0001140361-12-033903.txt : 20120725 0001140361-12-033903.hdr.sgml : 20120725 20120725142847 ACCESSION NUMBER: 0001140361-12-033903 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120331 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: 12978689 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: 3/31/2012 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: 29 Form 13F Information Table Value Total: $22,169,944.00 -------------- 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 591,809 18,950.000 SOLE X 0 0 ACCELRYS INC COMMON STOCK USD.0001 00430U103 83,527 10,467.000 SOLE X 0 0 AIR PRODUCTS + CHEMICALS INC COMMON STOCK USD1. 009158106 936,360 10,200.000 SOLE X 0 0 ALIMERA SCIENCES INC COMMON STOCK USD.01 016259103 48,517 14,354.000 SOLE X 0 0 ANADARKO PETROLEUM CORP COMMON STOCK USD.1 032511107 360,521 4,602.000 SOLE X 0 0 ATHERSYS INC COMMON STOCK USD.001 04744L106 105,583 68,118.000 SOLE X 0 0 COCA COLA CO/THE COMMON STOCK USD.25 191216100 666,090 9,000.000 SOLE X 0 0 WALT DISNEY CO/THE COMMON STOCK USD.01 254687106 262,680 6,000.000 SOLE X 0 0 EXXON MOBIL CORP COMMON STOCK NPV 30231G102 2,914,128 33,600.000 SOLE X 0 0 FUSION IO INC COMMON STOCK 36112J107 697,948 24,567.000 SOLE X 0 0 GENERAL ELECTRIC CO COMMON STOCK USD.06 369604103 804,305 40,075.000 SOLE X 0 0 GEVO INC COMMON STOCK 374396109 91,900 10,000.000 SOLE X 0 0 GREEN DOT CORP CLASS A COMMON STOCK USD.001 39304D102 2,408,149 90,805.000 SOLE X 0 0 HANSEN MEDICAL INC COMMON STOCK USD.0001 411307101 106,389 35,463.000 SOLE X 0 0 HOMEAWAY INC COMMON STOCK USD.0001 43739Q100 1,765,676 69,597.000 SOLE X 0 0 HONEYWELL INTERNATIONAL INC COMMON STOCK USD1. 438516106 256,410 4,200.000 SOLE X 0 0 INSULET CORP COMMON STOCK USD.001 45784P101 743,053 38,822.000 SOLE X 0 0 ESTEE LAUDER COMPANIES CL A COMMON STOCK USD.01 518439104 2,068,796 33,400.000 SOLE X 0 0 MCGRAW HILL COMPANIES INC COMMON STOCK USD1. 580645109 290,820 6,000.000 SOLE X 0 0 MERCK + CO. INC. COMMON STOCK USD.5 58933Y105 829,440 21,600.000 SOLE X 0 0 NUANCE COMMUNICATIONS INC COMMON STOCK USD.001 67020Y100 1,528,405 59,750.000 SOLE X 0 0 PFIZER INC COMMON STOCK USD.05 717081103 626,436 27,645.000 SOLE X 0 0 SPDR S+P MIDCAP 400 ETF TRUST SPDR S+P MIDCAP 400 ETF 78467Y107 1,011,752 5,600.000 SOLE X 0 0 TRST TEARLAB CORP COMMON STOCK USD.001 878193101 883,132 257,473.000 SOLE X 0 0 TEXAS INSTRUMENTS INC COMMON STOCK USD1. 882508104 218,465 6,500.000 SOLE X 0 0 21VIANET GROUP INC ADR ADR 90138A103 485,054 42,736.000 SOLE X 0 0 VERIZON COMMUNICATIONS INC COMMON STOCK USD.1 92343V104 678,009 17,735.000 SOLE X 0 0 WELLS FARGO + CO COMMON STOCK USD1.666 949746101 618,139 18,106.000 SOLE X 0 0 ZIPREALTY INC COMMON STOCK USD.001 98974V107 88,451 64,563.000 SOLE X 0 0