0000846797-11-000004.txt : 20111114 0000846797-11-000004.hdr.sgml : 20111111 20111114094954 ACCESSION NUMBER: 0000846797-11-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111114 DATE AS OF CHANGE: 20111114 EFFECTIVENESS DATE: 20111114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DEAN C H & ASSOCIATES INC CENTRAL INDEX KEY: 0000846797 IRS NUMBER: 310861689 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-02462 FILM NUMBER: 111198412 BUSINESS ADDRESS: STREET 1: 2480 KETTERING TOWER CITY: DAYTON STATE: OH ZIP: 45423 BUSINESS PHONE: 8003273656 MAIL ADDRESS: STREET 1: 2480 KETTERING TOWER CITY: DAYTON STATE: OH ZIP: 45423 13F-HR 1 frm13f093011.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: Dean Investment Associates, LLC Address: 3500 Pentagon Tower, Suite 200 Beavercreek, OH 45431 13F File Number: 028-02462 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: Debra E. Rindler Title: Chief Compliance Officer Phone: (800) 327-3656 Signature, Place, and Date of Signing: Nov 11, 2011 Debra E. Rindler Beavercreek, OH Nov 11, 2011 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: N/A I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number Other Included Manager: 1 Form 13F Information Table Entry Total: 178 Form 13F Information Table Value Total: 188517 List of Other Included Manager: No. Form 13F File Number Name 02 028-13367 Dean Capital Management, LLC 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- Abbott Labs CS 002824100 2775 54255 SH Defined 02 42875 11380 Advance America Cash Advance C CS 00739W107 501 68095 SH Defined 02 68095 Aeropostale CS 007865108 579 53586 SH Defined 02 44144 9442 Aflac Inc Com CS 001055102 2935 83971 SH Defined 02 65981 17990 AGL Resources Inc CS 001204106 204 5005 SH Defined 02 4705 300 American Greetings Corp Cl A CS 026375105 409 22122 SH Defined 02 22122 Amgen Inc CS 031162100 2809 51103 SH Defined 02 40238 10865 Amkor Technology Inc CS 031652100 407 93353 SH Defined 02 93353 Apache Corp CS 037411105 1893 23591 SH Defined 02 18520 5071 Arrow Electrs Inc CS 042735100 258 9284 SH Defined 02 8729 555 Assured Guaranty Ltd CS G0585R106 534 48574 SH Defined 02 48574 Atmos Energy Corp CS 049560105 343 10561 SH Defined 02 9936 625 Avon Prods Inc CS 054303102 216 11025 SH Defined 02 10365 660 Baker Hughes Inc CS 057224107 2047 44349 SH Defined 02 35430 8919 Bank of NY Mellon CS 064058100 2645 142293 SH Defined 02 110705 31588 Bank Of The Ozarks CS 063904106 404 19318 SH Defined 02 19318 Berkshire Hathaway Inc Cl B CS 084670702 1454 20470 SH Defined 02 15485 4985 Best Buy Inc CS 086516101 2110 90570 SH Defined 02 71270 19300 Big 5 Sporting Goods Corp CS 08915P101 388 63796 SH Defined 02 63796 Biomed Realty Trust Inc CS 09063H107 211 12710 SH Defined 02 11955 755 Blackrock Inc CS 09247X101 2444 16510 SH Defined 02 13005 3505 Briggs & Stratton Corp CS 109043109 372 27565 SH 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4945 SH Defined 02 4650 295 Health Mgmt Assoc Inc New Cl A CS 421933102 405 58545 SH Defined 02 58545 