0001193805-11-000909.txt : 20110513 0001193805-11-000909.hdr.sgml : 20110513 20110513160233 ACCESSION NUMBER: 0001193805-11-000909 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110513 DATE AS OF CHANGE: 20110513 EFFECTIVENESS DATE: 20110513 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: 11841011 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 e608452_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: 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: 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, May 13, 2011 "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. Based upon its parent relationship, NAM Tokyo may be deemed to have investment discretion with respect to positions in Section 13(f) securities held by its operating subsidiaries, including, among others, Nomura Asset Management U.K. Limited ("NAM UK"). 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: 118 Form 13F Information Table Value Total: 242,706 (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 ------------------------------------------------------------------------------------------------------------------------------------ 3M CO COM 88579Y101 271 2,900 SH Sole 2,900 ABBOTT LABS COM 002824100 368 7,500 SH Sole 7,500 AES CORP COM 00130H105 3,540 272,300 SH Sole 272,300 ALLSTATE CORP COM 020002101 213 6,700 SH Sole 6,700 ALTRIA GROUP INC COM 02209S103 5,781 222,100 SH Sole 222,100 AMERICAN EXPRESS CO COM 025816109 3,991 88,307 SH Sole 88,307 AMERICAN INTL GROUP INC COM NEW 026874784 253 7,200 SH Sole 7,200 AMGEN INC COM 031162100 246 4,600 SH Sole 4,600 APACHE CORP COM 037411105 6,029 46,050 SH Sole 46,050 APPLE INC COM 037833100 3,903 11,200 SH Sole 11,200 AT & T INC COM 00206R102 7,529 246,050 SH Sole 246,050 BANK NOVA SCOTIA HALIFAX COM 064149107 281 4,600 SH Sole 4,600 BANK OF AMERICA CORPORATION COM 060505104 1,603 120,245 SH Sole 120,245 BANK OF MONTREAL QUE COM 063671101 214 3,300 SH Sole 3,300 BCE INC COM NEW 05534B760 228 6,300 SH Sole 6,300 BERKSHIRE HATHAWAY INC DEL CL A 084670108 1,002 8 SH Sole 8 BOEING CO COM 097023105 325 4,400 SH Sole 4,400 BOSTON SCIENTIFIC CORP COM 101137107 93 13,000 SH Sole 13,000 BRISTOL MYERS SQUIBB CO COM 110122108 299 11,300 SH Sole 11,300 CA INC COM 12673P105 3,332 137,800 SH Sole 137,800 CANADIAN NATURAL RES LTD COM 136385101 3,519 71,400 SH Sole 71,400 CARDINAL HEALTH INC COM 14149Y108 243 5,900 SH Sole 5,900 CATERPILLAR INC DEL COM 149123101 290 2,600 SH Sole 2,600 CHEVRON CORP NEW COM 166764100 5,255 48,911 SH Sole 48,911 CISCO SYSTEMS INC COM 17275R102 422 24,600 SH Sole 24,600 CITIGROUP INC COM 172967424 4,880 1,104,184 SH Sole 1,104,184 COCA COLA CO COM 191216100 4,217 63,561 SH Sole 63,561 COMCAST CORP NEW