-----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, TJfFc3WGoh2Hy1P/HmHmORtI6esySher9AGdU8NAR+fG71IGnBbkEpvy676y0sjr dAcctO0EjdoIJLip1Q2Lmg== 0000357235-10-000093.txt : 20101112 0000357235-10-000093.hdr.sgml : 20101111 20101112164316 ACCESSION NUMBER: 0000357235-10-000093 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101111 FILED AS OF DATE: 20101112 DATE AS OF CHANGE: 20101112 EFFECTIVENESS DATE: 20101112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Legg Mason Asset Management (Japan) Co., Ltd. CENTRAL INDEX KEY: 0001316466 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11198 FILM NUMBER: 101187327 BUSINESS ADDRESS: STREET 1: 1-1-3 OTEMACHI STREET 2: CHIYODA-KU CITY: TOKYO STATE: M0 ZIP: 100-0004 BUSINESS PHONE: 81.3.5219.5785 MAIL ADDRESS: STREET 1: 1-1-3 OTEMACHI STREET 2: CHIYODA-KU CITY: TOKYO STATE: M0 ZIP: 100-0004 FORMER COMPANY: FORMER CONFORMED NAME: Citigroup Asset Management Co., Ltd. DATE OF NAME CHANGE: 20050202 13F-HR 1 jap3q10.txt 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, 2010 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: Legg Mason Asset Management (Japan) Co., Ltd. Address: 1-5-1 Marunouchi Chiyoda-Ku, Tokyo, Japan 100-6536 13F File Number: 28-11198 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: Mina Kikuchi Title: Head of Administration Division Phone: 81-3-5219-5779 Signature, Place, and Date of Signing: Mina Kikuchi Tokyo, Japan November 12, 2010 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form13F Information Table Entry Total: 134 Form13F Information Table Value Total: $341,618 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. No. 13F File Number Name 1 28-1700 Legg Mason, Inc. FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M CO COM 88579Y101 1804 20800 SH DEFINED 1 20800 0 0 ABBOTT LABS COM 002824100 3307 63300 SH DEFINED 1 63300 0 0 ADVANCE AUTO PARTS INC COM 00751Y106 1591 27100 SH DEFINED 1 27100 0 0 AEROPOSTALE COM 007865108 1580 67950 SH DEFINED 1 67950 0 0 AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 1446 27100 SH DEFINED 1 27100 0 0 AMERICAN EXPRESS CO COM 025816109 1118 26600 SH DEFINED 1 26600 0 0 AMERICAN FINL GROUP INC OHIO COM 025932104 2785 91050 SH DEFINED 1 91050 0 0 AMERIPRISE FINL INC COM 03076C106 1487 31400 SH DEFINED 1 31400 0 0 AMERISOURCEBERGEN CORP COM 03073E105 1527 49800 SH DEFINED 1 49800 0 0 AMGEN INC COM 031162100 2332 42300 SH DEFINED 1 42300 0 0 APPLE INC COM 037833100 8258 29100 SH DEFINED 1 29100 0 0 ARCHER DANIELS MIDLAND CO COM 039483102 1932 60500 SH DEFINED 1 60500 0 0 ARROW ELECTRS INC COM 042735100 1412 52800 SH DEFINED 1 52800 0 0 ASHLAND INC NEW COM 044209104 1659 34000 SH DEFINED 1 34000 0 0 ASSURANT INC COM 04621X108 1779 43700 SH DEFINED 1 43700 0 0 AT&T INC COM 00206R102 7379 258000 SH DEFINED 1 258000 0 0 AVERY DENNISON CORP COM 053611109 1801 48500 SH DEFINED 1 48500 0 0 BANK HAWAII CORP COM 062540109 2426 54000 SH DEFINED 1 54000 0 0 BANK MONTREAL QUE COM 063671101 1906 33000 SH DEFINED 1 33000 0 0 BANK NOVA SCOTIA HALIFAX COM 064149107 3545 66500 SH DEFINED 1 66500 0 0 BANK OF AMERICA CORPORATION COM 060505104 2044 156000 SH DEFINED 1 156000 0 0 BARRICK GOLD CORP COM 067901108 2824 61000 SH DEFINED 1 61000 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2836 