-----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, Giy6D9rWajRy06sGNUgQQjbdbcz6wPtwXiksaW5nRpN+VHCU5f3XbVzSzwJrOVCW 7K8m8Aiv9/oqUdwkRALqVw== 0001006364-07-000009.txt : 20071026 0001006364-07-000009.hdr.sgml : 20071026 20071026140224 ACCESSION NUMBER: 0001006364-07-000009 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070930 FILED AS OF DATE: 20071026 DATE AS OF CHANGE: 20071026 EFFECTIVENESS DATE: 20071026 FILER: COMPANY DATA: COMPANY CONFORMED NAME: JOHNSTON ASSET MANAGEMENT CORP CENTRAL INDEX KEY: 0001006364 IRS NUMBER: 133257590 STATE OF INCORPORATION: CT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-05210 FILM NUMBER: 071193001 BUSINESS ADDRESS: STREET 1: 300 ATLANTIC STREET STREET 2: SUITE 1102 CITY: STAMFORD STATE: CT ZIP: 06901 BUSINESS PHONE: 2033244722 MAIL ADDRESS: STREET 1: 300 ATLANTIC STREET STREET 2: SUITE 1102 CITY: STAMFORD STATE: CT ZIP: 06901 FORMER COMPANY: FORMER CONFORMED NAME: JOHNSTON SCHAGER ASSET MANAGEMENT CORP/CT DATE OF NAME CHANGE: 19990324 13F-HR/A 1 sec13f3q07.txt FORM 13F COVER PAGE Report for the quarter ended: September 30, 2007 Name: Johnston Asset Management Corp. Address: 300 Atlantic Street Stamford, CT 06901 13F File Number: 28-5210 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. Person signing this report on behalf of reporting Manager: Name: Julie OConnor Phone: 203-324-4722 Signature, place, and date of signing Report type: { } 13F Holdings Report { } 13F Notice { x} 13F Combination Report I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE REPORT SUMMARY: NUMBER OF OTHER INCLUDED MANAGERS: 2 FORM 13F INFORMATION TABLE ENTRY TOTAL: FORM 13F INFORMATION TABLE VALUE TOTAL: List of other included managers: Cassandra Hardman 2 W.H. Fissell 3 FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ExSAR Corp ps 280 280000 SH SOLE 280000 ExSar Corp Ser D Pfd ps 150 100000 SH SOLE 100000 PharmaStem Therapeutics, Inc P ps 50 50000 SH SOLE 50000 Pharmastem Corp Ser B Conv Pfd ps 0 141188 SH SOLE 141188 Pharmastem Corp Ser C Conv Pfd ps 0 98458 SH SOLE 98458 Pharmastem Corp Ser D Conv Pfd ps 0 261503 SH SOLE 261503 Pharmastem Corp Series A Conv ps 0 1639391 SH SOLE 1639391 Targent, Inc. Series C Pfd. ps 26 32845 SH SOLE 32845 Vela Pharmaceuticals Series C ps 82 54618 SH SOLE 54618 Vela Pharmaceuticals, Inc.SerA ps 250 500000 SH SOLE 500000 Vela Pharmaceuticals, Inc.SerB ps 40 80000 SH SOLE 80000 AT&T Corp New cs 00206r102 11007 260154 SH SOLE 257571 2583 Abbott Labs cs 002824100 11417 212918 SH SOLE 212918 Amgen Inc cs 031162100 11461 202595 SH SOLE 202195 400 Applied Biosystems Group cs 038020103 10463 302062 SH SOLE 300562 1700 Automatic Data Proc cs 053015103 11599 252530 SH SOLE 250530 2200 BHP Billiton PLC Ord Shares cs 0056650 6949 194920 SH SOLE 194920 Bank Of New York cs 064057102 327 7404 SH SOLE 7404 Becton Dickinson cs 075887109 10713 130568 SH SOLE 129000 1568 Biosphere Medical Inc cs 09066v103 191 40000 SH SOLE 40000 Boston Scientific cs 101137107 12422 890433 SH SOLE 885837 4796 CBL & Assoc. Prop cs 124830100 456 13000 SH SOLE 13000 Cheung Kong Holdings Ordinary cs 6190273 9136 553720 SH SOLE 553720 Cisco Systems Inc cs 17275R102 23901 721420 SH SOLE 718420 3110 Coca Cola Company cs 191216100 375 6530 SH SOLE 6530 Comcast Corp New Cl A cs 20030N101 