0001335644-12-000008.txt : 20121114 0001335644-12-000008.hdr.sgml : 20121114 20121114093849 ACCESSION NUMBER: 0001335644-12-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121114 DATE AS OF CHANGE: 20121114 EFFECTIVENESS DATE: 20121114 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: 121201305 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, 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: 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, 2012 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: 340 Form 13F Information Table Value Total: $2,014,714 (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 2604 28172 SH DEFINED 1 0 28172 0 ABB LTD SPONSORED ADR 000375204 316 16915 SH DEFINED 1 0 16915 0 ABBOTT LABS COM 002824100 4896 71492 SH DEFINED 1 0 71492 0 ABERDEEN ASIA PACIFIC INCOM COM 003009107 421 54100 SH DEFINED 1 0 54100 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 292 4170 SH DEFINED 1 0 4170 0 ADVANTAGE OIL & GAS LTD COM 00765F101 45 12000 SH DEFINED 1 0 12000 0 AFLAC INC COM 001055102 711 14860 SH DEFINED 1 11000 3860 0 AGNICO EAGLE MINES LTD COM 008474108 2861 55225 SH DEFINED 1 35066 20159 0 AGRIUM INC COM 008916108 15599 150769 SH DEFINED 1 32386 118383 0 AIR PRODS & CHEMS INC COM 009158106 200 2429 SH DEFINED 1 0 2429 0 ALASKA AIR GROUP INC COM 011659109 239 6828 SH DEFINED 1 0 6828 0 ALCOA INC COM 013817101 569 64310 SH DEFINED 1 0 64310 0 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 196 22650 SH DEFINED 1 0 22650 0 ALTRIA GROUP INC COM 02209S103 864 25885 SH DEFINED 1 0 25885 0 ANNALY CAP MGMT INC COM 035710409 1446 86054 SH DEFINED 1 0 86054 0 AOL INC COM 00184X105 275 7820 SH DEFINED 1 0 7820 0 APACHE CORP COM 037411105 4598 53241 SH DEFINED 1 52404 837 0 APPLE INC COM 037833100 24648 36944 SH DEFINED 1 7100 29844 0 ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH 03938L104 2230 154736 SH DEFINED 1 19086 135650 0 ARROW ELECTRS INC COM 042735100 232 6879 SH DEFINED 1 0 6879 0 ASHLAND INC NEW COM 044209104 215 2997 SH DEFINED 1 2997 0 0 ASSOCIATED ESTATES RLTY CORP COM 045604105 915 60490 SH DEFINED 1 0 60490 0 AT&T INC COM 00206R102 9430 250102 SH DEFINED 1 0 250102 0 ATLANTIC PWR CORP COM NEW 04878Q863 344 23016 SH DEFINED 1 0 23016 0 BANK MONTREAL QUE COM 063671101 65212 1104675 SH DEFINED 1 132579 972096 0 BANK NOVA SCOTIA HALIFAX COM 064149107 150475 2745786 SH DEFINED 1 241750 2504036 0 BANK OF AMERICA CORPORATION COM 060505104 506 57335 SH DEFINED 1 0 57335 0 BARRICK GOLD CORP COM 067901108 31809 761617 SH DEFINED 1 204752 556865 0 BAYTEX ENERGY CORP COM 07317Q105 10296 217026 SH DEFINED 1 5500 211526 0 BCE INC COM NEW 05534B760 79833 1816060 SH DEFINED 1 158391 1657669 0 BECTON DICKINSON & CO COM 075887109 2016 25664 SH DEFINED 1 0 25664 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 4858 55115 SH DEFINED 1 16300 38815 0 BEST BUY INC COM 086516101 1490 86637 SH DEFINED 1 84850 1787 0 BHP BILLITON LTD SPONSORED ADR 088606108 3586 52277 SH DEFINED 1 0 52277 0 BP PLC SPONSORED ADR 055622104 2390 56458 SH DEFINED 1 11976 44482 0 BRISTOL MYERS SQUIBB CO COM 110122108 1407 41741 SH DEFINED 1 0 41741 0 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 