0001172661-17-000561.txt : 20170214
0001172661-17-000561.hdr.sgml : 20170214
20170214060707
ACCESSION NUMBER: 0001172661-17-000561
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20161231
FILED AS OF DATE: 20170214
DATE AS OF CHANGE: 20170214
EFFECTIVENESS DATE: 20170214
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: 17602157
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
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0001326234
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12-31-2016
12-31-2016
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Allen Investment Management LLC
711 Fifth Avenue
New York
NY
10022
13F HOLDINGS REPORT
028-11378
N
Howard M. Felson
Vice President
212-832-8000
/s/ Howard M. Felson
New York
NY
02-14-2017
1
199
1447955
1
0001389544
028-12302
ALLEN OPERATIONS LLC
INFORMATION TABLE
2
infotable.xml
3M CO
COM
88579Y101
3993
22362
SH
DFND
1
22362
0
0
ABB LTD
SPONSORED ADR
000375204
216
10259
SH
DFND
1
10259
0
0
ABBOTT LABS
COM
002824100
307
8000
SH
DFND
1
8000
0
0
ABBVIE INC
COM
00287Y109
531
8487
SH
DFND
1
8487
0
0
ABIOMED INC
COM
003654100
1320
11717
SH
DFND
1
11717
0
0
ADVANCED DRAIN SYS INC DEL
COM
00790R104
2180
105820
SH
DFND
1
105820
0
0
AERCAP HOLDINGS NV
SHS
N00985106
239
5737
SH
DFND
1
5737
0
0
ALASKA AIR GROUP INC
COM
011659109
3697
41669
SH
DFND
1
41669
0
0
ALLIANCE DATA SYSTEMS CORP
COM
018581108
484
2116
SH
DFND
1
2116
0
0
AMAZON COM INC
COM
023135106
6584
8780
SH
DFND
1
8780
0
0
AMERICAN EXPRESS CO
COM
025816109
3540
47789
SH
DFND
1
47789
0
0
AMERICAN INTL GROUP INC
COM NEW
026874784
2860
43788
SH
DFND
1
43788
0
0
AMERISOURCEBERGEN CORP
COM
03073E105
32567
416510
SH
DFND
1
416510
0
0
AMETEK INC NEW
COM
031100100
370
7612
SH
DFND
1
7612
0
0
ANADARKO PETE CORP
COM
032511107
852
12223
SH
DFND
1
12223
0
0
ANHEUSER BUSCH INBEV SA/NV
SPONSORED ADR
03524A108
12931
122634
SH
DFND
1
122634
0
0
ANTERO RES CORP
COM
03674X106
422
17853
SH
DFND
1
17853
0
0
APACHE CORP
COM
037411105
986
15542
SH
DFND
1
15542
0
0
APPLE INC
COM
037833100
2485
21458
SH
DFND
1
21458
0
0
ARCONIC INC
COM
03965L100
244
13170
SH
DFND
1
13170
0
0
ARES CAP CORP
COM
04010L103
3185
193163
SH
DFND
1
193163
0
0
AUTODESK INC
COM
052769106
2958
39967
SH
DFND
1
39967
0
0
AUTOMATIC DATA PROCESSING IN
COM
053015103
1301
12659
SH
DFND
1
12659
0
0
BAKER HUGHES INC
COM
057224107
512
7886
SH
DFND
1
7886
0
0
BARCLAYS PLC
ADR
06738E204
532
48392
SH
DFND
1
48392
0
0
BAXTER INTL INC
COM
071813109
472
10656
SH
DFND
1
10656
0
0
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
1709
7
SH
DFND
1
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0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
48459
297330
SH
DFND
1
297330
0
0
BLACKBAUD INC
COM
09227Q100
702
10962
SH
DFND
1
10962
0
0
BOEING CO
COM
097023105
399
2564
SH
DFND
1
2564
0
0
BP PLC
SPONSORED ADR
055622104
1695
45346
SH
DFND
1
45346
0
0
BROOKFIELD ASSET MGMT INC
CL A LTD VT SH
112585104
480
14547
SH
DFND
1
14547
0
0
CABOT OIL & GAS CORP
COM
127097103
867
37124
SH
DFND
1
37124
0
0
CARDINAL HEALTH INC
COM
14149Y108
30072
417843
SH
DFND
1
417843
0
0
CARMAX INC
COM
143130102
717
11129
SH
DFND
1
11129
0
0