12564 519622 SH SOLE 519222 510 Computer Sciences cs 205363104 14288 255605 SH SOLE 253905 1700 Conceptus cs 206016107 736 38754 SH SOLE 38754 Conergy AG Ordinary Shares cs 7066726 2721 28340 SH SOLE 28340 DOV Pharmaceutical, Inc. cs 259858108 5 20000 SH SOLE 20000 Daiwa Securities Co. Ordinary cs 6251448 332 34890 SH SOLE 34890 Diebold, Inc cs 253651103 17531 385967 SH SOLE 383777 2390 EMC Corp cs 268648102 22328 1073460 SH SOLE 1068460 5500 Edwards Lifesciences Corp. cs 28176E108 14864 301430 SH SOLE 299570 1920 Enterprise Prods Partners LP cs 293792107 2170 71722 SH SOLE 68102 3620 Exsar Corp cs 68 454000 SH SOLE 454000 Exxon Mobil cs 30231g102 3334 36019 SH SOLE 36019 Fresenius Medical Care AG Ordi cs 5129074 4598 86680 SH SOLE 86680 General Electric cs 369604103 19186 463426 SH SOLE 460726 2700 HRPT Properties Trust cs 40426w101 5856 592100 SH SOLE 586100 6000 Hewlett-Packard cs 428236103 309 6200 SH SOLE 6200 Highwood Properties Inc cs 431284108 348 9500 SH SOLE 9500 Hyflux Ltd. Ordinary Shares cs 6320058 3943 2043156 SH SOLE 2043156 IMS Health Inc cs 449934108 18675 609495 SH SOLE 606495 3400 Intel Corporation cs 458140100 20641 798180 SH SOLE 795380 2920 Invitrogen Corp cs 46185r100 798 9765 SH SOLE 9765 Isis Pharmaceutical cs 464330109 13603 908701 SH SOLE 902701 6600 Johnson & Johnson cs 478160104 15693 238853 SH SOLE 237653 1400 KLA-Tencor Corp cs 482480100 13975 250540 SH SOLE 248185 2355 Kurita Water Industries Ordina cs 6497963 5453 160810 SH SOLE 160810 Liberty Property Tr cs 531172104 2782 69193 SH SOLE 67193 2000 M&T Bank cs 55261F104 856 8278 SH SOLE 8278 MBIA Inc cs 55262c100 10266 168155 SH SOLE 168155 MGIC Investment Corp cs 552848103 1184 36650 SH SOLE 36650 150 Marsh & McLennan cs 571748102 6895 270376 SH SOLE 270376 Maxim Integrated Pdts cs 57772k101 13587 462930 SH SOLE 461230 1800 Medtronic Inc cs 585055106 17674 313312 SH SOLE 313312 100 Microsoft Corp cs 594918104 16463 558810 SH SOLE 556810 2000 Millipore Corp cs 601073109 16542 218228 SH SOLE 217228 1000 Mitsui & Co. Ltd. Ordinary Shs cs 6597302 11703 482410 SH SOLE 482410 Nicor Inc cs 654086107 497 11575 SH SOLE 11575 200 Nobel Biocare Holding AG Ord cs 7385722 4571 16940 SH SOLE 16940 Pall Corporation cs 696429307 13135 337667 SH SOLE 335667 2140 Pharmos Corp cs 717139307 33 37164 SH SOLE 37164 Plantronics Inc. cs 727493108 16530 578975 SH SOLE 575975 3100 Procter & Gamble cs 742718109 1581 22480 SH SOLE 22480 100 Quest Diagnostics Inc cs 74834L100 10494 181660 SH SOLE 181660 Renewable Energy Corp. AS Ordi cs B01VHW2 2793 60940 SH SOLE 60940 Roche Holding Ordinary Shares cs 7110388 8694 48110 SH SOLE 48110 SABMiller Ord Shs cs 0483548 9183 323815 SH SOLE 323815 SGS SA Ordinary Shares cs 4824778 3491 3066 SH SOLE 3066 Schering-Plough cs 806605101 377 11904 SH SOLE 11904 Schlumberger Ltd cs 806857108 19304 183852 SH SOLE 183252 600 Sealed Air Corp cs 81211k100 240 9394 SH SOLE 9394 Sepracor Inc cs 817315104 3674 133595 SH SOLE 133395 200 Societe Generale Ordinary Shs cs 5966516 2669 15950 SH SOLE 15950 Solon AG Fuer Solartechnik Ord cs 7450738 3471 31050 SH SOLE 31050 Spectrum Pharmaceuticals Inc cs 84763A108 291 69045 SH SOLE 69045 TEPPCO Prt LP Intl cs 872384102 1690 44400 SH SOLE 39400 5000 Targent Inc cs 100 400000 SH SOLE 400000 Transocean