13F-HR 1 kenroberts4q12.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: December 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 February 07, 2013 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: 105 Form 13F Information Table Value Total: $214,499 (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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- AEGION CORP COM 00770f104 394 17770 SH SOLE 13655 0 4115 AGILENT TECHNOLOGIES INC COM 00846u101 3652 89200 SH SOLE 76255 0 12945 AIR PRODS & CHEMS INC COM 009158106 2613 31095 SH SOLE 26080 0 5015 ALLEGHENY TECHNOLOGIES INC COM 01741r102 354 11675 SH SOLE 9530 0 2145 ALTRIA GROUP INC COM 02209s103 1466 46630 SH SOLE 39600 0 7030 AMERICAN EXPRESS CO COM 025816109 286 4975 SH SOLE 475 0 4500 APACHE CORP COM 037411105 4790 61020 SH SOLE 51805 0 9215 APPLE INC COM 037833100 4757 8939 SH SOLE 7652 0 1287 AT&T INC COM 00206r102 1599 47440 SH SOLE 39385 0 8055 BAKER HUGHES INC COM 057224107 3427 83900 SH SOLE 70715 0 13185 BARCLAYS BANK PLC ADS7.75%PFD S4 06739h511 555 22060 SH SOLE 17170 0 4890 BBCN BANCORP INC COM 073295107 349 30185 SH SOLE 23370 0 6815 BECTON DICKINSON & CO COM 075887109 1053 13472 SH SOLE 11227 0 2245 BED BATH & BEYOND INC COM 075896100 3693 66055 SH SOLE 55425 0 10630 BERKSHIRE HILLS BANCORP INC COM 084680107 363 15220 SH SOLE 11970 0 3250 BOEING CO COM 097023105 1973 26175 SH SOLE 22890 0 3285 CA INC COM 12673p105 1350 61424 SH SOLE 51144 0 10280 CAPITAL ONE FINL CORP COM 14040H105 4723 81536 SH SOLE 69481 0 12055 CARDINAL HEALTH INC COM 14149y108 4668 113360 SH SOLE 96915 0 16445 CARRIZO OIL & CO INC COM 144577103 232 11105 SH SOLE 8630 0 2475 CATERPILLAR INC DEL COM 149123101 3504 39100 SH SOLE 33390 0 5710 CHESAPEAKE ENERGY CORP COM 165167107 3174 190995 SH SOLE 163475 0 27520 CHESAPEAKE ENERGY CORP PFD CONV 165167842 1534 18975 SH SOLE 15805 0 3170 CHEVRON CORP NEW COM 166764100 1438 13300 SH SOLE 11825 0 1475 CISCO SYS INC COM 17275r102 2973 151328 SH SOLE 130968 0 20360 CLIFFS NATURAL RESOURCES INC COM 18683k101 803 20815 SH SOLE 18615 0 2200 CONAGRA FOODS INC COM 205887102 1816 61545 SH SOLE 52380 0 9165 CONMED CORP COM 207410101 328 11720 SH SOLE 9160 0 2560 CONOCOPHILLIPS COM 20825c104 2578 44464 SH SOLE 38694 0 5770 CROCS INC COM 227046109 178 12370 SH SOLE 9565 0 2805 CVS CAREMARK CORPORATION COM 126650100 4318 89303 SH SOLE 76143 0 13160 DARDEN RESTAURANTS INC COM 237194105 1512 33555 SH SOLE 28150 0 5405 DOW CHEM CO COM 260543103 6590 203835 SH SOLE 173435 0 30400 DU PONT E I DE NEMOURS & CO COM 263534109 2638 58647 SH SOLE 49567 0 9080 DYNAMIC MATLS CORP COM 267888105 215 15445 SH SOLE 11860 0 3585 E M C CORP MASS COM 268648102 3074 121520 SH SOLE 102220 0 19300 EATON CORP PLC SHS g29183103 6735 124317 SH SOLE 106712 0 17605 EMERSON ELEC CO COM 291011104 2070 39080 SH SOLE 34540 0 4540 ENCORE CAP GROUP INC COM 292554102 366 11955 SH SOLE 9300 0 2655 EXACTECH INC COM 30064e109 330 19450 SH SOLE 14990 0 4460 EXPRESS SCRIPTS HLDG CO COM 30219g108 3852 71330 SH SOLE 56870 0 14460 EXXON MOBIL CORP COM 30231g102 364 4210 SH SOLE 4210 0 0 FIRST NIAGARA FINL GP INC COM 33582v108 1684 212325 SH SOLE 177900 0 34425 FLUSHING FINL CORP COM 343873105 345 22480 SH SOLE 17760 0 4720 FORD MTR CO DEL COM PAR $0.01 345370860 2147 165800 SH SOLE 142155 0 23645 FOSSIL INC COM 349882100 290 3120 SH SOLE 2400 0 720 FREEPORT-MCMORAN COPPER & GO COM 35671d857 5273 154182 SH SOLE 130782 0 23400 GENERAL CABLE CORP DEL NEW COM 369300108 281 9240 SH SOLE 7340 0 1900 GENERAL ELECTRIC CO COM 369604103 4418 210458 SH SOLE 177899 0 32559 GENERAL MTRS