0001140361-11-038867.txt : 20110802 0001140361-11-038867.hdr.sgml : 20110802 20110802080428 ACCESSION NUMBER: 0001140361-11-038867 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 FILED AS OF DATE: 20110802 DATE AS OF CHANGE: 20110802 EFFECTIVENESS DATE: 20110802 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: 111002043 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: 6/30/2011 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 submission. 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 8/2/2011 --------------------------------- --------------------------------- ---------- [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: 140 Form 13F Information Table Value Total: $ 1,193,498 -------------- (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 ---------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ----- 3M CO COM 88579Y101 382 4100 SH SOLE 4100 0 0 ACCENTURE PLC-CL A COM G1151C101 1654 27600 SH SOLE 27600 0 0 AETNA INC COM 00817Y108 882 19800 SH SOLE 19800 0 0 AFLAC INC COM 001055102 678 14700 SH SOLE 14700 0 0 AGRIUM INC COM 008916108 13937 158000 SH SOLE 158000 0 0 ALPHA NATURAL RESOURCES INC COM 02076X102 16070 353500 SH SOLE 353500 0 0 AMAZON.COM INC COM 023135106 1838 9000 SH SOLE 9000 0 0 AMERICAN EXPRESS CO COM 025816109 362 7100 SH SOLE 7100 0 0 AMERISOURCEBERGEN CORP COM 03073E105 1438 35000 SH SOLE 35000 0 0 ANADARKO PETROLEUM CORP COM 032511107 23091 305400 SH SOLE 305400 0 0 ANGLOGOLD ASHANTI-SPON ADR COM 035128206 12035 287300 SH SOLE 287300 0 0 APACHE CORP COM 037411105 18406 152000 SH SOLE 152000 0 0 APPLE INC COM 037833100 2338 7000 SH SOLE 7000 0 0 ARCELORMITTAL-NY REGISTERED COM 03938L104 16533 483000 SH SOLE 483000 0 0 ARCHER-DANIELS-MIDLAND CO COM 039483102 1225 40400 SH SOLE 40400 0 0 ARCHER-DANIELS-MIDLAND CO COM 039483102 13518 446000 SH SOLE 446000 0 0 BAKER HUGHES INC COM 057224107 14042 196500 SH SOLE 196500 0 0 BANK OF AMERICA CORP COM 060505104 606 54400 SH SOLE 54400 0 0 BANK OF NOVA SCOTIA COM 064149107 1475 25400 SH SOLE 25400 0 0 BARRICK GOLD CORP COM 067901108 1169 26700 SH SOLE 26700 0 0 BARRICK GOLD CORP COM 067901108 8980 199200 SH SOLE 199200 0 0 BCE INC COM 05534B760 1667 44000 SH SOLE 44000 0 0 BERKSHIRE HATHAWAY INC-CL B COM 084670702 963 12500 SH SOLE 12500 0 0 BHP BILLITON LTD-SPON ADR COM 088606108 52129 562400 SH SOLE 562400 0 0 BLACKROCK INC COM 09247X101 748 3900 SH SOLE 3900 0 0 BP PLC-SPONS ADR COM 055622104 20309 467200 SH SOLE 467200 0 0 BROADCOM CORP-CL A COM 111320107 540 16700 SH SOLE 16700 0 0 BUNGE LTD COM G16962105 18718 273300 SH SOLE 273300 0 0 CAMERON INTERNATIONAL CORP COM 13342B105 12756 260000 SH SOLE 260000 0 0 CANADIAN NATURAL RESOURCES COM 136385101 696 17400 SH SOLE 17400 0 0 CANADIAN NATURAL RESOURCES COM 136385101 13054 316700 SH SOLE 316700 0 0 CARDINAL HEALTH INC COM 14149Y108 797 17700 SH SOLE 17700 0 0 CARNIVAL CORP COM 143658300 673 18000 SH SOLE 18000 0 0 CATERPILLAR INC COM 149123101 1251 12100 SH SOLE 12100 0 0 CBS CORP-CLASS B NON VOTING COM 124857202 488 17200 SH SOLE 17200 0 0 CELANESE CORP-SERIES A COM 150870103 11617 220900 SH SOLE 220900 0 0 CELGENE CORP COM 151020104 451 7500 SH SOLE 7500 0 0 CF INDUSTRIES HOLDINGS INC COM 125269100 926 6200 SH SOLE 6200 0 0 CF INDUSTRIES HOLDINGS INC COM 125269100 19012 127300 SH SOLE 127300 0 0 CHEVRON CORP