0001488827-11-000006.txt : 20111108 0001488827-11-000006.hdr.sgml : 20111108 20111108155757 ACCESSION NUMBER: 0001488827-11-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111108 DATE AS OF CHANGE: 20111108 EFFECTIVENESS DATE: 20111108 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Big 5 Asset Management LLC CENTRAL INDEX KEY: 0001488827 IRS NUMBER: 263437846 STATE OF INCORPORATION: CO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14172 FILM NUMBER: 111187769 BUSINESS ADDRESS: STREET 1: 2401 EAST SECOND AVENUE STREET 2: SUITE 500 CITY: DENVER STATE: CO ZIP: 80206 BUSINESS PHONE: (303) 302-9090 MAIL ADDRESS: STREET 1: 2401 EAST SECOND AVENUE STREET 2: SUITE 500 CITY: DENVER STATE: CO ZIP: 80206 13F-HR 1 form13f.txt BIG 5 13F 9.30.2011 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2011 Check here if Amendment [ ]; Amendment Number: ______ This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Big 5 Asset Management LLC Address: 2401 East Second Avenue, Ste. 150 Denver, CO 80206 Form 13F File Number: 28-14172 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Bo Brownstein Title: Chief Executive Officer Phone: 720-239-1601 Signature, Place, and Date of Signing: Bo Brownstein Denver, CO November 8, 2011 Report Type (Check only one.): [ X] 13F Holdings Report [ ] 13F Notice [ ] 13F Combination Report FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 55 Form 13F Information Table Value Total: 80,396 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. If there are no entries in this list, state NONE and omit the column headings and list entries. No. Form 13F File Number Name ____ 28-14172__ [Repeat as necessary.] 10 VOTING AUTHORITY ISSUER CLASS CUSIP VALUE SHRS_PRN_AMT SH_PRN PUT_CALLINV_DISCMANAGERSSOLE SHARENONE ALEXANDRIA REAL ESTATE E PFD 015271505 121 5,000 SH SOLE 5,000 0 0 ASHFORD HOSPITALITY TRST PFD 044103208 74 3,050 SH SOLE 3,050 0 0 ASHFORD HOSPITALITY TRUS PFD 044103505 1,565 65,000 SH SOLE 65,000 0 0 ASHFORD HOSPITALITY TRUST PFD DPFD 044103406 4,090 175,587 SH SOLE 175,587 0 0 BRE PROPERTIES PFD 05564E601 369 14,638 SH SOLE 14,638 0 0 CBL + ASSOCIATES PROP PFD 124830605 3,928 170,266 SH SOLE 170,266 0 0 CEDAR SHOPPING CENTERS PFD 150602308 1,302 55,100 SH SOLE 55,100 0 0 COMMONWEALTH REIT PFD 203233408 218 10,668 SH SOLE 10,668 0 0 COUSINS PROPERTIES INC PFD 222795304 452 18,330 SH SOLE 18,330 0 0 COUSINS PROPERTIES INC PFD 222795403 556 23,000 SH SOLE 23,000 0 0 CYS INVESTMENTS INC PFD 12673A108 846 70,000 SH SOLE 70,000 0 0 DDR Corp PFD 251591780 109 4,602 SH SOLE 4,602 0 0 DDR CORP PFD 23317H201 475 20,000 SH SOLE 20,000 0 0 DDR CORP PFD 23317H508 1,002 42,598 SH SOLE 42,598 0 0 DUKE REALTY CORP PFD 264411745 