0001389256-13-000003.txt : 20130409
0001389256-13-000003.hdr.sgml : 20130409
20130409140807
ACCESSION NUMBER: 0001389256-13-000003
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130331
FILED AS OF DATE: 20130409
DATE AS OF CHANGE: 20130409
EFFECTIVENESS DATE: 20130409
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: American Assets Investment Management, LLC
CENTRAL INDEX KEY: 0001389256
IRS NUMBER: 810567059
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-12131
FILM NUMBER: 13750701
BUSINESS ADDRESS:
STREET 1: 11455 EL CAMINO REAL, SUITE 140
CITY: SAN DIEGO
STATE: CA
ZIP: 92130
BUSINESS PHONE: 858-345-1463
MAIL ADDRESS:
STREET 1: 11455 EL CAMINO REAL, SUITE 140
CITY: SAN DIEGO
STATE: CA
ZIP: 92130
13F-HR
1
13faaimq12013.txt
13F 1Q 2013
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: March 31, 2013
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: American Assets Investment Management, LLC
Address: 1145 El Camino Real, Suite 200
San Diego, CA 92130
Form 13F File Number: 028-12131
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: Ernest S. Rady
Chief Investment Officer
Phone: 858.350.2600
Signature, Place, and Date of Signing:
/s/Ernest S. Rady San Diego March 31, 2013
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: 139
Form 13F Information Table Value Total: $261,101(x$1000)
List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all
institutional investment managers with respect to which this report is filed,
other than the manager filing this report.
NONE
FORM 13F INFORMATION TABLE
NAME OF ISSUER TITLE OF CLASS CUSIP VALUE (000) SHARES INVESTMENT DISCRETION OTHER MANAGER VOTING AUTHORITY
3M CO COM STK USD0.01 Common Stock 88579Y101 319 3,000 Sole N/A All
ABBOTT LABS COM NPV Common Stock 002824100 1,325 37,500 Sole N/A All
ABBVIE INC Common Stock 00287Y109 1,529 37,500 Sole N/A All
ALEXANDRIA REAL ESTATE Common Stock 015271109 1,726 24,310 Sole N/A All
AMERICAN ASSETS TRUST INC USD0.01 Common Stock 024013104 992 31,000 Sole N/A All
AMERICAN CAMPUS COMMUNITIES Common Stock 024835100 2,190 48,300 Sole N/A All
AMERICAN ELECTRIC POWER CO INC COM STK USD6.50 Common Stock 025537101 2,432 50,000 Sole N/A All
AMERICAN INTERNATIONAL GROUP INC Common Stock 026874784 2,364 60,900 Sole N/A All
AMERICAN TOWER CORP Common Stock 03027X100 2,331 30,300 Sole N/A All
AMERISOURCEBERGEN CORP COM STK NPV Common Stock 03073E105 833 16,200 Sole N/A All
ANADARKO PETROLEUM CORP Common Stock 032511107 1,049 12,000 Sole N/A All
ANNALY CAPITAL MGMT INC Common Stock 035710409 381 15,000 Sole N/A All
APPLE INC COM STK NPV Common Stock 037833100 4,205 9,500 Sole N/A All
AVALONBAY COMMUNITIES INC COM Common Stock 053484101 405 3,200 Sole N/A All
BAKER HUGHES INC COM STK USD1 Common Stock 057224107 2,088 45,000 Sole N/A All
BANCO SANTANDER SA ADR EACH 1 REPR 1 ORD EUR0.50 Common Stock 05964H105 873 128,228 Sole N/A All
BANK OF AMERICA CORP COM STK USD0.01 Common Stock 060505104 706 58,000 Sole N/A All
BANK OF NEW YORK MELLON CORP Common Stock 064058100 719 25,700 Sole N/A All
BAXTER INTERNATIONAL INC COM STK USD1 Common Stock 071813109 3,559 49,000 Sole N/A All
