-----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, CoH+W9MY2WdtFvv10rY0fTyWhyh/HIchkqA6EsMYlF0dDgq8MIhMAVq4paaplylr Ky/VuC1+VAtHGRGnkQCC1Q== 0000902266-07-000023.txt : 20071114 0000902266-07-000023.hdr.sgml : 20071114 20071114113855 ACCESSION NUMBER: 0000902266-07-000023 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070930 FILED AS OF DATE: 20071114 DATE AS OF CHANGE: 20071114 EFFECTIVENESS DATE: 20071114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NOMURA HOLDINGS INC CENTRAL INDEX KEY: 0001163653 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10594 FILM NUMBER: 071241865 BUSINESS ADDRESS: STREET 1: 9-1 NIHONBASHI 1-CHOME STREET 2: CHUO-KU 103-8645 CITY: TOKYO JAPAN STATE: M0 ZIP: 00000 13F-HR 1 nhi.txt NHI 13F Q3 2007 OMB APPROVAL ---------------------------- OMB Number: Expires: Estimated average burden hours per response..... ---------------------------- SEC USE ONLY ---------------------------- ---------------------------- 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, 2007 If amended report check here: |_| Amendment Number: ____ This Amendment (Check only one): |_| is a restatement |_| adds new holding entries. PRIOR FILINGS FOR THE NOMURA GROUP WERE REPORTED UNDER THE NAME NOMURA SECURITIES COMPANY, WITH CIK NUMBER 0000110097. SUBSEQUENT FILINGS WILL BE MADE UNDER THE NAME NOMURA HOLDINGS, INC., CIK NUMBER 0001163653. NOMURA HOLDINGS, INC. (NHI) IS THE PARENT HOLDING COMPANY OF A NUMBER OF OPERATING SUBSIDIARIES, SOME OF WHICH ARE OR MAY BE INSTITUTIONAL INVESTMENT MANAGERS FOR THE PURPOSES OF THE REPORTING REQUIREMENTS UNDER SECTION 13(F) OF THE SECURITIES EXCHANGE ACT OF 1934 (THE ACT) AND THE RULES PROMULGATED THEREUNDER. NHI ITSELF DOES NOT DIRECTLY EXERCISE INVESTMENT DISCRETION WITH RESPECT TO ANY SECTION 13(F) SECURITIES POSITIONS. IN THAT NHI'S OWNERSHIP INTEREST IN SUCH OPERATING SUBSIDIARIES IS DEEMED THE EXERCISE OF INVESTMENT DISCRETION REGARDING CERTAIN OF SUCH SUBSIDIARIES' MANAGED ACCOUNTS, THE INFORMATION REQUIRED BY FORM 13F IS REPORTED BY NHI ON BEHALF OF CERTAIN OF NHI'S OPERATING SUBSIDIARIES WHICH ARE INSTITUTIONAL INVESTMENT MANAGERS SUBJECT TO SECTION 13(F)OF THE ACT. Nomura Holdings Inc. - -------------------------------------------------------------------------------- Name of Institutional Investment Manager 1-9-1, Nihonbashi, Chuo-ku, Tokyo 103-8011, Japan - -------------------------------------------------------------------------------- Business Address (Street) (City) (State) (Zip) 13F File Number: 001-15270 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, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: David A. Leibowitz Head of Compliance and Surveillance 212-667-9387 - -------------------------------------------------------------------------------- Name (Title) (Phone) /s/ David A.Leibowitz ------------------------------------------ (Manual Signature of Person Duly Authorized to Submit This Report) New York, NY November 14, 2007 ------------------------------------------ (Place and Date of Signing) Report Type: [ ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [X] 13F COMBINATION REPORT. Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 4 Form 13F Information Table Entry Total: 648 Form 13F Information Table Value Total: $9,864,912 (thousands) List of Other Included Managers: Name and 13F file numbers of ALL Institutional Investment Managers with respect to which this schedule is filed (other than the one filing this report): (List in alphabetical order). 13F File No.: Name: ------------- --------------------- 6. 28-05739 Global Funds Management, S.A. ------------- --------------------- 2. 28-04985 Nomura International plc ------------- --------------------- 4. 28-04993 Nomura Securities (Bermuda) ------------- --------------------- 1. 28-04983 Nomura Securities International, Inc. ------------- ---------------------
1Page 1 07-08-13 14:21:11 FORM 13F INFORMATION TABLE QUARTER ENDING 09/30/2007 NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS ------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ---------------- 0ACE LTD G0070K103 5,042 000000083247 SH DEFINED 01 SOLE COOPER INDS LTD G24182100 2,374 000000046479 SH DEFINED 01 SOLE COVIDIEN LTD G2552X108 5,220 000000125804 SH DEFINED 01 SOLE INGERSOLL-RAND COMPANY LTD G4776G101 3,950 000000072534 SH DEFINED 01 SOLE NABORS INDUSTRIES LTD G6359F103 2,189 000000071152 SH DEFINED 01 SOLE NOBLE CORPORATION G65422100 3,332 000000067940 SH DEFINED 01 SOLE SINA CORP G81477104 504 000000010538 SH DEFINED 02 SOLE TRANSOCEAN INC G90078109 8,320 000000073598 SH DEFINED 01 SOLE TYCO INTL LTD BERMUDA G9143X208 5,577 000000125794 SH DEFINED 01 SOLE TYCO ELECTRONICS LTD G9144P105 4,457 000000125808 SH DEFINED 01 SOLE WEATHERFORD INTERNATIONAL LT G95089101 5,728 000000085271 SH DEFINED 01 SOLE XL CAP LTD G98255105 3,642 000000045987 SH DEFINED 01 SOLE MILLICOM INTL CELLULAR S A L6388F110 1,879 000000022400 SH DEFINED 01 SOLE AFLAC INC 001055102 7,050 000000123602 SH DEFINED 01 SOLE AES CORP 00130H105 3,390 000000169180 SH DEFINED 01 SOLE AT&T INC 00206R102 65,296 000001543281 SH DEFINED 01 SOLE AT&T INC 00206R102 239 000000005669 SH DEFINED 02 SOLE ABBOTT LABS 002824100 20,968 000000391061 SH DEFINED 01 SOLE ABERCROMBIE & FITCH CO 002896207 1,769 000000021930 SH DEFINED 01 SOLE ADOBE SYS INC 00724F101 6,500 000000148896 SH DEFINED 01 SOLE ADVANCED MICRO DEVICES INC 007903107 1,837 000000139167 SH DEFINED 01 SOLE AETNA INC NEW 00817Y108 7,082 000000130501 SH DEFINED 01 SOLE AFFILIATED COMPUTER SERVICES 008190100 1,265 000000025193 SH DEFINED 01 SOLE AGILENT TECHNOLOGIES INC 00846U101 3,607 000000097814 SH DEFINED 01 SOLE AIR PRODS & CHEMS INC 009158106 5,345 000000054678 SH DEFINED 01 SOLE AKAMAI TECHNOLOGIES INC 00971T101 1,203 000000041904 SH DEFINED 01 SOLE ALCOA INC 013817101 8,750 000000223690 SH DEFINED 01 SOLE ALLEGHENY ENERGY INC 017361106 2,196 000000042022 SH DEFINED 01 SOLE ALLEGHENY TECHNOLOGIES INC 01741R102 2,844 000000025867 SH