-----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, UiYstAvyAhvE6Bkk6It1xPZRq7t6ihF6wkpaPh9uOHhvva/Ul/b0m/9Rh7c9AIiI 62bj6go+sWCZQP0J/lFvKw== 0001047469-02-003051.txt : 20021114 0001047469-02-003051.hdr.sgml : 20021114 20021114110911 ACCESSION NUMBER: 0001047469-02-003051 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020930 FILED AS OF DATE: 20021114 EFFECTIVENESS DATE: 20021114 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: 02822603 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 a2093326z13f-hr.txt 13F-HR Form 13F Cover Page Report for the Calendar Year or Quarter Ended: September 30, 2002 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 Manger: Name: Susan McWhan Tobin Title: Vice President and Counsel CDC IXIS Asset Management North America, L.P. Phone: (617) 449-2139 Signature, Place, and Date of Signing: /s/ Susan McWhan Tobin - -------------------------------------- [Signature] Boston, MA - -------------------------------------- [City, State] November 14, 2002 - -------------------------------------- [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 - ---- --------------- AEW Capital Management, L.P. 28-6538 Hansberger Global Investors, Inc. 28-6508 Harris Associates L.P. 28-2013 Jurika & Voyles, L.P. 28-2899 Loomis, Sayles & Company, L.P. 28-398 Mercury Advisors 28-790 Miller Anderson 28-3432 Reich & Tang Asset Management LLC 28-4818 RS Investment Management, L.P. 28-5452 Salomon Brothers Asset Management Inc. 28-2568 Snyder Capital Management, L.P. 28-6636 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: 147 Form 13F Information Table Value Total: $ 23,279 (thousands) List of Other Included Managere:
No. File No. Name 01 28-398 Loomis, Sayles & Company, L.P.
13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 MARKET VALUE TITLE OF 9/30/02 SHARES INVESTMENT OTHER VOTING NAME OF ISSUER CLASS CUSIP (X1000) 09/30/02 DISCRETION MANAGERS AUTHORITY - ----------------------------------------------------------------------------------------------------------------------------- Aflac Inc. Common 001055102 $ 214 6,969 Defined 1 Sole AOL Time Warner Inc. Common 00184A105 $ 123 10,500 Defined 1 Sole AT & T Common 001957109 $ 48 4,000 Defined 1 Sole Abbott Laboratories Inc Common 002824100 $ 244 6,050 Defined 1 Sole Adobe Systems Inc. Common 00724F101 $ 21 1,100 Defined 1 Sole Affiliated Computer Serv. Common 008190100 $ 27 642 Defined 1 Sole Agilent Technologies Common 00846U101 $ 24 1,804 Defined 1 Sole Alcoa Inc. Common 013817101 $ 152 7,856 Defined 1 Sole American International Grp Common 026874107 $ 538 9,838 Defined 1 Sole Amgen Inc Common 031162100 $ 223 5,337 Defined 1 Sole Analog Devices Inc. Common 032654105 $ 28 1,420 Defined 1 Sole Anheuser-Busch Cos Inc Common 035229103 $ 224 4,430 Defined 1 Sole Anthem Inc. Common 03674B104 $ 16 250 Defined 1 Sole Apple Computer Inc. Common 037833100 $ 28 1,932 Defined 1 Sole Applied Materials Inc. Common 038222105 $ 61 5,272 Defined 1 Sole Avon Products Inc Common 054303102 $ 111 2,400 Defined 1 Sole Bank of America Corp Common 060505104 $ 632 9,909 Defined 1 Sole Bk of New York Co Common 064057102 $ 253 8,803 Defined 1 Sole Bank One Corp. Common 06423A103 $ 422 11,282 Defined 1 Sole Baxter Intl Inc Common 071813109 $ 79 2,580 Defined 1 Sole Bellsouth Corp Common 079860102 $ 178 9,700 Defined 1 Sole Biogen Inc Common 090597105 $ 19 640 Defined 1 Sole Biomet Inc. Common 090613100 $ 33 1,230 Defined 1 Sole Boeing Co Common 097023105 $ 298 8,744 Defined 1 Sole Boston Scientific Corp Common 101137107 $ 47 1,475 Defined 1 Sole Bristol Myers Squibb Common 110122108 $ 130 5,470 Defined 1 Sole Cigna Corp. Common 125509109 $ 39 550 Defined 1 Sole CIT Group Inc Common 125581108 $ 181 