34300 SH DEFINED 1 34300 0 0 BIG LOTS INC COM 089302103 2847 85600 SH DEFINED 1 85600 0 0 BMC SOFTWARE INC COM 055921100 1952 48200 SH DEFINED 1 48200 0 0 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 1535 54100 SH DEFINED 1 54100 0 0 CAPITAL ONE FINL CORP COM 14040H105 2148 54300 SH DEFINED 1 54300 0 0 CATERPILLAR INC DEL COM 149123101 1472 18700 SH DEFINED 1 18700 0 0 CDN IMPERIAL BK OF COMMERCE COM 136069101 2022 27900 SH DEFINED 1 27900 0 0 CHESAPEAKE ENERGY CORP COM 165167107 1627 71800 SH DEFINED 1 71800 0 0 CHEVRON CORP NEW COM 166764100 6274 77400 SH DEFINED 1 77400 0 0 CHIMERA INVT CORP COM 16934Q109 1247 315600 SH DEFINED 1 315600 0 0 CHUBB CORP COM 171232101 2286 40100 SH DEFINED 1 40100 0 0 CIGNA CORP COM 125509109 1453 40600 SH DEFINED 1 40600 0 0 CISCO SYS INC COM 17275R102 2068 94400 SH DEFINED 1 94400 0 0 CIT GROUP INC COM NEW 125581801 1592 39000 SH DEFINED 1 39000 0 0 CITIGROUP INC COM 172967101 1798 459700 SH DEFINED 1 459700 0 0 COACH INC COM 189754104 2226 51800 SH DEFINED 1 51800 0 0 COMCAST CORP NEW CL A 20030N101 1333 73700 SH DEFINED 1 73700 0 0 COMPUTER SCIENCES CORP COM 205363104 2360 51300 SH DEFINED 1 51300 0 0 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364730101 1597 130500 SH DEFINED 1 130500 0 0 GAP INC DEL COM 364760108 1631 87500 SH DEFINED 1 87500 0 0 GENERAL ELECTRIC CO COM 369604103 7105 437200 SH DEFINED 1 437200 0 0 GILEAD SCIENCES INC COM 375558103 1332 37400 SH DEFINED 1 37400 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 2010 13900 SH DEFINED 1 13900 0 0 GOOGLE INC CL A 38259P508 7624 14500 SH DEFINED 1 14500 0 0 HERSHEY CO COM 427866108 1552 32600 SH DEFINED 1 32600 0 0 HEWLETT PACKARD CO COM 428236103 5688 135200 SH DEFINED 1 135200 0 0 HUMANA INC COM 444859102 1387 27600 SH DEFINED 1 27600 0 0 INTEL CORP COM 458140100 6563 341800 SH DEFINED 1 341800 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 4722 35200 SH DEFINED 1 35200 0 0 INTL PAPER CO COM 460146103 1841 84600 SH DEFINED 1 84600 0 0 ITT CORP NEW COM 450911102 1419 30300 SH DEFINED 1 30300 0 0 ITT EDUCATIONAL SERVICES INC COM 45068B109 710 10100 SH DEFINED 1 10100 0 0 JOHNSON & JOHNSON COM 478160104 1308 21100 SH DEFINED 1 21100 0 0 JPMORGAN CHASE & CO COM 46625H100 3620 95100 SH DEFINED 1 95100 0 0 L-3 COMMUNICATIONS HLDGS INC COM 502424104 1258 17400 SH DEFINED 1 17400 0 0 LILLY ELI & CO COM 532457108 2645 72400 SH DEFINED 1 72400 0 0 LIMITED BRANDS INC COM 532716107 1816 67800 SH DEFINED 1 67800 0 0 LOCKHEED MARTIN CORP COM 539830109 1925 27000 SH DEFINED 1 27000 0 0 LORILLARD INC COM 544147101 3269 40700 SH DEFINED 1 40700 0 0 LUBRIZOL CORP COM 549271104 2046 19300 SH DEFINED 1 19300 0 0 MACERICH CO COM 554382101 1723 40114 SH DEFINED 1 40114 0 0 MACYS INC COM 55616P104 1180 51100 SH DEFINED 1 51100 0 0 MARATHON OIL CORP COM 565849106 2231 67400 SH DEFINED 1 67400 0 0 MCDERMOTT INTL INC COM 580037109 1575 106500 SH DEFINED 1 106500 0 0 MEDCO HEALTH SOLUTIONS INC COM 58405U102 3754 72100 SH DEFINED 1 72100 0 0 MEDTRONIC INC COM 585055106 1891 56300 SH DEFINED 1 56300 0 0 MERCK & CO INC NEW COM 58933Y105 2540 69000 SH DEFINED 1 69000 0 0 METROPCS COMMUNICATIONS INC COM 591708102 1891 180700 SH DEFINED 1 180700 0 0 MICRON TECHNOLOGY INC COM 595112103 1344 186300 SH