0001140361-12-004458.txt : 20120131 0001140361-12-004458.hdr.sgml : 20120131 20120131160738 ACCESSION NUMBER: 0001140361-12-004458 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120131 DATE AS OF CHANGE: 20120131 EFFECTIVENESS DATE: 20120131 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: 12559350 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: 12/31/2011 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: /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 1/31/2012 --------------------------------- --------------------------------- ---------- [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: 146 Form 13F Information Table Value Total: $ 1,680,981 -------------- (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 51 900 SH SOLE 900 0 0 ACCENTURE PLC-CL A COM G1151C101 1061 19700 SH SOLE 19700 0 0 AETNA INC COM 00817Y108 1123 26100 SH SOLE 26100 0 0 AGRIUM INC COM 008916108 20603 308100 SH SOLE 308100 0 0 ALPHA NATURAL RESOURCES INC COM 02076X102 12114 614900 SH SOLE 614900 0 0 ALTRIA GROUP INC COM 02209S103 69 2300 SH SOLE 2300 0 0 AMAZON.COM INC COM 023135106 800 4600 SH SOLE 4600 0 0 AMERICAN ELECTRIC POWER COM 025537101 33 800 SH SOLE 800 0 0 AMERICAN EXPRESS CO COM 025816109 941 19800 SH SOLE 19800 0 0 AMERISOURCEBERGEN CORP COM 03073E105 948 25400 SH SOLE 25400 0 0 ANADARKO PETROLEUM CORP COM 032511107 32510 426700 SH SOLE 426700 0 0 ANGLOGOLD ASHANTI-SPON ADR COM 035128206 23779 567800 SH SOLE 567800 0 0 ANNALY CAPITAL MANAGEMENT IN COM 035710409 47 2900 SH SOLE 2900 0 0 APACHE CORP COM 037411105 26166 290800 SH SOLE 290800 0 0 APPLE INC COM 037833100 4011 9900 SH SOLE 9900 0 0 ARCELORMITTAL-NY REGISTERED COM 03938L104 16225 895400 SH SOLE 895400 0 0 ARCHER-DANIELS-MIDLAND CO COM 039483102 14200 494100 SH SOLE 494100 0 0 AT&T INC COM 00206R102 127 4200 SH SOLE 4200 0 0 AVALONBAY COMMUNITIES INC COM 053484101 1036 7900 SH SOLE 7900 0 0 BAKER HUGHES INC COM 057224107 23950 497200 SH SOLE 497200 0 0 BANK OF MONTREAL COM 063671101 44 800 SH SOLE 800 0 0 BANK OF NOVA SCOTIA COM 064149107 1389 27600 SH SOLE 27600 0 0 BARRICK GOLD CORP COM 067901108 23328 515900 SH SOLE 515900 0 0 BCE INC COM 05534B760 1714 40900 SH SOLE 40900 0 0 BERKSHIRE HATHAWAY INC-CL B COM 084670702 1054 13700 SH SOLE 13700 0 0 BHP BILLITON LTD-SPON ADR COM 088606108 71242 1013400 SH SOLE 1013400 0 0 BLACKROCK INC COM 09247X101 933 5200 SH SOLE 5200 0 0 BP PLC-SPONS ADR COM 055622104 34309 804800 SH SOLE 804800 0 0 BRISTOL-MYERS SQUIBB CO COM 110122108 46 1300 SH SOLE 1300 0 0 BUNGE LTD COM G16962105 16219 283400 SH SOLE 283400 0 0 CAMERON INTERNATIONAL CORP COM 13342B105 20530 422000 SH SOLE 422000 0 0 CAN IMPERIAL BK OF COMMERCE COM 136069101 36 500 SH SOLE 500 0 0 CANADIAN NATURAL RESOURCES COM 136385101 24769 676000 SH SOLE 676000 0 0 CARDINAL HEALTH INC COM 14149Y108 1561 38400 SH SOLE 38400 0 0 CATERPILLAR INC COM 149123101 1522 16800 SH SOLE 16800 0 0 CELANESE CORP-SERIES A COM 150870103 18515 416900 SH SOLE 416900 0 0 CELGENE CORP COM 151020104 1013 15000 SH SOLE 15000 0 0 CENTURYLINK INC COM 156700106 71 1900 SH SOLE 1900 0 0 CF INDUSTRIES HOLDINGS INC COM 125269100 28438 197500 SH SOLE 197500 0 0 CHEVRON CORP COM 166764100 70640 657300 SH SOLE 657300 0 0 CHINA PETROLEUM & CHEM-ADR COM 16941R108 9361 88900 SH SOLE 88900 0 0 CIA SIDERURGICA NACL-SP ADR COM 20440W105 5368 665200 SH SOLE 665200 0 0 CIMAREX ENERGY CO COM 