-----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, DzSNyiyK/2TfwAOygDrKcA4Chph355MJMtlJ0Jzr/IARAPEp6rCWwDbKhWAYGqPA TJO4wXc+60MyMuSM/2mHmw== 0001047469-03-033939.txt : 20031022 0001047469-03-033939.hdr.sgml : 20031022 20031022095954 ACCESSION NUMBER: 0001047469-03-033939 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030930 FILED AS OF DATE: 20031022 EFFECTIVENESS DATE: 20031022 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CDC IXIS ASSET MANAGEMENT CENTRAL INDEX KEY: 0001166767 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10092 FILM NUMBER: 03950975 MAIL ADDRESS: STREET 1: 77 PLACE DES CINQ MARTYRS DU STREET 2: LYCEE BUFFON BP 541 CEDEX 15 CITY: PARIS STATE: I0 ZIP: 00000 13F-HR 1 a2120193z13f-hr.txt 13F-HR Form 13F Cover Page Report for the Calendar Year or Quarter Ended: September 30, 2003 Check here if Amendment [ ]: Amendment Number: ______ This Amendment (Check only one): / / is a restatement / / adds new holdings entries Institutional Investment Manager Filing this Report: Name: CDC IXIS Asset Management Address: 7, place des Cinq Martyrs du Lycee Buffon BP 541 Cedex 15 Paris, France 75725 Form 13F File Number: 28-10092 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: Pascal Delaunay Title: Head of Compliance and Risk Management CDC IXIS Asset Management Phone: 011 331 42 792762 Signature, Place, and Date of Signing: /s/ Pascal Delaunay - -------------------------------------- [Signature] Paris, France - -------------------------------------- [City, State] October 21, 2003 - -------------------------------------- [Date] Report Type (Check only one): / / 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) / / 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) /X/ 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager:
NAME 13F FILE NUMBER - ---- --------------- Harris Associates L.P. 28-2013 Loomis, Sayles & Company, L.P. 28-398 Vaughan, Nelson, Scarborough & McCullough L.P. 28-5840 Westpeak Global Advisors, L.P. 28-4372
Form 13F Summary Page Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 123 Form 13F Information Table Value Total: $412,613 (thousands) List of Other Included Managers: (1) Subadvised accounts
- ----------------------------------------------------------------------------------------------------------------------------------- market value 09/30/2003 investment voting Name of Issuer title of class cusip (X$1000) shares discretion Other Managers authority - ----------------------------------------------------------------------------------------------------------------------------------- ALTRIA GROUP INC common stock 02209S103 12.49 336 Sole None AMERICAN EXPRESS common stock 025816109 10,671.54 235,315 Other (1) Shared AMERICAN EXPRESS common stock 025816109 416.31 9,180 Sole Sole AMERICAN INTL GRP common stock 026874107 15,092.95 259,329 Other (1) Shared AMERICAN INTL GRP common stock 026874107 588.92 10,119 Sole Sole AMGEN INC common stock 031162100 10,132.13 155,831 Other (1) Shared AMGEN INC common stock 031162100 377.70 5,809 Sole Sole ANALOG DEVICES common stock 032654105 155.60 4,000 Other (1) Shared ANHEUSER BUSCH ORD common stock 035229103 3,606.97 72,502 Other (1) Shared ANHEUSER BUSCH ORD common stock 035229103 140.99 2,834 Sole Sole AOL TIME WARNER common stock 00184A105 313.29 20,900 Other (1) Shared APPLIED MATERIALS common stock 038222105 4,080.30 217,500 Other (1) Shared APPLIED MATERIALS common stock 038222105 153.55 8,185 Sole Sole AT T WIRELESS SCES common stock 00209A106 142.24 17,200 Other (1) Shared BELLSOUTH common stock 079860102 280.68 12,000 Other (1) Shared BOSTON SCIENTIFIC common stock 101137107 5,391.68 85,244 Other (1) Shared BOSTON SCIENTIFIC common stock 101137107 211.07 3,337 Sole Sole CENTURY TEL.ENT. common stock 156700106 137.68 