0 0 DAVITA HEALTHCARE PARTNERS I COM 23918K108 28260 386376 SH DFND 1 386376 0 0 DIRECTV COM 25490A309 41097 475000 SH DFND 1 475000 0 0 DISCOVERY COMMUNICATNS NEW COM SER C 25470F302 21407 574217 SH DFND 1 574217 0 0 DISH NETWORK CORP CL A 25470M109 20343 315000 SH DFND 1 315000 0 0 DONALDSON INC COM 257651109 650 16000 SH DFND 1 16000 0 0 DOVER CORP COM 260003108 24978 310944 SH DFND 1 310944 0 0 DRESSER-RAND GROUP INC COM 261608103 17275 210000 SH DFND 1 210000 0 0 EATON VANCE LTD DUR INCOME F COM 27828H105 394 27009 SH DFND 1 27009 0 0 EBAY INC COM 278642103 1463 25835 SH DFND 1 25835 0 0 ELLINGTON FINANCIAL LLC COM 288522303 471 21205 SH DFND 1 21205 0 0 EMERSON ELEC CO COM 291011104 2014 32190 SH DFND 1 32190 0 0 ENDO INTL PLC SHS G30401106 241 3532 SH DFND 1 3532 0 0 EXPEDIA INC DEL COM NEW 30212P303 3082 35171 SH DFND 1 35171 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 33073 468256 SH DFND 1 468256 0 0 EXXON MOBIL CORP COM 30231G102 658 6991 SH DFND 1 6991 0 0 FACEBOOK INC CL A 30303M102 2696 34109 SH DFND 1 34109 0 0 FAMILY DLR STORES INC COM 307000109 689 8914 SH DFND 1 8914 0 0 FEDEX CORP COM 31428X106 292 1811 SH DFND 1 1811 0 0 FIDELITY NATIONAL FINANCIAL FNF GROUP COM 31620R303 17476 630000 SH DFND 1 630000 0 0 FIDELITY NATIONAL FINANCIAL FNFV GROUP COM 31620R402 1115 81000 SH DFND 1 81000 0 0 FIFTH STREET FINANCE CORP COM 31678A103 1266 137914 SH DFND 1 137914 0 0 FISERV INC COM 337738108 17237 266688 SH DFND 1 266688 0 0 FOMENTO ECONOMICO MEXICANO S SPON ADR UNITS 344419106 414 4500 SH DFND 1 4500 0 0 FOSTER WHEELER AG COM H27178104 210 6632 SH DFND 1 6632 0 0 FREEPORT-MCMORAN INC CL B 35671D857 294 9015 SH DFND 1 9015 0 0 GENERAL DYNAMICS CORP COM 369550108 15033 118287 SH DFND 1 118287 0 0 GENERAL ELECTRIC CO COM 369604103 489 19075 SH DFND 1 19075 0 0 GENERAL MLS INC COM 370334104 7913 156848 SH DFND 1 156848 0 0 GLADSTONE CAPITAL CORP COM 376535100 201 22918 SH DFND 1 22918 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 9894 215234 SH DFND 1 215234 0 0 GLOBAL EAGLE ENTMT INC COM 37951D102 2780 247784 SH DFND 1 247784 0 0 GOOGLE INC CL A 38259P508 368 626 SH DFND 1 626 0 0 GOOGLE INC CL C 38259P706 361 626 SH DFND 1 626 0 0 GREENLIGHT CAPITAL RE LTD CLASS A G4095J109 293 9037 SH DFND 1 9037 0 0 HCA HOLDINGS INC COM 40412C101 258 3657 SH DFND 1 3657 0 0 HOME DEPOT INC COM 437076102 4738 51651 SH DFND 1 51651 0 0 HOME LN SERVICING SOLUTIONS ORD SHS G6648D109 541 25513 SH DFND 1 25513 0 0 HUMANA INC COM 444859102 208 1598 SH DFND 1 1598 0 0 HYSTER YALE MATLS HANDLING I CL A 449172105 1039 14514 SH DFND 1 14514 0 0 ILLUMINA INC COM 452327109 229 1396 SH DFND 1 1396 0 0 INTEL CORP COM 458140100 600 17225 SH DFND 1 17225 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 409 2156 SH DFND 1 2156 0 0 ISHARES SHT NTLAMTFR ETF 464288158 4959 46700 SH DFND 1 46700 0 0 ISHARES MSCI ACWI ETF 464288257 8605 146098 SH DFND 1 146098 0 0 ISHARES NAT AMT FREE BD 464288414 3617 32980 SH DFND 1 32980 0 0 ISHARES TR MSCI EAFE ETF 464287465 819 12770 SH DFND 1 12770 0 0 ISHARES TR RUS MDCP VAL ETF 464287473 276 3947 SH DFND 1 3947 0 0 ISHARES TR RUS MD CP GR ETF 464287481 265 3001 SH DFND 1 3001 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 322 3218 SH DFND 1 3218 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 268 2923 