-----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, TDe8H4R1KwT8X2KZSnL7S1SCHty9LyhzqjS4oJyO9IDiTq531Uf8rMsFkpxSE4db 5TU1RWef6/+EggiZGXca2w== 0001442056-09-000007.txt : 20090714 0001442056-09-000007.hdr.sgml : 20090714 20090714121605 ACCESSION NUMBER: 0001442056-09-000007 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090714 DATE AS OF CHANGE: 20090714 EFFECTIVENESS DATE: 20090714 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CONFLUENCE INVESTMENT MANAGEMENT LLC CENTRAL INDEX KEY: 0001442056 IRS NUMBER: 261764456 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13334 FILM NUMBER: 09943306 BUSINESS ADDRESS: STREET 1: 349 MARSHALL AVENUE, SUITE 302 CITY: ST. LOUIS STATE: MO ZIP: 63119 BUSINESS PHONE: 314-743-5090 MAIL ADDRESS: STREET 1: 349 MARSHALL AVENUE, SUITE 302 CITY: ST. LOUIS STATE: MO ZIP: 63119 13F-HR 1 cimformjune.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: JUNE 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: Confluence Investment Management LLC Address: 349 Marshall Avenue, Suite 302 Saint Louis, MO 63119 Form 13F File Number: 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: Joseph J. Hanzlik Title: Senior Vice President / CFO Phone: 314-743-5096 Signature, Place, and Date of Signing: /s/ Joseph J. Hanzlik Saint Louis, MO July 14, 2009 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 138 Form 13F Information Table Value Total: $322,639 (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 TITLE OF VALUE SHARES SH/ PUT/ INVSTMT VOTING AUTHTY NAME OF ISSUER CLASS CUSIP ($000) PRN AMT PRN CALL DSCRETN SOLE SHARED NONE - ---------------------------- -------- -------- -------- ------- --- ---- ------- ----- ------ ---- ARBOR RLTY TR INC COM COM 038923108 146 83600 SH SOLE 83600 0 0 APOLLO INVESTMENT CORP COM 03761U106 4604 768613 SH SOLE 768613 0 0 AFFILIATED MANAGERS GROUP COM 008252108 408 7008 SH SOLE 7008 0 0 ARES CAPITAL CORP COM 04010L103 11852 1470506 SH SOLE 1470506 0 0 AVERY DENNISON CORP COM 053611109 2120 82562 SH SOLE 82562 0 0 AMERICAN EXPRESS CO COM 025816109 3041 130831 SH SOLE 130831 0 0 BED BATH & BEYOND INC COM 075896100 3344 108735 SH SOLE 108735 0 0 BLACKROCK KELSO CAPITAL CORP COM 092533108 5842 937780 SH SOLE 937780 0 0 BERKSHIRE HATHAWAY INC CL.B COM 084670207 3371 1164 SH SOLE 1164 0 0 BROWN & BROWN INC COM 115236101 431 21615 SH SOLE 21615 0 0 PEABODY ENERGY CORP COM 704549104 4307 142811 SH SOLE 142811 0 0 CADBURY PLC COM 12721E102 4879 141826 SH SOLE 141826 0 0 Compass Diversified Holdings COM 20451Q104 832 102800 SH SOLE 102800 0 0 CALIFORNIA PIZZA KITCHEN COM 13054D109 512 38521 SH SOLE 38521 0 0 CPI CORP COM 125902106 374 21984 SH SOLE 21984 0 0 Ishares Lehman 1-3 Yr COM 464288646 