CL A 20030N101 358 14,500 SH Sole 14,500 CONOCOPHILLIPS COM 20825C104 4,093 51,246 SH Sole 51,246 COSTCO WHOLESALE CORP NEW COM 22160K105 213 2,900 SH Sole 2,900 CROWN HOLDINGS INC COM 228368106 3,360 87,100 SH Sole 87,100 CVS CAREMARK CORPORATION COM 126650100 312 9,100 SH Sole 9,100 DELL INC COM 24702R101 258 17,800 SH Sole 17,800 DEVON ENERGY CORP NEW COM 25179M103 202 2,200 SH Sole 2,200 DISNEY WALT CO COM DISNEY 254687106 4,751 110,266 SH Sole 110,266 DOLBY LABORATORIES INC COM 25659T107 2,707 55,000 SH Sole 55,000 DOW CHEMICAL CO COM 260543103 328 8,700 SH Sole 8,700 DU PONT E I DE NEMOURS & CO COM 263534109 253 4,600 SH Sole 4,600 DUKE ENERGY CORP NEW COM 26441C105 232 12,800 SH Sole 12,800 DUN & BRADSTREET CORP DEL NE COM 26483E100 3,637 45,324 SH Sole 45,324 ECOPETROL S A SPONSORED ADS 279158109 383 9,200 SH Sole 9,200 EDWARDS LIFESCIENCES CORP COM 28176E108 3,811 43,800 SH Sole 43,800 ENCANA CORP COM 292505104 290 8,400 SH Sole 8,400 EOG RES INC COM 26875P101 6,720 56,700 SH Sole 56,700 EXELON CORP COM 30161N101 235 5,700 SH Sole 5,700 EXPRESS SCRIPTS INC COM 302182100 5,111 91,900 SH Sole 91,900 EXXON MOBIL CORP COM 30231G102 2,492 29,625 SH Sole 29,625 FLEXTRONICS INTL LTD ORD Y2573F102 84 11,200 SH Sole 11,200 FORD MOTOR CO DEL COM PAR $0.01 345370860 519 34,800 SH Sole 34,800 FREEPORT-MCMORAN COPPER & GO COM 35671D857 5,027 90,496 SH Sole 90,496 GAP INC DEL COM 364760108 4,477 197,584 SH Sole 197,584 GENERAL DYNAMICS CORP COM 369550108 4,162 54,368 SH Sole 54,368 GENERAL ELECTRIC CO COM 369604103 2,125 106,000 SH Sole 106,000 GENON ENERGY INC COM 37244E107 66 17,450 SH Sole 17,450 GILEAD SCIENCES INC COM 375558103 5,135 120,913 SH Sole 120,913 GOLDMAN SACHS GROUP INC COM 38141G104 555 3,500 SH Sole 3,500 GOOGLE INC CL A 38259P508 5,070 8,640 SH Sole 8,640 HEWLETT PACKARD CO COM 428236103 5,357 130,750 SH Sole 130,750 HOME DEPOT INC COM 437076102 5,104 137,735 SH Sole 137,735 HONEYWELL INTL INC COM 438516106 221 3,700 SH Sole 3,700 INGERSOLL RAND PLC SHS G47791101 2,527 52,300 SH Sole 52,300 INTEL CORP COM 458140100 569 28,200 SH Sole 28,200 INTERNATIONAL BUSINESS MACHS COM 459200101 734 4,500 SH Sole 4,500 JACOBS ENGR GROUP INC DEL COM 469814107 4,731 91,991 SH Sole 91,991 JOHNSON & JOHNSON COM 478160104 812 13,700 SH Sole 13,700 JPMORGAN CHASE & CO COM 46625H100 8,027 174,121 SH Sole 174,121 KRAFT FOODS INC CL A 50075N104 326 10,389 SH Sole 10,389 KROGER CO COM 501044101 211 8,800 SH Sole 8,800 LILLY ELI & CO COM 532457108 274 7,800 SH Sole 7,800 LOCKHEED MARTIN CORP COM 539830109 217 2,700 SH Sole 2,700 LOWES COMPANIES INC COM 548661107 246 9,300 SH Sole 9,300 MANULIFE FINANCIAL CORP COM 56501R106 268 15,200 SH Sole 15,200 MARATHON OIL CORP COM 565849106 