-----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, G1huAscAvQRrXG4MWgF3+fJM2lOzasZuFH6rSX55HXLz0LbNEiw0SKGCIxPIK9c6 O4JJ0AUnQlI+VkNnxkdhuw== 0000357235-11-000102.txt : 20110211 0000357235-11-000102.hdr.sgml : 20110211 20110211153437 ACCESSION NUMBER: 0000357235-11-000102 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110211 FILED AS OF DATE: 20110211 DATE AS OF CHANGE: 20110211 EFFECTIVENESS DATE: 20110211 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: 11598712 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 jap4q10.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: December 31, 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 February 11, 2011 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: 130 Form13F Information Table Value Total: $333,726 (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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ADVANCE AUTO PARTS INC COM 00751Y106 1562 23600 SH DEFINED 1 23600 0 0 AETNA INC NEW COM 00817Y108 1377 45100 SH DEFINED 1 45100 0 0 AFLAC INC COM 001055102 1355 24000 SH DEFINED 1 24000 0 0 ALLSTATE CORP COM 020002101 1292 40500 SH DEFINED 1 40500 0 0 AMERICAN EXPRESS CO COM 025816109 992 23100 SH DEFINED 1 23100 0 0 AMERICAN FINL GROUP INC OHIO COM 025932104 2543 78750 SH DEFINED 1 78750 0 0 AMERIPRISE FINL INC COM 03076C106 1566 27200 SH DEFINED 1 27200 0 0 AMERISOURCEBERGEN CORP COM 03073E105 1471 43100 SH DEFINED 1 43100 0 0 AMGEN INC COM 031162100 2004 36500 SH DEFINED 1 36500 0 0 APPLE INC COM 037833100 8097 25100 SH DEFINED 1 25100 0 0 ARCH COAL INC COM 039380100 1697 48400 SH DEFINED 1 48400 0 0 ARCHER DANIELS MIDLAND CO COM 039483102 2753 91500 SH DEFINED 1 91500 0 0 ARROW ELECTRS INC COM 042735100 1566 45700 SH DEFINED 1 45700 0 0 ASSURANT INC COM 04621X108 1457 37800 SH DEFINED 1 37800 0 0 AT&T INC COM 00206R102 6567 223500 SH DEFINED 1 223500 0 0 AVERY DENNISON CORP COM 053611109 1779 42000 SH DEFINED 1 42000 0 0 BANK HAWAII CORP COM 062540109 2210 46800 SH DEFINED 1 46800 0 0 BANK NOVA SCOTIA HALIFAX COM 064149107 3301 57700 SH DEFINED 1 57700 0 0 BARRICK GOLD CORP COM 067901108 2803 52700 SH DEFINED 1 52700 0 0 BIG LOTS INC COM 089302103 2264 74300 SH DEFINED 1 74300 0 0 BLACKROCK INC COM 09247X101 1620 8500 SH DEFINED 1 8500 0 0 CADENCE DESIGN SYSTEM INC COM 127387108 1326 160500 SH DEFINED 1 160500 0 0 CAPITAL ONE FINL CORP COM 14040H105 1997 46900 SH DEFINED 1 46900 0 0 CATERPILLAR INC DEL COM 149123101 1527 16300 SH DEFINED 1 16300 0 0 CDN IMPERIAL BK OF COMMERCE COM 136069101 1906 24300 SH DEFINED 1 24300 0 0 CEPHALON INC COM 156708109 2772 44900 SH DEFINED 1 44900 0 0 CHEVRON CORP NEW COM 166764100 7182 78700 SH DEFINED 1 78700 0 0 CHUBB CORP COM 171232101 2088 35000 SH DEFINED 1 35000 0 0 CIGNA CORP COM 125509109 1295 35300 SH DEFINED 1 35300 0 0 CISCO SYS INC COM 17275R102 6960 344000 SH DEFINED 1 344000 0 0 CIT GROUP INC COM NEW 125581801 1597 33900 SH DEFINED 1 33900 0 0 COCA COLA ENTERPRISES INC NE COM 19122T109 1345 53700 SH DEFINED 1 53700 0 0 COMPUTER SCIENCES CORP COM 205363104 2208 44500 SH DEFINED 1 44500 0 0 CONOCOPHILLIPS COM 20825C104 4972 73000 SH DEFINED 1 73000 0 0 CORN PRODS INTL INC COM 219023108 1537 33400 SH DEFINED 1 33400 