-----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, Il6OHO2ZNCTGO+rSSUDpRcRE58+wdLzN1S5kNdWfQZbH1JuGecznjiV1715vlgGK cap6L+ae+8oG5iXuZ9SV7Q== 0000909012-11-000101.txt : 20110214 0000909012-11-000101.hdr.sgml : 20110214 20110214134321 ACCESSION NUMBER: 0000909012-11-000101 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110214 DATE AS OF CHANGE: 20110214 EFFECTIVENESS DATE: 20110214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Aston Asset Management, LP CENTRAL INDEX KEY: 0001386714 IRS NUMBER: 204747475 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12347 FILM NUMBER: 11604855 BUSINESS ADDRESS: STREET 1: 120 NORTH LASALLE STREET STREET 2: 25TH FLOOR CITY: CHICAGO STATE: IL ZIP: 60602 BUSINESS PHONE: 312-268-1400 MAIL ADDRESS: STREET 1: 120 NORTH LASALLE STREET STREET 2: 25TH FLOOR CITY: CHICAGO STATE: IL ZIP: 60602 FORMER COMPANY: FORMER CONFORMED NAME: Aston Asset Management LLC DATE OF NAME CHANGE: 20070116 13F-HR 1 t306245.txt ASTON UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2010 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: Aston Asset Management, LP Address: 120 North LaSalle Street, 25th Floor Chicago, IL 60602 Form 13F File Number: 28-12347 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: Marc Peirce Title: Assistant Chief Compliance Officer Phone: 312-268-1400 Signature, Place, and Date of Signing: Marc Peirce Chicago, IL 2/14/11 - -------------------------- ------------------- ----------------- [Signature] [City, State] [Date] Report Type (Check only one.): [ ] 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).) [X] 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: 28-04171 Todd-Veredus Asset Management,LLC 28-11487 River Road Asset Management, LLC 28-06296 Optimum Investment Advisors, LLC 28-04968 MFS Institutional Advisors, LLC 28-00288 Montag & Caldwell, Inc. 28-10212 TAMRO Capital Partners, LLC 28-11315 Herndon Capital Management, LLC 28-07760 Cardinal Capital Management, LLC 28-04544 Baring Asset Management Limited 28-04057 MD Sass Investor Services, Inc. 28-01073 Fortis Investment Management USA, Inc. 28-14089 Crosswind Investments, LLC FORM 13F SUMMARY PAGE Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 161 Form 13F Information Table Value Total: 253,941 List of Other Included Managers: - -------------------------------- Provide a numbered list of the name(s) and 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. 13F File Number Name - -------- --------------- ---------- 1 28-04975 Affiliated Managers Group, Inc.
VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP VALUE SHARE/ SH/PRN INVSMNT OTHER SOLE SHARED NONE (X$1000) PRN AMT DSCRETN MANAGERS 3M CO COM 88579Y101 1329 15396 SH SOLE 1 15396 AKAMAI TECHNOLOGIES INC COM 00971T101 1637 34790 SH SOLE 1 34790 AMERICAN EAGLE OUTFITTERS NE COM 02553E106 1314 89833 SH SOLE 1 89833 APOLLO INVT CORP COM 03761U106 687 60598 SH SOLE 1 60598 ASTRAZENECA PLC SPONSORED ADR 46353108 1766 38236 SH SOLE 1 38236 ATLANTIC TELE NETWORK INC COM 49079205 426 11034 SH SOLE 1 11034 AUTOMATIC DATA PROCESSING IN COM 53015103 3334 71514 SH SOLE 1 71514 AVISTA CORP COM 05379B107 1744 77424 SH SOLE 1 77424 BANK HAWAII CORP COM 62540109 2173 46020 SH SOLE 1 46020 BECKMAN COULTER