384 7,200 SH Sole 7,200 MCDONALDS CORP COM 580135101 282 3,700 SH Sole 3,700 MCKESSON CORP COM 58155Q103 269 3,400 SH Sole 3,400 MEDCO HEALTH SOLUTIONS INC COM 58405U102 6,907 122,992 SH Sole 122,992 MERCK & CO INC NEW COM 58933Y105 4,307 130,488 SH Sole 130,488 METLIFE INC COM 59156R108 2,817 62,989 SH Sole 62,989 MICROSOFT CORP COM 594918104 6,239 245,718 SH Sole 245,718 MORGAN STANLEY COM NEW 617446448 399 14,600 SH Sole 14,600 NEWS CORP CL A 65248E104 229 13,000 SH Sole 13,000 OCCIDENTAL PETE CORP DEL COM 674599105 313 3,000 SH Sole 3,000 ORACLE CORP COM 68389X105 284 8,500 SH Sole 8,500 PEABODY ENERGY CORP COM 704549104 2,920 40,572 SH Sole 40,572 PEPSICO INC COM 713448108 4,729 73,416 SH Sole 73,416 PFIZER INC COM 717081103 1,188 58,485 SH Sole 58,485 PHILIP MORRIS INTL INC COM 718172109 6,084 92,708 SH Sole 92,708 PNC FINL SVCS GROUP INC COM 693475105 5,488 87,128 SH Sole 87,128 PROCTER & GAMBLE CO COM 742718109 801 13,000 SH Sole 13,000 PRUDENTIAL FINL INC COM 744320102 222 3,600 SH Sole 3,600 QUALCOMM INC COM 747525103 219 4,000 SH Sole 4,000 QWEST COMMUNICATIONS INTL IN COM 749121109 86 12,600 SH Sole 12,600 REGIONS FINANCIAL CORP NEW COM 7591EP100 107 14,800 SH Sole 14,800 ROYAL BK CDA MONTREAL QUE COM 780087102 395 6,400 SH Sole 6,400 SEARS HOLDINGS CORP COM 812350106 215 2,600 SH Sole 2,600 SOUTHERN CO COM 842587107 210 5,500 SH Sole 5,500 SPRINT NEXTEL CORP COM SER 1 852061100 275 59,200 SH Sole 59,200 SUNCOR ENERGY INC NEW COM 867224107 5,657 126,563 SH Sole 126,563 SUPERVALU INC COM 868536103 121 13,500 SH Sole 13,500 TARGET CORP COM 87612E106 3,903 78,036 SH Sole 78,036 TEXTRON INC COM 883203101 4,709 171,907 SH Sole 171,907 TIME WARNER CABLE INC COM 88732J207 288 4,035 SH Sole 4,035 TIME WARNER INC COM NEW 887317303 369 10,333 SH Sole 10,333 TORONTO DOMINION BANK ONT COM NEW 891160509 5,884 66,712 SH Sole 66,712 TRAVELERS COMPANIES INC COM 89417E109 238 4,000 SH Sole 4,000 UNITED PARCEL SERVICE INC CL B 911312106 334 4,500 SH Sole 4,500 UNITED TECHNOLOGIES CORP COM 913017109 347 4,100 SH Sole 4,100 UNITEDHEALTH GROUP INC COM 91324P102 339 7,500 SH Sole 7,500 US BANCORP DEL COM NEW 902973304 328 12,400 SH Sole 12,400 VALERO ENERGY CORP NEW COM 91913Y100 358 12,000 SH Sole 12,000 VERIZON COMMUNICATIONS INC COM 92343V104 1,164 30,200 SH Sole 30,200 VISA INC COM CL A 92826C839 3,437 46,685 SH Sole 46,685 WAL MART STORES INC COM 931142103 1,494 28,700 SH Sole 28,700 WALGREEN CO COM 931422109 209 5,200 SH Sole 5,200 WELLPOINT INC COM 94973V107 5,618 80,500 SH Sole 80,500 WELLS FARGO & CO NEW COM 949746101 842 26,556 SH Sole 26,556 XEROX CORP COM 984121103 3,121 293,017 SH Sole 293,017 XILINX INC COM 983919101 3,662 111,658 SH Sole 111,658 TOTAL 242,706