0001140706-13-000002.txt : 20130201 0001140706-13-000002.hdr.sgml : 20130201 20130201110803 ACCESSION NUMBER: 0001140706-13-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130201 DATE AS OF CHANGE: 20130201 EFFECTIVENESS DATE: 20130201 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CAZENOVE CAPITAL MANAGEMENT LTD CENTRAL INDEX KEY: 0001140706 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06525 FILM NUMBER: 13565209 BUSINESS ADDRESS: STREET 1: 12 MOORGATE CITY: LONDON STATE: X0 ZIP: EC2R 6DA BUSINESS PHONE: 00442034790461 MAIL ADDRESS: STREET 1: 12 MOORGATE CITY: LONDON STATE: X0 ZIP: EC2R 6DA FORMER COMPANY: FORMER CONFORMED NAME: CAZENOVE FUND MANAGEMENT LTD DATE OF NAME CHANGE: 20010517 13F-HR 1 cazenove13f.txt CAZENOVE CAPITAL MANAGEMENT LTD 13F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 31 December 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: CAZENOVE CAPITAL MANAGEMENT LIMITED 12 Moorgate London, England EC2R 6DA Form 13F File Number: 028-06525 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: Jeremy Turnbull Title: Director, Compliance and Risk Phone: +44 (0)20 3479 0466 Signature, Place, and Date of Signing: JEREMY TURNBULL London, England 30 January 2013 ------------------ --------------- -------------- [Signature] [City, State] [Date] Report Type: [|X|] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ---------------------- Form 13F Information Table Entry Total: 188 ---------------------- Form 13F Information Table Value Total: $ 111,716 ---------------------- (thousands) List of Other Included Managers: NONE Cazenove Capital Management Limited Form 13F Information Table Name of issuer Title of CUSIP Value Shrs or SH/PRN Put/ Investment Other Voting authority class (x$1000) prn amt Call discretion managers Sole Shared None THE ADT CORPORATION COM 00101J106 24 520 SH sole N/A 520 AFLAC INC COM 001055102 48 900 SH sole N/A 900 AK STL HLDG CORP COM 001547108 2 400 SH sole N/A 400 AOL INC COM 00184X105 4 151 SH sole N/A 151 AT&T INC COM 00206R102 78 2309 SH Sole N/A 2309 ABBOTT LABS COM 002824100 176 2689 SH Sole N/A 2689 ACTIVISION BLIZZARD INC COM 00507V109 11 1030 SH sole N/A 1030 ALCATEL-LUCENT SPONSORED 013904305 1 370 SH sole N/A 370 ADR ALTRIA GROUP INC COM 02209S103 147 4660 SH sole N/A 4660 AMAZON COM INC COM 023135106 1,075 4285 SH sole N/A 4285 AMERICAN CAP LTD COM 02503Y103 85 7095 SH sole N/A 7095 AMERICAN EXPRESS CO COM 025816109 29 500 SH Sole N/A 500 AMERICAN INTL GROUP GROUP CL A 026874784 93 2637 SH sole N/A 2637 AMGEN INC COM 031162100 23 271 SH sole N/A 271 APPLE INC COM 037833100 8,650 16254 SH Sole N/A 16254 AURICO GOLD INC COM 05155C105 21 2604 SH sole N/A 2604 AVNET INC COM 053807103 7,276 237711 SH sole N/A 237711 BGC PARTNERS INC CL A 05541T101 15 4300 SH sole N/A 4300 BP PLC SPONSORED ADR 055622104 52 1250 SH sole N/A 1250 BAIDU INC SPON ADR REP A 056752108 825 8230 SH sole N/A 8230 BAKER HUGHES INC COM 057224107 16 400 SH sole N/A 400 BANK OF AMERICA CORPORATION COM 060505104 167 14396 SH sole N/A 14396 BAXTER INTL INC COM 071813109 172 2575 SH Sole N/A 2575 BERKSHIRE HATHAWAY INC DEL CL A 084670108 402 3 SH Sole N/A 3 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1,253 13965 SH sole N/A 13965 BIOGEN IDEC INC COM 09062X103 93 638 SH sole N/A 638 BRISTOL MYERS SQUIBB CO COM 110122108 147 4496 SH sole N/A 4496 BURGER KING WORLDWIDE INC COM 121220107 740 45000 SH sole N/A 45000 CPFL ENERGIA S A SPONSORED ADR 126153105 88 4200 SH sole N/A 4200 CADIZ INC COM NEW 127537207 704 88880 SH Sole N/A 88880 CAMPBELL SOUP CO COM 134429109 122 3500 SH Sole N/A 3500 CARNIVAL CORP PAIRED CTF 143658300 4 100 SH Sole N/A 100 CASH AMER INTL INC COM 14754D100 179 4500 SH Sole N/A 4500 CELLDEX THERAPEUTICS INC NEW COM 15117B103 268 40000 SH Sole N/A 40000 CHESAPEAKE ENERGY CORP COM 165167107 12 705 SH Sole N/A 705 CHIMERA INVT CORP COM 16934Q109 2 700 SH Sole N/A 700 CHUBB CORP COM 171232101 311 4126 SH Sole N/A 4126 CISCO SYS INC COM 17275R102 189 9639 SH Sole N/A 9639 CITIGROUP INC COM NEW 172967101 312 7899 SH Sole N/A 7899 CLEAN DIESEL TECHNOLOGIES IN COM PAR $0.1 18449C401 36 16723 SH Sole N/A 16723 COCA-COLA CO COM 191216100 2,351 64850 SH Sole N/A 64850 COGNEX CORP COM 192422103 17 450 SH Sole N/A 450 COLGATE PALMOLIVE CO COM 194162103 797 7338 SH Sole N/A 7338 COMCAST CORP NEW CL A SPL 20030N200 189 5250 SH Sole N/A 5250 CONOCOPHILLIPS COM 20825C104 142 2500 SH Sole N/A 2500 CONSOLIDATED EDISON INC COM 209115104 39 710 SH Sole N/A 710 CORNING INC COM 219350105 44 3500 SH Sole N/A 3500 DEERE & CO COM 244199105 60 700 SH Sole N/A 700 DIGITAL RIV INC COM 25388B104 58 4000 SH Sole N/A 4000 DISCOVER FINL SVCS COM 254709108 31 813 SH Sole N/A 813 DOVER CORP COM 260003108 803 12224 SH Sole N/A 12224 DOW CHEM CO COM 260543103 86 2670 SH Sole N/A 2670 DR PEPPER SNAPPLE GROUP INC COM 26138E109 83 1880 SH Sole N/A 1880 DU PONT E I DE NEMOURS & CO COM 263534109 282 6265 SH Sole N/A 6265 EBAY INC COM 278642103 346 6790 SH Sole N/A 6790 EMERSON ELEC CO COM 291011104 55 1040 SH Sole N/A 1040 ENDEAVOUR INTL CORP COM NEW 29259G200 2 420 SH Sole N/A 420 ENTREMED INC COM NEW 29382F202 2 1636 SH Sole N/A 1636 EXELON CORP COM 30161N101 27 900 SH Sole N/A 900 EXPRESS SCRIPTS HLDG CO COM 30219G108 100 1845 SH Sole N/A 1845 EXXON MOBIL CORP COM 30231G102 3,313 38273 SH Sole N/A 38273 FX ENERGY INC COM 302695101 39 9600 SH Sole N/A 9600 FACEBOOK INC CL A 30303M102 27 1000 SH Sole N/A 1000 FISERV INC COM 337738108 44 560 SH Sole N/A 560 FORD MTR CO DEL COM PAR $0.01 345370860 476 36760 SH Sole N/A 36760 FUEL TECH INC COM 359523107 16 3900 SH Sole N/A 3900 GASTAR EXPL LTD COM NEW 367299203 1 1100 SH Sole N/A 1100 GENERAL ELECTRIC CO COM 369604103 1,251 59577 SH Sole N/A 59577 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 180 4145 SH Sole N/A 4145 GOLDCORP INC NEW COM 380956409 810 22080 SH Sole N/A 22080 GOLDMAN SACHS GROUP INC COM 38141G104 145 1140 SH Sole N/A 1140 GOOGLE INC CL A 38259P508 811 1146 SH Sole N/A 1146 HALLIBURTON CO COM 406216101 208 6000 SH Sole N/A 6000 HARTFORD FINL SVCS GROUP INC COM 416515104 15 660 SH Sole N/A 660 HARVARD BIOSCIENCE INC COM 416906105 4 956 SH Sole N/A 956 HECKMANN CORP COM 422680108 40 10000 SH Sole N/A 10000 HEINZ H J CO COM 428236103 173 3000 SH Sole N/A 3000 HEWLETT PACKARD CO COM 428236103 37 2580 SH Sole N/A 2580 HYPERDYNAMICS CORP COM 448954107 1 1150 SH Sole N/A 1150 INFOSYS LTD SPONSORED ADR 456788108 21 490 SH Sole N/A 490 INTEGRA LIFESCIENCES HLDGS C COM NEW 457985208 47 1208 SH Sole N/A 1208 INTEL CORP COM 458140100 71 3430 SH Sole N/A 3430 INTERNATIONAL BUSINESS MACHS COM 459200101 1,010 5271 SH Sole N/A 5271 INTEROIL CORP COM 460951106 1,088 19600 SH Sole N/A 19600 IROBOT CORP COM 462726100 43 2320 SH Sole N/A 2320 ISHARES GOLD TRUST ISHARES 464285105 78 4785 SH Sole N/A 4785 ISHARES INC MSCI WORLD IDX 464286392 70 1250 SH Sole N/A 1250 ISHARES INC MSCI CDA INDEX 464286509 21 750 SH Sole N/A 750 ISHARES INC MSCI EMU INDEX 464286608 66 1960 SH Sole N/A 1960 ISHARES INC MSCI PAC J IDX 464286665 357 7565 SH Sole N/A 7565 ISHARES INC MSCI UTD KINGD 464286699 159 8875 SH Sole N/A 8875 ISHARES INC MSCI JAPAN 464286848 257 26350 SH Sole N/A 26350 ISHARES TR S&P 100 IDX FD 464287101 36 560 SH Sole N/A 560 ISHARES TR LRGE CORE INDX 464287127 247 3010 SH Sole N/A 3010 ISHARES TR CORE S&P TTL STK 464287150 260 4000 SH Sole N/A 4000 ISHARES TR DJ SEL DIV INX 464287168 41 710 SH Sole N/A 710 ISHARES TR FTSE CHINA 25 IDX 464287184 53 1314 SH Sole N/A 1314 ISHARES TR CORE S&P 500 ETF 464287200 590 4125 SH Sole N/A 4125 ISHARES TR MSCI EMERG MKT 464287234 425 9580 SH Sole N/A 9580 ISHARES TR IBOXX INV CPBD 464287242 353 2920 SH Sole N/A 2920 ISHARES TR S&P GBL TELCM 464287275 22 390 SH Sole N/A 390 ISHARES TR S&P GBL HLTHCR 464287325 38 590 SH Sole N/A 590 ISHARES TR RUSSELL MIDCAP 464287499 36 319 SH Sole N/A 319 