0001172661-11-000613.txt : 20111021 0001172661-11-000613.hdr.sgml : 20111021 20111021162405 ACCESSION NUMBER: 0001172661-11-000613 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111021 DATE AS OF CHANGE: 20111021 EFFECTIVENESS DATE: 20111021 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DAL Investment CO CENTRAL INDEX KEY: 0001427261 IRS NUMBER: 943271777 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12906 FILM NUMBER: 111152789 BUSINESS ADDRESS: STREET 1: 235 MONTGOMERY STREET STREET 2: SUITE 1049 CITY: SAN FRANCISCO STATE: CA ZIP: 94104-3008 BUSINESS PHONE: 415-986-7979 MAIL ADDRESS: STREET 1: 235 MONTGOMERY STREET STREET 2: SUITE 1049 CITY: SAN FRANCISCO STATE: CA ZIP: 94104-3008 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: DAL Investment Company Address: 235 Montgomery Street, Suite 1049 San Francisco, CA 94104-3008 13F File Number: 028-12906 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: Bernardo Kuan Title: CCO Phone: (415) 986-7979 Signature, Place, and Date of Signing: /s/ Bernardo Kuan San Francisco, CA October 21, 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: 46 Form 13F Information Table Value Total: $339,569 (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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M CO COM 88579Y101 574 8000 SH SOLE 8000 0 0 ABBOTT LABS COM 002824100 358 7000 SH SOLE 7000 0 0 APPLE INC COM 037833100 572 1500 SH SOLE 1500 0 0 CATERPILLAR INC DEL COM 149123101 886 12000 SH SOLE 12000 0 0 CHEVRON CORP NEW COM 166764100 1667 18000 SH SOLE 18000 0 0 CHUBB CORP COM 171232101 240 4000 SH SOLE 4000 0 0 CLAYMORE EXCHANGE TRD FD TR GUGG INSDR SENT 18383M209 6401 232331 SH SOLE 232331 0 0 COLGATE PALMOLIVE CO COM 194162103 621 7000 SH SOLE 7000 0 0 COSTCO WHSL CORP NEW COM 22160K105 986 12000 SH SOLE 12000 0 0 DOW CHEM CO COM 260543103 337 15000 SH SOLE 15000 0 0 GENERAL ELECTRIC CO COM 369604103 1522 100000 SH SOLE 100000 0 0 HOME DEPOT INC COM 437076102 986 30000 SH SOLE 30000 0 0 ISHARES SILVER TRUST ISHARES 46428Q109 7904 273390 SH SOLE 273390 0 0 ISHARES TR DJ SEL DIV INX 464287168 33211 688446 SH SOLE 688446 0 0 ISHARES TR S&P500 GRW 464287309 44826 731972 SH SOLE 731972 0 0 ISHARES TR BARCLYS 1-3 YR 464287457 9674 114393 SH SOLE 114393 0 0 ISHARES TR S&P MC 400 GRW 464287606 10840 120661 SH SOLE 120661 0 0 ISHARES TR RUSSELL1000GRW 464287614 21680 412326 SH SOLE 412326 0 0 ISHARES TR RUSL 2000 GROW 464287648 1220 16610 SH SOLE 16610 0 0 ISHARES TR S&P SMLCP GROW 464287887 1334 20700 SH SOLE 20700 0 0 ISHARES TR BARCLYS 1-3YR CR 464288646 8085 77753 SH SOLE 77753 0 0 ISHARES TR BARCLYS 3-7 YR 464288661 15418 126916 SH SOLE 126916 0 0 JOHNSON & JOHNSON COM 478160104 456 7156 SH SOLE 7156 0 0 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 9730 176292 SH SOLE 176292 0 0 NOKIA CORP SPONSORED ADR 654902204 85 15000 SH SOLE 15000 0 0 PEPSICO INC COM 713448108 619 10000 SH SOLE 10000 0 0 POLYPORE INTL INC COM 73179V103 791 14000 SH SOLE 14000 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 14192 270367 SH SOLE 270367 0 0 RYDEX ETF TRUST S&PMC400 PURGR 78355W601 32671 446386 SH SOLE 446386 0 0 SCHLUMBERGER LTD COM 806857108 275 4600 SH SOLE 4600 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 8519 287206 SH SOLE 287206 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 10093 172501 SH SOLE 172501 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 11706 348198 SH SOLE 348198 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 4793 44000 SH SOLE 44000 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 4715 29831 SH SOLE 29831 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 7468 66000 SH PUT SOLE 66000 0 0 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 798 8200 SH SOLE 8200 0 0 SPDR SERIES TRUST S&P 500 GROWTH 78464A409 303 5700 SH SOLE 5700 0 0 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 7726 128538 SH SOLE 128538 0 0 TARGET CORP COM 87612E106 785 16000 SH SOLE 16000 0 0 TOTAL S A SPONSORED ADR 89151E109 263 6000 SH SOLE 6000 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 604 7217 SH SOLE 7217 0 0 VANGUARD INDEX FDS SML CP GRW ETF 922908595 3263 48803 SH SOLE 48803 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 19203 343286 SH SOLE 343286 0 0 WELLS FARGO & CO NEW COM 949746101 241 10000 SH SOLE 10000 0 0 WISDOMTREE TRUST DIV EX-FINL FD 97717W406 30928 659312 SH SOLE 659312 0 0