0001172661-15-001953.txt : 20151116
0001172661-15-001953.hdr.sgml : 20151116
20151116060626
ACCESSION NUMBER: 0001172661-15-001953
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20150930
FILED AS OF DATE: 20151116
DATE AS OF CHANGE: 20151116
EFFECTIVENESS DATE: 20151116
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: 151231414
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
09-30-2015
09-30-2015
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
11-16-2015
1
200
1032161
1
0001389544
028-12302
ALLEN OPERATIONS LLC
INFORMATION TABLE
2
infotable.xml
3M CO
COM
88579Y101
2318
16351
SH
DFND
1
16351
0
0
ABBOTT LABS
COM
002824100
322
8000
SH
DFND
1
8000
0
0
ABBVIE INC
COM
00287Y109
465
8547
SH
DFND
1
8547
0
0
ABIOMED INC
COM
003654100
1751
18879
SH
DFND
1
18879
0
0
AIR PRODS & CHEMS INC
COM
009158106
337
2639
SH
DFND
1
2639
0
0
ALASKA AIR GROUP INC
COM
011659109
6556
82512
SH
DFND
1
82512
0
0
ALLERGAN PLC
SHS
G0177J108
4813
17707
SH
DFND
1
17707
0
0
AMERICAN EXPRESS CO
COM
025816109
3571
48166
SH
DFND
1
48166
0
0
AMERICAN INTL GROUP INC
COM NEW
026874784
3506
61704
SH
DFND
1
61704
0
0
ANADARKO PETE CORP
COM
032511107
2592
42919
SH
DFND
1
42919
0
0
ANHEUSER BUSCH INBEV SA/NV
SPONSORED ADR
03524A108
33088
311216
SH
DFND
1
311216
0
0
APACHE CORP
COM
037411105
2134
54497
SH
DFND
1
54497
0
0
APPLE INC
COM
037833100
2835
25706
SH
DFND
1
25706
0
0
APPLIED MATLS INC
COM
038222105
147
10025
SH
DFND
1
10025
0
0
ARES CAP CORP
COM
04010L103
8186
565313
SH
DFND
1
565313
0
0
ATHENAHEALTH INC
COM
04685W103
552
4137
SH
DFND
1
4137
0
0
AXIALL CORP
COM
05463D100
260
16559
SH
DFND
1
16559
0
0
BAKER HUGHES INC
COM
057224107
555
10656
SH
DFND
1
10656
0
0
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
1367
7
SH
DFND
1
7
0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
5022
38511
SH
DFND
1
38511
0
0
BLACKROCK FLOAT RATE OME STR
COM
09255X100
317
24498
SH
DFND
1
24498
0
0
BOEING CO
COM
097023105
24504
187123
SH
DFND
1
187123
0
0
CABOT OIL & GAS CORP
COM
127097103
2854
130556
SH
DFND
1
130556
0
0
CARMAX INC
COM
143130102
1248
21039
SH
DFND
1
21039
0
0
CARTER INC
COM
146229109
826
9111
SH
DFND
1
9111
0
0
CELANESE CORP DEL
COM SER A
150870103
545
9212
SH
DFND
1
9212
0
0
CELGENE CORP
COM
151020104
839
7756
SH
DFND
1
7756
0
0
CHARTER COMMUNICATIONS INC D
CL A NEW
16117M305
5831
33158
SH
DFND
1
33158
0
0
CHENIERE ENERGY INC
COM NEW
16411R208
585
12115
SH
DFND
1
12115
0
0
CINCINNATI FINL CORP
COM
172062101
215
4000
SH
DFND
1
4000
0
0
CITRIX SYS INC
COM
177376100
590
8515
SH
DFND
1
8515
0
0
CLAYMORE EXCHANGE TRD FD TR
GUGG SPINOFF ETF
18383M605
3523
92400
SH
DFND
1
92400
0
0
CLIFFS NAT RES INC
COM
18683K101
73
29891
SH
DFND
1
29891
0
0
CLOVIS ONCOLOGY INC
COM
189464100
802
