-----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, HvPjEdf+WPUKypdTAAJE1h3C9wJ2N5xHViBOTIgnuJo8XRB5dg03fcQLez5qJeKy Yer7CkzmIqq1EAtSf7eAag== 0001140361-11-004627.txt : 20110128 0001140361-11-004627.hdr.sgml : 20110128 20110128152734 ACCESSION NUMBER: 0001140361-11-004627 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110128 DATE AS OF CHANGE: 20110128 EFFECTIVENESS DATE: 20110128 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: 11555641 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: 12/31/2010 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: 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 1/27/2011 - --------------------------------- --------------------------------- ---------- [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: 13F File Number Name 28-13674 - --------------- --------------------------------------------------------------- Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 151 Form 13F Information Table Value Total: $ 726,051 -------------- (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 - ---------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ------ PETROLEO BRASILEIRO-SPON ADR COM 71654V101 4125 122200 SH SOLE 0 0 122200 VALE SA-SP PREF ADR COM 91912E204 3664 122200 SH SOLE 0 0 122200 ALCOA INC COM 013817101 249 16400 SH SOLE 16400 0 0 BARRICK GOLD CORP COM 067901108 926 17600 SH SOLE 17600 0 0 AMERICAN EXPRESS CO COM 025816109 349 8200 SH SOLE 8200 0 0 ARCHER-DANIELS-MIDLAND CO COM 039483102 828 27700 SH SOLE 27700 0 0 CONSTELLATION ENERGY GROUP COM 210371100 615 20000 SH SOLE 20000 0 0 BCE INC COM 05534B760 749 21000 SH SOLE 21000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1533 43100 SH SOLE 43100 0 0 BERKSHIRE HATHAWAY INC-CL B COM 084670702 937 11800 SH SOLE 11800 0 0 CATERPILLAR INC COM 149123101 1389 14800 SH SOLE 14800 0 0 JPMORGAN CHASE & CO COM 46625H100 2329 55149 SH SOLE 55149 0 0 CHEVRON CORP COM 166764100 3371 36800 SH SOLE 36800 0 0 COCA-COLA CO/THE COM 191216100 1546 23600 SH SOLE 23600 0 0 CONSOLIDATED EDISON INC COM 209115104 776 15700 SH SOLE 15700 0 0 CSX CORP COM 126408103 657 10200 SH SOLE 10200 0 0 WALT DISNEY CO/THE COM 254687106 1154 30800 SH SOLE 30800 0 0 DOW CHEMICAL CO/THE COM 260543103 664 19400 SH SOLE 19400 0 0 DU PONT (E.I.) DE NEMOURS COM 263534109 1287 25900 SH SOLE 25900 0 0 EMC CORP/MASS COM 268648102 1214 53000 SH SOLE 53000 0 0 EXXON MOBIL CORP COM 30231G102 4898 66772 SH SOLE 66772 0 0 FEDEX CORP COM 31428X106 1683 18100 SH SOLE 18100 0 0 FORD MOTOR CO COM 345370860 803 48100 SH SOLE 48100 0 0 FREEPORT-MCMORAN COPPER COM 35671D857 1558 13100 SH SOLE 13100 0 0 GENERAL ELECTRIC CO COM 369604103 1397 76800 SH SOLE 76800 0 0 GENERAL MILLS INC COM 370334104 476 13418 