-----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, GGdP+HuWZ7oyqbeNUw2CMO0IdYecAFHsMUJl48OTWq9VQP89mgLojLQXt/4ItcVc Y3wT+MH9AlRQVUrWBWM4Wg== 0000919574-09-010383.txt : 20090515 0000919574-09-010383.hdr.sgml : 20090515 20090514173823 ACCESSION NUMBER: 0000919574-09-010383 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090515 DATE AS OF CHANGE: 20090514 EFFECTIVENESS DATE: 20090515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DEFIANCE ASSET MANAGEMENT LLC CENTRAL INDEX KEY: 0001349926 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11629 FILM NUMBER: 09827984 BUSINESS ADDRESS: STREET 1: 100 FRONT STREET STREET 2: SUITE 920 CITY: WEST CONSHOHOCKEN STATE: PA ZIP: 19428 BUSINESS PHONE: 610-940-5300 MAIL ADDRESS: STREET 1: 100 FRONT STREET STREET 2: SUITE 920 CITY: WEST CONSHOHOCKEN STATE: PA ZIP: 19428 13F-HR 1 d991729_13f-hr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F Cover Page Report for the Calendar Year or Quarter Ended: March 31, 2009 Check here if Amendment: |_|; Amendment Number: ____ This Amendment (Check only one): |_| is a restatement |_| adds new holding entries. Institutional Manager Filing this Report: Name: Defiance Asset Management, LLC Address: 100 Front Street Suite 920 West Conshohocken, PA 19428 13F File Number: 028-11629 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: Mimi Drake Title: Chief Financial Officer Phone: (610) 940-5306 Signature, Place and Date of Signing: /s/ Mimi Drake West Conshohocken, PA May 15, 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 managers(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).) Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 Form 13F Information Table Entry Total: 70 Form 13F Information Table Value Total: $114,020 (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. No. Form 13F File Number Name 1 028-11630 Defiance Asset Management Fund, L.P. 2 028-12487 Defiance Offshore Fund, Ltd.
FORM 13F INFORMATION TABLE March 31, 2009 COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER OF CLASS CUSIP (x$1,000) PRN AMT PRN CALL DISCRETION MNGRS SOLE SHARED NONE AETNA INC NEW COM 00817Y108 1,260 51,787 SH SHARED-DEFINED 1 51,787 AETNA INC NEW COM 00817Y108 675 27,742 SH SHARED-DEFINED 2 27,742 ALPHA NATURAL RESOURCES INC COM 02076X102 758 42,711 SH SHARED-DEFINED 1 42,711 ALPHA NATURAL RESOURCES INC COM 02076X102 437 24,597 SH SHARED-DEFINED 2 24,597 APACHE CORP COM 037411105 461 7,198 SH SHARED-DEFINED 1 7,198 APACHE CORP COM 037411105 265 4,142 SH SHARED-DEFINED 2 4,142 ASYST TECHNOLOGY CORP COM 04648X107 289 1,032,647 SH SHARED-DEFINED 1 1,032,647 ASYST TECHNOLOGY CORP COM 04648X107 147 525,370 SH SHARED-DEFINED 2 525,370 ATLAS AIR WORLDWIDE HLDGS IN COM NEW 049164205 981 56,532 SH SHARED-DEFINED 1 56,532 ATLAS AIR WORLDWIDE HLDGS IN COM NEW 049164205 564 32,516 SH SHARED-DEFINED 2 32,516 BAKER HUGHES INC COM 057224107 689 24,120 SH SHARED-DEFINED 1 24,120 BAKER HUGHES INC COM 057224107 396 13,880 SH SHARED-DEFINED 2 13,880 BECKMAN COULTER INC COM 075811109 2,360 46,265 SH SHARED-DEFINED 1 46,265 BECKMAN COULTER INC COM 075811109 1,353 26,525 SH SHARED-DEFINED 2 26,525 BP PLC SPONSORED ADR 055622104 1,947 48,559 SH SHARED-DEFINED 1 48,559 BP PLC SPONSORED ADR 055622104 1,120 27,941 SH SHARED-DEFINED 2 27,941 CF INDS HLDGS INC COM 125269100 2,809 39,489 SH SHARED-DEFINED 1 39,489 CF INDS HLDGS INC COM 125269100 1,615 22,711 SH SHARED-DEFINED 2 22,711 CISCO SYS INC COM 17275R102 1,679 100,118 SH SHARED-DEFINED 1 100,118 CISCO SYS INC COM 17275R102 963 57,448 SH SHARED-DEFINED 2 57,448 