0001140361-12-044475.txt : 20121023 0001140361-12-044475.hdr.sgml : 20121023 20121023160708 ACCESSION NUMBER: 0001140361-12-044475 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121023 DATE AS OF CHANGE: 20121023 EFFECTIVENESS DATE: 20121023 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: 121156643 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: 9/30/2012 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: /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 10/24/2012 --------------------------------- --------------------------------- ---------- [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: 147 Form 13F Information Table Value Total: $ 2,908,114 -------------- (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 55 800 SH SOLE 800 0 0 ACCENTURE PLC-CL A COM G1151C101 1007 15400 SH SOLE 15400 0 0 AGRIUM INC COM 008916108 43699 424299 SH SOLE 424299 0 0 ALTRIA GROUP INC COM 02209S103 78 2300 SH SOLE 2300 0 0 AMAZON.COM INC COM 023135106 1847 7200 SH SOLE 7200 0 0 AMERICAN CAPITAL AGENCY CORP COM 02503X105 1203 35000 SH SOLE 35000 0 0 AMERICAN ELECTRIC POWER COM 025537101 35 800 SH SOLE 800 0 0 AMERICAN EXPRESS CO COM 025816109 2076 36700 SH SOLE 36700 0 0 AMERICAN INTERNATIONAL GROUP COM 026874784 1099 33100 SH SOLE 33100 0 0 ANADARKO PETROLEUM CORP COM 032511107 48564 691500 SH SOLE 691500 0 0 ANGLOGOLD ASHANTI-SPON ADR COM 035128206 43290 1234400 SH SOLE 1234400 0 0 ANNALY CAPITAL MANAGEMENT IN COM 035710409 39 2300 SH SOLE 2300 0 0 APACHE CORP COM 037411105 37888 436300 SH SOLE 436300 0 0 APPLE INC COM 037833100 5587 8200 SH SOLE 8200 0 0 ARCELORMITTAL-NY REGISTERED COM 03938L104 23433 1564300 SH SOLE 1564300 0 0 ARCHER-DANIELS-MIDLAND CO COM 039483102 23539 854100 SH SOLE 854100 0 0 AT&T INC COM 00206R102 163 4300 SH SOLE 4300 0 0 AVALONBAY COMMUNITIES INC COM 053484101 1913 14000 SH SOLE 14000 0 0 BAKER HUGHES INC COM 057224107 27923 609400 SH SOLE 609400 0 0 BANK OF AMERICA CORP COM 060505104 1238 138000 SH SOLE 138000 0 0 BANK OF MONTREAL COM 063671101 64 1100 SH SOLE 1100 0 0 BARRICK GOLD CORP COM 067901108 44737 1069400 SH SOLE 1069400 0 0 BCE INC COM 05534B760 1220 28100 SH SOLE 28100 0 0 BERKSHIRE HATHAWAY INC-CL B COM 084670702 1209 13700 SH SOLE 13700 0 0 BHP BILLITON PLC-ADR COM 05545E209 130765 2074321 SH SOLE 2074321 0 0 BP PLC-SPONS ADR COM 055622104 60058 1395400 SH SOLE 1395400 0 0 BRISTOL-MYERS SQUIBB CO COM 110122108 44 1300 SH SOLE 1300 0 0 BUNGE LTD COM G16962105 28979 430600 SH SOLE 430600 0 0 CAMERON INTERNATIONAL CORP COM 13342B105 34800 615500 SH SOLE 615500 0 0 CAN IMPERIAL BK OF COMMERCE COM 136069101 46 600 SH SOLE 600 0 0 CANADIAN NATURAL RESOURCES COM 136385101 48156 1530700 SH SOLE 1530700 0 0 CARDINAL HEALTH INC COM 14149Y108 1197 30200 SH SOLE 30200 0 0 CATERPILLAR INC COM 149123101 1347 15500 SH SOLE 15500 0 0 CELANESE CORP-SERIES A COM 150870103 22977 601500 SH SOLE 601500 0 0 CELGENE CORP COM 151020104 1704 22200 SH SOLE 22200 0 0 CENTURYLINK INC COM 156700106 78 1900 SH SOLE 1900 0 0 CF INDUSTRIES HOLDINGS INC COM 125269100 31389 142600 SH SOLE 142600 0 0 CHEVRON CORP COM 166764100 119661 1021000 SH SOLE 1021000 0 0 CHINA PETROLEUM & CHEM-ADR COM 16941R108 14021 150729 SH SOLE 150729 0 0 CISCO SYSTEMS INC COM 17275R102 801 42600 SH SOLE 42600 0 0 CITIGROUP INC COM 172967424 880 26700 SH SOLE 26700 0 0 CLIFFS NATURAL RESOURCES INC COM 18683K101 17023 427400 SH SOLE 427400 