0001140361-11-050235.txt : 20111025 0001140361-11-050235.hdr.sgml : 20111025 20111025151629 ACCESSION NUMBER: 0001140361-11-050235 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111025 DATE AS OF CHANGE: 20111025 EFFECTIVENESS DATE: 20111025 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: 111156578 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 NONE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 9/30/2011 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: 028-13674 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 submission. Persons Signing this Report on Behalf of Reporting Manager: Name: /s/ Laurie A. Vicari Title: Chief Compliance Officer Phone: (212) 610-6100 Signature, Place, and Date of Signing: /s/ Laurie A. Vicari New York, NY 10/25/2011 --------------------------------- --------------------------------- ---------- [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 --------------- --------------------------------------------------------------- Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 162 Form 13F Information Table Value Total: $ 1,255,852 -------------- (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 ---------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ----- ABBOTT LABORATORIES COM 002824100 31 600 SH SOLE 600 0 0 ACCENTURE PLC-CL A COM G1151C101 1116 20500 SH SOLE 20500 0 0 AETNA INC COM 00817Y108 737 19800 SH SOLE 19800 0 0 AFLAC INC COM 001055102 527 14700 SH SOLE 14700 0 0 AGRIUM INC COM 008916108 17702 251800 SH SOLE 251800 0 0 ALPHA NATURAL RESOURCES INC COM 02076X102 11046 590400 SH SOLE 590400 0 0 ALTRIA GROUP INC COM 02209S103 40 1500 SH SOLE 1500 0 0 AMAZON.COM INC COM 023135106 1357 6100 SH SOLE 6100 0 0 AMERICAN ELECTRIC POWER COM 025537101 19 500 SH SOLE 500 0 0 AMERICAN EXPRESS CO COM 025816109 631 13500 SH SOLE 13500 0 0 AMERISOURCEBERGEN CORP COM 03073E105 773 20500 SH SOLE 20500 0 0 ANADARKO PETROLEUM CORP COM 032511107 26343 392300 SH SOLE 392300 0 0 ANGLOGOLD ASHANTI-SPON ADR COM 035128206 16414 393900 SH SOLE 393900 0 0 ANNALY CAPITAL MANAGEMENT IN COM 035710409 43 2600 SH SOLE 2600 0 0 APACHE CORP COM 037411105 19187 231500 SH SOLE 231500 0 0 APPLE INC COM 037833100 3203 8200 SH SOLE 8200 0 0 ARCELORMITTAL-NY REGISTERED COM 03938L104 12330 730900 SH SOLE 730900 0 0 ARCHER-DANIELS-MIDLAND CO COM 039483102 11385 441800 SH SOLE 441800 0 0 AT&T INC COM 00206R102 69 2400 SH SOLE 2400 0 0 BAKER HUGHES INC COM 057224107 19217 395500 SH SOLE 395500 0 0 BANK OF MONTREAL COM 063671101 29 500 SH SOLE 500 0 0 BANK OF NOVA SCOTIA COM 064149107 1364 25400 SH SOLE 25400 0 0 BARRICK GOLD CORP COM 067901108 1112 23200 SH SOLE 23200 0 0 BARRICK GOLD CORP COM 067901108 15739 340300 SH SOLE 340300 0 0 BCE INC COM 05534B760 1708 44000 SH SOLE 44000 0 0 BERKSHIRE HATHAWAY INC-CL B COM 084670702 909 12500 SH SOLE 12500 0 0 BHP BILLITON LTD-SPON ADR COM 088606108 52662 770700 SH