-----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, NOB+rlv8a/T8X8tHhEBvH4iAJpYkWlQgmzQOlz5H59Czs5kjey31rc2m6ySPEUR4 U4a6s5uwegIBs8nmz87I/Q== 0001337848-10-000002.txt : 20100205 0001337848-10-000002.hdr.sgml : 20100205 20100205152822 ACCESSION NUMBER: 0001337848-10-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100205 DATE AS OF CHANGE: 20100205 EFFECTIVENESS DATE: 20100205 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Research Affiliates, LLC CENTRAL INDEX KEY: 0001337848 IRS NUMBER: 020570299 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11483 FILM NUMBER: 10577302 BUSINESS ADDRESS: STREET 1: 620 NEWPORT CENETR DRIVE STREET 2: SUITE 900 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: 9493258700 MAIL ADDRESS: STREET 1: 620 NEWPORT CENETR DRIVE STREET 2: SUITE 900 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 13F-HR 1 q409.txt FORM 13F-HR FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2009 If amended report check here: | | Amendment Number: This Amendment (Check only one): | | is a restatement. |_| adds new holding entries. Institutional Investment Manager Filing this Report: Name: Research Affiliates, LLC 620 Newport Center Dr., Suite 900 Newport Beach, CA 92660 13F File Number: 028-11483 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, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Daniel M. Harkins Title: Chief Legal and Compliance Officer Phone: (949) 325-8700 Signature, Place, and Date of Signing: /s/ Daniel M. Harkins Newport Beach,CA 92660 February 5, 2010 (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).) Provide a numbered list of the name(s) and 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. 1. None Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 24 Form 13F Information Table Value Total: $85,682 (thousands) Holdings of fewer than 10,000 shares with aggregate fair market value below $200,000 have been omitted from this report as per paragraph 10 of the Form 13F Special Instructions published by the SEC. FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- EDDIE BAUER HOLDINGS INC Common Stock 071625107 1 14391 SH Sole 14391 ENERGY XXI BERMUDA Common Stock G10082108 57 24860 SH Sole 24860 FLAGSTAR BANCORP INC Common Stock 337930101 6 10400 SH Sole 10400 GT SOLAR INTERNATIONAL INC Common Stock 3623E0209 65 11684 SH Sole 11684 ISHARES IBOXX INV GR CORP BD Common Stock 464287242 30818 295902 SH Sole 295902 ISHARES LEHMAN 20+ YR TREAS Common Stock 464287432 7457 82960 SH Sole 82960 ISHARES LEHMAN AGG BOND FUND Common Stock 464287226 1562 15134 SH Sole 15134 ISHARES LEHMAN TRES INF PR S Common Stock 464287176 5268 50704 SH Sole 50704 ISHARES S&P GSCI COMMODITY I Common Stock 46428R107 10613 333528 SH Sole 333528 LEE ENTERPRISES Common Stock 523768109 48 13867 SH Sole 13867 MCCLATCHY CO-CLASS A Common Stock 579489105 61 17256 SH Sole 17256 MESA AIR GROUP INC Common Stock 590479101 5 44118 SH Sole 44118 MORGAN STANLEY EMRG MKT DEBT Common Stock 61744H105 1496 148390 SH Sole 148390 PACIFIC CAPITAL BANCORP Common Stock 69404P101 21 22301 SH Sole 22301 PROSHARES SHORT MSCI EAFE Common Stock 74347R370 1901 32573 SH Sole 32573 PROSHARES SHORT MSCI EMERGIN Common Stock 74347R396 4538 117046 SH Sole 117046 PROSHARES SHORT QQQ Common Stock 74347R602 4984 114130 SH Sole 114130 PROSHARES SHORT RUSSELL2000 Common Stock 74347R826 2470 55720 SH Sole 55720 PROSHARES SHORT S&P500 Common Stock 74347R503 2582 49120 SH Sole 49120 SPDR DJ WILSHIRE INTL REAL E Common Stock 78463X863 3603 103261 SH Sole 103261 SPDR DJ WILSHIRE REIT ETF Common Stock 78464A607 6956 141353 SH Sole 141353 STERLING FINL CORP/SPOKANE Common Stock 859319105 16 25358 SH Sole 25358 TEMPLETON EMERG MKTS INC FD Common Stock 880192109 1153 80023 SH Sole 80023 UCBH HOLDINGS INC Common Stock 90262T308 0 12642 SH Sole 12642
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