0000909012-11-000572.txt : 20111114 0000909012-11-000572.hdr.sgml : 20111111 20111114132943 ACCESSION NUMBER: 0000909012-11-000572 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: Aston Asset Management, LP CENTRAL INDEX KEY: 0001386714 IRS NUMBER: 204747475 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12347 FILM NUMBER: 111200441 BUSINESS ADDRESS: STREET 1: 120 NORTH LASALLE STREET STREET 2: 25TH FLOOR CITY: CHICAGO STATE: IL ZIP: 60602 BUSINESS PHONE: 312-268-1400 MAIL ADDRESS: STREET 1: 120 NORTH LASALLE STREET STREET 2: 25TH FLOOR CITY: CHICAGO STATE: IL ZIP: 60602 FORMER COMPANY: FORMER CONFORMED NAME: Aston Asset Management LLC DATE OF NAME CHANGE: 20070116 13F-HR 1 t306556.txt ASTON 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: Aston Asset Management, LP Address: 120 North LaSalle Street, 25th Floor Chicago, IL 60602 Form 13F File Number: 28-12347 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: Marc Peirce Title: Assistant Chief Compliance Officer Phone: 312-268-1400 Signature, Place, and Date of Signing: Marc Peirce Chicago, IL NOVEMBER 14, 2011 -------------------------- ------------------- ------------------ [Signature] [City, State] [Date] Report Type (Check only one.): [ ] 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).) [X] 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).) List of Other Managers Reporting for this Manager: 28-04171 Todd-Veredus Asset Management,LLC 28-11487 River Road Asset Management, LLC 28-14514 Fairpointe Capital LLC 28-11408 Cornerstone Investment Partners, LLC 28-00288 Montag & Caldwell, LLC 28-10212 TAMRO Capital Partners, LLC 28-11315 Herndon Capital Management, LLC 28-07760 Cardinal Capital Management, LLC 28-04544 Baring Asset Management Limited 28-04057 MD Sass Investor Services, Inc. 28-14089 Crosswind Investments, LLC FORM 13F SUMMARY PAGE Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 165 Form 13F Information Table Value Total: 284,327 List of Other Included Managers: -------------------------------- Provide a numbered list of the name(s) and 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. 13F File Number Name -------- --------------- ---------- 1 28-04975 Affiliated Managers Group, Inc.

CUSIP VALUE SH/PRN SH/ PUT/ INVSMNT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS NUMBER (X1000) AMT PRN CALL DSCRETN MGRS SOLE SHARED NONE 3M CO COM 88579Y101 1,353 18,843 SH SOLE 1 18,843 ABM INDS INC COM 000957100 885 46,413 SH SOLE 1 46,413 AKAMAI TECHNOLOGIES INC COM 00971T101 1,512 76,055 SH SOLE 1 76,055 APARTMENT INVT & MGMT CO CL A 03748R101 1,325 59,900 SH DEFINED 1 59,900 APOLLO INVT CORP COM 