171798101 15925 255700 SH SOLE 255700 0 0 CISCO SYSTEMS INC COM 17275R102 1159 63500 SH SOLE 63500 0 0 CITIGROUP INC COM 172967424 827 30900 SH SOLE 30900 0 0 CLIFFS NATURAL RESOURCES INC COM 18683K101 15510 248600 SH SOLE 248600 0 0 CNOOC LTD-ADR COM 126132109 11606 66400 SH SOLE 66400 0 0 COCA-COLA CO/THE COM 191216100 3368 48000 SH SOLE 48000 0 0 COGNIZANT TECH SOLUTIONS-A COM 192446102 1248 19600 SH SOLE 19600 0 0 CONCHO RESOURCES INC COM 20605P101 8527 91126 SH SOLE 91126 0 0 CONOCOPHILLIPS COM 20825C104 66 900 SH SOLE 900 0 0 CONSOLIDATED EDISON INC COM 209115104 3142 50200 SH SOLE 50200 0 0 DEVON ENERGY CORPORATION COM 25179M103 32416 520400 SH SOLE 520400 0 0 DIAMOND OFFSHORE DRILLING COM 25271C102 22 400 SH SOLE 400 0 0 DRIL-QUIP INC COM 262037104 10227 155300 SH SOLE 155300 0 0 DU PONT (E.I.) DE NEMOURS COM 263534109 1265 27600 SH SOLE 27600 0 0 DUKE ENERGY CORP COM 26441C105 33 1500 SH SOLE 1500 0 0 ELI LILLY & CO COM 532457108 1900 45800 SH SOLE 45800 0 0 EMC CORP/MASS COM 268648102 1377 63800 SH SOLE 63800 0 0 ENSCO PLC-SPON ADR COM 29358Q109 24890 523568 SH SOLE 523568 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 ---------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ----- EXELON CORP COM 30161N101 31 700 SH SOLE 700 0 0 EXXON MOBIL CORP COM 30231G102 84168 987072 SH SOLE 987072 0 0 FMC TECHNOLOGIES INC COM 30249U101 12636 242300 SH SOLE 242300 0 0 FORD MOTOR CO COM 345370860 1389 130100 SH SOLE 130100 0 0 FREEPORT-MCMORAN COPPER COM 35671D857 54653 1495700 SH SOLE 1495700 0 0 FRONTIER COMMUNICATIONS CORP COM 35906A108 19 3800 SH SOLE 3800 0 0 GENERAL ELECTRIC CO COM 369604103 2201 121800 SH SOLE 121800 0 0 GERDAU SA -SPON ADR COM 373737105 6708 865500 SH SOLE 865500 0 0 GOLDCORP INC COM 380956409 37053 851200 SH SOLE 851200 0 0 GOOGLE INC-CL A COM 38259P508 2313 3600 SH SOLE 3600 0 0 GUESS? INC COM 401617105 878 29400 SH SOLE 29400 0 0 HALLIBURTON CO COM 406216101 32844 972000 SH SOLE 972000 0 0 HESS CORP COM 42809H107 14038 248600 SH SOLE 248600 0 0 HOLLYFRONTIER CORP COM 436106108 763 32900 SH SOLE 32900 0 0 HOME DEPOT INC COM 437076102 1739 41400 SH SOLE 41400 0 0 IAMGOLD CORP COM 450913108 17212 1097700 SH SOLE 1097700 0 0 INTEGRYS ENERGY GROUP INC COM 45822P105 44 800 SH SOLE 800 0 0 INTERNATIONAL PAPER CO COM 460146103 28072 947100 SH SOLE 947100 0 0 INTL BUSINESS MACHINES CORP COM 459200101 2197 11800 SH SOLE 11800 0 0 IVANHOE MINES LTD COM 46579N103 13424 756700 SH SOLE 756700 0 0 JOHNSON & JOHNSON COM 478160104 112 1700 SH SOLE 1700 0 0 JPMORGAN CHASE & CO COM 46625H100 1933 57849 SH SOLE 57849 0 0 KIMBERLY-CLARK CORP COM 494368103 37 500 SH SOLE 500 0 0 KINDER MORGAN MANAGEMENT LLC COM 49455U100 56 710 SH SOLE 710 0 0 KINROSS GOLD CORP COM 496902404 19267 1700500 SH SOLE 1700500 0 0 KRAFT FOODS INC-CLASS A COM 50075N104 38 1000 SH SOLE 1000 0 0 LOCKHEED MARTIN CORP COM 539830109 49 600 SH SOLE 600 0 0 LORILLARD INC COM 544147101 34 300 SH SOLE 300 0 0 MARATHON PETROLEUM CORP COM 56585A102 10052 302050 SH SOLE 302050 0 0 MCDONALD'S CORP COM 580135101 1774 17600 SH SOLE 17600 0 0 MICROSOFT CORP COM 594918104 801 30800 SH SOLE 30800 0 0 MONSANTO CO COM 61166W101 42009 596300 SH SOLE 596300 0 0 MORGAN STANLEY COM 617446448 675 44300 SH SOLE 44300 0 0 MOSAIC CO/THE COM 61945C103 27543 547800 SH SOLE 547800 0 0 NATIONAL OILWELL VARCO INC COM 637071101 14660 216000 SH SOLE 216000 0 0 NEW YORK COMMUNITY