0001085146-12-001403.txt : 20121113
0001085146-12-001403.hdr.sgml : 20121112
20121113093653
ACCESSION NUMBER: 0001085146-12-001403
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120930
FILED AS OF DATE: 20121113
DATE AS OF CHANGE: 20121113
EFFECTIVENESS DATE: 20121113
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: American Independence Financial Services LLC
CENTRAL INDEX KEY: 0001392910
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1031
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-12983
FILM NUMBER: 121196331
BUSINESS ADDRESS:
STREET 1: 230 PARK AVENUE, SUITE 534
CITY: New York
STATE: NY
ZIP: 10169
BUSINESS PHONE: 646-747-3475
MAIL ADDRESS:
STREET 1: 230 PARK AVENUE, SUITE 534
CITY: New York
STATE: NY
ZIP: 10169
13F-HR
1
aifs3q2012r.txt
AMERICAN INDEPENDENCE FINANCIAL SERVICES, LLC
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, 2012
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: American Independence Financial Services, LLC
Address: 230 Park Avenue
Suite 534
New York, NY 10169
13F File Number: 028-12983
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: John Pileggi & Eric Rubin
Title: Managing Owners
Phone: 646-747-3490
Signature, Place, and Date of Signing:
/s/ John Pileggi /s/ Eric Rubin New York, NY November 09, 2012
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: 155
Form 13F Information Table Value Total: $138,556 (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
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
8X8 INC NEW COM 282914100 103 15710 SH SOLE 15710 0 0
ABBOTT LABS COM 002824100 52 760 SH SOLE 760 0 0
ACTUANT CORP CL A NEW 00508X203 124 4317 SH SOLE 4317 0 0
ACTUATE CORP COM 00508B102 124 17630 SH SOLE 17630 0 0
ADOBE SYS INC COM 00724F101 108 3331 SH SOLE 3331 0 0
AFFILIATED MANAGERS GROUP COM 008252108 244 1983 SH SOLE 1983 0 0
AFFYMAX INC COM 00826A109 164 7770 SH SOLE 7770 0 0
AGENUS INC COM NEW 00847G705 31 6730 SH SOLE 6730 0 0
AGNICO EAGLE MINES LTD COM 008474108 16 310 SH SOLE 310 0 0
ALLEGHENY TECHNOLOGIES INC COM 01741R102 96 2994 SH SOLE 2994 0 0
AMARIN CORP PLC SPONS ADR NEW 023111206 73 5805 SH SOLE 5805 0 0
AMERICAN CAP LTD COM 02503Y103 362 31928 SH SOLE 31928 0 0
AMERICAN INTL GROUP INC COM NEW 026874784 3437 104826 SH SOLE 104826 0 0
ANIXTER INTL INC COM 035290105 105 1822 SH SOLE 1822 0 0
ANNALY CAP MGMT INC COM 035710409 3 200 SH SOLE 200 0 0
APPLE INC COM 037833100 567 850 SH SOLE 850 0 0
ARCHER DANIELS MIDLAND CO COM 039483102 3456 127139 SH SOLE 127139 0 0
ARIAD PHARMACEUTICALS INC COM 04033A100 121 4995 SH SOLE 4995 0 0
ARRAY BIOPHARMA INC COM 04269X105 38 6535 SH SOLE 6535 0 0
ASSURED GUARANTY LTD COM G0585R106 2140 157102 SH SOLE 157102 0 0