4,000 Other (1) Shared CISCO SYSTEMS common stock 17275R102 13,149.15 655,491 Other (1) Shared CISCO SYSTEMS common stock 17275R102 487.96 24,325 Sole Sole CITIGROUP common stock 172967101 15,034.74 327,269 Other (1) Shared CITIGROUP common stock 172967101 586.52 12,767 Sole Sole CLEAR CHANNEL COMM common stock 184502102 6,810.69 179,939 Other (1) Shared CLEAR CHANNEL COMM common stock 184502102 260.52 6,883 Sole Sole COCA COLA $0.25 common stock 191216100 7,622.98 177,485 Other (1) Shared COCA COLA $0.25 common stock 191216100 304.99 7,101 Sole Sole COLGATE PALMOLIVE common stock 194162103 3,916.63 70,443 Other (1) Shared COLGATE PALMOLIVE common stock 194162103 157.07 2,825 Sole Sole COMCAST CL-A common stock 20030N101 136.49 4,456 Other (1) Shared COX CIONS CL.A common stock 224044107 123.28 3,900 Other (1) Shared CVS CORP common stock 126650100 4,213.76 134,754 Other (1) Shared CVS CORP common stock 126650100 156.60 5,008 Sole Sole DEERE common stock 244199105 9,040.84 171,553 Other (1) Shared DEERE common stock 244199105 359.20 6,816 Sole Sole DELL INC common stock 24702R101 13,011.95 381,806 Other (1) Shared DELL INC common stock 24702R101 489.73 14,370 Sole Sole DIAMONDS TRUST common stock 252787106 1,550.53 16,546 Sole Sole DISNEY common stock 254687106 9,723.56 482,559 Other (1) Shared DISNEY common stock 254687106 368.72 18,299 Sole Sole ELECTRONIC ARTS common stock 285512109 126.14 1,360 Other (1) Shared EMC common stock 268648102 140.34 11,200 Other (1) Shared EMERSON ELECTRIC common stock 291011104 8,790.04 166,794 Other (1) Shared EMERSON ELECTRIC common stock 291011104 342.92 6,507 Sole Sole EXXON MOBIL CORP. common stock 30231G102 17,065.80 464,123 Other (1) Shared EXXON MOBIL CORP. common stock 30231G102 665.76 18,106 Sole Sole FIRST DATA common stock 319963104 184.00 4,600 Other (1) Shared FNMA common stock 313586109 6,007.10 86,371 Other (1) Shared FNMA common stock 313586109 231.25 3,325 Sole Sole - ----------------------------------------------------------------------------------------------------------------------------------- market value 09/30/2003 investment voting Name of Issuer title of class cusip (X$1000) shares discretion Other Managers authority - ----------------------------------------------------------------------------------------------------------------------------------- GENERAL ELECTRIC common stock 369604103 12,537.96 414,478 Other (1) Shared GENERAL ELECTRIC common stock 369604103 24.32 960 Sole None GENERAL ELECTRIC common stock 369604103 489.11 16,169 Sole Sole GOLDMAN SACHS common stock 38141G104 7,284.43 85,952 Other (1) Shared GOLDMAN SACHS common stock 38141G104 284.17 3,353 Sole Sole HCA-HEALTHCARE CO. common stock 404119109 4,036.29 113,220 Other (1) Shared HCA-HEALTHCARE CO. common stock 404119109 157.25 4,411 Sole Sole HEWLETT PACKARD common stock 428236103 261.43 13,400 Other (1) Shared HOME DEPOT common stock 437076102 3,742.61 116,411 Other (1) Shared HOME DEPOT common stock 437076102 145.99 4,541 Sole Sole IBM common stock 459200101 8,418.43 94,377 Other (1) Shared IBM common stock 459200101 302.66 3,393 Sole Sole IBM common stock 459200101 353.32 4,000 Sole None INTEL common stock 458140100 12,744.92 452,429 Other (1) Shared INTEL common stock 458140100 464.55 16,491 Sole Sole ISHARES S&P 500 IND common stock 464287200 15,798.52 157,121 Other (1) Shared ISHARES S&P 500 IND common stock 464287200 616.37 6,130 Sole Sole IVAX CORP common stock 465823102 4,063.40 210,976 Other (1) Shared IVAX CORP common stock 465823102 158.51 8,230 Sole Sole J.P. MORGAN CHASE common stock 46625H100 6,654.31 192,321 Other (1) Shared J.P. MORGAN CHASE common stock 46625H100 248.08 7,170 Sole Sole JOHNSON JOHNSON common stock 478160104 3,595.57 72,331 Other (1) Shared JOHNSON JOHNSON common stock 478160104 