-----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, CWDA63JPcCdyfJrcS2l8O6bo7egaVs6vrxJzerGVcfwGLfeqhoEm/jQWKlpS7tgB W2kyiK1lgbp3nsi7ywtjXg== 0001041360-09-000010.txt : 20091116 0001041360-09-000010.hdr.sgml : 20091116 20091116143130 ACCESSION NUMBER: 0001041360-09-000010 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091116 DATE AS OF CHANGE: 20091116 EFFECTIVENESS DATE: 20091116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ALEX BROWN INVESTMENT MANAGEMENT LLC CENTRAL INDEX KEY: 0001041360 IRS NUMBER: 521349876 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04401 FILM NUMBER: 091185815 BUSINESS ADDRESS: STREET 1: 901 SOUTH BOND STREET STREET 2: SUITE400 CITY: BALTIMORE STATE: MD ZIP: 21231 BUSINESS PHONE: 4108954800 MAIL ADDRESS: STREET 1: 901 SOUTH BOND STREET STREET 2: SUITE400 CITY: BALTIMORE STATE: MD ZIP: 21231 FORMER COMPANY: FORMER CONFORMED NAME: ALEX BROWN INVESTMENT MANAGEMENT L P DATE OF NAME CHANGE: 19970620 13F-HR 1 abim093009.txt ABIM 093009 United States Securities and Exchange Commission Washington, D.C. 20549 Form 13F Form 13F Cover Page Report for the Quarter Ended: September 30, 2009 Check here if Amendment []; Amendment Number: [] This Amendment (Check only one.): [] is a restatement. Institutional Investment Manager Filing This Report: Name: Alex. Brown Investment Management, LLC Address: 901 South Bond Street Suite 400 Baltimore, MD 21231 13F File Number: 28-3490 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: Nancy I. Denney Title: Secretary and CCO Phone: 410-895-4800 ______________________________________ Baltimore, Maryland, November 16, 2009 Report Type (check only one.): [x] 13F HOLDINGS REPORT. [] 13F NOTICE. [] 13F COMBINATION REPORT. Number of Other Included Managers: 0 FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: NONE Form 13F Information Table Entry Total: 146 Form 13F Information Table Value Total: $2,135,145 FORM 13F
COL 1 COL 2 COL 3 COL 4 COL 5 COL 6 COL7 COL 8 Voting Authority ----------------------- Value Shares/ Sh/ Put/ Invstmt Other Name of Issuer Title of class CUSIP (x$1000)Prn Amt Prn Call Dscretn Mngr Sole Shared None 3M Company COM 88579Y101 412 5584 SH Sole 3750 1834 Abbott Laboratories COM 002824100 1745 35267 SH Sole 23000 12267 Aegon N.V. (ADR) NY REGISTRY SH 007924103 222 26270 SH Sole 26270 Aegon N.V. (ADR) NY REGISTRY SH 007924103 85 10000 SH Other 10000 Altria Group Inc. COM 02209S103 2420 135873 SH Sole 13000 122873 America Movil S.A.B. de C.V. ( SPON ADR L SHS 02364W105 54544 1244445 SH Sole 500350 744095 American Eagle Outfitters COM 02553E106 340 20188 SH Sole 2688 17500 American Express Co. COM 025816109 64735 1909597 SH Sole 859966 1049631 American Express Co. COM 025816109 169 5000 SH Other 5000 American Tower Corp. CL A 029912201 10859 298317 SH Sole 196256 102061 Amgen Inc. COM 031162100 4225 70150 SH Sole 14675 55475 Archer Daniels Midland Co. COM 039483102 201 6877 SH