DEFINED 01 SOLE ALLERGAN INC 018490102 5,016 000000077809 SH DEFINED 01 SOLE ALLIANCE DATA SYSTEMS CORP 018581108 580 000000007500 SH DEFINED 01 SOLE ALLIED WASTE INDS INC 019589308 930 000000072967 SH DEFINED 01 SOLE ALLSTATE CORP 020002101 8,465 000000148026 SH DEFINED 01 SOLE ALLTEL CORP 020039103 6,178 000000088667 SH DEFINED 01 SOLE ALTERA CORP 021441100 2,169 000000090098 SH DEFINED 01 SOLE ALTRIA GROUP INC 02209S103 37,066 000000533096 SH DEFINED 01 SOLE ALTUS PHARMACEUTICALS INC 02216N105 9,129 000000866624 SH DEFINED 02 SOLE AMAZON COM INC 023135106 7,203 000000077329 SH DEFINED 01 SOLE AMBAC FINL GROUP INC 023139108 1,619 000000025743 SH DEFINED 01 SOLE AMEREN CORP 023608102 2,757 000000052528 SH DEFINED 01 SOLE AMERICAN CAPITAL STRATEGIES 024937104 2,032 000000047555 SH DEFINED 01 SOLE AMERICAN ELEC PWR INC 025537101 4,654 000000101013 SH DEFINED 01 SOLE AMERICAN EXPRESS CO 025816109 17,770 000000299317 SH DEFINED 01 SOLE AMERICAN INTL GROUP INC 026874107 43,897 000000648887 SH DEFINED 01 SOLE AMERICAN RAILCAR INDS INC 02916P103 538 000000024450 SH DEFINED 01 SOLE AMERICAN STD COS INC DEL 029712106 1,689 000000047422 SH DEFINED 01 SOLE 1Page 2 07-11-13 12:03:17 0 FORM 13F INFORMATION TABLE QUARTER ENDING 09/30/2007 NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS ------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ---------------- 0AMERISOURCEBERGEN CORP 03073E105 2,066 000000045592 SH DEFINED 01 SOLE AMERIPRISE FINL INC 03076C106 3,757 000000059534 SH DEFINED 01 SOLE AMGEN INC 031162100 15,555 000000274986 SH DEFINED 01 SOLE ANADARKO PETE CORP 032511107 6,309 000000117378 SH DEFINED 01 SOLE ANALOG DEVICES INC 032654105 2,847 000000078737 SH DEFINED 01 SOLE ANHEUSER BUSCH COS INC 035229103 9,481 000000189664 SH DEFINED 01 SOLE AON CORP 037389103 3,319 000000074083 SH DEFINED 01 SOLE APACHE CORP 037411105 7,565 000000084010 SH DEFINED 01 SOLE APARTMENT INVT & MGMT CO 03748R101 1,104 000000024478 SH DEFINED 01 SOLE APOLLO GROUP INC 037604105 2,162 000000035955 SH DEFINED 01 SOLE APPLE INC 037833100 33,832 000000220453 SH DEFINED 01 SOLE APPLERA CORP 038020103 1,607 000000046404 SH DEFINED 01 SOLE APPLIED MATLS INC 038222105 7,218 000000348713 SH DEFINED 01 SOLE ARCHER DANIELS MIDLAND CO 039483102 5,387 000000162851 SH DEFINED 01 SOLE ARCHSTONE SMITH TR 039583109 3,403 000000056594 SH DEFINED 01 SOLE ARMSTRONG WORLD INDS INC NEW 04247X102 2,285 000000056304 SH DEFINED 01 SOLE ARROW INTL INC 042764100 3,184 000000070000 SH DEFINED 01 SOLE ASHLAND INC NEW 044209104 893 000000014847 SH DEFINED 01 SOLE ASSURANT INC 04621X108 1,306 000000024421 SH DEFINED 01 SOLE AUTODESK INC 052769106 2,908 000000058197 SH DEFINED 01 SOLE AUTOMATIC DATA PROCESSING IN 053015103 6,172 000000134379 SH DEFINED 01 SOLE AUTONATION INC 05329W102 679 000000038347 SH DEFINED 01 SOLE AUTOZONE INC 053332102 1,368 000000011781 SH DEFINED 01 SOLE AVALONBAY CMNTYS INC 053484101 2,381 000000020176 SH DEFINED 01 SOLE AVAYA INC 053499109 1,960 000000115620 SH