AUTOZONE INC COM 053332102 3754 10155 SH SOLE 10155 0 0
BANKRATE INC DEL COM 06647F102 143 9200 SH SOLE 9200 0 0
BED BATH & BEYOND INC COM 075896100 143 2270 SH SOLE 2270 0 0
BIOLASE INC COM 090911108 40 23159 SH SOLE 23159 0 0
BIOSANTE PHARMACEUTICALS INC COM PAR $0.0001 09065V302 20 10643 SH SOLE 10643 0 0
BLOOMIN BRANDS INC COM 094235108 144 8730 SH SOLE 8730 0 0
BRUKER CORP COM 116794108 207 15812 SH SOLE 15812 0 0
BUNGE LIMITED COM G16962105 5107 76161 SH SOLE 76161 0 0
CANADIAN NAT RES LTD COM 136385101 112 3633 SH SOLE 3633 0 0
CARDINAL HEALTH INC COM 14149Y108 4751 121922 SH SOLE 121922 0 0
CATERPILLAR INC DEL COM 149123101 5766 67012 SH SOLE 67012 0 0
CBRE GROUP INC CL A 12504L109 99 5370 SH SOLE 5370 0 0
CELGENE CORP COM 151020104 185 2428 SH SOLE 2428 0 0
CENTERPOINT ENERGY INC COM 15189T107 4 180 SH SOLE 180 0 0
CHEVRON CORP NEW COM 166764100 17 150 SH SOLE 150 0 0
CISCO SYS INC COM 17275R102 4846 253845 SH SOLE 253845 0 0
CITIGROUP INC COM NEW 172967424 3720 113704 SH SOLE 113704 0 0
CLIFFS NATURAL RESOURCES INC COM 18683K101 84 2140 SH SOLE 2140 0 0
COACH INC COM 189754104 82 1465 SH SOLE 1465 0 0
COCA COLA CO COM 191216100 7 180 SH SOLE 180 0 0
COEUR D ALENE MINES CORP IDA COM NEW 192108504 146 5065 SH SOLE 5065 0 0
COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 14 200 SH SOLE 200 0 0
COMCAST CORP NEW CL A 20030N101 215 6024 SH SOLE 6024 0 0
CORNING INC COM 219350105 3605 274178 SH SOLE 274178 0 0
COVIDIEN PLC SHS G2554F113 6939 116777 SH SOLE 116777 0 0
CREXUS INVT CORP COM 226553105 30 2800 SH SOLE 2800 0 0
CUMMINS INC COM 231021106 5342 57929 SH SOLE 57929 0 0
CURTISS WRIGHT CORP COM 231561101 9 260 SH SOLE 260 0 0
CVS CAREMARK CORPORATION COM 126650100 162 3353 SH SOLE 3353 0 0
DARDEN RESTAURANTS INC COM 237194105 182 3272 SH SOLE 3272 0 0
DEERE & CO COM 244199105 2179 26417 SH SOLE 26417 0 0
DELL INC COM 24702R101 5099 517150 SH SOLE 517150 0 0
DENNYS CORP COM 24869P104 127 26257 SH SOLE 26257 0 0
DEVON ENERGY CORP NEW COM 25179M103 7 120 SH SOLE 120 0 0
DIAGEO P L C SPON ADR NEW 25243Q205 2291 20326 SH SOLE 20326 0 0
DIRECTV COM 25490A309 133 2536 SH SOLE 2536 0 0
E M C CORP MASS COM 268648102 4042 148230 SH SOLE 148230 0 0
EBAY INC COM 278642103 175 3606 SH SOLE 3606 0 0
ELOQUA INC COM 290139104 133 6750 SH SOLE 6750 0 0
ENTRAVISION COMMUNICATIONS C CL A 29382R107 73 54236 SH SOLE 54236 0 0
EPOCH HOLDING CORP COM 29428R103 102 4420 SH SOLE 4420 0 0
FACEBOOK INC CL A 30303M102 149 6865 SH SOLE 6865 0 0
FAIRCHILD SEMICONDUCTOR INTL COM 303726103 6 450 SH SOLE 450 0 0
FEDEX CORP COM 31428X106 3267 38611 SH SOLE 38611 0 0
FREEPORT-MCMORAN COPPER & GO COM 35671D857 2413 60962 SH SOLE 60962 0 0