1526 14807 SH SOLE 14807 0 0 CHEVRON CORP COM 166764100 4944 74624 SH SOLE 74624 0 0 CEMEX S A B DE CV SPONS COM 151290889 137 14715 SH SOLE 14715 0 0 WisdomTree Dreyfus Chinese Yua COM 97717W182 678 26693 SH SOLE 26693 0 0 Cypress Sharpridge Investments COM 23281A307 595 50000 SH SOLE 50000 0 0 CYPRESS SHARPRIDGE INV 144A COM 23281A505 192 192307 SH SOLE 192307 0 0 DIAGEO PLC COM 25243Q205 6049 105663 SH SOLE 105663 0 0 QUEST DIAGNOSTICS INC COM 74834L100 3913 69350 SH SOLE 69350 0 0 Commodity Index- iPath DJ AIG COM 06738c778 6098 164199 SH SOLE 164199 0 0 DIONEX CORPORATION COM 254546104 436 7143 SH SOLE 7143 0 0 DR PEPPER SNAPPLE COM 26138E109 332 15672 SH SOLE 15672 0 0 Emerging Markets- iShares MSCI COM 464287234 1337 41469 SH SOLE 41469 0 0 ENTERPRISE FINANCIAL SERVICES COM 293712105 236 25999 SH SOLE 25999 0 0 EMERSON ELECTRIC CO COM 291011104 5328 164439 SH SOLE 164439 0 0 AMBASSADORS GROUP INC COM 023177108 551 40037 SH SOLE 40037 0 0 ISHARE MSCI AUSTRALI COM 464286103 697 41460 SH SOLE 41460 0 0 ISHARE MSCI BRAZIL COM 464286400 647 12208 SH SOLE 12208 0 0 FINANCIAL FEDERAL CORP COM 317492106 493 23978 SH SOLE 23978 0 0 FIDELITY NATIONAL FINANCIAL IN COM 31620R105 3125 230976 SH SOLE 230976 0 0 Fifth Street Finance COM 31678A103 1574 156800 SH SOLE 156800 0 0 FORWARD AIR CORP COM 349853101 1275 59786 SH SOLE 59786 0 0 CurrencyShares Australian Doll COM 23129U101 703 8707 SH SOLE 8707 0 0 CurrencyShares British Pound S COM 23129S106 714 4341 SH SOLE 4341 0 0 CurrencyShares Canadian Dollar COM 23129X105 659 7674 SH SOLE 7674 0 0 CurrencyShares Mexican Peso Do COM 23130H107 567 7413 SH SOLE 7413 0 0 CurrencyShares Japanese Yen COM 23130a102 692 6704 SH SOLE 6704 0 0 GLADSTONE INVESTMENT CORP COM 376546107 885 183333 SH SOLE 183333 0 0 GRACO INC. COM 384109104 2627 119294 SH SOLE 119294 0 0 GRAMERCY CAP CORP COM COM 384871109 51 31900 SH SOLE 31900 0 0 GLADSTONE CAPITAL CORP COM 376535100 5199 690446 SH SOLE 690446 0 0 SPDR Gold Trust COM 78463V107 744 8155 SH SOLE 8155 0 0 GSC INVESTMENT CORP COM 362493108 116 50500 SH SOLE 50500 0 0 GLADSTONE COMMERCIAL CORP COM 376536108 412 31777 SH SOLE 31777 0 0 GLAXOSMITHKLINE PLC COM 37733W105 2324 65766 SH SOLE 65766 0 0 HOME DEPOT INC COM 437076102 2330 98606 SH SOLE 98606 0 0 HIBBETT SPORTS, INC. COM 428567101 360 20027 SH SOLE 20027 0 0 HATTERAS FINANCIAL CORP 144A COM 41902R202 100 100000 SH SOLE 100000 0 0 HERCULES TECHNOLOGY GROWTH COM 427096508 4492 534739 SH SOLE 534739 0 0 HEARTLAND EXPRESS INC COM 422347104 413 28032 SH SOLE 28032 0 0 HATTERAS FINL CORP COM COM 41902R103 1521 53195 SH SOLE 53195 0 0 High Yield Corporate Bond Fund COM 464288513 9488 119034 SH SOLE 119034 0 0 Utilities Sector- iShares DJ U COM 464287697 