0001172661-19-002125.txt : 20191106 0001172661-19-002125.hdr.sgml : 20191106 20191106151936 ACCESSION NUMBER: 0001172661-19-002125 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191106 DATE AS OF CHANGE: 20191106 EFFECTIVENESS DATE: 20191106 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: 191196101 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 09-30-2019 09-30-2019 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 11-06-2019 1 192 3791598 1 0001389544 028-12302 ALLEN OPERATIONS LLC INFORMATION TABLE 2 infotable.xml 3M CO COM 88579Y101 5793 35237 SH DFND 1 35237 0 0 ABBOTT LABS COM 002824100 973 11627 SH DFND 1 11627 0 0 ABBVIE INC COM 00287Y109 606 8000 SH DFND 1 8000 0 0 ABIOMED INC COM 003654100 2776 15605 SH DFND 1 15605 0 0 ACTIVISION BLIZZARD INC COM 00507V109 6347 119945 SH DFND 1 119945 0 0 ADAPTIVE BIOTECHNOLOGIES COR COM 00650F109 244 7882 SH DFND 1 7882 0 0 ADOBE INC COM 00724F101 5873 21258 SH DFND 1 21258 0 0 ADVANCE AUTO PARTS INC COM 00751Y106 195392 1181328 SH DFND 1 1181328 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 52954 316656 SH DFND 1 316656 0 0 ALPHABET INC CAP STK CL C 02079K107 204424 167698 SH DFND 1 167698 0 0 ALPHABET INC CAP STK CL A 02079K305 9889 8098 SH DFND 1 8098 0 0 ALPS ETF TR ALERIAN MLP 00162Q866 38909 4256987 SH DFND 1 4256987 0 0 ALTERYX INC COM CL A 02156B103 587 5466 SH DFND 1 5466 0 0 ALTRIA GROUP INC COM 02209S103 394 9623 SH DFND 1 9623 0 0 AMAZON COM INC COM 023135106 166528 95931 SH DFND 1 95931 0 0 AMERICAN ELEC PWR CO INC COM 025537101 568 6066 SH DFND 1 6066 0 0 APOLLO GLOBAL MGMT INC COM CL A 03768E105 1116 29499 SH DFND 1 29499 0 0 APPLE INC COM 037833100 7255 32392 SH DFND 1 32392 0 0 ARES CAP CORP COM 04010L103 4069 218336 SH DFND 1 218336 0 0 BAIDU INC SPON ADR REP A 056752108 3015 29345 SH DFND 1 29345 0 0 BAXTER INTL INC COM 071813109 262 2990 SH DFND 1 2990 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 3742 12 SH DFND 1 12 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 9018 43352 SH DFND 1 43352 0 0 BLACKROCK INC COM 09247X101 606 1360 SH DFND 1 1360 0 0 BLACKROCK TCP CAP CORP COM 09259E108 448 33024 SH DFND 1 33024 0 0 BLACKSTONE GROUP INC COM CL A 09260D107 1971 40350 SH DFND 1 40350 0 0 BOEING CO COM 097023105 53990 141903 SH DFND 1 141903 0 0 BOOKING HLDGS INC COM 09857L108 148389 75608 SH DFND 1 75608 0 0 BROADCOM INC COM 11135F101 215 779 SH DFND 1 779 0 0 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 1957 36863 SH DFND 1 36863 0 0 CABLE ONE INC COM 12685J105 1733 1381 SH DFND 1 1381 0 0 CARGURUS INC COM CL A 141788109 355 11457 SH DFND 1 11457 0 0 CARLYLE GROUP L P COM UTS LTD PTN 14309L102 904 35361 SH DFND 1 35361 0 0 CARMAX INC COM 143130102 1715 19494 SH DFND 1 19494 0 0 CHARTER COMMUNICATIONS INC N CL A 16119P108 206922 502091 SH DFND 1 502091 0 0 CINCINNATI FINL CORP COM 172062101 889 7622 SH DFND 1 7622 0 0 CLEARBRIDGE MLP AND MIDSTRM COM 184692101 6834 600491 SH DFND 1 600491 0 0 COCA COLA CO COM 191216100 4624 84930 SH DFND 1 84930 0 0 COLGATE PALMOLIVE CO COM 194162103 331 4506 SH DFND 1 4506 0 0 COMCAST CORP NEW CL A 20030N101 211384 4689088 SH DFND 1 4689088 0 0 CONOCOPHILLIPS COM 20825C104 414 7260 SH DFND 1 7260 0 0 COUPA SOFTWARE INC COM 22266L106 4250 32802 SH DFND 1 32802 0 0 CREDIT ACCEP CORP MICH COM 225310101 369 