-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Roj3cV2AaQ+KkOjUS6V1tiaUSIsYxiF3zEH/2Mg57U4bL1Uc7uvbtgqrj1k43Mia tXF3XANiZwLxjFVQv7Ai2A== 0001047469-09-010117.txt : 20091113 0001047469-09-010117.hdr.sgml : 20091113 20091113143948 ACCESSION NUMBER: 0001047469-09-010117 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091113 DATE AS OF CHANGE: 20091113 EFFECTIVENESS DATE: 20091113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PACIFIC GLOBAL INVESTMENT MANAGEMENT CO CENTRAL INDEX KEY: 0000908431 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12530 FILM NUMBER: 091180952 BUSINESS ADDRESS: STREET 1: 215 NORTH MARENGO AVE STREET 2: STE 115 CITY: PASADENA STATE: CA ZIP: 91101 13F-HR 1 a2194897z13f-hr.txt 13F-HR 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, 2009 ----------------------- 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: Pacific Global Investment Management Company -------------------------------------------- Address: 101 North Brand Blvd. ------------------------------- Suite 1950 ------------------------------- Glendale, CA 91203 ------------------------------- Form 13F File Number: 28-12530 --------------------- 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: JINGJING YAN ------------------------------- Title: TREASURER ------------------------------- Phone: 818-242-6693 ------------------------------- Signature, Place, and Date of Signing: /s/ JINGJING YAN GLENDALE, CA 11/13/09 ------------------------------- ----------------- ------------- [Signature] [City, State] [Date] Report Type (Check only one.): /X/ 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) / / 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) / / 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 -------------------- Form 13F Information Table Entry Total: 186 -------------------- Form 13F Information Table Value Total: $361,375 -------------------- (thousands) List of Other Included Managers: None Pacific Global Investment Management Company 9/30/2009
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------- -------------- --------- ----------- ------------------- ---------- ---------- -------------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------- -------------- ----------- -------- ---------- --- ---- ---------- ---------- --------- -------- -------- ALANCO TECHNOLOGIES INC (A) CL A NO PV NEW 011612603 12 21,500 SH SOLE 21,500 ALLETE INC COM NEW 018522300 235 7,000 SH SOLE 7,000 AMERICAN ECOLOGY CORP COM NEW 025533407 5,145 275,150 SH SOLE 275,150 AMERICAN EXPRESS CO COM 025816109 1,425 42,045 SH SOLE 42,045 ANADARKO PETROLEUM CORP COM 032511107 387 6,175 SH SOLE 6,175 APACHE CORP COM 037411105 736 8,013 SH SOLE 8,013 APOGEE ENTERPRISES INC COM 037598109 3,000 