BANCORP COM 649445103 61 4900 SH SOLE 4900 0 0 NEWMONT MINING CORP COM 651639106 14305 237000 SH SOLE 237000 0 0 NIKE INC -CL B COM 654106103 1189 12200 SH SOLE 12200 0 0 NOBLE ENERGY INC COM 655044105 12849 133800 SH SOLE 133800 0 0 NUCOR CORP COM 670346105 14973 378200 SH SOLE 378200 0 0 OCCIDENTAL PETROLEUM CORP COM 674599105 40084 427700 SH SOLE 427700 0 0 ORACLE CORP COM 68389X105 1574 61000 SH SOLE 61000 0 0 PATTERSON-UTI ENERGY INC COM 703481101 11154 560200 SH SOLE 560200 0 0 PEABODY ENERGY CORP COM 704549104 11037 339600 SH SOLE 339600 0 0 PETROCHINA CO LTD -ADR COM 71646E100 12412 99600 SH SOLE 99600 0 0 PETROLEO BRASILEIRO S.A.-ADR COM 71654V408 23924 972500 SH SOLE 972500 0 0 PETROLEO BRASILEIRO-SPON ADR COM 71654V101 1420 61200 SH SOLE 0 0 61200 PFIZER INC COM 717081103 2950 135841 SH SOLE 135841 0 0 PHILIP MORRIS INTERNATIONAL COM 718172109 150 1900 SH SOLE 1900 0 0 PNC FINANCIAL SERVICES GROUP COM 693475105 1318 22600 SH SOLE 22600 0 0 POSCO-ADR COM 693483109 9633 117800 SH SOLE 117800 0 0 POTASH CORP OF SASKATCHEWAN COM 73755L107 57088 1385300 SH SOLE 1385300 0 0 PROCTER & GAMBLE CO/THE COM 742718109 2645 39488 SH SOLE 39488 0 0 PROGRESS ENERGY INC COM 743263105 51 900 SH SOLE 900 0 0 QEP RESOURCES INC COM 74733V100 16088 550400 SH SOLE 550400 0 0 QUALCOMM INC COM 747525103 1020 18600 SH SOLE 18600 0 0 RANDGOLD RESOURCES LTD-ADR COM 752344309 22815 225400 SH SOLE 225400 0 0 RIO TINTO PLC-SPON ADR COM 767204100 42304 877500 SH SOLE 877500 0 0 ROYAL BANK OF CANADA COM 780087102 57 1100 SH SOLE 1100 0 0 ROYAL DUTCH SHELL PLC-ADR COM 780259206 57063 780400 SH SOLE 780400 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 ---------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ----- SANDISK CORP COM 80004C101 989 20000 SH SOLE 20000 0 0 SCHLUMBERGER LTD COM 806857108 34291 508684 SH SOLE 508684 0 0 SM ENERGY CO COM 78454L100 16206 222300 SH SOLE 222300 0 0 SOUTHERN CO/THE COM 842587107 47 1000 SH SOLE 1000 0 0 SPECTRA ENERGY CORP COM 847560109 31 1000 SH SOLE 1000 0 0 STARBUCKS CORP COM 855244109 1017 21900 SH SOLE 21900 0 0 SUNCOR ENERGY INC COM 867224107 1365 46900 SH SOLE 46900 0 0 SUPERIOR ENERGY SERVICES INC COM 868157108 9088 319198 SH SOLE 319198 0 0 SYNGENTA AG-ADR COM 87160A100 17907 306000 SH SOLE 306000 0 0 TECK RESOURCES LTD-CLS B COM 878742204 21055 611000 SH SOLE 611000 0 0 TIDEWATER INC COM 886423102 14253 289700 SH SOLE 289700 0 0 TORONTO-DOMINION BANK COM 891160509 1120 14900 SH SOLE 14900 0 0 TOTAL SA-SPON ADR COM 89151E109 38646 760600 SH SOLE 760600 0 0 UNION PACIFIC CORP COM 907818108 1780 16900 SH SOLE 16900 0 0 UNITED PARCEL SERVICE-CL B COM 911312106 1868 25400 SH SOLE 25400 0 0 UNITED STATES STEEL CORP COM 912909108 4895 190700 SH SOLE 190700 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1454 28400 SH SOLE 28400 0 0 VALE SA-SP ADR COM 91912E105 23000 1080300 SH SOLE 1080300 0 0 VALE SA-SP PREF ADR COM 91912E204 1141 56100 SH SOLE 0 0 56100 VERIZON COMMUNICATIONS INC COM 92343V104 2002 50000 SH SOLE 50000 0 0 WAL-MART STORES INC COM 931142103 2625 43749 SH SOLE 43749 0 0 WALT DISNEY CO/THE COM 254687106 1029 27300 SH SOLE 27300 0 0 WEATHERFORD INTL LTD COM H27013103 13568 955500 SH SOLE 955500 0 0 WELLS FARGO & CO COM 949746101 1163 41900 SH SOLE 41900 0 0 WEYERHAEUSER CO COM 962166104 16229 859600 SH SOLE 859600 0 0 WHITING PETROLEUM CORP COM 966387102 19222 414900 SH SOLE 414900 0 0