0001172661-11-000684.txt : 20111114 0001172661-11-000684.hdr.sgml : 20111111 20111114063629 ACCESSION NUMBER: 0001172661-11-000684 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111114 DATE AS OF CHANGE: 20111114 EFFECTIVENESS DATE: 20111114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Dalton Investments LLC CENTRAL INDEX KEY: 0001388838 IRS NUMBER: 954736598 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12151 FILM NUMBER: 111197510 BUSINESS ADDRESS: STREET 1: 12424 WILSHIRE BLVD STREET 2: SUITE 600 CITY: LOS ANGELES STATE: CA ZIP: 90025 BUSINESS PHONE: (310)442-5200 MAIL ADDRESS: STREET 1: 12424 WILSHIRE BLVD STREET 2: SUITE 600 CITY: LOS ANGELES STATE: CA ZIP: 90025 13F-HR 1 dal3q11.txt FORM 13F HOLDINGS REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 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: Dalton Investments LLC Address: 1601 Cloverfield Boulevard Suite 5050 N Santa Monica, CA 90404 13F File Number: 028-12151 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: Michelle Lynd, JD Title: Senior Managing Director- General Counsel Phone: (424) 231-9100 Signature, Place, and Date of Signing: /s/ Michelle Lynd Santa Monica, CA November 14, 2011 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 53 Form 13F Information Table Value Total: $206,336 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ACACIA RESH CORP ACACIA TCH COM 003881307 353 9815 SH SOLE 9815 0 0 ALPINE GLOBAL PREMIER PPTYS COM SBI 02083a103 63 11826 SH SOLE 11826 0 0 ALPS ETF TR JEFF TRJ CRB GLO 00162Q304 529 13499 SH SOLE 13499 0 0 AMC NETWORKS INC CL A 00164V103 2194 68675 SH SOLE 68675 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 10604 483100 SH SOLE 483100 0 0 BANCROFT FUND LTD COM 059695106 443 29956 SH SOLE 29956 0 0 BEBE STORES INC COM 075571109 255 38000 SH SOLE 38000 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 29904 420950 SH SOLE 420950 0 0 BLACKROCK MUNIHLDNGS QLTY II COM 09254C107 325 24593 SH SOLE 24593 0 0 BLACKROCK MUNIHOLDNGS QLTY I COM 09254A101 207 15406 SH SOLE 15406 0 0 BLACKROCK MUNIYIELD CALIF FD COM 09254M105 283 19913 SH SOLE 19913 0 0 BUILDERS FIRSTSOURCE INC COM 12008R107 894 704065 SH SOLE 704065 0 0 CABLEVISION SYS CORP CL A NY CABLVS 12686C109 6094 387400 SH SOLE 387400 0 0 CEPHALON INC COM 156708109 3276 40600 SH SOLE 40600 0 0 CITIGROUP INC COM NEW 172967424 4050 158100 SH SOLE 158100 0 0 COCA COLA CO COM 191216100 2926 43308 SH SOLE 43308 0 0 COHEN & STEERS CLOSED END OP COM 19248P106 564 48453 SH SOLE 48453 0 0 CONOCOPHILLIPS COM 20825C104 3583 56588 SH SOLE 56588 0 0 DELL INC COM 24702R101 21919 1550155 SH SOLE 1550155 0 0 ELLSWORTH FUND LTD COM 289074106 670 104234 SH SOLE 104234 0 0 ENSTAR GROUP LIMITED SHS G3075P101 941 9878 SH SOLE 9878 0 0 FRANKLIN TEMPLETON LTD DUR I COM 35472t101 234 17982 SH SOLE 17982 0 0 FRIENDFINDER NETWORKS INC COM IPO 358453306 26 13892 SH SOLE 13892 0 0 GOLDMAN SACHS GROUP INC COM 38141g104 9502 100500 SH SOLE 100500 0 0 ISHARES TR IBOXX INV CPBD 464287242 246 2189 SH SOLE 2189 0 0 ISHARES TR HIGH YLD CORP 464288513 253 3050 SH SOLE 3050 0 0 K V PHARMACEUTICAL CO CL A 482740206 20 14500 SH SOLE 14500 0 0 KKR FINANCIAL HLDGS LLC COM 48248A306 8290 1115800 SH SOLE 1115800 0 0 LIBERTY GLOBAL INC COM SER C 530555309 4643 134144 SH SOLE 134144 0 0 LIBERTY MEDIA CORP NEW INT COM SER A 53071M104 384 26000 SH SOLE 26000 0 0 LIBERTY MEDIA CORP NEW CAP COM SER A 53071M302 6804 102900 SH SOLE 102900 0 0 LIONBRIDGE TECHNOLOGIES INC COM 536252109 29 11784 SH SOLE 11784 0 0 LOEWS CORP COM 540424108 8383 242624 SH SOLE 242624 0 0 MORGAN STANLEY COM NEW 617446448 15011 1111100 SH SOLE 1111100 0 0 NYSE EURONEXT COM 629491101 8083 347800 SH SOLE 347800 0 0 PANHANDLE OIL AND GAS INC CL A 698477106 1702 60000 SH SOLE 60000 0 0 PLATINUM UNDERWRITER HLDGS L COM G7127P100 21933 713275 SH SOLE 713275 0 0 PROSHARES TR PSHS SHORT QQQ 74347R602 5121 150300 SH SOLE 150300 0 0 PROSHARES TR PSHS SHTRUSS2000 74347R826 5636 157300 SH SOLE 157300 0 0 RESOURCE CAP CORP COM 76120W302 54 10781 SH SOLE 10781 0 0 SANOFI RIGHT 12/31/2020 80105n113 1369 1291946 SH SOLE 1291946 0 0 SLM CORP COM 78442p106 8914 716000 SH SOLE 716000 0 0 SPDR INDEX SHS FDS S&P INTL SMLCP 78463x871 211 8384 SH SOLE 8384 0 0 SPDR SERIES TRUST BRCLYS CAP CONV 78464a359 276 7734 SH SOLE 7734 0 0 TELEPHONE & DATA SYS INC SPL COM 879433860 496 25100 SH SOLE 25100 0 0 UNITED MICROELECTRONICS CORP SPON ADR NEW 910873405 3746 1961023 SH SOLE 1961023 0 0 VANGUARD INDEX FDS REIT ETF 922908553 277 5445 SH SOLE 5445 0 0 VANGUARD INDEX FDS LARGE CAP ETF 922908637 1264 24473 SH SOLE 24473 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 235 3826 SH SOLE 3826 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1141 19763 SH SOLE 19763 0 0 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 287 7065 SH SOLE 7065 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1215 31367 SH SOLE 31367 0 0 VIACOM INC NEW CL B 92553p201 474 12239 SH SOLE 12239 0 0