-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, TnQW9AyWd2hmhiMZvqZlnF1ARMz91pmpn+R/Pok6gr9gQ9Ag0YSfisTEvuP65v6T xvuohaie1CNEUe/tmYeUTg== 0000892712-08-000877.txt : 20081107 0000892712-08-000877.hdr.sgml : 20081107 20081107163916 ACCESSION NUMBER: 0000892712-08-000877 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080930 FILED AS OF DATE: 20081107 DATE AS OF CHANGE: 20081107 EFFECTIVENESS DATE: 20081107 FILER: COMPANY DATA: COMPANY CONFORMED NAME: New Star Asset Management Group Ltd CENTRAL INDEX KEY: 0001308686 IRS NUMBER: 000000000 STATE OF INCORPORATION: X0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11008 FILM NUMBER: 081171988 BUSINESS ADDRESS: STREET 1: 1 KNIGHTSBRIDGE GREEN CITY: LONDON STATE: X0 ZIP: SW1X 7NE BUSINESS PHONE: 0044 20 7225 9586 MAIL ADDRESS: STREET 1: 1 KNIGHTSBRIDGE GREEN CITY: LONDON STATE: X0 ZIP: SW1X 7NE 13F-HR 1 nsamg13fhrc.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Quarter Ended: September 30, 2008 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holding entries. Institutional Investment Manager Filing this Report: Name: New Star Asset Management Group PLC --------------------------------------------------------- Address: 1 Knightsbridge Green --------------------------------------------------------- London, England --------------------------------------------------------- SW1X 7NE --------------------------------------------------------- Form 13F File No: 28-11008 -------- 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 the Reporting Manager: Name: Rupert Ruvigny --------------------------------------------------------------- Title: Chief Compliance Officer -------------------------------------------------------------- Phone: +44(0)20 7225 9200 -------------------------------------------------------------- Signature, Place, and Date of Signing: /s/ Rupert Ruvigny London, England November 6, 2008 - ---------------------------------------------------------------------- (Signature) City/Country (Date) 1 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: None 2 FORM 13F SUMMARY PAGE REPORT SUMMARY Number of Other Included Managers: 2 Form 13F Information Table Entry Total: 162 Form 13F Information Table Value Total $944,183 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. 1. New Star Asset Management Ltd. (28-11009) 2. New Star Institutional Managers Ltd. (28-11235) 3 NEW STAR ASSET MANAGEMENT GROUP PLC FORM 13F INFORMATION TABLE SEPTEMBER 30, 2008
VALUE X INVESTMENT OTHER NAME OF ISSUER TITLE OF CLASS CUSIP $1000 SHARES DISCRETION MANAGERS VOTING AUTHORITY - -------------- -------------- ------ ------- ------ ---------- -------- ---------------- SOLE SHARED NONE ---- ------ ---- 3M CO COM 88579Y101 1,909.128 27,948 Defined 2 27,948 ABBOTT LABS COM 2824100 6,513.334 113,118 Defined 1 113,118 ACCENTURE LTD BERMUDA CL A G1150G111 6,428.498 169,171 Defined 1 169,171 ADOBE SYS INC COM 00724F101 7,321.351 202,527 Defined 1,2 202,527 ALCOA INC COM 13817101 6,486.624 287,273 Defined 1,2 287,273 ALLERGAN INC COM 18490102 6,687.584 129,856 Defined 1,2 129,856 ALLIANZ SE SP ADR 1/10 SH 18805101 313.653 22,877 Defined 2 22,877 ALTRIA GROUP INC COM 02209S103 728.703 36,729 Defined 1,2 36,729 AMAZON COM INC COM 23135106 6,958.364 109,840 Defined 1 109,840 AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 4,040.738 87,160 Defined 1,2 87,160 AMGEN INC COM 31162100 6,463.843 116,365 Defined 1,2 116,365 ANADARKO PETE CORP COM 32511107 3,769.373 77,703 Defined 1,2 77,703 APPLE INC COM 37833100 4,342.817 41,258 Defined 1,2 41,258 ARCHER DANIELS MIDLAND CO COM 39483102 2,499.997 114,103 Defined 1,2 114,103 ASML HOLDING N V NY REG SHS N07059186 302.945 17,203 Defined 2 17,203 AT&T INC COM 00206R102 5,512.281 197,431 Defined 1,2 197,431 AVON PRODS INC COM 54303102 605.509 14,566 Defined 1 14,566 BANCO BRADESCO S A SP ADR PFD NEW 59460303 1,611.465 100,091 Defined 1,2 100,091 BANCO ITAU HLDG FINANCIERA S SP ADR 500 PFD 59602201 2,554.265 145,958 Defined 1,2 145,958 BANK MONTREAL QUE COM 63671101 14,924.804 345,333 Defined 2 345,333 BANK NOVA SCOTIA HALIFAX COM 64149107 9,240.497 204,677 Defined 1 204,677 BANK OF AMERICA CORPORATION COM 60505104 11,231.296 320,894 Defined 1,2 320,894 BAXTER INTL INC COM 71813109 5,621.931 85,661 Defined 1 85,661 BE AEROSPACE INC COM 73302101 1,977.705 124,934 Defined 1,2 124,934 BOEING CO COM 97023105 8,078.952 140,871 Defined 1,2 140,871 BRUNSWICK CORP COM 117043109 2,656.061 207,667 Defined 1,2 207,667 CA INC COM 12673P105 2,950.071 161,118 Defined 1 161,118 CADENCE DESIGN SYSTEM INC COM 127387108 331.700 49,068 Defined 1,2 49,068 CAPITAL ONE FINL CORP COM 14040H105 6,722.573 131,815 Defined 1,2 131,815 CARNIVAL CORP PAIRED CTF 143658300 4,148.570 117,357 Defined 1,2 117,357 CBS CORP NEW CL B 124857202 2,199.131 150,832 Defined 1,2 150,832 CENTRAL EUROPEAN DIST CORP COM 153435102 536.094 11,863 Defined 1,2 11,863 CHEVRON CORP NEW COM 166764100 9,394.038 113,894 Defined 1,2 113,894 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 2,474.568 49,412 Defined 2 49,412 CHUNGHWA TELECOM CO LTD SPON ADR NEW 17133Q304 10,147.329 428,700 Defined 1,2 428,700 CISCO SYS INC COM 17275R102 18,213.263 828,361 Defined 1,2 828,361 CITIGROUP INC COM 172967101 9,278.088 452,369 Defined 1,2 452,369 CNOOC LTD SPONSORED ADR 126132109 2,396.236 20,926 Defined 1,2 20,926 COCA COLA CO COM 191216100 2,554.950 48,316 Defined 1,2 48,316 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 4,405.902 208,208 Defined 1,2 208,208 COMCAST CORP NEW CL A 20030N101 9,361.618 510,261 Defined 1,2 510,261 COMCAST CORP NEW CL A SPL 20030N200 989.043 54,343 Defined 1,2 54,343 COMPANHIA DE BEBIDAS DAS AME SPON ADR PFD 20441W203 703.923 12,890 Defined 1,2 12,890 COMPANHIA VALE DO RIO DOCE SPON ADR PFD 204412100 6,456.606 364,780 Defined 1,2 364,780 CONOCOPHILLIPS COM 20825C104 8,042.704 109,798 Defined 1,2 109,798 CONSECO INC COM NEW 208464883 949.176 269,652 Defined 1,2 269,652 COOPER COS INC COM NEW 216648402 4,413.373 126,967 Defined 1,2 126,967 COVIDIEN LTD COM G2552X108 3,080.179 57,295 Defined 1 57,295 CREE INC COM 225447101 4,205.102 191,141 Defined 1 191,141 CVS CAREMARK CORPORATION COM 126650100 610.424 18,135 Defined 1,2 18,135 DANAHER CORP DEL COM 235851102 2,979.549 42,932 Defined 1,2 42,932 DAVITA INC COM 23918K108 3,989.161 69,973 Defined 1,2 69,973 DELL INC COM 24702R101 495.524 32,156 Defined 2 32,156 DEUTSCHE TELEKOM AG SPONSORED ADR 251566105 293.193 19,251 Defined 2 19,251 DOW CHEM CO COM 260543103 1,854.649 58,359 Defined 2 58,359 DR PEPPER SNAPPLE GROUP INC COM 26138E109 6,337.273 239,323 Defined 1,2 239,323 DUKE ENERGY CORP NEW COM 26441C105 2,127.227 122,044 Defined 2 122,044 EATON CORP COM 278058102 1,499.950 26,699 Defined 2 26,699 EBAY INC COM 278642103 5,800.028 272,765 Defined 1,2 272,765 ECOLAB INC COM 278865100 2,490.289 51,325 Defined 1 51,325 ENERSIS S A SPONSORED ADR 29274F104 594.048 36,400 Defined 1,2 36,400 ENOVA SYSTEMS INC COM NEW 29355M200 1,594.030 761,100 Defined 1 761,100 EXELON CORP COM 30161N101 1,712.031 