0001172661-15-001953.txt : 20151116 0001172661-15-001953.hdr.sgml : 20151116 20151116060626 ACCESSION NUMBER: 0001172661-15-001953 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20151116 DATE AS OF CHANGE: 20151116 EFFECTIVENESS DATE: 20151116 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: 151231414 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 primary_doc.xml 13F-HR LIVE false true false 0001326234 XXXXXXXX 09-30-2015 09-30-2015 false Allen Investment Management LLC

711 Fifth Avenue New York NY 10022

13F HOLDINGS REPORT 028-11378 N Howard M. Felson 212-832-8000 /s/ Howard M. Felson New York NY 11-16-2015 1 200 1032161 1 0001389544 028-12302 ALLEN OPERATIONS LLC INFORMATION TABLE 2 infotable.xml 3M CO COM 88579Y101 2318 16351 SH DFND 1 16351 0 0 ABBOTT LABS COM 002824100 322 8000 SH DFND 1 8000 0 0 ABBVIE INC COM 00287Y109 465 8547 SH DFND 1 8547 0 0 ABIOMED INC COM 003654100 1751 18879 SH DFND 1 18879 0 0 AIR PRODS & CHEMS INC COM 009158106 337 2639 SH DFND 1 2639 0 0 ALASKA AIR GROUP INC COM 011659109 6556 82512 SH DFND 1 82512 0 0 ALLERGAN PLC SHS G0177J108 4813 17707 SH DFND 1 17707 0 0 AMERICAN EXPRESS CO COM 025816109 3571 48166 SH DFND 1 48166 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 3506 61704 SH DFND 1 61704 0 0 ANADARKO PETE CORP COM 032511107 2592 42919 SH DFND 1 42919 0 0 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 33088 311216 SH DFND 1 311216 0 0 APACHE CORP COM 037411105 2134 54497 SH DFND 1 54497 0 0 APPLE INC COM 037833100 2835 25706 SH DFND 1 25706 0 0 APPLIED MATLS INC COM 038222105 147 10025 SH DFND 1 10025 0 0 ARES CAP CORP COM 04010L103 8186 565313 SH DFND 1 565313 0 0 ATHENAHEALTH INC COM 04685W103 552 4137 SH DFND 1 4137 0 0 AXIALL CORP COM 05463D100 260 16559 SH DFND 1 16559 0 0 BAKER HUGHES INC COM 057224107 555 10656 SH DFND 1 10656 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 1367 7 SH DFND 1 7 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 5022 38511 SH DFND 1 38511 0 0 BLACKROCK FLOAT RATE OME STR COM 09255X100 317 24498 SH DFND 1 24498 0 0 BOEING CO COM 097023105 24504 187123 SH DFND 1 187123 0 0 CABOT OIL & GAS CORP COM 127097103 2854 130556 SH DFND 1 130556 0 0 CARMAX INC COM 143130102 1248 21039 SH DFND 1 21039 0 0 CARTER INC COM 146229109 826 9111 SH DFND 1 9111 0 0 CELANESE CORP DEL COM SER A 150870103 545 9212 SH DFND 1 9212 0 0 CELGENE CORP COM 151020104 839 7756 SH DFND 1 7756 0 0 CHARTER COMMUNICATIONS INC D CL A NEW 16117M305 5831 33158 SH DFND 1 33158 0 0 CHENIERE ENERGY INC COM NEW 16411R208 585 12115 SH DFND 1 12115 0 0 CINCINNATI FINL CORP COM 172062101 215 4000 SH DFND 1 4000 0 0 CITRIX SYS INC COM 177376100 590 8515 SH DFND 1 8515 0 0 CLAYMORE EXCHANGE TRD FD TR GUGG SPINOFF ETF 18383M605 3523 92400 SH DFND 1 92400 