-----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, UJCDY0KHi30JPFcNM4tBojSpLG4pizyrsXulImYWF+407kyPRV+00CrBzRNjvVNh nDk/7Ensxeq/vfkAkQZNXg== 0001140361-10-031020.txt : 20100802 0001140361-10-031020.hdr.sgml : 20100802 20100802140844 ACCESSION NUMBER: 0001140361-10-031020 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100630 FILED AS OF DATE: 20100802 DATE AS OF CHANGE: 20100802 EFFECTIVENESS DATE: 20100802 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Nikko Asset Management Americas, Inc. CENTRAL INDEX KEY: 0001480751 IRS NUMBER: 941302123 STATE OF INCORPORATION: DE FISCAL YEAR END: 0310 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13674 FILM NUMBER: 10983660 BUSINESS ADDRESS: STREET 1: 535 MADISON AVENUE STREET 2: SUITE 2500 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-610-6100 MAIL ADDRESS: STREET 1: 535 MADISON AVENUE STREET 2: SUITE 2500 CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 form13fhr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 6/30/2010 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: Nikko Asset Management Americas, Inc. Address: 535 Madison Avenue Suite 2500 New York, NY 10022 Form 13F File Number: 28-13674 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. Persons Signing this Report on Behalf of Reporting Manager: Name: Laurie A. Vicari Title: Chief Compliance Officer Phone: (212) 610-6100 Signature, Place, and Date of Signing: /s/ Laurie A. Vicari New York, NY 7/30/2010 - --------------------------------- --------------------------------- ---------- [Signature] [City, State] [Date] Report Type (Check only one): [X] 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).) [ ] 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: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 158 Form 13F Information Table Value Total: $ 669,209 -------------- (In Thousands) List of Other Included Managers: Provide a numbered list of the name(s) and 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ---------------------------- -------------- --------- -------- ----------------- ---------- -------- -------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ---------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ------ ITAU UNIBANCO HLDNG-PREF ADR COM 465562106 888 46200 SH SOLE 0 0 46200 PETROLEO BRASILEIRO-SPON ADR COM 71654V101 4527 149500 SH SOLE 0 0 149500 VALE SA-SP PREF ADR COM 91912E204 3498 162100 SH SOLE 0 0 162100 BRF - BRASIL FOODS SA-ADR COM 10552T107 730 54400 SH SOLE 0 0 54400 VIVO PARTICIPACOES SA-ADR COM 92855S200 341 12500 SH SOLE 0 0 12500 ALCOA INC COM 013817101 564 56400 SH SOLE 56400 0 0 AMERICAN EXPRESS CO COM 025816109 422 10700 SH SOLE 10700 0 0 APACHE CORP COM 037411105 762 9200 SH SOLE 9200 0 0 AUTOMATIC DATA PROCESSING COM 053015103 820 20800 SH SOLE 20800 0 0 AVNET INC COM 053807103 240 10000 SH SOLE 10000 0 0 CONSTELLATION ENERGY GROUP COM 210371100 328 10500 SH SOLE 10500 0 0 BCE INC COM 05534B760 434 14000 SH SOLE 14000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 735 27400 SH SOLE 27400 0 0 BERKSHIRE HATHAWAY INC-CL B COM 084670702 958 12400 SH SOLE 12400 0 0 CATERPILLAR INC COM 149123101 343 5800 SH SOLE 5800 0 