-----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, CTj0YIyVEaAAiq4A9fkc3oAWkx8nNAutepHkT73m59dy8GmEoKBGAyEr2QdNPZ7w taultrX9dGbtkQLguTZ8JA== 0001006364-06-000004.txt : 20061117 0001006364-06-000004.hdr.sgml : 20061117 20061117110710 ACCESSION NUMBER: 0001006364-06-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060930 FILED AS OF DATE: 20061117 DATE AS OF CHANGE: 20061117 EFFECTIVENESS DATE: 20061117 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 SEC ACT: 1934 Act SEC FILE NUMBER: 028-05210 FILM NUMBER: 061225420 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 1 sec13f3q06.txt FORM 13F COVER PAGE Report for the quarter ended: September 30, 2006 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 420 420000 SH SOLE 420000 ExSar Corp Ser D Pfd ps 225 150000 SH SOLE 150000 National Australia Bank 7.875 ps 632525309 4325 98180 SH SOLE 96180 2000 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 Scottish Re. Group 7.25% ps 735374021 574 26400 SH SOLE 26400 Targent, Inc. Series B Pfd. ps 510 204 SH SOLE 204 Targent, Inc. Series C Pfd. ps 522 652366 SH SOLE 652366 Vela Pharmaceuticals Ser. D Pf ps 316 211000 SH SOLE 211000 Vela Pharmaceuticals Series C ps 107 71356 SH SOLE 71356 Vela Pharmaceuticals, Inc.SerA ps 325 650000 SH SOLE 650000 Vela Pharmaceuticals, Inc.SerB ps 80 160000 SH SOLE 160000 Wells Fargo 7% Pfd. due 09/01/ ps 94976y207 226 9000 SH SOLE 9000 ASML Holding NV NY Reg ADR cs N07059111 22920 984539 SH SOLE 984539 AT&T Corp New cs 001957505 343 10542 SH SOLE 10542 Abbott Labs cs 002824100 11693 240798 SH SOLE 240798 Amgen Inc cs 031162100 12935 180840 SH SOLE 180840 Applied Biosystems Group cs 038020103 12668 382597 SH SOLE 381097 1700 Automatic Data Proc cs 053015103 11884 251030 SH SOLE 249030 2200 BP Plc-Spons ADR cs 055622104 672 10248 SH SOLE 10248 Banco Bilbao Vizcaya - Sp ADR cs 05946K101 9035 390620 SH SOLE 390620 Bank Of New York cs 064057102 277 7850 SH SOLE 7850 Becton Dickinson cs 075887109 13550 191743 SH SOLE 190160 1583 Bellsouth Corp cs 079860102 7858 183822 SH SOLE 181872 1950 Biosphere Medical Inc cs 09066v103 277 42000 SH SOLE 42000 Boston Scientific cs 101137107 10601 716743 SH SOLE 712147 4796 CBL & Assoc. Prop cs 124830100 545 13000 SH SOLE 13000 Calgon Carbon Corp cs 129603106 2262 511665 SH SOLE 508665 3000 Cemex SA Spons ADR cs 151290889 318 10558 SH SOLE 8288 2270 Cheung Kong Holdings ADR cs 166744201 15986 1489166 SH SOLE 1485166 4000 Cheung Kong Holdings Ordinary cs 6190273 4851 451690 SH SOLE 451690 China Life Insurance Co ADR cs 16939P106 21357 273249 SH SOLE 273249 Cisco Systems Inc cs 17275R102 15411 670620 SH SOLE 667620 3000 Coca Cola Company cs 191216100 304 6800 SH SOLE 6800 Comcast Corp New Cl A cs 20030N101 11129 301598 SH SOLE 301598 Computer Sciences cs 205363104 11006 224058 SH SOLE 222758 1300 Conceptus cs 206016107 686 38800 SH SOLE 38800 DOV Pharmaceutical, Inc. cs 259858108 18 20000 SH SOLE 20000 Daiwa Securities Co. Ordinary cs 6251448 6876 589240 SH SOLE 589240 Daiwa Securities Group Inc ADR cs 234064202 14433 123656 SH SOLE 123656 Diageo PLC Spon ADR cs 25243Q205 28177 396632 SH SOLE 396632 Diebold, Inc cs 253651103 17179 394647 SH SOLE 392457 2390 Doral Financial Corp cs 25811p100 4987 756777 SH SOLE 748097 8680 EMC Corp cs 268648102 12665 1057167 SH SOLE 1054667 3000 Edwards Lifesciences Corp. cs 28176E108 10190 218720 SH SOLE 217720 1000 Endesa ADR cs 29258N107 18967 445243 SH SOLE 443743 1500 Enterprise Prods Partners LP cs 293792107 1877 70162 SH SOLE 66542 3620 Exsar Corp cs 80 531000 SH SOLE 531000 Exxon Mobil cs 30231g102 2429 36194 SH SOLE 36194 Fresenius Medical Care AG Ordi cs 5129074 3823 29430 SH SOLE 29430 Fresenius Medical Care Ag - AD cs 358029106 28677 663514 SH SOLE 661514 2000 General Electric cs 369604103 14910 422385 SH SOLE 419685 2700 HRPT Properties Trust cs 40426w101 6662 557490 SH SOLE 551490 6000 HSBC Holdings PLC ADR cs 404280406 15178 165820 SH SOLE 165820 Hewlett-Packard cs 428236103 227 6200 SH SOLE 6200 Highwood Properties Inc cs 431284108 353 9500 SH SOLE 9500 IMS Health Inc cs 449934108 