-----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, JIXQOEHTB2ZMqAd9k9SVniIRE5u6wsGsNAyBTpP6GNlkLGlZqaB3dMII4FLi5GPW QaJTRFCjgp5LWAgV2fPc7A== 0000902266-04-000046.txt : 20041115 0000902266-04-000046.hdr.sgml : 20041115 20041115123034 ACCESSION NUMBER: 0000902266-04-000046 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040930 FILED AS OF DATE: 20041115 DATE AS OF CHANGE: 20041115 EFFECTIVENESS DATE: 20041115 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: 041143133 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 3RD QTR 2004 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, 2004 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 15, 2004 ------------------------------------------ (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: 988 Form 13F Information Table Value Total: $11,043,625 (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 04-11-08 14:47:43 0 FORM 13F INFORMATION TABLE QUARTER ENDING 09/30/2004 NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS ------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ---------------- 0DAIMLERCHRYSLER AG ORD D1668R123 202 000000004900 SH DEFINED 01 SOLE ACE LTD ORD G0070K103 12,014 000000299901 SH DEFINED 01 SOLE APEX SILVER MINES LTD ORD G04074103 3,472 000000160000 SH DEFINED 01 SOLE BUNGE LIMITED COM G16962105 459 000000011500 SH DEFINED 01 SOLE COOPER INDS LTD CL A G24182100 4,243 000000071920 SH DEFINED 01 SOLE EVEREST RE GROUP LTD COM G3223R108 200 000000002700 SH DEFINED 01 SOLE GARMIN LTD ORD G37260109 305 000000007059 SH DEFINED 01 SOLE INGERSOLL-RAND COMPANY LTD CL A G4776G101 8,792 000000129361 SH DEFINED 01 SOLE MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 370 000000014188 SH DEFINED 01 SOLE NABORS INDUSTRIES LTD SHS G6359F103 5,258 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COM 251893103 227 000000011000 SH DEFINED 01 SOLE DIAMONDS TR UNIT SER 1 252787106 151,305 000001500000 SH DEFINED 01 SOLE DIEBOLD INC COM 253651103 630 000000013500 SH DEFINED 01 SOLE DIGENE CORP COM 253752109 987 000000038033 SH DEFINED 01 SOLE DILLARDS INC CL A 254067101 1,302 000000065966 SH DEFINED 01 SOLE DISNEY WALT CO COM DISNEY 254687106 34,356 000001523565 SH DEFINED 01 SOLE DOLLAR GEN CORP COM 256669102 5,194 000000257771 SH DEFINED 01 SOLE DOLLAR TREE STORES INC COM 256747106 2,008 000000074524 SH DEFINED 01 SOLE DOMINION RES INC VA NEW COM 25746U109 16,389 000000251186 SH DEFINED 01 SOLE DONNELLEY R R & SONS CO COM 257867101 5,065 000000161738 SH DEFINED 01 SOLE DOVER CORP COM 260003108 6,348 000000163322 SH DEFINED 01 SOLE DOW CHEM CO COM 260543103 31,404 000000695093 SH DEFINED 01 SOLE DOW JONES & CO INC COM 260561105 2,599 000000064023 SH DEFINED 01 SOLE DU PONT E I DE NEMOURS & CO COM 263534109 31,849 000000744146 SH DEFINED 01 SOLE DUKE ENERGY CORP NOTE 1.75 264399EJ1 10,650 000000100000 PRN DEFINED 01 SOLE DUKE ENERGY CORP COM 264399106 15,852 000000692552 SH DEFINED 01 SOLE