0001549358-13-000003.txt : 20130214 0001549358-13-000003.hdr.sgml : 20130214 20130213174508 ACCESSION NUMBER: 0001549358-13-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130214 DATE AS OF CHANGE: 20130213 EFFECTIVENESS DATE: 20130214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Old West Investment Management, LLC CENTRAL INDEX KEY: 0001549358 IRS NUMBER: 263225052 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15252 FILM NUMBER: 13604842 BUSINESS ADDRESS: STREET 1: 601 SOUTH FIGUEROA STREET STREET 2: SUITE 2250 CITY: LOS ANGELES STATE: CA ZIP: 90017 BUSINESS PHONE: (213) 943-1740 MAIL ADDRESS: STREET 1: 601 SOUTH FIGUEROA STREET STREET 2: SUITE 2250 CITY: LOS ANGELES STATE: CA ZIP: 90017 13F-HR 1 Form13f-2012.12.31.txt 4TH QUARTER 2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2012 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: Old West Investment Management, LLC. Address: 601 South Figueroa Street, Suite 2250 Los Angeles, California 90017 Form 13F File Number: 28- 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: Chad Cook Title: Chief Compliance Officer Phone: (213) 943-1740 Signature, Place, and Date of Signing: /s/ Chad Cook Los Angeles, California February 13, 2013 ------------------------------------------------------------------------------- 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: 74 --------------- Form 13F Information Table Value Total: $134,877 --------------- (thousands) List of Other Included Managers: NONE 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- Agnico-Eagle Mines Ltd COM 008474108 896 17081 SH Sole 17081 Alere Inc COM 01449J105 543 29403 SH Sole 29403 American Document Solutions In COM 00191G103 26 10442 SH Sole 10442 American International Group I COM 026874784 1060 30037 SH Sole 30037 Ascent Capital Group, Inc. COM 043632108 4503 72715 SH Sole 72715 AutoNation Inc COM 05329w102 7183 180948 SH Sole 180948 Bank of America Corp COM 060505104 2622 225911 SH Sole 225911 Berkshire Hathaway Inc COM 084670702 3368 37556 SH Sole 37556 Black Diamond Equipment COM 09202G101 4636 565484 SH Sole 565484 Cadence Design Systems Inc COM 127387108 407 30152 SH Sole 30152 Caterpillar Inc COM 149123101 370 4140 SH Sole 4140 Cintas Corp COM 172908105 1170 28611 SH Sole 28611 Colfax Corp COM 194014106 5217 129302 SH Sole 129302 Computer Sciences Corp COM 205363104 475 11869 SH Sole 11869 ConocoPhillips COM 20825C104 673 11607 SH Sole 11607 Dean Foods Co COM 242370104 312 18957 SH Sole 18957 Devon Energy Corp COM 25179M103 439 8446 SH Sole 8446 DIRECTV COM 25490A309 793 15821 SH Sole 15821 Duke Energy Corp COM 26441C204 757 11867 SH Sole 11867 East West Bancorp Inc COM 27579R104 1571 73132 SH Sole 73132 Emerson Electric Co COM 291011104 1034 19526 SH Sole 19526 EOG Resources Inc COM 26875P101 1076 8914 SH Sole 8914 EXCO Resources Inc COM 269279402 473 69941 SH Sole 69941 Ford Motor Co COM 345370860 736 56841 SH Sole 56841 Furniture Brands International COM 360921100 222 209786 SH Sole 209786 Gap Inc/The COM 364760108 697 22484 SH Sole 22484 Hansen Medical Inc COM 411307101 225 108574 SH Sole 108574 Hess Corp COM 42809h107 1018 19228 SH Sole 19228 Hewlett-Packard Co COM 428236103 805 56526 SH Sole 56526 Jefferies Group Inc COM 472319102 9833 529531 SH Sole 529531 JPMorgan Chase & Co COM 46625H100 1089 24776 SH Sole 24776 Kinder Morgan Inc/Delaware COM 49456B101 1059 30000 SH Sole 30000 Lamar Advertising Co COM 512815101 415 10718 SH Sole 10718 Legg Mason Inc COM 524901105 536 20865 SH Sole 20865 Lennar Corp COM 526057104 623 16112 SH Sole 16112 Liberty Media Corp COM 531229102 7044 60724 SH Sole 60724 MannKind Corp COM 56400p201 288 124725 SH Sole 124725 Martin Marietta Materials Inc COM 573284106 756 8021 SH Sole 8021 Marvell Technology Group Ltd COM G5876H105 921 126898 SH Sole 126898 Masco Corp COM 574599106 405 24312 SH Sole 24312 MBIA Inc COM 55262C100 517 65967 SH Sole 65967 McEwen Mining Inc COM 58039P107 716 187127 SH Sole 187127 Medtronic Inc COM 585055106 649 15832 SH Sole 15832 Microsoft Corp COM 594918104 650 24355 SH Sole 24355 New Gold Inc COM 644535106 991 89934 SH Sole 89934 Opko Health Inc COM 68375n103 516 107428 SH Sole 107428 PROLOR Biotech Inc COM 74344F106 157 31784 SH Sole 31784 Prospect Capital Corp COM 74348T102 760 70000 SH Sole 70000 SandRidge Energy Inc COM 80007P307 350 55195 SH Sole 55195 Sears Holdings Corp COM 812350106 37449 905445 SH Sole 905445 Sears Hometown and Outlet Stor COM 812362101 5305 162943 SH Sole 162943 Skilled Healthcare Group Inc COM 83066r107 878 137990 SH Sole 137990 Smart Balance Inc COM 83169y108 532 41257 SH Sole 41257 Sonic Automotive Inc COM 83545g102 426 20414 SH Sole 20414 St Joe Co/The COM 790148100 685 29685 SH Sole 29685 Starwood Property Trust, Inc COM 85571B105 1148 50000 SH Sole 50000 Synta Pharmaceuticals Corp COM 87162T206 195 21628 SH Sole 21628 Texas Industries Inc COM 882491103 824 16164 SH Sole 16164 Theravance Inc COM 88338t104 349 15710 SH Sole 15710 USG Corp COM 903293405 1798 64062 SH Sole 64062 Wal-Mart Stores Inc COM 931142103 2852 41801 SH Sole 41801 Weatherford International Ltd COM H27013103 812 72630 SH Sole 72630 Yamana Gold Inc COM 98462Y100 1264 73490 SH Sole 73490 Zions Bancorporation COM 989701107 317 14856 SH Sole 14856 Novartis AG ADR 66987V109 686 10840 SH Sole 10840 Teva Pharmaceutical Industries ADR 881624209 983 26347 SH Sole 26347 Boardwalk Pipeline Partners LP LP 096627104 716 28778 SH Sole 28778 Calumet Specialty Products Par LP 131476103 1803 59342 SH Sole 59342 Energy Transfer Partners LP LP 29273R109 515 12000 SH Sole 12000 Western Gas Partners LP LP 958254104 1295 27197 SH Sole 27197 Annaly Capital Management Inc UNIT 035710409 280 20000 SH Sole 20000 PennyMac Mortgage Investment T UNIT 70931T103 505 20000 SH Sole 20000 Redwood Trust Inc UNIT 758075402 641 37993 SH Sole 37993 Winthrop Realty Trust UNIT 976391300 1037 93895 SH Sole 93895