SH DFND 1 2923 0 0 ISHARES TR RUS 2000 VAL ETF 464287630 252 2689 SH DFND 1 2689 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 231 1781 SH DFND 1 1781 0 0 JOHNSON & JOHNSON COM 478160104 6031 56583 SH DFND 1 56583 0 0 JPMORGAN CHASE & CO COM 46625H100 397 6595 SH DFND 1 6595 0 0 JUNIPER NETWORKS INC COM 48203R104 548 24752 SH DFND 1 24752 0 0 KINDER MORGAN MANAGEMENT LLC SHS 49455U100 1116 11858 SH DFND 1 11858 0 0 KIRBY CORP COM 497266106 3320 28169 SH DFND 1 28169 0 0 KNOWLES CORP COM 49926D109 583 22013 SH DFND 1 22013 0 0 LEGG MASON INC COM 524901105 492 9621 SH DFND 1 9621 0 0 LENNAR CORP CL A 526057104 683 17577 SH DFND 1 17577 0 0 LOCKHEED MARTIN CORP COM 539830109 11776 64427 SH DFND 1 64427 0 0 LOWES COS INC COM 548661107 14522 274411 SH DFND 1 274411 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 308 2836 SH DFND 1 2836 0 0 MACYS INC COM 55616P104 288 4956 SH DFND 1 4956 0 0 MCDONALDS CORP COM 580135101 653 6886 SH DFND 1 6886 0 0 MCG CAPITAL CORP COM 58047P107 762 216361 SH DFND 1 216361 0 0 MCGRAW HILL FINL INC COM 580645109 14789 175117 SH DFND 1 175117 0 0 MCKESSON CORP COM 58155Q103 30364 155975 SH DFND 1 155975 0 0 MEADWESTVACO CORP COM 583334107 519 12666 SH DFND 1 12666 0 0 MEDALLION FINL CORP COM 583928106 128 10943 SH DFND 1 10943 0 0 MEDLEY CAP CORP COM 58503F106 1003 84943 SH DFND 1 84943 0 0 MICROSOFT CORP COM 594918104 1431 30857 SH DFND 1 30857 0 0 MOLSON COORS BREWING CO CL B 60871R209 18210 244626 SH DFND 1 244626 0 0 MONDELEZ INTL INC CL A 609207105 1652 48208 SH DFND 1 48208 0 0 MONSANTO CO NEW COM 61166W101 22146 196835 SH DFND 1 196835 0 0 MOODYS CORP COM 615369105 12150 128573 SH DFND 1 128573 0 0 MURPHY USA INC COM 626755102 232 4369 SH DFND 1 4369 0 0 NABORS INDUSTRIES LTD SHS G6359F103 469 20614 SH DFND 1 20614 0 0 NACCO INDS INC CL A 629579103 324 6506 SH DFND 1 6506 0 0 NEW MEDIA INVT GROUP INC COM 64704V106 202 12133 SH DFND 1 12133 0 0 NEW MTN FIN CORP COM 647551100 1006 68514 SH DFND 1 68514 0 0 NEXTERA ENERGY INC COM 65339F101 44593 475000 SH DFND 1 475000 0 0 NORTEK INC COM NEW 656559309 236 3162 SH DFND 1 3162 0 0 NUVEEN DIVER CURRENCY OPPOR COM 67090N109 191 17946 SH DFND 1 17946 0 0 NUVEEN PFD INCOME OPPRTNY FD COM 67073B106 265 28819 SH DFND 1 28819 0 0 NUVEEN QUALITY PFD INCOME FD COM 67072C105 230 26412 SH DFND 1 26412 0 0 ORACLE CORP COM 68389X105 21428 559770 SH DFND 1 559770 0 0 OWENS ILL INC COM NEW 690768403 421 16165 SH DFND 1 16165 0 0 PALO ALTO NETWORKS INC COM 697435105 2867 29222 SH DFND 1 29222 0 0 PANDORA MEDIA INC COM 698354107 549 22727 SH DFND 1 22727 0 0 PENNANTPARK FLOATING RATE CA COM 70806A106 1141 82771 SH DFND 1 82771 0 0 PENNEY J C INC COM 708160106 827 82371 SH DFND 1 82371 0 0 PENNYMAC MTG INVT TR COM 70931T103 719 33568 SH DFND 1 33568 0 0 PEPSICO INC COM 713448108 929 9982 SH DFND 1 9982 0 0 PHILLIPS 66 COM 718546104 270 3318 SH DFND 1 3318 0 0 PIMCO DYNAMIC CR INCOME FD COM SHS 72202D106 393 17503 SH DFND 1 17503 0 0 PIMCO ETF TR 1-5 US TIP IDX 72201R205 6883 131013 SH DFND 1 131013 0 0 PIMCO ETF TR BROAD US TIPS 72201R403 568 10023 SH DFND 1 10023 0 0 PIMCO ETF TR TOTL RETN ETF 72201R775 7049 64919 SH DFND 1 64919 0 0 PIMCO INCOME STRATEGY FUND I COM 72201J104 328 31189 SH DFND 1 31189 0 0 PIONEER NAT RES CO COM 723787107 296 1502 SH DFND 1 1502 0 0 PRESTIGE BRANDS