14069 528100 SH SOLE 525100 3400 Immunicon Corporation (common) cs 45260A107 101 23000 SH SOLE 23000 Intel Corporation cs 458140100 9091 441960 SH SOLE 441960 Invitrogen Corp cs 46185r100 619 9765 SH SOLE 9765 Isis Pharmaceutical cs 464330109 7068 984396 SH SOLE 978396 6600 Johnson & Johnson cs 478160104 18161 279654 SH SOLE 278454 1400 KLA-Tencor Corp cs 482480100 9477 213105 SH SOLE 210735 2370 Liberty Property Tr cs 531172104 3249 67993 SH SOLE 65993 2000 Lydall Inc cs 550819106 1935 217450 SH SOLE 214950 2500 M&T Bank cs 55261F104 1182 9854 SH SOLE 9854 MBIA Inc cs 55262c100 9916 161400 SH SOLE 161400 MGIC Investment Corp cs 552848103 2312 38550 SH SOLE 38550 150 Marsh & McLennan cs 571748102 397 14086 SH SOLE 14086 Maxim Integrated Pdts cs 57772k101 9497 338203 SH SOLE 336503 1700 Medtronic Inc cs 585055106 13542 291612 SH SOLE 291612 100 Microsoft Corp cs 594918104 14472 529148 SH SOLE 528148 1000 Millipore Corp cs 601073109 10529 171758 SH SOLE 171258 500 Mitsui & Co ADR cs 606827202 12481 49461 SH SOLE 49461 Mitsui & Co. Ltd. Ordinary Shs cs 6597302 5577 438410 SH SOLE 438410 Nicor Inc cs 654086107 495 11575 SH SOLE 11575 200 Orix ADR cs 686330101 26667 193100 SH SOLE 193100 Orix Corp Ordinary Shs cs 6661144 1095 3960 SH SOLE 3960 Orthofix Intl ADR cs N6748L102 6186 136045 SH SOLE 133645 2400 Pall Corporation cs 696429307 11409 370287 SH SOLE 368287 2300 Pfizer Inc cs 717081103 383 13500 SH SOLE 13500 Plantronics Inc. cs 727493108 8592 490105 SH SOLE 487405 2800 Precision Drilling Trust cs 740215108 200 6500 SH SOLE 6500 Procter & Gamble cs 742718109 1382 22300 SH SOLE 22300 100 Qiagen NV ADR cs N72482107 30209 1907140 SH SOLE 1904140 3000 Roche Hldg ADR cs 771195104 14560 168895 SH SOLE 168895 Roche Holding Ordinary Shares cs 7776 45100 SH SOLE 45100 Royal Dutch Shell PLC Cl A Spo cs 780259206 284 4300 SH SOLE 4300 SABMiller Ord Shs cs 0483548 5067 271855 SH SOLE 271855 SABMiller Sp ADR cs 78572m105 17150 919986 SH SOLE 913607 6379 SK Telecom Co Ltd ADR cs 78440p108 22489 951712 SH SOLE 948712 3000 Schering-Plough cs 806605101 263 11904 SH SOLE 11904 Schlumberger Ltd cs 806857108 10794 174018 SH SOLE 173418 600 Sealed Air Corp cs 81211k100 246 4547 SH SOLE 4547 Sepracor Inc cs 817315104 23842 492200 SH SOLE 492000 200 Societe Generale ADR cs 83364L109 18350 577138 SH SOLE 577138 Societe Generale Ordinary Shs cs 5966516 4459 28050 SH SOLE 28050 TEPPCO Prt LP Intl cs 872384102 1401 37700 SH SOLE 32700 5000 Targent Inc cs 100 400000 SH SOLE 400000 Telefonica Spon ADR cs 879382208 21481 414608 SH SOLE 414608 Teva Pharmaceutical - ADR cs 881624209 22436 658145 SH SOLE 658145 Transocean Inc. cs G90078109 310 4235 SH SOLE 4235 Varian Medical Systems cs 92220p105 16485 308762 SH SOLE 306602 2310 Vela Pharmaceuticals Inc cs 20 202500 SH SOLE 202500 Veolia Environnement ADR cs 92334N103 6766 112060 SH SOLE 112060 Veolia Environnement Ordinary cs 4031879 3703 61400 SH SOLE 61400 Vodafone Group ADR cs 92857W209 20857 912362 SH SOLE 910175 2187 Wachovia Bank cs 929771103 250 4484 SH SOLE 4484 Westpac Banking ADS cs 961214301 509 6025 SH SOLE 6025 deCode Genetics cs 243586104 236 43000 SH SOLE 43000 Roche Holding Ordinary Shares cs 7110388 822 4770 SH SOLE 4770 ASML Holding NV (eur) cs 5949368 1079 46189 SH SOLE 46189 Endesa S.A. (eur) cs 5271782 915 21532 SH SOLE 21532 Fresenius Medical Care (eur) cs 5129074 1190 9161 SH SOLE 9161 Qiagen N.V. (eur) cs 5732825 1036 65768 SH SOLE 65768 Societe Generale (eur) cs 5966516 868 5460 SH SOLE 5460 Veolia Environnement (eur) cs 4031879 400 6630 SH SOLE 6630 SABMiller PLC (gbp) cs 0483548 1548 83064 SH SOLE 83064 Vodafone Group PLC (gbp) cs 0719210 318 139352 SH SOLE 139352 Cheung Kong (hkd) cs 6190273 1503 140000 SH SOLE 140000 China Life (hkd) cs 6718976 1048 536000 SH SOLE 536000 Daiwa Securities Group Inc (jp cs 6251448 1339 114700 SH SOLE 114700 Mitsui & Co. Ltd. (jpy) cs 6597302 387 30390 SH SOLE 30390 Orix Corp (jpy) cs 6661144 1355 4900 SH SOLE 4900 Johnston Capital Partners Fund jamlp 2323 2322745 SH SOLE 2322745
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