0 0 CSX CORP COM 126408103 2921 45200 SH DEFINED 1 45200 0 0 DELL INC COM 24702R101 2160 159400 SH DEFINED 1 159400 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 1226 97300 SH DEFINED 1 97300 0 0 DEVRY INC DEL COM 251893103 1118 23300 SH DEFINED 1 23300 0 0 DOMTAR CORP COM NEW 257559203 1466 19300 SH DEFINED 1 19300 0 0 DONNELLEY R R & SONS CO COM 257867101 1257 71900 SH DEFINED 1 71900 0 0 DOUGLAS EMMETT INC COM 25960P109 2373 142900 SH DEFINED 1 142900 0 0 DPL INC COM 233293109 1499 58300 SH DEFINED 1 58300 0 0 DTE ENERGY CO COM 233331107 1759 38800 SH DEFINED 1 38800 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 2794 56000 SH DEFINED 1 56000 0 0 EAST WEST BANCORP INC COM 27579R104 1449 74100 SH DEFINED 1 74100 0 0 EASTMAN CHEM CO COM 277432100 2094 24900 SH DEFINED 1 24900 0 0 EL PASO CORP COM 28336L109 1912 138900 SH DEFINED 1 138900 0 0 ENDO PHARMACEUTICALS HLDGS I COM 29264F205 2697 75500 SH DEFINED 1 75500 0 0 EVEREST RE GROUP LTD COM G3223R108 1833 21600 SH DEFINED 1 21600 0 0 EXXON MOBIL CORP COM 30231G102 10968 150000 SH DEFINED 1 150000 0 0 FAMILY DLR STORES INC COM 307000109 1437 28900 SH DEFINED 1 28900 0 0 GANNETT INC COM 364730101 1709 113200 SH DEFINED 1 113200 0 0 GAP INC DEL COM 364760108 1676 75700 SH DEFINED 1 75700 0 0 GENERAL ELECTRIC CO COM 369604103 6927 378700 SH DEFINED 1 378700 0 0 GILEAD SCIENCES INC COM 375558103 2479 68400 SH DEFINED 1 68400 0 0 GOOGLE INC CL A 38259P508 6237 10500 SH DEFINED 1 10500 0 0 HCP INC COM 40414L109 1796 48800 SH DEFINED 1 48800 0 0 HERBALIFE LTD COM USD SHS G4412G101 1402 20500 SH DEFINED 1 20500 0 0 HERSHEY CO COM 427866108 1335 28300 SH DEFINED 1 28300 0 0 HEWLETT PACKARD CO COM 428236103 6244 148300 SH DEFINED 1 148300 0 0 HUMANA INC COM 444859102 1314 24000 SH DEFINED 1 24000 0 0 INTEL CORP COM 458140100 6227 296100 SH DEFINED 1 296100 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 6810 46400 SH DEFINED 1 46400 0 0 INTL PAPER CO COM 460146103 2000 73400 SH DEFINED 1 73400 0 0 ITT CORP NEW COM 450911102 1366 26200 SH DEFINED 1 26200 0 0 ITT EDUCATIONAL SERVICES INC COM 45068B109 548 8600 SH DEFINED 1 8600 0 0 JOHNSON & JOHNSON COM 478160104 1139 18400 SH DEFINED 1 18400 0 0 JPMORGAN CHASE & CO COM 46625H100 7004 165100 SH DEFINED 1 165100 0 0 KINETIC CONCEPTS INC COM NEW 49460W208 1445 34500 SH DEFINED 1 34500 0 0 KROGER CO COM 501044101 1302 58200 SH DEFINED 1 58200 0 0 L-3 COMMUNICATIONS HLDGS INC COM 502424104 1058 15000 SH DEFINED 1 15000 0 0 LAS VEGAS SANDS CORP COM 517834107 1632 35500 SH DEFINED 1 35500 0 0 LIBERTY GLOBAL INC COM SER A 530555101 1154 32600 SH DEFINED 1 32600 0 0 LILLY ELI & CO COM 532457108 2201 62800 SH DEFINED 1 62800 0 0 LIMITED BRANDS INC COM 532716107 1801 58600 SH DEFINED 1 58600 0 0 LOCKHEED MARTIN CORP COM 539830109 1643 23500 SH DEFINED 1 23500 0 0 LORILLARD INC COM 544147101 3020 36800 SH DEFINED 1 36800 0 0 LUBRIZOL CORP COM 549271104 1796 16800 SH DEFINED 1 16800 0 0 M & T BK CORP COM 55261F104 2212 25400 SH DEFINED 1 25400 0 0 MACYS INC COM 55616P104 1126 44500 SH DEFINED 1 44500 0 0 MARATHON OIL CORP COM 565849106 2159 58300 SH DEFINED 1 58300 0 0 MCDERMOTT INTL INC COM 580037109 1910 92300 SH DEFINED 1 92300 0 0 MEDCO HEALTH