BECTON DICKINSON & CO COM STK USD1 Common Stock 075887109 478 5,000 Sole N/A All
BIOMED REALTY TRUST Common Stock 09063H107 1,894 87,700 Sole N/A All
BOSTON PROPERTIES INC Common Stock 101121101 1,193 11,800 Sole N/A All
BP AMOCO P.L.C ADR-EACH CNV INTO 6 ORD USD0.25 Common Stock 055622104 7,835 185,000 Sole N/A All
BRISTOL-MYERS SQUIBB CO COM STK USD0.10 Common Stock 110122108 2,060 50,000 Sole N/A All
BUCKEYE PARTNERS LP UNITS OF LTD PARTNERSHIP Common Stock 118230101 673 11,000 Sole N/A All
CADIZ INC NEW Common Stock 127537207 436 64,491 Sole N/A All
CAPITAL ONE FINANCIAL CORP COM STK USD0.01 Common Stock 14040H105 1,933 35,180 Sole N/A All
CAPITAL ONE FINANCIAL CORP WTS 14/NOV/2018 (SUB Common Stock 14040H139 187 10,000 Sole N/A All
CARDINAL HEALTH INC COM STK NPV Common Stock 14149Y108 1,205 28,953 Sole N/A All
CAREFUSION CORP USD0.01 Common Stock 14170T101 754 21,545 Sole N/A All
CARNIVAL CORP COM STK USD0.01(PAIRED STOCK) Common Stock 143658300 515 15,000 Sole N/A All
CHESAPEAKE ENERGY CORP COM STK USD0.01 Common Stock 165167107 204 10,000 Sole N/A All
CHEVRON CORP COM STK USD0.75 Common Stock 166764100 7,595 63,920 Sole N/A All
CITIGROUP INC USD0.01 Common Stock 172967424 1,141 25,794 Sole N/A All
COCA-COLA CO COM STK USD0.25 Common Stock 191216100 2,265 56,000 Sole N/A All
COLONY FINANCIAL INC Common Stock 19624R106 2,142 96,500 Sole N/A All
CORNING INC Common Stock 219350105 267 20,000 Sole N/A All
COVIDIEN PLC USD0.20 Common Stock G2554F113 2,578 38,000 Sole N/A All
DEERE & CO Common Stock 244199105 327 3,800 Sole N/A All
DIGITAL RLTY TR INC COM STK USD0.01 Common Stock 253868103 1,797 26,850 Sole N/A All
DUKE ENERGY CORP COM STK NPV Common Stock 26441C204 1,210 16,666 Sole N/A All
EDUCATION REALTY TRUST Common Stock 28140H104 1,869 177,502 Sole N/A All
EL PASO PIPELINE PARTNERS LP PARTNERSHIP UNITS Common Stock 283702108 921 21,000 Sole N/A All
EMC CORP - MASS Common Stock 268648102 1,302 54,500 Sole N/A All
ENBRIDGE ENERGY PARTNERS LP PREF STK Common Stock 29250R106 663 22,000 Sole N/A All
ENTERGY CORP COM STK USD0.01 Common Stock 29364G103 949 15,000 Sole N/A All
EQUINX INC Common Stock 29444U502 1,298 6,000 Sole N/A All
EQUITY LIFESTYLE PROPERTIES INC Common Stock 29472R108 1,812 23,600 Sole N/A All
EXCEL TRUST INC USD0.001 Common Stock 30068C109 819 60,000 Sole N/A All
EXELON CORP COM STK NPV Common Stock 30161N101 690 20,000 Sole N/A All
EXPRESS SCRIPTS HOLDING COMPANY Common Stock 30219G108 922 16,000 Sole N/A All
EXXON MOBIL CORP COM STK NPV Common Stock 30231G102 360 4,000 Sole N/A All
FORD MOTOR CO USD 0.01 Common Stock 345370860 2,499 190,000 Sole N/A All
FREEPORT-MCMORAN COPPER & GOLD INC COM STK USD0.10 Common Stock 35671D857 2,317 70,000 Sole N/A All
GENERAL DYNAMICS CORP Common Stock 369550108 987 14,000 Sole N/A All
GENERAL ELECTRIC CO. COM STK USD0.06 Common Stock 369604103 9,248 400,000 Sole N/A All
GENERAL MOTORS CO USD 0.01 Common Stock 37045V100 1,920 69,000 Sole N/A All
GOLDMAN SACHS GROUP INC COM STK USD0.01 Common Stock 38141G104 2,148 14,600 Sole N/A All
GOOGLE INC COM STK USD0.001 CLS'A' Common Stock 38259P508 3,431 4,320 Sole N/A All