Inc. cs G90078109 412 3648 SH SOLE 3648 Varian Medical Systems cs 92220p105 13867 331030 SH SOLE 328870 2310 Vela Pharmaceuticals Inc cs 20 202500 SH SOLE 202500 Veolia Environnement Ordinary cs 4031879 12243 142559 SH SOLE 142559 Vestas Wind Systems A/S Ordina cs 5964651 2750 34900 SH SOLE 34900 Wachovia Bank cs 929771103 225 4484 SH SOLE 4484 Westpac Banking ADS cs 961214301 758 6025 SH SOLE 6025 deCode Genetics cs 243586104 80 23000 SH SOLE 23000 ABB Ltd. Sponsored ADR 000375204 10067 383780 SH SOLE 383780 ASML Holding NV NY Reg ADR N07059186 45890 1396531 SH SOLE 1396531 Alcon Inc ADR H01301102 32909 228662 SH SOLE 228662 BHP Billiton ADR 05545E209 17325 240932 SH SOLE 240932 BP Plc-Spons ADR 055622104 711 10248 SH SOLE 10248 Cemex SA Spons ADR 151290889 323 10811 SH SOLE 8486 2325 Cheung Kong Holdings ADR 166744201 38645 2341825 SH SOLE 2336125 5700 Daiwa Securities Group Inc ADR 234064202 2636 27713 SH SOLE 27713 Diageo PLC Spon ADR 25243Q205 47319 539366 SH SOLE 539366 50 Fresenius Medical Care Ag ADR 358029106 48834 920359 SH SOLE 918359 2000 HSBC Holdings PLC ADR 404280406 26071 281544 SH SOLE 281544 ICICI Bank Ltd. ADR 45104G104 19289 365870 SH SOLE 365870 Mitsui & Co ADR 606827202 39056 80363 SH SOLE 80363 National Australia Bank Spon A 632525408 2570 14629 SH SOLE 13975 654 Orthofix Intl ADR N6748L102 6510 132930 SH SOLE 131330 1600 Qiagen NV ADR N72482107 50082 2580232 SH SOLE 2577232 3100 Roche Hldg ADR 771195104 23886 264360 SH SOLE 264360 Royal Dutch Shell PLC Cl A Spo 780259206 255 3100 SH SOLE 3100 SABMiller Sp ADR 78572m105 38502 1357629 SH SOLE 1351250 6379 SGS SocGen Surveillance ADR 818800104 11669 1024943 SH SOLE 1024943 SK Telecom Co Ltd ADR 78440p108 39917 1344013 SH SOLE 1341013 3000 Societe Generale ADR 83364L109 13590 406002 SH SOLE 406002 Telefonica Spon ADR 879382208 50136 598208 SH SOLE 598208 Teva Pharmaceutical - ADR 881624209 46288 1040875 SH SOLE 1040875 Veolia Environnement ADR 92334N103 32016 371674 SH SOLE 371674 Vodafone Group ADR 92857W209 48955 1348626 SH SOLE 1346439 2187 Nobel Biocare Holding AG (chf) cs 7385722 893 3310 SH SOLE 3310 Roche Holding Ordinary Shares cs 7110388 1237 6845 SH SOLE 6845 SGS SA Ordinary Shares (chf) cs 4824778 847 744 SH SOLE 744 ASML Holding NV (eur) cs 5949368 1358 41059 SH SOLE 41059 Fresenius Medical Care (eur) cs 5129074 1163 21933 SH SOLE 21933 Qiagen N.V. (eur) cs 5732825 1273 65768 SH SOLE 65768 Societe Generale (eur) cs 5966516 842 5030 SH SOLE 5030 Solon AG Fuer Solartechnik Ord cs 7450738 848 7590 SH SOLE 7590 Veolia Environnement (eur) cs 4031879 2668 31060 SH SOLE 31060 BHP Billiton PLC Ordinary Shar cs 0056650 888 24910 SH SOLE 24910 Diageo Ordinary Shares (gbp) cs 0237400 580 26500 SH SOLE 26500 SABMiller PLC (gbp) cs 0483548 2486 87674 SH SOLE 87674 Vodafone Group PLC (gbp) cs B16GWD5 700 194672 SH SOLE 194672 Cheung Kong (hkd) cs 6190273 2388 144720 SH SOLE 144720 Kurita Water Industries (jpy) cs 6497963 1364 40230 SH SOLE 40230 Mitsui & Co. Ltd. (jpy) cs 6597302 2459 101390 SH SOLE 101390 Hyflux Ltd. Ordinary Shares (s cs 6320058 347 179245 SH SOLE 179245 Centocor Partners III 0 50000 SH SOLE 50000 Eagle Peak Fund LP 250 250000 SH SOLE 250000 Twin Oaks Partnership 600 500000 SH SOLE 500000
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