Sole 2877 4000 Artio Global Investors COM 04315B107 21998 841212 SH Sole 376892 464320 Assurant Inc. COM 04621X108 17873 557481 SH Sole 275816 281665 Baker Hughes Inc. COM 057224107 1267 29700 SH Sole 3500 26200 Bank of America Corporation COM 060505104 35201 2080465 SH Sole 839732 1240733 BB&T Corp. COM 054937107 9121 334840 SH Sole 149449 185391 Berkshire Hathaway Inc. Cl A CL A 084670108 26159 259 SH Sole 259 Berkshire Hathaway Inc. Cl B CL B 084670207 75439 22702 SH Sole 13064 9638 Berkshire Hathaway Inc. Cl B CL B 084670207 332 100 SH Other 100 Best Buy Inc. COM 086516101 1118 29800 SH Sole 29800 Bowne & Co. Inc. COM 103043105 320 41496 SH Sole 20748 20748 BP PLC (ADR) COM 055622104 489 9192 SH Sole 2116 7076 Bristol Myers Squibb Co. COM 110122108 432 19200 SH Sole 3200 16000 Brunswick Corp. COM 117043109 460 38400 SH Sole 38400 Burlington Northern Santa Fe C COM 12189T104 61925 775707 SH Sole 364699 411008 Canadian National Railway Co. COM 136375102 65981 1346827 SH Sole 620020 726807 Canadian Natural Resources Ltd COM 136385101 11515 171374 SH Sole 68273 103101 Capital One Financial Corp. COM 14040H105 845 23650 SH Sole 1050 22600 Cardinal Health Inc. COM 14149Y108 293 10950 SH Sole 10950 CarMax Inc. COM 143130102 40959 1959746 SH Sole 909625 1050121 Cedar Fair LP DEPOSITRY UNIT 150185106 1808 171669 SH Sole 12000 159669 Charles Schwab Corp. COM 808513105 21938 1145596 SH Sole 497456 648140 Chevron Corp. COM 166764100 986 13995 SH Sole 5326 8669 Chevron Corp. COM 166764100 282 4000 SH Other 4000 Cisco Systems Inc. COM 17275R102 12046 511708 SH Sole 172568 339140 Citigroup Inc. COM 172967101 687 141847 SH Sole 11560 130287 Citigroup Inc. COM 172967101 145 30000 SH Other 30000 Comcast Corp. Cl A CL A 20030N101 46488 2754001 SH Sole 1351667 1402334 Comcast Corp. Cl A CL A 20030N101 127 7500 SH Other 7500 Costco Wholesale Corp. COM 22160K105 51087 906127 SH Sole 462216 443911 Coventry Health Care Inc. COM 222862104 22570 1130737 SH Sole 434337 696400 Covidien PLC COM G2554F105 620 14325 SH Sole 600 13725 Danaher Corp. COM 235851102 13989 207797 SH Sole 105537 102260 Deere & Co. COM 244199105 960 22378 SH Sole 22378 Devon Energy Corp. COM 25179M103 869 12900 SH Sole 900 12000 Diamond Offshore Drilling Inc. COM 25271C102 5293 55414 SH Sole 22537 32877 DISH Network Corp. CL A 25470M109 295 15300 SH Sole 15300 Dover Corp. COM 260003108 388 10000 SH Sole 10000 Eaton Corp. COM 278058102 792 14000 SH Sole 14000 eBay Inc. COM 278642103 3768 159650 SH Sole 77650 82000 Eli Lilly & Co. COM 532457108 264 8000 SH Sole 8000 Express Scripts Inc. COM 302182100 326 4200 SH Sole 4200 Exxon Mobil Corp. COM 30231G102 53384 778074 SH Sole 327618 450456 Fastenal Co. COM 311900104 1092 28207 SH Sole 665 27542 First American Corp. COM 318522307 1932 59684 SH Sole 10550 49134 Flextronics International Ltd. COM Y2573F102 1977 264606 SH Sole 67006 197600 Franklin Resources Inc. COM 354613101 45218 449483 