8716
SH
DFND
1
8716
0
0
COCA COLA CO
COM
191216100
2616
65211
SH
DFND
1
65211
0
0
COMCAST CORP NEW
CL A
20030N101
2132
37484
SH
DFND
1
37484
0
0
COMCAST CORP NEW
CL A SPL
20030N200
51400
897970
SH
DFND
1
897970
0
0
COMPUTER SCIENCES CORP
COM
205363104
661
10777
SH
DFND
1
10777
0
0
CONAGRA FOODS INC
COM
205887102
542
13388
SH
DFND
1
13388
0
0
CONOCOPHILLIPS
COM
20825C104
2941
61326
SH
DFND
1
61326
0
0
CONSTELLATION BRANDS INC
CL A
21036P108
5877
46940
SH
DFND
1
46940
0
0
CONTINENTAL RESOURCES INC
COM
212015101
2221
76662
SH
DFND
1
76662
0
0
CVR ENERGY INC
COM
12662P108
952
23182
SH
DFND
1
23182
0
0
DANAHER CORP DEL
COM
235851102
35968
422110
SH
DFND
1
422110
0
0
DARDEN RESTAURANTS INC
COM
237194105
654
9544
SH
DFND
1
9544
0
0
DARLING INGREDIENTS INC
COM
237266101
642
57107
SH
DFND
1
57107
0
0
DAVITA HEALTHCARE PARTNERS I
COM
23918K108
10127
140009
SH
DFND
1
140009
0
0
DELTA AIR LINES INC DEL
COM NEW
247361702
1711
38129
SH
DFND
1
38129
0
0
DEVON ENERGY CORP NEW
COM
25179M103
2130
57431
SH
DFND
1
57431
0
0
DIAGEO P L C
SPON ADR NEW
25243Q205
556
5155
SH
DFND
1
5155
0
0
DONALDSON INC
COM
257651109
449
16000
SH
DFND
1
16000
0
0
DOVER CORP
COM
260003108
22088
386294
SH
DFND
1
386294
0
0
E TRADE FINANCIAL CORP
COM NEW
269246401
919
34904
SH
DFND
1
34904
0
0
EAGLE MATERIALS INC
COM
26969P108
598
8733
SH
DFND
1
8733
0
0
EATON VANCE LTD DUR INCOME F
COM
27828H105
348
27416
SH
DFND
1
27416
0
0
EATON VANCE SR FLTNG RTE TR
COM
27828Q105
309
23426
SH
DFND
1
23426
0
0
EBAY INC
COM
278642103
26798
1096481
SH
DFND
1
1096481
0
0
ELLIE MAE INC
COM
28849P100
466
6995
SH
DFND
1
6995
0
0
ENDO INTL PLC
SHS
G30401106
1124
16217
SH
DFND
1
16217
0
0
EOG RES INC
COM
26875P101
2820
38738
SH
DFND
1
38738
0
0
EQT CORP
COM
26884L109
3050
47087
SH
DFND
1
47087
0
0
EQUINIX INC
COM PAR $0.001
29444U700
37965
138864
SH
DFND
1
138864
0
0
EXPEDIA INC DEL
COM NEW
30212P303
4732
40210
SH
DFND
1
40210
0
0
EXPRESS SCRIPTS HLDG CO
COM
30219G108
56533
698280
SH
DFND
1
698280
0
0
EXXON MOBIL CORP
COM
30231G102
264
3551
SH
DFND
1
3551
0
0
FACEBOOK INC
CL A
30303M102
3650
40600
SH
DFND
1
40600
0
0
FEDEX CORP
COM
31428X106
1001
6952
SH
DFND
1
6952
0
0
FISERV INC
COM
337738108
29766
343683
SH
DFND
1
343683
0
0
FLEXTRONICS INTL LTD
ORD
Y2573F102
1178
111753
SH
DFND
1
111753
0
0
FOMENTO ECONOMICO MEXICANO S
SPON ADR UNITS
344419106
402
4500
SH
DFND
1
4500
0
0
FOOT LOCKER INC
COM
344849104
933
12965
SH
DFND
1
12965
0
0
FOSSIL GROUP INC
COM
34988V106
443
7923
SH
DFND
1
7923
0
0
FS INVT CORP
COM
302635107
988
105985
SH
DFND
1
105985
0
0
GANNETT CO INC
COM
36473H104
190
12926
SH
DFND
1
12926
0
0
GENERAL ELECTRIC CO
COM
369604103
335
13290
SH
DFND
1
13290
0
0
G-III APPAREL GROUP LTD
COM
36237H101
1401
22725
SH
DFND
1
22725
