0000357235-11-000137.txt : 20110513 0000357235-11-000137.hdr.sgml : 20110513 20110513162016 ACCESSION NUMBER: 0000357235-11-000137 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110512 FILED AS OF DATE: 20110513 DATE AS OF CHANGE: 20110513 EFFECTIVENESS DATE: 20110513 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ClearBridge Asset Management, Inc. CENTRAL INDEX KEY: 0000857537 IRS NUMBER: 133440564 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-02568 FILM NUMBER: 11841305 BUSINESS ADDRESS: STREET 1: 620 8TH AVENUE CITY: NEW YORK STATE: NY ZIP: 10018 BUSINESS PHONE: 2127937392 MAIL ADDRESS: STREET 1: 620 8TH AVENUE CITY: NEW YORK STATE: NY ZIP: 10018 FORMER COMPANY: FORMER CONFORMED NAME: SALOMON BROTHERS ASSET MANAGEMENT INC DATE OF NAME CHANGE: 19990329 13F-HR 1 cbam1q1.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 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: ClearBridge Asset Management, Inc. Address: 620 8th Avenue New York, NY 10018 13F File Number: 28-2568 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: Barbara Manning Title: Chief Compliance Officer Phone: 212-805-2076 Signature, Place, and Date of Signing: Barbara Manning New York, NY May 13, 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: 1 Form13F Information Table Entry Total: 50 Form13F Information Table Value Total: $155,204 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. No. 13F File Number Name 1 28-1700 Legg Mason, Inc. FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- AAR CORP NOTE 1.750% 2/0 000361AH8 2906 2600000 PRN DEFINED 1 2600000 0 0 ALLIANCE DATA SYSTEMS CORP NOTE 1.750% 8/0 018581AD0 6130 5100000 PRN DEFINED 1 5100000 0 0 ALLIANT TECHSYSTEMS INC NOTE 3.000% 8/1 018804AK0 2125 1900000 PRN DEFINED 1 1900000 0 0 ANIXTER INTL INC NOTE 1.000% 2/1 035290AJ4 3689 3100000 PRN DEFINED 1 3100000 0 0 ANNALY CAP MGMT INC NOTE 4.000% 2/1 035710AA0 4529 3900000 PRN DEFINED 1 3900000 0 0 APACHE CORP PFD CONV SER D 037411808 1758 24800 SH DEFINED 1 24800 0 0 BANK OF AMERICA CORPORATION 7.25%CNV PFD L 060505682 3337 3300 SH DEFINED 1 3300 0 0 CAMERON INTERNATIONAL CORP NOTE 2.500% 6/1 13342BAB1 2436 1500000 PRN DEFINED 1 1500000 0 0 CENTRAL EUROPEAN DIST CORP NOTE 3.000% 3/1 153435AA0 2842 3300000 PRN DEFINED 1 3300000 0 0 CEPHALON INC NOTE 2.500% 5/0 156708AR0 2521 2100000 PRN DEFINED 1 2100000 0 0 CHINA MED TECHNOLOGIES INC NOTE 6.250%12/1 169483AE4 4031 3850000 PRN DEFINED 1 3850000 0 0 CITIGROUP INC *W EXP 01/04/201 172967226 1670 1814000 SH DEFINED 1 1814000 0 0 CITIGROUP INC UNIT 99/99/9999 172967416 2290 18100 SH DEFINED 1 18100 0 0 COINSTAR INC NOTE 4.000% 9/0 19259PAF9 1661 1200000 PRN DEFINED 1 1200000 0 0 D R HORTON INC NOTE 2.000% 5/1 23331ABB4 3409 3000000 PRN DEFINED 1 3000000 0 0 DANAHER CORP DEL NOTE 1/2 235851AF9 2700 1800000 PRN DEFINED 1 