0001140361-13-002935.txt : 20130124 0001140361-13-002935.hdr.sgml : 20130124 20130124092526 ACCESSION NUMBER: 0001140361-13-002935 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130124 DATE AS OF CHANGE: 20130124 EFFECTIVENESS DATE: 20130124 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: 13544207 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: 12/31/2012 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: 28-13674 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 1/24/2013 --------------------------------- --------------------------------- ---------- [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: 149 Form 13F Information Table Value Total: $ 2,687,264 -------------- (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 71 1100 SH SOLE 1100 0 0 ACCENTURE PLC-CL A COM G1151C101 1011 15400 SH SOLE 15400 0 0 AGRIUM INC COM 008916108 37183 379499 SH SOLE 379499 0 0 ALTRIA GROUP INC COM 02209S103 47 1500 SH SOLE 1500 0 0 AMAZON.COM INC COM 023135106 1765 7200 SH SOLE 7200 0 0 AMERICAN ELECTRIC POWER COM 025537101 38 900 SH SOLE 900 0 0 AMERICAN EXPRESS CO COM 025816109 2080 36700 SH SOLE 36700 0 0 AMERICAN INTERNATIONAL GROUP COM 026874784 868 25100 SH SOLE 25100 0 0 ANADARKO PETROLEUM CORP COM 032511107 48469 670300 SH SOLE 670300 0 0 ANGLOGOLD ASHANTI-SPON ADR COM 035128206 41535 1354700 SH SOLE 1354700 0 0 ANNALY CAPITAL MANAGEMENT IN COM 035710409 25 1800 SH SOLE 1800 0 0 APACHE CORP COM 037411105 13530 175600 SH SOLE 175600 0 0 APPLE INC COM 037833100 4179 8200 SH SOLE 8200 0 0 ARCELORMITTAL-NY REGISTERED COM 03938L104 25918 1539100 SH SOLE 1539100 0 0 ARCHER-DANIELS-MIDLAND CO COM 039483102 22408 828100 SH SOLE 828100 0 0 AT&T INC COM 00206R102 190 5700 SH SOLE 5700 0 0 AVALONBAY COMMUNITIES INC COM 053484101 965 7200 SH SOLE 7200 0 0 BANK OF AMERICA CORP COM 060505104 1672 147200 SH SOLE 147200 0 0 BANK OF MONTREAL COM 063671101 91 1500 SH SOLE 1500 0 0 BARRICK GOLD CORP COM 067901108 39826 1171100 SH SOLE 1171100 0 0 BCE INC COM 05534B760 1195 28100 SH SOLE 28100 0 0 BERKSHIRE HATHAWAY INC-CL B COM 084670702 1213 13700 SH SOLE 13700 0 0 BHP BILLITON PLC-ADR COM 05545E209 140262 2033371 SH SOLE 2033371 0 0 BP PLC-SPONS ADR COM 055622104 63590 1542700 SH SOLE 1542700 0 0 BRISTOL-MYERS SQUIBB CO COM 110122108 57 1800 SH SOLE 1800 0 0 BUNGE LTD COM G16962105 27702 384800 SH SOLE 384800 0 0 CABOT OIL & GAS CORP COM 127097103 13577 278040 SH SOLE 278040 0 0 CAMERON INTERNATIONAL CORP COM 13342B105 38891 717800 SH SOLE 717800 0 0 CAN IMPERIAL BK OF COMMERCE COM 136069101 64 800 SH SOLE 800 0 0 CANADIAN NATURAL RESOURCES