0000846797-12-000004.txt : 20121109 0000846797-12-000004.hdr.sgml : 20121109 20121109133528 ACCESSION NUMBER: 0000846797-12-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121109 DATE AS OF CHANGE: 20121109 EFFECTIVENESS DATE: 20121109 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DEAN INVESTMENT ASSOCIATES, LLC 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: 121192820 BUSINESS ADDRESS: STREET 1: 3500 PENTAGON BLVD, SUITE 200 CITY: BEAVERCREEK STATE: OH ZIP: 45431 BUSINESS PHONE: 8003273656 MAIL ADDRESS: STREET 1: 3500 PENTAGON BLVD, SUITE 200 CITY: BEAVERCREEK STATE: OH ZIP: 45431 FORMER COMPANY: FORMER CONFORMED NAME: DEAN C H & ASSOCIATES INC DATE OF NAME CHANGE: 19990319 13F-HR 1 frm13f093012.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, 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: 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: November 9, 2012 Debra E. Rindler Beavercreek, OH November 9, 2012 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: 215 Form 13F Information Table Value Total: 287178 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M Co CS 88579Y101 1176 12727.13 SH Defined 02 9177.13 3550.00 Advance Auto Parts Inc CS 00751Y106 268 3922.00 SH Defined 02 3707.00 215.00 Aflac Inc CS 001055102 4774 99705.01 SH Defined 02 82880.01 16825.00 AGL Resources Inc CS 001204106 275 6728.00 SH Defined 02 6358.00 370.00 Air Prods & Chems Inc Com CS 009158106 220 2662.00 SH Defined 02 2242.00 420.00 Albemarle Corp CS 012653101 298 5656.00 SH Defined 02 5347.00 309.00 Allegheny Technologies Inc Com CS 01741R102 217 6818.00 SH Defined 02 6444.00 374.00 Alliant Energy Corp CS 018802108 213 4909.10 SH Defined 02 4114.10 795.00 Altria Group Inc CS 02209S103 230 6898.63 SH Defined 02 5783.63 1115.00 American Equity Investment Lif CS 025676206 1223 105198.00 SH Defined 02 105198.00 Ameriprise Finl Inc CS 03076C106 278 4906.00 SH Defined 02 4641.00 265.00 Amtrust Financial Services CS 032359309 902 35191.00 SH Defined 02 35191.00 Andersons Inc CS 034164103 754 20020.00 SH Defined 02 20020.00 Anixter Intl Inc CS 035290105 948 16490.00 SH Defined 02 16490.00 Apache Corp CS 037411105 3703 42820.04 SH Defined 02 36164.04 6656.00 Arrow Electrs Inc CS 042735100 345 10226.00 SH Defined 02 9666.00 560.00 Assured Guaranty Ltd CS G0585R106 303 22257.00 SH Defined 02 22257.00 Atwood Oceanics Inc CS 050095108 302 6635.00 SH Defined 02 6635.00 Autoliv Inc CS 052800109 2321 37458.21 SH Defined 02 33643.21 3815.00 Avista Corp CS 05379B107 208 8064.84 SH Defined 02 6769.84 1295.00 Baker Hughes Inc CS 057224107 4778 105633.79 SH Defined 02 90440.10 15193.69 Bank of NY Mellon CS 064058100 3726 164736.41 SH Defined 02 136906.41 27830.00 Barnes Group Inc CS 067806109 640 25575.00 SH Defined 02 25575.00 BBCN Bancorp Inc CS 073295107 673 53383.00 SH Defined 02 53383.00 BCE Inc CS 05534B760 216 4913.75 SH Defined 02 4118.75 795.00 Belden Inc Com CS 077454106 337 9125.00 SH Defined 02 9125.00 Berkshire Hathaway Inc Cl B CS 084670702 1285 14572.00 SH Defined 02 10522.00 4050.00 Berry Pete Co CS 085789105 771 18978.00 SH Defined 02 18978.00 Best Buy Inc CS 086516101 1965 114258.31 SH Defined 02 96748.31 17510.00 Biomed Realty Trust Inc CS 09063H107 258 13769.00 SH Defined 02 13014.00 755.00 Blackrock Inc CS 09247X101 3724 20887.69 SH Defined 02 17537.69 3350.00 Body Central