0001172661-17-001727.txt : 20170922 0001172661-17-001727.hdr.sgml : 20170922 20170922150844 ACCESSION NUMBER: 0001172661-17-001727 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20170922 DATE AS OF CHANGE: 20170922 EFFECTIVENESS DATE: 20170922 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-11378 FILM NUMBER: 171097487 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/A 1 primary_doc.xml 13F-HR/A LIVE false true false 0001326234 XXXXXXXX 09-30-2016 09-30-2016 true 1 RESTATEMENT 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 09-22-2017 1 200 1566152 1 0001389544 028-12302 ALLEN OPERATIONS LLC INFORMATION TABLE 2 infotable.xml 3M CO COM 88579Y101 3941 22362 SH DFND 1 22362 0 0 ABBOTT LABS COM 002824100 338 8000 SH DFND 1 8000 0 0 ABBVIE INC COM 00287Y109 535 8487 SH DFND 1 8487 0 0 ABIOMED INC COM 003654100 2427 18879 SH DFND 1 18879 0 0 ADVANCED DRAIN SYS INC DEL COM 00790R104 2546 105820 SH DFND 1 105820 0 0 ALASKA AIR GROUP INC COM 011659109 3707 56283 SH DFND 1 56283 0 0 ALCOA INC COM 013817101 347 34265 SH DFND 1 34265 0 0 ALPHABET INC CAP STK CL A 02079K305 17769 22099 SH DFND 1 22099 0 0 ALPHABET INC CAP STK CL C 02079K107 67323 86613 SH DFND 1 86613 0 0 AMAZON COM INC COM 023135106 8859 10580 SH DFND 1 10580 0 0 AMERICAN EXPRESS CO COM 025816109 3060 47789 SH DFND 1 47789 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 3707 62478 SH DFND 1 62478 0 0 AMERISOURCEBERGEN CORP COM 03073E105 49239 609543 SH DFND 1 609543 0 0 AMETEK INC NEW COM 031100100 447 9365 SH DFND 1 9365 0 0 ANADARKO PETE CORP COM 032511107 774 12223 SH DFND 1 12223 0 0 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 40415 307548 SH DFND 1 307548 0 0 ANTERO RES CORP COM 03674X106 583 21619 SH DFND 1 21619 0 0 APACHE CORP COM 037411105 999 15643 SH DFND 1 15643 0 0 APPLE INC COM 037833100 2486 21987 SH DFND 1 21987 0 0 ARES CAP CORP COM 04010L103 4083 263423 SH DFND 1 263423 0 0 ATHENAHEALTH INC COM 04685W103 522 4137 SH DFND 1 4137 0 0 AUTODESK INC COM 052769106 1628 22508 SH DFND 1 22508 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 1117 12659 SH DFND 1 12659 0 0 BAIDU INC SPON ADR REP A 056752108 437 2400 SH DFND 1 2400 0 0 BAKER HUGHES INC COM 057224107 398 7887 SH DFND 1 7887 0 0 BARCLAYS PLC ADR 06738E204 327 37629 SH DFND 1 37629 0 0 BAXTER INTL INC COM 071813109 507 10657 SH DFND 1 10657 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 1514 7 SH DFND 1 7 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 41732 288864 SH DFND 1 288864 0 0 BP PLC SPONSORED ADR 055622104 1565 44517 SH DFND 1 44517 0 0 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 613 17419 SH DFND 1 17419 0 0 CABOT OIL & GAS CORP COM 127097103 958 37124 SH DFND 1 37124 0 0 CARMAX INC COM 143130102 734 13762 SH DFND 1 13762 0 0 CELANESE CORP DEL COM SER A 150870103 419 6288 SH DFND 1 6288 0 0 CELGENE CORP COM 151020104 541 5176 SH DFND 1 5176 0 0 CHARTER COMMUNICATIONS INC N CL A 16119P108 97805 362282 SH DFND 1 362282 0 0 CHENIERE ENERGY INC COM NEW 16411R208 288 6606 SH DFND 1 6606 0 0 CIMPRESS N V SHS EURO N20146101 627 6200 SH DFND 1 6200 0 0 CITRIX SYS INC COM 177376100 538 6315 SH DFND 1 6315 0 0 CLEARBRIDGE ENERGY MLP FD IN COM 184692101 1002 61574 SH DFND 1 61574 0 0 COCA COLA CO COM 191216100 2761 65236 SH DFND 1 65236 0 0 COMCAST CORP NEW CL A 20030N101 90857 1369568 SH DFND 1 1369568 0 0 COMPUTER SCIENCES CORP COM 205363104 399 7651 SH DFND 1 7651 0 0 CONAGRA FOODS INC COM 205887102 456 9688 SH DFND 1 9688 0 0 CONOCOPHILLIPS COM 20825C104 1004 23104 SH DFND 1 23104 0 0 CONSOL ENERGY 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SH DFND 1 11032 0 0 EQT CORP COM 26884L109 990 13629 SH DFND 1 13629 0 0 EQUINIX