1,928 79,947 SH SOLE 79,947 0 0 DUKE REALTY CORP PFD 264411760 2,069 84,914 SH SOLE 84,914 0 0 DUKE REALTY CORP PFD 264411778 676 28,117 SH SOLE 28,117 0 0 ENTERTAINMENT PROPERTIES PFD 29380T501 1,604 66,400 SH SOLE 66,400 0 0 FELCOR LODGING TRUST INC PFD 31430F200 29 1,444 SH SOLE 1,444 0 0 FELCOR LODGING TRUST INC PFD 31430F507 1,755 85,619 SH SOLE 85,619 0 0 FIRST IND REALTY TRUST PFD 32054K772 1,346 63,240 SH SOLE 63,240 0 0 FIRST IND REALTY TRUST PFD 32054K798 5,147 233,868 SH SOLE 233,868 0 0 FOREST CITY ENTERPRISES PFD 345550404 1,060 49,187 SH SOLE 49,187 0 0 GLIMCHER REALTY TRUST PFD 379302409 1,507 63,846 SH SOLE 63,846 0 0 HATTERAS FINANCIAL CORP PFD 41902R103 760 30,220 SH SOLE 30,220 0 0 HERSHA HOSPITALITY TRUST PFD 427825302 1,229 55,000 SH SOLE 55,000 0 0 HOSPITALITY PROP TRUST PFD 44106M508 637 26,000 SH SOLE 26,000 0 0 ISTAR FINANCIAL INC PFD 45031U507 517 30,151 SH SOLE 30,151 0 0 ISTAR FINANCIAL INC PFD 45031U705 946 56,125 SH SOLE 56,125 0 0 ISTAR FINANCIAL INC PFD 45031U804 1,210 75,177 SH SOLE 75,177 0 0 KITE REALTY GROUP TRUST PFD 49803T201 2,192 97,417 SH SOLE 97,417 0 0 LASALLE HOTEL PROPERTIES PFD 517942405 59 2,400 SH SOLE 2,400 0 0 LASALLE HOTEL PROPERTIES PFD 517942603 3,088 127,423 SH SOLE 127,423 0 0 LEXINGTON REALTY TRUST PFD 529537201 1,974 82,405 SH SOLE 82,405 0 0 NORTHSTAR REALTY FIN PFD 66704R209 103 5,021 SH SOLE 5,021 0 0 NORTHSTAR REALTY FIN PFD 66704R308 943 47,783 SH SOLE 47,783 0 0 PARKWAY PROPERTIES INC PFD 70159Q401 1,153 46,600 SH SOLE 46,600 0 0 PROLOGIS INC PFD 74340W301 3,672 155,722 SH SOLE 155,722 0 0 PROLOGIS INC PFD 74340W400 1,686 74,066 SH SOLE 74,066 0 0 PROLOGIS INC PFD 74340W509 3,221 134,942 SH SOLE 134,942 0 0 PROLOGIS INC PFD 74340W608 1,044 43,900 SH SOLE 43,900 0 0 PS BUSINESS PARKS INC PFD 69360J743 1,714 69,005 SH SOLE 69,005 0 0 PUBLIC STORAGE PFD 74460D430 831 32,895 SH SOLE 32,895 0 0 RAIT FINANCIAL TRUST PFD 749227203 1,632 85,056 SH SOLE 85,056 0 0 RAIT FINANCIAL TRUST PFD 749227302 706 35,537 SH SOLE 35,537 0 0 REGENCY CENTERS CORP PFD 758849608 1,263 50,515 SH SOLE 50,515 0 0 RLJ Loding PFD 74965L101 1,596 125,000 SH SOLE 125,000 0 0 STRATEGIC HOTELS + RSRTS PFD 86272T304 3,526 141,145 SH SOLE 141,145 0 0 STRATEGIC HOTELS + RSRTS PFD 86272T403 1,802 75,829 SH SOLE 75,829 0 0 STRATEGIC HOTELS + RSRTS PFD 86272T502 2,338 96,013 SH SOLE 96,013 0 0 SUNSTONE HOTEL INVESTORS PFD 867892200 3,726 163,900 SH SOLE 163,900 0 0 SUNSTONE HOTEL INVESTORS PFD 867892507 2,550 119,500 SH SOLE 119,500 0 0 TWO HARBORS INVESTMENT COR PFD 90187B101 309 35,000 SH SOLE 35,000 0 0 VORNADO REALTY TRUST PFD 929042802 719 28,738 SH SOLE 28,738 0 0 WEINGARTEN REALTY INVEST PFD 948741889 1,022 42,800 SH SOLE 42,800 0 0