SH SOLE 13418 0 0 HEWLETT-PACKARD CO COM 428236103 725 17162 SH SOLE 17162 0 0 HOME DEPOT INC COM 437076102 1196 34300 SH SOLE 34300 0 0 INTL BUSINESS MACHINES CORP COM 459200101 1364 9300 SH SOLE 9300 0 0 INTERNATIONAL PAPER CO COM 460146103 669 24600 SH SOLE 24600 0 0 JOHNSON & JOHNSON COM 478160104 815 13152 SH SOLE 13152 0 0 KIMBERLY-CLARK CORP COM 494368103 561 8900 SH SOLE 8900 0 0 ELI LILLY & CO COM 532457108 1002 28600 SH SOLE 28600 0 0 LUBRIZOL CORP COM 549271104 721 6700 SH SOLE 6700 0 0 MCDONALD'S CORP COM 580135101 1128 14700 SH SOLE 14700 0 0 3M CO COM 88579Y101 502 5800 SH SOLE 5800 0 0 BANK OF AMERICA CORP COM 060505104 935 70400 SH SOLE 70400 0 0 NIKE INC -CL B COM 654106103 926 10800 SH SOLE 10800 0 0 NORFOLK SOUTHERN CORP COM 655844108 634 10100 SH SOLE 10100 0 0 WELLS FARGO & CO COM 949746101 1563 50700 SH SOLE 50700 0 0 PEPSICO INC COM 713448108 677 10400 SH SOLE 10400 0 0 PFIZER INC COM 717081103 1617 92441 SH SOLE 92441 0 0 PNC FINANCIAL SERVICES GROUP COM 693475105 1059 17400 SH SOLE 17400 0 0 PROCTER & GAMBLE CO/THE COM 742718109 687 10688 SH SOLE 10688 0 0 EDISON INTERNATIONAL COM 281020107 727 18800 SH SOLE 18800 0 0 SCHLUMBERGER LTD COM 806857108 1317 15800 SH SOLE 15800 0 0 TJX COMPANIES INC COM 872540109 1405 31400 SH SOLE 31400 0 0 TRANSCANADA CORP COM 89353D107 794 20800 SH SOLE 20800 0 0 UNION PACIFIC CORP COM 907818108 1887 20500 SH SOLE 20500 0 0 UNITEDHEALTH GROUP INC COM 91324P102 888 24700 SH SOLE 24700 0 0 UNITED STATES STEEL CORP COM 912909108 738 12500 SH SOLE 12500 0 0 WAL-MART STORES INC COM 931142103 765 14149 SH SOLE 14149 0 0 APPLE INC COM 037833100 3042 9400 SH SOLE 9400 0 0 CISCO SYSTEMS INC COM 17275R102 314 15500 SH SOLE 15500 0 0 INTEL CORP COM 458140100 823 39158 SH SOLE 39158 0 0 MICROSOFT CORP COM 594918104 1443 51800 SH SOLE 51800 0 0 ORACLE CORP COM 68389X105 1252 40000 SH SOLE 40000 0 0 CARDINAL HEALTH INC COM 14149Y108 1298 33700 SH SOLE 33700 0 0 CELGENE CORP COM 151020104 945 15900 SH SOLE 15900 0 0 FLOWSERVE CORP COM 34354P105 832 7000 SH SOLE 7000 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 - ---------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ------ FIFTH THIRD BANCORP COM 316773100 1091 74500 SH SOLE 74500 0 0 QUALCOMM INC COM 747525103 1477 29700 SH SOLE 29700 0 0 STARBUCKS CORP COM 855244109 1400 43200 SH SOLE 43200 0 0 BANK OF NOVA SCOTIA COM 064149107 1531 26800 SH SOLE 26800 0 0 TALISMAN ENERGY INC COM 87425E103 879 39500 SH SOLE 39500 0 0 CANADIAN NATURAL RESOURCES COM 136385101 1423 32100 SH SOLE 32100 0 0 SUNCOR ENERGY INC COM 867224107 1779 46600 SH SOLE 46600 0 0 TORONTO-DOMINION BANK COM 891160509 1685 22700 SH SOLE 22700 0 0 FLEXTRONICS INTL LTD COM Y2573F102 822 105000 SH SOLE 105000 0 0 UNITED