0000909012-11-000326.txt : 20110513 0000909012-11-000326.hdr.sgml : 20110513 20110513165141 ACCESSION NUMBER: 0000909012-11-000326 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110513 DATE AS OF CHANGE: 20110513 EFFECTIVENESS DATE: 20110513 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: 11841811 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 t306375.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, 2011 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 May 13, 2011 -------------------------- ------------------- ----------------- [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, LLC 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: 131 Form 13F Information Table Value Total: 276211 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.
CUSIP VALUE SH/PRN SH/ PUT/ INVSMNT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS NUMBER (X1000) AMT PRN CALL DSCRETN MGRS SOLE SHARED NONE 3M CO COM 88579Y101 1654 17757 SH SOLE 1 17757 AKAMAI TECHNOLOGIES INC COM 00971T101 2178 57928 SH SOLE 1 57928 AMERICAN EAGLE OUTFITTERS NE COM 02553E106' 1623 101762 SH SOLE 1 101762 APOLLO INVT CORP COM 03761U106 857 68710 SH SOLE 1 68710 ASTRAZENECA PLC SPONSORED ADR 046353108 2026 43483 SH SOLE 1 43483 ATLANTIC TELE NETWORK INC COM NEW 049079205 946 25747 SH SOLE 1 25747 AUTOMATIC DATA PROCESSING IN COM 053015103 4191 81099 SH SOLE 1 81099 AVISTA CORP COM 05379B107 2055 87806 SH SOLE 1 87806 BANK HAWAII CORP COM 062540109 2508 52247 SH SOLE 1 52247 BARCLAYS BK PLC IPTH S&P VIX NEW 06740C261 1216 41416 SH DEFINED 1 41416 BECKMAN COULTER INC COM 075811109 1682 20253 SH SOLE 1 20253 BECTON DICKINSON & CO COM 075887109 2006 24903 SH SOLE 1 24903 BELO CORP COM SER A 080555105 1160 127710 SH SOLE 1 127710 BLOCK H & R INC COM 093671105 2863 164152 SH SOLE 1 164152 BOB EVANS FARMS INC COM 096761101 1874 57350 SH SOLE 1 57350 BORGWARNER INC COM 099724106 1511 18647 SH SOLE 1 18647 BOSTON SCIENTIFIC CORP COM 101137107 2649 362837 SH SOLE 1 362837 BREITBURN ENERGY PARTNERS LP COM UT LTD PTN 106776107 3911 180971 SH SOLE 1 180971 BUNGE LIMITED COM G16962105 1326 17962 SH SOLE 1 17962 CGG VERITAS SPONSORED ADR 204386106 850 23459 SH SOLE 1 23459 CHARLES RIV LABS INTL INC COM 159864107 1749 44143 SH SOLE 1 44143 CHEVRON CORP NEW COM 166764100 3588 33121 SH SOLE 1 33121 CHICAGO BRIDGE & IRON CO N V N Y REGISTRY SH 167250109 1924 47948 SH SOLE 1 47948 CHUBB CORP COM 171232101 3202 51796 SH SOLE 1 51796 CINCINNATI FINL CORP COM 172062101 4743 142067 SH SOLE 1 142067 CLOROX CO DEL COM 189054109 3479 49098 SH SOLE 1 49098 COMMERCE BANCSHARES INC COM 200525103 1585 38655 SH SOLE 1 38655 COMPANIA CERVECERIAS UNIDAS SPONSORED ADR 204429104 2359 39437 SH SOLE 1 39437 COMPASS DIVERSIFIED HOLDINGS SH BEN INT 20451Q104 1193 78608 SH SOLE 1 78608 CONOCOPHILLIPS COM 20825C104 3320 41671 SH SOLE 1 41671 CON-WAY INC COM 205944101 1613 41691 SH SOLE 1 41691 CRACKER BARREL OLD CTRY STOR COM 22410J106 897 18221 SH SOLE 1 18221 CULLEN FROST BANKERS INC COM 229899109 2038 34093 SH SOLE 1 34093 DARDEN RESTAURANTS INC COM 237194105 