HALLIBURTON CO COM STK USD2.50 Common Stock 406216101 857 21,200 Sole N/A All
HARTFORD FINANCIAL SERVICES GRP INC COM STK Common Stock 416515104 710 27,500 Sole N/A All
HARTFORD FINANCIAL SERVICES GRP INC WTS Common Stock 416515120 171 10,000 Sole N/A All
HCP INC Common Stock 40414L109 748 15,000 Sole N/A All
HEALTH CARE REIT INC Common Stock 42217K106 2,037 30,000 Sole N/A All
HESS CORP Common Stock 42809H107 294 4,100 Sole N/A All
HEWLETT-PACKARD CO COM STK USD0.01 Common Stock 428236103 3,540 148,500 Sole N/A All
HOST HOTELS & RESORTS INC USD0.01 Common Stock 44107P104 525 30,000 Sole N/A All
INTEL CORP Common Stock 458140100 437 20,000 Sole N/A All
INTERNATIONAL BUS MACH CORP COM STK USD0.20 Common Stock 459200101 2,560 12,000 Sole N/A All
IRON MOUNTAIN INC. Common Stock 462846106 2,179 60,000 Sole N/A All
ISHARES TRUST S&P NTL Amtfree 464288414 4,926 44,739 Sole N/A All
JOHNSON & JOHNSON COM STK USD1 Common Stock 478160104 4,403 54,000 Sole N/A All
JPMORGAN CHASE & CO C/WTS 28/OCT/2018 (TO PUR COM) Common Stock 46634E114 143 10,000 Sole N/A All
JPMORGAN CHASE & CO COM STK USD1 Common Stock 46625H100 6,930 146,020 Sole N/A All
KROGER CO COM STK USD1 Common Stock 501044101 497 15,000 Sole N/A All
LASALLE HOTEL PPTYS SBI Common Stock 517942108 1,061 41,800 Sole N/A All
LAS VEGAS SANDS CORP Common Stock 517834107 2,705 48,000 Sole N/A All
LILLY(ELI)& CO COM STK NPV Common Stock 532457108 398 7,000 Sole N/A All
MACERICH CO COM STK USD0.01 Common Stock 554382101 4,831 75,042 Sole N/A All
MANITOWOC CO INC Common Stock 563571108 253 12,300 Sole N/A All
MARATHON OIL CORP COM STK USD1 Common Stock 565849106 1,012 30,000 Sole N/A All
MARATHON PETE CORP Common Stock 56585A102 323 3,600 Sole N/A All
MERCK & CO INC(NEW) COM STK USD0.50 Common Stock 58933Y105 3,319 75,100 Sole N/A All
METLIFE INC COM STK USD0.01 Common Stock 59156R108 1,718 45,176 Sole N/A All
MICROSOFT CORP COM STK USD0.00000625 Common Stock 594918104 2,911 101,800 Sole N/A All
MORGAN STANLEY COM STK USD0.01 Common Stock 617446448 659 30,000 Sole N/A All
MOSAIC CO(THE) USD0.01 Common Stock 61945C103 298 5,000 Sole N/A All
MOTOROLA SOLUTIONS INC. Common Stock 620076307 288 4,500 Sole N/A All
NEWCASTLE INVESTMENT CORP Common Stock 65105M108 1,955 175,000 Sole N/A All
NEWMONT MINING CORP Common Stock 651639106 838 20,000 Sole N/A All
NORTHSTAR REALTY FINANCE CORP Common Stock 66704R100 3,061 322,900 Sole N/A All
NOVARTIS AG ADR EACH REPR 1 CHF0.50(REGD) Common Stock 66987V109 4,001 56,160 Sole N/A All
NV ENERGY INC COM STK USD0.01 Common Stock 67073Y106 401 20,000 Sole N/A All
ORACLE CORP COM STK USD0.01 Common Stock 68389X105 2,043 63,200 Sole N/A All
PEPSICO INC CAP STK USD0.0166 Common Stock 713448108 2,990 37,800 Sole N/A All
PFIZER INC COM STK USD0.05 Common Stock 717081103 3,675 127,350 Sole N/A All
PG&E CORP COM STK NPV Common Stock 69331C108 2,449 55,000 Sole N/A All
PHILLIPS 66 Common Stock 718546104 301 4,300 Sole N/A All
PINNACLE WEST CAPITAL CORP COM STK USD2.50 Common Stock 723484101 2,605 45,000 Sole N/A All
PNC FINANCIAL SERVICES GROUP WTS 31/DEC/2018(TO Common Stock 693475121 245 20,000 Sole N/A All