0 0 CMS ENERGY CORP COM 125896100 1038 44400 SH SOLE 44400 0 0 CNOOC LTD-ADR COM 126132109 23785 115600 SH SOLE 115600 0 0 COCA-COLA CO/THE COM 191216100 2712 70800 SH SOLE 70800 0 0 CONOCOPHILLIPS COM 20825C104 86 1500 SH SOLE 1500 0 0 CONSOLIDATED EDISON INC COM 209115104 2151 36100 SH SOLE 36100 0 0 CVS CAREMARK CORP COM 126650100 1592 33000 SH SOLE 33000 0 0 DEVON ENERGY CORPORATION COM 25179M103 43132 711400 SH SOLE 711400 0 0 DIAMOND OFFSHORE DRILLING COM 25271C102 27 400 SH SOLE 400 0 0 DICK'S SPORTING GOODS INC COM 253393102 1065 20500 SH SOLE 20500 0 0 DR HORTON INC COM 23331A109 1095 52300 SH SOLE 52300 0 0 DRIL-QUIP INC COM 262037104 17984 247030 SH SOLE 247030 0 0 DU PONT (E.I.) DE NEMOURS COM 263534109 1892 37200 SH SOLE 37200 0 0 DUKE ENERGY CORP COM 26441C204 80 1249 SH SOLE 1249 0 0 EBAY INC COM 278642103 1508 30700 SH SOLE 30700 0 0 ELI LILLY & CO COM 532457108 1086 22800 SH SOLE 22800 0 0 EMC CORP/MA COM 268648102 1134 41200 SH SOLE 41200 0 0 ENSCO PLC-CL A COM G3157S106 29149 534938 SH SOLE 534938 0 0 EXELON CORP COM 30161N101 25 700 SH SOLE 700 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 169424 1845572 SH SOLE 1845572 0 0 FMC TECHNOLOGIES INC COM 30249U101 25102 537400 SH SOLE 537400 0 0 FORD MOTOR CO COM 345370860 1532 152900 SH SOLE 152900 0 0 FREEPORT-MCMORAN COPPER COM 35671D857 107711 2685400 SH SOLE 2685400 0 0 FRONTIER COMMUNICATIONS CORP COM 35906A108 18 3600 SH SOLE 3600 0 0 GENERAL ELECTRIC CO COM 369604103 3662 161100 SH SOLE 161100 0 0 GENUINE PARTS CO COM 372460105 18 300 SH SOLE 300 0 0 GERDAU SA -SPON ADR COM 373737105 18009 1864300 SH SOLE 1864300 0 0 GOLDCORP INC COM 380956409 81245 1750600 SH SOLE 1750600 0 0 GOOGLE INC-CL A COM 38259P508 2043 2700 SH SOLE 2700 0 0 HALLIBURTON CO COM 406216101 43169 1261500 SH SOLE 1261500 0 0 HELMERICH & PAYNE COM 423452101 978 20400 SH SOLE 20400 0 0 HESS CORP COM 42809H107 19916 370400 SH SOLE 370400 0 0 HOME DEPOT INC COM 437076102 1413 23600 SH SOLE 23600 0 0 IAMGOLD CORP COM 450913108 20254 1277055 SH SOLE 1277055 0 0 INTEGRYS ENERGY GROUP INC COM 45822P105 42 800 SH SOLE 800 0 0 INTERNATIONAL PAPER CO COM 460146103 55454 1517200 SH SOLE 1517200 0 0 INTL BUSINESS MACHINES CORP COM 459200101 2945 14300 SH SOLE 14300 0 0 JOHNSON & JOHNSON COM 478160104 166 2400 SH SOLE 2400 0 0 JPMORGAN CHASE & CO COM 46625H100 1186 29149 SH SOLE 29149 0 0 KEY ENERGY SERVICES INC COM 492914106 15895 2220011 SH SOLE 2220011 0 0 KIMBERLY-CLARK CORP COM 494368103 43 500 SH SOLE 500 0 0 KINDER MORGAN MANAGEMENT LLC COM 49455U100 48 638 SH SOLE 638 0 0 KINROSS GOLD CORP COM 496902404 40047 3949400 SH SOLE 3949400 0 0 LOCKHEED MARTIN CORP COM 539830109 55 600 SH SOLE 600 0 0 LORILLARD INC COM 544147101 36 300 SH SOLE 300 0 0 LYONDELLBASELL INDU-CL A COM N53745100 16845 324700 SH SOLE 324700 0 0 MARATHON PETROLEUM CORP COM 56585A102 29869 547750 SH SOLE 547750 0 0 MCDONALD'S CORP COM 580135101 1296 13900 SH SOLE 13900 0 0 MERCK & CO. INC. COM 58933Y105 1909 42200 SH SOLE 42200 0 0 MONSANTO CO COM 61166W101 77720 850700 SH SOLE 850700 0 0 MOSAIC CO/THE COM 61945C103 40367 700200 SH SOLE 700200 0 0 MYLAN INC COM 628530107 1330 54300 SH SOLE 54300 0 0 NATIONAL OILWELL VARCO INC COM 637071101 30093 375500 SH SOLE 375500 0 0 NEW YORK COMMUNITY BANCORP COM 649445103 48 3400 SH SOLE 3400 0 0 NEWELL RUBBERMAID INC COM 651229106 800 41900 SH SOLE 41900 0 0 NOBLE ENERGY INC COM 655044105 22095 237300 SH SOLE 237300 0 0 NUCOR CORP COM 670346105 30807 803300 SH SOLE 803300 0 0 OCCIDENTAL PETROLEUM CORP COM 674599105 66601 772100 SH SOLE 772100 0 0 OCEANEERING INTL INC COM 675232102 1512 27100 SH SOLE 27100 0 0 OMEGA HEALTHCARE INVESTORS COM 681936100 32 1400 SH SOLE 1400 0 0 ORACLE CORP COM 68389X105 1810 58000 SH SOLE 58000 0 0 PEABODY ENERGY CORP COM 704549104 18321 809600 SH SOLE 809600 0 0 PETROCHINA CO LTD -ADR COM 71646E100 22713 172985 SH SOLE 172985 0 0 PETROLEO BRASILEIRO S.A.