DEFINED 01 SOLE AVERY DENNISON CORP 053611109 1,536 000000026943 SH DEFINED 01 SOLE AVON PRODS INC 054303102 4,108 000000109478 SH DEFINED 01 SOLE BB&T CORP 054937107 5,641 000000139664 SH DEFINED 01 SOLE BJ SVCS CO 055482103 1,959 000000073791 SH DEFINED 01 SOLE BMC SOFTWARE INC 055921100 1,589 000000050912 SH DEFINED 01 SOLE BAKER HUGHES INC 057224107 7,307 000000080860 SH DEFINED 01 SOLE BALL CORP 058498106 1,392 000000025916 SH DEFINED 01 SOLE BANCOLOMBIA S A 05968L102 232 000000006719 SH DEFINED 02 SOLE BANK OF AMERICA CORPORATION 060505104 56,444 000001122825 SH DEFINED 01 SOLE BANK OF NEW YORK MELLON CORP 064058100 12,708 000000287915 SH DEFINED 01 SOLE BARD C R INC 067383109 2,306 000000026150 SH DEFINED 01 SOLE BARR PHARMACEUTICALS INC 068306109 1,543 000000027128 SH DEFINED 01 SOLE BAUSCH & LOMB INC 071707103 897 000000014021 SH DEFINED 01 SOLE BAXTER INTL INC 071813109 9,181 000000163137 SH DEFINED 01 SOLE BEAR STEARNS COS INC 073902108 3,609 000000029389 SH DEFINED 01 SOLE BECTON DICKINSON & CO 075887109 5,053 000000061590 SH DEFINED 01 SOLE BED BATH & BEYOND INC 075896100 2,342 000000068657 SH DEFINED 01 SOLE BEMIS INC 081437105 769 000000026448 SH DEFINED 01 SOLE BEST BUY INC 086516101 4,635 000000100725 SH DEFINED 01 SOLE BIG LOTS INC 089302103 768 000000025753 SH DEFINED 01 SOLE BIOGEN IDEC INC 09062X103 4,832 000000072859 SH DEFINED 01 SOLE 1Page 3 07-11-13 12:03:17 0 FORM 13F INFORMATION TABLE QUARTER ENDING 09/28/2007 NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS ------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ---------------- 0BLACK & DECKER CORP 091797100 1,384 000000016620 SH DEFINED 01 SOLE BLOCK H & R INC 093671105 1,739 000000082143 SH DEFINED 01 SOLE BOEING CO 097023105 21,760 000000207262 SH DEFINED 01 SOLE BOSTON PROPERTIES INC 101121101 3,129 000000030124 SH DEFINED 01 SOLE BOSTON SCIENTIFIC CORP 101137107 4,709 000000337577 SH DEFINED 01 SOLE BRISTOL MYERS SQUIBB CO 110122108 14,424 000000500486 SH DEFINED 01 SOLE BROADCOM CORP 111320107 4,325 000000118705 SH DEFINED 01 SOLE BROWN FORMAN CORP 115637209 1,639 000000021882 SH DEFINED 01 SOLE BRUNSWICK CORP 117043109 514 000000022502 SH DEFINED 01 SOLE BURLINGTON NORTHN SANTA FE C 12189T104 6,259 000000077114 SH DEFINED 01 SOLE CBS CORP NEW 124857202 5,459 000000173310 SH DEFINED 01 SOLE CB RICHARD ELLIS GROUP INC 12497T101 1,388 000000049892 SH DEFINED 01 SOLE C H ROBINSON WORLDWIDE INC 12541W209 2,371 000000043676 SH DEFINED 01 SOLE CIGNA CORP 125509109 3,862 000000072474 SH DEFINED 01 SOLE CIT GROUP INC 125581108 1,940 000000048282 SH DEFINED 01 SOLE CME GROUP INC 12572Q105 7,892 000000013438 SH DEFINED 01 SOLE CMS ENERGY CORP 125896100 955 000000056832 SH DEFINED 01 SOLE CSX CORP 126408103 4,746 000000111083 SH DEFINED 01 SOLE CVS CAREMARK CORPORATION 126650100 14,850 000000374722 SH DEFINED 01 SOLE CA INC 12673P105 2,529 000000098340 SH DEFINED 01 SOLE CABLEVISION SYS CORP 12686C109 349 000000010000 SH DEFINED 01 SOLE CABLEVISION SYS CORP 