GENERAL DYNAMICS CORP COM 369550108 3424 51785 SH SOLE 51785 0 0
GENERAL ELECTRIC CO COM 369604103 146 6418 SH SOLE 6418 0 0
GENERAL MTRS CO COM 37045V100 3836 168633 SH SOLE 168633 0 0
G-III APPAREL GROUP LTD COM 36237H101 36 1000 SH SOLE 1000 0 0
GILEAD SCIENCES INC COM 375558103 199 3004 SH SOLE 3004 0 0
GOLDMAN SACHS GROUP INC COM 38141G104 3235 28453 SH SOLE 28453 0 0
GOOGLE INC CL A 38259P508 204 271 SH SOLE 271 0 0
GREEN MTN COFFEE ROASTERS IN COM 393122106 1446 60871 SH SOLE 60871 0 0
GT ADVANCED TECHNOLOGIES INC COM 36191U106 21 3830 SH SOLE 3830 0 0
HACKETT GROUP INC COM 404609109 91 21695 SH SOLE 21695 0 0
HALLIBURTON CO COM 406216101 3688 109467 SH SOLE 109467 0 0
HALOZYME THERAPEUTICS INC COM 40637H109 76 9996 SH SOLE 9996 0 0
HARTFORD FINL SVCS GROUP INC COM 416515104 130 6665 SH SOLE 6665 0 0
HERTZ GLOBAL HOLDINGS INC COM 42805T105 39 2858 SH SOLE 2858 0 0
HEWLETT PACKARD CO COM 428236103 10 590 SH SOLE 590 0 0
HOMEAWAY INC COM 43739Q100 47 2025 SH SOLE 2025 0 0
IMMUNOCELLULAR THERAPEUTICS COM 452536105 60 21405 SH SOLE 21405 0 0
IMMUNOGEN INC COM 45253H101 93 6375 SH SOLE 6375 0 0
INCYTE CORP COM 45337C102 83 4580 SH SOLE 4580 0 0
IPG PHOTONICS CORP COM 44980X109 38 660 SH SOLE 660 0 0
IRIDIUM COMMUNICATIONS INC COM 46269C102 89 12175 SH SOLE 12175 0 0
ISHARES INC MSCI BRAZIL 464286400 5 100 SH SOLE 100 0 0
JAMBA INC COM 47023A101 162 72447 SH SOLE 72447 0 0
JOHNSON & JOHNSON COM 478160104 28 410 SH SOLE 410 0 0
JOY GLOBAL INC COM 481165108 2906 51830 SH SOLE 51830 0 0
JPMORGAN CHASE & CO COM 46625H100 3968 98015 SH SOLE 98015 0 0
KINDER MORGAN INC DEL COM 49456B101 32 896 SH SOLE 896 0 0
KRONOS WORLDWIDE INC COM 50105F105 21 1396 SH SOLE 1396 0 0
LIQUIDITY SERVICES INC COM 53635B107 119 2365 SH SOLE 2365 0 0
MACYS INC COM 55616P104 157 4165 SH SOLE 4165 0 0
MAGAL SECURITY SYS LTD ORD M6786D104 61 15896 SH SOLE 15896 0 0
MARKET VECTORS ETF TR BRAZL SMCP ETF 57060U613 11 280 SH SOLE 280 0 0
MARKET VECTORS ETF TR RUSSIA ETF 57060U506 8 290 SH SOLE 290 0 0
MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 11 1250 SH SOLE 1250 0 0
MATERION CORP COM 576690101 62 2597 SH SOLE 2597 0 0
MATTSON TECHNOLOGY INC COM 577223100 46 47935 SH SOLE 47935 0 0
MAXWELL TECHNOLOGIES INC COM 577767106 41 5015 SH SOLE 5015 0 0
MCGRAW HILL COS INC COM 580645109 1110 20328 SH SOLE 20328 0 0
MCKESSON CORP COM 58155Q103 5242 60936 SH SOLE 60936 0 0
MEDTRONIC INC COM 585055106 17 400 SH SOLE 400 0 0
MERCADOLIBRE INC COM 58733R102 118 1435 SH SOLE 1435 0 0
MERCK & CO INC NEW COM 58933Y105 13 280 SH SOLE 280 0 0
METLIFE INC COM 59156R108 2449 71074 SH SOLE 71074 0 0
MICROSOFT CORP COM 594918104 4791 160895 SH SOLE 160895 0 0
MKS INSTRUMENT INC COM 55306N104 101 3957 SH SOLE 3957 0 0