800 SH DFND 1 800 0 0 CROWN CASTLE INTL CORP NEW COM 22822V101 209 1500 SH DFND 1 1500 0 0 DANAHER CORPORATION COM 235851102 11608 80373 SH DFND 1 80373 0 0 DIAGEO P L C SPON ADR NEW 25243Q205 3596 21991 SH DFND 1 21991 0 0 DONALDSON INC COM 257651109 833 16000 SH DFND 1 16000 0 0 DOVER CORP COM 260003108 795 7987 SH DFND 1 7987 0 0 DUPONT DE NEMOURS INC COM 26614N102 245 3436 SH DFND 1 3436 0 0 ELECTRONIC ARTS INC COM 285512109 239 2440 SH DFND 1 2440 0 0 EMERSON ELEC CO COM 291011104 413 6173 SH DFND 1 6173 0 0 ENSTAR GROUP LIMITED SHS G3075P101 304 1600 SH DFND 1 1600 0 0 EPAM SYS INC COM 29414B104 294 1610 SH DFND 1 1610 0 0 EQUINIX INC COM 29444U700 47338 82070 SH DFND 1 82070 0 0 ETSY INC COM 29786A106 2182 38618 SH DFND 1 38618 0 0 EURONET WORLDWIDE INC COM 298736109 332 2272 SH DFND 1 2272 0 0 EXPEDIA GROUP INC COM NEW 30212P303 3054 22722 SH DFND 1 22722 0 0 FACEBOOK INC CL A 30303M102 135270 759604 SH DFND 1 759604 0 0 FISERV INC COM 337738108 38471 371379 SH DFND 1 371379 0 0 FOMENTO ECONOMICO MEXICANO S SPON ADR UNITS 344419106 412 4500 SH DFND 1 4500 0 0 GANNETT CO INC COM 36473H104 163 15170 SH DFND 1 15170 0 0 GENERAL DYNAMICS CORP COM 369550108 6378 34906 SH DFND 1 34906 0 0 GENERAL ELECTRIC CO COM 369604103 12078 1351020 SH DFND 1 1351020 0 0 GOLUB CAP BDC INC COM 38173M102 281 14894 SH DFND 1 14894 0 0 GRUBHUB INC COM 400110102 443 7881 SH DFND 1 7881 0 0 HOME DEPOT INC COM 437076102 794 3421 SH DFND 1 3421 0 0 HUMANA INC COM 444859102 256 1000 SH DFND 1 1000 0 0 IAC INTERACTIVECORP COM 44919P508 226 1037 SH DFND 1 1037 0 0 IHS MARKIT LTD SHS G47567105 6736 100722 SH DFND 1 100722 0 0 ILLUMINA INC COM 452327109 3272 10755 SH DFND 1 10755 0 0 INCYTE CORP COM 45337C102 1400 18863 SH DFND 1 18863 0 0 INTEL CORP COM 458140100 901 17483 SH DFND 1 17483 0 0 INVESCO EXCHANGE TRADED FD T S&P500 PUR VAL 46137V258 977 15073 SH DFND 1 15073 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 4289 22715 SH DFND 1 22715 0 0 IONIS PHARMACEUTICALS INC COM 462222100 939 15680 SH DFND 1 15680 0 0 IQVIA HLDGS INC COM 46266C105 11899 79657 SH DFND 1 79657 0 0 ISHARES INC CORE MSCI EMKT 46434G103 2487 50738 SH DFND 1 50738 0 0 ISHARES TR S&P 100 ETF 464287101 835 6353 SH DFND 1 6353 0 0 ISHARES TR CORE S&P TTL STK 464287150 2639 39340 SH DFND 1 39340 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 3545 86731 SH DFND 1 86731 0 0 ISHARES TR MSCI EAFE ETF 464287465 875 13414 SH DFND 1 13414 0 0 ISHARES TR RUS MDCP VAL ETF 464287473 397 4421 SH DFND 1 4421 0 0 ISHARES TR RUS MD CP GR ETF 464287481 420 2969 SH DFND 1 2969 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 2649 20656 SH DFND 1 20656 0 0 ISHARES TR S&P MC 400GR ETF 464287606 423 1889 SH DFND 1 1889 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 426 2671 SH DFND 1 2671 0 0 ISHARES TR RUS 2000 VAL ETF 464287630 394 3302 SH DFND 1 3302 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 331 1720 SH DFND 1 1720 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 1057 6985 SH DFND 1 6985 0 0 ISHARES TR RUSSELL 3000 ETF 464287689 835 4807 SH DFND 1 4807 0 0 ISHARES TR U.S. TECH ETF 464287721 279 1366 SH DFND 1 1366 0 0 ISHARES TR CORE S&P SCP ETF 464287804 281 3616 SH DFND 1 3616 0 0 ISHARES TR S&P SML 600 GWT 464287887 446 2500 SH DFND 1 2500 0 0 ISHARES TR SHRT NAT MUN ETF 