12686C109 1,463 000000041900 SH DEFINED 01 SOLE CAMPBELL SOUP CO 134429109 2,103 000000056858 SH DEFINED 01 SOLE CAPITAL ONE FINL CORP 14040H105 7,020 000000105688 SH DEFINED 01 SOLE CAPSTONE TURBINE CORP 14067D102 150 000000125226 SH DEFINED 02 SOLE CARDINAL HEALTH INC 14149Y108 5,767 000000092239 SH DEFINED 01 SOLE CARNIVAL CORP 143658300 5,347 000000110416 SH DEFINED 01 SOLE CATERPILLAR INC DEL 149123101 12,684 000000161731 SH DEFINED 01 SOLE CATERPILLAR INC DEL 149123101 688 000000008775 SH DEFINED 02 SOLE CELGENE CORP 151020104 6,905 000000096843 SH DEFINED 01 SOLE CENTERPOINT ENERGY INC 15189T107 1,302 000000081271 SH DEFINED 01 SOLE CENTEX CORP 152312104 806 000000030358 SH DEFINED 01 SOLE CENTURYTEL INC 156700106 1,308 000000028319 SH DEFINED 01 SOLE CERIDIAN CORP NEW 156779100 257 000000007400 SH DEFINED 01 SOLE CHECKFREE CORP NEW 162813109 1,047 000000022500 SH DEFINED 01 SOLE CHESAPEAKE ENERGY CORP 165167107 3,660 000000103824 SH DEFINED 01 SOLE CHEVRON CORP NEW 166764100 50,477 000000539404 SH DEFINED 01 SOLE CHUBB CORP 171232101 5,338 000000099522 SH DEFINED 01 SOLE CHUNGHWA TELECOM CO LTD 17133Q205 19,588 000001060000 SH DEFINED 01 SOLE CIENA CORP 171779309 828 000000021750 SH DEFINED 01 SOLE CINCINNATI FINL CORP 172062101 1,884 000000043522 SH DEFINED 01 SOLE CIRCUIT CITY STORE INC 172737108 337 000000042641 SH DEFINED 01 SOLE CISCO SYS INC 17275R102 51,140 000001543634 SH DEFINED 01 SOLE CINTAS CORP 172908105 1,266 000000034137 SH DEFINED 01 SOLE CITIGROUP INC 172967101 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2,919 000000036594 SH DEFINED 01 SOLE COLGATE PALMOLIVE CO 194162103 9,202 000000129038 SH DEFINED 01 SOLE COLGATE PALMOLIVE CO 194162103 554 000000007779 SH DEFINED 02 SOLE COMCAST CORP NEW 20030N101 18,965 000000784344 SH DEFINED 01 SOLE COMCAST CORP NEW 20030N200 1,105 000000046150 SH DEFINED 01 SOLE COMERICA INC 200340107 1,985 000000038717 SH DEFINED 01 SOLE COMMERCE BANCORP INC NJ 200519106 1,886 000000048644 SH DEFINED 01 SOLE COMPUTER SCIENCES CORP 205363104 2,461 000000044027 SH DEFINED 01 SOLE COMPUWARE CORP 205638109 614 000000076679 SH DEFINED 01 SOLE CONAGRA FOODS INC 205887102 3,238 000000123940 SH DEFINED 01 SOLE CONOCOPHILLIPS 20825C104 36,138 000000411736 SH DEFINED 01 SOLE CONOCOPHILLIPS 20825C104 965 000000011000 SH DEFINED 02 SOLE CONSECO INC 208464883 1,069 000000066822 SH DEFINED 01 SOLE CONSOL ENERGY INC 20854P109 2,149 000000046136 SH DEFINED 01 SOLE CONSOLIDATED EDISON INC 209115104 3,174 000000068566 SH DEFINED 01 SOLE CONSTELLATION BRANDS INC 21036P108 1,188 000000049095 SH DEFINED 01 SOLE CONSTELLATION ENERGY GROUP I 210371100 3,918 000000045671 SH DEFINED 01 SOLE CONVERGYS CORP 212485106 595 000000034306 SH DEFINED 01 SOLE CORNING INC 219350105 9,811 000000398026 SH DEFINED 01 SOLE COSTCO WHSL CORP NEW 22160K105 6,800 000000110814 SH DEFINED 01 SOLE COUNTRYWIDE FINANCIAL CORP 222372104 2,770 000000145752 SH DEFINED 01 SOLE COVAD COMMUNICATIONS GROUP I 222814204 42 000000063499 SH