Healthspring Inc CS 42224N101 785 21535 SH Defined 02 21535 Helen Of Troy Ltd CS G4388N106 663 26395 SH Defined 02 26395 Hewlett Packard Co CS 428236103 1784 79487 SH Defined 02 62127 17360 Hologic Inc CS 436440101 188 12360 SH Defined 02 11620 740 Horsehead Hldg Corp CS 440694305 704 94895 SH Defined 02 94895 Hospitality Properties Trust CS 44106M102 381 17933 SH Defined 02 17933 Illinois Tool Wks Inc CS 452308109 1248 29990 SH Defined 02 22650 7340 Ingram Micro Inc CS 457153104 792 49118 SH Defined 02 49118 Inland Real Estate Corp CS 457461200 392 53764 SH Defined 02 53764 Innophos Holdings Inc CS 45774N108 605 15161 SH Defined 02 15161 Intel Corp CS 458140100 3147 147520 SH Defined 02 114885 32635 Interpublic Group Cos Inc Com CS 460690100 163 22575 SH Defined 02 21240 1335 Intl Game Technology CS 459902102 159 10960 SH Defined 02 10310 650 Invesco Ltd CS G491BT108 248 16000 SH 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CS 564563104 508 16196 SH Defined 02 16196 McDonalds Corp CS 580135101 1875 21355 SH Defined 02 16360 4995 McGraw Hill CS 580645109 3085 75248 SH Defined 02 58703 16545 Medtronic Inc CS 585055106 3185 95819 SH Defined 02 73959 21860 Mens Wearhouse Inc CS 587118100 483 18505 SH Defined 02 18505 Meredith Corp CS 589433101 405 17900 SH Defined 02 17900 Metlife Inc CS 59156R108 783 27962 SH Defined 02 21270 6692 MFA Financial Inc CS 55272X102 402 57296 SH Defined 02 57296 Michael Bakercorp CS 057149106 195 10175 SH Defined 02 10175 Microsoft Corp CS 594918104 2853 114607 SH Defined 02 90205 24402 Mips Technologies Inc Com CS 604567107 382 78847 SH Defined 02 78847 Molex Inc CS 608554101 286 14035 SH Defined 02 13195 840 Murphy Oil Corp CS 626717102 2498 56568 SH Defined 02 44615 11953 Myers Inds Inc CS 628464109 504 49689 SH Defined 02 49689 Nara Bancorp Inc CS 63080P105 390 64185 SH Defined 02 64185 Noble Energy Inc CS 655044105 293 4143 SH Defined 02 3898 245 Nordstrom Inc CS 655664100 279 6105 SH Defined 02 5740 365 Nucor Corp CS 670346105 1130 35730 SH Defined 02 26865 8865 Omega Protein Corp CS 68210P107 721 79359 SH Defined 02 79359 One Liberty Properties Inc CS 682406103 705 48063 SH Defined 02 48063 Oshkosh Corp CS 688239201 201 12745 SH Defined 02 12745 Parametric Technology Corp Com CS 699173209 396 25770 SH Defined 02 25770 Parker Drilling Co CS 701081101 724 164886 SH Defined 02 164886 PepsiCo Inc CS 713448108 2886 46624 SH Defined 02 36649 9975 Pfizer Inc CS 717081103 1665 94199 SH Defined 02 72214 21985 Pharmaceutical Prod Dev Inc CS 717124101 209 8160 SH Defined 02 7715 445 Plantronics Inc CS 727493108 800 28130 SH Defined 02 28130 PNC Finl Svcs Group Inc CS 693475105 2082 43200 SH Defined 02 33865 9335 Portland Gen Elec Co CS 736508847 242 10225 SH Defined 02 9625 600 Power-One Inc CS 73930r102 398 88506 SH Defined 02 88506 QLogic Corp Com CS 747277101 384 30246 SH Defined 02 30246 Radioshack Corp CS 750438103 401 34527 SH Defined 02 34527 Regis Corp Minn Com CS 758932107 215 15280 SH Defined 02 15280 Rent A Center Inc CS 76009N100 679 24733 SH Defined 