HLDGS INC COM 74112D101 28755 888325 SH DFND 1 888325 0 0 PROCTER & GAMBLE CO COM 742718109 1253 14962 SH DFND 1 14962 0 0 PROSPECT CAPITAL CORPORATION COM 74348T102 2218 224054 SH DFND 1 224054 0 0 QEP RES INC COM 74733V100 571 18550 SH DFND 1 18550 0 0 QUALCOMM INC COM 747525103 30753 411304 SH DFND 1 411304 0 0 RADIO ONE INC CL D NON VTG 75040P405 2766 869800 SH DFND 1 869800 0 0 SAFEWAY INC COM NEW 786514208 621 18094 SH DFND 1 18094 0 0 SANDISK CORP COM 80004C101 2691 27473 SH DFND 1 27473 0 0 SCHLUMBERGER LTD COM 806857108 607 5968 SH DFND 1 5968 0 0 SCHWAB CHARLES CORP NEW COM 808513105 3063 104212 SH DFND 1 104212 0 0 SHIRE PLC SPONSORED ADR 82481R106 74606 288000 SH DFND 1 288000 0 0 SIGNET JEWELERS LIMITED SHS G81276100 324 2842 SH DFND 1 2842 0 0 SIZMEK INC COM 83013P105 109 14046 SH DFND 1 14046 0 0 SMITH & NEPHEW PLC SPDN ADR NEW 83175M205 17680 210000 SH DFND 1 210000 0 0 SOLAR CAP LTD COM 83413U100 840 44959 SH DFND 1 44959 0 0 SOLAR SR CAP LTD COM 83416M105 1587 103148 SH DFND 1 103148 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 518 4459 SH DFND 1 4459 0 0 SPDR SERIES TRUST NUVN BR SHT MUNI 78464A425 5488 224890 SH DFND 1 224890 0 0 SPDR SERIES TRUST DB INT GVT ETF 78464A490 2562 43625 SH DFND 1 43625 0 0 SPDR SERIES TRUST DJ REIT ETF 78464A607 1767 22138 SH DFND 1 22138 0 0 SUNCOKE ENERGY INC COM 86722A103 23573 1050000 SH DFND 1 1050000 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 2400 40410 SH DFND 1 40410 0 0 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 331 6163 SH DFND 1 6163 0 0 THE ADT CORPORATION COM 00101J106 379 10700 SH DFND 1 10700 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 2606 21415 SH DFND 1 21415 0 0 THL CR INC COM 872438106 437 33856 SH DFND 1 33856 0 0 TICC CAPITAL CORP COM 87244T109 490 55505 SH DFND 1 55505 0 0 T-MOBILE US INC COM 872590104 12125 420000 SH DFND 1 420000 0 0 TRW AUTOMOTIVE HLDGS CORP COM 87264S106 346 3422 SH DFND 1 3422 0 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 225 6560 SH DFND 1 6560 0 0 TWO HBRS INVT CORP COM 90187B101 610 63114 SH DFND 1 63114 0 0 TYCO INTERNATIONAL LTD SHS H89128104 28079 630000 SH DFND 1 630000 0 0 UNITED PARCEL SERVICE INC CL B 911312106 1701 17304 SH DFND 1 17304 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 5763 43924 SH DFND 1 43924 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 322 1785 SH DFND 1 1785 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 2382 29820 SH DFND 1 29820 0 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 3854 58028 SH DFND 1 58028 0 0 VIACOM INC NEW CL B 92553P201 24412 317281 SH DFND 1 317281 0 0 VIPSHOP HLDGS LTD SPONSORED ADR 92763W103 371 1963 SH DFND 1 1963 0 0 VISTAPRINT N V SHS N93540107 212 3867 SH DFND 1 3867 0 0 WALGREEN CO COM 931422109 5105 86127 SH DFND 1 86127 0 0 WATERS CORP COM 941848103 261 2630 SH DFND 1 2630 0 0 WELLS FARGO & CO NEW COM 949746101 456 8785 SH DFND 1 8785 0 0 WESTERN ASSET EMRG MKT DEBT COM 95766A101 191 11151 SH DFND 1 11151 0 0 WHITEHORSE FIN INC COM 96524V106 251 18952 SH DFND 1 18952 0 0 WHITEWAVE FOODS CO COM 966244105 15259 420000 SH DFND 1 420000 0 0 WILLIAMS COS INC DEL COM 969457100 890 16072 SH DFND 1 16072 0 0 WORKDAY INC CL A 98138H101 2690 3261001 SH DFND 1 3261001 0 0 WPX ENERGY INC COM 98212B103 402 16714 SH DFND 1 16714 0 0