0 CENTURYLINK INC COM 156700106 514 15500 SH SOLE 15500 0 0 JPMORGAN CHASE & CO COM 46625H100 1442 40249 SH SOLE 40249 0 0 FRONTIER COMMUNICATIONS CORP COM 35906A108 48 6577 SH SOLE 6577 0 0 COCA-COLA CO/THE COM 191216100 465 9300 SH SOLE 9300 0 0 COLGATE-PALMOLIVE CO COM 194162103 387 4912 SH SOLE 4912 0 0 COMPUTER SCIENCES CORP COM 205363104 357 8100 SH SOLE 8100 0 0 CONSOLIDATED EDISON INC COM 209115104 587 13600 SH SOLE 13600 0 0 WALT DISNEY CO/THE COM 254687106 766 24400 SH SOLE 24400 0 0 DOW CHEMICAL COM 260543103 478 20800 SH SOLE 20800 0 0 DU PONT (E.I.) DE NEMOURS COM 263534109 1059 31100 SH SOLE 31100 0 0 EMC CORP/MASS COM 268648102 366 20300 SH SOLE 20300 0 0 EOG RESOURCES INC COM 26875P101 816 8300 SH SOLE 8300 0 0 EXXON MOBIL CORP COM 30231G102 1243 21972 SH SOLE 21972 0 0 FEDEX CORP COM 31428X106 878 12300 SH SOLE 12300 0 0 FORD MOTOR CO COM 345370860 382 37200 SH SOLE 37200 0 0 FREEPORT-MCMORAN COPPER COM 35671D857 503 8600 SH SOLE 8600 0 0 GENERAL ELECTRIC CO COM 369604103 1785 128600 SH SOLE 128600 0 0 GENERAL MILLS INC COM 370334104 978 27618 SH SOLE 27618 0 0 HEWLETT-PACKARD CO COM 428236103 1587 37062 SH SOLE 37062 0 0 HOME DEPOT INC COM 437076102 725 26100 SH SOLE 26100 0 0 INTL BUSINESS MACHINES CORP COM 459200101 2058 16888 SH SOLE 16888 0 0 INTERNATIONAL PAPER CO COM 460146103 775 34300 SH SOLE 34300 0 0 JOHNSON & JOHNSON COM 478160104 718 12152 SH SOLE 12152 0 0 KIMBERLY-CLARK CORP COM 494368103 557 9200 SH SOLE 9200 0 0 ELI LILLY & CO COM 532457108 966 28700 SH SOLE 28700 0 0 LUBRIZOL CORP COM 549271104 401 5100 SH SOLE 5100 0 0 MCDONALD'S CORP COM 580135101 817 12349 SH SOLE 12349 0 0 MERCK & CO. INC. COM 58933Y105 1215 35500 SH SOLE 35500 0 0 MICRON TECHNOLOGY INC COM 595112103 514 62500 SH SOLE 62500 0 0 BANK OF AMERICA CORP COM 060505104 1297 93700 SH SOLE 93700 0 0 NIKE INC -CL B COM 654106103 828 12200 SH SOLE 12200 0 0 WELLS FARGO & CO COM 949746101 1097 44100 SH SOLE 44100 0 0 OCCIDENTAL PETROLEUM CORP COM 674599105 869 11380 SH SOLE 11380 0 0 PEPSICO INC COM 713448108 1421 23100 SH SOLE 23100 0 0 PFIZER INC COM 717081103 1263 89341 SH SOLE 89341 0 0 CITIGROUP INC COM 172967101 645 170300 SH SOLE 170300 0 0 PROCTER & GAMBLE CO/THE COM 742718109 955 16088 SH SOLE 16088 0 0 EDISON INTERNATIONAL COM 281020107 454 14600 SH SOLE 14600 0 0 SCHLUMBERGER LTD COM 806857108 1160 21100 SH SOLE 21100 0 0 AT&T INC COM 00206R102 885 36449 SH SOLE 36449 0 0 SPRINT NEXTEL CORP COM 852061100 404 97000 SH SOLE 97000 0 0 TJX COMPANIES INC COM 872540109 983 23200 SH SOLE 23200 0 0 UNION PACIFIC CORP COM 907818108 896 13100 SH SOLE 13100 0 0 UNITEDHEALTH GROUP INC COM 91324P102 906 32000 SH SOLE 32000 0 0 UNUM GROUP COM 91529Y106 470 22100 SH SOLE 22100 0 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ---------------------------- -------------- --------- -------- ----------------- ---------- -------- -------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ---------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ------ UNITED STATES STEEL CORP COM 912909108 294 7800 SH SOLE 7800 0 0 WAL-MART STORES INC COM 931142103 1490 31049 SH SOLE 31049 0 0 WESTERN DIGITAL CORP COM 958102105 356 11800 SH SOLE 11800 0 