CELANESE CORP DEL
COM SER A
150870103
406
5153
SH
DFND
1
5153
0
0
CELGENE CORP
COM
151020104
599
5176
SH
DFND
1
5176
0
0
CIGNA CORPORATION
COM
125509109
470
3522
SH
DFND
1
3522
0
0
CITRIX SYS INC
COM
177376100
564
6312
SH
DFND
1
6312
0
0
CLEARBRIDGE ENERGY MLP FD IN
COM
184692101
1170
75178
SH
DFND
1
75178
0
0
COCA COLA CO
COM
191216100
2705
65236
SH
DFND
1
65236
0
0
COGNEX CORP
COM
192422103
805
12657
SH
DFND
1
12657
0
0
COMCAST CORP NEW
CL A
20030N101
96062
1391192
SH
DFND
1
1391192
0
0
COMPUTER SCIENCES CORP
COM
205363104
455
7650
SH
DFND
1
7650
0
0
CONAGRA BRANDS INC
COM
205887102
383
9692
SH
DFND
1
9692
0
0
CONOCOPHILLIPS
COM
20825C104
1158
23104
SH
DFND
1
23104
0
0
CONSOL ENERGY INC
COM
20854P109
564
30960
SH
DFND
1
30960
0
0
CONSTELLATION BRANDS INC
CL A
21036P108
821
5355
SH
DFND
1
5355
0
0
CONTINENTAL RESOURCES INC
COM
212015101
1144
22203
SH
DFND
1
22203
0
0
CREDIT ACCEP CORP MICH
COM
225310101
501
2303
SH
DFND
1
2303
0
0
CSRA INC
COM
12650T104
244
7649
SH
DFND
1
7649
0
0
CVS HEALTH CORP
COM
126650100
17647
223630
SH
DFND
1
223630
0
0
DANAHER CORP DEL
COM
235851102
62389
801508
SH
DFND
1
801508
0
0
DARLING INGREDIENTS INC
COM
237266101
426
32987
SH
DFND
1
32987
0
0
DELTA AIR LINES INC DEL
COM NEW
247361702
274
5570
SH
DFND
1
5570
0
0
DEVON ENERGY CORP NEW
COM
25179M103
747
16346
SH
DFND
1
16346
0
0
DOLLAR TREE INC
COM
256746108
1200
15554
SH
DFND
1
15554
0
0
DONALDSON INC
COM
257651109
673
16000
SH
DFND
1
16000
0
0
DOVER CORP
COM
260003108
2749
36691
SH
DFND
1
36691
0
0
DU PONT E I DE NEMOURS & CO
COM
263534109
211
2871
SH
DFND
1
2871
0
0
EAGLE MATERIALS INC
COM
26969P108
598
6073
SH
DFND
1
6073
0
0
EATON CORP PLC
SHS
G29183103
210
3128
SH
DFND
1
3128
0
0
EBAY INC
COM
278642103
365
12310
SH
DFND
1
12310
0
0
ELLIE MAE INC
COM
28849P100
585
6995
SH
DFND
1
6995
0
0
ENERGY TRANSFER PRTNRS L P
UNIT LTD PARTN
29273R109
432
12070
SH
DFND
1
12070
0
0
ENVIVA PARTNERS LP
COM UNIT
29414J107
1089
40640
SH
DFND
1
40640
0
0
EOG RES INC
COM
26875P101
1115
11032
SH
DFND
1
11032
0
0
EQT CORP
COM
26884L109
891
13629
SH
DFND
1
13629
0
0
EQUINIX INC
COM PAR $0.001
29444U700
60895
170379
SH
DFND
1
170379
0
0
EXPEDIA INC DEL
COM NEW
30212P303
4922
43447
SH
DFND
1
43447
0
0
EXPRESS SCRIPTS HLDG CO
COM
30219G108
55489
806645
SH
DFND
1
806645
0
0
EXXON MOBIL CORP
COM
30231G102
297
3291
SH
DFND
1
3291
0
0
FACEBOOK INC
CL A
30303M102
4227
36744
SH
DFND
1
36744
0
0
FEDEX CORP
COM
31428X106
695
3731
SH
DFND
1
3731
0
0
FIRST TR ENERGY INCOME & GRW
COM
33738G104
2573
96940
SH
DFND
1
96940
0
0
FISERV INC
COM
337738108
33043
310908
SH
DFND
1
310908
0
0
FOMENTO ECONOMICO MEXICANO S
SPON ADR UNITS
344419106
343
4500
SH
DFND
1
4500
0
0
FOOT LOCKER INC
COM
344849104
365
5148
SH
DFND
1
5148
0
0
FORTIVE CORP
COM
34959J108
16025
298808
SH
DFND
1
298808
0
0
FREEPORT-MCMORAN INC
CL B
35671D857
651
49323
SH
DFND
1
49323
0
0
GENERAL DYNAMICS CORP
COM
369550108
211
1223
SH
DFND
1
1223
0
0
GENERAL ELECTRIC CO
COM
369604103
398
12600
SH
DFND
1
12600
0
0
GENERAL MTRS CO
COM
37045V100
271
7791
SH
DFND
1
7791
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
624
2606
SH
DFND
1
2606
0
0
GOLUB CAP BDC INC
COM
38173M102