0 0 CLIFFS NAT RES INC COM 18683K101 73 29891 SH DFND 1 29891 0 0 CLOVIS ONCOLOGY INC COM 189464100 802 8716 SH DFND 1 8716 0 0 COCA COLA CO COM 191216100 2616 65211 SH DFND 1 65211 0 0 COMCAST CORP NEW CL A 20030N101 2132 37484 SH DFND 1 37484 0 0 COMCAST CORP NEW CL A SPL 20030N200 51400 897970 SH DFND 1 897970 0 0 COMPUTER SCIENCES CORP COM 205363104 661 10777 SH DFND 1 10777 0 0 CONAGRA FOODS INC COM 205887102 542 13388 SH DFND 1 13388 0 0 CONOCOPHILLIPS COM 20825C104 2941 61326 SH DFND 1 61326 0 0 CONSTELLATION BRANDS INC CL A 21036P108 5877 46940 SH DFND 1 46940 0 0 CONTINENTAL RESOURCES INC COM 212015101 2221 76662 SH DFND 1 76662 0 0 CVR ENERGY INC COM 12662P108 952 23182 SH DFND 1 23182 0 0 DANAHER CORP DEL COM 235851102 35968 422110 SH DFND 1 422110 0 0 DARDEN RESTAURANTS INC COM 237194105 654 9544 SH DFND 1 9544 0 0 DARLING INGREDIENTS INC COM 237266101 642 57107 SH DFND 1 57107 0 0 DAVITA HEALTHCARE PARTNERS I COM 23918K108 10127 140009 SH DFND 1 140009 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 1711 38129 SH DFND 1 38129 0 0 DEVON ENERGY CORP NEW COM 25179M103 2130 57431 SH DFND 1 57431 0 0 DIAGEO P L C SPON ADR NEW 25243Q205 556 5155 SH DFND 1 5155 0 0 DONALDSON INC COM 257651109 449 16000 SH DFND 1 16000 0 0 DOVER CORP COM 260003108 22088 386294 SH DFND 1 386294 0 0 E TRADE FINANCIAL CORP COM NEW 269246401 919 34904 SH DFND 1 34904 0 0 EAGLE MATERIALS INC COM 26969P108 598 8733 SH DFND 1 8733 0 0 EATON VANCE LTD DUR INCOME F COM 27828H105 348 27416 SH DFND 1 27416 0 0 EATON VANCE SR FLTNG RTE TR COM 27828Q105 309 23426 SH DFND 1 23426 0 0 EBAY INC COM 278642103 26798 1096481 SH DFND 1 1096481 0 0 ELLIE MAE INC COM 28849P100 466 6995 SH DFND 1 6995 0 0 ENDO INTL PLC SHS G30401106 1124 16217 SH DFND 1 16217 0 0 EOG RES INC COM 26875P101 2820 38738 SH DFND 1 38738 0 0 EQT CORP COM 26884L109 3050 47087 SH DFND 1 47087 0 0 EQUINIX INC COM PAR $0.001 29444U700 37965 138864 SH DFND 1 138864 0 0 EXPEDIA INC DEL COM NEW 30212P303 4732 40210 SH DFND 1 40210 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 56533 698280 SH DFND 1 698280 0 0 EXXON MOBIL CORP COM 30231G102 264 3551 SH DFND 1 3551 0 0 FACEBOOK INC CL A 30303M102 3650 40600 SH DFND 1 40600 0 0 FEDEX CORP COM 31428X106 1001 6952 SH DFND 1 6952 0 0 FISERV INC COM 337738108 29766 343683 SH DFND 1 343683 0 0 FLEXTRONICS INTL LTD ORD Y2573F102 1178 111753 SH DFND 1 111753 0 0 FOMENTO ECONOMICO MEXICANO S SPON ADR UNITS 344419106 402 4500 SH DFND 1 4500 0 0 FOOT LOCKER INC COM 344849104 933 12965 SH DFND 1 12965 0 0 FOSSIL GROUP INC COM 34988V106 443 7923 SH DFND 1 7923 0 0 FS INVT CORP COM 302635107 988 105985 SH DFND 1 105985 0 0 GANNETT CO INC COM 36473H104 190 12926 SH DFND 1 12926 0 0 GENERAL ELECTRIC CO COM 369604103 335 13290 SH DFND 1 