Corp CS 09689U102 346 33130.00 SH Defined 02 33130.00 Brinks Co CS 109696104 289 11265.00 SH Defined 02 11265.00 Bryn Mawr Bank Corp CS 117665109 921 41061.00 SH Defined 02 41061.00 C&J Energy Services Inc CS 12467B304 600 30150.00 SH Defined 02 30150.00 CACI Intl Inc CS 127190304 3770 72801.00 SH Defined 02 67826.00 4975.00 Carbo Ceramics Inc CS 140781105 278 4425.00 SH Defined 02 4425.00 Cash Amer Intl Inc Com CS 14754D100 291 7555.00 SH Defined 02 7555.00 Chatham Lodging Trust CS 16208T102 593 42745.00 SH Defined 02 42745.00 Chevron Corp CS 166764100 4926 42263.86 SH Defined 02 36141.86 6122.00 Cisco Sys Inc CS 17275R102 4213 220651.35 SH Defined 02 185391.35 35260.00 Cloud Peak Energy Inc CS 18911Q102 1189 65667.00 SH Defined 02 65667.00 Coinstar Inc Com CS 19259P300 525 11680.00 SH Defined 02 11680.00 Commerce Bancshares Inc CS 200525103 203 5042.00 SH Defined 02 4766.00 276.00 Commercial Metals Co CS 201723103 3004 227595.08 SH Defined 02 211840.08 15755.00 Community Bank System CS 203607106 200 7102.80 SH Defined 02 5957.80 1145.00 ConocoPhillips CS 20825C104 1719 30061.32 SH Defined 02 22421.32 7640.00 Contango Oil & Gas Co CS 21075N204 1011 20568.00 SH Defined 02 20568.00 CR Bard CS 067383109 408 3897.00 SH Defined 02 3682.00 215.00 Crane Co CS 224399105 3660 91655.00 SH Defined 02 85530.00 6125.00 CSX Corp CS 126408103 234 11290.00 SH Defined 02 10665.00 625.00 Curtiss Wright Corp CS 231561101 723 22112.00 SH Defined 02 22112.00 CVS Caremark Corp CS 126650100 4513 93199.14 SH Defined 02 78364.14 14835.00 Dana Holding Corp CS 235825205 1007 81841.00 SH Defined 02 81841.00 Darden Restaurants Inc CS 237194105 578 10376.36 SH Defined 02 9421.36 955.00 Datalink Corp CS 237934104 1131 136554.00 SH Defined 02 136554.00 Devon Energy Corp CS 25179M103 3842 63501.18 SH Defined 02 53070.09 10431.10 Digital Rlty Trust Inc CS 253868103 3261 46691.17 SH Defined 02 42111.17 4580.00 Discover Finl Svcs CS 254709108 313 7879.00 SH Defined 02 7449.00 430.00 Dover Corp CS 260003108 1473 24758.44 SH Defined 02 17848.09 6910.36 Dow Chem Co CS 260543103 220 7598.75 SH Defined 02 6393.75 1205.00 Dr Pepper Snapple Group Inc CS 26138E109 272 6107.00 SH Defined 02 5777.00 330.00 Duff & Phelps Corp-Class A CS 26433B107 298 21890.00 SH Defined 02 21890.00 Duke Energy Corp CS 26441c204 211 3250.82 SH Defined 02 2730.82 520.00 Dynamic Matls Corp CS 267888105 968 64440.00 SH Defined 02 64440.00 Eaton Corp CS 278058102 517 10935.89 SH Defined 02 9784.89 1151.00 Eli Lilly & Co CS 532457108 235 4950.30 SH Defined 02 4155.30 795.00 EMCOR Group Inc CS 29084Q100 567 19878.00 SH Defined 02 19878.00 Emerson Elec Co CS 291011104 1325 27453.89 SH Defined 02 20417.89 7036.00 Energizer Hldgs Inc Com CS 29266R108 307 4109.00 SH Defined 02 3884.00 225.00 Enstar Group Ltd CS G3075P101 580 5820.00 SH Defined 02 5820.00 Exco Resources Inc CS 269279402 375 46805.00 SH Defined 02 46805.00 Exxon Mobil Corp CS 30231G102 4748 51915.21 SH Defined 02 43984.21 7931.00 Ezcorp Inc Cl A Non Vtg CS 302301106 859 37460.00 SH Defined 02 37460.00 Fedex Corp Com CS 31428X106 3509 41465.00 SH Defined 02 34960.00 6505.00 Fifth Street Finance Corp CS 31678A103 237 21541.98 SH Defined 02 18091.98 3450.00 First Finl Bancorp CS 320209109 220 13026.16 SH Defined 02 10941.16 2085.00 Flowserve Corp CS 34354P105 308 2414.00 SH Defined 02 2282.00 132.00 