0001140361-14-021392.txt : 20140515 0001140361-14-021392.hdr.sgml : 20140515 20140515134624 ACCESSION NUMBER: 0001140361-14-021392 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140331 FILED AS OF DATE: 20140515 DATE AS OF CHANGE: 20140515 EFFECTIVENESS DATE: 20140515 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: 14845736 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 03-31-2014 03-31-2014 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 05-15-2014 2 43 114950 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 924 52398 SH DFND 1 52398 0 0 ARES CAP CORP COM 04010L103 212 12019 SH DFND 1,2 12019 0 0 CHIMERA INVT CORP COM 16934Q109 1794 586077 SH DFND 1 586077 0 0 CHIMERA INVT CORP COM 16934Q109 376 123032 SH DFND 1,2 123032 0 0 COLONY FINL INC COM 19624R106 1818 82786 SH DFND 1 82786 0 0 COLONY FINL INC COM 19624R106 357 16275 SH DFND 1,2 16275 0 0 ETFS PLATINUM TR SH BEN INT 26922V101 4576 33128 SH DFND 1 33128 0 0 ETFS PALLADIUM TR SH BEN INT 26923A106 3437 45500 SH DFND 1 45500 0 0 FIFTH STREET FINANCE CORP COM 31678A103 848 89568 SH DFND 1 89568 0 0 FIFTH STREET FINANCE CORP COM 31678A103 214 22621 SH DFND 1,2 22621 0 0 FIRST TR ENERGY INFRASTRCTR COM 33738C103 2546 120970 SH DFND 1 120970 0 0 ISHARES EMU ETF 464286608 3883 91855 SH DFND 1 91855 0 0 ISHARES MSCI STH KOR ETF 464286772 5695 92580 SH DFND 1,2 92580 0 0 ISHARES MSCI JAPAN ETF 464286848 3816 336743 SH DFND 1 336743 0 0 ISHARES CHINA LG-CAP ETF 464287184 8199 229150 SH DFND 1,2 229150 0 0 MAIN STREET CAPITAL CORP COM 56035L104 876 26655 SH DFND 1 26655 0 0 MAIN STREET CAPITAL CORP COM 56035L104 192 5833 SH DFND 1,2 5833 0 0 MARKET VECTORS ETF TR JR GOLD MINERS E 57061R544 1622 44781 SH DFND 1 44781 0 0 MORGAN STANLEY CHINA A SH FD COM 617468103 1722 79841 SH DFND 1 79841 0 0 MORGAN STANLEY CHINA A SH FD COM 617468103 18605 862522 SH DFND 1,2 862522 0 0 NEW MTN FIN CORP COM 647551100 927 63696 SH DFND 1 63696 0 0 NEW MTN FIN CORP COM 647551100 212 14555 SH DFND 1,2 14555 0 0 NORTHSTAR RLTY FIN CORP COM 66704R100 1897 117464 SH DFND 1 117464 0 0 NORTHSTAR RLTY FIN CORP COM 66704R100 422 26161 SH DFND 1,2 26161 0 0 PROSHARES TR PSHS ULTSH 20YRS 74347B201 2566 37975 SH DFND 1 37975 0 0 PROSPECT CAPITAL CORPORATION COM 74348T102 898 83054 SH DFND 1 83054 0 0 PROSPECT CAPITAL CORPORATION COM 74348T102 212 19644 SH DFND 1,2 19644 0 0 RAIT FINANCIAL TRUST COM NEW 749227609 1650 194330 SH DFND 1 194330 0 0 RAIT FINANCIAL TRUST COM NEW 749227609 361 42455 SH DFND 1,2 42455 0 0 REACHLOCAL INC COM 75525F104 1051 106692 SH DFND 1,2 106692 0 0 RESOURCE CAP CORP COM 76120W302 1468 263478 SH DFND 1 263478 0 0 RESOURCE CAP CORP COM 76120W302 335 60154 SH DFND 1,2 60154 0 0 SPDR SERIES TRUST S&P REGL BKG 78464A698 3642 88000 SH DFND 1 88000 0 0 SIX FLAGS ENTMT CORP NEW COM 83001A102 21471 534763 SH DFND 1,2 534763 0 0 STARWOOD PPTY TR INC COM 85571B105 1346 57029 SH DFND 1 57029 0 0 STARWOOD PPTY TR INC COM 85571B105 292 12370 SH DFND 1,2 12370 0 0 STARWOOD WAYPOINT RESIDENTL COM SHS 85571W109 329 11405 SH DFND 1 11405 0 0 STARWOOD WAYPOINT RESIDENTL COM SHS 85571W109 71 2474 SH DFND 1,2 2474 0 0 TWO HBRS INVT CORP COM 90187B101 1810 176533 SH DFND 1 176533 0 0 TWO HBRS INVT CORP COM 90187B101 378 36897 SH DFND 1,2 36897 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 3714 49357 SH DFND 1 49357 0 0 WISDOMTREE TR CHINESE YUAN FD 97717W182 4368 174910 SH DFND 1,2 174910 0 0 WISDOMTREE TR SMALLCAP DIVID 97717W604 3818 55923 SH DFND 1 55923 0 0