13290 0 0 G-III APPAREL GROUP LTD COM 36237H101 1401 22725 SH DFND 1 22725 0 0 GILEAD SCIENCES INC COM 375558103 428 4359 SH DFND 1 4359 0 0 GLOBAL EAGLE ENTMT INC COM 37951D102 4851 422531 SH DFND 1 422531 0 0 GNC HLDGS INC COM CL A 36191G107 946 23416 SH DFND 1 23416 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 857 4932 SH DFND 1 4932 0 0 GOLUB CAP BDC INC COM 38173M102 711 44473 SH DFND 1 44473 0 0 GOOGLE INC CL A 38259P508 9317 14595 SH DFND 1 14595 0 0 GOOGLE INC CL C 38259P706 33773 55510 SH DFND 1 55510 0 0 HALCON RES CORP COM NEW 40537Q209 6 10728 SH DFND 1 10728 0 0 HOME DEPOT INC COM 437076102 4111 35599 SH DFND 1 35599 0 0 HUMANA INC COM 444859102 286 1598 SH DFND 1 1598 0 0 HYSTER YALE MATLS HANDLING I CL A 449172105 752 13012 SH DFND 1 13012 0 0 ICAHN ENTERPRISES LP DEPOSITARY UNIT 451100101 497 7416 SH DFND 1 7416 0 0 ILLUMINA INC COM 452327109 690 3923 SH DFND 1 3923 0 0 INCYTE CORP COM 45337C102 764 6923 SH DFND 1 6923 0 0 INTEL CORP COM 458140100 392 13017 SH DFND 1 13017 0 0 INTERPUBLIC GROUP COS INC COM 460690100 803 41984 SH DFND 1 41984 0 0 INVESCO DYNAMIC CR OPP FD COM 46132R104 301 28468 SH DFND 1 28468 0 0 INVESCO MUN OPPORTUNITY TR COM 46132C107 336 26746 SH DFND 1 26746 0 0 INVESCO MUN TR COM 46131J103 336 27385 SH DFND 1 27385 0 0 INVESCO QUALITY MUNI INC TRS COM 46133G107 336 27674 SH DFND 1 27674 0 0 INVESCO SR INCOME TR COM 46131H107 305 72885 SH DFND 1 72885 0 0 INVESCO TR INVT GRADE MUNS COM 46131M106 336 26004 SH DFND 1 26004 0 0 ISHARES TR RUS MDCP VAL ETF 464287473 261 3883 SH DFND 1 3883 0 0 ISHARES TR RUS MD CP GR ETF 464287481 263 2969 SH DFND 1 2969 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 293 3141 SH DFND 1 3141 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 271 2911 SH DFND 1 2911 0 0 ISHARES TR RUS 2000 VAL ETF 464287630 239 2651 SH DFND 1 2651 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 236 1758 SH DFND 1 1758 0 0 ISHARES TR SHT NTLAMTFR ETF 464288158 3943 37220 SH DFND 1 37220 0 0 ISHARES TR MSCI ACWI EX US 464288240 366 9378 SH DFND 1 9378 0 0 ISHARES TR MSCI ACWI ETF 464288257 3264 60520 SH DFND 1 60520 0 0 ISHARES TR NAT AMT FREE BD 464288414 2606 23785 SH DFND 1 23785 0 0 ISIS PHARMACEUTICALS INC COM 464330109 384 9505 SH DFND 1 9505 0 0 JD COM INC SPON ADR CL A 47215P106 1092 41903 SH DFND 1 41903 0 0 JOHNSON & JOHNSON COM 478160104 1713 18347 SH DFND 1 18347 0 0 JPMORGAN CHASE & CO COM 46625H100 1596 26175 SH DFND 1 26175 0 0 JUNIPER NETWORKS INC COM 48203R104 567 22062 SH DFND 1 22062 0 0 L BRANDS INC COM 501797104 1054 11696 SH DFND 1 11696 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 19396 178811 SH DFND 1 178811 0 0 LENNAR CORP CL A 526057104 424 8819 SH DFND 1 8819 0 0 LOCKHEED MARTIN CORP COM 539830109 20644 99579 SH