0001172661-12-000483.txt : 20120501 0001172661-12-000483.hdr.sgml : 20120501 20120501090347 ACCESSION NUMBER: 0001172661-12-000483 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120331 FILED AS OF DATE: 20120501 DATE AS OF CHANGE: 20120501 EFFECTIVENESS DATE: 20120501 FILER: COMPANY DATA: COMPANY CONFORMED NAME: KEN ROBERTS INVESTMENT MANAGEMENT INC CENTRAL INDEX KEY: 0001056516 IRS NUMBER: 000000000 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06910 FILM NUMBER: 12798045 BUSINESS ADDRESS: STREET 1: 601 WEST RIVERSIDE AVE STREET 2: SUITE 1670 CITY: SPOKANE STATE: WA ZIP: 99201 BUSINESS PHONE: 5096245591 MAIL ADDRESS: STREET 1: 601 WEST RIVERSIDE AVE STREET 2: SUITE 1670 CITY: SPOKANE STATE: WA ZIP: 99201 13F-HR 1 Kenroberts1Q12.txt FORM 13F HOLDINGS REPORT 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, 2012 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: Ken Roberts Investment Management, Inc. Address: 717 W. Sprague Avenue Suite 1166 Spokane, WA 99201 13F File Number: 028-06910 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: Leslie Yates Title: President Phone: (509) 624-5591 Signature, Place, and Date of Signing: /s/ Leslie Yates Spokane, WA May 01, 2012 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: 97 Form 13F Information Table Value Total: $207,450 (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. NONE 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ABBOTT LABS COM 002824100 1542 25162 SH SOLE 20077 0 5085 ABERCROMBIE & FITCH CO CL A 002896207 316 6375 SH SOLE 5375 0 1000 AIR PRODS & CHEMS INC COM 009158106 3087 33630 SH SOLE 28340 0 5290 ALTRIA GROUP INC COM 02209s103 830 26875 SH SOLE 23190 0 3685 AMERICAN EXPRESS CO COM 025816109 3382 58445 SH SOLE 44435 0 14010 APACHE CORP COM 037411105 3792 37755 SH SOLE 30645 0 7110 APPLE INC COM 037833100 6903 11513 SH SOLE 9598 0 1915 AT&T INC COM 00206r102 1101 35252 SH SOLE 29272 0 5980 AVERY DENNISON CORP COM 053611109 280 9280 SH SOLE 7150 0 2130 BAKER HUGHES INC COM 057224107 5468 130370 SH SOLE 108675 0 21695 BANK OF AMERICA CORPORATION COM 060505104 958 100125 SH SOLE 88975 0 11150 BANK OF NEW YORK MELLON CORP COM 064058100 908 37645 SH SOLE 28065 0 9580 BARCLAYS BANK PLC ADS7.75%PFD S4 06739h511 577 22885 SH SOLE 17995 0 4890 BECTON DICKINSON & CO COM 075887109 1115 14360 SH SOLE 10680 0 3680 BOEING CO COM 097023105 1043 14030 SH SOLE 10600 0 3430 CAPITAL ONE FINL CORP COM 14040H105 6159 110502 SH SOLE 90262 0 20240 CARDINAL HEALTH INC COM 14149y108 5784 134165 SH SOLE 114585 0 19580 CARRIZO OIL & CO INC COM 144577103 200 7080 SH SOLE 5885 0 1195 CASTLE A M & CO COM 148411101 159 12555 SH SOLE 9930 0 2625 CASUAL MALE RETAIL GRP INC COM NEW 148711302 131 39015 SH SOLE 31800 0 7215 CHESAPEAKE ENERGY CORP COM 165167107 4357 188060 SH SOLE 153040 0 35020 CHESAPEAKE ENERGY CORP PFD CONV 165167842 777 8450 SH SOLE 6905 0 1545 CISCO SYS INC COM 17275r102 2935 138783 SH SOLE 114888 0 23895 COCA COLA CO COM 191216100 571 7716 SH SOLE 5941 0 1775 CONAGRA FOODS INC COM 205887102 670 25530 SH SOLE 22345 0 3185 CONOCOPHILLIPS COM 20825c104 1645 21639 SH SOLE 17114 0 4525 CVS CAREMARK CORPORATION COM 126650100 5981 133498 SH SOLE 107708 0 25790 DARDEN RESTAURANTS INC COM 237194105 661 12925 SH SOLE 11130 0 1795 DOW CHEM CO COM 260543103 5555 160350 SH SOLE 130795 0 29555 DU PONT E I DE NEMOURS & CO COM 263534109 2174 41100 SH SOLE 32215 0 8885 E M C CORP MASS COM 268648102 4147 138780 SH SOLE 116180 0 22600 EATON CORP COM 278058102 5161 103580 SH SOLE 84670 0 18910 ELLIS PERRY INTL INC COM 288853104 256 13710 SH SOLE 11440 0 2270 EXPRESS SCRIPTS INC COM 302182100 3043 56170 SH SOLE 45670 0 10500 EXXON MOBIL CORP COM 30231g102 511 5895 SH SOLE 5795 0 100 FERRO CORP COM 315405100 212 35700 SH SOLE 28460 0 7240 FIRST NIAGARA FINL GP INC COM 33582v108 297 30200 SH SOLE 24560 0 5640 FLOWSERVE