INC COM PAR $0.001 29444U700 61531 170802 SH DFND 1 170802 0 0 EXPEDIA INC DEL COM NEW 30212P303 5163 44231 SH DFND 1 44231 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 73409 1040820 SH DFND 1 1040820 0 0 EXXON MOBIL CORP COM 30231G102 310 3551 SH DFND 1 3551 0 0 FACEBOOK INC CL A 30303M102 5916 46118 SH DFND 1 46118 0 0 FEDEX CORP COM 31428X106 800 4578 SH DFND 1 4578 0 0 FIRST TR ENERGY INCOME & GRW COM 33738G104 2626 96940 SH DFND 1 96940 0 0 FISERV INC COM 337738108 31914 320843 SH DFND 1 320843 0 0 FOMENTO ECONOMICO MEXICANO S SPON ADR UNITS 344419106 414 4500 SH DFND 1 4500 0 0 FORTIVE CORP COM 34959J108 15372 301995 SH DFND 1 301995 0 0 FREEPORT-MCMORAN INC CL B 35671D857 332 30591 SH DFND 1 30591 0 0 FS INVT CORP COM 302635107 236 24929 SH DFND 1 24929 0 0 GCP APPLIED TECHNOLOGIES INC COM 36164Y101 377 13329 SH DFND 1 13329 0 0 GENERAL MTRS CO COM 37045V100 305 9598 SH DFND 1 9598 0 0 G-III APPAREL 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5087 SH DFND 1 5087 0 0 ISHARES TR RUS MDCP VAL ETF 464287473 359 4678 SH DFND 1 4678 0 0 ISHARES TR RUS MD CP GR ETF 464287481 289 2969 SH DFND 1 2969 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 2211 20931 SH DFND 1 20931 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 303 2911 SH DFND 1 2911 0 0 ISHARES TR RUS 2000 VAL ETF 464287630 450 4296 SH DFND 1 4296 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 262 1758 SH DFND 1 1758 0 0 ISHARES TR SHRT NAT MUN ETF 464288158 3945 37220 SH DFND 1 37220 0 0 ISHARES TR MSCI ACWI ETF 464288257 3752 63486 SH DFND 1 63486 0 0 ISHARES TR NATIONAL MUN ETF 464288414 8475 75167 SH DFND 1 75167 0 0 ISHARES TR US HOME CONS ETF 464288752 392 14222 SH DFND 1 14222 0 0 JD COM INC SPON ADR CL A 47215P106 865 33171 SH DFND 1 33171 0 0 JOHNSON & JOHNSON COM 478160104 5095 43134 SH DFND 1 43134 0 0 JP ENERGY PARTNERS LP UNT REPST LTD 46643C109 458 61909 SH DFND 1 61909 0 0 JPMORGAN CHASE & CO COM 46625H100 406 6097 SH DFND 1 6097 0 0 KAYNE ANDERSON MLP INVT CO COM 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MONSANTO CO NEW COM 61166W101 43420 424851 SH DFND 1 424851 0 0 MOODYS CORP COM 615369105 73047 674615 SH DFND 1 674615 0 0 NACCO INDS INC CL A 629579103 442 6506 SH DFND 1 6506 0 0 NATIONAL GRID PLC SPON ADR NEW 636274300 1489 20940 SH DFND 1 20940 0 0 NETFLIX INC COM 64110L106 1407 14274 SH DFND 1 14274 0 0 NEW MTN FIN CORP COM 647551100 337 24466 SH DFND 1 24466 0 0 NOBLE CORP PLC SHS USD G65431101 168 26426 SH DFND 1 26426 0 0 NOBLE ENERGY INC COM 655044105 729 20394 SH DFND 1 20394 0 0 NORFOLK SOUTHERN CORP COM 655844108 497 5124 SH DFND 1 5124 0 0 NVIDIA CORP COM 67066G104 1019 14870 SH DFND 1 14870 0 0 OCWEN FINL CORP COM NEW 675746309 37 10138 SH DFND 1 10138 0 0 ORACLE CORP COM 68389X105 20540 522908 SH DFND 1 522908 0 0 PALO ALTO NETWORKS INC COM 697435105 3316 20814 SH DFND 1 20814 0 0 PANDORA MEDIA INC COM 698354107 353 24599 SH DFND 1 24599 0 0 PAYPAL HLDGS INC COM 70450Y103 1945 47485 SH DFND 1 47485 0 0 PENTAIR PLC SHS G7S00T104 415 6464 SH DFND 1 6464 0 0 PEPSICO INC COM 713448108 964 8863 SH DFND 1 8863 0 0 PHILLIPS 66 COM 718546104 267 3318 SH DFND 1 3318 0 0 PIMCO ETF TR TTL RTN ACTV ETF 72201R775 1978 18326 SH DFND 1 18326 0 0 PIONEER NAT RES CO COM 723787107 720 3880 SH DFND 1 3880 0 0 PPG INDS INC COM 693506107 748 7241 SH DFND 1 7241 0 0 PRESTIGE BRANDS HLDGS INC COM 74112D101 1391 28822 SH DFND 1 28822 0 0 PRICELINE GRP INC COM NEW 741503403 86791 58982 SH DFND 1 58982 0 0 PROCTER AND GAMBLE CO COM 742718109 4456 49648 SH DFND 1 49648 0 0 PVH CORP COM 693656100 453 4096 SH DFND 1 4096 0 0 RANGE RES CORP COM 75281A109 326 8407 SH DFND 1 8407 0 0 RYDEX ETF TRUST GUG S&P500 PU VA 