0001172661-11-000644.txt : 20111107 0001172661-11-000644.hdr.sgml : 20111107 20111107170504 ACCESSION NUMBER: 0001172661-11-000644 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111107 DATE AS OF CHANGE: 20111107 EFFECTIVENESS DATE: 20111107 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Allen Investment Management LLC CENTRAL INDEX KEY: 0001326234 IRS NUMBER: 341975156 STATE OF INCORPORATION: NY FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11378 FILM NUMBER: 111185363 BUSINESS ADDRESS: STREET 1: 711 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2128328000 MAIL ADDRESS: STREET 1: 711 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 aim3q11.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: 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: Allen Investment Management LLC Address: 711 Fifth Avenue New York, New York 10022 13F File Number: 028-11378 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: Howard M. Felson Title: Vice President Phone: (212) 832-8000 Signature, Place, and Date of Signing: /s/ Howard M. Felson New York, New York November 07, 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 Form 13F Information Table Entry Total: 20 Form 13F Information Table Value Total: $355,591 (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 1 028-12302 Allen Operations LLC 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ANADARKO PETE CORP COM 032511107 3153 50000 SH DEFINED 1 50000 0 0 CEPHALON INC COM 156708109 35104 435000 SH DEFINED 1 435000 0 0 CUMULUS MEDIA INC CL A 231082108 285 100430 SH DEFINED 1 100430 0 0 EL PASO CORP COM 28336L109 11789 674400 SH DEFINED 1 674400 0 0 GLOBAL INDS LTD COM 379336100 7920 1000000 SH DEFINED 1 1000000 0 0 GOODRICH CORP COM 382388106 66374 550000 SH DEFINED 1 550000 0 0 JAKKS PAC INC COM 47012E106 2039 107599 SH DEFINED 1 107599 0 0 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 10211 185000 SH DEFINED 1 185000 0 0 MOSAIC CO NEW COM 61945C103 22526 460000 SH DEFINED 1 460000 0 0 MOTOROLA MOBILITY HLDGS INC COM 620097105 28335 750000 SH DEFINED 1 750000 0 0 PHARMERICA CORP COM 71714F104 11013 771800 SH DEFINED 1 771800 0 0 SOUTHERN UN CO NEW COM 844030106 73144 1802900 SH DEFINED 1 1802900 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 19362 122500 SH DEFINED 1 122500 0 0 SUNOCO INC COM 86764P109 27194 876916 SH DEFINED 1 876916 0 0 TAM SA SP ADR REP PFD 87484D103 8981 576443 SH DEFINED 1 576443 0 0 TYCO INTERNATIONAL LTD SHS H89128104 10188 250000 SH DEFINED 1 250000 0 0 VERINT SYS INC COM 92343X100 10629 404300 SH DEFINED 1 404300 0 0 WALTER ENERGY INC COM 93317Q105 3508 58450 SH DEFINED 1 58450 0 0 WILLIAMS COS INC DEL COM 969457100 3651 150000 SH DEFINED 1 150000 0 0 YRC WORLDWIDE INC COM NEW 984249300 185 3763152 SH DEFINED 1 3763152 0 0