1742 35814 SH SOLE 1 35814 DENBURY RES INC COM NEW 247916208 784 32138 SH SOLE 1 32138 DIAGEO P L C SPON ADR 25243Q205 1566 20367 SH SOLE 1 20367 DUKE ENERGY CORP NEW COM 26441C105 2924 158723 SH SOLE 1 158723 EATON VANCE CORP COM NON VTG 278265103 1498 46096 SH SOLE 1 46096 ENTERGY CORP NEW COM 29364G103 806 11919 SH SOLE 1 11919 F M C CORP COM 302491303 1211 14037 SH SOLE 1 14037 FACTSET RESH SYS INC COM 303075105 788 7508 SH SOLE 1 7508 FEDERATED INVS INC PA CL B 314211103 2996 111101 SH SOLE 1 111101 FIRST NIAGARA FINL GP INC COM 33582V108 1599 115523 SH SOLE 1 115523 FMC TECHNOLOGIES INC COM 30249U101 1780 36394 SH SOLE 1 36394 FOREST LABS INC COM 345838106 1469 44784 SH SOLE 1 44784 FRONTLINE LTD SHS G3682E127 811 32767 SH SOLE 1 32767 GANNETT INC COM 364730101 1629 105777 SH SOLE 1 105777 GENERAL DYNAMICS CORP COM 369550108 1727 22301 SH SOLE 1 22301 GENERAL MLS INC COM 370334104 3630 99740 SH SOLE 1 99740 GENUINE PARTS CO COM 372460105 3621 66935 SH SOLE 1 66935 GRUPO AEROPORTUARIO DEL SURE SPON ADR SER B 40051E202 817 13800 SH SOLE 1 13800 HARRIS CORP DEL COM 413875105 1394 27843 SH SOLE 1 27843 HILLENBRAND INC COM 431571108 1823 83650 SH SOLE 1 83650 INTEL CORP COM 458140100 2971 150649 SH SOLE 1 150649 INTERPUBLIC GROUP COS INC COM 460690100 1540 122002 SH SOLE 1 122002 IRON MTN INC COM 462846106 2010 63372 SH SOLE 1 63372 ISHARES INC MSCI CDA INDEX 464286509 3188 94766 SH DEFINED 1 94766 ISHARES TR MSCI EAFE INDEX 464287465 3128 52048 SH DEFINED 1 52048 ISHARES TR RUSL 2000 GROW 464287648 3354 35175 SH DEFINED 1 35175 ISHARES TR RUSL 2000 VALU 464287630 3280 43509 SH DEFINED 1 43509 ISHARES TR RUSSELL MCP GR 464287481 3303 54232 SH DEFINED 1 54232 ISHARES TR RUSSELL MCP VL 464287473 2757 57249 SH DEFINED 1 57249 ITRON INC COM 465741106 201 3594 SH SOLE 1 3594 JABIL CIRCUIT INC COM 466313103 1013 50531 SH SOLE 1 50531 JOHNSON & JOHNSON COM 478160104 2503 42073 SH SOLE 1 42073 KIMBERLY CLARK CORP COM 494368103 3454 52288 SH SOLE 1 52288 LEXMARK INTL NEW CL A 529771107 1658 46163 SH SOLE 1 46163 LINCARE HLDGS INC COM 532791100 795 26824 SH SOLE 1 26824 LOCKHEED MARTIN CORP COM 539830109 1827 22557 SH SOLE 1 22557 MANPOWER INC COM 56418H100 1278 20376 SH SOLE 1 20376 MARKET VECTORS ETF TR COAL ETF 57060U837 1441 28416 SH DEFINED 1 28416 MATTEL INC COM 577081102 1221 48338 SH SOLE 1 48338 MCCORMICK & CO INC COM NON VTG 579780206 3464 72300 SH SOLE 1 72300 MCDONALDS CORP COM 580135101 2687 35356 SH SOLE 1 35356 MCGRAW HILL COS INC COM 580645109 1912 48791 SH SOLE 1 48791 MENTOR GRAPHICS CORP COM 587200106 396 26962 SH SOLE 1 26962 MICROSOFT CORP COM 594918104 1580 62028 SH SOLE 1 62028 MOLEX INC COM 608554101 1541 61639 SH SOLE 1 61639 MOLSON COORS BREWING CO CL B 60871R209 1493 31598 SH SOLE 1 31598 NEW YORK TIMES CO CL A 650111107 1965 206859 SH SOLE 1 206859 NORDIC AMERICAN TANKER SHIPP COM G65773106 1679 67367 SH SOLE 1 67367 NORFOLK SOUTHERN CORP COM 655844108 3953 57019 SH SOLE 1 57019 NUANCE COMMUNICATIONS INC COM 67020Y100 1686 86208 SH SOLE 1 86208 NUCOR CORP COM 670346105 2898 62232 SH SOLE 1 