140.13 2,819 Sole Sole KOHL'S common stock 500255104 6,662.50 125,235 Other (1) Shared KOHL'S common stock 500255104 259.94 4,886 Sole Sole KROGER common stock 501044101 7,446.07 416,447 Other (1) Shared KROGER common stock 501044101 274.98 15,379 Sole Sole LABORATORY CP common stock 50540R409 3,559.45 123,764 Other (1) Shared LABORATORY CP common stock 50540R409 145.81 5,070 Sole Sole MAXIM INTEGRATED common stock 57772K101 189.88 4,700 Other (1) Shared MC GRAW HILL ORD. common stock 580645109 111.78 1,800 Other (1) Shared MEDTRONIC common stock 585055106 8,020.12 170,098 Other (1) Shared MEDTRONIC common stock 585055106 312.89 6,636 Sole Sole MICROSOFT common stock 594918104 17,995.75 629,442 Other (1) Shared MICROSOFT common stock 594918104 657.97 23,014 Sole Sole MOTOROLA common stock 620076109 89.91 7,400 Other (1) Shared NORTHROP GRUMMAN common stock 666807102 10,756.52 124,641 Other (1) Shared NORTHROP GRUMMAN common stock 666807102 419.68 4,863 Sole Sole OMNICOM GROUP INC common stock 681919106 144.50 2,000 Other (1) Shared ORACLE CORP COM common stock 68389X105 4,881.84 424,508 Other (1) Shared ORACLE CORP COM common stock 68389X105 176.20 15,322 Sole Sole PENNEY (J.C.) common stock 708160106 4,040.52 189,429 Other (1) Shared PENNEY (J.C.) common stock 708160106 157.63 7,390 Sole Sole PEPSICO common stock 713448108 11,482.50 249,511 Other (1) Shared PEPSICO common stock 713448108 447.96 9,734 Sole Sole PFIZER common stock 717081103 13,996.07 453,094 Other (1) Shared PFIZER common stock 717081103 546.01 17,676 Sole Sole QUALCOMM common stock 747525103 272.77 6,400 Other (1) Shared RAYTHEON common stock 755111507 3,440.02 122,858 Other (1) Shared - ----------------------------------------------------------------------------------------------------------------------------------- market value 09/30/2003 investment voting Name of Issuer title of class cusip (X$1000) shares discretion Other Managers authority - ----------------------------------------------------------------------------------------------------------------------------------- RAYTHEON common stock 755111507 134.26 4,795 Sole Sole SAUER INC common stock 804137107 12.00 1,000 Sole Sole SBC COMM INC SHS common stock 78387G103 309.99 14,200 Other (1) Shared SCHERING-PLGH ORD. common stock 806605101 2,705.25 174,871 Other (1) Shared SCHERING-PLGH ORD. common stock 806605101 104.90 6,781 Sole Sole SPDR TRUST S1 common stock 78462F103 2,876.69 28,638 Sole Sole STATE BANK OF INDIA common stock 856552203 983.97 39,000 Sole Sole STATE STREET common stock 857477103 8,665.62 191,887 Other (1) Shared STATE STREET common stock 857477103 338.07 7,486 Sole Sole SUN MICROSYSTEMS common stock 866810104 60.40 18,500 Other (1) Shared TEXAS INSTRUMENTS common stock 882508104 3,830.47 167,489 Other (1) Shared TEXAS INSTRUMENTS common stock 882508104 140.06 6,124 Sole Sole TRAVELERS PROPERTY common stock 89420G109 0.03 2 Sole Sole UNITED PARCEL CL B common stock 911312106 7,421.78 116,165 Other (1) Shared UNITED PARCEL CL B common stock 911312106 289.55 4,532 Sole Sole VARIAN ASSOCIATES common stock 92220P105 3,872.62 68,445 Other (1) Shared VARIAN ASSOCIATES common stock 92220P105 151.07 2,670 Sole Sole VERIZON COMMUNICAT common stock 92343V104 325.20 10,000 Other (1) Shared VIACOM CL.B common stock 925524308 320.80 8,400 Other (1) Shared WAL-MART STORES common stock 931142103 14,721.32 260,416 Other (1) Shared WAL-MART STORES common stock 931142103 574.29 10,159 Sole Sole WASHINGTON MUTUAL common stock 939322103 4,391.50 112,516 Other (1) Shared WASHINGTON MUTUAL common stock 939322103 179.81 4,607 Sole Sole WELLS FARGO common stock 949746101 7,916.19 153,266 Other (1) Shared WELLS FARGO common stock 949746101 309.90 6,000 Sole Sole
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