DEFINED 1 186300 0 0 MICROSOFT CORP COM 594918104 9358 382100 SH DEFINED 1 382100 0 0 MURPHY OIL CORP COM 626717102 2137 34500 SH DEFINED 1 34500 0 0 NEWMONT MINING CORP COM 651639106 1477 23500 SH DEFINED 1 23500 0 0 NEXEN INC COM 65334H102 1735 86300 SH DEFINED 1 86300 0 0 NISOURCE INC COM 65473P105 1647 94600 SH DEFINED 1 94600 0 0 NOBLE CORPORATION BAAR NAMEN -AKT H5833N103 2248 66500 SH DEFINED 1 66500 0 0 NORTHROP GRUMMAN CORP COM 666807102 2626 43300 SH DEFINED 1 43300 0 0 NV ENERGY INC COM 67073Y106 1472 111900 SH DEFINED 1 111900 0 0 OIL STS INTL INC COM 678026105 1890 40600 SH DEFINED 1 40600 0 0 ORACLE CORP COM 68389X105 6340 236100 SH DEFINED 1 236100 0 0 PEPSICO INC COM 713448108 1947 29300 SH DEFINED 1 29300 0 0 PETSMART INC COM 716768106 1904 54400 SH DEFINED 1 54400 0 0 PFIZER INC COM 717081103 5186 302000 SH DEFINED 1 302000 0 0 PHILIP MORRIS INTL INC COM 718172109 4163 74300 SH DEFINED 1 74300 0 0 PINNACLE WEST CAP CORP COM 723484101 2192 53100 SH DEFINED 1 53100 0 0 PNC FINL SVCS GROUP INC COM 693475105 3157 60800 SH DEFINED 1 60800 0 0 PROCTER & GAMBLE CO COM 742718109 6309 105200 SH DEFINED 1 105200 0 0 PROGRESSIVE CORP OHIO COM 743315103 2499 119700 SH DEFINED 1 119700 0 0 PRUDENTIAL FINL INC COM 744320102 3138 57900 SH DEFINED 1 57900 0 0 RAYONIER INC COM 754907103 2622 52300 SH DEFINED 1 52300 0 0 RESEARCH IN MOTION LTD COM 760975102 2635 54100 SH DEFINED 1 54100 0 0 REYNOLDS AMERICAN INC COM 761713106 1408 23700 SH DEFINED 1 23700 0 0 ROCK-TENN CO CL A 772739207 1584 31800 SH DEFINED 1 31800 0 0 ROGERS COMMUNICATIONS INC CL B 775109200 1438 38400 SH DEFINED 1 38400 0 0 ROSS STORES INC COM 778296103 1520 27800 SH DEFINED 1 27800 0 0 SERVICE CORP INTL COM 817565104 1198 138900 SH DEFINED 1 138900 0 0 ST JUDE MED INC COM 790849103 1177 29900 SH DEFINED 1 29900 0 0 SUNOCO INC COM 86764P109 1625 44500 SH DEFINED 1 44500 0 0 SYNOPSYS INC COM 871607107 2148 86700 SH DEFINED 1 86700 0 0 TARGET CORP COM 87612E106 2934 54900 SH DEFINED 1 54900 0 0 TCF FINL CORP COM 872275102 1349 83300 SH DEFINED 1 83300 0 0 TECK RESOURCES LTD CL B 878742204 3721 90400 SH DEFINED 1 90400 0 0 TECO ENERGY INC COM 872375100 1701 98200 SH DEFINED 1 98200 0 0 TEXAS INSTRS INC COM 882508104 2313 85200 SH DEFINED 1 85200 0 0 TJX COS INC NEW COM 872540109 2294 51400 SH DEFINED 1 51400 0 0 TORONTO DOMINION BK ONT COM NEW 891160509 4408 61000 SH DEFINED 1 61000 0 0 TRAVELERS COMPANIES INC COM 89417E109 3205 61500 SH DEFINED 1 61500 0 0 TYSON FOODS INC CL A 902494103 2541 158600 SH DEFINED 1 158600 0 0 UNITED PARCEL SERVICE INC CL B 911312106 1854 27800 SH DEFINED 1 27800 0 0 UNITEDHEALTH GROUP INC COM 91324P102 4066 115800 SH DEFINED 1 115800 0 0 VALE S A ADR REPSTG PFD 91912E204 1607 57900 SH DEFINED 1 57900 0 0 VALERO ENERGY CORP NEW COM 91913Y100 1090 62200 SH DEFINED 1 62200 0 0 VIACOM INC NEW CL B 92553P201 3048 84200 SH DEFINED 1 84200 0 0 WAL MART STORES INC COM 931142103 1686 31500 SH DEFINED 1 31500 0 0 WELLPOINT INC COM 94973V107 1501 26500 SH DEFINED 1 26500 0 0 WELLS FARGO & CO NEW COM 949746101 3097 123300 SH DEFINED 1 123300 0 0 WESTAR ENERGY INC COM 95709T100 2654 109500 SH DEFINED 1 109500 0 0 YAMANA GOLD INC COM 98462Y100 2270 199100 SH DEFINED 1 199100 0 0
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