-----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, FhV759oQObMtbf2VJQAoG2YPmfornVUloQZfB0uRv1SBhIHI3AyLKpi7gprdnzgZ Ej318FvJHGPgSATCjQ45wA== 0001208646-10-000313.txt : 20101103 0001208646-10-000313.hdr.sgml : 20101103 20101103073110 ACCESSION NUMBER: 0001208646-10-000313 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101103 DATE AS OF CHANGE: 20101103 EFFECTIVENESS DATE: 20101103 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: 101159975 BUSINESS ADDRESS: STREET 1: 8 WEST MARKETGAIT CITY: DUNDEE, SCOTLAND STATE: X0 ZIP: DD1 1QN BUSINESS PHONE: 44 1382 306062 MAIL ADDRESS: STREET 1: 8 WEST MARKETGAIT CITY: DUNDEE, SCOTLAND STATE: X0 ZIP: DD1 1QN 13F-HR 1 c103707.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, 2010 ----------------- 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 2, 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).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 53 Form 13F Information Table Value Total: $773,962 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. None. FORM 13F INFORMATION TABLE Alliance Trust Holdings as at 30/9/10
- ------------------------------------------------------------------------------------------------------------------------------------ TITLE OF VALUE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (X$) (X$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------------ ABBOTT LABS COM NPV EQUITY 2002305 26,225,280.00 26,225 502,400.00 SH SOLE NONE 502,400 CIA DE BEBIDAS DAS SPON ADR REP 1 PRF SHS EQUITY 2634797 6,786,189.00 6,786 54,900.00 SH SOLE NONE 54,900 ACCENTURE PLC CLS'A'USD0.0000225 EQUITY B4BNMY3 6,580,152.00 6,580 154,900.00 SH SOLE NONE 154,900 AMER TOWER CORP CL'A'COM USD0.01 EQUITY 2253608 38,583,720.00 38,584 753,000.00 SH SOLE NONE 753,000 APACHE CORP COM USD0.625 EQUITY 2043962 27,388,856.85 27,389 280,365.00 SH SOLE NONE 280,365 BPZ RESOURCES INC 6.5% NTS 01/03/15 USD EQUITY B590VV3 10,935,738.89 10,936 11,600,000.0 SH SOLE NONE 11,600,00 BK OF AMERICA CORP COM USD0.01 EQUITY 2295677 4,747,440.00 4,747 362,400.00 SH SOLE NONE 362,400 BAXTER INTL INC COM USD1 EQUITY 2085102 9,625,874.18 9,626 201,758.00 SH SOLE NONE 201,758 BJS WHOLESALE CLUB COM USD0.01 EQUITY 2039916 622,500.00 623 15,000.00 SH SOLE NONE 15,000 CLEAN HARBORS INC COM USD0.01 EQUITY 2202473 17,764,471.30 17,764 262,555.00 SH SOLE NONE 262,555 COMSTAR UNITED TEL GDR EACH REP1 ORD SHR'REGS' EQUITY B0WHW35 580,050.00 580 90,000.00 SH SOLE NONE 90,000 CISCO SYSTEMS COM USD0.001 EQUITY 2198163 33,109,777.80 33,110 1,511,862.00 SH SOLE NONE 1,511,862 CVS CAREMARK CORP COM STK USD0.01 EQUITY 2577609 7,481,677.80 7,482 237,740.00 SH SOLE NONE 237,740 CORRECTIONS CORP COM USD0.01 EQUITY 2759418 2,714,800.00 2,715 110,000.00 SH SOLE NONE 110,000 DELL INC COM USD0.01 EQUITY 2261526 21,789,777.60 21,790 1,681,310.00 SH SOLE NONE 1,681,310 DAVITA INC COM USD0.001 EQUITY 2898087 18,412,320.00 18,412 267,000.00 SH SOLE NONE 267,000 ENTERPRISE PRODS P COM UNITS REP LIM PART INT EQUITY 2285388 15,856,000.00 15,856 400,000.00 SH SOLE NONE 400,000 ENERGY SOLUTIONS I DEP SHS REP 1 COM USD0.01 EQUITY B293735 401,600.00 402 80,000.00 SH SOLE NONE 80,000 EXPONENT INC COM USD0.001 EQUITY 2330318 948,899.00 949 28,300.00 SH SOLE NONE 28,300 FLIR SYSTEMS INC COM