0001193805-11-001521.txt : 20110811 0001193805-11-001521.hdr.sgml : 20110811 20110811171723 ACCESSION NUMBER: 0001193805-11-001521 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 FILED AS OF DATE: 20110811 DATE AS OF CHANGE: 20110811 EFFECTIVENESS DATE: 20110811 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: 111028528 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 e608761_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: June 30, 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, August 11, 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: 142 Form 13F Information Table Value Total: 243,174 (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 332 3,500 SH Sole 3,500 ABBOTT LABS COM 002824100 474 9,000 SH Sole 9,000 AES CORP COM 00130H105 135 10,600 SH Sole 10,600 AFLAC INC COM 001055102 2,381 51,000 SH Sole 51,000 ALCOA INC COM 013817101 195 12,300 SH Sole 12,300 ALLSTATE CORP COM 020002101 272 8,900 SH Sole 8,900 ALTRIA GROUP INC COM 02209S103 5,048 191,150 SH Sole 191,150 AMERICAN EXPRESS CO COM 025816109 4,633 89,607 SH Sole 89,607 AMERICAN INTL GROUP INC COM NEW 026874784 384 13,100 SH Sole 13,100 AMERICAN INTL GROUP INC UNIT 99/99/9999 026874115 119 68,610 SH Sole 68,610 AMERISOURCEBERGEN CORP COM 03073E105 203 4,900 SH Sole 4,900 AMGEN INC COM 031162100 333 5,700 SH Sole 5,700 ANADARKO PETROLEUM CORP COM 032511107 215 2,800 SH Sole 2,800 APACHE CORP COM 037411105 4,201 34,050 SH Sole 34,050 APPLE INC COM 037833100 5,589 16,650 SH Sole 16,650 ARCHER DANIELS MIDLAND CO COM 039483102 208 6,900 SH Sole 6,900 AT & T INC COM 00206R102 8,052 256,350 SH Sole 256,350 BANK OF AMERICA CORPORATION COM 060505104 5,948 542,695 SH Sole 542,695 BANK OF MONTREAL QUE COM 063671101 248 3,900 SH Sole 3,900 BANK OF NEW YORK MELLON CO COM 064058100 228 8,900 SH Sole 8,900 BB&T CORP COM 054937107 209 7,800 SH Sole 7,800 BCE INC COM NEW 05534B760 302 7,700 SH Sole 7,700 BERKSHIRE HATHAWAY INC DEL CL A 084670108 1,393 12 SH Sole 12 BK.OF NOVA SCOTIA HALIFAX COM 064149107 349 5,800 SH Sole 5,800 BOEING CO COM 097023105 377 5,100 SH Sole 5,100 BOSTON SCIENTIFIC CORP COM 101137107 118 17,100 SH Sole 17,100 BRISTOL MYERS SQUIBB CO COM 110122108 391 13,500 SH Sole 13,500 CA INC COM 12673P105 2,681 117,400 SH Sole 117,400 CANADIAN NATURAL RES LTD COM 136385101 6,062 144,700 SH Sole 144,700 CARDINAL HEALTH INC COM 14149Y108 322 7,100 SH Sole 7,100 CARNIVAL CORP PAIRED CTF 143658300 3,646 96,900 SH Sole 96,900 CATERPILLAR INC DEL COM 149123101 330 3,100 SH Sole 3,100 CHEVRON CORP NEW COM 166764100 5,328 51,811 SH Sole 51,811 CISCO SYSTEMS INC COM 17275R102 545 34,900 SH Sole 34,900 CITIGROUP INC COM NEW 172967424 7,575 181,913 SH Sole 181,913 CITRIX SYSTEMS INC COM 177376100 1,580 19,750 SH Sole 19,750 COCA COLA CO COM 191216100 5,239 77,861 SH Sole 77,861