199,742 SH SOLE 199,742 APOGEE ENTERPRISES INC COM 037598109 1,667 111,000 SH OTHER 111,000 APPLE INC COM 037833100 371 2,003 SH SOLE 2,003 ARCH COAL INC COM 039380100 857 38,745 SH SOLE 38,745 ARCH COAL INC COM 039380100 2,213 100,000 SH OTHER 100,000 AUTOMATIC DATA PROCESSING INC COM 053015103 383 9,750 SH SOLE 9,750 BRITISH PETROLEUM PLC ADR SPONSORED ADR 055622104 510 9,580 SH SOLE 9,580 BANK OF AMERICA CORP COM 060505104 359 21,210 SH SOLE 21,210 BAXTER INTL INC COM 071813109 296 5,200 SH SOLE 5,200 BECTON DICKINSON & CO COM 075887109 632 9,058 SH SOLE 9,058 BED BATH & BEYOND INC COM 075896100 313 8,340 SH SOLE 8,340 BERKSHIRE HATHAWAY INC (A) CL A 084670108 1,515 15 SH SOLE 15 BERKSHIRE HATHAWAY INC (B) CL B 084670207 1,725 519 SH SOLE 519 BOEING CO COM 097023105 1,590 29,367 SH SOLE 29,367 BOOTS & COOTS INC COM NEW 099469504 4,584 2,847,150 SH SOLE 2,847,150 BOOTS & COOTS INC COM NEW 099469504 3,301 2,050,000 SH OTHER 2,050,000 CSX CORP COM 126408103 280 6,690 SH SOLE 6,690 CARMAX INC COM 143130102 307 14,705 SH SOLE 14,705 CATERPILLAR INC COM 149123101 527 10,258 SH SOLE 10,258 CATHAY GENERAL BANCORP COM 149150104 270 33,400 SH SOLE 33,400 CATHAY GENERAL BANCORP COM 149150104 1,942 240,000 SH OTHER 240,000 CHATTEM INC COM 162456107 1,203 18,120 SH SOLE 18,120 CHATTEM INC COM 162456107 3,121 47,000 SH OTHER 47,000 CHESAPEAKE ENERGY CORP COM 165167107 1,340 47,180 SH SOLE 47,180 CHEVRON CORP COM 166764100 1,463 20,771 SH SOLE 20,771 CHICAGO BRIDGE & IRON CO NV N Y REGISTRY SH 167250109 154 8,270 SH SOLE 8,270 CHICAGO BRIDGE & IRON CO NV N Y REGISTRY SH 167250109 2,428 130,000 SH OTHER 130,000 CHUBB CORP COM 171232101 1,465 29,055 SH SOLE 29,055 CLOROX CO COM 189054109 614 10,440 SH SOLE 10,440 COCA-COLA CO COM 191216100 2,338 43,534 SH SOLE 43,534 COLGATE PALMOLIVE CO COM 194162103 534 7,005 SH SOLE 7,005 COMMERCIAL METALS CO COM 201723103 6,674 372,860 SH SOLE 372,860 COMMERCIAL METALS CO COM 201723103 3,401 190,000 SH OTHER 190,000 CONNS INC COM 208242107 5,536 490,375 SH SOLE 490,375 CONNS INC COM 208242107 3,387 300,000 SH OTHER 300,000 COPART INC COM 217204106 511 15,375 SH SOLE 15,375 COPART INC COM 217204106 1,993 60,000 SH OTHER 60,000 CUBIC CORP COM 229669106 592 15,000 SH SOLE 15,000 DXP ENTERPRISES INC COM NEW 233377407 502 45,000 SH SOLE 45,000 DXP ENTERPRISES INC COM NEW 233377407 357 32,000 SH OTHER 32,000 DARLING INTL INC COM 237266101 4,407 599,600 SH SOLE 599,600 DARLING INTL INC COM 237266101 3,455 470,000 SH OTHER 470,000 DENBURY RESOURCES INC COM NEW 247916208 62 4,100 SH SOLE 4,100 DENBURY RESOURCES INC COM NEW 247916208 1,740 115,000 SH OTHER 115,000 WALT DISNEY CO COM DISNEY 254687106 609 22,168 SH SOLE 22,168 DUPONT DE NEMOURS & CO COM 263534109 285 8,874 SH SOLE 8,874 EMC