265
14402
SH
DFND
1
14402
0
0
GULFPORT ENERGY CORP
COM NEW
402635304
491
22684
SH
DFND
1
22684
0
0
HANESBRANDS INC
COM
410345102
322
14932
SH
DFND
1
14932
0
0
HCA HOLDINGS INC
COM
40412C101
2796
37777
SH
DFND
1
37777
0
0
HILTON WORLDWIDE HLDGS INC
COM
43300A104
813
29896
SH
DFND
1
29896
0
0
HOME DEPOT INC
COM
437076102
4608
34366
SH
DFND
1
34366
0
0
HONEYWELL INTL INC
COM
438516106
302
2607
SH
DFND
1
2607
0
0
HUMANA INC
COM
444859102
2935
14385
SH
DFND
1
14385
0
0
ICAHN ENTERPRISES LP
DEPOSITARY UNIT
451100101
285
4751
SH
DFND
1
4751
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INCYTE CORP
COM
45337C102
445
4437
SH
DFND
1
4437
0
0
INTERCONTINENTAL EXCHANGE IN
COM
45866F104
373
6610
SH
DFND
1
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0
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IONIS PHARMACEUTICALS INC
COM
462222100
455
9505
SH
DFND
1
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0
0
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MSCI EMG MKT ETF
464287234
632
18050
SH
DFND
1
18050
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ISHARES TR
MSCI EAFE ETF
464287465
306
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1
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RUS MDCP VAL ETF
464287473
376
4678
SH
DFND
1
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ISHARES TR
RUS MD CP GR ETF
464287481
289
2969
SH
DFND
1
2969
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ISHARES TR
RUS 1000 VAL ETF
464287598
2345
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DFND
1
20931
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RUS 1000 GRW ETF
464287614
305
2911
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RUS 2000 VAL ETF
464287630
511
4296
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DFND
1
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RUS 2000 GRW ETF
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271
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DFND
1
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SHRT NAT MUN ETF
464288158
1650
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DFND
1
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MSCI ACWI ETF
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6157
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464288414
56556
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DFND
1
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US HOME CONS ETF
464288752
836
30438
SH
DFND
1
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JD COM INC
SPON ADR CL A
47215P106
768
30201
SH
DFND
1
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0
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JOHNSON & JOHNSON
COM
478160104
5100
44269
SH
DFND
1
44269
0
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JP ENERGY PARTNERS LP
UNT REPST LTD
46643C109
627
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SH
DFND
1
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JPMORGAN CHASE & CO
COM
46625H100
1002
11608
SH
DFND
1
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0
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KAYNE ANDERSON MLP INVT CO