03761U106 562 72,163 SH SOLE 1 72,163 ASTRAZENECA PLC SPONSORED ADR 046353108 2,017 45,478 SH SOLE 1 45,478 ATLANTIC TELE NETWORK INC COM NEW 049079205 886 26,959 SH SOLE 1 26,959 AUTOMATIC DATA PROCESSING IN COM 053015103 4,030 84,827 SH SOLE 1 84,827 AVALONBAY CMNTYS INC COM 053484101 2,115 18,541 SH DEFINED 1 18,541 AVISTA CORP COM 05379B107 2,189 91,801 SH SOLE 1 91,801 BANK HAWAII CORP COM 062540109 717 19,693 SH SOLE 1 19,693 BECTON DICKINSON & CO COM 075887109 1,512 20,625 SH SOLE 1 20,625 BELO CORP COM SER A 080555105 712 145,616 SH SOLE 1 145,616 BEMIS INC COM 081437105 1,549 52,844 SH SOLE 1 52,844 BIOMED REALTY TRUST INC COM 09063H107 835 50,400 SH DEFINED 1 50,400 BLACKROCK INC COM 09247X101 1,215 8,208 SH SOLE 1 8,208 BLOCK H & R INC COM 093671105 2,325 172,841 SH SOLE 1 172,841 BOB EVANS FARMS INC COM 096761101 1,712 60,025 SH SOLE 1 60,025 BORGWARNER INC COM 099724106 1,026 16,943 SH SOLE 1 16,943 BOSTON SCIENTIFIC CORP COM 101137107 2,229 377,082 SH SOLE 1 377,082 BREITBURN ENERGY PARTNERS LP COM UT LTD PTN 106776107 3,294 189,288 SH SOLE 1 189,288 BUNGE LIMITED COM G16962105 864 14,814 SH SOLE 1 14,814 CA INC COM 12673P105 819 42,190 SH SOLE 1 42,190 CBL & ASSOC PPTYS INC COM 124830100 1,101 96,949 SH DEFINED 1 96,949 CGG VERITAS SPONSORED ADR 204386106 489 27,735 SH SOLE 1 27,735 CHARLES RIV LABS INTL INC COM 159864107 1,231 43,021 SH SOLE 1 43,021 CHEVRON CORP NEW COM 166764100 3,209 34,663 SH SOLE 1 34,663 CHICAGO BRIDGE & IRON CO N V N Y REGISTRY SH 167250109 1,153 40,288 SH SOLE 1 40,288 CHUBB CORP COM 171232101 3,274 54,231 SH SOLE 1 54,231 CINCINNATI FINL CORP COM 172062101 2,889 108,100 SH SOLE 1 108,100 COMMERCE BANCSHARES INC COM 200525103 1,390 40,014 SH SOLE 1 40,014 COMPANIA CERVECERIAS UNIDAS SPONSORED ADR 204429104 2,136 41,350 SH SOLE 1 41,350 COMPASS DIVERSIFIED HOLDINGS SH BEN INT 20451Q104 1,002 82,271 SH SOLE 1 82,271 CONOCOPHILLIPS COM 20825C104 2,315 36,555 SH SOLE 1 36,555 CON-WAY INC COM 205944101 881 39,814 SH SOLE 1 39,814 CRACKER BARREL OLD CTRY STOR COM 22410J106 1,163 29,046 SH SOLE 1 29,046 CROWN CASTLE INTL CORP COM 228227104 854 21,000 SH DEFINED 1 21,000 CULLEN FROST BANKERS INC COM 229899109 1,597 34,827 SH SOLE 1 34,827 DARDEN RESTAURANTS INC COM 237194105 1,605 37,534 SH SOLE 1 37,534 DDR CORP COM 23317H102 991 90,901 SH DEFINED 1 90,901 DENBURY RES INC COM 247916208 436 37,898 SH SOLE 1 37,898 DIAGEO P L C SPON ADR 25243Q205 1,619 21,319 SH SOLE 1 21,319 DIGITAL RLTY TR INC COM 253868103 1,718 31,150 SH DEFINED 1 31,150 DUKE ENERGY CORP NEW COM 26441C105 3,322 166,179 SH SOLE 1 166,179 DUPONT FABROS TECHNOLOGY INC COM 26613Q106 923 46,862 SH