DFND 1 99579 0 0 LOWES COS INC COM 548661107 16938 245757 SH DFND 1 245757 0 0 MAINSTAY DEFINEDTERM MN OPP COM 56064K100 324 18298 SH DFND 1 18298 0 0 MANHATTAN ASSOCS INC COM 562750109 679 10893 SH DFND 1 10893 0 0 MARATHON OIL CORP COM 565849106 1975 128271 SH DFND 1 128271 0 0 MASTERCARD INC CL A 57636Q104 1260 13983 SH DFND 1 13983 0 0 MCDONALDS CORP COM 580135101 231 2346 SH DFND 1 2346 0 0 MCGRAW HILL FINL INC COM 580645109 13002 150313 SH DFND 1 150313 0 0 MCKESSON CORP COM 58155Q103 21038 113701 SH DFND 1 113701 0 0 MICRON TECHNOLOGY INC COM 595112103 374 24948 SH DFND 1 24948 0 0 MICROSOFT CORP COM 594918104 2281 51526 SH DFND 1 51526 0 0 MONDELEZ INTL INC CL A 609207105 1947 46508 SH DFND 1 46508 0 0 MONSANTO CO NEW COM 61166W101 37085 434557 SH DFND 1 434557 0 0 MOODYS CORP COM 615369105 21644 220412 SH DFND 1 220412 0 0 NACCO INDS INC CL A 629579103 309 6506 SH DFND 1 6506 0 0 NETFLIX INC COM 64110L106 3142 30429 SH DFND 1 30429 0 0 NEW MTN FIN CORP COM 647551100 724 53288 SH DFND 1 53288 0 0 NIKE INC CL B 654106103 254 2065 SH DFND 1 2065 0 0 NOBLE CORP PLC SHS USD G65431101 439 40224 SH DFND 1 40224 0 0 NOBLE ENERGY INC COM 655044105 2162 71646 SH DFND 1 71646 0 0 NORTEK INC COM NEW 656559309 664 10490 SH DFND 1 10490 0 0 NUVEEN AMT-FREE MUN INCOME F COM 670657105 325 24918 SH DFND 1 24918 0 0 NUVEEN CR STRATEGIES INCM FD COM SHS 67073D102 303 37926 SH DFND 1 37926 0 0 NUVEEN FLOATING RATE INCOME COM 67072T108 303 30144 SH DFND 1 30144 0 0 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 293 29467 SH DFND 1 29467 0 0 NUVEEN MUN OPPORTUNITY FD IN COM 670984103 362 25673 SH DFND 1 25673 0 0 NUVEEN PERFORMANCE PLUS MUN COM 67062P108 329 23236 SH DFND 1 23236 0 0 NUVEEN PREM INCOME MUN FD 2 COM 67063W102 360 26376 SH DFND 1 26376 0 0 NUVEEN QUALITY INCOME MUN FD COM 670977107 334 24772 SH DFND 1 24772 0 0 ORACLE CORP COM 68389X105 22105 611984 SH DFND 1 611984 0 0 OWENS ILL INC COM NEW 690768403 394 19039 SH DFND 1 19039 0 0 PALO ALTO NETWORKS INC COM 697435105 3949 22960 SH DFND 1 22960 0 0 PANDORA MEDIA INC COM 698354107 985 46179 SH DFND 1 46179 0 0 PAYPAL HLDGS INC COM 70450Y103 19788 637497 SH DFND 1 637497 0 0 PENNEY J C INC COM 708160106 370 39797 SH DFND 1 39797 0 0 PENTAIR PLC SHS G7S00T104 446 8740 SH DFND 1 8740 0 0 PEPSICO INC COM 713448108 902 9569 SH DFND 1 9569 0 0 PHILLIPS 66 COM 718546104 255 3318 SH DFND 1 3318 0 0 PIMCO ETF TR TTL RTN ACTV ETF 72201R775 1743 16526 SH DFND 1 16526 0 0 PRESTIGE BRANDS HLDGS INC COM 74112D101 22607 500606 SH DFND 1 500606 0 0 PRICELINE GRP INC COM NEW 741503403 47178 38143 SH DFND 1 38143 0 0 PROCTER & GAMBLE CO COM 742718109 1076 14957 SH DFND 1 14957 0 0 QEP RES INC COM 74733V100 181 14435 SH DFND 1 14435 0 0 QUALCOMM INC COM 747525103 33871 630391 SH DFND 