INC COM 75811109 1719 22849 SH SOLE 1 22849 BECTON DICKINSON & CO COM 75887109 1858 21986 SH SOLE 1 21986 BELO CORP COM SER A 80555105 947 133770 SH SOLE 1 133770 BLOCK H & R INC COM 93671105 2060 171111 SH SOLE 1 171111 BOB EVANS FARMS INC COM 96761101 1666 50542 SH SOLE 1 50542 BORGWARNER INC COM 99724106 1695 23423 SH SOLE 1 23423 BOSTON SCIENTIFIC CORP COM 101137107 2678 353806 SH SOLE 1 353806 BREITBURN ENERGY PARTNERS LP COM UT LTD PTN 106776107 3215 159653 SH SOLE 1 159653 BUNGE LIMITED COM G16962105 1079 16475 SH SOLE 1 16475 CGG VERITAS SPONSORED ADR 204386106 814 26601 SH SOLE 1 26601 CHARLES RIV LABS INTL INC COM 159864107 1385 38958 SH SOLE 1 38958 CHEVRON CORP NEW COM 166764100 2665 29204 SH SOLE 1 29204 CHICAGO BRIDGE & IRON CO N V N Y REGISTRY SH 167250109 1804 54846 SH SOLE 1 54846 CHUBB CORP COM 171232101 2738 45637 SH SOLE 1 45637 CINCINNATI FINL CORP COM 172062101 4302 134090 SH SOLE 1 134090 CLOROX CO DEL COM 189054109 2728 43115 SH SOLE 1 43115 COCA COLA ENTERPRISES INC NE COM 19122T109 1418 56659 SH SOLE 1 56659 COMMERCE BANCSHARES INC COM 200525103 1366 34385 SH SOLE 1 34385 COMPANIA CERVECERIAS UNIDAS SPONSORED ADR 204429104 2096 34737 SH SOLE 1 34737 COMPASS DIVERSIFIED HOLDINGS SH BEN INT 20451Q104 1227 69380 SH SOLE 1 69380 CONOCOPHILLIPS COM 20825C104 3078 45205 SH SOLE 1 45205 CON-WAY INC COM 205944101 1048 28645 SH SOLE 1 28645 CRACKER BARREL OLD CTRY STOR COM 22410J106 2654 48466 SH SOLE 1 48466 CULLEN FROST BANKERS INC COM 229899109 1835 30018 SH SOLE 1 30018 DARDEN RESTAURANTS INC COM 237194105 1464 31515 SH SOLE 1 31515 DENBURY RES INC COM 247916208 590 30896 SH SOLE 1 30896 DIAGEO P L C SPON ADR SPON ADR 25243Q205 1335 17956 SH SOLE 1 17956 DUKE ENERGY CORP NEW COM 26441C105 2490 139791 SH SOLE 1 139791 EATON VANCE CORP COM NON VTG 278265103 1090 36070 SH SOLE 1 36070 F M C CORP COM 302491303 1294 16170 SH SOLE 1 16170 FACTSET RESH SYS INC COM 303075105 805 8588 SH SOLE 1 8588 FEDERATED INVS INC PA CL B 314211103 2237 85487 SH SOLE 1 85487 FIRST TR EXCHANGE TRADED FD ENERGY ALPHADX 33734X127 352 16620 SH DEFINED 1 16620 FIRST TR EXCHANGE TRADED FD FD FINLS ALPHADEX 33734X135 155 10610 SH DEFINED 1 10610 FMC TECHNOLOGIES INC COM 30249U101 1852 20826 SH SOLE 1 20826 FOREST LABS INC COM 345838106 1355 42369 SH SOLE 1 42369 GANNETT INC COM 364730101 1696 112089 SH SOLE 1 112089 GENERAL DYNAMICS CORP COM 369550108 1390 19595 SH SOLE 1 19595 GENERAL MLS INC COM 370334104 2571 72247 SH SOLE 1 72247 GENUINE PARTS CO COM 372460105 3050 58967 SH SOLE 1 58967 GRUPO AEROPORTUARIO DEL SURE SPON ADR SER B 40051E202 689 12203 SH SOLE 1 12203 HARRIS CORP DEL COM 413875105 1212 26764 SH SOLE 1 26764 HILLENBRAND INC COM 431571108 1537 73859 SH SOLE 1 73859 INTEL CORP COM 458140100 2486 118232 SH SOLE 1 118232 INTERPUBLIC GROUP COS INC COM 460690100 1238 116618 SH SOLE 1 116618 INTUIT COM 461202103 249 5053 SH SOLE 1 5053 ISHARES INC MSCI CDA INDEX 464286509 1933 62355 SH DEFINED 1 62355 ISHARES INC MSCI S KOREA 464286772 1673 27346 SH DEFINED 1 27346 ISHARES SILVER TRUST ISHARES 46428Q109 2826 93622 SH DEFINED 1 93622 ISHARES TR COHEN&ST RLTY 464287564 1625 24726 SH DEFINED 1 24726 ISHARES TR DJ HOME CONSTN 464288752 475 36020 SH DEFINED 1 36020 ISHARES TR DJ US BAS MATL 