0001140361-15-041441.txt : 20151116 0001140361-15-041441.hdr.sgml : 20151116 20151116115824 ACCESSION NUMBER: 0001140361-15-041441 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20151116 DATE AS OF CHANGE: 20151116 EFFECTIVENESS DATE: 20151116 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: 151232758 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 09-30-2015 09-30-2015 PERMAL ASSET MANAGEMENT LLC

900 THIRD AVENUE NEW YORK NY 10022

13F HOLDINGS REPORT 028-14027 N Glyn Clark 44-20-7389-1358 Glyn Clark London X0 11-16-2015 2 37 82176 false 1 0000704051 028-01700 LEGG MASON, INC. 2 0001505598 028-14026 Permal Investment Management Services Ltd INFORMATION TABLE 2 form13fInfoTable.xml AG MTG INVT TR INC COM 001228105 943 61900 SH DFND 1 61900 0 0 AMERICAN HOMES 4 RENT CL A 02665T306 1379 85700 SH DFND 1 85700 0 0 AMERICAN RESIDENTIAL PPTYS I COM 02927E303 1358 78600 SH DFND 1 78600 0 0 APOLLO COML REAL EST FIN INC COM 03762U105 1017 64700 SH DFND 1 64700 0 0 APOLLO RESIDENTIAL MTG INC COM 03763V102 931 73500 SH DFND 1 73500 0 0 BLACKROCK CORPOR HI YLD FD I COM 09255P107 1356 137300 SH DFND 1 137300 0 0 BLACKSTONE MTG TR INC COM CL A 09257W100 975 35500 SH DFND 1 35500 0 0 CHIMERA INVT CORP COM NEW 16934Q208 983 73475 SH DFND 1 73475 0 0 ETFS PLATINUM TR SH BEN INT 26922V101 1220 13876 SH DFND 1 13876 0 0 ETFS PALLADIUM TR SH BEN INT 26923A106 1474 23411 SH DFND 1 23411 0 0 FIRST TR ENERGY INFRASTRCTR COM 33738C103 2480 155070 SH DFND 1 155070 0 0 FIRST TR HIGH INCOME L/S FD COM 33738E109 1348 95600 SH DFND 1 95600 0 0 FIRST TR ENERGY INCOME & GRW COM 33738G104 1265 49788 SH DFND 1 49788 0 0 GLOBAL X FDS FTSE GREECE 20 37950E366 390 40500 SH DFND 1 40500 0 0 GLOBAL X FDS CHINA FINL ETF 37950E606 541 39800 SH DFND 1 39800 0 0 ISHARES MSCI HONG KG ETF 464286871 2633 137700 SH DFND 1,2 137700 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 8128 229150 SH DFND 1,2 229150 0 0 ISHARES TR U.S. PFD STK ETF 464288687 2668 69100 SH DFND 1 69100 0 0 MFA FINL INC COM 55272X102 960 140900 SH DFND 1 140900 0 0 MARKET VECTORS ETF TR JR GOLD MINERS E 57061R544 1384 70600 SH DFND 1 70600 0 0 MORGAN STANLEY CHINA A SH FD COM 617468103 14867 662522 SH DFND 1,2 662522 0 0 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 920 70200 SH DFND 1 70200 0 0 PRUDENTIAL GLB SHT DUR HG YL COM 74433A109 1334 96700 SH DFND 1 96700 0 0 PRUDENTIAL SHT DURATION HG Y COM 74442F107 1374 93700 SH DFND 1 93700 0 0 REACHLOCAL INC COM 75525F104 226 106692 SH DFND 1,2 106692 0 0 RESOURCE CAP CORP COM NEW 76120W708 895 80094 SH DFND 1 80094 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 2611 24430 SH DFND 1 24430 0 0 SPDR SERIES TRUST S&P REGL BKG 78464A698 2706 65700 SH DFND 1 65700 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 5295 71300 SH DFND 1 71300 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 5196 229300 SH DFND 1 229300 0 0 SILVER BAY RLTY TR CORP COM 82735Q102 1313 82000 SH DFND 1 82000 0 0 STARWOOD PPTY TR INC COM 85571B105 939 45729 SH DFND 1 45729 0 0 STARWOOD WAYPOINT RESIDENTL COM SHS 85571W109 1275 53500 SH DFND 1 53500 0 0 TWO HBRS INVT CORP COM 90187B101 951 107733 SH DFND 1 107733 0 0 WELLS FARGO ADVANTAGE INCOME COM SHS 94987B105 1293 170800 SH DFND 1 170800 0 0 GREENLIGHT CAPITAL RE LTD CLASS A G4095J109 3623 162600 SH DFND 1 162600 0 0 THIRD PT REINS LTD COM G8827U100 3925 291800 SH DFND 1 291800 0 0