COM
486606106
1250
63841
SH
DFND
1
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0
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COM UNITS
Y48125101
763
32350
SH
DFND
1
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COM NEW
50540R409
70370
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SH
DFND
1
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LIBERTY GLOBAL PLC
SHS CL A
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SH
DFND
1
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LIBERTY GLOBAL PLC
SHS CL C
G5480U120
2252
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SH
DFND
1
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0
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LLOYDS BANKING GROUP PLC
SPONSORED ADR
539439109
444
143387
SH
DFND
1
143387
0
0
LOCKHEED MARTIN CORP
COM
539830109
1045
4182
SH
DFND
1
4182
0
0
LOWES COS INC
COM
548661107
14345
201706
SH
DFND
1
201706
0
0
MARATHON OIL CORP
COM
565849106
535
30926
SH
DFND
1
30926
0
0
MARRIOTT INTL INC NEW
CL A
571903202
666
8060
SH
DFND
1
8060
0
0
MARTIN MIDSTREAM PRTNRS L P
UNIT L P INT
573331105
357
19450
SH
DFND
1
19450
0
0
MCDONALDS CORP
COM
580135101
286
2346
SH
DFND
1
2346
0
0
MCKESSON CORP
COM
58155Q103
3784
26942
SH
DFND
1
26942
0
0
MEDIDATA SOLUTIONS INC
COM
58471A105
826
16630
SH
DFND
1
16630
0
0
MICROSOFT CORP
COM
594918104
42824
689160
SH
DFND
1
689160
0
0
MONDELEZ INTL INC
CL A
609207105
1690
38130
SH
DFND
1
38130
0
0
MONSANTO CO NEW
COM
61166W101
49401
469549
SH
DFND
1
469549
0
0
MOODYS CORP
COM
615369105
66793
708532
SH
DFND
1
708532
0
0
NACCO INDS INC
CL A
629579103
589
6506
SH
DFND
1
6506
0
0
NATIONAL GRID PLC
SPON ADR NEW
636274300
383
6571
SH
DFND
1
6571
0
0
NETFLIX INC
COM
64110L106
1426
11517
SH
DFND
1
11517
0
0
NEW MTN FIN CORP
COM
647551100
250
17761
SH
DFND
1
17761
0
0
NOBLE ENERGY INC
COM
655044105
776
20394
SH
DFND
1
20394
0
0
NORFOLK SOUTHERN CORP
COM
655844108
554
5124
SH
DFND
1
5124
0
0
NVIDIA CORP
COM
67066G104
1587
14870
SH
DFND
1
14870
0
0
ORACLE CORP
COM
68389X105
19941
518616
SH
DFND
1
518616
0
0
PALO ALTO NETWORKS INC
COM
697435105
2603
20814
SH
DFND
1
20814
0
0
PAYPAL HLDGS INC
COM
70450Y103
1868
47331
SH
DFND
1
47331
0
0
PENTAIR PLC
SHS
G7S00T104
362
6465
SH
DFND
1
6465
0
0
PEPSICO INC
COM
713448108
872
8333
SH
DFND
1
8333
0
0
PHILLIPS 66
COM
718546104
287
3318
SH
DFND
1
3318
0
0
PIMCO ETF TR
TTL RTN ACTV ETF
72201R775
1908
18326
SH
DFND
1
18326
0
0
PIONEER NAT RES CO
COM
723787107
569
3158
SH
DFND
1
3158
0
0
PRESTIGE BRANDS HLDGS INC
COM
74112D101
431
8276
SH
DFND
1
8276
0
0
PRICELINE GRP INC
COM NEW
741503403
87939
59983
SH
DFND
1
59983
0
0
PROCTER AND GAMBLE CO
COM
742718109
6264
74504
SH
DFND
1
74504
0
0
PVH CORP
COM
693656100
301
3337
SH
DFND
1
3337
0
0
QUEST DIAGNOSTICS INC
COM
74834L100
3704
40301
SH
DFND
1
40301
0
0
RYDEX ETF TRUST
GUG S&P500 PU VA
78355W304
1908
33123
SH
DFND
1
33123
0
0
S&P GLOBAL INC
COM
78409V104
14805
137668
SH
DFND
1
137668
0
0
SCHLUMBERGER LTD
COM
806857108
78858
939345
SH
DFND
1
939345
0
0
SCHWAB CHARLES CORP NEW
COM
808513105
76153
1929387
SH
DFND
1
1929387
0
0
SELECT SECTOR SPDR TR