PARCEL SERVICE-CL B COM 911312106 414 5700 SH SOLE 5700 0 0 MCKESSON CORP COM 58155Q103 945 13400 SH SOLE 13400 0 0 AMERISOURCEBERGEN CORP COM 03073E105 982 28700 SH SOLE 28700 0 0 AMAZON.COM INC COM 023135106 1042 5700 SH SOLE 5700 0 0 ACCENTURE PLC-CL A COM G1151C101 663 13700 SH SOLE 13700 0 0 COGNIZANT TECH SOLUTIONS-A COM 192446102 1905 25800 SH SOLE 25800 0 0 AETNA INC COM 00817Y108 910 29900 SH SOLE 29900 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 1291 7700 SH SOLE 7700 0 0 GOOGLE INC-CL A COM 38259P508 1078 1800 SH SOLE 1800 0 0 BLACKROCK INC COM 09247X101 884 4700 SH SOLE 4700 0 0 PROGRESS ENERGY INC COM 743263105 696 16000 SH SOLE 16000 0 0 DIRECTV-CLASS A COM 25490A101 601 15000 SH SOLE 15000 0 0 METROPCS COMMUNICATIONS INC COM 591708102 641 50600 SH SOLE 50600 0 0 MEAD JOHNSON NUTRITION CO COM 582839106 780 12700 SH SOLE 12700 0 0 BARRICK GOLD CORP COM 067901108 6149 116900 SH SOLE 116900 0 0 ANADARKO PETROLEUM CORP COM 032511107 11784 155900 SH SOLE 155900 0 0 APACHE CORP COM 037411105 10037 83700 SH SOLE 83700 0 0 ARCHER-DANIELS-MIDLAND CO COM 039483102 12633 422500 SH SOLE 422500 0 0 BAKER HUGHES INC COM 057224107 9421 165800 SH SOLE 165800 0 0 BP PLC-SPONS ADR COM 055622104 6307 143700 SH SOLE 143700 0 0 BHP BILLITON LTD-SPON ADR COM 088606108 32469 349500 SH SOLE 349500 0 0 CHEVRON CORP COM 166764100 27572 301000 SH SOLE 301000 0 0 CLIFFS NATURAL RESOURCES INC COM 18683K101 7736 98700 SH SOLE 98700 0 0 EXXON MOBIL CORP COM 30231G102 33636 458500 SH SOLE 458500 0 0 FREEPORT-MCMORAN COPPER COM 35671D857 27573 231800 SH SOLE 231800 0 0 HALLIBURTON CO COM 406216101 9760 238000 SH SOLE 238000 0 0 INTERNATIONAL PAPER CO COM 460146103 9571 352000 SH SOLE 352000 0 0 MURPHY OIL CORP COM 626717102 6735 90400 SH SOLE 90400 0 0 NOBLE ENERGY INC COM 655044105 10991 127300 SH SOLE 127300 0 0 NUCOR CORP COM 670346105 6416 144300 SH SOLE 144300 0 0 OCCIDENTAL PETROLEUM CORP COM 674599105 11694 119800 SH SOLE 119800 0 0 POTASH CORP OF SASKATCHEWAN COM 73755L107 17586 115300 SH SOLE 115300 0 0 RIO TINTO PLC-SPON ADR COM 767204100 21884 306800 SH SOLE 306800 0 0 SCHLUMBERGER LTD COM 806857108 10302 123584 SH SOLE 123584 0 0 TEMPLE-INLAND INC COM 879868107 5756 271000 SH SOLE 271000 0 0 TIDEWATER INC COM 886423102 3996 74600 SH SOLE 74600 0 0 TOTAL SA-SPON ADR COM 89151E109 8365 156700 SH SOLE 156700 0 0 MARATHON OIL CORP COM 565849106 4918 133500 SH SOLE 133500 0 0 UNITED STATES STEEL CORP COM 912909108 3990 67600 SH SOLE 67600 0 0 FRONTIER OIL CORP COM 35914P105 5381 301800 SH SOLE 301800 0 0 WEYERHAEUSER CO COM 962166104 6070 320300 SH SOLE 320300 0 0 WEATHERFORD INTL LTD COM H27013103 8580 377300 SH SOLE 377300 0 0 PRIDE INTERNATIONAL INC COM 74153Q102 6559 199000 SH SOLE 