0 APPLE INC COM 037833100 1482 6000 SH SOLE 6000 0 0 CISCO SYSTEMS INC COM 17275R102 833 39400 SH SOLE 39400 0 0 INTEL CORP COM 458140100 1693 88158 SH SOLE 88158 0 0 MICROSOFT CORP COM 594918104 1268 54500 SH SOLE 54500 0 0 CARDINAL HEALTH INC COM 14149Y108 765 22500 SH SOLE 22500 0 0 FLOWSERVE CORP COM 34354P105 429 5000 SH SOLE 5000 0 0 STARBUCKS CORP COM 855244109 614 25200 SH SOLE 25200 0 0 BANK OF NOVA SCOTIA COM 064149107 991 20500 SH SOLE 20500 0 0 TALISMAN ENERGY INC COM 87425E103 475 29600 SH SOLE 29600 0 0 ENBRIDGE INC COM 29250N105 396 8000 SH SOLE 8000 0 0 ENCANA CORP COM 292505104 717 22100 SH SOLE 22100 0 0 SUNCOR ENERGY INC COM 867224107 498 16000 SH SOLE 16000 0 0 TORONTO-DOMINION BANK COM 891160509 1185 17300 SH SOLE 17300 0 0 FLEXTRONICS INTL LTD COM Y2573F102 389 68500 SH SOLE 68500 0 0 UNITED PARCEL SERVICE-CL B COM 911312106 1101 19400 SH SOLE 19400 0 0 MCKESSON CORP COM 58155Q103 813 12100 SH SOLE 12100 0 0 AMERISOURCEBERGEN CORP COM 03073E105 547 17700 SH SOLE 17700 0 0 ANNALY CAPITAL MANAGEMENT IN COM 035710409 786 45100 SH SOLE 45100 0 0 AMAZON.COM INC COM 023135106 1168 10700 SH SOLE 10700 0 0 ACCENTURE PLC-CL A COM G1151C101 668 17600 SH SOLE 17600 0 0 FIRSTENERGY CORP COM 337932107 495 14300 SH SOLE 14300 0 0 AMEREN CORPORATION COM 023608102 272 11500 SH SOLE 11500 0 0 AETNA INC COM 00817Y108 543 20700 SH SOLE 20700 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 1075 8200 SH SOLE 8200 0 0 DEVON ENERGY CORPORATION COM 25179M103 674 11100 SH SOLE 11100 0 0 BLACKROCK INC COM 09247X101 414 2900 SH SOLE 2900 0 0 DTE ENERGY COMPANY COM 233331107 318 7000 SH SOLE 7000 0 0 KRAFT FOODS INC-CLASS A COM 50075N104 1263 45400 SH SOLE 45400 0 0 PROGRESS ENERGY INC COM 743263105 461 11700 SH SOLE 11700 0 0 DIRECTV-CLASS A COM 25490A101 986 29300 SH SOLE 29300 0 0 NRG ENERGY INC COM 629377508 483 23000 SH SOLE 23000 0 0 METROPCS COMMUNICATIONS INC COM 591708102 437 52600 SH SOLE 52600 0 0 BARRICK GOLD CORP COM 067901108 9854 227900 SH SOLE 227900 0 0 HESS CORP COM 42809H107 12064 240900 SH SOLE 240900 0 0 ANADARKO PETROLEUM CORP COM 032511107 8745 229700 SH SOLE 229700 0 0 ARCHER-DANIELS-MIDLAND CO COM 039483102 11702 458900 SH SOLE 458900 0 0 BAKER HUGHES INC COM 057224107 5224 123500 SH SOLE 123500 0 0 BHP BILLITON LTD-SPON ADR COM 088606108 12693 202400 SH SOLE 202400 0 0 CHEVRON CORP COM 166764100 34274 509200 SH SOLE 509200 0 0 CLIFFS NATURAL RESOURCES INC COM 18683K101 5406 115300 SH SOLE 115300 0 0 EXXON MOBIL CORP COM 30231G102 39616 700300 SH SOLE 700300 0 0 FREEPORT-MCMORAN COPPER COM 35671D857 13265 226600 SH SOLE 226600 0 0 HALLIBURTON CO COM 406216101 6636 257800 SH SOLE 257800 0 0 NEWMONT MINING CORP COM 651639106 4072 69300 SH SOLE 69300 0 0 NOBLE ENERGY INC COM 655044105 19734 318900 SH SOLE 318900 0 0 OCCIDENTAL PETROLEUM CORP COM 674599105 27997 366600 SH SOLE 366600 0 0 POTASH CORP OF SASKATCHEWAN COM 73755L107 6073 71100 SH SOLE 71100 0 0 PRAXAIR INC COM 74005P104 3267 42500 SH SOLE 42500 0 0 RIO TINTO PLC-SPON ADR COM 767204100 13889 313300 SH SOLE 313300 0 0 SCHLUMBERGER LTD COM 806857108 11052 201100 SH SOLE 201100 0 0 SMITH INTERNATIONAL INC COM 832110100 5771 153800 SH SOLE 153800 0 0 