USD0.01 EQUITY 2344717 14,375,200.00 14,375 560,000.00 SH SOLE NONE 560,000 FRONTIER COMMUNICA COM USD0.25 EQUITY 2197933 665,962.08 666 81,613.00 SH SOLE NONE 81,613 HCC INSURANCE HLDG COM USD1 EQUITY 2400426 11,740,500.00 11,741 450,000.00 SH SOLE NONE 450,000 HOLOGIC INC COM USD0.01 EQUITY 2433530 13,448,400.00 13,448 840,000.00 SH SOLE NONE 840,000 INTERMEC INC COM USD0.01 EQUITY 2116842 709,340.00 709 58,000.00 SH SOLE NONE 58,000 INTEL CORP COM USD0.001 EQUITY 2463247 29,171,960.22 29,172 1,518,582.00 SH SOLE NONE 1,518,582 INTEROIL CORP COM NPV EQUITY B02SJF9 59,386,200.00 59,386 870,000.00 SH SOLE NONE 870,000 ITT CORPORATION COM USD1 EQUITY 2465760 0 0 0 SH SOLE NONE 0 JOHNSON & JOHNSON COM USD1 EQUITY 2475833 30,937,812.73 30,938 499,561.00 SH SOLE NONE 499,561 LANDEC CORP COM USD0.001 EQUITY 2517058 1,083,250.00 1,083 175,000.00 SH SOLE NONE 175,000 MOBILE TELESYSTEMS ADR EA REP 2 ORD RUB1 EQUITY 2603225 4,580,299.50 4,580 215,950.00 SH SOLE NONE 215,950 MEDCOHEALTH SOLUTI COM USD0.01 EQUITY 2954019 12,740,000.00 12,740 245,000.00 SH SOLE NONE 245,000 MONSANTO COM STK USD0.01 EQUITY 2654320 13,715,696.00 13,716 286,400.00 SH SOLE NONE 286,400 VAIL RESORTS INC COM STK USD0.01 EQUITY 2954194 1,497,600.00 1,498 40,000.00 SH SOLE NONE 40,000 MUELLER WATER PROD COM STK USD0.01 SER 'A' EQUITY B15RZR4 3,162,086.27 3,162 1,050,527.00 SH SOLE NONE 1,050,527 MAXWELL TECH INC COM USD0.10 EQUITY 2573771 2,886,840.00 2,887 198,000.00 SH SOLE NONE 198,000 NETAPP INC COM USD0.001 EQUITY 2630643 21,894,400.00 21,894 440,000.00 SH SOLE NONE 440,000 NOVATEK OAO GDR EACH REPR 10 SHS'REG S' EQUITY B0DK750 6,061,010.00 6,061 70,600.00 SH SOLE NONE 70,600 NEW YORK COMMTY COM USD0.01 EQUITY 2711656 51,576,590.00 51,577 3,173,944.00 SH SOLE NONE 3,173,944 PLUM CREEK TMBR CO COM USD0.01 EQUITY 2692397 15,053,587.92 15,054 426,689.00 SH SOLE NONE 426,689 METROPCS COMMUNICA COM STK USD0.0001 EQUITY B02F228 887,400.00 887 85,000.00 SH SOLE NONE 85,000 PFIZER INC COM USD0.05 EQUITY 2684703 20,209,090.00 20,209 1,177,000.00 SH SOLE NONE 1,177,000 PICO HOLDINGS COM USD0.001 EQUITY 2326737 1,488,500.00 1,489 50,000.00 SH SOLE NONE 50,000 POLYCOM INC COM USD0.0005 EQUITY 2693420 21,329,259.00 21,329 783,300.00 SH SOLE NONE 783,300 PHILIP MORRIS INTL COM STK NPV EQUITY B2PKRQ3 54,595,131.30 54,595 974,565.00 SH SOLE NONE 974,565 ROSS STORES INC COM USD0.01 EQUITY 2746711 33,137,954.00 33,138 606,700.00 SH SOLE NONE 606,700 REPUBLIC SERVICES COM USD0.01 EQUITY 2262530 39,286,281.21 39,286 1,289,343.00 SH SOLE NONE 1,289,343 SMART BALANCE INC COM STK USD0.01 EQUITY B0V9FJ9 521,100.00 521 135,000.00 SH SOLE NONE 135,000 SAFEWAY INC COM USD0.01 EQUITY 2767165 14,910,750.00 14,911 705,000.00 SH SOLE NONE 705,000 TRIQUINT SEMI COND COM USD0.001 EQUITY 2904393 1,102,850.00 1,103 115,000.00 SH SOLE NONE 115,000 TETRA TECH INC COM USD0.01 EQUITY 2883890 1,466,500.00 1,467 70,000.00 SH SOLE NONE 70,000 TIME WARNER INC COM USD0.01 EQUITY B63QTN2 6,083,118.00 6,083 198,600.00 SH SOLE NONE 198,600 UTD TECHNOLOGIES COM USD1 EQUITY 2915500 27,672,855.00 27,673 388,500.00 SH SOLE NONE 388,500 WESTERN UNION COMP COM STK USD0.01 EQUITY B1F76F9 6,029,004.00 6,029 341,200.00 SH SOLE NONE 341,200 $773,962
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