-ADR COM 71654V408 40681 1746700 SH SOLE 1746700 0 0 PETROLEO BRASILEIRO-SPON ADR COM 71654V101 1267 56400 SH SOLE 0 0 56400 PFIZER INC COM 717081103 2555 102341 SH SOLE 102341 0 0 PHILIP MORRIS INTERNATIONAL COM 718172109 172 1900 SH SOLE 1900 0 0 POSCO-ADR COM 693483109 17166 207400 SH SOLE 207400 0 0 POTASH CORP OF SASKATCHEWAN COM 73755L107 112183 2573600 SH SOLE 2573600 0 0 PROCTER & GAMBLE CO/THE COM 742718109 1870 26988 SH SOLE 26988 0 0 PVH CORP COM 693656100 505 5400 SH SOLE 5400 0 0 QEP RESOURCES INC COM 74733V100 37581 1187018 SH SOLE 1187018 0 0 QUALCOMM INC COM 747525103 1975 31100 SH SOLE 31100 0 0 RALCORP HOLDINGS INC COM 751028101 766 10475 SH SOLE 10475 0 0 RANDGOLD RESOURCES LTD-ADR COM 752344309 40953 332600 SH SOLE 332600 0 0 REYNOLDS AMERICAN INC COM 761713106 13 300 SH SOLE 300 0 0 RIO TINTO PLC-SPON ADR COM 767204100 86869 1831527 SH SOLE 1831527 0 0 ROYAL BANK OF CANADA COM 780087102 62 1100 SH SOLE 1100 0 0 ROYAL DUTCH SHELL PLC-ADR COM 780259206 131601 1865091 SH SOLE 1865091 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 ---------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ----- SCHLUMBERGER LTD COM 806857108 54014 737484 SH SOLE 737484 0 0 SM ENERGY CO COM 78454L100 30260 573100 SH SOLE 573100 0 0 SOUTHERN CO/THE COM 842587107 46 1000 SH SOLE 1000 0 0 SOUTHWESTERN ENERGY CO COM 845467109 21603 618300 SH SOLE 618300 0 0 STARBUCKS CORP COM 855244109 1102 21600 SH SOLE 21600 0 0 SUN LIFE FINANCIAL INC COM 866796105 16 700 SH SOLE 700 0 0 SUPERIOR ENERGY SERVICES INC COM 868157108 21863 1043598 SH SOLE 1043598 0 0 SYNGENTA AG-ADR COM 87160A100 39767 535800 SH SOLE 535800 0 0 TECK RESOURCES LTD-CLS B COM 878742204 41619 1401798 SH SOLE 1401798 0 0 TIDEWATER INC COM 886423102 24367 497590 SH SOLE 497590 0 0 TOTAL SA-SPON ADR COM 89151E109 84989 1648037 SH SOLE 1648037 0 0 UNION PACIFIC CORP COM 907818108 1695 14300 SH SOLE 14300 0 0 UNITED PARCEL SERVICE-CL B COM 911312106 1224 17000 SH SOLE 17000 0 0 UNITED STATES STEEL CORP COM 912909108 6380 330400 SH SOLE 330400 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1119 19900 SH SOLE 19900 0 0 VALE SA-SP ADR COM 91912E105 38218 2104500 SH SOLE 2104500 0 0 VALE SA-SP PREF ADR COM 91912E204 924 52300 SH SOLE 0 0 52300 VALERO ENERGY CORP COM 91913Y100 19912 633349 SH SOLE 633349 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 2082 45500 SH SOLE 45500 0 0 VISA INC-CLASS A SHARES COM 92826C839 1165 8700 SH SOLE 8700 0 0 WAL-MART STORES INC COM 931142103 1794 24249 SH SOLE 24249 0 0 WALT DISNEY CO/THE COM 254687106 1136 21600 SH SOLE 21600 0 0 WALTER ENERGY INC COM 93317Q105 12691 384000 SH SOLE 384000 0 0 WEATHERFORD INTL LTD COM H27013103 21015 1661300 SH SOLE 1661300 0 0 WELLS FARGO & CO COM 949746101 2857 82200 SH SOLE 82200 0 0 WEYERHAEUSER CO COM 962166104 40961 1534700 SH SOLE 1534700 0 0 WHITING PETROLEUM CORP COM 966387102 29124 618600 SH SOLE 618600 0 0