COM 136385101 37336 1311430 SH SOLE 1311430 0 0 CAPITAL ONE FINANCIAL CORP COM 14040H105 468 8200 SH SOLE 8200 0 0 CARDINAL HEALTH INC COM 14149Y108 965 23700 SH SOLE 23700 0 0 CATERPILLAR INC COM 149123101 1346 15500 SH SOLE 15500 0 0 CELANESE CORP-SERIES A COM 150870103 24942 576300 SH SOLE 576300 0 0 CELGENE CORP COM 151020104 1415 18200 SH SOLE 18200 0 0 CENTURYLINK INC COM 156700106 100 2600 SH SOLE 2600 0 0 CF INDUSTRIES HOLDINGS INC COM 125269100 27271 136600 SH SOLE 136600 0 0 CHEVRON CORP COM 166764100 105130 987600 SH SOLE 987600 0 0 CHINA PETROLEUM & CHEM-ADR COM 16941R108 17835 159024 SH SOLE 159024 0 0 CISCO SYSTEMS INC COM 17275R102 829 42600 SH SOLE 42600 0 0 CITIGROUP INC COM 172967424 2048 52500 SH SOLE 52500 0 0 CLIFFS NATURAL RESOURCES INC COM 18683K101 15104 424500 SH SOLE 424500 0 0 CMS ENERGY CORP COM 125896100 962 40000 SH SOLE 40000 0 0 CNOOC LTD-ADR COM 126132109 24167 111800 SH SOLE 111800 0 0 COCA-COLA CO/THE COM 191216100 2655 73800 SH SOLE 73800 0 0 CONOCOPHILLIPS COM 20825C104 120 2100 SH SOLE 2100 0 0 CONSOLIDATED EDISON INC COM 209115104 1791 32600 SH SOLE 32600 0 0 CVS CAREMARK CORP COM 126650100 1835 38300 SH SOLE 38300 0 0 DEVON ENERGY CORPORATION COM 25179M103 27584 539276 SH SOLE 539276 0 0 DIAMOND OFFSHORE DRILLING COM 25271C102 34 500 SH SOLE 500 0 0 DICK'S SPORTING GOODS INC COM 253393102 1027 22800 SH SOLE 22800 0 0 DR HORTON INC COM 23331A109 1543 80200 SH SOLE 80200 0 0 DRIL-QUIP INC COM 262037104 16884 237630 SH SOLE 237630 0 0 DU PONT (E.I.) DE NEMOURS COM 263534109 1185 26500 SH SOLE 26500 0 0 DUKE ENERGY CORP COM 26441C204 110 1749 SH SOLE 1749 0 0 EBAY INC COM 278642103 1753 35200 SH SOLE 35200 0 0 ELI LILLY & CO COM 532457108 1108 22800 SH SOLE 22800 0 0 EMC CORP/MA COM 268648102 1023 41200 SH SOLE 41200 0 0 ENCANA CORP COM 292505104 14877 759400 SH SOLE 759400 0 0 ENSCO PLC-CL A COM G3157S106 27073 469938 SH SOLE 469938 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 ---------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ----- EOG RESOURCES INC COM 26875P101 225 1900 SH SOLE 1900 0 0 EXXON MOBIL CORP COM 30231G102 151468 1779872 SH SOLE 1779872 0 0 FLUOR CORP COM 343412102 910 15900 SH SOLE 15900 0 0 FMC TECHNOLOGIES INC COM 30249U101 26630 652532 SH SOLE 652532 0 0 FORD MOTOR CO COM 345370860 1416 110000 SH SOLE 110000 0 0 FREEPORT-MCMORAN COPPER COM 35671D857 89319 2695200 SH SOLE 2695200 0 0 FRONTIER COMMUNICATIONS CORP COM 35906A108 19 4600 SH SOLE 4600 0 0 GENERAL ELECTRIC CO COM 369604103 2590 126700 SH SOLE 126700 0 0 GENUINE PARTS CO COM 372460105 25 400 SH SOLE 400 0 0 GERDAU SA -SPON