-----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, CUYR4LKlxVzLPzNeQqCTbqu317s2mwlA9Je8r64g+In2oWtwcIGRMJSVC9AN6jas E6kHTTZngJDeij4qDon61Q== 0001140361-10-042120.txt : 20101025 0001140361-10-042120.hdr.sgml : 20101025 20101025110402 ACCESSION NUMBER: 0001140361-10-042120 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101025 DATE AS OF CHANGE: 20101025 EFFECTIVENESS DATE: 20101025 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Nikko Asset Management Americas, Inc. CENTRAL INDEX KEY: 0001480751 IRS NUMBER: 941302123 STATE OF INCORPORATION: DE FISCAL YEAR END: 0310 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13674 FILM NUMBER: 101139137 BUSINESS ADDRESS: STREET 1: 535 MADISON AVENUE STREET 2: SUITE 2500 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-610-6100 MAIL ADDRESS: STREET 1: 535 MADISON AVENUE STREET 2: SUITE 2500 CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 form13fhr.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: 9/30/2010 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: Nikko Asset Management Americas, Inc. Address: 535 Madison Avenue Suite 2500 New York, NY 10022 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. Persons Signing this Report on Behalf of Reporting Manager: Name: Laurie A. Vicari Title: Chief Compliance Officer Phone: (212) 610-6100 Signature, Place, and Date of Signing: /s/ Laurie A. Vicari New York, NY 10/22/2010 - --------------------------------- --------------------------------- ---------- [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: 13F File Number Name 28-13674 - --------------- --------------------------------------------------------------- Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 155 Form 13F Information Table Value Total: $ 928,258 -------------- (In Thousands) List of Other Included Managers: Provide a numbered list of the name(s) and 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ---------------------------- -------------- --------- -------- ------------------ ---------- -------- -------------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ---------------------------- -------------- --------- -------- --------- --- ---- ---------- -------- --------- ------ --------- ITAU UNIBANCO HLDNG-PREF ADR COM 465562106 1088 46200.00 SH SOLE 0 0 46200.00 PETROLEO BRASILEIRO-SPON ADR COM 71654V101 4799 149500.00 SH SOLE 0 0 149500.00 VALE SA-SP PREF ADR COM 91912E204 4390 162100.00 SH SOLE 0 0 162100.00 VIVO PARTICIPACOES SA-ADR COM 92855S200 342 12500.00 SH SOLE 0 0 12500.00 ALCOA INC COM 013817101 483 40000.00 SH SOLE 40000.00 0 0 BARRICK GOLD CORP COM 067901108 597 12300.00 SH SOLE 12300.00 0 0 AMERICAN EXPRESS CO COM 025816109 882 20500.00 SH SOLE 20500.00 0 0 APACHE