DEFINED 1 46,862 EASTGROUP PPTY INC COM 277276101 589 15,443 SH DEFINED 1 15,443 EATON VANCE CORP COM NON VTG 278265103 1,097 49,268 SH SOLE 1 49,268 ENTERGY CORP NEW COM 29364G103 1,690 25,488 SH SOLE 1 25,488 ENTERTAINMENT PPTYS TR COM SH BEN INT 29380T105 1,032 26,474 SH DEFINED 1 26,474 F M C CORP COM NEW COM 302491303 891 12,852 SH SOLE 1 12,852 FACTSET RESH SYS INC COM 303075105 603 6,780 SH SOLE 1 6,780 FIRST NIAGARA FINL GP INC COM 33582V108 1,107 120,996 SH SOLE 1 120,996 FMC TECHNOLOGIES INC COM 30249U101 1,229 32,687 SH SOLE 1 32,687 FOREST LABS INC COM 345838106 1,367 44,393 SH SOLE 1 44,393 GANNETT INC COM 364730101 1,310 136,441 SH SOLE 1 136,441 GENERAL DYNAMICS CORP COM 369550108 1,332 23,405 SH SOLE 1 23,405 GENERAL MLS INC COM 370334104 4,418 114,774 SH SOLE 1 114,774 GENUINE PARTS CO COM 372460105 3,592 70,104 SH SOLE 1 70,104 GRUPO AEROPORTUARIO DEL SURE SPON ADR SER B 40051E202 718 14,441 SH SOLE 1 14,441 HARRIS CORP DEL COM 413875105 1,039 30,409 SH SOLE 1 30,409 HEALTH CARE REIT INC COM 42217K106 2,328 49,753 SH DEFINED 1 49,753 HEALTHCARE RLTY TR COM 421946104 960 56,955 SH DEFINED 1 56,955 HILLENBRAND INC COM 431571108 2,250 122,281 SH SOLE 1 122,281 INLAND REAL ESTATE CORP COM 457461200 590 80,884 SH DEFINED 1 80,884 INTEL CORP COM 458140100 4,230 198,266 SH SOLE 1 198,266 INTERPUBLIC GROUP COS INC COM 460690100 1,099 152,699 SH SOLE 1 152,699 IRON MTN INC COM 462846106 2,074 65,078 SH SOLE 1 65,078 ISHARES INC MSCI AUSTRALIA 464286103 1,347 67,130 SH DEFINED 1 67,130 ISHARES INC MSCI BRAZIL 464286400 1,337 25,683 SH DEFINED 1 25,683 ISHARES INC MSCI SINGAPORE 464286673 900 81,858 SH DEFINED 1 81,858 ISHARES TR IBOXX INV CPBD 464287242 1,851 16,476 SH DEFINED 1 16,476 ISHARES TR S&P LTN AM 40 464287390 898 23,103 SH DEFINED 1 23,103 ISHARES TR BARCLYS 1-3 YR 464287457 22,020 260,374 SH DEFINED 1 260,374 ISHARES TR DJ US TELECOMM 464287713 929 45,554 SH DEFINED 1 45,554 ITRON INC COM 465741106 1,190 40,331 SH SOLE 1 40,331 JABIL CIRCUIT INC COM 466313103 1,018 57,248 SH SOLE 1 57,248 JOHNSON & JOHNSON COM 478160104 2,802 43,996 SH SOLE 1 43,996 KIMBERLY CLARK CORP COM 494368103 3,922 54,700 SH SOLE 1 54,700 KIMCO RLTY CORP COM 49446R109 1,583 105,305 SH DEFINED 1 105,305 LANDAUER INC COM 51476K103 1,267 25,370 SH SOLE 1 25,370 LEXMARK INTL NEW CL A 529771107 1,446 53,510 SH SOLE 1 53,510 LIBERTY PPTY TR SH BEN INT 531172104 906 31,115 SH DEFINED 1 31,115 LINCARE HLDGS INC COM 532791100 695 30,904 SH SOLE 1 30,904 LOCKHEED MARTIN CORP COM 539830109 1,712 23,571 SH SOLE 1 23,571 MANPOWERGROUP INC COM 56418H100 708 21,055 SH SOLE 1 21,055 MATTEL INC COM 577081102 1,112 