ADR COM 373737105 16554 1872600 SH SOLE 1872600 0 0 GOLDCORP INC COM 380956409 60204 1691600 SH SOLE 1691600 0 0 GOOGLE INC-CL A COM 38259P508 1400 2000 SH SOLE 2000 0 0 HALLIBURTON CO COM 406216101 41370 1216400 SH SOLE 1216400 0 0 HELMERICH & PAYNE COM 423452101 1113 20400 SH SOLE 20400 0 0 HESS CORP COM 42809H107 18722 365100 SH SOLE 365100 0 0 HOME DEPOT INC COM 437076102 1431 23600 SH SOLE 23600 0 0 IAMGOLD CORP COM 450913108 10115 917055 SH SOLE 917055 0 0 INTEGRYS ENERGY GROUP INC COM 45822P105 52 1000 SH SOLE 1000 0 0 INTERNATIONAL PAPER CO COM 460146103 56921 1462900 SH SOLE 1462900 0 0 INTL BUSINESS MACHINES CORP COM 459200101 2278 12000 SH SOLE 12000 0 0 JOHNSON & JOHNSON COM 478160104 222 3200 SH SOLE 3200 0 0 JPMORGAN CHASE & CO COM 46625H100 2251 52049 SH SOLE 52049 0 0 KEY ENERGY SERVICES INC COM 492914106 17328 2594011 SH SOLE 2594011 0 0 KIMBERLY-CLARK CORP COM 494368103 58 700 SH SOLE 700 0 0 KINDER MORGAN MANAGEMENT LLC COM 49455U100 48 648 SH SOLE 648 0 0 KINROSS GOLD CORP COM 496902404 35628 3782200 SH SOLE 3782200 0 0 LOCKHEED MARTIN CORP COM 539830109 73 800 SH SOLE 800 0 0 LORILLARD INC COM 544147101 46 400 SH SOLE 400 0 0 MCDONALD'S CORP COM 580135101 1217 13900 SH SOLE 13900 0 0 MERCK & CO. INC. COM 58933Y105 1959 48200 SH SOLE 48200 0 0 MONSANTO CO COM 61166W101 76586 822800 SH SOLE 822800 0 0 MOSAIC CO/THE COM 61945C103 37300 675600 SH SOLE 675600 0 0 MYLAN INC COM 628530107 1462 54300 SH SOLE 54300 0 0 NATIONAL OILWELL VARCO INC COM 637071101 23835 361800 SH SOLE 361800 0 0 NEW YORK COMMUNITY BANCORP COM 649445103 53 4100 SH SOLE 4100 0 0 NEWELL RUBBERMAID INC COM 651229106 720 33000 SH SOLE 33000 0 0 NOBLE ENERGY INC COM 655044105 21750 219900 SH SOLE 219900 0 0 NUCOR CORP COM 670346105 32963 776700 SH SOLE 776700 0 0 OCCIDENTAL PETROLEUM CORP COM 674599105 51198 679200 SH SOLE 679200 0 0 OCEANEERING INTL INC COM 675232102 1426 27100 SH SOLE 27100 0 0 OMEGA HEALTHCARE INVESTORS COM 681936100 24 1000 SH SOLE 1000 0 0 ORACLE CORP COM 68389X105 1413 42800 SH SOLE 42800 0 0 PACCAR INC COM 693718108 18 400 SH SOLE 400 0 0 PEABODY ENERGY CORP COM 704549104 20012 789100 SH SOLE 789100 0 0 PETROCHINA CO LTD -ADR COM 71646E100 24503 173783 SH SOLE 173783 0 0 PETROLEO BRASILEIRO S.A.