0
0
GILEAD SCIENCES INC
COM
375558103
428
4359
SH
DFND
1
4359
0
0
GLOBAL EAGLE ENTMT INC
COM
37951D102
4851
422531
SH
DFND
1
422531
0
0
GNC HLDGS INC
COM CL A
36191G107
946
23416
SH
DFND
1
23416
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
857
4932
SH
DFND
1
4932
0
0
GOLUB CAP BDC INC
COM
38173M102
711
44473
SH
DFND
1
44473
0
0
GOOGLE INC
CL A
38259P508
9317
14595
SH
DFND
1
14595
0
0
GOOGLE INC
CL C
38259P706
33773
55510
SH
DFND
1
55510
0
0
HALCON RES CORP
COM NEW
40537Q209
6
10728
SH
DFND
1
10728
0
0
HOME DEPOT INC
COM
437076102
4111
35599
SH
DFND
1
35599
0
0
HUMANA INC
COM
444859102
286
1598
SH
DFND
1
1598
0
0
HYSTER YALE MATLS HANDLING I
CL A
449172105
752
13012
SH
DFND
1
13012
0
0
ICAHN ENTERPRISES LP
DEPOSITARY UNIT
451100101
497
7416
SH
DFND
1
7416
0
0
ILLUMINA INC
COM
452327109
690
3923
SH
DFND
1
3923
0
0
INCYTE CORP
COM
45337C102
764
6923
SH
DFND
1
6923
0
0
INTEL CORP
COM
458140100
392
13017
SH
DFND
1
13017
0
0
INTERPUBLIC GROUP COS INC
COM
460690100
803
41984
SH
DFND
1
41984
0
0
INVESCO DYNAMIC CR OPP FD
COM
46132R104
301
28468
SH
DFND
1
28468
0
0
INVESCO MUN OPPORTUNITY TR
COM
46132C107
336
26746
SH
DFND
1
26746
0
0
INVESCO MUN TR
COM
46131J103
336
27385
SH
DFND
1
27385
0
0
INVESCO QUALITY MUNI INC TRS
COM
46133G107
336
27674
SH
DFND
1
27674
0
0
INVESCO SR INCOME TR
COM
46131H107
305
72885
SH
DFND
1
72885
0
0
INVESCO TR INVT GRADE MUNS
COM
46131M106
336
26004
SH
DFND
1
26004
0
0
ISHARES TR
RUS MDCP VAL ETF
464287473
261
3883
SH
DFND
1
3883
0
0
ISHARES TR
RUS MD CP GR ETF
464287481
263
2969
SH
DFND
1
2969
0
0
ISHARES TR
RUS 1000 VAL ETF
464287598
293
3141
SH
DFND
1
3141
0
0
ISHARES TR
RUS 1000 GRW ETF
464287614
271
2911
SH
DFND
1
2911
0
0
ISHARES TR
RUS 2000 VAL ETF
464287630
239
2651
SH
DFND
1
2651
0
0
ISHARES TR
RUS 2000 GRW ETF
464287648
236
1758
SH
DFND
1
1758
0
0
ISHARES TR
SHT NTLAMTFR ETF
464288158
3943
37220
SH
DFND
1
37220
0
0
ISHARES TR
MSCI ACWI EX US
464288240
366
9378
SH
DFND
1
9378
0
0
ISHARES TR
MSCI ACWI ETF
464288257
3264
60520
SH
DFND
1
60520
0
0
ISHARES TR
NAT AMT FREE BD
464288414
2606
23785
SH
DFND
1
23785
0
0
ISIS PHARMACEUTICALS INC
COM
464330109
384
9505
SH
DFND
1
9505
0
0
JD COM INC
SPON ADR CL A
47215P106
1092
41903
SH
DFND
1
41903
0
0
JOHNSON & JOHNSON
COM
478160104
1713
18347
SH
DFND
1
18347
0
0
JPMORGAN CHASE & CO
COM
46625H100
1596
26175
SH
DFND
1
26175
0
0
JUNIPER NETWORKS INC
COM
48203R104
567
22062
SH
DFND
1
22062
0
0
L BRANDS INC
COM
501797104
1054
11696
SH
DFND
1
11696
0
0
LABORATORY CORP AMER HLDGS
COM NEW
50540R409
19396
178811
SH
DFND
1
178811
0
0
LENNAR CORP
CL A
526057104
424
8819
SH
DFND
1
8819
0
0
LOCKHEED MARTIN CORP
COM
539830109
20644
99579
SH
DFND
1
99579
0
0
LOWES COS INC
COM
548661107
16938
245757
SH
DFND