42,946 SH SOLE 1 42,946 MCCORMICK & CO INC COM NON VTG 579780206 1,785 38,664 SH SOLE 1 38,664 MCDONALDS CORP COM 580135101 2,629 29,935 SH SOLE 1 29,935 MCGRAW HILL COS INC COM 580645109 1,793 43,743 SH SOLE 1 43,743 MEDICAL PPTYS TRUST INC COM 58463J304 1,312 146,548 SH DEFINED 1 146,548 MEDTRONIC INC COM 585055106 1,386 41,695 SH SOLE 1 41,695 MENTOR GRAPHICS CORP COM 587200106 471 48,969 SH SOLE 1 48,969 MICROSOFT CORP COM 594918104 1,656 66,530 SH SOLE 1 66,530 MID-AMER APT CMNTYS INC COM 59522J103 1,216 20,200 SH DEFINED 1 20,200 MOLEX INC COM 608554101 1,427 69,379 SH SOLE 1 69,379 MOLSON COORS BREWING CO CL B 60871R209 1,320 33,315 SH SOLE 1 33,315 NATIONAL CINEMEDIA INC COM 635309107 926 63,812 SH SOLE 1 63,812 NEW YORK TIMES CO CL A 650111107 1,475 253,957 SH SOLE 1 253,957 NORDIC AMERICAN TANKERS LIMI COM G65773106 1,289 91,423 SH SOLE 1 91,423 NORFOLK SOUTHERN CORP COM 655844108 3,637 59,609 SH SOLE 1 59,609 NORTHERN TR CORP COM 665859104 708 20,159 SH SOLE 1 20,159 NUANCE COMMUNICATIONS INC COM 67020Y100 1,636 80,415 SH SOLE 1 80,415 NUCOR CORP COM 670346105 2,086 65,194 SH SOLE 1 65,194 ONEBEACON INSURANCE GROUP LT CL A G67742109 1,308 95,897 SH SOLE 1 95,897 OWENS & MINOR INC NEW COM 690732102 1,781 62,530 SH SOLE 1 62,530 PARTNERRE LTD COM G6852T105 1,598 30,581 SH SOLE 1 30,581 PAYCHEX INC COM 704326107 836 31,717 SH SOLE 1 31,717 PEARSON PLC SPONSORED ADR 705015105 562 32,103 SH SOLE 1 32,103 PENNSYLVANIA RL ESTATE INVT SH BEN INT 709102107 444 57,484 SH DEFINED 1 57,484 PEPSICO INC COM 713448108 3,810 61,555 SH SOLE 1 61,555 PERKINELMER INC COM 714046109 493 25,667 SH SOLE 1 25,667 PETSMART INC COM 716768106 878 20,596 SH SOLE 1 20,596 PFIZER INC COM 717081103 2,299 130,050 SH SOLE 1 130,050 PLUM CREEK TIMBER CO INC COM 729251108 1,177 33,923 SH DEFINED 1 33,923 PNC FINL SVCS GROUP INC COM 693475105 1,221 25,335 SH SOLE 1 25,335 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 1,092 20,796 SH DEFINED 1 20,796 POWERSHS DB MULTI SECT COMM DB AGRICULT FD 73936B408 930 31,363 SH DEFINED 1 31,363 POWERSHS DB US DOLLAR INDEX DOLL INDX BULL 73936D107 983 44,040 SH DEFINED 1 44,040 PROCTER & GAMBLE CO COM 742718109 2,437 38,577 SH SOLE 1 38,577 PROSHARES TR PSHS SHTRUSS2000 74347R826 2,086 58,217 SH DEFINED 1 58,217 PROSHARES TR PSHS ULTSHT FINL 74347X146 503 5,958 SH DEFINED 1 5,958 RAYTHEON CO COM 755111507 1,885 46,116 SH SOLE 1 46,116 REGAL ENTMT GROUP CL A 758766109 1,680 143,132 SH SOLE 1 143,132 SABRA HEALTH CARE REIT INC COM 78573L106 952 99,757 SH SOLE 1 99,757 SAFETY INS GROUP INC COM 78648T100 1,613 42,628 SH SOLE 1 42,628 SARA LEE CORP COM 803111103 2,455 149,105 SH SOLE 