-ADR COM 71654V408 31887 1672100 SH SOLE 1672100 0 0 PETROLEO BRASILEIRO-SPON ADR COM 71654V101 979 51600 SH SOLE 0 0 51600 PFIZER INC COM 717081103 2612 104941 SH SOLE 104941 0 0 PHILIP MORRIS INTERNATIONAL COM 718172109 182 2200 SH SOLE 2200 0 0 POSCO-ADR COM 693483109 17147 211400 SH SOLE 211400 0 0 POTASH CORP OF SASKATCHEWAN COM 73755L107 90831 2283900 SH SOLE 2283900 0 0 PROCTER & GAMBLE CO/THE COM 742718109 2108 31388 SH SOLE 31388 0 0 PVH CORP COM 693656100 952 8800 SH SOLE 8800 0 0 QEP RESOURCES INC COM 74733V100 28038 946918 SH SOLE 946918 0 0 QUALCOMM INC COM 747525103 1886 31100 SH SOLE 31100 0 0 RALCORP HOLDINGS INC COM 751028101 695 7775 SH SOLE 7775 0 0 RANDGOLD RESOURCES LTD-ADR COM 752344309 30919 321000 SH SOLE 321000 0 0 REYNOLDS AMERICAN INC COM 761713106 16 400 SH SOLE 400 0 0 RIO TINTO PLC-SPON ADR COM 767204100 100975 1769627 SH SOLE 1769627 0 0 ROYAL BANK OF CANADA COM 780087102 84 1400 SH SOLE 1400 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 ---------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ----- ROYAL DUTCH SHELL PLC-ADR COM 780259206 125190 1827591 SH SOLE 1827591 0 0 SCHLUMBERGER LTD COM 806857108 48977 720684 SH SOLE 720684 0 0 SM ENERGY CO COM 78454L100 26066 517805 SH SOLE 517805 0 0 SOUTHERN CO/THE COM 842587107 55 1300 SH SOLE 1300 0 0 SOUTHWESTERN ENERGY CO COM 845467109 26506 808600 SH SOLE 808600 0 0 STARBUCKS CORP COM 855244109 1137 21600 SH SOLE 21600 0 0 SUN LIFE FINANCIAL INC COM 866796105 24 900 SH SOLE 900 0 0 SUPERIOR ENERGY SERVICES INC COM 868157108 23000 1143698 SH SOLE 1143698 0 0 SYNGENTA AG-ADR COM 87160A100 43086 537300 SH SOLE 537300 0 0 TECK RESOURCES LTD-CLS B COM 878742204 53958 1532037 SH SOLE 1532037 0 0 TIDEWATER INC COM 886423102 21382 484090 SH SOLE 484090 0 0 TOTAL SA-SPON ADR COM 89151E109 81894 1592337 SH SOLE 1592337 0 0 TRANSALTA CORP COM 89346D107 30 2000 SH SOLE 2000 0 0 UNION PACIFIC CORP COM 907818108 1841 14900 SH SOLE 14900 0 0 UNITED PARCEL SERVICE-CL B COM 911312106 1180 16200 SH SOLE 16200 0 0 UNITED STATES STEEL CORP COM 912909108 7975 346300 SH SOLE 346300 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1072 19900 SH SOLE 19900 0 0 VALE SA-SP ADR COM 91912E105 41844 2039200 SH SOLE 2039200 0 0 VALE SA-SP PREF ADR COM 91912E204 1007 50700 SH SOLE 0 0 50700 VALERO ENERGY CORP COM 91913Y100 41320 1248349 SH SOLE 1248349 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1960 45700 SH SOLE 45700 0 0 VISA INC-CLASS A SHARES COM 92826C839 1293 8700 SH SOLE 8700 0 0 WAL-MART STORES INC COM 931142103 1829 27049 SH SOLE 27049 0 0 WALT DISNEY CO/THE COM 254687106 1519 30900 SH SOLE 30900 0 0 WALTER ENERGY INC COM 93317Q105 16068 475100 SH SOLE 475100 0 0 WEATHERFORD INTL LTD COM H27013103 19923 1883100 SH SOLE 1883100 0 0 WELLS FARGO & CO COM 949746101 2787 82200 SH SOLE 82200 0 0 WEYERHAEUSER CO COM 962166104 41197 1493700 SH SOLE 1493700 0 0 WHITING PETROLEUM CORP COM 966387102 20036 480824 SH SOLE 480824 0 0