62232 ONEBEACON INSURANCE GROUP LT CL A G67742109 1267 91448 SH SOLE 1 91448 OWENS & MINOR INC NEW COM 690732102 1594 48350 SH SOLE 1 48350 PARTNERRE LTD COM G6852T105 3019 37268 SH SOLE 1 37268 PAYCHEX INC COM 704326107 1917 60223 SH SOLE 1 60223 PEARSON PLC SPONSORED ADR 705015105 834 45618 SH SOLE 1 45618 PEPSICO INC COM 713448108 3468 53179 SH SOLE 1 53179 PERKINELMER INC COM 714046109 689 26133 SH SOLE 1 26133 PETSMART INC COM 716768106 1696 41077 SH SOLE 1 41077 PFIZER INC COM 717081103 2336 114645 SH SOLE 1 114645 POWERSHS DB MULTI SECT COMM DB AGRICULT FD 73936B408 3086 90134 SH DEFINED 1 90134 PROCTER & GAMBLE CO COM 742718109 2273 36612 SH SOLE 1 36612 PROSHARES TR PSHS ULTSH 20YRS 74347R297 1205 32180 SH DEFINED 1 32180 RAYTHEON CO COM 755111507 2259 44114 SH SOLE 1 44114 REGAL ENTMT GROUP CL A 758766109 1368 101160 SH SOLE 1 101160 SABRA HEALTH CARE REIT INC COM 78573L106 1712 95349 SH SOLE 1 95349 SAFETY INS GROUP INC COM 78648T100 1880 40468 SH SOLE 1 40468 SARA LEE CORP COM 803111103 3628 201452 SH SOLE 1 201452 SCHOLASTIC CORP COM 807066105 623 23062 SH SOLE 1 23062 SEADRILL LIMITED SHS G7945E105 2789 75912 SH SOLE 1 75912 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 2729 34198 SH DEFINED 1 34198 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 2682 71187 SH DEFINED 1 71187 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 1636 40863 SH DEFINED 1 40863 SHIP FINANCE INTERNATIONAL L SHS G81075106 1700 81405 SH SOLE 1 81405 SIGMA ALDRICH CORP COM 826552101 1558 24366 SH SOLE 1 24366 SMUCKER J M CO COM 832696405 1703 23512 SH SOLE 1 23512 SOUTHERN CO COM 842587107 2035 53122 SH SOLE 1 53122 SOUTHWEST AIRLS CO COM 844741108 1697 133914 SH SOLE 1 133914 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP SHS 78467Y107 3228 17979 SH DEFINED 1 17979 SPDR SERIES TRUST BRCLYS 1-3MT ETF 78464A680 7945 173272 SH DEFINED 1 173272 SPECTRA ENERGY CORP COM 847560109 2725 99504 SH SOLE 1 99504 SYSCO CORP COM 871829107 3387 120354 SH SOLE 1 120354 UNISOURCE ENERGY CORP COM 909205106 2216 60663 SH SOLE 1 60663 UNISYS CORP COM 909214306 1428 45780 SH SOLE 1 45780 UNITED PARCEL SERVICE INC CL B 911312106 3661 49155 SH SOLE 1 49155 UNITED STATES NATL GAS FUND UNIT NEW 912318110 1153 100241 SH DEFINED 1 100241 UNITED TECHNOLOGIES CORP COM 913017109 2867 33604 SH SOLE 1 33604 URS CORP NEW COM 903236107 847 18467 SH SOLE 1 18467 US BANCORP DEL COM NEW 902973304 1110 41396 SH SOLE 1 41396 VANGUARD INDEX FDS REIT ETF 922908553 3173 54256 SH DEFINED 1 54256 VARIAN MED SYS INC COM 92220P105 1051 15304 SH SOLE 1 15304 VERIZON COMMUNICATIONS INC COM 92343V104 2005 52119 SH SOLE 1 52119 VIVO PARTICIPACOES S A SPON ADR PFD 92855S200 2376 57038 SH SOLE 1 57038 VODAFONE GROUP PLC NEW SPONS ADR 92857W209 3000 103168 SH SOLE 1 103168 WAL MART STORES INC COM 931142103 1492 28420 SH SOLE 1 28420 WASTE MGMT INC DEL COM 94106L109 4729 125591 SH SOLE 1 125591 WERNER ENTERPRISES INC COM 950755108 1554 58052 SH SOLE 1 58052 ZEBRA TECHNOLOGIES CORP CL A 989207105 1319 33549 SH SOLE 1 33549 TOTAL 276211 NUMBER OF ENTRIES 131