464288158 4536 42574 SH DFND 1 42574 0 0 ISHARES TR MSCI ACWI EX US 464288240 5836 126728 SH DFND 1 126728 0 0 ISHARES TR MSCI ACWI ETF 464288257 7051 95607 SH DFND 1 95607 0 0 ISHARES TR CORE MSCI TOTAL 46432F834 25576 442805 SH DFND 1 442805 0 0 ISHARES TR CORE MSCI EAFE 46432F842 6148 100606 SH DFND 1 100606 0 0 JD COM INC SPON ADR CL A 47215P106 737 26130 SH DFND 1 26130 0 0 JOHNSON & JOHNSON COM 478160104 22153 171221 SH DFND 1 171221 0 0 JPMORGAN CHASE & CO COM 46625H100 410 3486 SH DFND 1 3486 0 0 KAYNE ANDERSN MLP MIDS INVT COM 486606106 6825 471971 SH DFND 1 471971 0 0 KKR & CO INC CL A 48251W104 864 32164 SH DFND 1 32164 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 185444 1103832 SH DFND 1 1103832 0 0 LENDINGCLUB CORP COM NEW 52603A208 437 33428 SH DFND 1 33428 0 0 LIBERTY BROADBAND CORP COM SER A 530307107 14454 138292 SH DFND 1 138292 0 0 LIBERTY BROADBAND CORP COM SER C 530307305 12947 123693 SH DFND 1 123693 0 0 LIBERTY GLOBAL PLC SHS CL A G5480U104 3015 121822 SH DFND 1 121822 0 0 LOWES COS INC COM 548661107 164503 1496027 SH DFND 1 1496027 0 0 MANHATTAN ASSOCS INC COM 562750109 1936 24003 SH DFND 1 24003 0 0 MARKEL CORP COM 570535104 310 262 SH DFND 1 262 0 0 MARRIOTT INTL INC NEW CL A 571903202 386 3100 SH DFND 1 3100 0 0 MASTERCARD INC CL A 57636Q104 3790 13955 SH DFND 1 13955 0 0 MCDONALDS CORP COM 580135101 488 2271 SH DFND 1 2271 0 0 MERCADOLIBRE INC COM 58733R102 7090 12863 SH DFND 1 12863 0 0 MERCK & CO INC COM 58933Y105 965 11460 SH DFND 1 11460 0 0 MICROSOFT CORP COM 594918104 189125 1360316 SH DFND 1 1360316 0 0 MONDELEZ INTL INC CL A 609207105 4912 88792 SH DFND 1 88792 0 0 MONGODB INC CL A 60937P106 22501 186762 SH DFND 1 186762 0 0 MOODYS CORP COM 615369105 128315 626444 SH DFND 1 626444 0 0 MORGAN STANLEY COM NEW 617446448 294 6887 SH DFND 1 6887 0 0 NETFLIX INC COM 64110L106 9533 35621 SH DFND 1 35621 0 0 NEUROCRINE BIOSCIENCES INC COM 64125C109 734 8147 SH DFND 1 8147 0 0 NEW MTN FIN CORP COM 647551100 253 18558 SH DFND 1 18558 0 0 NIKE INC CL B 654106103 569 6055 SH DFND 1 6055 0 0 NORFOLK SOUTHERN CORP COM 655844108 285 1589 SH DFND 1 1589 0 0 NVIDIA CORP COM 67066G104 253 1451 SH DFND 1 1451 0 0 OKTA INC CL A 679295105 252 2561 SH DFND 1 2561 0 0 PALO ALTO NETWORKS INC COM 697435105 1043 5117 SH DFND 1 5117 0 0 PAYCOM SOFTWARE INC COM 70432V102 2524 12046 SH DFND 1 12046 0 0 PAYPAL HLDGS INC COM 70450Y103 4180 40347 SH DFND 1 40347 0 0 PEPSICO INC COM 713448108 790 5763 SH DFND 1 5763 0 0 PFIZER INC COM 717081103 647 17997 SH DFND 1 17997 0 0 PHILIP MORRIS INTL INC COM 718172109 316 4167 SH DFND 1 4167 0 0 PHILLIPS 66 COM 718546104 353 3443 SH DFND 1 3443 0 0 PROCTER & GAMBLE CO COM 742718109 7788 62615 SH DFND 1 62615 0 0 ROPER TECHNOLOGIES INC COM 776696106 357 1000 SH DFND 1 1000 0 0 S&P GLOBAL INC COM 78409V104 44289 180785 SH DFND 1 180785 0 0 SALESFORCE COM INC COM 79466L302 8037 54145 SH DFND 1 54145 0 0 SEATTLE GENETICS INC COM 812578102 875 10242 SH DFND 1 10242 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 355 3943 SH DFND 1 3943 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 265 4313 SH DFND 1 4313 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 275 2278 SH DFND 1 2278 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 224 8004 SH DFND 1 8004 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 