-----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, WFtAp0OHjUYuActgQw3zbomV9JwdlQLu21m37VqmGcUkQNSzGNPtxJiN9ccJMiXW cvK3guCVaI+9Pc1ouJ34WA== 0001193805-10-002794.txt : 20101112 0001193805-10-002794.hdr.sgml : 20101111 20101112152755 ACCESSION NUMBER: 0001193805-10-002794 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101112 DATE AS OF CHANGE: 20101112 EFFECTIVENESS DATE: 20101112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Nomura Asset Management U.K. Ltd CENTRAL INDEX KEY: 0001332826 IRS NUMBER: 000000000 STATE OF INCORPORATION: X0 FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11455 FILM NUMBER: 101186087 BUSINESS ADDRESS: STREET 1: 1 ST MARTIN'S-LE-GRAND CITY: LONDON STATE: X0 ZIP: EC1A 4NT BUSINESS PHONE: 44 0207 521 1350 MAIL ADDRESS: STREET 1: 1 ST MARTIN'S-LE-GRAND CITY: LONDON STATE: X0 ZIP: EC1A 4NT 13F-HR 1 e607717_13f-nomurauk.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: Nomura Asset Management U.K. Limited Address: 1 Saint Martin's-Le-Grand Nomura House 6th Floor London, England EC1A 4NT 13F File Number: 028-11455 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: Nigel Biggs Title: Executive Officer Phone: 44 0207 521 1350 Signature, Place, and Date of Signing: /s/ Nigel Biggs Nigel Biggs, London, November 12, 2010 Nomura Asset Management Co., Ltd. ("NAM Tokyo") is the parent holding company of certain operating subsidiaries, some of which are or may be institutional investment managers for purposes of the reporting requirements under Section 13(f) of the Securities Exchange Act of 1934, as amended (the "Exchange Act") and the rules promulgated thereunder. NAM Tokyo itself does not exercise investment discretion with respect to any Section 13(f) Securities positions held by its operating subsidiaries, which subsidiaries in fact exercise investment discretion. However, based upon its parent relationship, NAM Tokyo may be deemed to have investment discretion with respect to such positions in Section 13(f) securities held by its operating subsidiaries. In that regard, the Section 13(f) Securities positions of Nomura Asset Management U.S.A. Inc.("NAM USA"), which is an operating subsidiary of NAM Tokyo that hold Section 13(f) securities positions but that does not meet the $100 million threshold for filing the Form 13F, are reflected on the Form 13F filed by NAM Tokyo. The Section 13(f) securities positions of the following operating subsidiaries of NAM Tokyo, which each exceed the $100 million filing threshold, are not included in the Form 13F filed by NAM Tokyo, but are instead reported on separate Forms 13F filed by each of these entities: (i) Nomura Asset Management Singapore Limited ("NAM Singapore"); and (ii) Nomura Asset Management U.K. Limited ("NAM UK"). - -------------------------------------------------------------------------------- Report Type (Check only one.): |X| 13F HOLDINGS REPORT. |_| 13F NOTICE. |_| 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 51 Form 13F Information Table Value Total: 177,628 (thousands) List of Other Included Managers: None