10,062 Defined 1 Sole Cadence Design Systems Common 127387108 $ 22 2,174 Defined 1 Sole Cardinal Health Inc. Common 14149Y108 $ 118 1,900 Defined 1 Sole CenturyTel Common 156700106 $ 81 3,600 Defined 1 Sole Charter One Financial Inc. Common 160903100 $ 141 4,751 Defined 1 Sole Chevron Texaco Common 166764100 $ 425 6,142 Defined 1 Sole Cinergy Corp Common 172474108 $ 77 2,450 Defined 1 Sole Cisco Systems Inc. Common 17275R102 $ 260 24,819 Defined 1 Sole Citigroup Inc Common 172967101 $ 759 25,613 Defined 1 Sole Clear Channel Communications Common 184502102 $ 92 2,650 Defined 1 Sole Coca-cola Co Common 191216100 $ 312 6,500 Defined 1 Sole Comcast Corp A Special Common 200300200 $ 77 3,700 Defined 1 Sole Computer Assoc. Intl Common 204912109 $ 32 3,336 Defined 1 Sole Copmputer Sciences Corp Common 205363104 $ 16 580 Defined 1 Sole Costco Wholesale Corp Common 221060K105 $ 105 3,250 Defined 1 Sole Cox Communications Inc A Common 224044107 $ 48 1,950 Defined 1 Sole Dell Computer Corp Common 247025109 $ 182 7,749 Defined 1 Sole Delphi Automotive Systems Common 247126105 $ 39 4,591 Defined 1 Sole Devon Energy Corp (NEW) Common 25179M103 $ 66 1,362 Defined 1 Sole Walt Disney Co/Disney Series Common 254687106 $ 106 7,000 Defined 1 Sole Dow Chemical Co. Common 260543103 $ 140 5,143 Defined 1 Sole Du Pont De Nem & Co EI Common 263534109 $ 235 6,525 Defined 1 Sole Duke Energy Corporation Common 264399106 $ 155 7,950 Defined 1 Sole El Paso Energy Cop Common 28336L109 $ 24 2,900 Defined 1 Sole Electronic Arts Common 285512109 $ 83 1,261 Defined 1 Sole Emerson Electric Co Common 291011104 $ 137 3,120 Defined 1 Sole Entergy Corp Common 29364G103 $ 75 1,800 Defined 1 Sole Equity Residental Prop Trust Common 294741103 $ 115 4,784 Defined 1 Sole Exxon Mobil Corp Common 30231G102 $ 1,087 34,089 Defined 1 Sole Freddie Mac/Non-Vot. Common 313400301 $ 73 1,308 Defined 1 Sole Fannie Mae Common 313586109 $ 316 5,306 Defined 1 Sole First Data Corp Common 319963104 $ 19 690 Defined 1 Sole Firstenergy Corp Common 337932107 $ 126 4,230 Defined 1 Sole Fluor Corp (NEW) Common 343412102 $ 11 442 Defined 1 Sole Ford Motor Co Common 345370860 $ 38 3,900 Defined 1 Sole Genentech Inc Common 368710406 $ 20 600 Defined 1 Sole General Electric Co Common 369604103 $ 612 24,819 Defined 1 Sole General Mills Inc. Bond 37033LFE1 $ 44 1,000 Defined 1 Sole General Motors Corp Common 370442105 $ 44 1,135 Defined 1 Sole Genzyme Corp (General Division) Common 372917104 $ 19 900 Defined 1 Sole Goldman Sachs Group Inc Common 38141G104 $ 156 2,359 Defined 1 Sole Guidant Common 401698105 $ 43 1,340 Defined 1 Sole HCA Inc Common 404119109 $ 111 2,330 Defined 1 Sole Halliburton Co Common 406216101 $ 114 8,821 Defined 1 Sole Harley Davison Inc. Common 412822108 $ 64 1,374 Defined 1 Sole Heinz (JH) Co Common 423074103 $ 40 1,192 Defined 1 Sole Hewlett-Packard Co Common 428236103 $ 86 7,338 Defined 1 Sole IDEC Pharmaceuticals Corp Common 449370105 $ 27 660 Defined 1 Sole Illinois Tool Works Common 452308109 $ 381 6,531 Defined 1 Sole Intel Corp Common 458140100 $ 214 15,434 Defined 1 Sole IBM Corp Common 459200101 $ 244 4,176 Defined 1 Sole International Paper Co Common 460146103 $ 151 4,536 Defined 1 Sole Johnson & Johnson Common 478160104 $ 542 10,020 Defined 1 Sole Johnson Controls Inc. Common 478366107 $ 60 776 Defined 1 Sole KLA Tencor Corporation Common 482480100 $ 16 555 Defined 1 Sole KeyCorp Common 493267108 $ 290 11,633 Defined 1 Sole Keyspan Corp Common 49337W100 $ 56 1,660 Defined 1 Sole Kinder Morgan Inc Common 49455P101 $ 36 1,010 Defined 1 Sole King Pharmaceuticals Inc Common 495582108 $ 18 1,000 Defined 1 Sole Kraft Foods Inc A Common 50075N104 $ 255 7,000 Defined 1 Sole Lehman Brothers Hold Inc. Common 