SH Sole 205729 243754 General Electric Co. COM 369604103 25730 1566987 SH Sole 467990 1098997 General Electric Co. COM 369604103 197 12000 SH Other 12000 Genworth Financial Inc. COM 37247D106 1147 96000 SH Sole 96000 Glaxosmithkline PLC Sponsored SPONSORED ADR 37733W105 339 8577 SH Sole 8577 Google Inc. COM 38259P508 56348 113640 SH Sole 49598 64042 H&R Block Inc. COM 093671105 597 32500 SH Sole 32500 H&R Block Inc. COM 093671105 441 24000 SH Other 24000 Hartford Financial Services COM 416515104 495 18682 SH Sole 2600 16082 Hewlett-Packard Co. COM 428236103 70717 1497914 SH Sole 598452 899462 Hewlett-Packard Co. COM 428236103 222 4700 SH Other 4700 Intel Corp. COM 458140100 474 24215 SH Sole 12500 11715 Interactive Data Corp. COM 45840J107 262 10000 SH Sole 10000 International Business Machine COM 459200101 32388 270781 SH Sole 114484 156297 Johnson & Johnson COM 478160104 46380 761701 SH Sole 365005 396696 Johnson & Johnson COM 478160104 152 2500 SH Other 2500 JPMorgan Chase & Co. COM 46625H100 4332 98870 SH Sole 59520 39350 Kinder Morgan Energy Partners UT LTD PARTNER 494550106 2582 47800 SH Sole 600 47200 Kinder Morgan Management LLC COM 49455U100 56068 1184125 SH Sole 535881 648244 Kraft Foods Inc. CL A 50075N104 61979 2359311 SH Sole 1059194 1300117 Kraft Foods Inc. CL A 50075N104 131 5000 SH Other 5000 Laboratory Corp. of America Ho COM NEW 50540R409 802 12200 SH Sole 1900 10300 Loews Corp. COM 540424108 493 14400 SH Sole 14400 Lowe's Companies Inc. COM 548661107 36152 1726440 SH Sole 770650 955790 Lowe's Companies Inc. COM 548661107 209 10000 SH Other 10000 M&T Bank Corp. COM 55261F104 23681 379997 SH Sole 154354 225643 M&T Bank Corp. COM 55261F104 128 2059 SH Other 2059 Magellan Midstream Partners LP COM UNIT RP LP 559080106 4463 118695 SH Sole 13218 105476 Marriott International Inc. CL A 571903202 3602 130565 SH Sole 18050 112515 Marriott International Inc. CL A 571903202 417 15112 SH Other 15112 Mastercard Inc. CL A 57636Q104 110364 545952 SH Sole 233070 312882 Mastercard Inc. CL A 57636Q104 404 2000 SH Other 2000 McCormick & Co. Inc. COM 579780206 267 7870 SH Sole 7870 Medtronic Inc. COM 585055106 20214 549289 SH Sole 254614 294675 Merck & Co. Inc. COM 589331107 51730 1635462 SH Sole 754525 880937 Merck & Co. Inc. COM 589331107 316 10000 SH Other 10000 Microsoft Corp. COM 594918104 31111 1209609 SH Sole 645078 564531 Microsoft Corp. COM 594918104 129 5000 SH Other 5000 Millicom International Cellula SHS NEW L6388F110 33783 464435 SH Sole 209628 254807 Monsanto Company COM 61166W101 343 4430 SH Sole 4430 Moody's Corp. COM 615369105 983 48050 SH Sole 5550 42500 NII Holdings Inc. Cl B CL B NEW 62913F201 4892 162730 SH Sole 47680 115050 Noble Energy Inc. COM 655044105 1305 19779 SH Sole 6000 13779 Occidental Petroleum Corp. COM 674599105 75318 960693 SH Sole 392384 568309 Paychex Inc. COM 704326107 24419 840592 SH Sole 362226 478366 PepsiCo Inc. COM 713448108 42388 722601 