DUQUESNE LT HLDGS INC COM 266233105 226 000000012610 SH DEFINED 01 SOLE DYNEGY INC NEW CL A 26816Q101 1,479 000000296482 SH DEFINED 01 SOLE E M C CORP MASS COM 268648102 20,605 000001785539 SH DEFINED 01 SOLE EOG RES INC COM 26875P101 5,721 000000086881 SH DEFINED 01 SOLE E TRADE FINANCIAL CORP COM 269246104 3,187 000000279150 SH DEFINED 01 SOLE EASTMAN CHEM CO COM 277432100 2,781 000000058493 SH DEFINED 01 SOLE EASTMAN KODAK CO COM 277461109 6,952 000000215768 SH DEFINED 01 SOLE EATON CORP COM 278058102 7,679 000000121101 SH DEFINED 01 SOLE EBAY INC COM 278642103 46,601 000000506874 SH DEFINED 01 SOLE ECHOSTAR COMMUNICATIONS NEW CL A 278762109 385 000000012389 SH DEFINED 01 SOLE ECOLAB INC COM 278865100 5,964 000000189709 SH DEFINED 01 SOLE 1Page 8 04-11-08 16:37:43 0 FORM 13F INFORMATION TABLE QUARTER ENDING 09/30/2004 NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS ------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ---------------- 0EDISON INTL COM 281020107 6,353 000000239683 SH DEFINED 01 SOLE EDUCATION MGMT CORP COM 28139T101 623 000000023388 SH DEFINED 01 SOLE EDWARDS AG INC COM 281760108 595 000000017200 SH DEFINED 01 SOLE EFUNDS CORP COM 28224R101 1,396 000000075132 SH DEFINED 01 SOLE EL PASO CORP COM 28336L109 4,367 000000475252 SH DEFINED 01 SOLE ELAN PLC ADR 284131208 468 000000020000 SH DEFINED 01 SOLE ELECTRONIC ARTS INC COM 285512109 14,284 000000310600 SH DEFINED 01 SOLE ELECTRONIC DATA SYS NEW NOTE 3.87 285661AF1 15,441 000000155000 PRN DEFINED 01 SOLE ELECTRONIC DATA SYS NEW COM 285661104 7,532 000000388484 SH DEFINED 01 SOLE EMERSON ELEC CO COM 291011104 19,375 000000313061 SH DEFINED 01 SOLE EMMIS COMMUNICATIONS CORP CL A 291525103 205 000000011353 SH DEFINED 01 SOLE EMULEX CORP COM NEW 292475209 198 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364730101 16,771 000000200238 SH DEFINED 01 SOLE GAP INC DEL COM 364760108 12,789 000000685767 SH DEFINED 01 SOLE GARTNER INC COM 366651107 144 000000012400 SH DEFINED 01 SOLE GATEWAY INC COM 367626108 1,448 000000292579 SH DEFINED 01 SOLE GENERAL DYNAMICS CORP COM 369550108 15,058 000000147491 SH DEFINED 01 SOLE GENERAL ELEC CO COM 369604103 257,478 000007667621 SH DEFINED 01 SOLE GENERAL MLS INC COM 370334104 12,613 000000280930 SH DEFINED 01 SOLE GENERAL MTRS CORP COM 370442105 17,830 000000419731 SH DEFINED 01 SOLE GENERAL MTRS CORP COM 370442105 849 000000020000 SH DEFINED 01 SOLE GENERAL MTRS CORP DEB SR CON 370442733 34,669 000000014500 PRN DEFINED 01 SOLE GENTEX CORP COM 371901109 549 000000015629 SH DEFINED 01 SOLE GENUINE PARTS CO COM 372460105 5,271 000000137362 SH DEFINED 01 SOLE GENZYME CORP NOTE 1.25 372917AN4 7,856 000000075000 PRN DEFINED 01 SOLE GENZYME CORP COM GENL D 372917104 10,559 000000194078 SH DEFINED 01 SOLE GEORGIA PAC CORP COM 373298108 7,048 000000196055 SH DEFINED 01 SOLE GILEAD SCIENCES INC COM 375558103 12,541 000000335510 SH DEFINED 01 SOLE GILLETTE CO COM 375766102 31,119 