1800000 0 0 DIAMOND OFFSHORE DRILLING IN COM 25271C102 2246 28900 SH DEFINED 1 28900 0 0 DOLLAR FINL CORP NOTE 3.000% 4/0 256664AC7 5822 4600000 PRN DEFINED 1 4600000 0 0 DRYSHIPS INC. NOTE 5.000%12/0 262498AB4 4098 4100000 PRN DEFINED 1 4100000 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 2617 47100 SH DEFINED 1 47100 0 0 GENERAL CABLE CORP DEL NEW FRNT 4.500%11/1 369300AL2 1828 1300000 SH DEFINED 1 1300000 0 0 GMX RES INC NOTE 5.000% 2/0 38011MAB4 1340 1414000 PRN DEFINED 1 1414000 0 0 GMX RES INC NOTE 4.500% 5/0 38011MAJ7 1767 2100000 PRN DEFINED 1 2100000 0 0 GSI COMMERCE INC NOTE 2.500% 6/0 36238GAD4 3154 2800000 PRN DEFINED 1 2800000 0 0 HORIZON LINES INC NOTE 4.250% 8/1 44044KAB7 1988 2600000 PRN DEFINED 1 2600000 0 0 HUMAN GENOME SCIENCES INC NOTE 2.250% 8/1 444903AM0 3078 1900000 PRN DEFINED 1 1900000 0 0 INCYTE CORP NOTE 4.750%10/0 45337CAJ1 2530 1400000 PRN DEFINED 1 1400000 0 0 ISIS PHARMACEUTICALS INC DEL NOTE 2.625% 2/1 464337AE4 1542 1600000 PRN DEFINED 1 1600000 0 0 LEVEL 3 COMMUNICATIONS INC NOTE 6.500%10/0 52729NBR0 4116 2800000 PRN DEFINED 1 2800000 0 0 MERCER INTL INC COM 588056101 3162 233300 SH DEFINED 1 233300 0 0 NAVISTAR INTL CORP NEW NOTE 3.000%10/1 63934EAL2 1963 1300000 PRN DEFINED 1 1300000 0 0 NETAPP INC NOTE 1.750% 6/0 64110DAB0 3488 2200000 PRN DEFINED 1 2200000 0 0 NII HLDGS INC CL B NEW 62913F201 4238 101700 SH DEFINED 1 101700 0 0 NUANCE COMMUNICATIONS INC DBCV 2.750% 8/1 67020YAB6 3472 2800000 PRN DEFINED 1 2800000 0 0 ONYX PHARMACEUTICALS INC NOTE 4.000% 8/1 683399AB5 1874 1600000 PRN DEFINED 1 1600000 0 0 POWERWAVE TECHNOLOGIES INC NOTE 3.875%10/0 739363AF6 3663 3700000 PRN DEFINED 1 3700000 0 0 PROMOTORA DE INFORMACIONES S ADR CL B CONV 74343G303 1551 130000 SH DEFINED 1 130000 0 0 ROPER INDS INC NEW FRNT 1/1 776696AA4 3939 3700000 SH DEFINED 1 3700000 0 0 RTI INTL METALS INC NOTE 3.000%12/0 74973WAA5 2200 1900000 PRN DEFINED 1 1900000 0 0 SBA COMMUNICATIONS CORP NOTE 1.875% 5/0 78388JAN6 3522 3100000 PRN DEFINED 1 3100000 0 0 SINA CORP NOTE 7/1 82922RAB9 2747 750000 PRN DEFINED 1 750000 0 0 SONIC AUTOMOTIVE INC NOTE 5.000%10/0 83545GAQ5 4009 3000000 PRN DEFINED 1 3000000 0 0 STANLEY BLACK & DECKER INC UNIT 99/99/9999 854502309 3422 28600 SH DEFINED 1 28600 0 0 SUNPOWER CORP DBCV 4.750% 4/1 867652AC3 6329 6100000 PRN DEFINED 1 6100000 0 0 SUNTECH PWR HLDGS CO LTD NOTE 3.000% 3/1 86800CAE4 6446 7000000 PRN DEFINED 1 7000000 0 0 TEVA PHARMACEUTICAL FIN LLC DBCV 0.250% 2/0 88163VAE9 3472 3100000 PRN DEFINED 1 3100000 0 0 TIME WARNER TELECOM INC DBCV 2.375% 4/0 887319AC5 1672 1410000 PRN DEFINED 1 1410000 0 0 VERIGY LTD NOTE 5.250% 7/1 92345XAB4 3719 3000000 PRN DEFINED 1 3000000 0 0 VOLCANO CORPORATION NOTE 2.875% 9/0 928645AA8 2679 2400000 PRN DEFINED 1 2400000 0 0 XILINX INC SDCV 3.125% 3/1 983919AD3 3477 3000000 PRN DEFINED 1 3000000 0 0