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 ------------------------------------------------------------------------------------------------------------------------------------ COMCAST CORP NEW CL A 20030N101 449 17,700 SH Sole 17,700 CONOCOPHILLIPS COM 20825C104 1,278 17,000 SH Sole 17,000 COSTCO WHOLESALE CORP NEW COM 22160K105 268 3,300 SH Sole 3,300 CROWN HOLDINGS INC COM 228368106 1,883 48,500 SH Sole 48,500 CVS CAREMARK CORPORATION COM 126650100 417 11,100 SH Sole 11,100 DELL INC COM 24702R101 347 20,800 SH Sole 20,800 DEVON ENERGY CORP NEW COM 25179M103 221 2,800 SH Sole 2,800 DISNEY WALT CO COM DISNEY 254687106 4,379 112,166 SH Sole 112,166 DOLBY LABORATORIES INC COM 25659T107 1,225 28,850 SH Sole 28,850 DOMINION RES INC VA NEW COM 25746U109 232 4,800 SH Sole 4,800 DOW CHEMICALS CO COM 260543103 374 10,400 SH Sole 10,400 DU PONT E I DE NEMOURS COM 263534109 308 5,700 SH Sole 5,700 DUKE ENERGY CORP NEW COM 26441C105 307 16,300 SH Sole 16,300 DUN & BRADSTREET CORP DEL COM 26483E100 2,427 32,124 SH Sole 32,124 E M C CORP MASS COM 268648102 201 7,300 SH Sole 7,300 ECOPETROL S A SPONSORED ADS 279158109 493 11,200 SH Sole 11,200 EDWARDS LIFESCIENCES CORP COM 28176E108 2,284 26,200 SH Sole 26,200 EMERSON ELECTRIC CO COM 291011104 219 3,900 SH Sole 3,900 ENCANA CORP COM 292505104 324 10,500 SH Sole 10,500 EOG RES INC COM 26875P101 2,943 28,150 SH Sole 28,150 EXELON CORP COM 30161N101 317 7,400 SH Sole 7,400 EXPRESS SCRIPTS INC COM 302182100 4,367 80,900 SH Sole 80,900 EXXON MOBIL CORP COM 30231G102 2,883 35,425 SH Sole 35,425 FEDEX CORP COM 31428X106 228 2,400 SH Sole 2,400 FIFTH THIRD BANCORP COM 316773100 131 10,300 SH Sole 10,300 FINISAR CORP COM 31787A507 2,283 126,600 SH Sole 126,600 FIRSTENERGY CORP COM 337932107 225 5,100 SH Sole 5,100 FLEXTRONICS INTL LTD ORD Y2573F102 100 15,600 SH Sole 15,600 FORD MOTOR CO DEL COM PAR $0.01 345370860 600 43,500 SH Sole 43,500 FREEPORT-MCMORAN COPPER & GOLD COM 35671D857 5,483 103,646 SH Sole 103,646 GENERAL DYNAMICS CORP COM 369550108 4,573 61,368 SH Sole 61,368 GENERAL ELECTRIC CO COM 369604103 2,435 129,100 SH Sole 129,100 GENERAL MOTORS CO COM 37045V100 601 19,800 SH Sole 19,800 GOLDMAN SACHS GROUP INC COM 38141G104 665 5,000 SH Sole 5,000 GOOGLE INC CL A 38259P508 4,426 8,740 SH Sole 8,740 HARLEY-DAVIDSON INC COM 412822108 3,470 84,700 SH Sole 84,700 HESS CORP COM 42809H107 202 2,700 SH Sole 2,700 HEWLETT PACKARD CO COM 428236103 695 19,100 SH Sole 19,100 HOME DEPOT INC COM 437076102 5,112 141,135 SH Sole 141,135
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 ------------------------------------------------------------------------------------------------------------------------------------ HONEYWELL INTL INC COM 438516106 256 4,300 SH Sole 4,300 INGERSOLL RAND PLC SHS G47791101 3,319 73,100 SH Sole 73,100 INTEL CORP COM 458140100 747 33,700 SH Sole 33,700 INTERNATIONAL BUSINESS MACHINES COM 459200101 909 5,300 SH Sole 5,300 JACOBS ENGR GROUP INC DEL COM 469814107 1,993 46,091 SH Sole 46,091 JOHNSON & JOHNSON COM 478160104 7,736 116,300 SH Sole 116,300 JPMORGAN CHASE & CO COM 46625H100 7,452 182,021 SH Sole 182,021 KEYCORP NEW COM 493267108 100 12,000 SH Sole 12,000 KIMBERLY CLARK CORP COM 494368103 206 3,100 SH Sole 3,100 KRAFT FOODS INC CL A 50075N104 451 12,789 SH Sole 12,789 KROGER CO COM 501044101 275 11,100 SH Sole 11,100 LILLY ELI & CO COM 532457108 357 9,500 SH Sole 9,500 LOCKHEED MARTIN CORP COM 539830109 267 3,300 SH Sole 3,300 LOWE'S COMPANIES INC COM 548661107 294 12,600 SH Sole 12,600 MANPOWER GROUP INC COM 56418H100 3,106 57,900 SH Sole 57,900 