976 14614 SH SOLE 14614 0 0 IDEXX LABORATORIES, INC. COM 45168D104 396 8564 SH SOLE 8564 0 0 ILLINOIS TOOL WORKS INC COM 452308109 3011 80641 SH SOLE 80641 0 0 S&P 500 Value - iShares COM 464287408 609 13946 SH SOLE 13946 0 0 S&P 500 Index- iShares COM 464287200 323 3500 SH SOLE 3500 0 0 S&P 500 Growth - iShares COM 464287309 593 12421 SH SOLE 12421 0 0 Russell 2000 Value- iShares COM 464287630 620 13325 SH SOLE 13325 0 0 Russell 2000 Growth- iShares COM 464287648 655 11559 SH SOLE 11559 0 0 Telecom Sector- iShares DJ US COM 464287713 917 51557 SH SOLE 51557 0 0 JOHNSON & JOHNSON COM 478160104 6380 112320 SH SOLE 112320 0 0 High Yield Bond- SPDR Lehnman COM 78464A417 11884 337705 SH SOLE 337705 0 0 JOHN WILEY & SONS INC CL.A COM 968223206 530 15928 SH SOLE 15928 0 0 KOHLBERG CAPITAL CORP COM 500233101 3840 607518 SH SOLE 607518 0 0 KENNETH COLE PRODUCTIONS COM 193294105 225 31980 SH SOLE 31980 0 0 LANDAUER INC COM 51476K103 2472 40306 SH SOLE 40306 0 0 LOWE'S COMPANIES INC COM 548661107 4392 226263 SH SOLE 226263 0 0 Investment Grade Corporate Bon COM 464287242 3660 36497 SH SOLE 36497 0 0 MAIN STREET CAPITAL CORPORATIO COM 56035L104 271 19774 SH SOLE 19774 0 0 Lehman MBS Fixed-Rate Bond Fun COM 464288588 2194 20835 SH SOLE 20835 0 0 MCG CAPITAL CORP COM 58047P107 1050 432243 SH SOLE 432243 0 0 MERCURY GENERAL CORP COM 589400100 2277 68118 SH SOLE 68118 0 0 MEDICAL ACTION INDUSTRIES COM 58449L100 1699 148397 SH SOLE 148397 0 0 MFA Mortgage Investments COM 55272X102 2906 420000 SH SOLE 420000 0 0 MOHAWK INDUSTRIES INC COM 608190104 1089 30533 SH SOLE 30533 0 0 MARKEL CORP COM 570535104 3227 11457 SH SOLE 11457 0 0 3M COMPANY COM 88579Y101 2865 47672 SH SOLE 47672 0 0 MICROSOFT CORP COM 594918104 6414 269842 SH SOLE 269842 0 0 MVC CAPITAL INC COM 553829102 5825 688506 SH SOLE 688506 0 0 NGP CAPITAL RESOURCES CO COM 62912R107 2065 351841 SH SOLE 351841 0 0 ANNALY CAPITAL MANAGEMENT COM 035710409 5493 362840 SH SOLE 362840 0 0 NORTHSTAR RLTY FIN CORP COM 0 COM 66704R100 1769 625061 SH SOLE 625061 0 0 PAYCHEX INC COM 704326107 2289 90827 SH SOLE 90827 0 0 PATRIOT CAPITAL FUNDING INC CO COM 70335Y104 1026 600171 SH SOLE 600171 0 0 PLUM CREEK TIMBER CO INC COM 729251108 2310 77575 SH SOLE 77575 0 0 PATTERSON COMPANIES INC COM 703395103 522 24068 SH SOLE 24068 0 0 PEPSICO INC COM 713448108 5954 108326 SH SOLE 108326 0 0 PFIZER INC COM 717081103 4953 330172 SH SOLE 330172 0 0 Platinum Total Return Sub Inde COM 06739H255 792 27835 SH SOLE 27835 0 0 PENNANTPARK INVESTMENT CO COM 708062104 4751 669219 SH SOLE 669219 0 0 PANERA BREAD CO COM 69840W108 371 7439 SH SOLE 7439 0 0 PROSPECT CAPITAL CORP COM 74348T102 10022 1089400 SH SOLE 1089400 0 0 ROSS STORES INC COM 778296103 1006 