SH Sole 335443 387158 Pfizer Inc. COM 717081103 2829 170934 SH Sole 37000 133934 Philip Morris International In COM 718172109 5277 108273 SH Sole 10850 97423 PNC Financial Services Group I COM 693475105 355 7308 SH Sole 1500 5808 PNC Financial Services Group I COM 693475105 203 4184 SH Other 4184 Ryanair Hldgs PLC (ADR) SPONSORED ADR 783513104 1032 35550 SH Sole 1850 33700 SBA Communications Corp. COM 78388J106 1552 57400 SH Sole 8900 48500 Scripps Networks Interactive I CL A NEW 811065101 39117 1058635 SH Sole 559868 498767 Shore Bancshares Inc. COM 825107105 527 31500 SH Sole 31500 SLM Corp. COM 78442P106 1398 160325 SH Sole 23575 136750 Snap-On Inc. COM 833034101 521 15000 SH Sole 15000 SPDR S&P Emerging Europe ETF COM 78463X608 327 8151 SH Sole 8151 Staples Inc. COM 855030102 31295 1347755 SH Sole 604555 743200 T. Rowe Price Group Inc. COM 74144T108 998 21834 SH Sole 984 20850 The Bank of New York Mellon Co COM 064058100 38212 1318109 SH Sole 584201 733908 The Chubb Corp. COM 171232101 907 18000 SH Sole 18000 The Dun & Bradstreet Corp. COM 26483E100 2300 30531 SH Sole 6276 24255 The Procter & Gamble Co. COM 742718109 1869 32273 SH Sole 7605 24668 The TJX Companies Inc. COM 872540109 39549 1064578 SH Sole 421366 643212 The Walt Disney Co. COM DISNEY 254687106 67229 2448262 SH Sole 1178664 1269598 Time Warner Inc. COM 887317303 662 22991 SH Sole 22991 Tyco Electronics Ltd. COM H8912P106 282 12650 SH Sole 12650 Tyco International LTD. COM H89128104 1043 30242 SH Sole 7925 22317 United Parcel Service Inc. Cla CL b 911312106 791 14000 SH Sole 1200 12800 United Technologies Corp. COM 913017109 54300 891193 SH Sole 378370 512823 UnitedHealth Group Inc. COM 91324P102 613 24484 SH Sole 5250 19234 Varian Inc. COM 922206107 742 14533 SH Sole 4000 10533 Varian Medical Systems Inc. COM 92220P105 3065 72749 SH Sole 16000 56749 Varian Medical Systems Inc. COM 92220P105 421 10000 SH Other 10000 Varian Semiconductor Equipment COM 922207105 871 26509 SH Sole 4650 21859 Visa Inc. CL A 92826C839 11507 166502 SH Sole 96065 70437 WABCO Holdings Inc. COM 92927K102 24826 1182167 SH Sole 495499 686668 Wal-Mart Stores Inc. COM 931142103 23037 469280 SH Sole 215568 253712 WellPoint Inc. COM 94973V107 72693 1534894 SH Sole 653062 881832 WellPoint Inc. COM 94973V107 237 5000 SH Other 5000 Wells Fargo & Co. COM 949746101 64392 2285024 SH Sole 1020627 1264397 Whirlpool Corp. COM 963320106 637 9108 SH Sole 9108 White Mountains Insurance Grou COM G9618E107 2344 7636 SH Sole 850 6786 WisdomTree Emerging Markets Eq EMG MKTS ETF 97717W315 461 9707 SH Sole 9707 WisdomTree Emerging Markets Sm EMG MKTS SMCAP 97717W281 486 11983 SH Sole 11983 Wyeth COM 983024100 2857 58800 SH Sole 21150 37650 Wyndham Worldwide Corp. COM 98310W108 1010 61864 SH Sole 800 61064 Xerox Corp. COM 984121103 440 56900 SH Sole 28900 28000 XL Capital Ltd. CL A G98255105 2025 115952 SH Sole 2500 113452
-----END PRIVACY-ENHANCED MESSAGE-----