-----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, H5JHw5TSzloNylWtBAcJi/oJ7cl/fSlDyxvmwKEE1PyoyGPVLVQuY89tR+b6T9kt Pq9qeDnoDcpyhaLY4IHsCA== 0000950123-09-060027.txt : 20091109 0000950123-09-060027.hdr.sgml : 20091109 20091109142628 ACCESSION NUMBER: 0000950123-09-060027 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091109 DATE AS OF CHANGE: 20091109 EFFECTIVENESS DATE: 20091109 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Alliance Trust PLC CENTRAL INDEX KEY: 0001424606 IRS NUMBER: 000000000 STATE OF INCORPORATION: X0 FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13036 FILM NUMBER: 091167789 BUSINESS ADDRESS: STREET 1: MEADOW HOUSE STREET 2: 64 REFORM STREET CITY: DUNDEE, SCOTLAND STATE: X0 ZIP: DD1 1TJ BUSINESS PHONE: 44 1382 306062 MAIL ADDRESS: STREET 1: MEADOW HOUSE STREET 2: 64 REFORM STREET CITY: DUNDEE, SCOTLAND STATE: X0 ZIP: DD1 1TJ 13F-HR 1 y80323e13fvhr.txt FORM 13F-HR 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, 2009 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 November 9, 2009 - -------------------------- -------------------------------- ------------------ [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: 51 Form 13F Information Table Value Total: $859,626(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 ALLIANCE TRUST HOLDINGS AS AT 30.09.2009
VOTING AUTHORITY TITLE OF VALUE SHRS OR PUT/ INVESTMENT OTHER --------------------- NAME OF ISSUER CLASS CUSIP (X$1000) PRN AMT SH/PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------------------------------- -------- ------- -------- --------- ------ ---- ---------- -------- --------- ------ ---- ABBOTT LABS COM NPV 2002305 32,235 652,400 SH SOLE NONE 652,400 ACCENTURE PLC CLS'A'USD0.0000225 B4BNMY3 9,004 241,600 SH SOLE NONE 241,600 AMER TOWER CORP CL'A'COM USD0.01 2253608 27,356 753,000 SH SOLE NONE 753,000 AMER EXPRESS CO COM USD0.20 2026082 1,159 34,200 SH SOLE NONE 34,200 BAXTER INTL INC COM USD1 2085102 15,698 275,353 SH SOLE NONE 275,353 BJS WHOLESALE CLUB COM USD0.01 2039916 543 15,000 SH SOLE NONE 15,000 CCC GLOBAL ENVIRONMENTAL OPPORTUNITIES FUND LTD CCC GEO 17,666 160,000 SH SOLE NONE 160,000 CLEAN HARBORS INC COM USD0.01 2202473 14,369 255,455 SH SOLE NONE 255,455 CONSOL ENERGY INC COM USD0.01 2413758 676 15,000 SH SOLE NONE 15,000 CISCO SYSTEMS COM USD0.001 2198163 37,563 1,597,762 SH SOLE NONE 1,597,762 CVS CAREMARK CORP COM STK USD0.01 2577609 29,209 817,262 SH SOLE NONE 817,262 CORRECTIONS CORP COM USD0.01 2759418 2,829 125,000 SH SOLE NONE 125,000 DELL INC COM USD0.01 2261526 14,671 961,410 SH SOLE NONE 961,410 DIAMOND OFFSHORE COM USD0.01 2261021 52,309 547,854 SH SOLE NONE 547,854 AMDOCS ORD GBP0.01 2256908 35,406 1,317,192 SH SOLE NONE 1,317,192 DAVITA INC COM USD0.001 2898087 15,088 267,000 SH SOLE NONE 267,000 ENERGY SOLUTIONS I DEP SHS REP 1 COM USD0.01 B293735 736 80,000 SH SOLE NONE 80,000 EXELON CORP COM NPV 2670519 9,912 200,000 SH SOLE NONE 200,000 F5 NETWORK INC COM STK NPV 2427599 793 20,000 SH SOLE NONE 20,000 FLIR SYSTEMS INC COM USD0.01 2344717 14,814 530,000 SH SOLE NONE 530,000 HCC INSURANCE HLDG COM USD1 2400426 12,308 450,000 SH SOLE NONE 450,000 HEICO CORP COM USD0.01 2419217 736 17,000 SH SOLE NONE 17,000 HOLOGIC INC COM USD0.01 2433530 9,139 560,000 SH SOLE NONE 560,000 HARSCO CORP COM USD1.25 2412700 15,921 450,000 SH SOLE NONE 450,000 INTERMEC INC COM USD0.01 2116842 6,620 469,500 SH SOLE NONE 469,500 INTEL CORP COM USD0.001 2463247 32,490 1,661,882 SH SOLE NONE 1,661,882 INTEROIL CORP COM NPV B02SJF9 35,541 906,900 SH SOLE NONE 906,900
ITT CORPORATION COM USD1 2465760 26,644 511,600 SH SOLE NONE 511,600 JOHNSON & JOHNSON COM USD1 2475833 37,742 620,661 SH SOLE NONE 620,661 JP MORGAN CHASE & COM USD1 2190385 9,999 228,600 SH SOLE NONE 228,600 LEUCADIA NATL CORP COM USD1 2513012 493 20,000 SH SOLE NONE 20,000 MONSANTO COM STK USD0.01 2654320 5,117 66,200 SH SOLE NONE 66,200 VAIL RESORTS INC COM STK USD0.01 2954194 1,342 40,000 SH SOLE NONE 40,000 MUELLER WATER PROD COM STK USD0.01 SER 'A' B15RZR4 18,051 3,300,000 SH SOLE NONE 3,300,000 NETAPP INC COM USD0.001 2630643 20,528 770,000 SH SOLE NONE 770,000 NORTHWEST PIPE CO COM USD0.01 2035925 1,231 36,700 SH SOLE NONE 36,700 NEW YORK COMMTY COM USD0.01 2711656 42,797 3,754,144 SH SOLE NONE 3,754,144 PLUM CREEK TMBR CO COM USD0.01 2692397 12,751 416,689 SH SOLE NONE 416,689 METROPCS COMMUNICA COM STK USD0.0001 B02F228 7,948 850,000 SH SOLE NONE 850,000 PROCTER & GAMBLE COM NPV 2704407 7,751 134,026 SH SOLE NONE 134,026 PHILIP MORRIS INTL COM STK NPV B2PKRQ3 52,632 1,082,065 SH SOLE NONE 1,082,065 PSYCHIATRIC SOLUTI COM USD0.01 2975333 1,070 40,000 SH SOLE NONE 40,000 ROSS STORES INC COM USD0.01 2746711 25,074 525,000 SH SOLE NONE 525,000 REPUBLIC SERVICES COM USD0.01 2262530 44,122 1,663,715 SH SOLE NONE 1,663,715 SMART BALANCE INC COM STK USD0.01 B0V9FJ9 521 85,000 SH SOLE NONE 85,000 SAFEWAY INC COM USD0.01 2767165 13,881 705,000 SH SOLE NONE 705,000 SYSCO CORP COM USD1 2868165 6,610 266,300 SH SOLE NONE 266,300 TIME WARNER INC COM USD0.01 B63QTN2 10,287 357,824 SH SOLE NONE 357,824 UTD TECHNOLOGIES COM USD1 2915500 29,826 490,083 SH SOLE NONE 490,083 VERIZON COMMUN COM USD0.10 2090571 25,527 844,700 SH SOLE NONE 844,700 WESTERN UNION COMP COM STK USD0.01 B1F76F9 12,891 682,400 SH SOLE NONE 682,400 $859,626
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