TIDEWATER INC COM 886423102 2702 70200 SH SOLE 70200 0 0 TOTAL SA-SPON ADR COM 89151E109 15834 348000 SH SOLE 348000 0 0 MARATHON OIL CORP COM 565849106 12625 409500 SH SOLE 409500 0 0 UNITED STATES STEEL CORP COM 912909108 2776 73700 SH SOLE 73700 0 0 FRONTIER OIL CORP COM 35914P105 4175 331100 SH SOLE 331100 0 0 TYSON FOODS INC-CL A COM 902494103 3475 211500 SH SOLE 211500 0 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ---------------------------- -------------- --------- -------- ----------------- ---------- -------- -------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ---------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ------ WEATHERFORD INTL LTD COM H27013103 7357 562900 SH SOLE 562900 0 0 NABORS INDUSTRIES LTD COM G6359F103 2934 169400 SH SOLE 169400 0 0 ROYAL GOLD INC COM 780287108 4481 98400 SH SOLE 98400 0 0 ANGLOGOLD ASHANTI-SPON ADR COM 035128206 3778 92700 SH SOLE 92700 0 0 CANADIAN NATURAL RESOURCES COM 136385101 6809 207600 SH SOLE 207600 0 0 GOLDCORP INC COM 380956409 3213 77600 SH SOLE 77600 0 0 TRANSOCEAN LTD COM H8817H100 3298 68900 SH SOLE 68900 0 0 PATTERSON-UTI ENERGY INC COM 703481101 3134 242200 SH SOLE 242200 0 0 KINROSS GOLD CORP COM 496902404 3100 190200 SH SOLE 190200 0 0 POSCO-ADR COM 693483109 5950 62800 SH SOLE 62800 0 0 PETROLEO BRASILEIRO S.A.-ADR COM 71654V408 25003 732800 SH SOLE 732800 0 0 VALE SA-SP ADR COM 91912E105 15610 629700 SH SOLE 629700 0 0 SOUTHERN COPPER CORP COM 84265V105 3059 115700 SH SOLE 115700 0 0 SILVER WHEATON CORP COM 828336107 4323 231800 SH SOLE 231800 0 0 CHINA PETROLEUM & CHEM-ADR COM 16941R108 5627 70600 SH SOLE 70600 0 0 CAMERON INTERNATIONAL CORP COM 13342B105 7963 244800 SH SOLE 244800 0 0 LIHIR GOLD LTD-SPONSORED ADR COM 532349107 5513 156400 SH SOLE 156400 0 0 IAMGOLD CORP COM 450913108 4108 246600 SH SOLE 246600 0 0 IVANHOE MINES LTD COM 46579N103 6814 513500 SH SOLE 513500 0 0 NATIONAL OILWELL VARCO INC COM 637071101 2961 88800 SH SOLE 88800 0 0 ARCELORMITTAL-NY REGISTERED COM 03938L104 14095 516100 SH SOLE 516100 0 0 RANDGOLD RESOURCES LTD-ADR COM 752344309 15013 161200 SH SOLE 161200 0 0 VALERO ENERGY CORP COM 91913Y100 3034 179400 SH SOLE 179400 0 0 DRIL-QUIP INC COM 262037104 3408 76700 SH SOLE 76700 0 0 YANZHOU COAL MINING-SP ADR COM 984846105 10229 546400 SH SOLE 546400 0 0 PEABODY ENERGY CORP COM 704549104 8718 223600 SH SOLE 223600 0 0 DEVON ENERGY CORPORATION COM 25179M103 10734 176800 SH SOLE 176800 0 0 PETROHAWK ENERGY CORP COM 716495106 11816 688600 SH SOLE 688600 0 0 CNOOC LTD-ADR COM 126132109 11405 68500 SH SOLE 68500 0 0 MONSANTO CO COM 61166W101 7423 159500 SH SOLE 159500 0 0 PETROCHINA CO LTD -ADR COM 71646E100 8872 81000 SH SOLE 81000 0 0 FMC TECHNOLOGIES INC COM 30249U101 5338 97900 SH SOLE 97900 0 0 BUNGE LTD COM G16962105 8433 169400 SH SOLE 169400 0 0 MOSAIC CO/THE COM 61945A107 6202 157300 SH SOLE 157300 0 0 ROYAL DUTCH SHELL PLC-ADR COM 780259206 22865 457200 SH SOLE 457200 0 0 CELANESE CORP-SERIES A COM 150870103 5951 245300 SH SOLE 245300 0 0 FIRST SOLAR INC COM 336433107 3652 30300 SH SOLE 30300 0 0 CONCHO RESOURCES INC COM 20605P101 14176 263000 SH SOLE 263000 0 0
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