249 3202 SH DFND 1 3202 0 0 SERVICENOW INC COM 81762P102 51755 203879 SH DFND 1 203879 0 0 SHERWIN WILLIAMS CO COM 824348106 28536 51895 SH DFND 1 51895 0 0 SHOPIFY INC CL A 82509L107 3914 12560 SH DFND 1 12560 0 0 SMARTSHEET INC COM CL A 83200N103 509 14131 SH DFND 1 14131 0 0 SONY CORP SPONSORED ADR 835699307 1193 20172 SH DFND 1 20172 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 1615 11631 SH DFND 1 11631 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 9732 32793 SH DFND 1 32793 0 0 SPDR SERIES TRUST NUVEEN BLMBRG SR 78468R739 4542 92716 SH DFND 1 92716 0 0 SPOTIFY TECHNOLOGY S A SHS L8681T102 2435 21363 SH DFND 1 21363 0 0 SQUARE INC CL A 852234103 2890 46652 SH DFND 1 46652 0 0 SYSCO CORP COM 871829107 122779 1546338 SH DFND 1 1546338 0 0 TEXAS INSTRS INC COM 882508104 432 3340 SH DFND 1 3340 0 0 THE CHARLES SCHWAB CORPORATI COM 808513105 74863 1789691 SH DFND 1 1789691 0 0 TJX COS INC NEW COM 872540109 424 7600 SH DFND 1 7600 0 0 TORTOISE ENERGY INFRA CORP COM 89147L100 6551 320329 SH DFND 1 320329 0 0 TORTOISE MIDSTRM ENERGY FD I COM 89148B101 6605 537464 SH DFND 1 537464 0 0 TPG SPECIALTY LENDING INC COM 87265K102 649 30935 SH DFND 1 30935 0 0 TRANSDIGM GROUP INC COM 893641100 184227 353827 SH DFND 1 353827 0 0 TWILIO INC CL A 90138F102 9171 83400 SH DFND 1 83400 0 0 TWITTER INC COM 90184L102 17164 416595 SH DFND 1 416595 0 0 UNILEVER N V N Y SHS NEW 904784709 541 9020 SH DFND 1 9020 0 0 UNILEVER PLC SPON ADR NEW 904767704 3434 57134 SH DFND 1 57134 0 0 UNITED TECHNOLOGIES CORP COM 913017109 45467 333043 SH DFND 1 333043 0 0 UNITED THERAPEUTICS CORP DEL COM 91307C102 472 5923 SH DFND 1 5923 0 0 UNITEDHEALTH GROUP INC COM 91324P102 138433 637002 SH DFND 1 637002 0 0 UNIVERSAL DISPLAY CORP COM 91347P105 635 3780 SH DFND 1 3780 0 0 US FOODS HLDG CORP COM 912008109 156793 3814915 SH DFND 1 3814915 0 0 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 2259 25671 SH DFND 1 25671 0 0 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 6755 83611 SH DFND 1 83611 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 680 2493 SH DFND 1 2493 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 208 1250 SH DFND 1 1250 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 21855 144738 SH DFND 1 144738 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 9159 183551 SH DFND 1 183551 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 12993 322724 SH DFND 1 322724 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 5775 107720 SH DFND 1 107720 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 7398 91276 SH DFND 1 91276 0 0 VANGUARD STAR FD VG TL INTL STK F 921909768 85902 1662833 SH DFND 1 1662833 0 0 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 28598 696150 SH DFND 1 696150 0 0 VEEVA SYS INC CL A COM 922475108 2257 14779 SH DFND 1 14779 0 0 VISA INC COM CL A 92826C839 4219 24530 SH DFND 1 24530 0 0 WABTEC CORP COM 929740108 291 4056 SH DFND 1 4056 0 0 WALMART INC COM 931142103 12177 102604 SH DFND 1 102604 0 0 WATERS CORP COM 941848103 211 943 SH DFND 1 943 0 0 WAYFAIR INC CL A 94419L101 118511 1057000 SH DFND 1 1057000 0 0 WELLS FARGO CO NEW COM 949746101 224 4450 SH DFND 1 4450 0 0 WILLIAMS COS INC DEL COM 969457100 259 10762 SH DFND 1 10762 0 0 WORKDAY INC CL A 98138H101 6632 39020 SH DFND 1 39020 0 0