CORP COM 268648102 269 15,775 SH SOLE 15,775 ELECTRO RENT CORP COM 285218103 205 17,809 SH SOLE 17,809 EZCORP INC (A) CL A NON VTG 302301106 8,279 606,100 SH SOLE 606,100 EZCORP INC (A) CL A NON VTG 302301106 5,259 385,000 SH OTHER 385,000 FPL GROUP INC COM 302571104 495 8,962 SH SOLE 8,962 FROZEN FOOD EXPRESS INDUSTRIES INC COM 359360104 808 275,600 SH SOLE 275,600 HB FULLER CO COM 359694106 1,097 52,501 SH SOLE 52,501 HB FULLER CO COM 359694106 3,532 169,000 SH OTHER 169,000 FURMANITE CORP COM 361086101 2,064 478,900 SH SOLE 478,900 FURMANITE CORP COM 361086101 797 185,000 SH OTHER 185,000 GATX CORP COM 361448103 436 15,600 SH SOLE 15,600 GENERAL ELECTRIC CO COM 369604103 1,625 98,944 SH SOLE 98,944 GENERAL MILLS INC COM 370334104 264 4,099 SH SOLE 4,099 GENESEE & WYOMING INC (A) CL A 371559105 1,859 61,305 SH SOLE 61,305 GENESEE & WYOMING INC (A) CL A 371559105 3,790 125,000 SH OTHER 125,000 GRACO INC COM 384109104 877 31,457 SH SOLE 31,457 HALLIBURTON CO COM 406216101 290 10,709 SH SOLE 10,709 HARLEY DAVIDSON INC COM 412822108 264 11,480 SH SOLE 11,480 HJ HEINZ CO COM 423074103 538 13,531 SH SOLE 13,531 HOME DEPOT INC COM 437076102 1,151 43,198 SH SOLE 43,198 HONEYWELL INTL INC COM 438516106 1,329 35,761 SH SOLE 35,761 HORNBECK OFFSHORE SERVICES INC COM 440543106 6,804 246,875 SH SOLE 246,875 HORNBECK OFFSHORE SERVICES INC COM 440543106 4,189 152,000 SH OTHER 152,000 ITT CORP COM 450911102 633 12,145 SH SOLE 12,145 INTEL CORP COM 458140100 678 34,651 SH SOLE 34,651 IBM CORP COM 459200101 939 7,853 SH SOLE 7,853 ION GEOPHYSICAL CORP COM 462044108 171 48,450 SH SOLE 48,450 ION GEOPHYSICAL CORP COM 462044108 757 215,000 SH OTHER 215,000 JOHNSON & JOHNSON COM 478160104 4,767 78,295 SH SOLE 78,295 K-SWISS INC (A) CL A 482686102 277 31,470 SH SOLE 31,470 KANSAS CITY SOUTHERN COM NEW 485170302 1,270 47,960 SH SOLE 47,960 KIMBERLY CLARK CORP COM 494368103 447 7,581 SH SOLE 7,581 KIRBY CORP COM 497266106 7,650 207,775 SH SOLE 207,775 KIRBY CORP COM 497266106 4,234 115,000 SH OTHER 115,000 LANDSTAR SYSTEMS INC COM 515098101 644 16,925 SH SOLE 16,925 LUFKIN INDUSTRIES INC COM 549764108 433 8,150 SH SOLE 8,150 MARATHON OIL CORP COM 565849106 1,321 41,401 SH SOLE 41,401 MARTEN TRANSPORT LTD COM 573075108 279 16,350 SH SOLE 16,350 MATRIX SERVICE CO COM 576853105 3,309 304,375 SH SOLE 304,375 MATRIX SERVICE CO COM 576853105 2,065 190,000 SH OTHER 190,000 MCCORMICK & CO INC COM NON VTG 579780206 720 21,199 SH SOLE 21,199 MCDONALDS CORP COM 580135101 1,834 32,143 SH SOLE 32,143 MICROSOFT CORP COM 594918104 3,645 141,539 SH SOLE 141,539 MITCHAM INDUSTRIES INC COM 606501104 4,248 685,160 SH SOLE 685,160 MITCHAM INDUSTRIES INC COM 606501104 1,922 310,000 SH OTHER 310,000 MOODYS CORP COM 615369105 205 10,000 SH SOLE 10,000 