PPL CORP COM STK USD0.01 Common Stock 69351T106 2,192 70,000 Sole N/A All
PROGRESSIVE CORP Common Stock 743315103 253 10,000 Sole N/A All
PRUDENTIAL FINANCIAL INC COM STK USD0.01 Common Stock 744320102 1,534 26,000 Sole N/A All
QUALCOMM INC COM STK USD0.0001 Common Stock 747525103 1,232 18,400 Sole N/A All
RADIAN GROUP INC Common Stock 750236101 1,499 140,000 Sole N/A All
ROCKWELL COLLINS INC Common Stock 774341101 290 4,600 Sole N/A All
ROYAL DUTCH SHELL ADR EACH REPR 2'A'SHS Common Stock 780259206 3,676 56,409 Sole N/A All
SANOFI ADR ECH REP 1/2 ORD EUR2 SPON Common Stock 80105N105 2,299 45,000 Sole N/A All
SBA COMMUNICATIONS CORP CL A Common Stock 78388J106 1,944 27,000 Sole N/A All
SCHLUMBERGER COM STK USD0.01 Common Stock 806857108 1,020 13,622 Sole N/A All
SIEMENS AG ADR-EACH CNV INTO 1 ORD NPV Common Stock 826197501 4,312 40,000 Sole N/A All
SIMON PROPERTY GROUP INC Common Stock 828806109 1,475 9,300 Sole N/A All
SOUTHERN CO COM STK USD5 Common Stock 842587107 704 15,000 Sole N/A All
STARWOOD HTLS WRLD PAIRED CERT CLASS'B'USD0.01 Common Stock 85590A401 2,702 42,400 Sole N/A All
STRAGEGIC HOTELS & RESORTS Common Stock 86272T106 1,069 128,020 Sole N/A All
STRYKER CORP COM STK USD0.10 Common Stock 863667101 861 13,200 Sole N/A All
SUNTRUST BANKS INC Common Stock 867914103 239 8,300 Sole N/A All
SUN COMMUNITIES Common Stock 866674104 2,455 49,772 Sole N/A All
TANGER FACTORY OUTLET CENTER Common Stock 875465106 1,845 51,000 Sole N/A All
TAUBMAN CENTERS INC Common Stock 876664103 2,445 31,479 Sole N/A All
TELEFONICA SA ADR EACH REPR 1 ORD EUR1 Common Stock 879382208 1,369 101,315 Sole N/A All
TEVA PHARMACEUTICAL INDUSTRIES ADR EACH CNV INTO 1 Common Stock 881624209 1,436 36,200 Sole N/A All
TIME WARNER INC USD 0.01 Common Stock 887317303 288 5,000 Sole N/A All
TOLL BROTHERS INC Common Stock 889478103 342 10,000 Sole N/A All
TRANSOCEAN LTD CHF15 Common Stock H8817H100 779 15,000 Sole N/A All
UNITED TECHNOLOGIES CORP COM Common Stock 913017109 467 5,000 Sole N/A All
VEOLIA ENVIRONNEMENT ADR EACH RERP 1 ORD Common Stock 92334N103 635 50,000 Sole N/A All
VERIZON COMMUNICATIONS INC COM STK USD0.10 Common Stock 92343V104 737 15,000 Sole N/A All
VODAFONE GROUP SPON ADR REP 10 ORD SHS Common Stock 92857W209 2,329 82,000 Sole N/A All
WALGREEN CO COM STK USD0.078125 Common Stock 931422109 1,144 24,000 Sole N/A All
WELLS FARGO & CO COM STK USD1 2/3 Common Stock 949746101 33,143 896,000 Sole N/A All
WEYERHAEUSER CO Common Stock 962166104 1,255 40,000 Sole N/A All
WILLIAMS SONOMA INC Common Stock 969904101 618 12,000 Sole N/A All
WYNN RESORTS LTD COM STK USD0.01 Common Stock 983134107 688 5,500 Sole N/A All
APACHE CORP DEP SH REP 1/20TH PRF SER D USD1000 Preferred Stock 037411808 445 10,000 Sole N/A All
HARTFORD FINANCIAL SERVICES GRP INC DEP SHS REPR Preferred Stock 416515708 1,164 49,000 Sole N/A All
METLIFE INC NEW EQUITY UNITS Preferred Stock 59156R116 222 4,500 Sole N/A All
EPR PROPERTIES CONV PREF Preferred Stock 26884U307 1,258 38,895 Sole N/A All
SUNSTONE HOTEL INVESTORS INC SER D Preferred Stock 867892507 572 21,448 Sole N/A All