0001140361-14-007612.txt : 20140214 0001140361-14-007612.hdr.sgml : 20140214 20140214134001 ACCESSION NUMBER: 0001140361-14-007612 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140214 DATE AS OF CHANGE: 20140214 EFFECTIVENESS DATE: 20140214 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: 14614180 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 12-31-2013 12-31-2013 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 02-14-2014 2 43 97874 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 931 52398 SH DFND 1 52398 0 0 ARES CAP CORP COM 04010L103 214 12019 SH DFND 1,2 12019 0 0 CHIMERA INVT CORP COM 16934Q109 890 287077 SH DFND 1 287077 0 0 CHIMERA INVT CORP COM 16934Q109 199 64032 SH DFND 1,2 64032 0 0 COLONY FINL INC COM 19624R106 1579 77786 SH DFND 1 77786 0 0 COLONY FINL INC COM 19624R106 330 16275 SH DFND 1,2 16275 0 0 ETFS PLATINUM TR SH BEN INT 26922V101 5199 38828 SH DFND 1 38828 0 0 ETFS PALLADIUM TR SH BEN INT 26923A106 4002 58000 SH DFND 1 58000 0 0 FIFTH STREET FINANCE CORP COM 31678A103 829 89568 SH DFND 1 89568 0 0 FIFTH STREET FINANCE CORP COM 31678A103 209 22621 SH DFND 1,2 22621 0 0 FIRST TR ENERGY INFRASTRCTR COM 33738C103 2142 102820 SH DFND 1 102820 0 0 ISHARES EMU ETF 464286608 5597 135246 SH DFND 1 135246 0 0 ISHARES MSCI STH KOR ETF 464286772 5987 92580 SH DFND 1,2 92580 0 0 ISHARES MSCI JAPAN ETF 464286848 5495 452613 SH DFND 1 452613 0 0 ISHARES CHINA LG-CAP ETF 464287184 8792 229150 SH DFND 1,2 229150 0 0 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 2379 51325 SH DFND 1 51325 0 0 KIOR INC CL A 497217109 25 15147 SH DFND 1,2 15147 0 0 MFA FINL INC COM 55272X102 799 113115 SH DFND 1 113115 0 0 MFA FINL INC COM 55272X102 212 29984 SH DFND 1,2 29984 0 0 MAIN STREET CAPITAL CORP COM 56035L104 990 30255 SH DFND 1 30255 0 0 MAIN STREET CAPITAL CORP COM 56035L104 223 6833 SH DFND 1,2 6833 0 0 MARKET VECTORS ETF TR JR GOLD MINERS E 57061R544 1391 44781 SH DFND 1 44781 0 0 MORGAN STANLEY CHINA A SH FD COM 617468103 1970 82749 SH DFND 1 82749 0 0 MORGAN STANLEY CHINA A SH FD COM 617468103 20536 862522 SH DFND 1,2 862522 0 0 NEW MTN FIN CORP COM 647551100 958 63696 SH DFND 1 63696 0 0 NEW MTN FIN CORP COM 647551100 219 14555 SH DFND 1,2 14555 0 0 NORTHSTAR RLTY FIN CORP COM 66704R100 1580 117464 SH DFND 1 117464 0 0 NORTHSTAR RLTY FIN CORP COM 66704R100 352 26161 SH DFND 1,2 26161 0 0 PROSHARES TR PSHS ULTSH 20YRS 74347B201 2749 34700 SH DFND 1 34700 0 0 PROSPECT CAPITAL CORPORATION COM 74348T102 932 83047 SH DFND 1 83047 0 0 PROSPECT CAPITAL CORPORATION COM 74348T102 221 19643 SH DFND 1,2 19643 0 0 RAIT FINANCIAL TRUST COM NEW 749227609 1553 173030 SH DFND 1 173030 0 0 RAIT FINANCIAL TRUST COM NEW 749227609 327 36455 SH DFND 1,2 36455 0 0 REACHLOCAL INC COM 75525F104 1356 106692 SH DFND 1,2 106692 0 0 RESOURCE CAP CORP COM 76120W302 1563 263478 SH DFND 1 263478 0 0 RESOURCE CAP CORP COM 76120W302 306 51654 SH DFND 1,2 51654 0 0 STARWOOD PPTY TR INC COM 85571B105 1580 57029 SH DFND 1 57029 0 0 STARWOOD PPTY TR INC COM 85571B105 302 10895 SH DFND 1,2 10895 0 0 TWO HBRS INVT CORP COM 90187B101 840 90533 SH DFND 1 90533 0 0 TWO HBRS INVT CORP COM 90187B101 221 23797 SH DFND 1,2 23797 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 3714 49357 SH DFND 1 49357 0 0 WISDOMTREE TR CHINESE YUAN ETF 97717W182 4457 174910 SH DFND 1,2 174910 0 0 WISDOMTREE TR SMALLCAP DIVID 97717W604 3724 54923 SH DFND 1 54923 0 0