NATIONAL OILWELL VARCO INC COM 637071101 435 10,075 SH SOLE 10,075 NIKE INC (B) CL B 654106103 418 6,468 SH SOLE 6,468 NOKIA CORP ADR (A) SPONSORED ADR 654902204 370 25,300 SH SOLE 25,300 NORFOLK SOUTHERN CORP COM 655844108 310 7,200 SH SOLE 7,200 PPG INDUSTRIES INC COM 693506107 243 4,166 SH SOLE 4,166 PARKER DRILLING CO COM 701081101 5,081 930,600 SH SOLE 930,600 PARKER DRILLING CO COM 701081101 3,331 610,000 SH OTHER 610,000 PAYCHEX INC COM 704326107 419 14,426 SH SOLE 14,426 PERKINELMER INC COM 714046109 231 12,000 SH SOLE 12,000 PFIZER INC COM 717081103 304 18,379 SH SOLE 18,379 PREMIERE GLOBAL SERVICES INC COM 740585104 4,451 535,600 SH SOLE 535,600 PREMIERE GLOBAL SERVICES INC COM 740585104 2,277 274,000 SH OTHER 274,000 PROCTER & GAMBLE CO COM 742718109 3,597 62,110 SH SOLE 62,110 QUALCOMM INC COM 747525103 345 7,680 SH SOLE 7,680 QUEST RESOURCE CORP COM NEW 748349305 472 800,800 SH SOLE 800,800 QUEST RESOURCE CORP COM NEW 748349305 354 600,000 SH OTHER 600,000 RADNET INC COM 750491102 73 28,000 SH SOLE 28,000 RELIANCE STEEL & ALUMINUM CO COM 759509102 681 16,000 SH SOLE 16,000 ROCHESTER MEDICAL CORP COM 771497104 3,477 288,800 SH SOLE 288,800 ROYAL DUTCH SHELL PLC ADR (A) SPONS ADR A 780259206 253 4,425 SH SOLE 4,425 ST JUDE MEDICAL INC COM 790849103 672 17,218 SH SOLE 17,218 SCOTTS MIRACLE-GRO CO (A) CL A 810186106 327 7,617 SH SOLE 7,617 J.M. SMUCKER CO COM NEW 832696405 2,905 54,806 SH SOLE 54,806 SPECTRA ENERGY CORP COM 847560109 230 12,142 SH SOLE 12,142 STARBUCKS CORP COM 855244109 420 20,335 SH SOLE 20,335 SUNCOR ENERGY INC COM 867224107 518 15,000 SH SOLE 15,000 SYSCO CORP COM 871829107 1,192 47,986 SH SOLE 47,986 TEAM INC COM 878155100 6,702 395,400 SH SOLE 395,400 TEAM INC COM 878155100 3,797 224,000 SH OTHER 224,000 TIDEWATER INC COM 886423102 1,023 21,716 SH SOLE 21,716 TIDEWATER INC COM 886423102 3,626 77,000 SH OTHER 77,000 TIFFANY & CO COM 886547108 790 20,509 SH SOLE 20,509 TOREADOR RESOURCES CORP COM 891050106 2,661 266,350 SH SOLE 266,350 TYLER TECHNOLOGIES INC COM 902252105 1,858 108,700 SH SOLE 108,700 UNITED PARCEL SERVICE INC (B) CL B 911312106 285 5,045 SH SOLE 5,045 WAL-MART STORES INC COM 931142103 908 18,497 SH SOLE 18,497 WESTERN UNION CO COM 959802109 277 14,639 SH SOLE 14,639 WILLIAMS COMPANIES INC COM 969457100 567 31,725 SH SOLE 31,725 VITRAN CORP INC COM 92850E107 6,466 716,850 SH SOLE 716,850 VITRAN CORP INC COM 92850E107 3,401 377,050 SH OTHER 377,050 DR PEPPER SNAPPLE GROUP INC COM 26138E109 692 24,056 SH SOLE 24,056 AT&T INC COM 00206R102 422 15,613 SH SOLE 15,613 AMERICA SERVICE GROUP INC COM 02364L109 10,394 628,433 SH SOLE 628,433 AMERICA SERVICE GROUP INC COM 02364L109 7,101 429,300 SH OTHER 429,300 AMERIGON INC COM 03070L300 5,162 702,250 SH SOLE 702,250 