000000745548 SH DEFINED 01 SOLE GLATFELTER COM 377316104 216 000000017479 SH DEFINED 01 SOLE GOLD FIELDS LTD NEW SPONSORED 38059T106 3,003 000000220000 SH DEFINED 01 SOLE GOLDEN STAR RES LTD CDA COM 38119T104 1,317 000000250000 SH DEFINED 01 SOLE GOLDEN WEST FINL CORP DEL COM 381317106 13,061 000000117720 SH DEFINED 01 SOLE GOLDMAN SACHS GROUP INC COM 38141G104 33,611 000000360481 SH DEFINED 01 SOLE GOODRICH CORP COM 382388106 3,099 000000098835 SH DEFINED 01 SOLE GOODYEAR TIRE & RUBR CO COM 382550101 1,470 000000136881 SH DEFINED 01 SOLE GOOGLE INC CL A 38259P508 460 000000003500 SH DEFINED 02 SOLE GRAINGER W W INC COM 384802104 3,898 000000067620 SH DEFINED 01 SOLE GRAY TELEVISION INC CL A 389375205 1,275 000000114500 SH DEFINED 01 SOLE GREAT LAKES CHEM CORP COM 390568103 1,132 000000044234 SH DEFINED 01 SOLE GREAT PLAINS ENERGY INC COM 391164100 256 000000008800 SH DEFINED 01 SOLE GREENPOINT FINL CORP COM 395384100 51,695 000001117500 SH DEFINED 01 SOLE 1Page 10 04-11-08 16:37:43 0 FORM 13F INFORMATION TABLE QUARTER ENDING 09/30/2004 NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS ------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ---------------- 0GRUPO TMM S A SP ADR A S 40051D105 414 000000175000 SH DEFINED 01 SOLE GTECH HLDGS CORP COM 400518106 582 000000023000 SH DEFINED 01 SOLE GUIDANT CORP COM 401698105 15,770 000000238807 SH DEFINED 01 SOLE HCA INC COM 404119109 13,635 000000357429 SH DEFINED 01 SOLE HNI CORP COM 404251100 304 000000007700 SH DEFINED 01 SOLE HALLIBURTON CO NOTE 3.12 406216AM3 2,846 000000025000 PRN DEFINED 01 SOLE HALLIBURTON CO COM 406216101 10,961 000000325368 SH DEFINED 01 SOLE HANOVER COMPRESSOR CO COM 410768105 142 000000010609 SH DEFINED 01 SOLE HARLEY DAVIDSON INC COM 412822108 13,951 000000234723 SH DEFINED 01 SOLE HARRAHS ENTMT INC COM 413619107 4,669 000000088136 SH DEFINED 01 SOLE HARTFORD FINL SVCS GROUP INC COM 416515104 13,429 000000216857 SH DEFINED 01 SOLE HASBRO INC COM 418056107 2,508 000000133418 SH DEFINED 01 SOLE HEALTH MGMT ASSOC INC NEW NOTE 1.50 421933AF9 5,150 000000050000 PRN DEFINED 01 SOLE HEALTH MGMT ASSOC INC NEW CL A 421933102 3,912 000000191531 SH DEFINED 01 SOLE HEALTH NET INC COM 42222G108 2,612 000000105700 SH DEFINED 01 SOLE HEICO CORP NEW CL A 422806208 2,526 000000187450 SH DEFINED 01 SOLE HEINZ H J CO COM 423074103 10,022 000000278244 SH DEFINED 01 SOLE HERCULES INC COM 427056106 1,321 000000092739 SH DEFINED 01 SOLE HERSHEY FOODS CORP COM 427866108 8,464 000000181209 SH DEFINED 01 SOLE HEWLETT PACKARD CO COM 428236103 42,010 000002240557 SH DEFINED 01 SOLE HIBERNIA CORP CL A 428656102 356 000000013500 SH DEFINED 01 SOLE HILLENBRAND INDS INC COM 431573104 899 000000017800 SH DEFINED 01 SOLE HILTON HOTELS CORP COM 432848109 5,579 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ITT INDS INC IND COM 450911102 5,824 000000072813 SH DEFINED 01 SOLE IDENIX PHARMACEUTICALS INC COM 45166R204 2,734 000000930974 