1 630391 0 0 SCHLUMBERGER LTD COM 806857108 36276 525974 SH DFND 1 525974 0 0 SCHWAB CHARLES CORP NEW COM 808513105 33296 1165834 SH DFND 1 1165834 0 0 SIGNET JEWELERS LIMITED SHS G81276100 1695 12452 SH DFND 1 12452 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 2926 27385 SH DFND 1 27385 0 0 SPDR SERIES TRUST NUVN BR SHT MUNI 78464A425 5478 224890 SH DFND 1 224890 0 0 SPDR SERIES TRUST DJ REIT ETF 78464A607 893 10361 SH DFND 1 10361 0 0 SPIRIT AEROSYSTEMS HLDGS INC COM CL A 848574109 871 18020 SH DFND 1 18020 0 0 STAPLES INC COM 855030102 527 44961 SH DFND 1 44961 0 0 SUNEDISON INC COM 86732Y109 367 51137 SH DFND 1 51137 0 0 SYNAPTICS INC COM 87157D109 620 7524 SH DFND 1 7524 0 0 SYSCO CORP COM 871829107 1138 29200 SH DFND 1 29200 0 0 TABLEAU SOFTWARE INC CL A 87336U105 523 6554 SH DFND 1 6554 0 0 TCP CAP CORP COM 87238Q103 1319 97283 SH DFND 1 97283 0 0 TEGNA INC COM 87901J105 580 25897 SH DFND 1 25897 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 4452 36406 SH DFND 1 36406 0 0 TIME WARNER CABLE INC COM 88732J207 31847 177549 SH DFND 1 177549 0 0 TPG SPECIALTY LENDING INC COM 87265K102 1460 88880 SH DFND 1 88880 0 0 TRIANGLE CAP CORP COM 895848109 349 21203 SH DFND 1 21203 0 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 509 18871 SH DFND 1 18871 0 0 TYLER TECHNOLOGIES INC COM 902252105 723 4841 SH DFND 1 4841 0 0 UNILEVER PLC SPON ADR NEW 904767704 524 12852 SH DFND 1 12852 0 0 UNITED CONTL HLDGS INC COM 910047109 988 18632 SH DFND 1 18632 0 0 UNITED PARCEL SERVICE INC CL B 911312106 15565 157713 SH DFND 1 157713 0 0 UNITED THERAPEUTICS CORP DEL COM 91307C102 508 3868 SH DFND 1 3868 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 11989 67208 SH DFND 1 67208 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 7069 86285 SH DFND 1 86285 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 281 1600 SH DFND 1 1600 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 3862 90592 SH DFND 1 90592 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 349 10561 SH DFND 1 10561 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1771 22220 SH DFND 1 22220 0 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 1999 31903 SH DFND 1 31903 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 6459 77720 SH DFND 1 77720 0 0 WATERS CORP COM 941848103 310 2620 SH DFND 1 2620 0 0 WAYFAIR INC CL A 94419L101 1033 29468 SH DFND 1 29468 0 0 WELLS FARGO & CO NEW COM 949746101 1392 27099 SH DFND 1 27099 0 0 WESTERN ASSET EMRG MKT DEBT COM 95766A101 306 22958 SH DFND 1 22958 0 0 WESTROCK CO COM 96145D105 549 10669 SH DFND 1 10669 0 0 WILLIAMS COS INC DEL COM 969457100 460 12472 SH DFND 1 12472 0 0 WORKDAY INC CL A 98138H101 2499 36287 SH DFND 1 36287 0 0 ZOETIS INC CL A 98978V103 713 17303 SH DFND 1 17303 0 0