464287838 2702 34887 SH DEFINED 1 34887 ISHARES TR RUSL 2000 GROW 464287648 3190 36488 SH DEFINED 1 36488 ISHARES TR RUSL 2000 VALU 464287630 3714 52238 SH DEFINED 1 52238 ISHARES TR RUSSELL 2000 464287655 477 6100 SH DEFINED 1 6100 ISHARES TR RUSSELL MCP GR 464287481 312 5510 SH DEFINED 1 5510 ISHARES TR RUSSELL MCP GR 464287481 3188 56252 SH DEFINED 1 56252 ISHARES TR RUSSELL MCP VL 464287473 315 6990 SH DEFINED 1 6990 ISHARES TR RUSSELL MCP VL 464287473 2677 59485 SH DEFINED 1 59485 ISHARES TR RUSSELL MIDCAP 464287499 317 3120 SH DEFINED 1 3120 ISHARES TR S&P GLB MTRLS 464288695 308 4200 SH DEFINED 1 4200 ISHARES TR S&P MC 400 GRW 464287606 329 3270 SH DEFINED 1 3270 ISHARES TR S&P MIDCAP 400 464287507 324 3570 SH DEFINED 1 3570 ISHARES TR S&P SMLCP GROW 464287887 324 4460 SH DEFINED 1 4460 JABIL CIRCUIT INC COM 466313103 1145 57012 SH SOLE 1 57012 JOHNSON & JOHNSON COM 478160104 2293 37077 SH SOLE 1 37077 KIMBERLY CLARK CORP COM 494368103 2933 46074 SH SOLE 1 46074 LEXMARK INTL NEW CL A 529771107 1483 42593 SH SOLE 1 42593 LINCARE HLDGS INC COM 532791100 548 20414 SH SOLE 1 20414 LOCKHEED MARTIN CORP COM 539830109 682 9761 SH SOLE 1 9761 MANPOWER INC COM 56418H100 1422 22658 SH SOLE 1 22658 MARKET VECTORS ETF TR COAL ETF 57060U837 2673 56592 SH DEFINED 1 56592 MARKET VECTORS ETF TR RUSSIA ETF 57060U506 3248 85681 SH DEFINED 1 85681 MATTEL INC COM 577081102 1152 45317 SH SOLE 1 45317 MCCORMICK & CO INC COM NON VTG 579780206 3566 76180 SH SOLE 1 76180 MCDONALDS CORP COM 580135101 2387 31102 SH SOLE 1 31102 MCGRAW HILL COS INC COM 580645109 1898 52137 SH SOLE 1 52137 MENTOR GRAPHICS CORP COM 587200106 366 30476 SH SOLE 1 30476 MERCURY GENL CORP NEW COM 589400100 519 12072 SH SOLE 1 12072 MICROSOFT CORP COM 594918104 1528 54731 SH SOLE 1 54731 MOLEX INC COM 608554101 1578 68944 SH SOLE 1 68944 MOLSON COORS BREWING CO CL B 60871R209 1218 24263 SH SOLE 1 24263 NATIONAL FUEL GAS CO N J COM 636180101 952 14433 SH SOLE 1 14433 NEW YORK TIMES CO CL A 650111107 2003 204398 SH SOLE 1 204398 NORFOLK SOUTHERN CORP COM 655844108 2286 36391 SH SOLE 1 36391 NUANCE COMMUNICATIONS INC COM 67020Y100 1626 89414 SH SOLE 1 89414 NUCOR CORP COM 670346105 1915 43348 SH SOLE 1 43348 ONEBEACON INSURANCE GROUP LT CL A G67742109 1221 80527 SH SOLE 1 80527 OWENS & MINOR INC NEW COM 690732102 1252 42552 SH SOLE 1 42552 PARTNERRE LTD COM G6852T105 2644 32907 SH SOLE 1 32907 PAYCHEX INC COM 704326107 1623 52508 SH SOLE 1 52508 PEARSON PLC SPONSORED ADR 705015105 826 51999 SH SOLE 1 51999 PEOPLES UNITED FINANCIAL INC COM 712704105 1318 94101 SH SOLE 1 94101 PEPSICO INC COM 713448108 2572 39098 SH SOLE 1 39098 PERKINELMER INC COM 714046109 784 30358 SH SOLE 1 30358 PETMED EXPRESS INC COM 716382106 738 41442 SH SOLE 1 41442 PETSMART INC COM 716768106 2178 54696 SH SOLE 1 54696 PFIZER INC COM 717081103 1725 98507 SH SOLE 1 98507 POWERSHS DB MULTI SECT COMM DB AGRICULT FD 73936B408 1262 39023 SH DEFINED 1 39023 POWERSHS DB US DOLLAR INDEX DOLL INDX BULL 73936D107 2334 102753 SH DEFINED 1 102753 PROCTER & GAMBLE CO COM 742718109 2057 31974 SH SOLE 1 31974 PROSHARES TR PSHS ULTSH 20YRS 74347R297 831 22430 SH DEFINED 1 22430 PROVIDENT ENERGY TR TR UNIT 74386K104 2298 289049 SH SOLE 1 289049 RAYTHEON CO COM 755111507 1485 32035 