TITLE OF VALUE SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (X1000) SH/PRN AMT PRN CALL DISCRETION MANAGER SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------------ AES CORP COM 00130H105 2,996 264,000 SH Sole 264,000 AMERICAN EXPRESS CO COM 025816109 2,808 66,804 SH Sole 66,804 AMGEN INC COM 031162100 1,185 21,500 SH Sole 21,500 APACHE CORP COM 037411105 5,665 57,950 SH Sole 57,950 BANK OF AMERICA CORPORATION COM 060505104 4,155 316,900 SH Sole 316,900 BARRICK GOLD CORP COM 067901108 2,034 43,942 SH Sole 43,942 CA INC COM 12673P105 1,740 82,400 SH Sole 82,400 CANADIAN NAT RES LTD COM 136385101 3,011 86,800 SH Sole 86,800 CHEVRON CORP NEW COM 166764100 4,807 59,311 SH Sole 59,311 CITIGROUP INC COM 172967101 4,877 1,250,530 SH Sole 1,250,530 COCA COLA CO COM 191216100 3,292 56,261 SH Sole 56,261 CONOCOPHILLIPS COM 20825C104 4,416 76,896 SH Sole 76,896 DISNEY WALT CO COM DISNEY 254687106 2,634 79,566 SH Sole 79,566 DUN & BRADSTREET CORP DEL NE COM 26483E100 2,454 33,100 SH Sole 33,100 EXPRESS SCRIPTS INC COM 302182100 4,315 88,600 SH Sole 88,600 EXXON MOBIL CORP COM 30231G102 2,910 47,100 SH Sole 47,100 FIFTH THIRD BANCORP COM 316773100 1,552 129,000 SH Sole 129,000 FREEPORT-MCMORAN COPPER & GO COM 35671D857 6,375 74,662 SH Sole 74,662 GENERAL ELECTRIC CO COM 369604103 3,598 221,413 SH Sole 221,413 GOLDMAN SACHS GROUP INC COM 38141G104 2,319 16,039 SH Sole 16,039 GOOGLE INC CL A 38259P508 4,101 7,800 SH Sole 7,800 HEWLETT PACKARD CO COM 428236103 5,869 139,500 SH Sole 139,500 HOME DEPOT INC COM 437076102 2,955 93,285 SH Sole 93,285 INGERSOLL-RAND PLC SHS G47791101 2,321 65,000 SH Sole 65,000 JACOBS ENGR GROUP INC DEL COM 469814107 3,328 86,000 SH Sole 86,000 JOHNSON & JOHNSON COM 478160104 2,707 43,695 SH Sole 43,695 JPMORGAN CHASE & CO COM 46625H100 3,872 101,700 SH Sole 101,700 LOCKHEED MARTIN CORP COM 539830109 3,026 42,459 SH Sole 42,459 MEDCO HEALTH SOLUTIONS INC COM 58405U102 6,229 119,643 SH Sole 119,643 MERCK & CO INC NEW COM 58933Y105 4,166 113,169 SH Sole 113,169 METLIFE INC COM 59156R108 2,187 56,889 SH Sole 56,889 MICROSOFT CORP COM 594918104 5,285 215,818 SH Sole 215,818 PEABODY ENERGY CORP COM 704549104 3,057 62,377 SH Sole 62,377 PEPSICO INC COM 713448108 3,844 57,853 SH Sole 57,853 PHILIP MORRIS INTL INC COM 718172109 4,387 78,308 SH Sole 78,308 PNC FINL SVCS GROUP INC COM 693475105 2,938 56,600 SH Sole 56,600 RESEARCH IN MOTION LTD COM 760975102 2,708 55,452 SH Sole 55,452 SIGMA ALDRICH CORP COM 826552101 1,572 26,036 SH Sole 26,036 SUNCOR ENERGY INC NEW COM 867224107 3,894 119,239 SH Sole 119,239 TARGET CORP COM 87612E106 3,262 61,036 SH Sole 61,036 TEXAS INSTRS INC COM 882508104 3,532 130,156 SH Sole 130,156 TEXTRON INC COM 883203101 4,036 196,300 SH Sole 196,300 TIME WARNER INC COM NEW 887317303 2,259 73,692 SH Sole 73,692 TOLL BROTHERS INC COM 889478103 2,317 121,800 SH Sole 121,800 TORONTO DOMINION BK ONT COM NEW 891160509 4,427 61,000 SH Sole 61,000 UNITEDHEALTH GROUP INC COM 91324P102 6,011 171,200 SH Sole 171,200 WEATHERFORD INTERNATIONAL LT REG H27013103 2,459 143,800 SH Sole 143,800 WELLPOINT INC COM 94973V107 3,738 66,000 SH Sole 66,000 XEROX CORP COM 984121103 3,246 313,621 SH Sole 313,621 XILINX INC COM 983919101 3,465 130,058 SH Sole 130,058 YUM BRANDS INC COM 988498101 3,284 71,300 SH Sole 71,300 TOTAL 177,628
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