CO JR PFD CNV SRB 37045v209 409 9265 SH SOLE 7225 0 2040 GENESCO INC COM 371532102 234 4260 SH SOLE 3310 0 950 GOLDCORP INC NEW COM 380956409 2251 61335 SH SOLE 52035 0 9300 GULFMARK OFFSHORE INC CL A NEW 402629208 247 7170 SH SOLE 5565 0 1605 HARMAN INTL INDS INC COM 413086109 2775 62170 SH SOLE 53380 0 8790 HAWAIIAN HOLDINGS INC COM 419879101 119 18075 SH SOLE 14005 0 4070 HEALTH CARE REIT INC COM 42217k106 1668 27220 SH SOLE 23275 0 3945 HOSPITALITY PPTYS TR COM SH BEN INT 44106m102 1665 71080 SH SOLE 60825 0 10255 INGREDION INC COM 457187102 375 5825 SH SOLE 4545 0 1280 INTEL CORP COM 458140100 2173 105398 SH SOLE 90625 0 14773 ISHARES TR IBOXX INV CPBD 464287242 480 3970 SH SOLE 2730 0 1240 JABIL CIRCUIT INC COM 466313103 5473 283725 SH SOLE 240905 0 42820 JOHNSON & JOHNSON COM 478160104 1266 18055 SH SOLE 15555 0 2500 JOHNSON CTLS INC COM 478366107 4802 156579 SH SOLE 133694 0 22885 JPMORGAN CHASE & CO COM 46625h100 7517 170962 SH SOLE 145662 0 25300 KEMET CORP COM NEW 488360207 237 47125 SH SOLE 36795 0 10330 KOHLS CORP COM 500255104 5019 116785 SH SOLE 99495 0 17290 LANDEC CORP COM 514766104 212 22255 SH SOLE 17300 0 4955 LOCKHEED MARTIN CORP COM 539830109 443 4795 SH SOLE 4215 0 580 MARATHON OIL CORP COM 565849106 4314 140694 SH SOLE 120124 0 20570 MCKESSON CORP COM 58155q103 3567 36785 SH SOLE 31035 0 5750 MICROSOFT CORP COM 594918104 3976 148868 SH SOLE 125813 0 23055 NATIONAL FUEL GAS CO N J COM 636180101 318 6275 SH SOLE 4975 0 1300 NETAPP INC COM 64110d104 3554 105930 SH SOLE 89545 0 16385 NEWMONT MINING CORP COM 651639106 4957 106735 SH SOLE 90555 0 16180 NORFOLK SOUTHERN CORP COM 655844108 322 5210 SH SOLE 4815 0 395 OCZ TECHNOLOGY GROUP INC COM 67086e303 69 35880 SH SOLE 29475 0 6405 OMNICELL INC COM 68213n109 197 13225 SH SOLE 10340 0 2885 OMNIVISION TECHNOLOGIES INC COM 682128103 246 17490 SH SOLE 13500 0 3990 ORACLE CORP COM 68389x105 4558 136795 SH SOLE 114460 0 22335 PEABODY ENERGY CORP COM 704549104 2943 110605 SH SOLE 92855 0 17750 PEPSICO INC COM 713448108 212 3105 SH SOLE 3105 0 0 PHOTRONICS INC COM 719405102 315 52895 SH SOLE 40975 0 11920 PORTFOLIO RECOVERY ASSOCS IN COM 73640q105 415 3885 SH SOLE 3060 0 825 QUALCOMM INC COM 747525103 4182 67605 SH SOLE 56260 0 11345 RUDOLPH TECHNOLOGIES INC COM 781270103 297 22105 SH SOLE 16990 0 5115 SKULLCANDY INC COM 83083j104 109 13950 SH SOLE 10935 0 3015 SOUTHWEST AIRLS CO COM 844741108 4073 397710 SH SOLE 335245 0 62465 SPDR SERIES TRUST BRC HGH YLD BD 78464a417 2045 50225 SH SOLE 42870 0 7355 STAPLES INC COM 855030102 2871 251800 SH SOLE 212205 0 39595 STEELCASE INC CL A 858155203 716 56170 SH SOLE 47690 0 8480 STRYKER CORP COM 863667101 970 17690 SH SOLE 16975 0 715 SUPER MICRO COMPUTER INC COM 86800u104 316 30970 SH SOLE 24000 0 6970 TARGET CORP COM 87612e106 1174 19845 SH SOLE 17185 0 2660 TESCO CORP COM 88157k101 214 18800 SH SOLE 15115 0 3685 THOR INDS INC COM 885160101 221 5900 SH SOLE 4560 0 1340 TIMKEN CO COM 887389104 4487 93810 SH SOLE 79780 0 14030 TTM TECHNOLOGIES INC COM 87305r109 198 21580 SH SOLE 16540 0 5040 UNIVERSAL ELECTRS INC COM 913483103 296 15275 SH SOLE 11655 0 3620 VERIZON COMMUNICATIONS INC COM 92343v104 1602 37030 SH SOLE 30800 0 6230 WALGREEN CO COM 931422109 5972 161362 SH SOLE 139212 0 22150 WASTE MGMT INC DEL COM 94106L109 1540 45657 SH SOLE 38642 0 7015 WEATHERFORD INTERNATIONAL LT REG SHS h27013103 3218 287565 SH SOLE 240265 0 47300 WELLPOINT INC COM 94973v107 5062 83085 SH SOLE 70635 0 12450 WESTERN ASST MNGD MUN FD INC COM 95766m105 317 22080 SH SOLE 21480 0 600 ZAGG INC COM 98884u108 166 22540 SH SOLE 17415 0 5125