DEFINED 01 SOLE COVENTRY HEALTH CARE INC 222862104 2,460 000000039552 SH DEFINED 01 SOLE CREE INC 225447101 262 000000008448 SH DEFINED 02 SOLE CTRIP COM INTL LTD 22943F100 422 000000008164 SH DEFINED 02 SOLE CUMMINS INC 231021106 3,367 000000026328 SH DEFINED 01 SOLE CYTYC CORP 232946103 476 000000010000 SH DEFINED 01 SOLE D R HORTON INC 23331A109 885 000000069144 SH DEFINED 01 SOLE DTE ENERGY CO 233331107 2,091 000000043178 SH DEFINED 01 SOLE DADE BEHRING HLDGS INC 23342J206 3,970 000000052000 SH DEFINED 01 SOLE DANAHER CORP DEL 235851102 5,159 000000062385 SH 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000000050212 SH DEFINED 01 SOLE EQUIFAX INC 294429105 1,376 000000036113 SH DEFINED 01 SOLE EQUITY INNS INC 294703103 496 000000022000 SH DEFINED 01 SOLE EQUITY RESIDENTIAL 29476L107 2,970 000000070126 SH DEFINED 01 SOLE EVERGREEN SOLAR INC 30033R108 341 000000038256 SH DEFINED 02 SOLE EXELON CORP 30161N101 12,893 000000171087 SH DEFINED 01 SOLE EXPRESS SCRIPTS INC 302182100 3,641 000000065243 SH DEFINED 01 SOLE EXXON MOBIL CORP 30231G102 130,178 000001406424 SH DEFINED 01 SOLE FPL GROUP INC 302571104 6,267 000000102942 SH DEFINED 01 SOLE FTI CONSULTING INC 302941109 988 000000019650 SH DEFINED 01 SOLE FAMILY DLR STORES INC 307000109 978 000000036842 SH DEFINED 01 SOLE FEDERAL HOME LN MTG CORP 313400301 9,707 000000164507 SH DEFINED 01 SOLE FEDERAL NATL MTG ASSN 313586109 14,978 000000246320 SH DEFINED 01 SOLE 1Page 6 07-11-13 12:03:17 0 FORM 13F INFORMATION TABLE QUARTER ENDING 09/30/2007 NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY OF CLASS X1000 PRN 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QUARTER ENDING 09/30/2007 NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS ------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ---------------- 0MGIC INVT CORP WIS 552848103 670 000000020737 SH DEFINED 01 SOLE MTR GAMING GROUP INC 553769100 975 000000102323 SH DEFINED 01 SOLE MACYS INC 55616P104 3,697 000000114396 SH DEFINED 01 SOLE MAGELLAN HEALTH SVCS INC 559079207 4,066 000000100202 SH DEFINED 01 SOLE MANOR CARE INC NEW 564055101 1,192 000000018523 SH DEFINED 01 SOLE MARATHON OIL CORP 565849106 9,827 000000172344 SH DEFINED 01 SOLE MARSH & MCLENNAN COS INC 571748102 3,497 000000137145 SH DEFINED 01 SOLE MARSHALL & ILSLEY CORP 571834100 2,952 000000067444 SH DEFINED 01 SOLE MARRIOTT INTL INC NEW 571903202 3,514 000000080856 SH DEFINED 01 SOLE MASCO CORP 574599106 2,152 000000092898 SH DEFINED 01 SOLE MATTEL INC 577081102 2,410 000000102748 SH DEFINED 01 SOLE 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12:03:17 0 FORM 13F INFORMATION TABLE QUARTER ENDING 09/30/2007 NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS ------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ---------------- 0RYDER SYS INC 783549108 741 000000015140 SH DEFINED 01 SOLE SLM CORP 78442P106 5,185 000000104404 SH DEFINED 01 SOLE SPDR TR 78462F103 2,659,262 000017428641 SH DEFINED 01 SOLE SPDR INDEX SHS FDS 78463X830 241,178 