0001335644-11-000008.txt : 20111114 0001335644-11-000008.hdr.sgml : 20111111 20111114153303 ACCESSION NUMBER: 0001335644-11-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111114 DATE AS OF CHANGE: 20111114 EFFECTIVENESS DATE: 20111114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SCOTIA CAPITAL INC. CENTRAL INDEX KEY: 0001335644 IRS NUMBER: 000000000 FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11461 FILM NUMBER: 111201915 BUSINESS ADDRESS: STREET 1: 40 KING ST.WEST, SCOTIA PLAZA 33RD FLOOR CITY: TORONTO STATE: A6 ZIP: M5W 2X6 BUSINESS PHONE: (416) 863-7411 MAIL ADDRESS: STREET 1: 40 KING ST.WEST, SCOTIA PLAZA 33RD FLOOR CITY: TORONTO STATE: A6 ZIP: M5W 2X6 13F-HR 1 scapital.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: September 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: Scotia Capital Inc. Address: 40 King St. West 33rd Floor Toronto, Ontario, M5W 2X6 13F File Number: 28-11461 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 Manager: Name: Bob Edwards Title: Managing Director, Financial Acctg & Control & Reg Phone: 416-863-7844 Signature, Place, and Date of Signing: /s/ Bob Edwards Toronto, ON, Canada November 14, 2011 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 280 Form 13F Information Table Value Total: $1,365,069 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. No. 13F File Number Name 028-11475 The Bank of Nova Scotia FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M CO COM 88579Y101 1271 17707 SH DEFINED 1 0 17707 0 ABBOTT LABS COM 002824100 3224 63262 SH DEFINED 1 2750 60512 0 ABERDEEN ASIA PACIFIC INCOM COM 003009107 213 30900 SH DEFINED 1 0 30900 0 ADVANCED MICRO DEVICES INC COM 007903107 65 12787 SH DEFINED 1 0 12787 0 AFLAC INC COM 001055102 405 11590 SH DEFINED 1 9500 2090 0 AGNICO EAGLE MINES LTD COM 008474108 2974 49764 SH DEFINED 1 11299 38465 0 AGRIUM INC COM 008916108 10422 156599 SH DEFINED 1 0 156599 0 AIR PRODS & CHEMS INC COM 009158106 779 10210 SH DEFINED 1 0 10210 0 ALCOA INC COM 013817101 371 38730 SH DEFINED 1 0 38730 0 ALLSTATE CORP COM 020002101 299 12630 SH 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8019 274000 SH DEFINED 1 0 274000 0 TELEFONICA S A SPONSORED ADR 879382208 1655 86544 SH DEFINED 1 0 86544 0 TELUS CORP NON-VTG SHS 87971M202 6113 131181 SH DEFINED 1 711 130470 0 TESORO CORP COM 881609101 361 18528 SH DEFINED 1 9200 9328 0 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 1079 28986 SH DEFINED 1 0 28986 0 THOMPSON CREEK METALS CO INC COM 884768102 255 42031 SH DEFINED 1 0 42031 0 THOMSON REUTERS CORP COM 884903105 13417 495596 SH DEFINED 1 0 495596 0 TIM HORTONS INC COM 88706M103 9844 211669 SH DEFINED 1 0 211669 0 TIME WARNER INC COM NEW 887317303 1344 44835 SH DEFINED 1 44336 499 0 TJX COS INC NEW COM 872540109 489 8805 SH DEFINED 1 0 8805 0 TORONTO DOMINION BK ONT COM NEW 891160509 118316 1661362 SH DEFINED 1 419503 1241859 0 TOTAL S A SPONSORED ADR 89151E109 287 6529 SH DEFINED 1 0 6529 0 TOYOTA MOTOR CORP SP ADR REP2COM 892331307 4450 65205 SH DEFINED 1 50000 15205 0 TRANSALTA CORP COM 89346D107 17491 803451 SH DEFINED 1 5 803446 0 TRANSCANADA CORP COM 89353D107 77724 1921098 SH DEFINED 1 4 1921094 0 UNDER ARMOUR INC CL A 904311107 454 6850 SH DEFINED 1 0 6850 0 UNION PAC CORP COM 907818108 2329 28499 SH DEFINED 1 28499 0 0 UNITED PARCEL SERVICE INC CL B 911312106 3186 50481 SH DEFINED 1 41400 9081 0 UNITED TECHNOLOGIES CORP COM 913017109 5756 81892 SH DEFINED 1 0 81892 0 UNUM GROUP COM 91529Y106 205 9818 SH DEFINED 1 0 9818 0 URANIUM RES INC COM PAR $0.001 916901507 14 20000 SH DEFINED 1 0 20000 0 VALE S A ADR 91912E105 2312 101620 SH DEFINED 1 12000 89620 0 VALERO ENERGY CORP NEW COM 91913Y100 994 55954 SH DEFINED 1 0 55954 0 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 2248 27854 SH DEFINED 1 0 27854 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 410 10600 SH DEFINED 1 0 10600 0 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 268 7479 SH DEFINED 1 0 7479 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 500 10251 SH DEFINED 1 0 10251 0 VERIZON COMMUNICATIONS INC COM 92343V104 2789 75895 SH DEFINED 1 0 75895 0 VISA INC COM CL A 92826C839 401 4665 SH DEFINED 1 1500 3165 0 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 494 19290 SH DEFINED 1 0 19290 0 WAL MART STORES INC COM 931142103 13697 263967 SH DEFINED 1 201150 62817 0 WALGREEN CO COM 931422109 3936 119729 SH DEFINED 1 115800 3929 0 WALTER ENERGY INC COM 93317Q105 449 8808 SH DEFINED 1 3145 5663 0 WASTE MGMT INC DEL COM 94106L109 1322 40679 SH DEFINED 1 0 40679 0 WISDOMTREE TRUST EMERG MKTS ETF 97717W315 1349 28589 SH DEFINED 1 0 28589 0 WISDOMTREE TRUST DEFA FD 97717W703 2534 63895 SH DEFINED 1 0 63895 0 YAMANA GOLD INC COM 98462Y100 670 49069 SH DEFINED 1 41600 7469 0 YUM BRANDS INC COM 988498101 727 14714 SH DEFINED 1 0 14714 0 ZIMMER HLDGS INC COM 98956P102 303 5678 SH DEFINED 1 0 5678 0