13F-HR 1 c105717.txt 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, 2011 ------------------- 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: Alliance Trust PLC Address: 8 West Marketgait Dundee, Scotland DD1 1QN United Kingdom Form 13F File Number: 28-13036 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: Ian Anderson Title: Assistant Secretary Phone: +44 1382 321238 Signature, Place, and Date of Signing: /s/ Ian Anderson Dundee, Scotland, United Kingdom October 21, 2011 ------------------------- -------------------------------- ----------------- [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: 56 Form 13F Information Table Value Total: $777,237 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. None. FORM 13F INFORMATION TABLE
INVEST- TITLE MENT VOTING AUTHORITY OF VALUE VALUE SHRS OR SH / PUT / DISCRE- OTHER NAME OF ISSUER CLASS CUSIP (X$) (X$1000) PRN AMT PRN CALL TION MANAGERS SOLE SHARED NONE APPLE INC COM NPV EQUITY 2046251 29,271,580.10 29,272 76,790 SH SOLE NONE 76,790 CIA DE BEBIDAS DAS SPON ADR REP 1 PRF SHS EQUITY 2634797 6,909,320.00 6,909 225,500 SH SOLE NONE 225,500 AMGEN INC COM USD0.0001 EQUITY 2023607 8,140,626.00 8,141 148,200 SH SOLE NONE 148,200 AMER TOWER CORP CL'A'COM USD0.01 EQUITY 2253608 40,488,810.00 40,489 753,000 SH SOLE NONE 753,000 APACHE CORP COM USD0.625 EQUITY 2043962 20,659,947.07 20,660 257,509 SH SOLE NONE 257,509 AZZ INC COM USD1 EQUITY 2067672 2,904,000.00 2,904 75,000 SH SOLE NONE 75,000 BPZ RESOURCES INC 6.5% NTS 01/03/15 USD EQUITY B590VV3 11,501,215.22 11,501 13,448,000 SH SOLE NONE 13,448,000 BAXTER INTL INC COM USD1 EQUITY 2085102 11,330,729.28 11,331 201,758 SH SOLE NONE 201,758 BE AEROSPACE COM USD0.01 EQUITY 2089427 23,177,000.00 23,177 700,000 SH SOLE NONE 700,000 BAIDU INC ADS EACH REP 0.10 ORD CLS'A EQUITY B0FXT17 9,750,552.00 9,751 91,400 SH SOLE NONE 91,400 PROGRSSIVE WASTE S COM NPV EQUITY B3DJGJ5 10,104,780.00 10,105 491,000 SH SOLE NONE 491,000 BPZ RESOURCES INC COM NPV EQUITY 2155458 3,737,040.00 3,737 1,354,000 SH SOLE NONE 1,354,000 CITIGROUP INC COM USD0.01 EQUITY 2297907 7,273,240.00 7,273 284,000 SH SOLE NONE 284,000 CATERPILLAR INC COM STK USD1 EQUITY 2180201 17,501,932.50 17,502 237,250 SH SOLE NONE 237,250 CLEAN HARBORS INC COM USD0.01 EQUITY 2202473 36,618,392.92 36,618 713,948 SH SOLE NONE 713,948 COACH INC EQUITY 2646015 5,182,000.00 5,182 100,000 SH SOLE NONE 100,000 CITI TRENDS INC COM USD0.01 EQUITY B06FLD8 1,880,000.00 1,880 160,000 SH SOLE NONE 160,000 CORRECTIONS CORP COM USD0.01 EQUITY 2759418 4,540,000.00 4,540 200,000 SH SOLE NONE 200,000 DELL INC COM USD0.01 EQUITY 2261526 16,980,000.00 16,980 1,200,000 SH SOLE NONE 1,200,000 AMDOCS ORD GBP0.01 EQUITY 2256908 30,974,104.00 30,974 1,143,800 SH SOLE NONE 1,143,800 DAVITA INC COM USD0.001 EQUITY 2898087 15,038,400.00 15,038 240,000 SH SOLE NONE 240,000 ENTERPRISE PRODS P COM UNITS REP LIM PART INT EQUITY 2285388 21,814,400.00 21,814 544,000 SH SOLE NONE 544,000 ENERGY RECOVERY IN USD0.001 EQUITY B3B5J07 1,200,000.00 1,200 400,000 SH SOLE NONE 400,000 ESCO TECHNOLOGIES COM USD0.01 EQUITY 2321583 4,328,200.00 4,328 170,000 SH SOLE NONE 170,000 EXPRESS SCRIPTS IN COM USD0.01 EQUITY 2326469 6,857,950.00 6,858 185,000 SH SOLE NONE 185,000 FLIR SYSTEMS INC COM USD0.01 EQUITY 2344717 15,268,300.00 15,268 610,000 SH SOLE NONE 610,000 HCC INSURANCE HLDG COM USD1 EQUITY 2400426 12,181,500.00 12,182 450,000 SH SOLE NONE 450,000 HOLOGIC INC COM USD0.01 EQUITY 2433530 4,784,850.00 4,785 315,000 SH SOLE NONE 315,000 HOUSTON WIRE & CBL COM STK NPV EQUITY B171W40 1,580,813.50 1,581 138,425 SH SOLE NONE 138,425 INTEROIL CORP COM NPV EQUITY B02SJF9 34,890,973.00 34,891 716,300 SH SOLE NONE 716,300 JOHNSON & JOHNSON COM USD1 EQUITY 2475833 19,871,280.00 19,871 312,000 SH SOLE NONE 312,000 ST JOE COMPANY COM NPV EQUITY 2768663 10,363,853.08 10,364 691,846 SH SOLE NONE 691,846 LIONS GATE ENTERTA COM NPV EQUITY 2753506 5,259,205.90 5,259 763,310 SH SOLE NONE 763,310 LANDEC CORP COM USD0.001 EQUITY 2517058 943,056.00 943 177,600 SH SOLE NONE 177,600 MEDCOHEALTH SOLUTI COM USD0.01 EQUITY 2954019 18,070,528.08 18,071 385,628 SH SOLE NONE 385,628 MONSANTO COM STK USD0.01 EQUITY 2654320 14,430,000.00 14,430 240,500 SH SOLE NONE 240,500 MAXWELL TECH INC COM USD0.10 EQUITY 2573771 4,140,000.00 4,140 225,000 SH SOLE NONE 225,000 NICE SYSTEMS ADR-EACH REPR 1 ORD ILS1 EQUITY 2639736 5,215,040.00 5,215 172,000 SH SOLE NONE 172,000 NETAPP INC COM USD0.001 EQUITY 2630643 19,086,444.80 19,086 562,690 SH SOLE NONE 562,690 NOVATEK OAO GDR EACH REPR 10 SHS'REG S' EQUITY B0DK750 6,222,960.00 6,223 53,600 SH SOLE NONE 53,600 NEW YORK COMMTY COM USD0.01 EQUITY 2711656 34,391,000.00 34,391 2,890,000 SH SOLE NONE 2,890,000 PLUM CREEK TMBR CO COM USD0.01 EQUITY 2692397 17,389,581.44 17,390 500,852 SH SOLE NONE 500,852 METROPCS COMMUNICA COM STK USD0.0001 EQUITY B02F228 1,955,250.00 1,955 225,000 SH SOLE NONE 225,000 PFIZER INC COM USD0.05 EQUITY 2684703 32,354,400.00 32,354 1,830,000 SH SOLE NONE 1,830,000 PICO HOLDINGS COM USD0.001 EQUITY 2326737 2,050,000.00 2,050 100,000 SH SOLE NONE 100,000 POLYCOM INC COM USD0.0005 EQUITY 2693420 13,685,650.00 13,686 745,000 SH SOLE NONE 745,000 PHILIP MORRIS INTL COM STK NPV EQUITY B2PKRQ3 33,351,900.00 33,352 535,000 SH SOLE NONE 535,000 ROSNEFT OJSC GDR EACH REPR 1 ORD `REGS' EQUITY B17FSC2 3,833,110.00 3,833 653,000 SH SOLE NONE 653,000 ROSS STORES INC COM USD0.01 EQUITY 2746711 29,902,200.00 29,902 380,000 SH SOLE NONE 380,000 SAFEWAY INC COM USD0.01 EQUITY 2767165 14,184,940.00 14,185 854,000 SH SOLE NONE 854,000 TRIQUINT SEMI COND COM USD0.001 EQUITY 2904393 2,354,700.00 2,355 470,000 SH SOLE NONE 470,000 TETRA TECH INC COM USD0.01 EQUITY 2883890 19,529,958.30 19,530 1,042,710 SH SOLE NONE 1,042,710 URALKALI GDR (EACH REPR 5 ORD) (REG S) EQUITY B1FLM08 3,449,000.00 3,449 100,000 SH SOLE NONE 100,000 UTD TECHNOLOGIES COM USD1 EQUITY 2915500 23,409,900.00 23,410 333,000 SH SOLE NONE 333,000 VISA INC COM STK USD0.0001 EQUITY B2PZN04 20,946,320.67 20,946 244,443 SH SOLE NONE 244,443 WABCO HOLDINGS INC COM STK USD0.01 EQUITY B23CNQ3 3,976,350.00 3,976 105,000 SH SOLE NONE 105,000 777,237