000004335400 SH DEFINED 01 SOLE SAFECO CORP 786429100 1,710 000000027941 SH DEFINED 01 SOLE SAFEWAY INC 786514208 3,678 000000111109 SH DEFINED 01 SOLE ST JUDE MED INC 790849103 3,801 000000086262 SH DEFINED 01 SOLE SANDISK CORP 80004C101 3,176 000000057656 SH DEFINED 01 SOLE SARA LEE CORP 803111103 3,059 000000183329 SH DEFINED 01 SOLE SCHERING PLOUGH CORP 806605101 12,960 000000409769 SH DEFINED 01 SOLE SCHLUMBERGER LTD 806857108 31,671 000000301638 SH DEFINED 01 SOLE 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81369Y886 164,237 000004126567 SH DEFINED 01 SOLE SEMPRA ENERGY 816851109 3,882 000000066807 SH DEFINED 01 SOLE SHERWIN WILLIAMS CO 824348106 1,805 000000027474 SH DEFINED 01 SOLE SIGMA ALDRICH CORP 826552101 1,619 000000033228 SH DEFINED 01 SOLE SIMON PPTY GROUP INC NEW 828806109 5,653 000000056532 SH DEFINED 01 SOLE SMITH INTL INC 832110100 3,622 000000050741 SH DEFINED 01 SOLE SMITHFIELD FOODS INC 832248108 315 000000010000 SH DEFINED 02 SOLE SNAP ON INC 833034101 726 000000014657 SH DEFINED 01 SOLE SOHU COM INC 83408W103 432 000000011473 SH DEFINED 02 SOLE SOLECTRON CORP 834182107 901 000000231251 SH DEFINED 01 SOLE SOUTHERN CO 842587107 6,943 000000191398 SH DEFINED 01 SOLE SOUTHWEST AIRLS CO 844741108 2,798 000000189096 SH DEFINED 01 SOLE SOVEREIGN BANCORP INC 845905108 1,549 000000090930 SH DEFINED 01 SOLE SPECTRA ENERGY CORP 847560109 3,915 000000159950 SH DEFINED 01 SOLE SPRINT NEXTEL CORP 852061100 13,685 000000720302 SH DEFINED 01 SOLE STANLEY WKS 854616109 1,166 000000020774 SH DEFINED 01 SOLE STAPLES INC 855030102 3,882 000000180649 SH DEFINED 01 SOLE STARBUCKS CORP 855244109 4,941 000000188589 SH DEFINED 01 SOLE STARWOOD HOTELS&RESORTS WRLD 85590A401 3,225 000000053094 SH DEFINED 01 SOLE STATE STR CORP 857477103 6,717 000000098562 SH DEFINED 01 SOLE STATION CASINOS INC 857689103 437 000000005000 SH DEFINED 01 SOLE 1Page 13 07-11-13 12:03:17 0 FORM 13F INFORMATION TABLE QUARTER ENDING 09/30/2007 NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS ------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ---------------- 0STRYKER CORP 863667101 4,127 000000060034 SH DEFINED 01 SOLE SUN MICROSYSTEMS INC 866810104 5,030 000000895127 SH DEFINED 01 SOLE SUN MICROSYSTEMS INC 866810104 5,196 000000019000 SH DEFINED 02 SOLE SUNOCO INC 86764P109 2,155 000000030456 SH DEFINED 01 SOLE SUNPOWER CORP 867652109 331 000000004005 SH DEFINED 02 SOLE SUNTRUST BKS INC 867914103 6,683 000000088322 SH DEFINED 01 SOLE SUNTECH PWR HLDGS CO LTD 86800C104 307 000000007700 SH DEFINED 02 SOLE SUPERVALU INC 868536103 2,074 000000053166 SH DEFINED 01 SOLE SYMANTEC CORP 871503108 4,410 000000227579 SH DEFINED 01 SOLE SYNOVUS FINL CORP 87161C105 2,323 000000082848 SH DEFINED 01 SOLE SYSCO CORP 871829107 5,493 000000154342 SH DEFINED 01 SOLE TECO ENERGY INC 872375100 875 000000053276 SH DEFINED 01 SOLE TJX COS INC NEW 872540109 3,270 000000112505 SH DEFINED 01 SOLE TXU CORP 873168108 7,989 000000116688 SH DEFINED 01 SOLE TARGACEPT INC 