0001313471-11-000004.txt : 20110502 0001313471-11-000004.hdr.sgml : 20110502 20110502111730 ACCESSION NUMBER: 0001313471-11-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110502 DATE AS OF CHANGE: 20110502 EFFECTIVENESS DATE: 20110502 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: 11798706 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 form13fhr2011q1.txt FORM 13F - 1ST QUARTER 2011 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2011 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: Kathryn A. Burns Title: Chief Compliance Officer Phone: 720.200.7718 Signature, Place, and Date of Signing: /s/Kathryn A. Burns Denver, Colorado May 2, 2011 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, LLC 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 028-04041 Thompson Siegel & Walmsley LLC 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: $613,420 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 22643 64981 SH DEFINED 01 64981 0 0 ABBOTT LABORATORIES COM 002824100 27885 568500 SH DEFINED 01 568500 0 0 ALLSTATE CORP COM 020002101 20105 632644 SH DEFINED 01 632644 0 0 BLACKROCK INC COM 09247X101 23920 119000 SH DEFINED 01 119000 0 0 BERKSHIRE HATHAWAY - CL B CL B 084670702 12992 155350 SH DEFINED 01 155350 0 0 CONSOL ENERGY INC COM 20854P109 26279 490000 SH DEFINED 01 490000 0 0 COVIDIEN PLC SHS G2554F113 18439 355000 SH DEFINED 01 355000 0 0 CISCO SYSTEMS INC COM 17275R102 17991 1049013 SH DEFINED 01 1049013 0 0 CVS CORP COM 126650100 18790 547500 SH DEFINED 01 547500 0 0 GENL ELECTRIC COM 369604103 37125 1851620 SH DEFINED 01 1851620 0 0 GOOGLE INCORPORATED COM 38259P508 34117 58200 SH DEFINED 01 58200 0 0 HARTFORD FINL S COM 416515104 15754 585000 SH DEFINED 01 585000 0 0 INVESCO LTD COM G491BT108 17509 685000 SH DEFINED 01 685000 0 0 JPMORGAN CHASE & CO. COM 46625H100 24770 537301 SH DEFINED 01 537301 0 0 MEDTRONIC COM 585055106 14453 367304 SH DEFINED 01 367304 0 0 METLIFE INC COM 59156R108 39270 877930 SH DEFINED 01 877930 0 0 MERCK & CO COM 58933Y105 21622 655000 SH DEFINED 01 655000 0 0 MICROSOFT CORP COM 594918104 34544 1362135 SH DEFINED 01 1362135 0 0 NRG ENERGY INC COM 629377508 23960 1112326 SH DEFINED 01 1112326 0 0 PFIZER INC COM 717081103 5535 272547 SH DEFINED 01 272547 0 0 PRUDENTIAL FINANCIAL COM 744320102 12316 200000 SH DEFINED 01 200000 0 0 QUALCOMM COM 747525103 15824 288600 SH DEFINED 01 288600 0 0 ROYAL DUTCH SHELL ADS A 780259206 25822 354400 SH DEFINED 01 354400 0 0 STATE STREET CORP COM 857477103 8644 192353 SH DEFINED 01 192353 0 0 SUNCOR ENERGY INC COM 867224107 9865 220000 SH DEFINED 01 220000 0 0 TEVA PHARMA ADR ADR 881624209 28095 560000 SH DEFINED 01 560000 0 0 UNITEDHEALTH GROUP INC COM 91324P102 17739 392457 SH DEFINED 01 392457 0 0 VISA COM 92826C839 20614 280000 SH DEFINED 01 280000 0 0 EXXON MOBIL COR COM 30231G102 16798 199664 SH DEFINED 01 199664 0 0 S REPORT SUMMARY 29 DATA RECORDS 613420 1 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED