0001140361-12-033912.txt : 20120725 0001140361-12-033912.hdr.sgml : 20120725 20120725150725 ACCESSION NUMBER: 0001140361-12-033912 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120630 FILED AS OF DATE: 20120725 DATE AS OF CHANGE: 20120725 EFFECTIVENESS DATE: 20120725 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: 12978784 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: 6/30/2012 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 7/25/2012 --------------------------------- --------------------------------- ---------- [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: 142 Form 13F Information Table Value Total: $ 2,379,801 -------------- (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 57 900 SH SOLE 900 0 0 ACCENTURE PLC-CL A COM G1151C101 1070 18900 SH SOLE 18900 0 0 AGRIUM INC COM 008916108 38211 437799 SH SOLE 437799 0 0 ALPHA NATURAL RESOURCES INC COM 02076X102 6934 829400 SH SOLE 829400 0 0 ALTRIA GROUP INC COM 02209S103 75 2200 SH SOLE 2200 0 0 AMAZON.COM INC COM 023135106 1394 6300 SH SOLE 6300 0 0 AMERICAN ELECTRIC POWER COM 025537101 32 800 SH SOLE 800 0 0 AMERICAN EXPRESS CO COM 025816109 2081 36700 SH SOLE 36700 0 0 AMERICAN INTERNATIONAL GROUP COM 026874784 728 23600 SH SOLE 23600 0 0 ANADARKO PETROLEUM CORP COM 032511107 41037 648800 SH SOLE 648800 0 0 ANGLOGOLD ASHANTI-SPON ADR COM 035128206 33436 986300 SH SOLE 986300 0 0 ANNALY CAPITAL MANAGEMENT IN COM 035710409 38 2300 SH SOLE 2300 0 0 APACHE CORP COM 037411105 37450 439400 SH SOLE 439400 0 0 APPLE INC COM 037833100 5178 9100 SH SOLE 9100 0 0 ARCELORMITTAL-NY REGISTERED COM 03938L104 20727 1444400 SH SOLE 1444400 0 0 ARCHER-DANIELS-MIDLAND CO COM 039483102 23032 790400 SH SOLE 790400 0 0 AT&T INC COM 00206R102 159 4500 SH SOLE 4500 0 0 AVALONBAY COMMUNITIES INC COM 053484101 1932 14000 SH SOLE 14000 0 0 BAKER HUGHES INC COM 057224107 24284 607700 SH SOLE 607700 0 0 BANK OF MONTREAL COM 063671101 66 1200 SH SOLE 1200 0 0 BARRICK GOLD CORP COM 067901108 30613 844400 SH SOLE 844400 0 0 BCE INC COM 05534B760 1889 45300 SH SOLE 45300 0 0 BERKSHIRE HATHAWAY INC-CL B COM 084670702 1128 13700 SH SOLE 13700 0 0 BHP BILLITON PLC-ADR COM 05545E209 106687 1961527 SH SOLE 1961527 0 0 BP PLC-SPONS ADR COM 055622104 50856 1319900 SH SOLE 1319900 0 0 BRISTOL-MYERS SQUIBB CO COM 110122108 46 1300 SH SOLE 1300 0 0 BUNGE LTD COM G16962105 24904 406400 SH SOLE 406400 0 0 CAMERON INTERNATIONAL CORP COM 13342B105 24083 583400 SH SOLE 583400 0 0 CAN IMPERIAL BK OF COMMERCE COM 136069101 42 600 SH SOLE 600 0 0 CANADIAN NATURAL RESOURCES COM 136385101 35568 1382900 SH SOLE 1382900 0 0 CARDINAL HEALTH INC COM 14149Y108 1331 32500 SH SOLE 32500 0 0 CATERPILLAR INC COM 149123101 1743 21100 SH SOLE 21100 0 0 CELANESE CORP-SERIES A COM 150870103 24031 715200 SH SOLE 715200 0 0 CELGENE CORP COM 151020104 1564 25200 SH SOLE 25200 0 0 CENTURYLINK INC COM 156700106 74 1900 SH SOLE 1900 0 0 CF INDUSTRIES HOLDINGS INC COM 125269100 25256 132900 SH SOLE 132900 0 0 CHEVRON CORP COM 166764100 115803 1119300 SH SOLE 1119300 0 0 CHINA PETROLEUM & CHEM-ADR COM 16941R108 11728 134600 SH SOLE 134600 0 0 CISCO SYSTEMS INC COM 17275R102 1297 78700 SH SOLE 78700 0 0 CITIGROUP INC COM 172967424 1457 55200 SH SOLE 55200 0 0 CLIFFS NATURAL RESOURCES INC COM 18683K101 19732 418500 SH SOLE 418500 0 0 CNOOC LTD-ADR COM 126132109 19543 101700 SH SOLE 101700 0 0 COCA-COLA CO/THE COM 191216100 2711 35400 SH SOLE 35400 0 0 CONOCOPHILLIPS COM 20825C104 115 2100 SH SOLE 2100 0 0 CONSOLIDATED EDISON INC COM 209115104 3935 63400 SH SOLE 63400 0 0 DEERE & CO COM 244199105 728 9300 SH SOLE 9300 0 0 DEVON ENERGY CORPORATION COM 25179M103 46796 823300 SH SOLE 823300 0 0 DIAMOND OFFSHORE DRILLING COM 25271C102 23 400 SH SOLE 400 0 0 DICK'S SPORTING GOODS INC COM 253393102 1333 28300 SH SOLE 28300 0 0 DRIL-QUIP INC COM 262037104 14791 234000 SH SOLE 234000 0 0 DU PONT (E.I.) DE NEMOURS COM 263534109 1615 32500 SH SOLE 32500 0 0 DUKE ENERGY CORP COM 26441C105 32 1400 SH SOLE 1400 0 0 ELI LILLY & CO COM 532457108 1271 30200 SH SOLE 30200 0 0 EMC CORP/MA COM 268648102 1368 57700 SH SOLE 57700 0 0 ENSCO PLC-CL A COM 29358Q109 24564 549038 SH SOLE 549038 0 0 EXELON CORP COM 30161N101 26 700 SH SOLE 700 0 0 EXXON MOBIL CORP COM 30231G102 144292 1736372 SH SOLE 1736372 0 0 FMC TECHNOLOGIES INC COM 30249U101 18671 494200 SH SOLE 494200 0 0 FORD MOTOR CO COM 345370860 1247 123600 SH SOLE 123600 0 0 FREEPORT-MCMORAN COPPER COM 35671D857 80001 2479900 SH SOLE 2479900 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 ---------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ----- FRONTIER COMMUNICATIONS CORP COM 35906A108 14 3600 SH SOLE 3600 0 0 GENERAL ELECTRIC CO COM 369604103 3313 164000 SH SOLE 164000 0 0 GENUINE PARTS CO COM 372460105 18 300 SH SOLE 300 0 0 GERDAU SA -SPON ADR COM 373737105 13516 1708700 SH SOLE 1708700 0 0 GOLDCORP INC COM 380956409 53099 1470900 SH SOLE 1470900 0 0 GOOGLE INC-CL A COM 38259P508 1524 2700 SH SOLE 2700 0 0 HALLIBURTON CO COM 406216101 40630 1467300 SH SOLE 1467300 0 0 HARTFORD FINANCIAL SVCS GRP COM 416515104 728 42900 SH SOLE 42900 0 0 HELMERICH & PAYNE COM 423452101 968 23300 SH SOLE 23300 0 0 HERBALIFE LTD COM G4412G101 925 19700 SH SOLE 19700 0 0 HESS CORP COM 42809H107 14593 354900 SH SOLE 354900 0 0 HOME DEPOT INC COM 437076102 1313 25400 SH SOLE 25400 0 0 IAMGOLD CORP COM 450913108 13233 1154700 SH SOLE 1154700 0 0 INTEGRYS ENERGY GROUP INC COM 45822P105 46 800 SH SOLE 800 0 0 INTERNATIONAL PAPER CO COM 460146103 38048 1364200 SH SOLE 1364200 0 0 INTL BUSINESS MACHINES CORP COM 459200101 2967 15500 SH SOLE 15500 0 0 JOHNSON & JOHNSON COM 478160104 127 1900 SH SOLE 1900 0 0 JPMORGAN CHASE & CO COM 46625H100 2912 81149 SH SOLE 81149 0 0 KEY ENERGY SERVICES INC COM 492914106 8638 1191400 SH SOLE 1191400 0 0 KIMBERLY-CLARK CORP COM 494368103 41 500 SH SOLE 500 0 0 KINDER MORGAN MANAGEMENT LLC COM 49455U100 45 629 SH SOLE 629 0 0 KINROSS GOLD CORP COM 496902404 27440 3469000 SH SOLE 3469000 0 0 LOCKHEED MARTIN CORP COM 539830109 51 600 SH SOLE 600 0 0 LORILLARD INC COM 544147101 39 300 SH SOLE 300 0 0 MARATHON PETROLEUM CORP COM 56585A102 22641 512350 SH SOLE 512350 0 0 MCDONALD'S CORP COM 580135101 2002 22700 SH SOLE 22700 0 0 MONSANTO CO COM 61166W101 63181 787300 SH SOLE 787300 0 0 MONSTER BEVERAGE CORP COM 611740101 1352 19700 SH SOLE 19700 0 0 MOSAIC CO/THE COM 61945C103 34797 643800 SH SOLE 643800 0 0 MYLAN INC COM 628530107 924 44400 SH SOLE 44400 0 0 NATIONAL OILWELL VARCO INC COM 637071101 21575 347200 SH SOLE 347200 0 0 NEW YORK COMMUNITY BANCORP COM 649445103 42 3400 SH SOLE 3400 0 0 NOBLE ENERGY INC COM 655044105 18373 