Fluor Corp New Com CS 343412102 273 4844.00 SH Defined 02 4577.00 267.00 FMC Corp CS 302491303 295 5329.00 SH Defined 02 5039.00 290.00 Foster Wheeler CS H27178104 635 26498.00 SH Defined 02 26498.00 Freeport-McMoRan Copper & Gold CS 35671D857 3400 85892.27 SH Defined 02 71767.27 14125.00 Gardner Denver Inc Com CS 365558105 3279 54274.00 SH Defined 02 50269.00 4005.00 General Cable Corp CS 369300108 2386 81199.00 SH Defined 02 73263.00 7936.00 General Electric Co CS 369604103 5282 232566.40 SH Defined 02 195306.40 37260.00 Greenlight Capital Re Ltd CS G4095J109 867 35015.00 SH Defined 02 35015.00 Greif Inc-Cl B CS 397624206 201 4069.23 SH Defined 02 3424.23 645.00 Greif Inc Cl A CS 397624107 2535 57376.00 SH Defined 02 51891.00 5485.00 Halliburton Co CS 406216101 4232 125614.12 SH Defined 02 104644.12 20970.00 Health Net Inc Com CS 42222G108 562 24950.00 SH Defined 02 24950.00 Healthsouth Corp CS 421924309 2819 117164.00 SH Defined 02 106359.00 10805.00 Helen Of Troy Ltd CS G4388N106 1278 40138.00 SH Defined 02 40138.00 Hewlett Packard Co CS 428236103 2130 124874.10 SH Defined 02 101829.10 23045.00 Hill Rom Hldgs Inc CS 431475102 312 10750.00 SH Defined 02 10750.00 Hologic Inc CS 436440101 313 15500.00 SH Defined 02 14645.00 855.00 Horizon Bancorp Indiana CS 440407104 1332 46615.00 SH Defined 02 46615.00 Hospitality Properties Trust CS 44106M102 982 41278.00 SH Defined 02 41278.00 Host Hotels & Resorts CS 44107P104 289 17985.00 SH Defined 02 16997.00 988.00 Illinois Tool Wks Inc CS 452308109 1242 20885.13 SH Defined 02 14970.13 5915.00 Ingersoll-Rand CS G47791101 274 6107.00 SH Defined 02 5772.00 335.00 Ingredion Inc CS 457187102 363 6575.00 SH Defined 02 6213.00 362.00 Intel Corp CS 458140100 3869 170770.53 SH Defined 02 141665.53 29105.00 Interpublic Group Cos CS 460690100 321 28860.00 SH Defined 02 27280.00 1580.00 Invesco Ltd CS G491BT108 384 15353.00 SH Defined 02 14508.00 845.00 Investors Bancorp Inc Com CS 46146P102 960 52625.00 SH Defined 02 52625.00 Investors Title Co CS 461804106 637 9765.00 SH Defined 02 9765.00 JM Smucker Co CS 832696405 288 3336.00 SH Defined 02 3156.00 180.00 John Bean Technologies CS 477839104 665 40705.00 SH Defined 02 40705.00 Johnson & Johnson CS 478160104 4465 64800.22 SH Defined 02 54886.22 9914.00 Johnson Ctls Inc Com CS 478366107 1519 55444.00 SH Defined 02 39789.00 15655.00 JPMorgan Chase & Co CS 46625H100 5350 132154.83 SH Defined 02 110876.23 21278.59 Kennametal Inc Com CS 489170100 1246 33605.00 SH Defined 02 33605.00 Keycorp CS 493267108 318 36440.00 SH Defined 02 34445.00 1995.00 Kimberly Clark Corp CS 494368103 258 3013.15 SH Defined 02 2543.15 470.00 KKR Financial Holdings Llc CS 48248A306 1314 130775.00 SH Defined 02 130775.00 KMG Chemicals Inc CS 482564101 623 33695.00 SH Defined 02 33695.00 Kohls Corp Com CS 500255104 312 6087.00 SH Defined 02 5752.00 335.00 Koppers Holdings Inc CS 50060P106 1041 29790.00 SH Defined 02 29790.00 Leggett & Platt Inc CS 524660107 253 10102.97 SH Defined 02 8487.97 1615.00 Linear Technology Corp CS 535678106 307 9640.00 SH Defined 02 9110.00 530.00 Lockheed Martin Corp CS 539830109 285 3051.23 SH Defined 02 2561.23 490.00 M&T Bank Corp CS 55261F104 281 2958.00 SH Defined 02 2798.00 160.00 Macys Inc CS 55616P104 327 8701.00 SH Defined 02 8226.00 475.00 Magellan Health Svcs Inc CS 559079207 1064 20612.00 SH