COM 166764100 2735 27000 SH SOLE 27000 0 0 CHEVRON CORP COM 166764100 52372 517100 SH SOLE 517100 0 0 CHINA PETROLEUM & CHEM-ADR COM 16941R108 5376 53500 SH SOLE 53500 0 0 CIA SIDERURGICA NACL-SP ADR COM 20440W105 4959 395800 SH SOLE 395800 0 0 CISCO SYSTEMS INC COM 17275R102 750 48900 SH SOLE 48900 0 0 CLIFFS NATURAL RESOURCES INC COM 18683K101 13052 144400 SH SOLE 144400 0 0 CNOOC LTD-ADR COM 126132109 13354 57500 SH SOLE 57500 0 0 COCA-COLA CO/THE COM 191216100 2488 37300 SH SOLE 37300 0 0 COGNIZANT TECH SOLUTIONS-A COM 192446102 1878 25700 SH SOLE 25700 0 0 CONCHO RESOURCES INC COM 20605P101 8403 92900 SH SOLE 92900 0 0 CONSOLIDATED EDISON INC COM 209115104 706 13300 SH SOLE 13300 0 0 CSX CORP COM 126408103 1291 50100 SH SOLE 50100 0 0 DENBURY RESOURCES INC COM 247916208 12161 617600 SH SOLE 617600 0 0 DEVON ENERGY CORPORATION COM 25179M103 29508 378700 SH SOLE 378700 0 0 DIRECTV-CLASS A COM 25490A101 657 13100 SH SOLE 13100 0 0 DOW CHEMICAL CO/THE COM 260543103 694 19400 SH SOLE 19400 0 0 DRIL-QUIP INC COM 262037104 7495 111400 SH SOLE 111400 0 0 DU PONT (E.I.) DE NEMOURS COM 263534109 1445 27100 SH SOLE 27100 0 0 ELI LILLY & CO COM 532457108 932 25000 SH SOLE 25000 0 0 EMC CORP/MASS COM 268648102 1501 55400 SH SOLE 55400 0 0 ENSCO PLC-SPON ADR COM 29358Q109 13864 260068 SH SOLE 260068 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 ---------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ----- EXXON MOBIL CORP COM 30231G102 4082 50872 SH SOLE 50872 0 0 EXXON MOBIL CORP COM 30231G102 57082 711300 SH SOLE 711300 0 0 FIFTH THIRD BANCORP COM 316773100 588 46300 SH SOLE 46300 0 0 FIRST SOLAR INC COM 336433107 5578 43100 SH SOLE 43100 0 0 FLOWSERVE CORP COM 34354P105 354 3300 SH SOLE 3300 0 0 FMC TECHNOLOGIES INC COM 30249U101 7822 177500 SH SOLE 177500 0 0 FREEPORT-MCMORAN COPPER COM 35671D857 810 15700 SH SOLE 15700 0 0 FREEPORT-MCMORAN COPPER COM 35671D857 41090 796000 SH SOLE 796000 0 0 GENERAL ELECTRIC CO COM 369604103 1199 64600 SH SOLE 64600 0 0 GERDAU SA -SPON ADR COM 373737105 3148 303300 SH SOLE 303300 0 0 GOLDCORP INC COM 380956409 11020 228400 SH SOLE 228400 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 808 6100 SH SOLE 6100 0 0 GOOGLE INC-CL A COM 38259P508 1443 2900 SH SOLE 2900 0 0 HALLIBURTON CO COM 406216101 20337 408200 SH SOLE 408200 0 0 HESS CORP COM 42809H107 8166 111900 SH SOLE 111900 0 0 HOME DEPOT INC COM 437076102 1177 32700 SH SOLE 32700 0 0 IAMGOLD CORP COM 450913108 12045 637300 SH SOLE 637300 0 0 INTERNATIONAL PAPER CO COM 460146103 15898 545200 SH SOLE 545200 0 0 INTL BUSINESS MACHINES CORP COM 459200101 1757 10300 SH SOLE 10300 0 0 IVANHOE MINES LTD COM 46579N103 6698 265800 SH SOLE 265800 0 0 JPMORGAN CHASE & CO COM 46625H100 2154 53249 SH SOLE 53249 0 0 KINROSS GOLD CORP COM 496902404 13097 844400 SH SOLE 844400 0 0 LINCOLN NATIONAL CORP COM 534187109 662 23500 SH SOLE 23500 0 0 MARATHON OIL CORP COM 565849106 10517 203700 SH SOLE 203700 0 0 MCDONALD'S CORP COM 580135101 1531 18100 SH SOLE 18100 0 0 MCKESSON CORP COM 58155Q103 1360 16400 SH SOLE 16400 0 0 MEAD JOHNSON NUTRITION CO COM 582839106 1219 18200 SH SOLE 18200 0 0 MICROSOFT CORP COM 594918104 1155 45100 SH SOLE 45100 0 0 MONSANTO CO COM 61166W101 28680 408200 SH SOLE 408200 0 0 MOSAIC CO/THE COM 61945C103 21768 318200 SH SOLE 318200 0 0 MURPHY OIL CORP COM 