0001140361-14-032617.txt : 20140814 0001140361-14-032617.hdr.sgml : 20140814 20140814141810 ACCESSION NUMBER: 0001140361-14-032617 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140630 FILED AS OF DATE: 20140814 DATE AS OF CHANGE: 20140814 EFFECTIVENESS DATE: 20140814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PERMAL ASSET MANAGEMENT LLC CENTRAL INDEX KEY: 0001438129 IRS NUMBER: 412048502 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14027 FILM NUMBER: 141041573 BUSINESS ADDRESS: STREET 1: 900 THIRD AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-418-6500 MAIL ADDRESS: STREET 1: 900 THIRD AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: PERMAL ASSET MANAGEMENT INC. DATE OF NAME CHANGE: 20080619 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001438129 XXXXXXXX 06-30-2014 06-30-2014 PERMAL ASSET MANAGEMENT LLC

900 THIRD AVENUE NEW YORK NY 10022

13F HOLDINGS REPORT 028-14027 N Karen Hager 212-418-6624 Karen Hager New York NY 08-14-2014 2 42 98376 false 1 0000704051 028-01700 LEGG MASON, INC. 2 0001505598 028-14026 Permal Investment Management Services Ltd INFORMATION TABLE 2 form13fInfoTable.xml ARES CAP CORP COM 04010L103 937 52398 SH DFND 1 52398 0 0 ARES CAP CORP COM 04010L103 193 10819 SH DFND 1,2 10819 0 0 CHIMERA INVT CORP COM 16934Q109 1760 551577 SH DFND 1 551577 0 0 CHIMERA INVT CORP COM 16934Q109 364 114202 SH DFND 1,2 114202 0 0 COLONY FINL INC COM 19624R106 1830 78786 SH DFND 1 78786 0 0 COLONY FINL INC COM 19624R106 384 16555 SH DFND 1,2 16555 0 0 ETFS PLATINUM TR SH BEN INT 26922V101 4791 33128 SH DFND 1 33128 0 0 ETFS PALLADIUM TR SH BEN INT 26923A106 3515 45500 SH DFND 1 45500 0 0 FIFTH STREET FINANCE CORP COM 31678A103 956 97177 SH DFND 1 97177 0 0 FIFTH STREET FINANCE CORP COM 31678A103 196 19921 SH DFND 1,2 19921 0 0 FIRST TR ENERGY INFRASTRCTR COM 33738C103 2805 117970 SH DFND 1 117970 0 0 ISHARES EMU ETF 464286608 3422 80855 SH DFND 1 80855 0 0 ISHARES MSCI STH KOR ETF 464286772 6020 92580 SH DFND 1,2 92580 0 0 ISHARES MSCI JAPAN ETF 464286848 3531 293161 SH DFND 1 293161 0 0 ISHARES CHINA LG-CAP ETF 464287184 8488 229150 SH DFND 1,2 229150 0 0 ISHARES U.S. INSRNCE ETF 464288786 3509 73393 SH DFND 1 73393 0 0 ISHARES US OIL EQ&SV ETF 464288844 1840 23729 SH DFND 1 23729 0 0 MAIN STREET CAPITAL CORP COM 56035L104 969 29420 SH DFND 1 29420 0 0 MAIN STREET CAPITAL CORP COM 56035L104 192 5833 SH DFND 1,2 5833 0 0 MORGAN STANLEY EMER MKTS DEB COM 61744H105 1414 139116 SH DFND 1 139116 0 0 MORGAN STANLEY CHINA A SH FD COM 617468103 18932 862522 SH DFND 1,2 862522 0 0 NEW MTN FIN CORP COM 647551100 947 63696 SH DFND 1 63696 0 0 NEW MTN FIN CORP COM 647551100 193 13005 SH DFND 1,2 13005 0 0 NORTHSTAR RLTY FIN CORP COM 66704R100 1873 107764 SH DFND 1 107764 0 0 NORTHSTAR RLTY FIN CORP COM 66704R100 381 21911 SH DFND 1,2 21911 0 0 POWERSHS DB MULTI SECT COMM DB ENERGY FUND 73936B101 1775 57700 SH DFND 1 57700 0 0 PROSHARES TR PSHS ULTSH 20YRS 74347B201 3423 56361 SH DFND 1 56361 0 0 PROSPECT CAPITAL CORPORATION COM 74348T102 951 89446 SH DFND 1 89446 0 0 PROSPECT CAPITAL CORPORATION COM 74348T102 209 19644 SH DFND 1,2 19644 0 0 RAIT FINANCIAL TRUST COM NEW 749227609 1790 216382 SH DFND 1 216382 0 0 RAIT FINANCIAL TRUST COM NEW 749227609 378 45655 SH DFND 1,2 45655 0 0 REACHLOCAL INC COM 75525F104 750 106692 SH DFND 1,2 106692 0 0 RESOURCE CAP CORP COM 76120W302 1717 304778 SH DFND 1 304778 0 0 RESOURCE CAP CORP COM 76120W302 358 63654 SH DFND 1,2 63654 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 1793 14000 SH DFND 1 14000 0 0 SPDR SERIES TRUST S&P REGL BKG 78464A698 3554 88139 SH DFND 1 88139 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 3563 65900 SH DFND 1 65900 0 0 STARWOOD PPTY TR INC COM 85571B105 1824 76729 SH DFND 1 76729 0 0 STARWOOD PPTY TR INC COM 85571B105 319 13420 SH DFND 1,2 13420 0 0 TWO HBRS INVT CORP COM 90187B101 1767 168533 SH DFND 1 168533 0 0 TWO HBRS INVT CORP COM 90187B101 369 35197 SH DFND 1,2 35197 0 0 WISDOMTREE TR CHINESE YUAN FD 97717W182 4394 174910 SH DFND 1,2 174910 0 0