-----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, L/zWpZG7m11pDMET9JRCP/uUybr4yxF1ZCvAxRgXu7DHS/98eg9z+GENsZ2G+upN ioW9qh/Q5UOZX27WiM6ROA== 0001313471-09-000041.txt : 20091110 0001313471-09-000041.hdr.sgml : 20091110 20091110160950 ACCESSION NUMBER: 0001313471-09-000041 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091110 DATE AS OF CHANGE: 20091110 EFFECTIVENESS DATE: 20091110 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Old Mutual Capital Inc CENTRAL INDEX KEY: 0001313471 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11581 FILM NUMBER: 091172178 BUSINESS ADDRESS: STREET 1: 4643 SOUTH ULSTER STREET STREET 2: SUITE 600 CITY: DENVER STATE: CO ZIP: 80237 BUSINESS PHONE: 720-200-7600 MAIL ADDRESS: STREET 1: 4643 SOUTH ULSTER STREET STREET 2: SUITE 600 CITY: DENVER STATE: CO ZIP: 80237 13F-HR 1 form13fhr2009q3.txt FORM 13F - 3RD QUARTER 2009 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, 2009 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: Old Mutual Capital, Inc. Address: 4643 S. Ulster Street, 6th Floor Denver CO 80237 Form 13F File Number: 028-11581 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: James F. Lummanick Title: Chief Compliance Officer Phone: 720.200.7600 Signature, Place, and Date of Signing: /s/ James F. Lummanick Denver, Colorado November 10, 2009 The institutional investment manager filing this report also files this report with respect to its parent holding company Old Mutual (US) Holdings Inc. (Form 13F File No. 028-11931). Report Type (Check only one.): [ ] 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).) [X] 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: Form 13F File Number Name - -------------------- ---------------------------------------- 028-05990 Acadian Asset Management LLC 028-04895 Analytic Investors, LLC 028-12481 Ashfield Capital Partners, LLC 028-01006 Barrow Hanley Mewhinney & Strauss Inc. 028-02989 Clay Finlay LLC 028-10679 Clough Capital Partners, LP 028-10449 Columbus Circle Investors 028-11628 Copper Rock Capital Partners LLC 028-11912 Dwight Asset Management Company LLC 028-01666 Eagle Asset Management, Inc. 028-04321 Heitman Real Estate Securities LLC 028-01874 Munder Capital Management 028-04041 Thompson Siegel & Walmsley LLC 028-02924 Turner Investment Partners, Inc. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 29 Form 13F Information Table Value Total: $99,613 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. No. Form 13F File Number Name 1 028-11931 Old Mutual (US) Holdings, Inc. VALUE SHARES/ SH/ PUT/ INVSTMT -----VOTING AUTHORITY----- NAME OF ISSUER -TITLE OF CLASS- --CUSIP-- x$1000 PRN AMT PRN CALL DSCRETN -MANAGERS- SOLE SHARED NONE APPLE COMPUTER INC COM 037833100 2551 13760 SH DEFINED 01 13760 0 0 ALLSTATE CORP COM 020002101 4475 146130 SH DEFINED 01 146130 0 0 BP AMOCO PLC ADS 055622104 1691 31760 SH DEFINED 01 31760 0 0 BERKSHIRE HATHAWAY - CL B CL B 084670207 4951 1490 SH DEFINED 01 1490 0 0 COMCAST "A SPL" CL A 20030N200 3990 248133 SH DEFINED 01 248133 0 0 CISCO SYSTEMS INC COM 17275R102 3753 159410 SH DEFINED 01 159410 0 0 CVS CORP COM 126650100 4837 135340 SH DEFINED 01 135340 0 0 EL PASO CORP COM 28336L109 3855 373585 SH DEFINED 01 373585 0 0 EXELON CORPORATION COM 30161N101 3771 76000 SH DEFINED 01 76000 0 0 GOOGLE INCORPORATED COM 38259P508 2797 5640 SH DEFINED 01 5640 0 0 HALLIBURTON CO COM 406216101 3951 145670 SH DEFINED 01 145670 0 0 INTEL CORP COM 458140100 1963 100330 SH DEFINED 01 100330 0 0 JOHNSON & JOHNS COM 478160104 5082 83460 SH DEFINED 01 83460 0 0 JPMORGAN CHASE & CO. COM 46625H100 3895 88890 SH DEFINED 01 88890 0 0 MEDTRONIC COM 585055106 3858 104840 SH DEFINED 01 104840 0 0 METLIFE INC COM 59156R108 4467 117340 SH DEFINED 01 117340 0 0 MICROSOFT CORP COM 594918104 3663 141492 SH DEFINED 01 141492 0 0 MAXIM INTEGRATE COM 57772K101 1098 60506 SH DEFINED 01 60506 0 0 NRG ENERGY INC COM 629377508 2898 102790 SH DEFINED 01 102790 0 0 PEPSICO INC COM 713448108 4174 71160 SH DEFINED 01 71160 0 0 SCHERING-PLOUGH COM 806605101 3040 107610 SH DEFINED 01 107610 0 0 SAFEWAY INC. COM 786514208 2833 143680 SH DEFINED 01 143680 0 0 TEXAS INSTRUMENTS INC COM 882508104 2582 109000 SH DEFINED 01 109000 0 0 UNITEDHEALTH GROUP INC COM 91324P102 3939 157310 SH DEFINED 01 157310 0 0 UNITED PARCEL SERVICES CL B 911312106 2698 47770 SH DEFINED 01 47770 0 0 WYETH COM 983024100 4294 88400 SH DEFINED 01 88400 0 0 EXXON MOBIL COR COM 30231G102 4605 67120 SH DEFINED 01 67120 0 0 ZIMMER HOLDINGS INC COM 98956P102 3902 73000 SH DEFINED 01 73000 0 0 S REPORT SUMMARY 28 DATA RECORDS 99613 1 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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