626717102 5374 83200 SH SOLE 83200 0 0 NATIONAL OILWELL VARCO INC COM 637071101 8421 111100 SH SOLE 111100 0 0 NIKE INC -CL B COM 654106103 1050 11700 SH SOLE 11700 0 0 NOBLE ENERGY INC COM 655044105 13510 151200 SH SOLE 151200 0 0 NUCOR CORP COM 670346105 9855 244900 SH SOLE 244900 0 0 OCCIDENTAL PETROLEUM CORP COM 674599105 21852 212400 SH SOLE 212400 0 0 ORACLE CORP COM 68389X105 1719 53000 SH SOLE 53000 0 0 PATTERSON-UTI ENERGY INC COM 703481101 10078 335500 SH SOLE 335500 0 0 PEABODY ENERGY CORP COM 704549104 10065 173000 SH SOLE 173000 0 0 PETROCHINA CO LTD -ADR COM 71646E100 5726 39400 SH SOLE 39400 0 0 PETROHAWK ENERGY CORP COM 716495106 8292 336400 SH SOLE 336400 0 0 PETROLEO BRASILEIRO S.A.-ADR COM 71654V408 19099 574400 SH SOLE 574400 0 0 PETROLEO BRASILEIRO-SPON ADR COM 71654V101 1921 63400 SH SOLE 0 0 63400 PFIZER INC COM 717081103 2010 97241 SH SOLE 97241 0 0 PNC FINANCIAL SERVICES GROUP COM 693475105 1409 23900 SH SOLE 23900 0 0 POSCO-ADR COM 693483109 8765 81600 SH SOLE 81600 0 0 POTASH CORP OF SASKATCHEWAN COM 73755L107 40405 710600 SH SOLE 710600 0 0 PROCTER & GAMBLE CO/THE COM 742718109 1269 20288 SH SOLE 20288 0 0 PROGRESS ENERGY INC COM 743263105 698 14600 SH SOLE 14600 0 0 QUALCOMM INC COM 747525103 554 10000 SH SOLE 10000 0 0 RANDGOLD RESOURCES LTD-ADR COM 752344309 15043 180500 SH SOLE 180500 0 0 RIO TINTO PLC-SPON ADR COM 767204100 37299 526900 SH SOLE 526900 0 0 ROYAL DUTCH SHELL PLC-ADR COM 780259206 29989 428600 SH SOLE 428600 0 0 SCHLUMBERGER LTD COM 806857108 929 10900 SH SOLE 10900 0 0 SCHLUMBERGER LTD COM 806857108 17424 204484 SH SOLE 204484 0 0 SM ENERGY CO COM 78454L100 12423 171500 SH SOLE 171500 0 0 STARBUCKS CORP COM 855244109 1013 25700 SH SOLE 25700 0 0 SUNCOR ENERGY INC COM 867224107 1079 28700 SH SOLE 28700 0 0 SYNGENTA AG-ADR COM 87160A100 12295 182200 SH SOLE 182200 0 0 TALISMAN ENERGY INC COM 87425E103 610 31600 SH SOLE 31600 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 ---------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ----- TECK RESOURCES LTD-CLS B COM 878742204 18021 360200 SH SOLE 360200 0 0 TEMPLE-INLAND INC COM 879868107 10334 349700 SH SOLE 349700 0 0 TIDEWATER INC COM 886423102 7676 143900 SH SOLE 143900 0 0 TJX COMPANIES INC COM 872540109 796 15300 SH SOLE 15300 0 0 TORONTO-DOMINION BANK COM 891160509 881 10900 SH SOLE 10900 0 0 TOTAL SA-SPON ADR COM 89151E109 24971 441500 SH SOLE 441500 0 0 TRANSCANADA CORP COM 89353D107 1261 29700 SH SOLE 29700 0 0 UNION PACIFIC CORP COM 907818108 1370 13300 SH SOLE 13300 0 0 UNITED PARCEL SERVICE-CL B COM 911312106 1720 23900 SH SOLE 23900 0 0 UNITED STATES STEEL CORP COM 912909108 5209 113600 SH SOLE 113600 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1330 25800 SH SOLE 25800 0 0 VALE SA-SP ADR COM 91912E105 20309 643300 SH SOLE 643300 0 0 VALE SA-SP PREF ADR COM 91912E204 1694 59000 SH SOLE 0 0 59000 VERIZON COMMUNICATIONS INC COM 92343V104 1649 44900 SH SOLE 44900 0 0 WAL-MART STORES INC COM 931142103 1540 29249 SH SOLE 29249 0 0 WALT DISNEY CO/THE COM 254687106 1032 26900 SH SOLE 26900 0 0 WEATHERFORD INTL LTD COM H27013103 10158 549700 SH SOLE 549700 0 0 WELLS FARGO & CO COM 949746101 836 29800 SH SOLE 29800 0 0 WEYERHAEUSER CO COM 962166104 10487 494200 SH SOLE 494200 0 0 YANZHOU COAL MINING-SP ADR COM 984846105 5728 151500 SH SOLE 151500 0 0