23493 681078 SH DEFINED 1 114115 566963 0 BROOKFIELD INFRAST PARTNERS LP INT UNIT 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1585 47077 SH DEFINED 1 43877 3200 0 HASBRO INC COM 418056107 354 9286 SH DEFINED 1 0 9286 0 HEINZ H J CO COM 423074103 286 5123 SH DEFINED 1 0 5123 0 HELEN OF TROY CORP LTD COM G4388N106 256 8058 SH DEFINED 1 0 8058 0 HERBALIFE LTD COM USD SHS G4412G101 1088 22924 SH DEFINED 1 22924 0 0 HOME DEPOT INC COM 437076102 1652 27365 SH DEFINED 1 0 27365 0 HONDA MOTOR LTD AMERN SHS 438128308 1104 35721 SH DEFINED 1 0 35721 0 HONEYWELL INTL INC COM 438516106 1631 27334 SH DEFINED 1 0 27334 0 HOVNANIAN ENTERPRISES INC CL A 442487203 35 10200 SH DEFINED 1 0 10200 0 HSBC HLDGS PLC SPON ADR NEW 404280406 488 10512 SH DEFINED 1 0 10512 0 HUDBAY MINERALS INC COM 443628102 3418 347745 SH DEFINED 1 0 347745 0 HUMANA INC COM 444859102 708 10092 SH DEFINED 1 10092 0 0 IAMGOLD CORP COM 450913108 1451 91830 SH DEFINED 1 77679 14151 0 ICICI BK LTD ADR 45104G104 474 11820 SH DEFINED 1 0 11820 0 ICONIX BRAND GROUP INC COM 451055107 274 15000 SH DEFINED 1 15000 0 0 IMPERIAL OIL LTD COM NEW 453038408 12688 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SEADRILL LIMITED SHS G7945E105 760 19429 SH DEFINED 1 0 19429 0 SEAGATE TECHNOLOGY PLC SHS G7945M107 1005 32453 SH DEFINED 1 10194 22259 0 SENSATA TECHNOLOGIES HLDG BV SHS N7902X106 223 7500 SH DEFINED 1 0 7500 0 SHAW COMMUNICATIONS INC CL B CONV 82028K200 22517 1101151 SH DEFINED 1 74816 1026335 0 SIEMENS A G SPONSORED ADR 826197501 2210 22060 SH DEFINED 1 0 22060 0 SIERRA WIRELESS INC COM 826516106 102 13170 SH DEFINED 1 0 13170 0 SIGMA ALDRICH CORP COM 826552101 4454 61895 SH DEFINED 1 0 61895 0 SILVER WHEATON CORP COM 828336107 8878 223663 SH DEFINED 1 72387 151276 0 SIRIUS XM RADIO INC COM 82967N108 77 29700 SH DEFINED 1 0 29700 0 SMUCKER J M CO COM NEW 832696405 1230 14250 SH DEFINED 1 0 14250 0 SONOCO PRODS CO COM 835495102 552 17800 SH DEFINED 1 0 17800 0 SOUTHERN CO COM 842587107 558 12100 SH DEFINED 1 0 12100 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 670 5003 SH DEFINED 1 0 5003 0 SPDR GOLD TRUST GOLD SHS 78463V107 3910 22787 SH DEFINED 1 0 22787 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 2867 19938 SH DEFINED 1 0 19938 0 SPDR SERIES TRUST S&P REGL BKG 78464A698 232 8091 SH DEFINED 1 0 8091 0 SPDR SERIES TRUST S&P DIVID ETF 78464A763 7391 127402 SH DEFINED 1 0 127402 0 SPRINT NEXTEL CORP COM SER 1 852061100 270 48915 SH DEFINED 1 0 48915 0 SPROTT PHYSICAL SILVER TR TR UNIT 85207K107 274 19540 SH DEFINED 1 12890 6650 0 STANLEY BLACK & DECKER INC COM 854502101 849 11145 SH DEFINED 1 5000 6145 0 STANTEC INC COM 85472N109 657 19339 SH DEFINED 1 0 19339 0 STARBUCKS CORP COM 855244109 1316 25950 SH DEFINED 1 22880 3070 0 STARWOOD HOTELS&RESORTS WRLD COM 85590A401 568 9800 SH DEFINED 1 9800 0 0 STERLING FINL CORP WASH COM NEW 859319303 236 10596 SH DEFINED 1 0 10596 0 STUDENT TRANSN INC COM 86388A108 625 92292 SH DEFINED 1 0 92292 0 SUN LIFE FINL INC COM 866796105 25133 1083060 SH DEFINED 1 122604 960456 0 SUNCOR ENERGY INC NEW COM 867224107 52055 1585250 SH DEFINED 1 314815 1270435 0 SYSCO CORP COM 