0001344114-11-000019.txt : 20111101 0001344114-11-000019.hdr.sgml : 20111101 20111101115345 ACCESSION NUMBER: 0001344114-11-000019 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111101 DATE AS OF CHANGE: 20111101 EFFECTIVENESS DATE: 20111101 FILER: COMPANY DATA: COMPANY CONFORMED NAME: J O Hambro Investment Management Ltd CENTRAL INDEX KEY: 0001344114 IRS NUMBER: 000000000 STATE OF INCORPORATION: X0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11544 FILM NUMBER: 111170278 BUSINESS ADDRESS: STREET 1: 21 ST JAMES'S SQUARE CITY: LONDON STATE: X0 ZIP: SW1Y 4HB BUSINESS PHONE: 00 44 207484 7484 MAIL ADDRESS: STREET 1: 21 ST JAMES'S SQUARE CITY: LONDON STATE: X0 ZIP: SW1Y 4HB 13F-HR 1 johim13f-093011.txt J O HAMBRO INVESTMENT MANAGEMENT LIMITED johim13f-093011 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, 2011 Check here if Amendment [X]; Amendment Number: 2 This Amendment (Check only one): [X] is a restatement. [_] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: J O Hambro Investment Management Limited 21 St. James Square London SW1Y 4HB Form 13F File Number: 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: Hugh Grootenhuis Title: Chief Executive Officer Phone: +44 20 7484 7476 Signature, Place, and Date of Signing: /s/ Hugh Grootenhuis London, England October 21, 2011 --------------------- --------------------- ------------------- [Signature] [City, State] [Date] Report Type (Check only one): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report. [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ----------------------- Form 13F Information Table Entry Total: 72 ----------------------- Form 13F Information Table Value Total: $649,337 (x 1000) ----------------------- List of Other Included Managers: NONE J O HAMBRO INVESTMENT MANAGEMENT LIMITED Name of Reporting Manager Form 13F Information Table Name of Issuer Type of Value Shrs or Shr/ Investment Other Voting Authority Class Cusip (x$1000) Prn Amt. Prn Discretion Managers Sole Shared None 51Job Inc SP ADR REP COM 316827 10 4 1,329 33,254 SH Shared-Defined 0 33,254 Agco Corporation COM 001084 10 2 4,240 122,640 SH Shared-Defined 0 122,640 Altria Group Inc COM 02209S 10 3 3,198 119,300 SH Shared-Defined 0 119,300 American Express Co COM 025816 10 9 10,714 238,615 SH Shared-Defined 0 238,615 American Tower Corporation COM 029912 20 1 7,580 140,886 SH Shared-Defined 0 140,886 Apache Corporation COM 037411 10 5 4,336 54,042 SH Shared-Defined 0 54,042 Apple Inc COM 037833 10 0 36,128 94,744 SH Shared-Defined 0 94,744 AT&T Inc COM 00206R 10 2 3,198 158,145 SH Shared-Defined 0 158,145 Banco Bradesco SP ADR PDF NEW 059460 30 3 4,515 305,263 SH Shared-Defined 0 305,263 BE Aerospace COM 073302 10 1 6,454 194,922 SH Shared-Defined 0 194,922 Becton Dickinson COM 075887 10 9 3,038 41,438 SH Shared-Defined 0 41,438 Berkshire Hathaway COM 084670 70 2 1,151 16,200 SH Shared-Defined 0 16,200 Brookdale Senior Living COM 112463 10 4 3,198 23,220 SH Shared-Defined 0 23,220 Bunge Ltd COM G16962 10 5 1,473 25,273 SH Shared-Defined 0 25,273 Cadiz Inc COM 127537 20 7 3,434 434,112 SH Shared-Defined 0 434,112 Chubb Corporation COM 171232 10 1 1,202 20,030 SH Shared-Defined 0 20,030 Cisco Systems COM 17275R 10 2 1,325 85,500 SH Shared-Defined 0 85,500 Citigroup Inc COM 172967 42 4 3,198 79,877 SH Shared-Defined 0 79,877 Citrix Systems COM 177376 10 0 2,058 37,735 SH Shared-Defined 0 37,735 Coca-Cola COM 191216 10 0 16,799 248,650 SH Shared-Defined 0 248,650 Colgate-Palmolive COM 194162 10 3 51,595 581,813 SH Shared-Defined 0 581,813 ConocoPhillips COM 20825C 10 4 1,050 16,575 SH Shared-Defined 0 16,575 Ctrip.Com International Ltd AMERICAN DEP SHS 22943F 10 0 3,198 196,868 SH Shared-Defined 0 196,868 DaVita Inc COM 23918K 