MORGAN STANLEY COM NEW 617446448 16 940 SH SOLE 940 0 0
NETSPEND HLDGS INC COM 64118V106 123 12475 SH SOLE 12475 0 0
NEWMONT MINING CORP COM 651639106 117 2085 SH SOLE 2085 0 0
NEWPARK RES INC COM PAR $.01NEW 651718504 107 14405 SH SOLE 14405 0 0
NII HLDGS INC CL B NEW 62913F201 31 3965 SH SOLE 3965 0 0
NOBLE ENERGY INC COM 655044105 166 1789 SH SOLE 1789 0 0
NORDSTROM INC COM 655664100 164 2975 SH SOLE 2975 0 0
NPS PHARMACEUTICALS INC COM 62936P103 98 10600 SH SOLE 10600 0 0
OCCIDENTAL PETE CORP DEL COM 674599105 6143 71386 SH SOLE 71386 0 0
OMNICOM GROUP INC COM 681919106 1309 25392 SH SOLE 25392 0 0
ONCOTHYREON INC COM 682324108 27 5300 SH SOLE 5300 0 0
PANDORA MEDIA INC COM 698354107 93 8510 SH SOLE 8510 0 0
PFIZER INC COM 717081103 12 500 SH SOLE 500 0 0
PNC FINL SVCS GROUP INC COM 693475105 9 140 SH SOLE 140 0 0
POWER ONE INC NEW COM 73930R102 120 21429 SH SOLE 21429 0 0
PVH CORP COM 693656100 38 410 SH SOLE 410 0 0
QUALCOMM INC COM 747525103 171 2734 SH SOLE 2734 0 0
RADIAN GROUP INC COM 750236101 171 39512 SH SOLE 39512 0 0
RED ROBIN GOURMET BURGERS IN COM 75689M101 92 2835 SH SOLE 2835 0 0
RITE AID CORP COM 767754104 118 101100 SH SOLE 101100 0 0
ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 41 590 SH SOLE 590 0 0
SALLY BEAUTY HLDGS INC COM 79546E104 11 450 SH SOLE 450 0 0
SCHLUMBERGER LTD COM 806857108 149 2060 SH SOLE 2060 0 0
SKYWORKS SOLUTIONS INC COM 83088M102 61 2570 SH SOLE 2570 0 0
SOTHEBYS COM 835898107 199 6325 SH SOLE 6325 0 0
SPDR GOLD TRUST GOLD SHS 78463V107 38 220 SH SOLE 220 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 1400 4500 SH PUT SOLE 4500 0 0
STAPLES INC COM 855030102 41 3589 SH SOLE 3589 0 0
STARBUCKS CORP COM 855244109 2319 45695 SH SOLE 45695 0 0
SUNPOWER CORP COM 867652406 35 7830 SH SOLE 7830 0 0
SYNOVUS FINL CORP COM 87161C105 1873 790334 SH SOLE 790334 0 0
TEMPLETON RUS AND EAST EUR F COM 88022F105 6 370 SH SOLE 370 0 0
TERADYNE INC COM 880770102 91 6400 SH SOLE 6400 0 0
TEREX CORP NEW COM 880779103 137 6060 SH SOLE 6060 0 0
THERMO FISHER SCIENTIFIC INC COM 883556102 4184 71127 SH SOLE 71127 0 0
TRIPADVISOR INC COM 896945201 88 2675 SH SOLE 2675 0 0
TUMI HLDGS INC COM 89969Q104 88 3725 SH SOLE 3725 0 0
UNITED RENTALS INC COM 911363109 158 4840 SH SOLE 4840 0 0
US BANCORP DEL COM NEW 902973304 14 400 SH SOLE 400 0 0
VASCULAR SOLUTIONS INC COM 92231M109 67 4555 SH SOLE 4555 0 0
VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 23 790 SH SOLE 790 0 0
WARNER CHILCOTT PLC IRELAND SHS A G94368100 81 5985 SH SOLE 5985 0 0
WEB COM GROUP INC COM 94733A104 131 7310 SH SOLE 7310 0 0
WELLS FARGO & CO NEW COM 949746101 2279 66010 SH SOLE 66010 0 0
YAHOO INC COM 984332106 12 770 SH SOLE 770 0 0