SOLE 770700 0 0 BLACKROCK INC COM 09247X101 728 4800 SH SOLE 4800 0 0 BP PLC-SPONS ADR COM 055622104 23716 640800 SH SOLE 640800 0 0 BRISTOL-MYERS SQUIBB CO COM 110122108 28 900 SH SOLE 900 0 0 BUNGE LTD COM G16962105 20400 346000 SH SOLE 346000 0 0 CAMERON INTERNATIONAL CORP COM 13342B105 16833 386600 SH SOLE 386600 0 0 CAN IMPERIAL BK OF COMMERCE COM 136069101 22 300 SH SOLE 300 0 0 CANADIAN NATURAL RESOURCES COM 136385101 858 27400 SH SOLE 27400 0 0 CANADIAN NATURAL RESOURCES COM 136385101 15574 513300 SH SOLE 513300 0 0 CARDINAL HEALTH INC COM 14149Y108 1709 39700 SH SOLE 39700 0 0 CATERPILLAR INC COM 149123101 1191 15800 SH SOLE 15800 0 0 CELANESE CORP-SERIES A COM 150870103 12210 340300 SH SOLE 340300 0 0 CELGENE CORP COM 151020104 761 12100 SH SOLE 12100 0 0 CENTURYLINK INC COM 156700106 34 1000 SH SOLE 1000 0 0 CF INDUSTRIES HOLDINGS INC COM 125269100 1043 7400 SH SOLE 7400 0 0 CF INDUSTRIES HOLDINGS INC COM 125269100 20944 148600 SH SOLE 148600 0 0 CHEVRON CORP COM 166764100 2728 28900 SH SOLE 28900 0 0 CHEVRON CORP COM 166764100 52283 553900 SH SOLE 553900 0 0 CHEVRON CORP COM 166764100 76 800 SH SOLE 800 0 0 CHINA PETROLEUM & CHEM-ADR COM 16941R108 7301 74700 SH SOLE 74700 0 0 CIA SIDERURGICA NACL-SP ADR COM 20440W105 4535 553100 SH SOLE 553100 0 0 CIMAREX ENERGY CO COM 171798101 10772 187600 SH SOLE 187600 0 0 CISCO SYSTEMS INC COM 17275R102 750 47300 SH SOLE 47300 0 0 CLIFFS NATURAL RESOURCES INC COM 18683K101 10697 197400 SH SOLE 197400 0 0 CNOOC LTD-ADR COM 126132109 10152 60100 SH SOLE 60100 0 0 COCA-COLA CO/THE COM 191216100 2859 41400 SH SOLE 41400 0 0 COCA-COLA CO/THE COM 191216100 62 900 SH SOLE 900 0 0 COGNIZANT TECH SOLUTIONS-A COM 192446102 1496 23000 SH SOLE 23000 0 0 CONCHO RESOURCES INC COM 20605P101 9519 128300 SH SOLE 128300 0 0 CONOCOPHILLIPS COM 20825C104 39 600 SH SOLE 600 0 0 CONSOLIDATED EDISON INC COM 209115104 1479 25800 SH SOLE 25800 0 0 DEVON ENERGY CORPORATION COM 25179M103 23887 414200 SH SOLE 414200 0 0 DIAMOND OFFSHORE DRILLING COM 25271C102 17 300 SH SOLE 300 0 0 DOW CHEMICAL CO/THE COM 260543103 461 19400 SH SOLE 19400 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 ---------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ----- DRIL-QUIP INC COM 262037104 10105 181100 SH SOLE 181100 0 0 DU PONT (E.I.) DE NEMOURS COM 263534109 1121 27100 SH SOLE 27100 0 0 DU PONT (E.I.) DE NEMOURS COM 263534109 25 600 SH SOLE 600 0 0 DUKE ENERGY CORP COM 26441C105 20 1000 SH SOLE 1000 0 0 ELI LILLY & CO COM 532457108 1177 31600 SH SOLE 31600 0 0 ELI LILLY & CO COM 532457108 30 800 SH SOLE 800 0 0 EMC CORP/MASS COM 268648102 1182 55400 SH SOLE 55400 0 0 ENSCO PLC-SPON ADR COM 29358Q109 17158 416668 SH SOLE 416668 0 0 EXELON CORP COM 30161N101 22 500 SH SOLE 500 0 0 EXXON MOBIL CORP COM 30231G102 3559 48172 SH SOLE 48172 0 0 EXXON MOBIL CORP COM 30231G102 50401 682200 SH SOLE 682200 0 0 FIRST SOLAR INC COM 336433107 3908 