199000 0 0 ROYAL GOLD INC COM 780287108 3090 56800 SH SOLE 56800 0 0 ANGLOGOLD ASHANTI-SPON ADR COM 035128206 5740 117700 SH SOLE 117700 0 0 CANADIAN NATURAL RESOURCES COM 136385101 10101 227600 SH SOLE 227600 0 0 DENBURY RESOURCES INC COM 247916208 5979 314700 SH SOLE 314700 0 0 GOLDCORP INC COM 380956409 4057 89600 SH SOLE 89600 0 0 TECK RESOURCES LTD-CLS B COM 878742204 8380 137600 SH SOLE 137600 0 0 PATTERSON-UTI ENERGY INC COM 703481101 4837 223100 SH SOLE 223100 0 0 KINROSS GOLD CORP COM 496902404 4133 219700 SH SOLE 219700 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 - ---------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ------ POSCO-ADR COM 693483109 5200 48400 SH SOLE 48400 0 0 PETROLEO BRASILEIRO S.A.-ADR COM 71654V408 12677 337500 SH SOLE 337500 0 0 VALE SA-SP ADR COM 91912E105 12841 374800 SH SOLE 374800 0 0 SILVER WHEATON CORP COM 828336107 3927 103700 SH SOLE 103700 0 0 CHINA PETROLEUM & CHEM-ADR COM 16941R108 2971 31500 SH SOLE 31500 0 0 CIA SIDERURGICA NACL-SP ADR COM 20440W105 3860 235100 SH SOLE 235100 0 0 GERDAU SA -SPON ADR COM 373737105 2469 178300 SH SOLE 178300 0 0 CAMERON INTERNATIONAL CORP COM 13342B105 9497 187800 SH SOLE 187800 0 0 IAMGOLD CORP COM 450913108 6590 371500 SH SOLE 371500 0 0 IVANHOE MINES LTD COM 46579N103 4105 176200 SH SOLE 176200 0 0 NATIONAL OILWELL VARCO INC COM 637071101 4361 65200 SH SOLE 65200 0 0 ARCELORMITTAL-NY REGISTERED COM 03938L104 10730 284000 SH SOLE 284000 0 0 RANDGOLD RESOURCES LTD-ADR COM 752344309 8148 99500 SH SOLE 99500 0 0 DRIL-QUIP INC COM 262037104 4420 56400 SH SOLE 56400 0 0 YANZHOU COAL MINING-SP ADR COM 984846105 6545 218100 SH SOLE 218100 0 0 PEABODY ENERGY CORP COM 704549104 6228 97000 SH SOLE 97000 0 0 DEVON ENERGY CORPORATION COM 25179M103 16602 212300 SH SOLE 212300 0 0 PETROHAWK ENERGY CORP COM 716495106 7769 428300 SH SOLE 428300 0 0 CNOOC LTD-ADR COM 126132109 7841 33600 SH SOLE 33600 0 0 MONSANTO CO COM 61166W101 16593 238000 SH SOLE 238000 0 0 SYNGENTA AG-ADR COM 87160A100 6233 106100 SH SOLE 106100 0 0 PETROCHINA CO LTD -ADR COM 71646E100 3001 23200 SH SOLE 23200 0 0 FMC TECHNOLOGIES INC COM 30249U101 4620 52200 SH SOLE 52200 0 0 BUNGE LTD COM G16962105 9511 145900 SH SOLE 145900 0 0 MOSAIC CO/THE COM 61945A107 13361 176200 SH SOLE 176200 0 0 ROYAL DUTCH SHELL PLC-ADR COM 780259206 15371 230100 SH SOLE 230100 0 0 CELANESE CORP-SERIES A COM 150870103 6722 163800 SH SOLE 163800 0 0 ALPHA NATURAL RESOURCES INC COM 02076X102 6936 115300 SH SOLE 115300 0 0 CF INDUSTRIES HOLDINGS INC COM 125269100 7818 57200 SH SOLE 57200 0 0 FIRST SOLAR INC COM 336433107 3369 25700 SH SOLE 25700 0 0 CONCHO RESOURCES INC COM 20605P101 6200 71100 SH SOLE 71100 0 0
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