1
245757
0
0
MAINSTAY DEFINEDTERM MN OPP
COM
56064K100
324
18298
SH
DFND
1
18298
0
0
MANHATTAN ASSOCS INC
COM
562750109
679
10893
SH
DFND
1
10893
0
0
MARATHON OIL CORP
COM
565849106
1975
128271
SH
DFND
1
128271
0
0
MASTERCARD INC
CL A
57636Q104
1260
13983
SH
DFND
1
13983
0
0
MCDONALDS CORP
COM
580135101
231
2346
SH
DFND
1
2346
0
0
MCGRAW HILL FINL INC
COM
580645109
13002
150313
SH
DFND
1
150313
0
0
MCKESSON CORP
COM
58155Q103
21038
113701
SH
DFND
1
113701
0
0
MICRON TECHNOLOGY INC
COM
595112103
374
24948
SH
DFND
1
24948
0
0
MICROSOFT CORP
COM
594918104
2281
51526
SH
DFND
1
51526
0
0
MONDELEZ INTL INC
CL A
609207105
1947
46508
SH
DFND
1
46508
0
0
MONSANTO CO NEW
COM
61166W101
37085
434557
SH
DFND
1
434557
0
0
MOODYS CORP
COM
615369105
21644
220412
SH
DFND
1
220412
0
0
NACCO INDS INC
CL A
629579103
309
6506
SH
DFND
1
6506
0
0
NETFLIX INC
COM
64110L106
3142
30429
SH
DFND
1
30429
0
0
NEW MTN FIN CORP
COM
647551100
724
53288
SH
DFND
1
53288
0
0
NIKE INC
CL B
654106103
254
2065
SH
DFND
1
2065
0
0
NOBLE CORP PLC
SHS USD
G65431101
439
40224
SH
DFND
1
40224
0
0
NOBLE ENERGY INC
COM
655044105
2162
71646
SH
DFND
1
71646
0
0
NORTEK INC
COM NEW
656559309
664
10490
SH
DFND
1
10490
0
0
NUVEEN AMT-FREE MUN INCOME F
COM
670657105
325
24918
SH
DFND
1
24918
0
0
NUVEEN CR STRATEGIES INCM FD
COM SHS
67073D102
303
37926
SH
DFND
1
37926
0
0
NUVEEN FLOATING RATE INCOME
COM
67072T108
303
30144
SH
DFND
1
30144
0
0
NUVEEN FLTNG RTE INCM OPP FD
COM SHS
6706EN100
293
29467
SH
DFND
1
29467
0
0
NUVEEN MUN OPPORTUNITY FD IN
COM
670984103
362
25673
SH
DFND
1
25673
0
0
NUVEEN PERFORMANCE PLUS MUN
COM
67062P108
329
23236
SH
DFND
1
23236
0
0
NUVEEN PREM INCOME MUN FD 2
COM
67063W102
360
26376
SH
DFND
1
26376
0
0
NUVEEN QUALITY INCOME MUN FD
COM
670977107
334
24772
SH
DFND
1
24772
0
0
ORACLE CORP
COM
68389X105
22105
611984
SH
DFND
1
611984
0
0
OWENS ILL INC
COM NEW
690768403
394
19039
SH
DFND
1
19039
0
0
PALO ALTO NETWORKS INC
COM
697435105
3949
22960
SH
DFND
1
22960
0
0
PANDORA MEDIA INC
COM
698354107
985
46179
SH
DFND
1
46179
0
0
PAYPAL HLDGS INC
COM
70450Y103
19788
637497
SH
DFND
1
637497
0
0
PENNEY J C INC
COM
708160106
370
39797
SH
DFND
1
39797
0
0
PENTAIR PLC
SHS
G7S00T104
446
8740
SH
DFND
1
8740
0
0
PEPSICO INC
COM
713448108
902
9569
SH
DFND
1
9569
0
0
PHILLIPS 66
COM
718546104
255
3318
SH
DFND
1
3318
0
0
PIMCO ETF TR
TTL RTN ACTV ETF
72201R775
1743
16526
SH
DFND
1
16526
0
0
PRESTIGE BRANDS HLDGS INC
COM
74112D101
22607
500606
SH
DFND
1
500606
0
0
PRICELINE GRP INC
COM NEW
741503403
47178
38143
SH
DFND
1
38143
0
0
PROCTER & GAMBLE CO
COM
742718109
1076
14957
SH
DFND
1
14957
0
0
QEP RES INC
COM
74733V100
181
14435
SH
DFND
1
14435
0
0
QUALCOMM INC
COM
747525103
33871
630391
SH
DFND
1
630391
0
0