AMERIGON INC COM 03070L300 4,190 570,000 SH OTHER 570,000 BARCLAYS BANK PLC 7.10% PFD SP ADR 7.1%PF3 06739H776 335 15,000 SH SOLE 15,000 BURLINGTON NORTHERN SANTA FE CORP COM 12189T104 914 11,452 SH SOLE 11,452 CH ROBINSON WORLDWIDE INC COM NEW 12541W209 260 4,500 SH SOLE 4,500 CAMERON INT'L CORP COM 13342B105 908 24,000 SH SOLE 24,000 CISCO SYSTEMS INC COM 17275R102 1,308 55,574 SH SOLE 55,574 CONOCOPHILLIPS COM 20825C104 836 18,502 SH SOLE 18,502 COSTCO WHOLESALE CORP COM 22160K105 673 11,938 SH SOLE 11,938 DEVON ENERGY CORP COM 25179M103 1,177 17,475 SH SOLE 17,475 DUKE ENERGY CORP COM 26441C105 403 25,633 SH SOLE 25,633 EAST WEST BANCORP INC COM 27579R104 5,338 643,150 SH SOLE 643,150 EAST WEST BANCORP INC COM 27579R104 3,984 480,000 SH OTHER 480,000 EXXONMOBIL CORP COM 30231G102 1,341 19,539 SH SOLE 19,539 FMC TECHNOLOGIES INC COM 30249U101 623 11,925 SH SOLE 11,925 FIRST CASH FINANCIAL SERVICES INC COM 31942D107 5,559 324,525 SH SOLE 324,525 FIRST CASH FINANCIAL SERVICES INC COM 31942D107 2,570 150,000 SH OTHER 150,000 GOLDMAN SACHS GROUP INC COM 38141G104 344 1,864 SH SOLE 1,864 JP MORGAN CHASE & CO COM 46625H100 733 16,716 SH SOLE 16,716 KBR INC COM 48242W106 443 19,005 SH SOLE 19,005 KRAFT FOODS INC (A) CL A 50075N104 1,454 55,337 SH SOLE 55,337 MOBILE MINI INC COM 60740F105 6,798 391,610 SH SOLE 391,610 MOBILE MINI INC COM 60740F105 4,468 257,400 SH OTHER 257,400 NARA BANCORP INC COM 63080P105 2,030 292,025 SH SOLE 292,025 OMEGA PROTEIN CORP COM 68210P107 3,072 633,375 SH SOLE 633,375 OMEGA PROTEIN CORP COM 68210P107 1,940 400,000 SH OTHER 400,000 ORION MARINE GROUP INC COM 68628V308 7,869 383,100 SH SOLE 383,100 ORION MARINE GROUP INC COM 68628V308 3,800 185,000 SH OTHER 185,000 PENSKE AUTOMOTIVE GROUP INC COM 70959W103 870 45,375 SH SOLE 45,375 SAIA INC COM 78709Y105 7,372 458,450 SH SOLE 458,450 SAIA INC COM 78709Y105 4,824 300,000 SH OTHER 300,000 SANDISK CORP COM 80004C101 217 10,000 SH SOLE 10,000 SONIC AUTOMOTIVE INC (A) CL A 83545G102 10,546 1,004,350 SH SOLE 1,004,350 SONIC AUTOMOTIVE INC (A) CL A 83545G102 6,878 655,000 SH OTHER 655,000 3M CO COM 88579Y101 1,227 16,619 SH SOLE 16,619 UNITED AMERICAN HEALTHCARE CORP COM 90934C105 374 360,000 SH SOLE 360,000 VERIZON COMMUNICATIONS INC COM 92343V104 239 7,897 SH SOLE 7,897 WABCO HOLDINGS INC COM 92927K102 202 9,618 SH SOLE 9,618 WILSHIRE BANCORP INC COM 97186T108 2,023 275,650 SH SOLE 275,650 ZIMMER HOLDINGS INC COM 98956P102 337 6,300 SH SOLE 6,300 COVIDIEN PLC SHS G2554F105 474 10,957 SH SOLE 10,957 INGERSOLL-RAND PLC SHS G47791101 778 25,382 SH SOLE 25,382 BANCO LATINOAMERICAN O DE EXPORTACIONES SHS E P16994132 498 35,000 SH SOLE 35,000 DRYSHIPS INC SHS Y2109Q101 210 31,600 SH SOLE 31,600
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