0001140361-12-033905.txt : 20120725 0001140361-12-033905.hdr.sgml : 20120725 20120725142947 ACCESSION NUMBER: 0001140361-12-033905 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120630 FILED AS OF DATE: 20120725 DATE AS OF CHANGE: 20120725 EFFECTIVENESS DATE: 20120725 FILER: COMPANY DATA: COMPANY CONFORMED NAME: REGENTS OF THE UNIVERSITY OF CALIFORNIA CENTRAL INDEX KEY: 0000315054 IRS NUMBER: 000000000 STATE OF INCORPORATION: CA FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-00224 FILM NUMBER: 12978691 BUSINESS ADDRESS: STREET 1: 1111 BROADWAY STREET 2: 14TH FLOOR CITY: OAKLAND STATE: CA ZIP: 94607-4026 BUSINESS PHONE: 510-987-9676 MAIL ADDRESS: STREET 1: 1111 BROADWAY STREET 2: 14TH FLOOR CITY: OAKLAND STATE: CA ZIP: 94607-4026 FORMER COMPANY: FORMER CONFORMED NAME: REGENTS OF THE UNIVERSITY OF CA DATE OF NAME CHANGE: 19600201 13F-HR/A 1 form13fhra.txt NONE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 6/30/2012 Check here if Amendment [X]; Amendment Number: 1 ------- This Amendment (Check only one.): [X] is a restatement. [] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: The Regents of the University of California Address: 1111 Broadway, Suite 1400 Oakland, CA 94607 Form 13F File Number: 28-00224 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 submission. Persons Signing this Report on Behalf of Reporting Manager: Name: Marie Berggren Title: Treasurer Phone: (510) 987-9600 Signature, Place, and Date of Signing: /s/ Marie Berggren Oakland, CA 7/25/2012 --------------------------------- --------------------------------- ---------- [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 are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 26 Form 13F Information Table Value Total: $19,790,825.00 -------------- 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. NONE

FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ----------------------------- -------------------------- --------- -------- ------------------- ---------- -------- ---------------- SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP VALUE PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ----------------------------- -------------------------- --------- -------- ---------- --- ---- ---------- -------- ---- ------ ---- AT+T INC COMMON STOCK USD1. 00206R102 675757 18950.000 SOLE X 0 0 ACCELRYS INC COMMON STOCK USD.0001 00430U103 84678 10467.000 SOLE X 0 0 AIR PRODUCTS + CHEMICALS INC COMMON STOCK USD1. 009158106 823446 10200.000 SOLE X 0 0 ALIMERA SCIENCES INC COMMON STOCK USD.01 016259103 42918 14354.000 SOLE X 0 0 ANADARKO PETROLEUM CORP COMMON STOCK USD.1 032511107 304652 4602.000 SOLE X 0 0 ATHERSYS INC COMMON STOCK USD.001 04744L106 109670 68118.000 SOLE X 0 0 COCA COLA CO/THE COMMON STOCK USD.25 191216100 703710 9000.000 SOLE X 0 0 WALT DISNEY CO/THE COMMON STOCK USD.01 254687106 291000 6000.000 SOLE X 0 0 EXXON MOBIL CORP COMMON STOCK NPV 30231G102 2875152 33600.000 SOLE X 0 0 FUSION IO INC COMMON STOCK 36112J107 513205 24567.000 SOLE X 0 0 GENERAL ELECTRIC CO COMMON STOCK USD.06 369604103 835163 40075.000 SOLE X 0 0 GREEN DOT CORP CLASS A COMMON STOCK USD.001 39304D102 2008607 90805.000 SOLE X 0 0 HANSEN MEDICAL INC COMMON STOCK USD.0001 411307101 80501 35463.000 SOLE X 0 0 HOMEAWAY INC COMMON STOCK USD.0001 43739Q100 1513039 69597.000 SOLE X 0 0 HONEYWELL INTERNATIONAL INC COMMON STOCK USD1. 438516106 234528 4200.000 SOLE X 0 0 ESTEE LAUDER COMPANIES CL A COMMON STOCK USD.01 518439104 1807608 33400.000 SOLE X 0 0 MCGRAW HILL COMPANIES INC COMMON STOCK USD1. 580645109 270000 6000.000 SOLE X 0 0 MERCK + CO. INC. COMMON STOCK USD.5 58933Y105 901800 21600.000 SOLE X 0 0 NUANCE COMMUNICATIONS INC COMMON STOCK USD.001 67020Y100 1423245 59750.000 SOLE X 0 0 PFIZER INC COMMON STOCK USD.05 717081103 635835 27645.000 SOLE X 0 0 SPDR S+P MIDCAP 400 ETF TRUST SPDR S+P MIDCAP 400 ETF 78467Y107 959280 5600.000 SOLE X 0 0 TRST TARGA RESOURCES CORP COMMON STOCK USD.001 87612G101 798490 18700.000 SOLE X 0 0 TEARLAB CORP COMMON STOCK USD.001 878193101 410671 128737.000 SOLE X 0 0 VERIZON COMMUNICATIONS INC COMMON STOCK USD.1 92343V104 788143 17735.000 SOLE X 0 0 WELLS FARGO + CO COMMON STOCK USD1.666 949746101 605465 18106.000 SOLE X 0 0 ZIPREALTY INC COMMON STOCK USD.001 98974V107 94262 64563.000 SOLE X 0 0