CORP COM 037411105 1412 14400.00 SH SOLE 14400.00 0 0 CONSTELLATION ENERGY GROUP COM 210371100 569 17500.00 SH SOLE 17500.00 0 0 BCE INC COM 05534B760 544 16100.00 SH SOLE 16100.00 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 856 26200.00 SH SOLE 26200.00 0 0 BERKSHIRE HATHAWAY INC-CL B COM 084670702 1418 17200.00 SH SOLE 17200.00 0 0 CATERPILLAR INC COM 149123101 1080 13500.00 SH SOLE 13500.00 0 0 JPMORGAN CHASE & CO COM 46625H100 1385 36049.00 SH SOLE 36049.00 0 0 CHEVRON CORP COM 166764100 2373 29200.00 SH SOLE 29200.00 0 0 COMPUTER SCIENCES CORP COM 205363104 505 11000.00 SH SOLE 11000.00 0 0 CONSOLIDATED EDISON INC COM 209115104 649 13400.00 SH SOLE 13400.00 0 0 WALT DISNEY CO/THE COM 254687106 1489 45100.00 SH SOLE 45100.00 0 0 DOW CHEMICAL COM 260543103 274 10000.00 SH SOLE 10000.00 0 0 DU PONT (E.I.) DE NEMOURS COM 263534109 1318 29600.00 SH SOLE 29600.00 0 0 EMC CORP/MASS COM 268648102 821 39700.00 SH SOLE 39700.00 0 0 EOG RESOURCES INC COM 26875P101 94 1000.00 SH SOLE 1000.00 0 0 EXXON MOBIL CORP COM 30231G102 2419 39272.00 SH SOLE 39272.00 0 0 FEDEX CORP COM 31428X106 976 11300.00 SH SOLE 11300.00 0 0 FORD MOTOR CO COM 345370860 314 25500.00 SH SOLE 25500.00 0 0 GENERAL ELECTRIC CO COM 369604103 2323 142000.00 SH SOLE 142000.00 0 0 GENERAL MILLS INC COM 370334104 801 21718.00 SH SOLE 21718.00 0 0 HEWLETT-PACKARD CO COM 428236103 2091 49162.00 SH SOLE 49162.00 0 0 HOME DEPOT INC COM 437076102 1190 37400.00 SH SOLE 37400.00 0 0 INTL BUSINESS MACHINES CORP COM 459200101 364 2688.00 SH SOLE 2688.00 0 0 INTERNATIONAL PAPER CO COM 460146103 909 42400.00 SH SOLE 42400.00 0 0 JOHNSON & JOHNSON COM 478160104 826 13252.00 SH SOLE 13252.00 0 0 KIMBERLY-CLARK CORP COM 494368103 599 9200.00 SH SOLE 9200.00 0 0 ELI LILLY & CO COM 532457108 1330 36400.00 SH SOLE 36400.00 0 0 LUBRIZOL CORP COM 549271104 557 5300.00 SH SOLE 5300.00 0 0 MCDONALD'S CORP COM 580135101 1351 18149.00 SH SOLE 18149.00 0 0 MERCK & CO. INC. COM 58933Y105 56 1500.00 SH SOLE 1500.00 0 0 MICRON TECHNOLOGY INC COM 595112103 773 106000.00 SH SOLE 106000.00 0 0 3M CO COM 88579Y101 1107 12700.00 SH SOLE 12700.00 0 0 BANK OF AMERICA CORP COM 060505104 843 64300.00 SH SOLE 64300.00 0 0 NIKE INC -CL B COM 654106103 903 11300.00 SH SOLE 11300.00 0 0 WELLS FARGO & CO COM 949746101 734 29300.00 SH SOLE 29300.00 0 0 PEPSICO INC COM 713448108 634 9500.00 SH SOLE 9500.00 0 0 PFIZER INC COM 717081103 2143 123141.00 SH SOLE 123141.00 0 0 CITIGROUP INC COM 172967101 604 154200.00 SH SOLE 154200.00 0 0 PROCTER & GAMBLE CO/THE COM 742718109 150 2488.00 SH SOLE 2488.00 0 0 EDISON INTERNATIONAL COM 281020107 583 16900.00 SH SOLE 16900.00 0 0 SCHLUMBERGER LTD COM 806857108 1378 22400.00 SH SOLE 22400.00 0 0 AT&T INC COM 00206R102 946 