SH DEFINED 02 SOLE ILLINOIS TOOL WKS INC COM 452308109 20,921 000000224549 SH DEFINED 01 SOLE IMCLONE SYS INC COM 45245W109 1,987 000000037601 SH DEFINED 01 SOLE IMPAX LABORATORIES INC COM 45256B101 389 000000025334 SH DEFINED 01 SOLE INAMED CORP COM 453235103 562 000000011790 SH DEFINED 01 SOLE INDEPENDENCE CMNTY BK CORP COM 453414104 224 000000005745 SH DEFINED 01 SOLE INDYMAC BANCORP INC COM 456607100 376 000000010400 SH DEFINED 01 SOLE INET TECHNOLOGIES INC COM 45662V105 2,517 000000200083 SH DEFINED 01 SOLE 1Page 11 04-11-08 16:37:43 0 FORM 13F INFORMATION TABLE QUARTER ENDING 09/30/2004 NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS ------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ---------------- 0INFORMATION HLDGS INC COM 456727106 681 000000025034 SH DEFINED 01 SOLE INSTINET GROUP INC COM 457750107 4,753 000000945000 SH DEFINED 01 SOLE INTEGRATED CIRCUIT SYS INC COM 45811K208 322 000000015017 SH DEFINED 01 SOLE INTEGRATED DEVICE TECHNOLOGY COM 458118106 354 000000037226 SH DEFINED 01 SOLE INTEL CORP COM 458140100 98,130 000004891839 SH DEFINED 01 SOLE INTEL CORP COM 458140100 20,643 000001026000 SH DEFINED 02 SOLE INTERCEPT INC COM 45845L107 3,359 000000179363 SH DEFINED 01 SOLE INTERMUNE INC COM 45884X103 237 000000020176 SH DEFINED 01 SOLE INTERNATIONAL BUSINESS MACHS COM 459200101 105,023 000001224903 SH DEFINED 01 SOLE INTERNATIONAL BUSINESS MACHS COM 459200101 2,350 000000027420 SH DEFINED 01 SOLE INTERNATIONAL FLAVORS&FRAGRA COM 459506101 2,719 000000071197 SH DEFINED 01 SOLE INTERNATIONAL GAME TECHNOLOG COM 459902102 9,165 000000254955 SH DEFINED 01 SOLE INTL PAPER CO DBCV 460146BM4 5,500 000010000000 SH DEFINED 01 SOLE INTL PAPER CO COM 460146103 15,910 000000393736 SH DEFINED 01 SOLE 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000000011653 SH DEFINED 01 SOLE LANDAMERICA FINL GROUP INC COM 514936103 1,067 000000023463 SH DEFINED 01 SOLE LATTICE SEMICONDUCTOR CORP COM 518415104 142 000000029000 SH DEFINED 01 SOLE LAUDER ESTEE COS INC CL A 518439104 1,057 000000025300 SH DEFINED 01 SOLE LEAPFROG ENTERPRISES INC CL A 52186N106 2,445 000000120764 SH DEFINED 01 SOLE LEGGETT & PLATT INC COM 524660107 4,034 000000143576 SH DEFINED 01 SOLE LEGG MASON INC COM 524901105 807 000000015150 SH DEFINED 01 SOLE LEHMAN BROS HLDGS INC COM 524908100 16,122 000000202244 SH DEFINED 01 SOLE LENNAR CORP CL B 526057302 11,646 000000265900 SH DEFINED 01 SOLE LEUCADIA NATL CORP COM 527288104 1,155 000000020400 SH DEFINED 01 SOLE LEVEL 3 COMMUNICATIONS INC COM 52729N100 313 000000120929 SH DEFINED 01 SOLE LEXMARK INTL NEW CL A 529771107 9,009 000000107249 SH DEFINED 01 SOLE LIBERTY MEDIA CORP NEW COM SER A 530718105 6,540 000000750000 SH DEFINED 01 SOLE LIBERTY MEDIA INTL INC COM SER A 530719103 333 000000010000 SH DEFINED 01 SOLE 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09/30/2004 NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS ------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ---------------- 0LUBRIZOL CORP COM 549271104 283 000000008200 SH DEFINED 01 SOLE LUCENT TECHNOLOGIES INC COM 549463107 10,548 000003327694 SH DEFINED 01 SOLE M & T BK CORP COM 55261F104 8,836 000000092334 SH DEFINED 01 SOLE MBIA INC COM 55262C100 6,673 000000114648 SH DEFINED 01 SOLE MBNA CORP COM 55262L100 23,803 000000944572 SH DEFINED 01 SOLE MDU RES GROUP INC COM 552690109 223 000000008500 SH DEFINED 01 SOLE MCI INC COM 552691107 1,792 000000107021 SH DEFINED 01 SOLE MGIC INVT CORP WIS COM 552848103 5,500 000000082652 SH DEFINED 01 SOLE MPS GROUP INC COM 553409103 142 000000017002 SH DEFINED 01 SOLE MAGELLAN HEALTH SVCS INC COM NEW 559079207 3,660 000000100124 SH DEFINED 01 SOLE MANDALAY RESORT GROUP COM 562567107 13,867 000000202000 SH DEFINED 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01 SOLE MCCORMICK & CO INC COM NON VT 579780206 3,541 000000103129 SH DEFINED 01 SOLE MCDATA CORP CL B 580031102 3,842 000000817500 SH DEFINED 01 SOLE MCDATA CORP CL A 580031201 197 000000039290 SH DEFINED 01 SOLE MCDONALDS CORP COM 580135101 26,210 000000935099 SH DEFINED 01 SOLE MCGRAW HILL COS INC COM 580645109 11,161 000000140063 SH DEFINED 01 SOLE MCKESSON CORP COM 58155Q103 5,737 000000223689 SH DEFINED 01 SOLE MEADWESTVACO CORP COM 583334107 4,762 000000149304 SH DEFINED 01 SOLE MEDCO HEALTH SOLUTIONS INC COM 58405U102 6,222 000000201387 SH DEFINED 01 SOLE MEDICIS PHARMACEUTICAL CORP CL A NEW 584690309 710 000000018200 SH DEFINED 01 SOLE MEDIMMUNE INC COM 584699102 7,172 000000302638 SH DEFINED 01 SOLE MEDTRONIC INC DBCV 1.25 585055AB2 15,375 000000150000 PRN DEFINED 01 SOLE MEDTRONIC INC COM 585055106 46,646 000000898783 SH DEFINED 01 SOLE MELLON FINL CORP COM 58551A108 8,929 000000322491 SH DEFINED 01 SOLE MENTOR GRAPHICS CORP COM 587200106 140 000000012775 SH DEFINED 01 SOLE 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000000198195 SH DEFINED 01 SOLE MONSTER WORLDWIDE INC COM 611742107 2,217 000000089989 SH DEFINED 01 SOLE MOODYS CORP COM 615369105 7,981 000000108964 SH DEFINED 01 SOLE MORGAN STANLEY COM NEW 617446448 40,974 000000831124 SH DEFINED 01 SOLE MOTOROLA INC COM 620076109 31,418 000001741618 SH DEFINED 01 SOLE MOTOROLA INC COM 620076109 2,740 000000153000 SH DEFINED 02 SOLE MUELLER INDS INC COM 624756102 222 000000005183 SH DEFINED 01 SOLE MYLAN LABS INC COM 628530107 3,601 000000200083 SH DEFINED 01 SOLE NCR CORP NEW COM 62886E108 3,535 000000071299 SH DEFINED 01 SOLE NTL INC DEL COM 62940M104 1,775 000000028600 SH DEFINED 01 SOLE NASDAQ 100 TR UNIT SER 1 631100104 610,800 000017381907 SH DEFINED 01 SOLE NATIONAL CITY CORP COM 635405103 19,038 000000492960 SH DEFINED 01 SOLE NATIONAL COMMERCE FINL CORP COM 63545P104 18,815 000000550000 SH DEFINED 01 SOLE NATIONAL FUEL GAS CO N J COM 636180101 263 000000009300 SH DEFINED 01 SOLE NATIONAL INSTRS CORP COM 636518102 231 000000007640 SH 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711030106 