60100 SH SOLE 60100 0 0 FLOWSERVE CORP COM 34354P105 369 4700 SH SOLE 4700 0 0 FMC TECHNOLOGIES INC COM 30249U101 10914 281800 SH SOLE 281800 0 0 FORD MOTOR CO COM 345370860 883 88300 SH SOLE 88300 0 0 FREEPORT-MCMORAN COPPER COM 35671D857 1150 36700 SH SOLE 36700 0 0 FREEPORT-MCMORAN COPPER COM 35671D857 34183 1090700 SH SOLE 1090700 0 0 FRONTIER COMMUNICATIONS CORP COM 35906A108 32 5100 SH SOLE 5100 0 0 GENERAL ELECTRIC CO COM 369604103 1824 115000 SH SOLE 115000 0 0 GERDAU SA -SPON ADR COM 373737105 5439 720400 SH SOLE 720400 0 0 GOLDCORP INC COM 380956409 18822 422300 SH SOLE 422300 0 0 GOOGLE INC-CL A COM 38259P508 1635 3100 SH SOLE 3100 0 0 HALLIBURTON CO COM 406216101 1000 31000 SH SOLE 31000 0 0 HALLIBURTON CO COM 406216101 22736 705000 SH SOLE 705000 0 0 HESS CORP COM 42809H107 9742 175400 SH SOLE 175400 0 0 HOME DEPOT INC COM 437076102 1598 47300 SH SOLE 47300 0 0 HOME DEPOT INC COM 437076102 30 900 SH SOLE 900 0 0 IAMGOLD CORP COM 450913108 17382 873900 SH SOLE 873900 0 0 INTEGRYS ENERGY GROUP INC COM 45822P105 25 500 SH SOLE 500 0 0 INTERNATIONAL PAPER CO COM 460146103 18221 754500 SH SOLE 754500 0 0 INTL BUSINESS MACHINES CORP COM 459200101 1845 10300 SH SOLE 10300 0 0 IVANHOE MINES LTD COM 46579N103 8215 543300 SH SOLE 543300 0 0 JOHNSON & JOHNSON COM 478160104 77 1200 SH SOLE 1200 0 0 JPMORGAN CHASE & CO COM 46625H100 1671 53249 SH SOLE 53249 0 0 KIMBERLY-CLARK CORP COM 494368103 28 400 SH SOLE 400 0 0 KINDER MORGAN MANAGEMENT LLC COM 49455U100 36 600 SH SOLE 600 0 0 KINROSS GOLD CORP COM 496902404 16700 1157300 SH SOLE 1157300 0 0 KRAFT FOODS INC-CLASS A COM 50075N104 24 700 SH SOLE 700 0 0 LINCOLN NATIONAL CORP COM 534187109 387 23500 SH SOLE 23500 0 0 LOCKHEED MARTIN CORP COM 539830109 43 600 SH SOLE 600 0 0 LORILLARD INC COM 544147101 22 200 SH SOLE 200 0 0 MCDONALD'S CORP COM 580135101 1314 14800 SH SOLE 14800 0 0 MCDONALD'S CORP COM 580135101 18 200 SH SOLE 200 0 0 MEAD JOHNSON NUTRITION CO COM 582839106 1438 20200 SH SOLE 20200 0 0 MICROSOFT CORP COM 594918104 794 31200 SH SOLE 31200 0 0 MONSANTO CO COM 61166W101 33286 527100 SH SOLE 527100 0 0 MOSAIC CO/THE COM 61945C103 23637 436100 SH SOLE 436100 0 0 NATIONAL OILWELL VARCO INC COM 637071101 8060 152700 SH SOLE 152700 0 0 NEW YORK COMMUNITY BANCORP COM 649445103 41 3300 SH SOLE 3300 0 0 NEWMONT MINING CORP COM 651639106 10610 169700 SH SOLE 169700 0 0 NIKE INC -CL B COM 654106103 845 9600 SH SOLE 9600 0 0 NOBLE ENERGY INC COM 655044105 12649 173800 SH SOLE 173800 0 0 NUCOR CORP COM 670346105 9754 300500 SH SOLE 300500 0 0 OCCIDENTAL PETROLEUM CORP COM 674599105 25642 340300 SH SOLE 340300 0 0 ORACLE CORP COM 68389X105 1571 53000 SH SOLE 53000 0 0 PATTERSON-UTI ENERGY INC COM 703481101 9607 519000 SH SOLE 519000 0 0 PEABODY ENERGY CORP COM 704549104 10168 282600 SH SOLE 282600 0 0 PETROCHINA CO LTD -ADR COM 71646E100 10184 82800 SH SOLE 82800 0 0 PETROLEO BRASILEIRO S.A.-ADR COM 71654V408 18507 794300 SH SOLE 794300 0 0 PETROLEO BRASILEIRO-SPON ADR COM 71654V101 1308 61200 SH SOLE 0 0 61200