32949.00 SH SOLE 32949.00 0 0 TJX COMPANIES INC COM 872540109 1115 24800.00 SH SOLE 24800.00 0 0 TRANSCANADA CORP COM 89353D107 591 15400.00 SH SOLE 15400.00 0 0 UNION PACIFIC CORP COM 907818108 1094 13300.00 SH SOLE 13300.00 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1366 38800.00 SH SOLE 38800.00 0 0 UNITED STATES STEEL CORP COM 912909108 474 10700.00 SH SOLE 10700.00 0 0 WAL-MART STORES INC COM 931142103 1299 24349.00 SH SOLE 24349.00 0 0 APPLE INC COM 037833100 776 2700.00 SH SOLE 2700.00 0 0 CISCO SYSTEMS INC COM 17275R102 636 29100.00 SH SOLE 29100.00 0 0 INTEL CORP COM 458140100 2081 108158.00 SH SOLE 108158.00 0 0 MICROSOFT CORP COM 594918104 1227 50100.00 SH SOLE 50100.00 0 0 ORACLE CORP COM 68389X105 557 20500.00 SH SOLE 20500.00 0 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ---------------------------- -------------- --------- -------- ------------------ ---------- -------- -------------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ---------------------------- -------------- --------- -------- --------- --- ---- ---------- -------- --------- ------ --------- CARDINAL HEALTH INC COM 14149Y108 865 26100.00 SH SOLE 26100.00 0 0 FLOWSERVE CORP COM 34354P105 535 4900.00 SH SOLE 4900.00 0 0 STARBUCKS CORP COM 855244109 875 33900.00 SH SOLE 33900.00 0 0 BANK OF NOVA SCOTIA COM 064149107 1162 21200.00 SH SOLE 21200.00 0 0 TALISMAN ENERGY INC COM 87425E103 569 31700.00 SH SOLE 31700.00 0 0 CANADIAN NATURAL RESOURCES COM 136385101 966 27200.00 SH SOLE 27200.00 0 0 SUNCOR ENERGY INC COM 867224107 1135 34200.00 SH SOLE 34200.00 0 0 THOMSON REUTERS CORP COM 884903105 414 10600.00 SH SOLE 10600.00 0 0 TORONTO-DOMINION BANK COM 891160509 1291 17400.00 SH SOLE 17400.00 0 0 MORGAN STANLEY COM 617446448 698 28500.00 SH SOLE 28500.00 0 0 FLEXTRONICS INTL LTD COM Y2573F102 538 88700.00 SH SOLE 88700.00 0 0 UNITED PARCEL SERVICE-CL B COM 911312106 1161 17400.00 SH SOLE 17400.00 0 0 MCKESSON CORP COM 58155Q103 1004 16200.00 SH SOLE 16200.00 0 0 AMERISOURCEBERGEN CORP COM 03073E105 723 23500.00 SH SOLE 23500.00 0 0 ANNALY CAPITAL MANAGEMENT IN COM 035710409 1027 55800.00 SH SOLE 55800.00 0 0 AMAZON.COM INC COM 023135106 1256 7900.00 SH SOLE 7900.00 0 0 ACCENTURE PLC-CL A COM G1151C101 876 20700.00 SH SOLE 20700.00 0 0 FIRSTENERGY CORP COM 337932107 836 21700.00 SH SOLE 21700.00 0 0 AETNA INC COM 00817Y108 1047 33600.00 SH SOLE 33600.00 0 0 BLACKROCK INC COM 09247X101 624 3700.00 SH SOLE 3700.00 0 0 KRAFT FOODS INC-CLASS A COM 50075N104 1454 46600.00 SH SOLE 46600.00 0 0 PROGRESS ENERGY INC COM 743263105 646 14500.00 SH SOLE 14500.00 0 0 DIRECTV-CLASS A COM 25490A101 802 19100.00 SH SOLE 19100.00 0 0 NRG ENERGY INC COM 629377508 579 27800.00 SH SOLE 27800.00 0 0 METROPCS