871829107 862 27614 SH DEFINED 1 0 27614 0 TALISMAN ENERGY INC COM 87425E103 5689 427206 SH DEFINED 1 223827 203379 0 TECK RESOURCES LTD CL B 878742204 22163 751013 SH DEFINED 1 116390 634623 0 TELEFONICA S A SPONSORED ADR 879382208 1228 92444 SH DEFINED 1 0 92444 0 TELUS CORP NON-VTG SHS 87971M202 22660 362304 SH DEFINED 1 237000 125304 0 TESORO CORP COM 881609101 602 14367 SH DEFINED 1 12700 1667 0 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 1301 31405 SH DEFINED 1 0 31405 0 THOMPSON CREEK METALS CO INC COM 884768102 152 53368 SH DEFINED 1 0 53368 0 THOMSON REUTERS CORP COM 884903105 20014 693384 SH DEFINED 1 76063 617321 0 TIFFANY & CO NEW COM 886547108 222 3575 SH DEFINED 1 0 3575 0 TIM HORTONS INC COM 88706M103 11048 212316 SH DEFINED 1 31723 180593 0 TJX COS INC NEW COM 872540109 1036 23136 SH DEFINED 1 0 23136 0 TOLL BROTHERS INC COM 889478103 269 8085 SH DEFINED 1 0 8085 0 TORONTO DOMINION BK ONT COM NEW 891160509 131753 1581312 SH DEFINED 1 187269 1394043 0 TOTAL S A SPONSORED ADR 89151E109 1405 28041 SH DEFINED 1 0 28041 0 TOYOTA MOTOR CORP SP ADR REP2COM 892331307 367 4675 SH DEFINED 1 0 4675 0 TRANSALTA CORP COM 89346D107 4961 325099 SH DEFINED 1 51557 273542 0 TRANSCANADA CORP COM 89353D107 109621 2410780 SH DEFINED 1 144125 2266655 0 TRANSOCEAN LTD REG SHS H8817H100 744 16564 SH DEFINED 1 15744 820 0 ULTRA PETROLEUM CORP COM 903914109 235 10700 SH DEFINED 1 0 10700 0 UNDER ARMOUR INC CL A 904311107 388 6950 SH DEFINED 1 0 6950 0 UNILEVER PLC SPON ADR NEW 904767704 557 15243 SH DEFINED 1 0 15243 0 UNITED PARCEL SERVICE INC CL B 911312106 1269 17740 SH DEFINED 1 0 17740 0 UNITED TECHNOLOGIES CORP COM 913017109 12926 165196 SH DEFINED 1 38594 126602 0 URANIUM RES INC COM PAR $0.001 916901507 10 20000 SH DEFINED 1 0 20000 0 VALE S A ADR 91912E105 1111 62070 SH DEFINED 1 20000 42070 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 4523 81943 SH DEFINED 1 58471 23472 0 VALERO ENERGY CORP NEW COM 91913Y100 4075 128647 SH DEFINED 1 21815 106832 0 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 1287 15829 SH DEFINED 1 0 15829 0 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 2105 50436 SH DEFINED 1 0 50436 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 1467 24590 SH DEFINED 1 0 24590 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 315 6250 SH DEFINED 1 0 6250 0 VERIZON COMMUNICATIONS INC COM 92343V104 3813 83709 SH DEFINED 1 0 83709 0 VISA INC COM CL A 92826C839 791 5894 SH DEFINED 1 0 5894 0 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 3565 125174 SH DEFINED 1 0 125174 0 WALGREEN CO COM 931422109 734 20169 SH DEFINED 1 0 20169 0 WAL-MART STORES INC COM 931142103 5258 71266 SH DEFINED 1 0 71266 0 WASTE MGMT INC DEL COM 94106L109 991 30940 SH DEFINED 1 0 30940 0 WELLS FARGO & CO NEW COM 949746101 1022 29597 SH DEFINED 1 0 29597 0 WILLIAMS COS INC DEL COM 969457100 1249 35600 SH DEFINED 1 35600 0 0 WISDOMTREE TRUST EMERG MKTS ETF 97717W315 2097 39103 SH DEFINED 1 0 39103 0 WYNN RESORTS LTD COM 983134107 2457 21284 SH DEFINED 1 21284 0 0 YAMANA GOLD INC COM 98462Y100 3054 159818 SH DEFINED 1 153791 6027 0 YUM BRANDS INC COM 988498101 311 4692 SH DEFINED 1 0 4692 0