524908100 $ 136 2,764 Defined 1 Sole Liberty Media Corp New/S.A Common 530718105 $ 50 7,000 Defined 1 Sole Lilly (ELI) & Co. Common 532457108 $ 166 3,000 Defined 1 Sole Linear Technology Common 535678106 $ 16 756 Defined 1 Sole Lockheed Martin Corp Common 539830109 $ 171 2,639 Defined 1 Sole Masco Corp Common 574599106 $ 43 2,191 Defined 1 Sole Maxim Intergrated Products Common 57772K101 $ 54 2,167 Defined 1 Sole McGraw Hill Companies Inc. Common 580645109 $ 73 1,200 Defined 1 Sole McKesson Corp Common 58155Q103 $ 29 1,040 Defined 1 Sole Medimmune Inc. Common 584699102 $ 18 860 Defined 1 Sole Medtronic Inc. Common 585055106 $ 185 4,400 Defined 1 Sole Merck & Co. Inc. Common 589331107 $ 288 6,300 Defined 1 Sole Microsoft Corp Common 594918104 $ 263 6,022 Defined 1 Sole Motorola Inc. Common 620076109 $ 74 7,257 Defined 1 Sole Occidental Petroleum Corp. Common 674599105 $ 107 3,754 Defined 1 Sole Omnicom Group Inc. Common 681919106 $ 56 1,000 Defined 1 Sole Oracle Corp Common 68389X105 $ 84 10,717 Defined 1 Sole Pepsico Inc Common 713448108 $ 462 12,500 Defined 1 Sole Pfizer Inc. Common 717081103 $ 558 19,214 Defined 1 Sole Pharmacia Corp. Common 71713U102 $ 210 5,400 Defined 1 Sole Philip Morris Comp Inc Common 718154107 $ 438 11,300 Defined 1 Sole Procter & Gamble Co Common 742718109 $ 710 7,940 Defined 1 Sole Prudential Financial Inc Common 744320102 $ 188 6,584 Defined 1 Sole Qualcomm Inc. Common 747525103 $ 65 2,350 Defined 1 Sole SBC Communications Inc. Common 78387G103 $ 231 11,500 Defined 1 Sole Safeway Inc Common 786514208 $ 45 2,000 Defined 1 Sole St Jude Medical Inc. Common 790849103 $ 20 548 Defined 1 Sole Samsung EL/SP GDR Common 796050888 $ 32 270 Defined 1 Sole Schering-Plough Corp Common 806605101 $ 64 3,000 Defined 1 Sole Schlumberger LTD Common 806857108 $ 154 4,001 Defined 1 Sole Southern Co Common 842587107 $ 233 8,089 Defined 1 Sole Sprint Corp/FON Group Common 852061100 $ 64 7,000 Defined 1 Sole Sprint Corp/PCS Group Common 852061506 $ 4 2,200 Defined 1 Sole Stryker Corp. Common 863667101 $ 21 370 Defined 1 Sole Sungard Data Systems Inc. Common 867363103 $ 23 1,170 Defined 1 Sole Sysco Corp Common 871829107 $ 193 6,800 Defined 1 Sole Taiwan Semicondct.Manuf/SADR Common 874039100 $ 16 2,500 Defined 1 Sole Target Corp Common 87612E106 $ 192 6,500 Defined 1 Sole Tenet Healthcare Corp Common 88033G100 $ 97 1,950 Defined 1 Sole Texas Instruments Inc. Common 882508104 $ 100 6,783 Defined 1 Sole 3M Co. Common 88579Y101 $ 606 5,508 Defined 1 Sole Travelers Property Casual-A- Common 89420G109 $ 132 10,017 Defined 1 Sole Trav.Prop.Casualty - B- Common 89420G406 $ 33 2,460 Defined 1 Sole United Technologies Corp Common 913017109 $ 159 2,812 Defined 1 Sole United Health Group Inc Common 91324P102 $ 122 1,400 Defined 1 Sole Unocal Corp Common 915289102 $ 78 2,480 Defined 1 Sole Veritas Software Corp Common 923436109 $ 52 3,547 Defined 1 Sole Verizon Communications I Common 92343V104 $ 143 5,200 Defined 1 Sole Viacom Inc B Common 925524308 $ 223 5,500 Defined 1 Sole Wal-mart Stores Inc Common 931142103 $ 788 16,000 Defined 1 Sole Walgreen Co Common 931422109 $ 183 5,950 Defined 1 Sole Wellpoint Health Newtorks Inc Common 94973H108 $ 45 610 Defined 1 Sole Wells Fargo & Co Common 949746101 $ 606 12,576 Defined 1 Sole Whirlpool Corp. Common 963320106 $ 14 302 Defined 1 Sole Wyeth Common 983024100 $ 181 5,700 Defined 1 Sole Zimmer Holdings Inc. Common 98956P102 $ 29 764 Defined 1 Sole Ace LTD Common G0070K103 $ 199 6,734 Defined 1 Sole Accenture LTD Common G1150G11 $ 14 955 Defined 1 Sole GobalSantaFe Corp Common G3930E101 $ 84 3,762 Defined 1 Sole Flextronics Intl LTD Common Y2573F102 $ 28 3,990 Defined 1 Sole
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