27,340 Defined 2 27,340 EXETER RES CORP COM 301835104 256.233 127,900 Defined 1 127,900 EXXON MOBIL CORP COM 30231G102 14,725.967 189,621 Defined 1,2 189,621 FEDEX CORP COM 31428X106 1,996.867 25,264 Defined 2 25,264 FIRST SOLAR INC COM 336433107 3,808.147 21,120 Defined 1 21,120 FOMENTO ECONOMICO MEXICANO S SPON ADR UNITS 344419106 442.043 11,590 Defined 2 11,590 FPL GROUP INC COM 302571104 521.058 10,359 Defined 1 10,359 GENENTECH INC COM NEW 368710406 3,705.139 41,781 Defined 1 41,781 GENERAL ELECTRIC CO COM 369604103 11,767.766 461,481 Defined 1,2 461,481 GENERAL MTRS CORP COM 370442105 1,354.535 143,337 Defined 1,2 143,337 GENZYME CORP COM 372917104 3,651.137 47,362 Defined 1 47,362 GERDAU S A SPONSORED ADR 373737105 652.236 58,760 Defined 1,2 58,760 GILEAD SCIENCES INC COM 375558103 6,550.062 154,337 Defined 1 154,337 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 2,059.048 47,378 Defined 2 47,378 GOLDMAN SACHS GROUP INC COM 38141G104 4,485.120 35,040 Defined 1,2 35,040 GOOGLE INC CL A 38259P508 14,159.584 35,353 Defined 1,2 35,353 GRUPO TELEVISA SA DE CV SP ADR REP ORD 40049J206 514.601 23,530 Defined 1,2 23,530 HESS CORP COM 42809H107 4,436.096 54,046 Defined 1,2 54,046 HEWLETT PACKARD CO COM 428236103 10,130.537 219,086 Defined 1,2 219,086 HOME DEPOT INC COM 437076102 7,225.770 279,095 Defined 1,2 279,095 HUDSON CITY BANCORP COM 443683107 6,314.513 342,250 Defined 1 342,250 ICICI BK LTD ADR 45104G104 766.517 32,590 Defined 1,2 32,590 INTEL CORP COM 458140100 20,378.479 1,160,802 Defined 1,2 1,160,802 INTERNATIONAL BUSINESS MACHS COM 459200101 6,920.523 59,170 Defined 1,2 59,170 INTUIT COM 461202103 2,781.838 88,005 Defined 1 88,005 INVESCO LTD SHS G491BT108 2,782.493 132,626 Defined 2 132,626 ITT CORP NEW COM 450911102 4,228.640 76,041 Defined 1 76,041 JOHNSON & JOHNSON COM 478160104 9,551.054 137,861 Defined 1,2 137,861 JPMORGAN & CHASE & CO COM 46625H100 23,528.534 503,823 Defined 1,2 503,823 JUNIPER NETWORKS INC COM 48203R104 6,029.688 287,128 Defined 1 287,128 KB HOME COM 48666K109 3,727.037 189,381 Defined 1,2 189,381 KOREA FD COM 500634100 2,399.160 155,638 Defined 2 155,638 LENNAR CORP CL A 526057104 1,383.338 91,069 Defined 1,2 91,069 LILLY ELI & CO COM 532457108 1,086.837 24,684 Defined 1,2 24,684 LOCKHEED MARTIN CORP COM 539830109 3,071.089 28,003 Defined 1 28,003 LSI CORPORATION COM 502161102 3,398.706 634,087 Defined 1 634,087 MANULIFE FINL CORP COM 56501R106 1,075.959 29,884 Defined 1 29,884 MARATHON OIL CORP COM 565849106 10,615.706 266,258 Defined 1,2 266,258 MCDONALDS CORP COM 580135101 1,064.757 17,257 Defined 1 17,257 MEDTRONIC INC COM 585055106 4,556.194 90,942 Defined 1,2 90,942 MEMC ELECTR MATLS INC COM 552715104 5,161.096 182,629 Defined 1,2 182,629 MERCK & CO INC COM 589331107 5,267.869 166,916 Defined 1,2 166,916 MERRILL LYNCH & CO INC COM 590188108 6,845.851 270,587 Defined 1,2 270,587 MICROSOFT CORP COM 594918104 14,063.453 527,165 Defined 1,2 527,165 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADR 606822104 348.516 39,875 Defined 2 39,875 MIZUHO FINL GROUP INC SPONSORED ADR 60687Y109 3,238.259 371,360 Defined 1 371,360 MOBILE TELESYSTEMS OJSC SPONSORED ADR 607409109 4,055.124 72,400 Defined 1,2 72,400 MOTOROLA INC COM 620076109 6,333.837 887,092 Defined 1,2 887,092 MOUNTAIN PROV DIAMONDS INC COM NEW 62426E402 759.425 247,675 Defined 1 247,675 NETAPP INC COM 64110D104 5,917.601 333,894 Defined 1,2 333,894 NIDEC CORP SPONSORED ADR 654090109 315.492 20,688 Defined 2 20,688 NOKIA CORP SPONSORED ADR 654902204 