226100 SH SOLE 226100 0 0 NUANCE COMMUNICATIONS INC COM 67020Y100 961 42200 SH SOLE 42200 0 0 NUCOR CORP COM 670346105 22495 606500 SH SOLE 606500 0 0 OCCIDENTAL PETROLEUM CORP COM 674599105 63546 785100 SH SOLE 785100 0 0 OCEANEERING INTL INC COM 675232102 1602 35000 SH SOLE 35000 0 0 OMEGA HEALTHCARE INVESTORS COM 681936100 32 1400 SH SOLE 1400 0 0 ORACLE CORP COM 68389X105 1634 58000 SH SOLE 58000 0 0 PEABODY ENERGY CORP COM 704549104 16559 711600 SH SOLE 711600 0 0 PETROCHINA CO LTD -ADR COM 71646E100 19788 157900 SH SOLE 157900 0 0 PETROLEO BRASILEIRO S.A.-ADR COM 71654V408 27116 1534600 SH SOLE 1534600 0 0 PETROLEO BRASILEIRO-SPON ADR COM 71654V101 965 56400 SH SOLE 0 0 56400 PFIZER INC COM 717081103 3107 137941 SH SOLE 137941 0 0 PHILIP MORRIS INTERNATIONAL COM 718172109 171 2000 SH SOLE 2000 0 0 POSCO-ADR COM 693483109 14333 183500 SH SOLE 183500 0 0 POTASH CORP OF SASKATCHEWAN COM 73755L107 103990 2382900 SH SOLE 2382900 0 0 PROCTER & GAMBLE CO/THE COM 742718109 2200 36488 SH SOLE 36488 0 0 PROGRESS ENERGY INC COM 743263105 54 900 SH SOLE 900 0 0 QEP RESOURCES INC COM 74733V100 25560 901900 SH SOLE 901900 0 0 QUALCOMM INC COM 747525103 2058 37900 SH SOLE 37900 0 0 RANDGOLD RESOURCES LTD-ADR COM 752344309 30163 346100 SH SOLE 346100 0 0 REYNOLDS AMERICAN INC COM 761713106 13 300 SH SOLE 300 0 0 RIO TINTO PLC-SPON ADR COM 767204100 76825 1689200 SH SOLE 1689200 0 0 ROYAL BANK OF CANADA COM 780087102 56 1100 SH SOLE 1100 0 0 ROYAL DUTCH SHELL PLC-ADR COM 780259206 115357 1750491 SH SOLE 1750491 0 0 SCHLUMBERGER LTD COM 806857108 44292 706184 SH SOLE 706184 0 0 SM ENERGY CO COM 78454L100 21293 464600 SH SOLE 464600 0 0 SOUTHERN CO/THE COM 842587107 47 1000 SH SOLE 1000 0 0 SPX CORP COM 784635104 514 8100 SH SOLE 8100 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 ---------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ----- STARBUCKS CORP COM 855244109 1766 33900 SH SOLE 33900 0 0 STRAYER EDUCATION INC COM 863236105 41 400 SH SOLE 400 0 0 SUN LIFE FINANCIAL INC COM 866796105 15 700 SH SOLE 700 0 0 SUPERIOR ENERGY SERVICES INC COM 868157108 16493 854998 SH SOLE 854998 0 0 SYNGENTA AG-ADR COM 87160A100 29403 439500 SH SOLE 439500 0 0 TECK RESOURCES LTD-CLS B COM 878742204 37119 1265998 SH SOLE 1265998 0 0 TIDEWATER INC COM 886423102 20819 464700 SH SOLE 464700 0 0 TOTAL SA-SPON ADR COM 89151E109 64902 1520300 SH SOLE 1520300 0 0 UNION PACIFIC CORP COM 907818108 1845 16000 SH SOLE 16000 0 0 UNITED PARCEL SERVICE-CL B COM 911312106 1858 24100 SH SOLE 24100 0 0 UNITED STATES STEEL CORP COM 912909108 5956 286500 SH SOLE 286500 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1436 24100 SH SOLE 24100 0 0 VALE SA-SP ADR COM 91912E105 37500 1996800 SH SOLE 1996800 0 0 VALE SA-SP PREF ADR COM 91912E204 962 52300 SH SOLE 0 0 52300 VERIZON COMMUNICATIONS INC COM 92343V104 2449 55700 SH SOLE 55700 0 0 WAL-MART STORES INC COM 931142103 1923 28149 SH SOLE 28149 0 0 WALT DISNEY CO/THE COM 254687106 1033 21600 SH SOLE 21600 0 0 WALTER ENERGY INC COM 93317Q105 16546 367200 SH SOLE 367200 0 0 WEATHERFORD INTL LTD COM H27013103 19104 1568500 SH SOLE 1568500 0 0 WELLS FARGO & CO COM 949746101 3076 94700 SH SOLE 94700 0 0 WEYERHAEUSER CO COM 962166104 28628 1321700 SH SOLE 1321700 0 0 WHITING PETROLEUM CORP COM 966387102 22266 580600 SH SOLE 580600 0 0