87611R306 10,660 000001190476 SH DEFINED 02 SOLE TARGET CORP 87612E106 13,618 000000214223 SH DEFINED 01 SOLE TEKTRONIX INC 879131100 532 000000019211 SH DEFINED 01 SOLE TELLABS INC 879664100 1,055 000000110903 SH DEFINED 01 SOLE TEMPLE INLAND INC 879868107 1,411 000000026815 SH DEFINED 01 SOLE TENET HEALTHCARE CORP 88033G100 402 000000119909 SH DEFINED 01 SOLE TERADYNE INC 880770102 662 000000047993 SH 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000000029912 SH DEFINED 01 SOLE UNITED TECHNOLOGIES CORP 913017109 20,197 000000250959 SH DEFINED 01 SOLE UNITEDHEALTH GROUP INC 91324P102 16,279 000000336145 SH DEFINED 01 SOLE UNUM GROUP 91529Y106 2,233 000000091292 SH DEFINED 01 SOLE V F CORP 918204108 1,815 000000022484 SH DEFINED 01 SOLE VALERO ENERGY CORP NEW 91913Y100 9,414 000000140138 SH DEFINED 01 SOLE VARIAN MED SYS INC 92220P105 1,339 000000031988 SH DEFINED 01 SOLE VERASUN ENERGY CORP 92336G106 373 000000033925 SH DEFINED 02 SOLE VERENIUM CORPORATION 92340P100 102 000000019428 SH DEFINED 02 SOLE VERISIGN INC 92343E102 2,081 000000061702 SH DEFINED 01 SOLE VERIZON COMMUNICATIONS 92343V104 32,521 000000734458 SH DEFINED 01 SOLE VERIZON COMMUNICATIONS 92343V104 200 000000004532 SH DEFINED 02 SOLE VIACOM INC NEW 92553P201 6,770 000000173735 SH DEFINED 01 SOLE VIACELL INC 92554J105 7,953 000001692184 SH DEFINED 02 SOLE VIRGIN MEDIA INC 92769L101 3,352 000000138151 SH DEFINED 01 SOLE VORNADO RLTY TR 929042109 3,701 000000033847 SH DEFINED 01 SOLE VULCAN MATLS CO 929160109 2,155 000000024177 SH DEFINED 01 SOLE WACHOVIA CORP NEW 929903102 24,148 000000481533 SH DEFINED 01 SOLE WAL MART STORES INC 931142103 26,511 000000607357 SH DEFINED 01 SOLE WAL MART STORES INC 931142103 710 000000016285 SH DEFINED 02 SOLE WALGREEN CO 931422109 11,877 000000251427 SH DEFINED 01 SOLE WALTER INDS INC 93317Q105 430 000000016000 SH DEFINED 01 SOLE WASHINGTON MUT INC 939322103 7,824 000000221593 SH DEFINED 01 SOLE WASTE MGMT INC DEL 94106L109 4,991 000000132253 SH DEFINED 01 SOLE WATERS CORP 941848103 1,689 000000025254 SH DEFINED 01 SOLE WATSON PHARMACEUTICALS INC 942683103 840 000000025936 SH DEFINED 01 SOLE WELLPOINT INC 94973V107 12,136 000000153787 SH DEFINED 01 SOLE WELLS FARGO & CO NEW 949746101 30,126 000000845774 SH DEFINED 01 SOLE WENDYS INTL INC 950590109 771 000000022096 SH DEFINED 01 SOLE WESTERN UN CO 959802109 4,099 000000195506 SH DEFINED 01 SOLE WEYERHAEUSER CO 962166104 3,949 000000054620 SH DEFINED 01 SOLE 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INFORMATION TABLE QUARTER ENDING 09/30/2007 NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS ------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ---------------- 0YUM BRANDS INC 988498101 4,450 000000131568 SH DEFINED 01 SOLE ZIMMER HLDGS INC 98956P102 4,888 000000060363 SH DEFINED 01 SOLE ZIONS BANCORPORATION 989701107 1,869 000000027225 SH DEFINED 01 SOLE ZOLTEK COS INC 98975W104 472 000000010822 SH DEFINED 02 SOLE
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