-----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, UP16zvfmJpldF5YmSxVE8q8G9jD7db8bQPfxVV5b6gEFhpoqf+XtTeRn2CRVw7OE bNACIJrxEaaLl7oHhjKT5w== 0001006364-09-000004.txt : 20091005 0001006364-09-000004.hdr.sgml : 20091005 20091005095052 ACCESSION NUMBER: 0001006364-09-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091005 DATE AS OF CHANGE: 20091005 EFFECTIVENESS DATE: 20091005 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: 091104266 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 sec13f3q09.txt FORM 13F COVER PAGE Report for the quarter ended: September 30, 2009 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 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 210 420000 SH SOLE 420000 ExSar Corp Ser D Pfd ps 75 150000 SH SOLE 150000 PharmaStem Therapeutics, Inc P ps 53 53000 SH SOLE 53000 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 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 AT&T Corp New cs 00206r102 7068 261665 SH SOLE 259082 2583 Abbott Labs cs 002824100 9321 188409 SH SOLE 188409 Adobe Sys Inc cs 00724F101 11165 337910 SH SOLE 337210 800 Amgen Inc cs 031162100 12335 204805 SH SOLE 204005 860 Automatic Data Proc cs 053015103 14842 377655 SH SOLE 375655 2200 Bank Of New York cs 064058100 215 7404 SH SOLE 7404 Becton Dickinson cs 075887109 8634 123791 SH SOLE 122300 1491 Biosphere Medical Inc cs 09066v103 136 40000 SH SOLE 40000 Boston Scientific cs 101137107 9734 919172 SH SOLE 917672 1500 Cerner Corp. cs 156782104 14033 187610 SH SOLE 186810 860 Chevron Texaco cs 166764100 250 3556 SH SOLE 3556 Cisco Systems Inc cs 17275R102 18707 794710 SH SOLE 793710 1160 Citigroup, Inc cs 172967101 738 152455 SH SOLE 152455 Coca Cola Company cs 191216100 344 6400 SH SOLE 6400 Cognizant Tech Solutions - Cla cs 192446102 14848 384070 SH SOLE 384070 Comcast Corp New Cl A cs 20030N101 11914 705787 SH SOLE 704287 1740 EMC Corp cs 268648102 17072 1001855 SH SOLE 999355 3000 Edwards Lifesciences Corp. cs 28176E108 20862 298415 SH SOLE 296555 1970 Enterprise Prods Partners LP cs 293792107 2508 88552 SH SOLE 84932 3620 Exact Sciences Corp cs 30063P105 67 24243 SH SOLE 24243 Exsar Corp cs 80 531000 SH SOLE 531000 Exxon Mobil cs 30231g102 2321 33835 SH SOLE 33835 Fulton Financial Comp cs 360271100 216 29154 SH SOLE 29154 General Electric cs 369604103 8843 538564 SH SOLE 536764 1910 HRPT Properties Trust cs 40426w101 5127 681740 SH SOLE 675740 6000 Highwood Properties Inc cs 431284108 346 11000 SH SOLE 11000 IMS Health Inc cs 449934108 8231 536240 SH SOLE 534240 2400 Intel Corporation cs 458140100 16788 857830 SH SOLE 855030 2920 Isis Pharmaceutical cs 464330109 10477 719076 SH SOLE 714076 5200 Johnson & Johnson cs 478160104 13104 215200 SH SOLE 214000 1360 KLA-Tencor Corp cs 482480100 9222 257170 SH SOLE 254815 2465 Kinder Morgan Energy Partners cs 494550106 213 3950 SH SOLE 3950 Liberty Property Tr cs 531172104 2057 63243 SH SOLE 61243 2000 M&T Bank cs 55261F104 555 8905 SH SOLE 8905 Marsh & McLennan cs 571748102 11858 479495 SH SOLE 479495 Maxim Integrated Pdts cs 57772k101 12941 713410 SH SOLE 711330 2230 Medtronic Inc cs 585055106 11599 315202 SH SOLE 315202 100 Microsoft Corp cs 594918104 14322 556860 SH SOLE 554860 2150 Millipore Corp cs 601073109 15874 225713 SH SOLE 225713 40 NetApp, Inc. cs 64110D104 14250 534110 SH SOLE 532310 1890 Neurobiological Technologies cs 64124w304 30 33000 SH SOLE 33000 Occidental Petroleum Corp cs 674599105 3527 44990 SH SOLE 44990 Oneok Partners LP cs 68268N103 531 10040 SH SOLE 10040 Pall Corporation cs 696429307 11287 349672 SH SOLE 347672 2140 Pharmastem (formely Biocyte) cs 0 60000 SH SOLE 60000 Pharmos Corp cs 717139307 11 61938 SH SOLE 61938 Procter & Gamble cs 742718109 1251 21600 SH SOLE 21600 100 Qualcomm Inc cs 747525103 14094 313340 SH SOLE 312940 450 Quest Diagnostics Inc cs 74834L100 10064 192840 SH SOLE 192840 80 Schlumberger Ltd cs 806857108 14271 