1 149,105 SCHOLASTIC CORP COM 807066105 817 29,142 SH SOLE 1 29,142 SEADRILL LIMITED SHS G7945E105 2,229 80,977 SH SOLE 1 80,977 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 934 29,454 SH DEFINED 1 29,454 SHIP FINANCE INTERNATIONAL L SHS G81075106 1,238 95,215 SH SOLE 1 95,215 SIGMA ALDRICH CORP COM 826552101 1,318 21,334 SH SOLE 1 21,334 SIMON PPTY GROUP INC NEW COM 828806109 4,169 37,909 SH DEFINED 1 37,909 SL GREEN RLTY CORP COM 78440X101 1,110 19,084 SH DEFINED 1 19,084 SMUCKER J M CO COM 832696405 1,796 24,634 SH SOLE 1 24,634 SOUTHERN CO COM 842587107 2,353 55,539 SH SOLE 1 55,539 SOUTHWEST AIRLS CO COM 844741108 1,193 148,436 SH SOLE 1 148,436 SPDR GOLD TRUST GOLD SHS 78463V107 2,318 14,664 SH DEFINED 1 14,664 SPDR S&P 500 ETF TR TR TR UNIT 78462F103 1,075 9,502 SH DEFINED 1 9,502 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 857 6,031 SH DEFINED 1 6,031 SPDR SERIES TRUST BRCLYS 1-3MT ETF 78464A680 4,597 100,260 SH DEFINED 1 100,260 SPECTRA ENERGY CORP COM 847560109 2,550 103,956 SH SOLE 1 103,956 STAG INDL INC COM 85254J102 575 56,350 SH DEFINED 1 56,350 STRATEGIC HOTELS & RESORTS I COM 86272T106 857 198,942 SH DEFINED 1 198,942 SUN COMMUNITIES INC COM 866674104 648 18,418 SH DEFINED 1 18,418 SYSCO CORP COM 871829107 3,257 125,759 SH SOLE 1 125,759 TARGET CORP COM 87612E106 2,751 56,088 SH SOLE 1 56,088 TELECOMUNICACOES DE SAO PAUL SPON ADR PFD 87929A102 2,735 103,396 SH SOLE 1 103,396 TOWER GROUP INC COM 891777104 1,262 55,221 SH SOLE 1 55,221 UDR INC COM 902653104 1,187 53,600 SH DEFINED 1 53,600 UNISOURCE ENERGY CORP COM 909205106 2,293 63,524 SH SOLE 1 63,524 UNISYS CORP COM 909214306 1,034 65,920 SH SOLE 1 65,920 UNITED PARCEL SERVICE INC CL B 911312106 3,250 51,463 SH SOLE 1 51,463 UNITED TECHNOLOGIES CORP COM 913017109 2,021 28,730 SH SOLE 1 28,730 URS CORP NEW COM 903236107 357 12,049 SH SOLE 1 12,049 US BANCORP DEL COM COM 902973304 1,020 43,112 SH SOLE 1 43,112 VARIAN MED SYS INC COM 92220P105 949 18,202 SH SOLE 1 18,202 VERIZON COMMUNICATIONS INC COM 92343V104 2,980 80,966 SH SOLE 1 80,966 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 3,802 148,165 SH SOLE 1 148,165 VORNADO RLTY TR SH BEN INT 929042109 1,853 24,833 SH DEFINED 1 24,833 WAL MART STORES INC COM 931142103 1,959 37,748 SH SOLE 1 37,748 WASTE MGMT INC DEL COM 94106L109 3,532 108,473 SH SOLE 1 108,473 WERNER ENTERPRISES INC COM 950755108 1,162 55,648 SH SOLE 1 55,648 WYNN RESORTS LTD COM COM 983134107 1,300 11,300 SH DEFINED 1 11,300 WYNN RESORTS LTD COM COM 983134107 34 295 SH SOLE 1 295 ZEBRA TECHNOLOGIES CORP CL A 989207105 1,008 32,568 SH SOLE 1 32,568 TOTAL 284,327 NUMBER OF ENTRIES 165