02 24733 Republic Svcs Inc CS 760759100 203 7228 SH Defined 02 6798 430 Saia Inc CS 78709Y105 396 37652 SH Defined 02 37652 Sandridge Energy Inc CS 80007P307 195 35055 SH Defined 02 35055 SeaChange Intl Inc CS 811699107 616 80006 SH Defined 02 80006 Sempra Energy CS 816851109 204 3959 SH Defined 02 3719 240 Sinclair Broadcast Group Inc CS 829226109 1778 247956 SH Defined 02 223216 24740 Solutia Inc CS 834376501 484 37651 SH Defined 02 37651 Sonoco Prods Co CS 835495102 261 9241 SH Defined 02 8801 440 Spectrum Brands Holdings Inc CS 84763R101 804 34058 SH Defined 02 34058 SPX Corp CS 784635104 205 4525 SH Defined 02 4255 270 State Street CS 857477103 2627 81672 SH Defined 02 63892 17780 Stifel Finl Corp CS 860630102 393 14807 SH Defined 02 14807 Stryker Corp CS 863667101 2244 47615 SH Defined 02 37384 10231 SuperValu Inc CS 868536103 374 56204 SH Defined 02 56204 Synopsys Inc CS 871607107 328 13470 SH Defined 02 12665 805 Sysco Corp CS 871829107 2408 92966 SH Defined 02 72824 20142 TCF Financial Corp CS 872275102 692 75514 SH Defined 02 75514 Tech Data Corp CS 878237106 697 16116 SH Defined 02 16116 Teleflex Inc CS 879369106 231 4295 SH Defined 02 4050 245 Tenneco Inc CS 880349105 398 15551 SH Defined 02 15551 Terex Corp CS 880779103 492 47976 SH Defined 02 47976 Texas Roadhouse Inc CS 882681109 193 14577 SH Defined 02 14577 Thomas & Betts Corp CS 884315102 204 5111 SH Defined 02 5111 Torchmark Corp CS 891027104 1250 35843 SH Defined 02 30381 5462 Towers Watson & Co CS 891894107 209 3500 SH Defined 02 3295 205 Triumph Group Inc CS 896818101 422 8665 SH Defined 02 8665 UnitedHealth Group Inc CS 91324P102 1414 30655 SH Defined 02 23027 7628 US Bancorp CS 902973304 2178 92536 SH Defined 02 73222 19314 V F Corp CS 918204108 206 1695 SH Defined 02 1595 100 Veeco Instrs Inc CS 922417100 479 19621 SH Defined 02 19621 Verizon CS 92343V104 2902 78865 SH Defined 02 61721 17144 Wal Mart Stores Inc CS 931142103 2374 45745 SH Defined 02 35680 10065 Wells Fargo & Co CS 949746101 2017 83639 SH Defined 02 65588 18051 Willis Group Hldgs Ltd CS g96666105 206 5985 SH Defined 02 5635 350 WMS Inds Inc CS 929297109 400 22720 SH Defined 02 22720 WW Grainger Inc CS 384802104 1223 8180 SH Defined 02 6720 1460 Zions Bancorporation CS 989701107 144 10245 SH Defined 02 9630 615 Toyota Motor Corp AD 892331307 2339 34267 SH Defined 02 26670 7597 Calamos Conv & High Income Fd EF 12811P108 361 32555.0000 SH Defined 02 32555.0000 Cohen & Steers Reit & Pfd Incm EF 19247X100 898 69795.0000 SH Defined 02 69795.0000 iShares S&P Natl AMT-Free Muni EF 464288414 1634 15325.0000 SH Defined 02 11275.0000 4050.0000 LMP Corp Loan Fund Inc EF 50208B100 4495 420459.0000 SH Defined 02 349890.0000 70569.0000 Proshares Tr Pshs Shrt S&P500 EF 74347R503 3364 72970.0000 SH Defined 02 72970.0000 Proshares Tr Pshs Shtruss2000 EF 74347R826 7109 198400.0000 SH Defined 02 198400.0000 SPDR S&P 500 ETF Tr Tr Unit EF 78462F103 254 2247.7973 SH Sole 2247.7973 Tortoise Energy Capital Corp EF 89147U100 1810 77370.0000 SH Defined 02 58260.0000 19110.0000