ISHARES TR S&P GBL100INDX 464287572 68 1060 SH Sole N/A 1060 ISHARES TR RUSSELL1000VAL 464287598 10,483 143955 SH Sole N/A 143955 ISHARES TR DJ US FINL SEC 464287788 8,035 132380 SH Sole N/A 132380 ISHARES TR DJ US INDEX FD 464287846 125 1750 SH Sole N/A 1750 ISHARES TR S&P EURO PLUS 464287861 210 5340 SH Sole N/A 5340 ISHARES TR MSCI ACJPN IDX 464288182 140 2320 SH Sole N/A 2320 ISHARES TR MSCI ACWI EX 464288240 38 910 SH Sole N/A 910 ISHARES TR S&P GLO INFRAS 464288372 30 850 SH Sole N/A 850 ISHARES TR HIGH YLD CORP 464288513 539 5775 SH Sole N/A 5775 ISHARES TR MSCI ESG SEL SOC 464288802 159 2715 SH Sole N/A 2715 ISHARES SILVER TRUST ISHARES 46428Q109 340 11560 SH Sole N/A 11560 JP MORGAN CHASE & CO COM 46625H100 7,059 160546 SH Sole N/A 160546 JOHNSON & JOHNSON COM 478160104 2,039 29088 SH Sole N/A 29088 KELLOG CO COM 487836108 20 350 SH Sole N/A 350 KRAFT FOODS GROUP INC COM 50076Q106 64 1415 SH Sole N/A 1415 LIBERTY MEDIA CORPORATION LIB CAP COM A 530322106 43 370 SH Sole N/A 370 LINKEDIN CORP COM CL A 53578A108 1,062 9250 SH Sole N/A 9250 LOWES COS INC COM 548661107 99 2800 SH Sole N/A 2800 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 188 4059 SH Sole N/A 4059 MARKET VECTORS ETF TR MINOR METALS 57060U472 49 3735 SH Sole N/A 3735 MARKET VECTORS EM LC CURR ETF TR DBT 57060U522 820 29860 SH Sole N/A 29860 MARKET VECTORS JR GOLD MINERS ETF TR E 57060U589 42 2125 SH Sole N/A 2125 MARKET VECTORS ETF TR AGRIBUS ETF 57060U605 352 6675 SH Sole N/A 6675 MARKET VECTORS ETF TR VIETNAM ETF 57060U761 23 1300 SH Sole N/A 1300 MARSH & MCLENNAN COS INC COM 571748102 125 3618 SH Sole N/A 3618 MASTERCARD INC CL A 57636Q104 14 28 SH Sole N/A 28 MCDONALDS CORP COM 580135101 1,349 15298 SH Sole N/A 15298 MEAD JOHNSON NUTRITION CO COM 582839106 25 382 SH Sole N/A 382 MERCK & CO INC NEW COM 58933Y107 878 21441 SH Sole N/A 21441 MICROSOFT CORP COM 594918104 469 17543 SH Sole N/A 17543 MICRON TECHNOLOGY INC COM 595112103 3 500 SH Sole N/A 500 MONDELEZ INTL INC CL A 609207105 108 4255 SH Sole N/A 4255 MONSANTO CO NEW COM 61166W101 94 998 SH Sole N/A 998 MONSTER WORLDWIDE INC COM 611742107 13 2250 SH Sole N/A 2250 MORGAN STANLEY COM NEW 617446448 171 8956 SH Sole N/A 8956 MORGAN STANLEY CHINA A SH FD COM 617468103 1,283 53350 SH Sole N/A 53350 NETSOL TECHNOLOGIES INC COM PAR $.001 64115A402 8 1340 SH Sole N/A 1340 NEWMONT MINING CORP COM 651639106 147 3156 SH Sole N/A 3156 NOKIA CORP SPONSORED ADR 654902204 2 400 SH Sole N/A 400 OCLARO INC COM NEW 67555N206 1 821 SH Sole N/A 821 PALL CORP COM 696429307 360 5974 SH Sole N/A 5974 PEPSICO INC COM 713448108 414 6045 SH Sole N/A 6045 