26065 SH SOLE 26065 0 0 RAYONIER INC COM 754907103 3315 91203 SH SOLE 91203 0 0 ISTAR FINANCIAL INC COM 45031U101 44 15612 SH SOLE 15612 0 0 Lehman Short Term Municipal Bo COM 78464A425 904 38156 SH SOLE 38156 0 0 SHERWIN-WILLIAMS CO COM 824348106 2693 50109 SH SOLE 50109 0 0 SIGMA ALDRICH CORP COM 826552101 587 11843 SH SOLE 11843 0 0 ST MARY LAND & EXPLORATION COM 792228108 315 15080 SH SOLE 15080 0 0 SCOTTS MIRACLE-GRO CO. COM 810186106 406 11586 SH SOLE 11586 0 0 SNAP-ON INC COM 833034101 2354 81921 SH SOLE 81921 0 0 SOUTHERN COMPANY COM 842587107 2430 77999 SH SOLE 77999 0 0 SONIC CORP COM 835451105 1341 133699 SH SOLE 133699 0 0 SOURCE CAPITAL INC COM 836144105 2174 62820 SH SOLE 62820 0 0 SIMPSON MANUFACTURING IN COM 829073105 380 17599 SH SOLE 17599 0 0 MEDALLION FINL CORP COM 583928106 3515 459504 SH SOLE 459504 0 0 Triangle Capital Corporation COM 895848109 415 38000 SH SOLE 38000 0 0 TCF FINANCIAL CORP COM 872275102 2659 198858 SH SOLE 198858 0 0 Lehman Municipal Bond SPDR COM 78464A458 902 40978 SH SOLE 40978 0 0 TICC CAPITAL CORP COM COM 87244T109 2097 475485 SH SOLE 475485 0 0 TJX COMPANIES, INC. COM 872540109 3174 100881 SH SOLE 100881 0 0 THERMO FISHER SCIENTIFIC, INC COM 883556102 3266 80097 SH SOLE 80097 0 0 TYCO INTERNATIONAL LTD COM H89128104 3015 116046 SH SOLE 116046 0 0 REIT Index ETF- Vanguard COM 922908553 2451 79023 SH SOLE 79023 0 0 VECTREN CORP COM 92240G101 2389 101970 SH SOLE 101970 0 0 WESTAMERICA BANCORPORATION COM 957090103 1647 33198 SH SOLE 33198 0 0 WATERS CORP COM 941848103 4887 94941 SH SOLE 94941 0 0 WELLS FARGO & CO COM 949746101 3002 123761 SH SOLE 123761 0 0 WAL-MART STORES INC COM 931142103 3275 67609 SH SOLE 67609 0 0 WESCO FINANCIAL CORP COM 950817106 299 1026 SH SOLE 1026 0 0 WEST PHARMACEUTICAL SERVICES, COM 955306105 302 8659 SH SOLE 8659 0 0 WHITE MTNS INS GROUP LTD COM G9618E107 2691 11754 SH SOLE 11754 0 0 WESTERN UNION COMPANY COM 959802109 3226 196726 SH SOLE 196726 0 0 Materials Select Sector SPDR COM 81369Y100 2649 102693 SH SOLE 102693 0 0 Energy Select Sector SPDR COM 81369Y506 4036 83995 SH SOLE 83995 0 0 Financial Select Sector SPDR COM 81369Y605 2850 238498 SH SOLE 238498 0 0 Industrial Select Sector SPDR COM 81369Y704 4013 182741 SH SOLE 182741 0 0 Technology Select Sector SPDR COM 81369Y803 4261 233980 SH SOLE 233980 0 0 Consumer Staple Select Sector COM 81369Y308 1907 82944 SH SOLE 82944 0 0 Healthcare Select Sector SPDR COM 81369Y209 1718 65286 SH SOLE 65286 0 0 Consumer Discretionary Select COM 81369Y407 2089 90523 SH SOLE 90523 0 0 EXXON MOBIL CORP COM 30231G102 3333 47679 SH SOLE 47679 0 0 ZEBRA TECHNOLOGIES CORP COM 989207105 381 16087 SH SOLE 16087 0 0
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