SBI CONS STPLS
81369Y308
547
10587
SH
DFND
1
10587
0
0
SELECT SECTOR SPDR TR
SBI INT-ENERGY
81369Y506
25485
338358
SH
DFND
1
338358
0
0
SIGNET JEWELERS LIMITED
SHS
G81276100
1174
12457
SH
DFND
1
12457
0
0
SONY CORP
ADR NEW
835699307
352
12542
SH
DFND
1
12542
0
0
SPDR GOLD TRUST
GOLD SHS
78463V107
678
6190
SH
DFND
1
6190
0
0
SPDR SERIES TRUST
DJ REIT ETF
78464A607
809
8668
SH
DFND
1
8668
0
0
SPIRIT AEROSYSTEMS HLDGS INC
COM CL A
848574109
414
7097
SH
DFND
1
7097
0
0
SYSCO CORP
COM
871829107
3067
55390
SH
DFND
1
55390
0
0
TCP CAP CORP
COM
87238Q103
538
31826
SH
DFND
1
31826
0
0
TESORO CORP
COM
881609101
292
3338
SH
DFND
1
3338
0
0
TEVA PHARMACEUTICAL INDS LTD
ADR
881624209
582
16051
SH
DFND
1
16051
0
0
TORTOISE ENERGY INFRA CORP
COM
89147L100
1191
38811
SH
DFND
1
38811
0
0
TORTOISE MLP FD INC
COM
89148B101
1188
62259
SH
DFND
1
62259
0
0
TPG SPECIALTY LENDING INC
COM
87265K102
562
30099
SH
DFND
1
30099
0
0
TRANSDIGM GROUP INC
COM
893641100
63529
255176
SH
DFND
1
255176
0
0
TRIANGLE CAP CORP
COM
895848109
458
24972
SH
DFND
1
24972
0
0
TWENTY FIRST CENTY FOX INC
CL A
90130A101
406
14476
SH
DFND
1
14476
0
0
UNILEVER PLC
SPON ADR NEW
904767704
321
7875
SH
DFND
1
7875
0
0
UNITED CONTL HLDGS INC
COM
910047109
4040
55438
SH
DFND
1
55438
0
0
UNITED PARCEL SERVICE INC
CL B
911312106
48506
423115
SH
DFND
1
423115
0
0
UNITED TECHNOLOGIES CORP
COM
913017109
681
6209
SH
DFND
1
6209
0
0
UNITED THERAPEUTICS CORP DEL
COM
91307C102
555
3868
SH
DFND
1
3868
0
0
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
356
1734
SH
DFND
1
1734
0
0
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
3941
34175
SH
DFND
1
34175
0
0
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
3510
98110
SH
DFND
1
98110
0
0
VANGUARD INTL EQUITY INDEX F
FTSE EUROPE ETF
922042874
5109
106567
SH
DFND
1
106567
0
0
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
19782
249244
SH
DFND
1
249244
0
0
VANGUARD SCOTTSDALE FDS
INT-TERM CORP
92206C870
8115
94685
SH
DFND
1
94685
0
0
VANGUARD STAR FD
VG TL INTL STK F
921909768
3992
87015
SH
DFND
1
87015
0
0
VANGUARD TAX MANAGED INTL FD
FTSE DEV MKT ETF
921943858
3760
102902
SH
DFND
1
102902
0
0
VANGUARD WHITEHALL FDS INC
HIGH DIV YLD
921946406
2199
29028
SH
DFND
1
29028
0
0
VANGUARD WORLD FDS
ENERGY ETF
92204A306
916
8746
SH
DFND
1
8746
0
0
VANGUARD WORLD FDS
FINANCIALS ETF
92204A405
1002
16882
SH
DFND
1
16882
0
0
VANGUARD WORLD FDS
INDUSTRIAL ETF
92204A603
911
7638
SH
DFND
1
7638
0
0
VANGUARD WORLD FDS
MATERIALS ETF
92204A801
886
7876
SH
DFND
1
7876
0
0
VODAFONE GROUP PLC NEW
SPNSR ADR
92857W308
322
13177
SH
DFND
1
13177
0
0
W & T OFFSHORE INC
COM
92922P106
47
16850
SH
DFND
1
16850
0
0
WALGREENS BOOTS ALLIANCE INC
COM
931427108
1559
18843
SH
DFND
1
18843
0
0
WATERS CORP
COM
941848103
352
2620
SH
DFND
1
2620
0
0
WAYFAIR INC
CL A
94419L101
24535
700000
SH
DFND
1
700000
0
0
WELLS FARGO & CO NEW
COM
949746101
488
8857
SH
DFND
1
8857
0
0
WILLIS TOWERS WATSON PUB LTD
SHS
G96629103
419
3429
SH
DFND
1
3429
0
0
WORKDAY INC
CL A
98138H101
2416
36551
SH
DFND
1
36551
0
0
XEROX CORP
COM
984121103
318
36388
SH
DFND
1
36388
0
0
ZOETIS INC
CL A
98978V103
683
12764
SH
DFND
1
12764
0
0