CORP COM 34354p105 1480 12810 SH SOLE 9310 0 3500 FREEPORT-MCMORAN COPPER & GO COM 35671d857 5122 134650 SH SOLE 111420 0 23230 GENERAL ELECTRIC CO COM 369604103 7054 351493 SH SOLE 293504 0 57989 GENERAL MTRS CO JR PFD CNV SRB 37045v209 366 8750 SH SOLE 6820 0 1930 GOLDCORP INC NEW COM 380956409 4609 102290 SH SOLE 86995 0 15295 HEALTH CARE REIT INC COM 42217k106 914 16625 SH SOLE 14245 0 2380 HEWLETT PACKARD CO COM 428236103 2366 99302 SH SOLE 79852 0 19450 ILLINOIS TOOL WKS INC COM 452308109 907 15880 SH SOLE 10840 0 5040 INTEL CORP COM 458140100 2207 78483 SH SOLE 61305 0 17178 INTERNATIONAL BUSINESS MACHS COM 459200101 2708 12977 SH SOLE 10424 0 2553 ISHARES TR IBOXX INV CPBD 464287242 493 4265 SH SOLE 2830 0 1435 JABIL CIRCUIT INC COM 466313103 1123 44715 SH SOLE 34755 0 9960 JOHNSON & JOHNSON COM 478160104 809 12262 SH SOLE 10827 0 1435 JOHNSON CTLS INC COM 478366107 3879 119420 SH SOLE 98255 0 21165 JOS A BANK CLOTHIERS INC COM 480838101 325 6450 SH SOLE 5445 0 1005 JPMORGAN CHASE & CO COM 46625h100 7067 153707 SH SOLE 126077 0 27630 KIMBERLY CLARK CORP COM 494368103 979 13255 SH SOLE 11220 0 2035 KOHLS CORP COM 500255104 5078 101490 SH SOLE 84755 0 16735 KRAFT FOODS INC CL A 50075N104 495 13025 SH SOLE 11580 0 1445 LANDEC CORP COM 514766104 242 37005 SH SOLE 30905 0 6100 LOCKHEED MARTIN CORP COM 539830109 421 4680 SH SOLE 4065 0 615 MARATHON OIL CORP COM 565849106 3688 116340 SH SOLE 95335 0 21005 MCKESSON CORP COM 58155q103 5478 62410 SH SOLE 53465 0 8945 MERCK & CO INC NEW COM 58933y105 2329 60645 SH SOLE 45495 0 15150 MICROSOFT CORP COM 594918104 5550 172082 SH SOLE 141432 0 30650 MODINE MFG CO COM 607828100 316 35830 SH SOLE 30950 0 4880 NABORS INDUSTRIES LTD SHS G6359F103 183 10475 SH SOLE 9850 0 625 NATIONAL FUEL GAS CO N J COM 636180101 207 4310 SH SOLE 3410 0 900 NEWPARK RES INC COM PAR $.01NEW 651718504 146 17790 SH SOLE 14050 0 3740 NORFOLK SOUTHERN CORP COM 655844108 4446 67535 SH SOLE 56175 0 11360 NUCOR CORP COM 670346105 359 8365 SH SOLE 7435 0 930 OMNIVISION TECHNOLOGIES INC COM 682128103 303 15150 SH SOLE 13570 0 1580 ORACLE CORP COM 68389x105 2992 102600 SH SOLE 82215 0 20385 PEABODY ENERGY CORP COM 704549104 3340 115330 SH SOLE 93965 0 21365 PEPSICO INC COM 713448108 5622 84731 SH SOLE 68511 0 16220 PFIZER INC COM 717081103 675 29826 SH SOLE 26461 0 3365 POTLATCH CORP NEW COM 737630103 389 12405 SH SOLE 10800 0 1605 QUALCOMM INC COM 747525103 4684 68820 SH SOLE 54205 0 14615 SCHLUMBERGER LTD COM 806857108 4015 57413 SH SOLE 48965 0 8448 SCHULMAN A INC COM 808194104 327 12100 SH SOLE 10225 0 1875 SMITHFIELD FOODS INC COM 832248108 214 9730 SH SOLE 8200 0 1530 SOUTHWEST AIRLS CO COM 844741108 2795 339180 SH SOLE 286965 0 52215 SPDR SERIES TRUST BRCLYS YLD ETF 78464a417 1412 35875 SH SOLE 29975 0 5900 STANCORP FINL GROUP INC COM 852891100 256 6260 SH SOLE 5070 0 1190 STAPLES INC COM 855030102 2564 158395 SH SOLE 132365 0 26030 STEELCASE INC CL A 858155203 388 40450 SH SOLE 33215 0 7235 STRYKER CORP COM 863667101 347 6250 SH SOLE 5945 0 305 SYSCO CORP COM 871829107 450 15065 SH SOLE 12565 0 2500 TARGET CORP COM 87612e106 1760 30210 SH SOLE 23075 0 7135 TESCO CORP COM 88157k101 236 16645 SH SOLE 14200 0 2445 TIME WARNER CABLE INC COM 88732j207 216 2645 SH SOLE 2140 0 505 VERIZON COMMUNICATIONS INC COM 92343v104 963 25180 SH SOLE 20205 0 4975 WALGREEN CO COM 931422109 1112 33215 SH SOLE 25895 0 7320 WASTE MGMT INC DEL COM 94106L109 695 19866 SH SOLE 17016 0 2850 WEATHERFORD INTERNATIONAL LT REG SHS h27013103 2797 185355 SH SOLE 154925 0 30430 WELLPOINT INC COM 94973v107 6604 89485 SH SOLE 74460 0 15025 WESTERN ASST MNG MUN FD INC COM 95766m105 327 23900 SH SOLE 23300 0 600 WILLBROS GROUP INC DEL COM 969203108 99 30440 SH SOLE 24195 0 6245 XEROX CORP COM 984121103 4046 501080 SH SOLE 422945 0 78135 XYLEM INC COM 98419m100 3788 136495 SH SOLE 113310 0 23185