SH SOLE 1 32035 REGAL ENTMT GROUP CL A 758766109 1048 89293 SH SOLE 1 89293 RPM INTL INC COM 749685103 739 33429 SH SOLE 1 33429 RYDEX ETF TRUST S&P 500 EQ TRD 78355W106 345 7290 SH DEFINED 1 7290 RYDEX ETF TRUST S&P500 PUR GRW 78355W403 354 8180 SH DEFINED 1 8180 RYDEX ETF TRUST S&P500 PUR VAL 78355W304 306 10720 SH DEFINED 1 10720 RYDEX ETF TRUST S&PMC400 PURGR 78355W601 324 4130 SH DEFINED 1 4130 RYDEX ETF TRUST S&PMC400 PURVL 78355W502 466 13690 SH DEFINED 1 13690 RYDEX ETF TRUST S&PSC600 PURGR 78355W809 492 10270 SH DEFINED 1 10270 RYDEX ETF TRUST S&PSC600 PURVL 78355W700 510 12940 SH DEFINED 1 12940 SABRA HEALTH CARE REIT INC COM 78573L106 1171 63667 SH SOLE 1 63667 SAFETY INS GROUP INC COM 78648T100 1689 35394 SH SOLE 1 35394 SARA LEE CORP COM 803111103 3113 177756 SH SOLE 1 177756 SCHOLASTIC CORP COM 807066105 600 20303 SH SOLE 1 20303 SEADRILL LIMITED SHS G7945E105 2271 66950 SH SOLE 1 66950 SELECT SECTOR SPDR TR SBI INT- ENERGY 81369Y506 2733 40048 SH DEFINED 1 40048 SELECT SECTOR SPDR TR TR SBI INT-INDS 81369Y704 2718 77872 SH DEFINED 1 77872 SELECT SECTOR SPDR TR TR SBI MATERIALS 81369Y100 3253 84488 SH DEFINED 1 84488 SIGMA ALDRICH CORP COM 826552101 1410 21180 SH SOLE 1 21180 SMUCKER J M CO COM 832696405 1359 20699 SH SOLE 1 20699 SOUTHERN CO COM 842587107 1792 46869 SH SOLE 1 46869 SOUTHWEST AIRLS CO COM 844741108 1407 108329 SH SOLE 1 108329 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 1620 9839 SH DEFINED 1 9839 SPDR SERIES TRUST KBW REGN BK ETF 78464A698 330 12490 SH DEFINED 1 12490 SPDR SERIES TRUST OILGAS EQUIP 78464A748 314 8550 SH DEFINED 1 8550 SPDR SERIES TRUST S&P METALS MNG 78464A755 501 7290 SH DEFINED 1 7290 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 321 6100 SH DEFINED 1 6100 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 331 6840 SH DEFINED 1 6840 SPDR SERIES TRUST SPDR KBW BK ETF 78464A797 315 12140 SH DEFINED 1 12140 SPECTRA ENERGY CORP COM 847560109 2200 88054 SH SOLE 1 88054 SYSCO CORP COM 871829107 2749 93515 SH SOLE 1 93515 UNISOURCE ENERGY CORP COM 909205106 1915 53435 SH SOLE 1 53435 UNISYS CORP COM 909214306 1194 46111 SH SOLE 1 46111 UNITED PARCEL SERVICE INC CL B 911312106 3142 43297 SH SOLE 1 43297 UNITED STATES NATL GAS FUND UNIT 912318102 2282 381550 SH DEFINED 1 381550 UNITED TECHNOLOGIES CORP COM 913017109 2331 29610 SH SOLE 1 29610 URS CORP NEW COM 903236107 815 19579 SH SOLE 1 19579 US BANCORP DEL COM 902973304 988 36565 SH SOLE 1 36565 V F CORP COM 918204108 1254 14550 SH SOLE 1 14550 VANGUARD INDEX FDS MID CAP ETF 922908629 321 4310 SH DEFINED 1 4310 VANGUARD INDEX FDS REIT ETF 922908553 1888 34102 SH DEFINED 1 34102 VARIAN MED SYS INC COM 92220P105 1208 17433 SH SOLE 1 17433 VERIZON COMMUNICATIONS INC COM 92343V104 1644 45948 SH SOLE 1 45948 VIVO PARTICIPACOES S A SPON ADR PFD 92855S200 855 26238 SH SOLE 1 26238 VODAFONE GROUP PLC NEW SPONS ADR 92857W209 1999 75623 SH SOLE 1 75623 WAL MART STORES INC COM 931142103 1359 25061 SH SOLE 1 25061 WASTE MGMT INC DEL COM 94106L109 4457 120895 SH SOLE 1 120895 WERNER ENTERPRISES INC COM 950755108 1296 57330 SH SOLE 1 57330 ZEBRA TECHNOLOGIES CORP CL A 989207105 1310 34472 SH SOLE 1 34472 TOTAL 253941 NUMBER OF ENTRIES 161
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