78355W304 1751 33123 SH DFND 1 33123 0 0 S&P GLOBAL INC COM 78409V104 19044 150475 SH DFND 1 150475 0 0 SBA COMMUNICATIONS CORP COM 78388J106 544 4851 SH DFND 1 4851 0 0 SCHLUMBERGER LTD COM 806857108 74234 943974 SH DFND 1 943974 0 0 SCHWAB CHARLES CORP NEW COM 808513105 64916 2056251 SH DFND 1 2056251 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 563 10587 SH DFND 1 10587 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 23891 338358 SH DFND 1 338358 0 0 SIGNET JEWELERS LIMITED SHS G81276100 2635 35354 SH DFND 1 35354 0 0 SONY CORP ADR NEW 835699307 417 12542 SH DFND 1 12542 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 877 6983 SH DFND 1 6983 0 0 SPDR SERIES TRUST DJ REIT ETF 78464A607 844 8668 SH DFND 1 8668 0 0 SPIRIT AEROSYSTEMS HLDGS INC COM CL A 848574109 390 8751 SH DFND 1 8751 0 0 STAPLES INC COM 855030102 272 31862 SH DFND 1 31862 0 0 SYSCO CORP COM 871829107 2715 55389 SH DFND 1 55389 0 0 TABLEAU SOFTWARE INC CL A 87336U105 362 6554 SH DFND 1 6554 0 0 TCP CAP CORP COM 87238Q103 729 44518 SH DFND 1 44518 0 0 TEGNA INC COM 87901J105 370 16936 SH DFND 1 16936 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 260 11492 SH DFND 1 11492 0 0 TESORO CORP COM 881609101 328 4118 SH DFND 1 4118 0 0 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 924 20073 SH DFND 1 20073 0 0 TORTOISE ENERGY INFRA CORP COM 89147L100 981 31910 SH DFND 1 31910 0 0 TORTOISE MLP FD INC COM 89148B101 1022 51149 SH DFND 1 51149 0 0 TPG SPECIALTY LENDING INC COM 87265K102 751 41489 SH DFND 1 41489 0 0 TRANSDIGM GROUP INC COM 893641100 72755 251642 SH DFND 1 251642 0 0 TRIANGLE CAP CORP COM 895848109 421 21347 SH DFND 1 21347 0 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 347 14335 SH DFND 1 14335 0 0 TYLER TECHNOLOGIES INC COM 902252105 829 4841 SH DFND 1 4841 0 0 UNILEVER PLC SPON ADR NEW 904767704 1538 32442 SH DFND 1 32442 0 0 UNITED CONTL HLDGS INC COM 910047109 3749 71442 SH DFND 1 71442 0 0 UNITED PARCEL SERVICE INC CL B 911312106 43111 394210 SH DFND 1 394210 0 0 UNITED THERAPEUTICS CORP DEL COM 91307C102 457 3868 SH DFND 1 3868 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 318 1600 SH DFND 1 1600 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 2259 20295 SH DFND 1 20295 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 4031 36426 SH DFND 1 36426 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 3692 98110 SH DFND 1 98110 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 3600 73879 SH DFND 1 73879 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 7694 169357 SH DFND 169357 0 0 VANGUARD STAR FD VG TL INTL STK F 921909768 4108 87015 SH DFND 1 87015 0 0 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 2524 67478 SH DFND 1 67478 0 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 2094 29028 SH DFND 1 29028 0 0 VANGUARD WORLD FDS ENERGY ETF 92204A306 409 4189 SH DFND 1 4189 0 0 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 391 7924 SH DFND 1 7924 0 0 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 399 3602 SH DFND 1 3602 0 0 VANGUARD WORLD FDS MATERIALS ETF 92204A801 397 3714 SH DFND 1 3714 0 0 VODAFONE GROUP PLC NEW SPNSR ADR 92857W308 1476 50643 SH DFND 1 50643 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 1519 18843 SH DFND 1 18843 0 0 WATERS CORP COM 941848103 415 2620 SH DFND 1 2620 0 0 WAYFAIR INC CL A 94419L101 19685 500000 SH DFND 1 500000 0 0 WELLS FARGO & CO NEW COM 949746101 392 8857 SH DFND 1 8857 0 0 WILLIS TOWERS WATSON PUB LTD SHS G96629103 390 2939 SH DFND 1 2939 0 0 WORKDAY INC CL A 98138H101 3327 36287 SH DFND 1 36287 0 0 XEROX CORP COM 984121103 315 31093 SH DFND 1 31093 0 0 ZOETIS INC CL A 98978V103 664 12765 SH DFND 1 12765 0 0