MANULIFE FINANCIAL CORP COM 56501R106 338 19,100 SH Sole 19,100 MARATHON OIL CORP COM 565849106 443 8,400 SH Sole 8,400 MCDONALDS CORP COM 580135101 379 4,500 SH Sole 4,500 MCKESSON CORP COM 58155Q103 326 3,900 SH Sole 3,900 MEDCO HEALTH SOLUTIONS INC COM 58405U102 4,055 71,742 SH Sole 71,742 MEDTRONIC INC COM 585055106 212 5,500 SH Sole 5,500 MERCK & CO INC NEW COM 58933Y105 6,048 171,388 SH Sole 171,388 METLIFE INC COM 59156R108 4,270 97,339 SH Sole 97,339 MICROSOFT CORP COM 594918104 3,586 137,918 SH Sole 137,918 MORGAN STANLEY COM NEW 617446448 492 21,400 SH Sole 21,400 NETAPP INC COM 64110D104 1,623 30,750 SH Sole 30,750 NEWS CORP CL A 65248E104 269 15,200 SH Sole 15,200 NEXTERA ENERGY INC COM 65339F101 213 3,700 SH Sole 3,700 NORTHROP GRUMMAN CORP COM 666807102 250 3,600 SH Sole 3,600 OCCIDENTAL PETROLEUM CORP DEL COM 674599105 385 3,700 SH Sole 3,700 ORACLE CORP COM 68389X105 336 10,200 SH Sole 10,200 PEABODY ENERGY CORP COM 704549104 3,374 57,272 SH Sole 57,272 PEPSICO INC COM 713448108 514 7,297 SH Sole 7,297 PFIZER INC COM 717081103 1,279 62,085 SH Sole 62,085 PHILIP MORRIS INTL INC COM 718172109 6,270 93,908 SH Sole 93,908 PNC FINL SVCS GROUP INC COM 693475105 2,732 45,828 SH Sole 45,828 PROCTER & GAMBLE CO COM 742718109 1,043 16,400 SH Sole 16,400 PRUDENTIAL FINL INC COM 744320102 286 4,500 SH Sole 4,500 QUALCOMM INC COM 747525103 261 4,600 SH Sole 4,600
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 ------------------------------------------------------------------------------------------------------------------------------------ REGIONS FINANCIAL CORP NEW COM 7591EP100 123 19,900 SH Sole 19,900 ROYAL BANK CANADA MONTREAL COM 780087102 451 7,900 SH Sole 7,900 SEARS HOLDINGS CORP COM 812350106 236 3,300 SH Sole 3,300 SOUTHERN CO COM 842587107 279 6,900 SH Sole 6,900 SPRINT NEXTEL CORP COM SER 1 852061100 372 69,000 SH Sole 69,000 SUNCOR ENERGY INC NEW COM 867224107 4,440 113,363 SH Sole 113,363 SUPERVALU INC COM 868536103 137 14,600 SH Sole 14,600 TARGET CORP COM 87612E106 3,764 80,236 SH Sole 80,236 TEXTRON INC COM 883203101 4,066 172,207 SH Sole 172,207 TIME WARNER CABLE INC COM 88732J207 370 4,735 SH Sole 4,735 TIME WARNER INC COM NEW 887317303 467 12,833 SH Sole 12,833 TORONTO-DOMINION BANK COM NEW 891160509 4,780 56,412 SH Sole 56,412 TRANSOCEAN LTD REG SHS H8817H100 207 3,200 SH Sole 3,200 TYCO INTERNATIONAL LTD SHS H89128104 247 5,000 SH Sole 5,000 UNION PACIFIC CORP COM 907818108 219 2,100 SH Sole 2,100 UNITED PARCEL SERVICE INC CL B 911312106 423 5,800 SH Sole 5,800 UNITED TECHNOLOGIES CORP COM 913017109 425 4,800 SH Sole 4,800 UNITEDHEALTH GROUP INC COM 91324P102 438 8,500 SH Sole 8,500 US BANCORP DEL COM NEW 902973304 449 17,600 SH Sole 17,600 VALERO ENERGY CORP NEW COM 91913Y100 386 15,100 SH Sole 15,100 VERIZON COMMUNICATIONS INC COM 92343V104 1,392 37,400 SH Sole 37,400 WAL MART STORES INC COM 931142103 1,956 36,800 SH Sole 36,800 WALGREEN CO COM 931422109 276 6,500 SH Sole 6,500 WELLPOINT INC COM 94973V107 5,593 71,000 SH Sole 71,000 WELLS FARGO & CO NEW COM 949746101 6,018 214,456 SH Sole 214,456 XEROX CORP COM 984121103 115 11,093 SH Sole 11,093 XILINX INC COM 983919101 4,072 111,658 SH Sole 111,658 TOTAL 243,174