1,492 000000035806 SH DEFINED 01 SOLE PEOPLESOFT INC COM 712713106 6,007 000000302622 SH DEFINED 01 SOLE PEPSI BOTTLING GROUP INC COM 713409100 5,099 000000187838 SH DEFINED 01 SOLE PEPSIAMERICAS INC COM 71343P200 271 000000014200 SH DEFINED 01 SOLE PEPSICO INC COM 713448108 61,337 000001260782 SH DEFINED 01 SOLE PERKINELMER INC COM 714046109 1,754 000000101906 SH DEFINED 01 SOLE PETROCHINA CO LTD SPONSORED 71646E100 526 000000009800 SH DEFINED 01 SOLE PETSMART INC COM 716768106 421 000000014855 SH DEFINED 01 SOLE PFIZER INC COM 717081103 171,896 000005617518 SH DEFINED 01 SOLE PHELPS DODGE CORP COM 717265102 6,713 000000072948 SH DEFINED 01 SOLE PINNACLE WEST CAP CORP COM 723484101 3,147 000000075838 SH DEFINED 01 SOLE PIONEER NAT RES CO COM 723787107 520 000000015100 SH DEFINED 01 SOLE PITNEY BOWES INC COM 724479100 7,666 000000173835 SH DEFINED 01 SOLE PIXAR COM 725811103 205 000000002607 SH DEFINED 01 SOLE PLEXUS CORP COM 729132100 142 000000012873 SH DEFINED 01 SOLE PLUM 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INFORMATION TABLE QUARTER ENDING 09/30/2004 NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS ------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ---------------- 0TEKTRONIX INC COM 879131100 2,127 000000063997 SH DEFINED 01 SOLE TELEFLEX INC COM 879369106 357 000000008400 SH DEFINED 01 SOLE TELEWEST GLOBAL INC COM 87956T107 9,806 000000843925 SH DEFINED 01 SOLE TELIK INC COM 87959M109 766 000000034392 SH DEFINED 01 SOLE TELLABS INC COM 879664100 3,063 000000333323 SH DEFINED 01 SOLE TEMPLE INLAND INC COM 879868107 3,422 000000050970 SH DEFINED 01 SOLE TENET HEALTHCARE CORP COM 88033G100 3,758 000000348337 SH DEFINED 01 SOLE TERADYNE INC COM 880770102 2,073 000000154748 SH DEFINED 01 SOLE TETRA TECH INC NEW COM 88162G103 377 000000029802 SH DEFINED 01 SOLE TEVA PHARMACEUTICAL INDS LTD ADR 881624209 1,618 000000062370 SH DEFINED 01 SOLE TEXAS GENCO HLDGS INC COM 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1Page 22 04-11-08 16:37:43 0 FORM 13F INFORMATION TABLE QUARTER ENDING 09/30/2004 NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS ------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ---------------- 0WHIRLPOOL CORP COM 963320106 3,027 000000050378 SH DEFINED 01 SOLE WHOLE FOODS MKT INC COM 966837106 357 000000004170 SH DEFINED 01 SOLE WILLIAMS COS INC DEL COM 969457100 4,673 000000386207 SH DEFINED 01 SOLE WILLIAMS SONOMA INC COM 969904101 319 000000008500 SH DEFINED 01 SOLE WILMINGTON TRUST CORP COM 971807102 343 000000009500 SH DEFINED 01 SOLE WIND RIVER SYSTEMS INC COM 973149107 159 000000013035 SH DEFINED 01 SOLE WINN DIXIE STORES INC COM 974280109 418 000000135338 SH DEFINED 01 SOLE WORTHINGTON INDS INC COM 981811102 1,478 000000069259 SH DEFINED 01 SOLE WRIGLEY WM JR CO COM 982526105 10,709 000000169153 SH DEFINED 01 SOLE WYETH DBCV 983024AD2 19,642 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