Defined 02 20612.00 Manpowergroup CS 56418H100 2305 62648.00 SH Defined 02 56218.00 6430.00 McDonalds Corp CS 580135101 1555 16948.31 SH Defined 02 12513.31 4435.00 Meadwestvaco Corp CS 583334107 313 10236.00 SH Defined 02 9676.00 560.00 Mednax Inc CS 58502B106 292 3927.00 SH Defined 02 3712.00 215.00 Medtronic Inc CS 585055106 4292 99532.27 SH Defined 02 84699.27 14833.00 Merck & Co Inc CS 58933Y105 249 5532.17 SH Defined 02 4642.17 890.00 Metlife Inc CS 59156R108 4097 118889.07 SH Defined 02 101472.00 17417.07 Microsoft Corp CS 594918104 3939 132372.94 SH Defined 02 112012.27 20360.67 Molex Inc CS 608554101 336 12800.00 SH Defined 02 12100.00 700.00 Mosaic Co CS 61945c103 1094 18982.38 SH Defined 02 13772.07 5210.31 MTS Systems Corp CS 553777103 1312 24495.00 SH Defined 02 24495.00 Murphy Oil Corp CS 626717102 3820 71147.13 SH Defined 02 60334.12 10813.01 National Fuel Gas Co CS 636180101 341 6314.00 SH Defined 02 5969.00 345.00 New York Cmnty Bancorp Inc CS 649445103 259 18270.72 SH Defined 02 15350.72 2920.00 Newfield Expl Co CS 651290108 1773 56622.00 SH Defined 02 50832.00 5790.00 Noble Energy Inc CS 655044105 421 4538.00 SH Defined 02 4288.00 250.00 Nucor Corp CS 670346105 952 24889.28 SH Defined 02 17844.28 7045.00 Oshkosh Corp CS 688239201 614 22392.00 SH Defined 02 22392.00 Parker Hannifin Corp CS 701094104 3556 42548.00 SH Defined 02 38378.00 4170.00 Paychex Inc CS 704326107 231 6950.97 SH Defined 02 5835.97 1115.00 PepsiCo Inc CS 713448108 4049 57218.15 SH Defined 02 48383.15 8835.00 Pfizer Inc CS 717081103 267 10733.05 SH Defined 02 9118.05 1615.00 Philip Morris Intl Inc CS 718172109 265 2941.04 SH Defined 02 2471.04 470.00 Pioneer Nat Res Co CS 723787107 286 2741.00 SH Defined 02 2591.00 150.00 PNC Finl Svcs Group Inc CS 693475105 3350 53090.13 SH Defined 02 44785.13 8305.00 Primerica Inc CS 74164M108 965 33682.00 SH Defined 02 33682.00 Procter & Gamble Co CS 742718109 204 2941.04 SH Defined 02 2471.04 470.00 PVH Corporation CS 693656100 279 2978.00 SH Defined 02 2818.00 160.00 QEP Res Inc Com CS 74733V100 299 9443.00 SH Defined 02 8923.00 520.00 Realty Income Corp CS 756109104 218 5333.89 SH Defined 02 4478.89 855.00 Reinsurance Group Of America CS 759351604 354 6112.00 SH Defined 02 5777.00 335.00 Reynolds American Inc CS 761713106 231 5318.99 SH Defined 02 4463.99 855.00 RR Donnelley & Sons CS 257867101 159 14961.79 SH Defined 02 12566.79 2395.00 Ryder Sys Inc Com CS 783549108 871 22305.00 SH Defined 02 22305.00 Schnitzer Steel Industries CS 806882106 2349 83437.00 SH Defined 02 75017.00 8420.00 Sinclair Broadcast Group Inc CS 829226109 1719 153376.00 SH Defined 02 137711.00 15665.00 Snap On Inc CS 833034101 268 3735.00 SH Defined 02 3530.00 205.00 Southern Co CS 842587107 212 4600.05 SH Defined 02 3865.05 735.00 Spectrum Brands Holdings Inc CS 84763R101 1000 25005.00 SH Defined 02 25005.00 SPX Corp CS 784635104 309 4719.00 SH Defined 02 4459.00 260.00 Stancorp Finl Group Inc CS 852891100 1064 34063.00 SH Defined 02 34063.00 Staples Inc CS 855030102 2140 185783.00 SH Defined 02 167972.00 17811.00 State Street CS 857477103 4081 97267.22 SH Defined 02 81682.22 15585.00 Steiner Leisure Ltd Ord CS P8744Y102 578 12415.00 SH Defined 02 12415.00 Stepan Co CS 858586100 909 9460.00 SH Defined 02 9460.00 Stryker Corp CS 863667101 3210 57668.99 SH Defined 02 48418.08 9250.91 Synopsys