SCHLUMBERGER LTD
COM
806857108
36276
525974
SH
DFND
1
525974
0
0
SCHWAB CHARLES CORP NEW
COM
808513105
33296
1165834
SH
DFND
1
1165834
0
0
SIGNET JEWELERS LIMITED
SHS
G81276100
1695
12452
SH
DFND
1
12452
0
0
SPDR GOLD TRUST
GOLD SHS
78463V107
2926
27385
SH
DFND
1
27385
0
0
SPDR SERIES TRUST
NUVN BR SHT MUNI
78464A425
5478
224890
SH
DFND
1
224890
0
0
SPDR SERIES TRUST
DJ REIT ETF
78464A607
893
10361
SH
DFND
1
10361
0
0
SPIRIT AEROSYSTEMS HLDGS INC
COM CL A
848574109
871
18020
SH
DFND
1
18020
0
0
STAPLES INC
COM
855030102
527
44961
SH
DFND
1
44961
0
0
SUNEDISON INC
COM
86732Y109
367
51137
SH
DFND
1
51137
0
0
SYNAPTICS INC
COM
87157D109
620
7524
SH
DFND
1
7524
0
0
SYSCO CORP
COM
871829107
1138
29200
SH
DFND
1
29200
0
0
TABLEAU SOFTWARE INC
CL A
87336U105
523
6554
SH
DFND
1
6554
0
0
TCP CAP CORP
COM
87238Q103
1319
97283
SH
DFND
1
97283
0
0
TEGNA INC
COM
87901J105
580
25897
SH
DFND
1
25897
0
0
THERMO FISHER SCIENTIFIC INC
COM
883556102
4452
36406
SH
DFND
1
36406
0
0
TIME WARNER CABLE INC
COM
88732J207
31847
177549
SH
DFND
1
177549
0
0
TPG SPECIALTY LENDING INC
COM
87265K102
1460
88880
SH
DFND
1
88880
0
0
TRIANGLE CAP CORP
COM
895848109
349
21203
SH
DFND
1
21203
0
0
TWENTY FIRST CENTY FOX INC
CL A
90130A101
509
18871
SH
DFND
1
18871
0
0
TYLER TECHNOLOGIES INC
COM
902252105
723
4841
SH
DFND
1
4841
0
0
UNILEVER PLC
SPON ADR NEW
904767704
524
12852
SH
DFND
1
12852
0
0
UNITED CONTL HLDGS INC
COM
910047109
988
18632
SH
DFND
1
18632
0
0
UNITED PARCEL SERVICE INC
CL B
911312106
15565
157713
SH
DFND
1
157713
0
0
UNITED THERAPEUTICS CORP DEL
COM
91307C102
508
3868
SH
DFND
1
3868
0
0
VALEANT PHARMACEUTICALS INTL
COM
91911K102
11989
67208
SH
DFND
1
67208
0
0
VANGUARD BD INDEX FD INC
TOTAL BND MRKT
921937835
7069
86285
SH
DFND
1
86285
0
0
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
281
1600
SH
DFND
1
1600
0
0
VANGUARD INTL EQUITY INDEX F
ALLWRLD EX US
922042775
3862
90592
SH
DFND
1
90592
0
0
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
349
10561
SH
DFND
1
10561
0
0
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
1771
22220
SH
DFND
1
22220
0
0
VANGUARD WHITEHALL FDS INC
HIGH DIV YLD
921946406
1999
31903
SH
DFND
1
31903
0
0
WALGREENS BOOTS ALLIANCE INC
COM
931427108
6459
77720
SH
DFND
1
77720
0
0
WATERS CORP
COM
941848103
310
2620
SH
DFND
1
2620
0
0
WAYFAIR INC
CL A
94419L101
1033
29468
SH
DFND
1
29468
0
0
WELLS FARGO & CO NEW
COM
949746101
1392
27099
SH
DFND
1
27099
0
0
WESTERN ASSET EMRG MKT DEBT
COM
95766A101
306
22958
SH
DFND
1
22958
0
0
WESTROCK CO
COM
96145D105
549
10669
SH
DFND
1
10669
0
0
WILLIAMS COS INC DEL
COM
969457100
460
12472
SH
DFND
1
12472
0
0
WORKDAY INC
CL A
98138H101
2499
36287
SH
DFND
1
36287
0
0
ZOETIS INC
CL A
98978V103
713
17303
SH
DFND
1
17303
0
0