CLIFFS NATURAL RESOURCES INC COM 18683K101 2,528 139,210 SH SHARED-DEFINED 1 139,210 CLIFFS NATURAL RESOURCES INC COM 18683K101 1,452 79,950 SH SHARED-DEFINED 2 79,950 COCA COLA CO COM 191216100 5,500 125,146 SH SHARED-DEFINED 1 125,146 COCA COLA CO COM 191216100 3,169 72,114 SH SHARED-DEFINED 2 72,114 CONOCOPHILLIPS COM 20825C104 3,140 80,184 SH SHARED-DEFINED 1 80,184 CONOCOPHILLIPS COM 20825C104 1,805 46,094 SH SHARED-DEFINED 2 46,094 DELL INC COM 24702R101 1,993 210,251 SH SHARED-DEFINED 1 210,251 DELL INC COM 24702R101 1,147 120,984 SH SHARED-DEFINED 2 120,984 DRESSER-RAND GROUP INC COM 261608103 1,052 47,609 SH SHARED-DEFINED 1 47,609 DRESSER-RAND GROUP INC COM 261608103 605 27,391 SH SHARED-DEFINED 2 27,391 EMERSON ELEC CO COM 291011104 3,069 107,373 SH SHARED-DEFINED 1 107,373 EMERSON ELEC CO COM 291011104 1,750 61,240 SH SHARED-DEFINED 2 61,240 FLEXTRONICS INTL LTD ORD Y2573F102 1,234 426,976 SH SHARED-DEFINED 1 426,976 FLEXTRONICS INTL LTD ORD Y2573F102 655 226,591 SH SHARED-DEFINED 2 226,591 FLOWSERVE CORP COM 34354P105 3,105 55,325 SH SHARED-DEFINED 1 55,325 FLOWSERVE CORP COM 34354P105 1,785 31,814 SH SHARED-DEFINED 2 31,814 F M C CORP COM NEW 302491303 2,574 59,668 SH SHARED-DEFINED 1 59,668 F M C CORP COM NEW 302491303 1,481 34,332 SH SHARED-DEFINED 2 34,332 GAMESTOP CORP NEW CL A 36467W109 1,023 36,522 SH SHARED-DEFINED 1 36,522 GAMESTOP CORP NEW CL A 36467W109 586 20,922 SH SHARED-DEFINED 2 20,922 GRAFTECH INTL LTD COM 384313102 821 133,274 SH SHARED-DEFINED 1 133,274 GRAFTECH INTL LTD COM 384313102 473 76,726 SH SHARED-DEFINED 2 76,726 HEWLETT PACKARD CO COM 428236103 2,198 68,544 SH SHARED-DEFINED 1 68,544 HEWLETT PACKARD CO COM 428236103 1,265 39,456 SH SHARED-DEFINED 2 39,456 HONEYWELL INTL INC COM 438516106 1,687 60,544 SH SHARED-DEFINED 1 60,544 HONEYWELL INTL INC COM 438516106 957 34,349 SH SHARED-DEFINED 2 34,349 JAKKS PAC INC COM 47012E106 2,141 173,343 SH SHARED-DEFINED 1 173,343 JAKKS PAC INC COM 47012E106 1,230 99,635 SH SHARED-DEFINED 2 99,635 JOHNSON & JOHNSON COM 478160104 3,114 59,211 SH SHARED-DEFINED 1 59,211 JOHNSON & JOHNSON COM 478160104 1,790 34,039 SH SHARED-DEFINED 2 34,039 MASTEC INC COM 576323109 941 77,837 SH SHARED-DEFINED 1 77,837 MASTEC INC COM 576323109 496 41,063 SH SHARED-DEFINED 2 41,063 METLIFE INC COM 59156R108 1,042 45,777 SH SHARED-DEFINED 1 45,777 METLIFE INC COM 59156R108 597 26,223 SH SHARED-DEFINED 2 26,223 MICROSOFT CORP COM 594918104 2,360 128,472 SH SHARED-DEFINED 1 128,472 MICROSOFT CORP COM 594918104 1,366 74,378 SH SHARED-DEFINED 2 74,378 ORACLE CORP COM 68389X105 1,973 109,161 SH SHARED-DEFINED 1 109,161 ORACLE CORP COM 68389X105 1,136 62,839 SH SHARED-DEFINED 2 62,839 SKECHERS U S A INC CL A 830566105 2,972 445,650 SH SHARED-DEFINED 1 445,650 SKECHERS U S A INC CL A 830566105 1,716 257,247 SH SHARED-DEFINED 2 257,247 SPDR TR UNIT SER 1 78462F103 3,902 49,070 SH SHARED-DEFINED 1 49,070 SPDR TR UNIT SER 1 78462F103 4,448 55,930 SH SHARED-DEFINED 2 55,930 SYMANTEC CORP COM 871503108 1,471 98,452 SH SHARED-DEFINED 1 98,452 SYMANTEC CORP COM 871503108 770 51,548 SH SHARED-DEFINED 2 51,548 WALGREEN CO COM 931422109 2,772 106,775 SH SHARED-DEFINED 1 106,775 WALGREEN CO COM 931422109 1,597 61,525 SH SHARED-DEFINED 2 61,525 WELLPOINT INC COM 94973V107 4,331 114,052 SH SHARED-DEFINED 1 114,052 WELLPOINT INC COM 94973V107 2,491 65,600 SH SHARED-DEFINED 2 65,600 WET SEAL INC CL A 961840105 1,007 299,673 SH SHARED-DEFINED 1 299,673 WET SEAL INC CL A 961840105 535 159,260 SH SHARED-DEFINED 2 159,260
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