239446 SH SOLE 238846 630 Sepracor Inc cs 817315104 8258 360595 SH SOLE 360395 200 Spectrum Pharmaceuticals Inc cs 84763A108 179 26567 SH SOLE 26567 Spectrum Pharmaceuticals Inc U cs 924 137268 SH SOLE 137268 TEPPCO Prt LP Intl cs 872384102 1584 45630 SH SOLE 40630 5000 Targent Inc cs 100 400000 SH SOLE 400000 Transocean Inc. cs H8817H100 218 2551 SH SOLE 2551 Varian Medical Systems cs 92220p105 14957 355020 SH SOLE 352860 2260 Vela Pharmaceuticals Inc cs 20 202500 SH SOLE 202500 ABB Ltd. Sponsored ADR 000375204 11804 589027 SH SOLE 589027 ARM Holdings ADR 042068106 25989 3712734 SH SOLE 3712734 ASML Holding NV NY Reg ADR N07059186 49228 1664788 SH SOLE 1664788 Alcon Inc ADR H01301102 32319 233062 SH SOLE 233062 BHP Billiton ADR 05545E209 29852 541779 SH SOLE 541779 BP Plc-Spons ADR 055622104 536 10076 SH SOLE 10076 China Life Insurance Co ADR 16939P106 29781 453213 SH SOLE 452863 400 Credit Suisse Group Spon ADR 225401108 30844 554248 SH SOLE 554248 Diageo PLC Spon ADR 25243Q205 46007 748208 SH SOLE 748208 50 Fresenius Medical Care Ag ADR 358029106 40326 810732 SH SOLE 808732 2050 HSBC Holdings PLC ADR 404280406 13559 236429 SH SOLE 236429 ICICI Bank Ltd. ADR 45104G104 45632 1183414 SH SOLE 1183414 Mindray Medical Int'l Ltd-ADR 602675100 8611 263830 SH SOLE 263830 National Australia Bank Spon A 632525408 312 11500 SH SOLE 8230 3270 Orthofix Intl ADR N6748L102 3479 118360 SH SOLE 116760 1600 Qiagen NV ADR N72482107 45515 2138850 SH SOLE 2135850 3100 Reckitt Benckiser ADR 756255105 23640 2416757 SH SOLE 2416757 Roche Hldg ADR 771195104 27298 676435 SH SOLE 676435 SABMiller Sp ADR 78572m105 37349 1547532 SH SOLE 1541153 6379 SGS SocGen Surveillance ADR 818800104 28966 2154624 SH SOLE 2154624 SK Telecom Co Ltd ADR 78440p108 771 44200 SH SOLE 41200 3000 Societe Generale ADR 83364L109 16528 1027966 SH SOLE 1027966 Telefonica Spon ADR 879382208 25191 303833 SH SOLE 303833 Teva Pharmaceutical - ADR 881624209 37897 749543 SH SOLE 749543 Veolia Environnement ADR 92334N103 18654 484635 SH SOLE 484635 40 Vestas Wind Systems ADR 925458101 4460 185490 SH SOLE 185490 Vodafone Group ADR 92857W209 24077 1070085 SH SOLE 1067898 2187 Westpac Banking ADS 961214301 548 4746 SH SOLE 4746 Credit Suisse Group Ordinary S cs 7171589 18011 325030 SH SOLE 325030 Nobel Biocare Holding AG (chf) cs 7385722 9273 280534 SH SOLE 280534 Roche Holding Ordinary Shares cs 7110388 15675 97105 SH SOLE 97105 SGS SA Ordinary Shares (chf) cs 4824778 15268 11357 SH SOLE 11357 ASML Holding NV (eur) cs 5949368 7612 259100 SH SOLE 259100 Fresenius Medical Care (eur) cs 5129074 7680 154180 SH SOLE 154180 Qiagen N.V. (eur) cs 5732825 1364 64370 SH SOLE 64370 Societe Generale (eur) cs 5966516 8893 110613 SH SOLE 110613 Veolia Environnement (eur) cs 4031879 9352 244291 SH SOLE 244291 Vestas Wind Systems A/S (dkk) cs 5964651 6776 93840 SH SOLE 93840 ARM Holdings Ordinary Shares ( cs 0059585 18606 8101055 SH SOLE 8101055 BHP Billiton PLC Ordinary Shar cs 0056650 17021 623100 SH SOLE 623100 Diageo Ordinary Shares (gbp) cs 0237400 1305 84990 SH SOLE 84990 HSBC Holdings PLC Ordinary Shs cs 0540528 11059 965750 SH SOLE 965750 Reckitt Benckiser Ordinary Sha cs B24CGK7 10955 223990 SH SOLE 223990 SABMiller PLC (gbp) cs 0483548 18221 754970 SH SOLE 754970 Standard Chartered Plc Ord Sha cs 0408284 6599 267580 SH SOLE 267580 Vodafone Group PLC (gbp) cs B16GWD5 743 331360 SH SOLE 331360 China Life (hkd) cs 6718976 14598 3352050 SH SOLE 3352050 Kurita Water Industries (jpy) cs 6497963 11821 328685 SH SOLE 328685 Hyflux Ltd. Ordinary Shares (s cs 6320058 12595 5818502 SH SOLE 5818502 Johnston Capital Partners Fund jamlp 2914 2913803.540SH SOLE 2913803.540 Centocor Partners III 0 50000 SH SOLE 50000 M&T Bank 55261F104 541 8679 SH SOLE 8679 Dov Pharmaceutical Warrants wt 0 22000 SH SOLE 22000 Pharmos Warrants - *RESTRICTED wt 720 6000000 SH SOLE 6000000
-----END PRIVACY-ENHANCED MESSAGE-----