COMMUNICATIONS INC COM 591708102 488 46500.00 SH SOLE 46500.00 0 0 MEAD JOHNSON NUTRITION CO COM 582839106 630 11100.00 SH SOLE 11100.00 0 0 BARRICK GOLD CORP COM 067901108 8913 189800.00 SH SOLE 189800.00 0 0 ANADARKO PETROLEUM CORP COM 032511107 18079 314200.00 SH SOLE 314200.00 0 0 APACHE CORP COM 037411105 8882 90600.00 SH SOLE 90600.00 0 0 ARCHER-DANIELS-MIDLAND CO COM 039483102 25193 773500.00 SH SOLE 773500.00 0 0 BAKER HUGHES INC COM 057224107 11323 268900.00 SH SOLE 268900.00 0 0 BP PLC-SPONS ADR COM 055622104 5748 143700.00 SH SOLE 143700.00 0 0 BHP BILLITON LTD-SPON ADR COM 088606108 44570 582000.00 SH SOLE 582000.00 0 0 CHEVRON CORP COM 166764100 38836 477800.00 SH SOLE 477800.00 0 0 CLIFFS NATURAL RESOURCES INC COM 18683K101 10258 160000.00 SH SOLE 160000.00 0 0 EXXON MOBIL CORP COM 30231G102 33154 538300.00 SH SOLE 538300.00 0 0 FREEPORT-MCMORAN COPPER COM 35671D857 31670 367400.00 SH SOLE 367400.00 0 0 HALLIBURTON CO COM 406216101 11607 347500.00 SH SOLE 347500.00 0 0 INTERNATIONAL PAPER CO COM 460146103 12252 571700.00 SH SOLE 571700.00 0 0 MURPHY OIL CORP COM 626717102 8993 146800.00 SH SOLE 146800.00 0 0 NEWMONT MINING CORP COM 651639106 4646 72700.00 SH SOLE 72700.00 0 0 NOBLE ENERGY INC COM 655044105 20851 276100.00 SH SOLE 276100.00 0 0 NUCOR CORP COM 670346105 8100 211000.00 SH SOLE 211000.00 0 0 OCCIDENTAL PETROLEUM CORP COM 674599105 16223 211700.00 SH SOLE 211700.00 0 0 POTASH CORP OF SASKATCHEWAN COM 73755L107 15906 109800.00 SH SOLE 109800.00 0 0 RIO TINTO PLC-SPON ADR COM 767204100 31377 529300.00 SH SOLE 529300.00 0 0 SCHLUMBERGER LTD COM 806857108 15090 245284.00 SH SOLE 245284.00 0 0 TEMPLE-INLAND INC COM 879868107 6133 326200.00 SH SOLE 326200.00 0 0 TIDEWATER INC COM 886423102 4150 93100.00 SH SOLE 93100.00 0 0 TOTAL SA-SPON ADR COM 89151E109 13173 254600.00 SH SOLE 254600.00 0 0 UNITED STATES STEEL CORP COM 912909108 3873 87400.00 SH SOLE 87400.00 0 0 FRONTIER OIL CORP COM 35914P105 4661 350200.00 SH SOLE 350200.00 0 0 WEYERHAEUSER CO COM 962166104 8557 530500.00 SH SOLE 530500.00 0 0 WEATHERFORD INTL LTD COM H27013103 14009 805100.00 SH SOLE 805100.00 0 0 NABORS INDUSTRIES LTD COM G6359F103 4155 224000.00 SH SOLE 224000.00 0 0 PRIDE INTERNATIONAL INC COM 74153Q102 9366 314200.00 SH SOLE 314200.00 0 0 ROYAL GOLD INC COM 780287108 6498 129700.00 SH SOLE 129700.00 0 0 ANGLOGOLD ASHANTI-SPON ADR COM 035128206 7077 152200.00 SH SOLE 152200.00 0 0 CANADIAN NATURAL RESOURCES COM 136385101 12994 378500.00 SH SOLE 378500.00 0 0 DENBURY RESOURCES INC COM 247916208 4312 272400.00 SH SOLE 272400.00 0 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ---------------------------- -------------- --------- -------- ------------------ ---------- -------- -------------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ---------------------------- -------------- --------- -------- --------- --- ---- ---------- -------- --------- ------ --------- GOLDCORP INC COM 380956409 4537 102900.00 SH SOLE 102900.00 0 0 TECK RESOURCES LTD-CLS B COM 878742204 9069 223600.00 SH SOLE 223600.00 0 0 TRANSOCEAN LTD COM H8817H100 9418 144600.00 SH SOLE 144600.00 0 0 PATTERSON-UTI ENERGY INC COM 703481101 4770 277500.00 SH SOLE 277500.00 0 0 POSCO-ADR COM 693483109 8773 78000.00 SH SOLE 78000.00 0 0 PETROLEO BRASILEIRO S.A.-ADR COM 71654V408 16267 455400.00 SH SOLE 455400.00 0 0 VALE SA-SP ADR COM 91912E105 18437 599000.00 SH SOLE 599000.00 0 0 SILVER WHEATON CORP COM 828336107 7320 271200.00 SH SOLE 271200.00 0 0 CHINA PETROLEUM & CHEM-ADR COM 16941R108 4700 53400.00 SH SOLE 53400.00 0 0 CIA SIDERURGICA NACL-SP ADR COM 20440W105 6625 381400.00 SH SOLE 381400.00 0 0 GERDAU SA -SPON ADR COM 373737105 4013 295700.00 SH SOLE 295700.00 0 0 CAMERON INTERNATIONAL CORP COM 13342B105 13961 318100.00 SH SOLE 318100.00 0 0 IAMGOLD CORP COM 450913108 5955 335100.00 SH SOLE 335100.00 0 0 IVANHOE MINES LTD COM 46579N103 11251 465500.00 SH SOLE 465500.00 0 0 NATIONAL OILWELL VARCO INC COM 637071101 6907 154000.00 SH SOLE 154000.00 0 0 ARCELORMITTAL-NY REGISTERED COM 03938L104 15190 461000.00 SH SOLE 461000.00 0 0 RANDGOLD RESOURCES LTD-ADR COM 752344309 17973 174800.00 SH SOLE 174800.00 0 0 DRIL-QUIP INC COM 262037104 6824 108100.00 SH SOLE 108100.00 0 0 YANZHOU COAL MINING-SP ADR COM 984846105 16846 698700.00 SH SOLE 698700.00 0 0 PEABODY ENERGY CORP COM 704549104 13545 275200.00 SH SOLE 275200.00 0 0 DEVON ENERGY CORPORATION COM 25179M103 15170 234000.00 SH SOLE 234000.00 0 0 PETROHAWK ENERGY CORP COM 716495106 12567 795900.00 SH SOLE 795900.00 0 0 CNOOC LTD-ADR COM 126132109 11475 59100.00 SH SOLE 59100.00 0 0 MONSANTO CO COM 61166W101 14232 296500.00 SH SOLE 296500.00 0 0 SYNGENTA AG-ADR COM 87160A100 4469 87900.00 SH SOLE 87900.00 0 0 PETROCHINA CO LTD -ADR COM 71646E100 4614 39900.00 SH SOLE 39900.00 0 0 FMC TECHNOLOGIES INC COM 30249U101 6531 94700.00 SH SOLE 94700.00 0 0 BUNGE LTD COM G16962105 13352 218200.00 SH SOLE 218200.00 0 0 MOSAIC CO/THE COM 61945A107 17075 280100.00 SH SOLE 280100.00 0 0 ROYAL DUTCH SHELL PLC-ADR COM 780259206 22106 365200.00 SH SOLE 365200.00 0 0 CELANESE CORP-SERIES A COM 150870103 9265 285700.00 SH SOLE 285700.00 0 0 ALPHA NATURAL RESOURCES INC COM 02076X102 4548 108300.00 SH SOLE 108300.00 0 0 CF INDUSTRIES HOLDINGS INC COM 125269100 4361 43900.00 SH SOLE 43900.00 0 0 FIRST SOLAR INC COM 336433107 4732 31700.00 SH SOLE 31700.00 0 0 CONCHO RESOURCES INC COM 20605P101 13062 199000.00 SH SOLE 199000.00 0 0
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