SOLUTIONS INC COM 58405U102 3830 62500 SH DEFINED 1 62500 0 0 MEDTRONIC INC COM 585055106 1810 48800 SH DEFINED 1 48800 0 0 MERCK & CO INC NEW COM 58933Y105 3839 106500 SH DEFINED 1 106500 0 0 METROPCS COMMUNICATIONS INC COM 591708102 1980 156700 SH DEFINED 1 156700 0 0 MICRON TECHNOLOGY INC COM 595112103 1294 161300 SH DEFINED 1 161300 0 0 MICROSOFT CORP COM 594918104 9236 330900 SH DEFINED 1 330900 0 0 MOODYS CORP COM 615369105 1343 50600 SH DEFINED 1 50600 0 0 MURPHY OIL CORP COM 626717102 2230 29900 SH DEFINED 1 29900 0 0 NEWMONT MINING CORP COM 651639106 1248 20300 SH DEFINED 1 20300 0 0 NEXEN INC COM 65334H102 1713 74800 SH DEFINED 1 74800 0 0 NISOURCE INC COM 65473P105 1445 82000 SH DEFINED 1 82000 0 0 NORTHROP GRUMMAN CORP COM 666807102 2430 37500 SH DEFINED 1 37500 0 0 NV ENERGY INC COM 67073Y106 1363 97000 SH DEFINED 1 97000 0 0 OIL STS INTL INC COM 678026105 2263 35300 SH DEFINED 1 35300 0 0 PEPSICO INC COM 713448108 4528 69300 SH DEFINED 1 69300 0 0 PETSMART INC COM 716768106 1872 47000 SH DEFINED 1 47000 0 0 PFIZER INC COM 717081103 4583 261700 SH DEFINED 1 261700 0 0 PHILIP MORRIS INTL INC COM 718172109 6737 115100 SH DEFINED 1 115100 0 0 PNC FINL SVCS GROUP INC COM 693475105 3194 52600 SH DEFINED 1 52600 0 0 PROCTER & GAMBLE CO COM 742718109 4825 75000 SH DEFINED 1 75000 0 0 PROTECTIVE LIFE CORP COM 743674103 1575 59100 SH DEFINED 1 59100 0 0 PRUDENTIAL FINL INC COM 744320102 2948 50200 SH DEFINED 1 50200 0 0 RAYMOND JAMES FINANCIAL INC COM 754730109 1799 55000 SH DEFINED 1 55000 0 0 REINSURANCE GROUP AMER INC COM NEW 759351604 1596 29700 SH DEFINED 1 29700 0 0 RESEARCH IN MOTION LTD COM 760975102 2721 46800 SH DEFINED 1 46800 0 0 ROSS STORES INC COM 778296103 1531 24200 SH DEFINED 1 24200 0 0 SAFEWAY INC COM NEW 786514208 1296 57600 SH DEFINED 1 57600 0 0 ST JUDE MED INC COM 790849103 1108 25900 SH DEFINED 1 25900 0 0 SUNOCO INC COM 86764P109 1556 38600 SH DEFINED 1 38600 0 0 TARGET CORP COM 87612E106 2851 47400 SH DEFINED 1 47400 0 0 TECK RESOURCES LTD CL B 878742204 4842 78300 SH DEFINED 1 78300 0 0 TECO ENERGY INC COM 872375100 1515 85100 SH DEFINED 1 85100 0 0 TJX COS INC NEW COM 872540109 1980 44600 SH DEFINED 1 44600 0 0 TRAVELERS COMPANIES INC COM 89417E109 2964 53200 SH DEFINED 1 53200 0 0 UNITED PARCEL SERVICE INC CL B 911312106 1757 24200 SH DEFINED 1 24200 0 0 UNITEDHEALTH GROUP INC COM 91324P102 3622 100300 SH DEFINED 1 100300 0 0 US BANCORP DEL COM NEW 902973304 1578 58500 SH DEFINED 1 58500 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 2805 99133 SH DEFINED 1 99133 0 0 VALERO ENERGY CORP NEW COM 91913Y100 1244 53800 SH DEFINED 1 53800 0 0 VIACOM INC NEW CL B 92553P201 2896 73100 SH DEFINED 1 73100 0 0 WAL MART STORES INC COM 931142103 3932 72900 SH DEFINED 1 72900 0 0 WALGREEN CO COM 931422109 1508 38700 SH DEFINED 1 38700 0 0 WEATHERFORD INTERNATIONAL LT REG H27013103 1679 73600 SH DEFINED 1 73600 0 0 WELLPOINT INC COM 94973V107 1308 23000 SH DEFINED 1 23000 0 0 WELLS FARGO & CO NEW COM 949746101 4135 133400 SH DEFINED 1 133400 0 0 WESTAR ENERGY INC COM 95709T100 2386 94800 SH DEFINED 1 94800 0 0 YAMANA GOLD INC COM 98462Y100 2208 172500 SH DEFINED 1 172500 0 0
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