0001140361-14-041768.txt : 20141114 0001140361-14-041768.hdr.sgml : 20141114 20141114100143 ACCESSION NUMBER: 0001140361-14-041768 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140930 FILED AS OF DATE: 20141114 DATE AS OF CHANGE: 20141114 EFFECTIVENESS DATE: 20141114 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: 141221082 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 09-30-2014 09-30-2014 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 11-14-2014 2 30 87439 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 847 52398 SH DFND 1 52398 0 0 CHIMERA INVT CORP COM 16934Q109 819 269477 SH DFND 1 269477 0 0 COLONY FINL INC COM 19624R106 870 38886 SH DFND 1 38886 0 0 ETFS PLATINUM TR SH BEN INT 26922V101 4184 33128 SH DFND 1 33128 0 0 ETFS PALLADIUM TR SH BEN INT 26923A106 3875 45500 SH DFND 1 45500 0 0 FIFTH STREET FINANCE CORP COM 31678A103 892 97177 SH DFND 1 97177 0 0 FIRST TR ENERGY INFRASTRCTR COM 33738C103 2600 108970 SH DFND 1 108970 0 0 ISHARES MSCI STH KOR ETF 464286772 5602 92580 SH DFND 1,2 92580 0 0 ISHARES MSCI JAPAN ETF 464286848 3573 303561 SH DFND 1 303561 0 0 ISHARES TRANSPORTATION AVERAGE 464287192 1811 12000 SH DFND 1 12000 0 0 ISHARES CHINA LG-CAP ETF 464287184 8772 229150 SH DFND 1,2 229150 0 0 MAIN STREET CAPITAL CORP COM 56035L104 901 29420 SH DFND 1 29420 0 0 MORGAN STANLEY EMER MKTS DEB COM 61744H105 1749 180311 SH DFND 1 180311 0 0 MORGAN STANLEY CHINA A SH FD COM 617468103 20933 862522 SH DFND 1,2 862522 0 0 NEW MTN FIN CORP COM 647551100 936 63696 SH DFND 1 63696 0 0 NORTHSTAR RLTY FIN CORP COM NEW 66704R704 434 24582 SH DFND 1 24582 0 0 NORTHSTAR ASSET MGMT GROUP I COM 66705Y104 416 22582 SH DFND 1 22582 0 0 POWERSHS DB MULTI SECT COMM DB ENERGY FUND 73936B101 1656 61500 SH DFND 1 61500 0 0 PROSHARES TR PSHS ULTSH 20YRS 74347B201 3642 64661 SH DFND 1 64661 0 0 PROSPECT CAPITAL CORPORATION COM 74348T102 886 89446 SH DFND 1 89446 0 0 RAIT FINANCIAL TRUST COM NEW 749227609 819 110182 SH DFND 1 110182 0 0 REACHLOCAL INC COM 75525F104 385 106692 SH DFND 1,2 106692 0 0 RESOURCE CAP CORP COM 76120W302 801 164378 SH DFND 1 164378 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 3266 28100 SH DFND 1 28100 0 0 SPDR SERIES TRUST S&P REGL BKG 78464A698 3500 92439 SH DFND 1 92439 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 3620 68100 SH DFND 1 68100 0 0 STARWOOD PPTY TR INC COM 85571B105 820 37329 SH DFND 1 37329 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 3588 89900 SH DFND 1 89900 0 0 TWO HBRS INVT CORP COM 90187B101 813 84033 SH DFND 1 84033 0 0 WISDOMTREE TR CHINESE YUAN FD 97717W182 4429 174910 SH DFND 1,2 174910 0 0