10 8 5,290 84,404 SH Shared-Defined 0 84,404 Dominion Resources Inc COM 25746U 10 9 8,524 167,902 SH Shared-Defined 0 167,902 EMC Corporation COM 268648 10 2 21,648 1,031,347 SH Shared-Defined 0 1,031,347 Emerson Electric Co COM 291011 10 4 19,972 483,457 SH Shared-Defined 0 483,457 Estee Lauder Co Inc COM 518439 10 4 3,198 46,235 SH Shared-Defined 0 46,235 Express Scripts Inc COM 302182 10 0 3,784 102,079 SH Shared-Defined 0 102,079 Exxon Mobil Corporation COM 30231G 10 2 6,492 89,381 SH Shared-Defined 0 89,381 Goldcorp Inc COM 380956 40 9 9,115 199,710 SH Shared-Defined 0 199,710 Goldman Sachs Group COM 38141G 10 4 1,322 13,980 SH Shared-Defined 0 13,980 Google Inc COM 38259P 50 8 3,198 47,655 SH Shared-Defined 0 47,655 Hanover Insurance Group COM 410867 10 5 621 17,500 SH Shared-Defined 0 17,500 Hershey Co (The) COM 427866 10 8 653 11,030 SH Shared-Defined 0 11,030 Hess Corporation COM 42809H 10 7 4,088 77,918 SH Shared-Defined 0 77,918 Home Depot Inc COM 437076 10 2 4,194 127,584 SH Shared-Defined 0 127,584 Informatica Corporation COM 45666Q 10 2 3,198 174,505 SH Shared-Defined 0 174,505 Intel Corporation COM 458140 10 0 288 13,500 SH Shared-Defined 0 13,500 JP Morgan Chase COM 46625H 10 0 417 13,850 SH Shared-Defined 0 13,850 Kansas City Southern Industries COM 485170 30 2 9,853 197,217 SH Shared-Defined 0 197,217 Kraft Foods Inc COM 50075N 10 4 1,011 30,104 SH Shared-Defined 0 30,104 Lazard Ltd SHS A G54050 10 2 3,198 174,181 SH Shared-Defined 0 174,181 Marsh & McLennan COM 571748 10 2 24,075 906,772 SH Shared-Defined 0 906,772 McDonald's Corporation COM 580135 10 1 22,009 250,613 SH Shared-Defined 0 250,613 Merck & Co Inc COM 58933Y 10 5 531 16,240 SH Shared-Defined 0 16,240 Metlife Inc COM 59156R 10 8 1,692 60,400 SH Shared-Defined 0 60,400 MGM Resorts International COM 552953 10 1 3,198 71,730 SH Shared-Defined 0 71,730 Microsoft Corporation COM 594918 10 4 2,164 86,950 SH Shared-Defined 0 86,950 Monsanto Com US$0.01 COM 61166W 10 10 2,071 34,500 SH Shared-Defined 0 34,500 National Oilwell Varco COM 637071 10 1 6,370 124,359 SH Shared-Defined 0 124,359 Northern Trust Corporation COM 665859 10 4 5,463 156,170 SH Shared-Defined 0 156,170 Nuvasive Inc COM 670704 10 5 3,198 224,028 SH Shared-Defined 0 224,028 Oracle Corporation COM 68389X 10 5 11,769 409,513 SH Shared-Defined 0 409,513 Pepsico Inc COM 713448 10 8 720 11,625 SH Shared-Defined 0 11,625 Pfizer Inc COM 717081 10 3 26,704 1,510,416 SH Shared-Defined 0 1,510,416 Philip Morris International COM 718172 10 9 23,607 378,436 SH Shared-Defined 0 378,436 Polypore Intl Inc COM 73179V 10 3 3,198 137,120 SH Shared-Defined 0 137,120 Praxair Inc COM 74005p 10 4 32,352 346,086 SH Shared-Defined 0 346,086 Procter & Gamble Co COM 742718 10 9 1,181 18,694 SH Shared-Defined 0 18,694 Qualcomm Inc COM 747525 10 3 27,675 569,092 SH Shared-Defined 0 569,092 Reynolds American COM 761716 10 6 43,654 1,164,726 SH Shared-Defined 0 1,164,726 Ryanair Holdings SPONSORED ADR 783513 10 4 3,198 49,337 SH Shared-Defined 0 49,337 Salesforce.com Inc COM 79466L 30 2 18,797 164,485 SH Shared-Defined 0 164,485 Schlumberger COM 806857 10 8 24,266 406,269 SH Shared-Defined 0 406,269 Soufun Holdings Ltd ADR 836034 10 8 3,877 380,821 SH Shared-Defined 0 380,821 Southern Co COM 842587 10 7 2,822 66,610 SH Shared-Defined 0 66,610 Telecomunicacoes de Sao Paulo SPON ADR PFD 87929A 10 2 1,296 48,992 SH Shared-Defined 0 48,992 Trina Solar Limited SPON ADR 89628E 10 4 193 31,817 SH Shared-Defined 0 31,817 United Technologies Corporation COM 913017 10 9 18,264 259,580 SH Shared-Defined 0 259,580 Verizon Communications COM 92343V 10 4 7,209 195,900 SH Shared-Defined 0 195,900 Wisconsin Energy Corporation COM 976657 10 6 15,573 497,705 SH Shared-Defined 0 497,705