Inc CS 871607107 357 10826.00 SH Defined 02 10231.00 595.00 Sysco Corp CS 871829107 3601 115158.76 SH Defined 02 96481.76 18677.00 TAL International Group Inc CS 874083108 1067 31406.30 SH Defined 02 30381.30 1025.00 Tech Data Corp CS 878237106 968 21393.00 SH Defined 02 21393.00 Tempur Pedic Intl Inc CS 88023U101 269 9010.00 SH Defined 02 9010.00 Tenneco Inc CS 880349105 3498 124945.00 SH Defined 02 116510.00 8435.00 Titanium Metals Corp CS 888339207 314 24495.00 SH Defined 02 24495.00 Torchmark Corp CS 891027104 3059 59578.00 SH Defined 02 53814.00 5764.00 Towers Watson & Co CS 891894107 229 4310.00 SH Defined 02 4075.00 235.00 Trinity Inds Inc CS 896522109 881 29395.00 SH Defined 02 29395.00 Triumph Group Inc CS 896818101 1097 17553.00 SH Defined 02 17553.00 Tupperware Brands Corp Com CS 899896104 701 13090.00 SH Defined 02 13090.00 United Stationers Inc Com CS 913004107 961 36860.00 SH Defined 02 36860.00 UnitedHealth Group Inc CS 91324P102 1204 21725.57 SH Defined 02 15597.11 6128.46 Unum Group CS 91529Y106 280 14551.00 SH Defined 02 13751.00 800.00 URS Corp New Com CS 903236107 1206 34145.00 SH Defined 02 34145.00 US Bancorp CS 902973304 4085 119100.45 SH Defined 02 101596.19 17504.27 US Silica Holdings Inc CS 90346E103 1160 85510.00 SH Defined 02 85510.00 Valassis Commns Inc CS 918866104 664 26887.00 SH Defined 02 26887.00 Valley National Bancorp CS 919794107 224 22320.43 SH Defined 02 18760.43 3560.00 Verizon CS 92343V104 226 4952.51 SH Defined 02 4157.51 795.00 Viacom Inc-Class B CS 92553P201 1229 22930.00 SH Defined 02 16520.00 6410.00 Vishay Intertechnology Inc CS 928298108 925 94106.00 SH Defined 02 94106.00 Wabash National Corp CS 929566107 634 88945.00 SH Defined 02 88945.00 Wal Mart Stores Inc CS 931142103 4031 54618.12 SH Defined 02 45793.12 8825.00 Warnaco Group Inc CS 934390402 647 12470.00 SH Defined 02 12470.00 WellPoint Inc CS 94973V107 963 16607.09 SH Defined 02 12002.09 4605.00 Wells Fargo & Co CS 949746101 3556 102991.27 SH Defined 02 87061.27 15930.00 Westar Energy Inc CS 95709T100 206 6951.35 SH Defined 02 5836.35 1115.00 Whirlpool Corp CS 963320106 291 3506.00 SH Defined 02 3312.00 194.00 Willis Group Hldgs Ltd CS g96666105 312 8439.00 SH Defined 02 7974.00 465.00 Wilshire Bancorp Inc CS 97186T108 718 114019.00 SH Defined 02 114019.00 World Accep Corp Del CS 981419104 323 4795.00 SH Defined 02 4795.00 WR Berkley Corp CS 084423102 243 6485.00 SH Defined 02 6135.00 350.00 Zimmer Hldgs Inc CS 98956P102 279 4124.00 SH Defined 02 3899.00 225.00 Zions Bancorporation CS 989701107 323 15635.00 SH Defined 02 14770.00 865.00 Arcelormittal Sa Luxembourg Ny AD 03938l104 817 56558 SH Defined 02 40890 15668 Calamos Conv & High Income Fd EF 12811P108 981 77490.0000 SH Defined 02 77490.0000 Cohen & Steers Reit & Pfd Incm EF 19247X100 1244 71510.0000 SH Defined 02 71510.0000 iShares S&P Natl AMT-Free Muni EF 464288414 1825 16297.0000 SH Defined 02 12717.0000 3580.0000 LMP Corp Loan Fund Inc EF 50208B100 8063 601292.5110 SH Defined 02 518586.5110 82706.0000 ProShares Russell 2000 EF 74347R826 3682 147400.0000 SH Defined 02 147400.0000 Proshares Tr Pshs Shrt S&P500 EF 74347R503 2357 69170.0000 SH Defined 02 69170.0000 SPDR S&P 500 ETF Tr Tr Unit EF 78462F103 330 2293.7353 SH Sole 2293.7353 Tortoise Energy Capital Corp EF 89147U100 6081 216250.4671 SH Defined 02 180928.6927 35321.7744