346.462 18,577 Defined 2 18,577 NOMURA HLDGS INC SPONSORED ADR 65535H208 204.728 15,652 Defined 2 15,652 NORFOLK SOUTHERN CORP COM 655844108 717.822 10,841 Defined 2 10,841 NORTHERN TR CORP COM 665859104 803.220 12,382 Defined 1 12,382 NOVELLUS SYS INC COM 670008101 3,789.080 202,733 Defined 1 202,733 OIL SVC HOLDRS TR DEPOSTRY RCPT 678002106 46,211.009 314,982 Defined 1,2 314,982 ON SEMICONDUCTOR CORP COM 682189105 4,316.021 701,792 Defined 1 701,792 PEPSICO INC COM 713448108 2,170.457 30,454 Defined 2 30,454 PETRO-CDA COM 71644E102 20,907.376 627,930 Defined 1,2 627,930 PETROLEO BRASILEIRO SA PETRO SP ADR NON VTG 71654V101 5,643.684 150,820 Defined 1,2 150,820 PFIZER INC COM 717081103 10,087.860 547,064 Defined 1,2 547,064 PHILIP MORRIS INTL INC COM 718172109 2,808.463 58,388 Defined 1,2 58,388 PROCTER & GAMBLE CO COM 742718109 6,965.655 99,952 Defined 1,2 99,952 PRUDENTIAL FINL INC COM 744320102 4,766.760 66,205 Defined 1 66,205 QUALCOMM INC COM 747525103 6,241.060 156,496 Defined 1,2 156,496 ROYAL BK CDA MONTREAL QUE COM 780087102 1,106.801 23,302 Defined 1 23,302 SAIC INC COM 78390X101 4,028.683 199,144 Defined 1 199,144 SEAGATE TECHNOLOGY SHS G7945J104 4,027.306 332,286 Defined 1,2 332,286 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 48,958.778 2,461,477 Defined 1,2 2,461,477 SHAW GROUP INC COM 820280105 4,036.416 131,351 Defined 1,2 131,351 SIGNET JEWELERS LIMITED SHS ADDED G81276100 2,238.555 113,143 Defined 1 113,143 SPDR SERIES TRUST OILGAS EQUIP 78464A748 545.387 17,070 Defined 1,2 17,070 SPRINT NEXTEL CORP COM SER 1 852061100 1,804.447 295,811 Defined 1,2 295,811 STERICYCLE INC COM 858912108 4,330.428 72,646 Defined 1 72,646 SUNCOR ENERGY INC COM 867229106 20,800.181 502,608 Defined 2 502,608 SUPERVALU INC COM 868536103 4,987.333 229,831 Defined 1,2 229,831 SYMANTEC CORP COM 871503108 7,871.065 422,721 Defined 1 422,721 TAIWAN FD INC COM 874036106 3,325.073 285,414 Defined 2 285,414 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 56,925.580 6,075,301 Defined 1,2 6,075,301 TALISMAN ENERGY INC COM 87425E103 18,837.442 1,333,420 Defined 2 1,333,420 TECK COMINCO LTD CL B 878742204 39,265.848 1,381,451 Defined 2 1,381,451 TELEFONOS DE MEXICO S A B SPON ADR ORD L 879403780 1,753.575 68,100 Defined 1,2 68,100 TEXAS INSTRS INC COM 882508104 1,166.547 54,258 Defined 2 54,258 TIME WARNER CABLE INC CL A 88732J108 2,874.912 118,798 Defined 1 118,798 TIME WARNER INC COM 887317105 5,898.005 449,886 Defined 1,2 449,886 TORONTO DOMINION BK ONT COM NEW 891160509 696.129 11,550 Defined 1 11,550 UNITED TECHNOLOGIES CORP COM 913017109 1,876.815 31,249 Defined 2 31,249 UNITEDHEALTH GROUP INC COM 91324P102 1,741.551 68,592 Defined 1,2 68,592 UNUM GROUP COM 91529Y106 2,665.695 106,203 Defined 2 106,203 VERIZON COMMUNICATIONS INC COM 92343V104 7,515.478 234,200 Defined 1,2 234,200 VISA INC COM CL A 92826C839 6,893.851 112,296 Defined 1 112,296 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 222.945 10,088 Defined 2 10,088 WAL MART STORES INC COM 931142103 1,070.773 17,879 Defined 1 17,879 WELLS FARGO & CO NEW COM 949746101 1,311.861 34,955 Defined 1,2 34,955 WESTERN UN CO COM 959802109 8,404.872 340,692 Defined 1 340,692 WEYERHAEUSER CO COM 962166104 7,240.158 119,514 Defined 1,2 119,514 WYETH COM 983024100 3,543.433 95,924 Defined 1,2 95,924 XILINX INC COM 983919101 7,960.688 349,153 Defined 1 349,153 XYRATEX LTD COM G98268108 6,754.124 626,511 Defined 1,2 626,511 Report Summary (162 items) 944,183.000
4 -----END PRIVACY-ENHANCED MESSAGE-----