0001481045-12-000013.txt : 20120410 0001481045-12-000013.hdr.sgml : 20120410 20120410142827 ACCESSION NUMBER: 0001481045-12-000013 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20120410 DATE AS OF CHANGE: 20120410 EFFECTIVENESS DATE: 20120410 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Daiwa Securities Group Inc. CENTRAL INDEX KEY: 0001481045 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 8880 [8880] IRS NUMBER: 000000000 STATE OF INCORPORATION: M0 FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-14426 FILM NUMBER: 12751719 BUSINESS ADDRESS: STREET 1: GRANTOKYO NORTH TOWER, 9-1 STREET 2: MARUNOUCHI 1-CHOME, CHIYODA-KU, CITY: TOKYO STATE: M0 ZIP: 100-6751 BUSINESS PHONE: 81-3-5555-1300 MAIL ADDRESS: STREET 1: GRANTOKYO NORTH TOWER, 9-1 STREET 2: MARUNOUCHI 1-CHOME, CHIYODA-KU, CITY: TOKYO STATE: M0 ZIP: 100-6751 13F-HR/A 1 2011Q1.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: March 31, 2011 -------------- Check here if Amendment [X]; Amendment Number: 2 ----------- This Amendment (Check only one.): [ ] is a restatement. [X] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Daiwa Securities Group Inc. Address: GranTokyo North Tower 9-1 Marunouchi 1-chome, Chiyoda-ku Tokyo, Japan 100-6751 Form 13F File Number: 028-14426 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. Persons Signing this Report on Behalf of Reporting Manager: Name: TAKASHI KADO Title: HEAD OF COMPLIANCE Phone: 81-3-5555-2800 Signature, Place, and Date of Signing: s/ TAKASHI KADO Tokyo, Japan 04/10/2012 ------------------------- -------------------- -------------------- [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 is reported in this report and a portion is reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 100 Form 13F Information Table Value Total: 40,279 (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. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] NONE SEC FORM 13F REPORT AS OF DATE: 3/31/2011

COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------ ---------------- --------- -------- ----------------- ---------- -------- ---------------------- VOTING AUTHORITY VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER ---------------------- NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ---------- -------- -------- -------- ---- ACTIVISION BLIZZARD INC COM 00507V109 225 20499 SH DEFINED 20499 0 0 ADOBE SYS INC COM 00724F101 312 9414 SH DEFINED 9414 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 132 3473 SH DEFINED 3473 0 0 ALTERA CORP COM 021441100 368 8362 SH DEFINED 8362 0 0 AMAZON COM INC COM 023135106 1131 6276 SH DEFINED 6276 0 0 AMGEN INC COM 031162100 447 8361 SH DEFINED 8361 0 0 APOLLO GROUP INC CL A 037604105 101 2422 SH DEFINED 2422 0 0 APPLE INC COM 037833100 8175 23456 SH DEFINED 23456 0 0 APPLIED MATLS 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