PETROLEO BRASILEIRO SA PETRO SPONORED ADR 71654V408 197 10100 SH Sole N/A 10100 PFIZER INC COM 717081103 780 31110 SH Sole N/A 31110 PHILIP MORRIS INTL INC COM 718172109 269 3220 SH Sole N/A 3220 PHILLIPS 66 COM 718546104 125 2355 SH Sole N/A 2205 PITNEY BOWES INC COM 724479100 14 1365 SH Sole N/A 1365 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 33 500 SH Sole N/A 500 POWERSHARES ETF TRUST CLEANTECH PORT 73935X278 23 1000 SH Sole N/A 1000 PROCTER & GAMBLE CO COM 742718109 192 2830 SH Sole N/A 2830 PROSHARES TR SHI MSCI NEW 74347X575 35 1675 SH Sole N/A 1675 QUALCOMM INC COM 747525103 83 1348 SH Sole N/A 1348 QUINSTREET INC COM 74874Q100 4 660 SH Sole N/A 660 RPM INTL INC COM 749685103 258 8788 SH Sole N/A 8788 RED HAT INC COM 756577102 13 250 SH Sole N/A 250 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 21 300 SH Sole N/A 300 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 1,379 20000 SH Sole N/A 20000 ROYAL GOLD INC COM 780287108 144 1765 SH Sole N/A 1765 SPDR S&P 500 ETF TR TR UNIT 78462F103 998 7009 SH Sole N/A 7009 SPDR GOLD TRUST GOLD SHS 78463V107 11,057 68245 SH Sole N/A 68245 SPDR SERIES TRUST DB INT GVT ETF 78464A490 20 320 SH Sole N/A 320 SPDR SERIES TRUST GLB DOW EFT 78464A706 5,310 94520 SH Sole N/A 94520 SCHLUMBERGER LTD COM 806857108 178 2571 SH Sole N/A 2571 SCHWAB CHARLES CORP NEW COM 808513105 34 2400 SH Sole N/A 2400 SHERWIN WILLIAMS CO COM 824348106 615 4000 SH Sole N/A 4000 SILVER WHEATON CORP COM 828336107 750 20800 SH Sole N/A 20800 SKYWORKS SOLUTIONS INC COM 83088M102 7,924 390327 SH Sole N/A 390327 STRYKER CORP COM 863667101 24 430 SH Sole N/A 430 SYNTHESIS ENERGY SYS INC COM 871628103 36 33500 SH Sole N/A 33500 TESLA MTRS INC COM 88160R101 15 445 SH Sole N/A 445 THERMO FISHER SCIENTIFIC INC COM 883556102 195 3050 SH Sole N/A 3050 3M CO COM 88579Y101 150 1616 SH Sole N/A 1616 TIME WARNER INC COM NEW 887317303 80 1666 SH Sole N/A 1666 TIME WARNER CABLE INC COM 88732J207 41 418 SH Sole N/A 418 TRAVELLERS COMPANIES INC COM 89417E109 17 238 SH Sole N/A 238 UNITED STATES STL CORP NEW COM 912909108 3 110 SH Sole N/A 110 VERIZON COMMUNICATIONS INC COM 92343V104 188 4339 SH Sole N/A 4339 VIACOM INC NEW CL B 92553P201 40 760 SH Sole N/A 760 VIVUS INC COM 928551100 9 700 SH Sole N/A 700 VODAFONE GROUP SPONS PLC NEW ADR NEW 92857W209 18 730 SH Sole N/A 730 WAL-MART STORES INC COM 931142103 239 3508 SH Sole N/A 3508 WALTER ENERGY INC COM 93317Q105 8 231 SH Sole N/A 231 WELLS FARGO & CO NEW COM 949746101 260 7620 SH Sole N/A 7620 WILLIAMS SONOMA INC COM 969904101 98 2250 SH Sole N/A 2250 YAMANA GOLD INC COM 98462Y100 21 1249 SH Sole N/A 12