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 ---------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ----- PFIZER INC COM 717081103 1748 97241 SH SOLE 97241 0 0 PFIZER INC COM 717081103 68 3800 SH SOLE 3800 0 0 PHILIP MORRIS INTERNATIONAL COM 718172109 70 1100 SH SOLE 1100 0 0 PNC FINANCIAL SERVICES GROUP COM 693475105 1190 23900 SH SOLE 23900 0 0 POSCO-ADR COM 693483109 7786 98300 SH SOLE 98300 0 0 POTASH CORP OF SASKATCHEWAN COM 73755L107 46017 1013600 SH SOLE 1013600 0 0 PROCTER & GAMBLE CO/THE COM 742718109 1910 29988 SH SOLE 29988 0 0 PROGRESS ENERGY INC COM 743263105 31 600 SH SOLE 600 0 0 QEP RESOURCES INC COM 74733V100 9624 345200 SH SOLE 345200 0 0 QUALCOMM INC COM 747525103 812 16200 SH SOLE 16200 0 0 RANDGOLD RESOURCES LTD-ADR COM 752344309 17549 184400 SH SOLE 184400 0 0 RIO TINTO PLC-SPON ADR COM 767204100 32417 698500 SH SOLE 698500 0 0 ROYAL BANK OF CANADA COM 780087102 39 800 SH SOLE 800 0 0 ROYAL DUTCH SHELL PLC-ADR COM 780259206 37020 588000 SH SOLE 588000 0 0 SCHLUMBERGER LTD COM 806857108 1521 24800 SH SOLE 24800 0 0 SCHLUMBERGER LTD COM 806857108 23458 382484 SH SOLE 382484 0 0 SM ENERGY CO COM 78454L100 16756 257500 SH SOLE 257500 0 0 SOUTHERN CO COM 842587107 30 700 SH SOLE 700 0 0 SPECTRA ENERGY CORP COM 847560109 18 700 SH SOLE 700 0 0 STARBUCKS CORP COM 855244109 824 21600 SH SOLE 21600 0 0 SUNCOR ENERGY INC COM 867224107 1139 41100 SH SOLE 41100 0 0 SUPERIOR ENERGY SERVICES INC COM 868157108 7376 265598 SH SOLE 265598 0 0 SYNGENTA AG-ADR COM 87160A100 13634 249300 SH SOLE 249300 0 0 TECK RESOURCES LTD-CLS B COM 878742204 14786 498700 SH SOLE 498700 0 0 TIDEWATER INC COM 886423102 8682 202200 SH SOLE 202200 0 0 TJX COMPANIES INC COM 872540109 1754 31500 SH SOLE 31500 0 0 TORONTO-DOMINION BANK COM 891160509 1026 13700 SH SOLE 13700 0 0 TOTAL SA-SPON ADR COM 89151E109 27223 605100 SH SOLE 605100 0 0 UNION PACIFIC CORP COM 907818108 1355 15900 SH SOLE 15900 0 0 UNITED PARCEL SERVICE-CL B COM 911312106 1546 23900 SH SOLE 23900 0 0 UNITED STATES STEEL CORP COM 912909108 3673 159200 SH SOLE 159200 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1323 28400 SH SOLE 28400 0 0 VALE SA-SP ADR COM 91912E105 21072 882800 SH SOLE 882800 0 0 VALE SA-SP PREF ADR COM 91912E204 1227 56100 SH SOLE 0 0 56100 VERIZON COMMUNICATIONS INC COM 92343V104 1668 44900 SH SOLE 44900 0 0 WAL-MART STORES INC COM 931142103 1851 35649 SH SOLE 35649 0 0 WALT DISNEY CO/THE COM 254687106 824 26900 SH SOLE 26900 0 0 WARNER CHILCOTT PLC-CLASS A COM G94368100 15 1000 SH SOLE 1000 0 0 WEATHERFORD INTL LTD COM H27013103 9703 761000 SH SOLE 761000 0 0 WELLS FARGO & CO COM 949746101 962 38500 SH SOLE 38500 0 0 WEYERHAEUSER CO COM 962166104 11002 683800 SH SOLE 683800 0 0 WHITING PETROLEUM CORP COM 966387102 11092 305400 SH SOLE 305400 0 0