0001481045-12-000011.txt : 20120410
0001481045-12-000011.hdr.sgml : 20120410
20120410135352
ACCESSION NUMBER: 0001481045-12-000011
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110630
FILED AS OF DATE: 20120410
DATE AS OF CHANGE: 20120410
EFFECTIVENESS DATE: 20120410
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Daiwa Securities Group Inc.
CENTRAL INDEX KEY: 0001481045
STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 8880 [8880]
IRS NUMBER: 000000000
STATE OF INCORPORATION: M0
FISCAL YEAR END: 0331
FILING VALUES:
FORM TYPE: 13F-HR/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14426
FILM NUMBER: 12751597
BUSINESS ADDRESS:
STREET 1: GRANTOKYO NORTH TOWER, 9-1
STREET 2: MARUNOUCHI 1-CHOME, CHIYODA-KU,
CITY: TOKYO
STATE: M0
ZIP: 100-6751
BUSINESS PHONE: 81-3-5555-1300
MAIL ADDRESS:
STREET 1: GRANTOKYO NORTH TOWER, 9-1
STREET 2: MARUNOUCHI 1-CHOME, CHIYODA-KU,
CITY: TOKYO
STATE: M0
ZIP: 100-6751
13F-HR/A
1
2011Q2R.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: 06/30/2011
Check here if Amendment [X]; Amendment Number: 2__________
This Amendment (Check only one.): [ ] is a restatement.
[X] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: DAIWA SECURITIES GROUP INC.
Address: GRANTOKYO NORTH TOWER, 9-1 MARUNOUCHI 1-CHOME, CHIYODA-KU
TOKYO, JAPAN 100-6751
Form 13F File Number: 028-14426
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: TAKASHI KADO
Title: HEAD OF COMPLIANCE
Phone: 81-3-5555-2800
Signature, Place, and Date of Signing:
/s/ TAKASHI KADO TOKYO, JAPAN 04/10/2012
------------------ --------------------- ------------
[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 is reported in this report and a portion is reported by
other reporting manager(s).)
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 498
Form 13F Information Table Value Total: 40,010
(thousands)
List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all
institutional investment managers with respect to which this report is filed,
other than the manager filing this report.
[If there are no entries in this list, state "NONE" and omit the column headings
and list entries.]
NONE
SEC FORM 13F REPORT
AS OF DATE: 06/30/2011
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
------------------------------ ---------------- --------- -------- ----------------- ---------- -------- ----------------------
VOTING AUTHORITY
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER ----------------------
NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE
------------------------------ ---------------- --------- -------- -------- --- ---- ---------- -------- -------- -------- ----
3M COM 88579Y101 118 1249 SH DEFINED 1249 0 0
ABBOTT COM 002824100 276 5247 SH DEFINED 5247 0 0
ABERCROMBIE & FITCH CL A 002896207 19 289 SH DEFINED 289 0 0
ACE SHS H0023R105 74 1128 SH DEFINED 1128 0 0
ADOBE SYS COM 00724F101 43 1352 SH DEFINED 1352 0 0
ADVANCED MICRO DEVICES COM 007903107 15 2097 SH DEFINED 2097 0 0
AES COM 00130H105 27 2129 SH DEFINED 2129 0 0
AETNA INC COM 00817Y108 83 1893 SH DEFINED 1893 0 0
AFLAC COM 001055102 76 1622 SH DEFINED 1622 0 0
AGILENT TECHNOLOGIES COM 00846U101 66 1285 SH DEFINED 1285 0 0
AIR PRODS & CHEMS COM 009158106 73 765 SH DEFINED 765 0 0
AIRGAS COM 009363102 14 204 SH DEFINED 204 0 0
AK STL HLDG COM 001547108 6 371 SH DEFINED 371 0 0
AKAMAI TECHNOLOGIES COM 00971T101 22 686 SH DEFINED 686 0 0
ALCOA COM 013817101 75 4713 SH DEFINED 4713 0 0
ALLEGHENY TECHNOLOGIES INC COM 01741R102 21 337 SH DEFINED 337 0 0
ALLERGAN COM 018490102 126 1512 SH DEFINED 1512 0 0
ALLSTATE COM 020002101 61 1996 SH DEFINED 1996 0 0
ALPHA NATURAL RESOURCES COM 02076X102 43 956 SH DEFINED 956 0 0
ALTERA COM 021441100 80 1718 SH DEFINED 1718 0 0
ALTRIA GROUP COM 02209S103 188 7137 SH DEFINED 7137 0 0
AMAZON COM COM 023135106 242 1181 SH DEFINED 1181 0 0
AMEREN COM 023608102 19 670 SH DEFINED 670 0 0
AMERICAN ELEC PWR COM 025537101 63 1659 SH DEFINED 1659 0 0
AMERICAN EXPRESS COM 025816109 178 3438 SH DEFINED 3438 0 0
AMERICAN INTL GROUP COM NEW 026874784 42 1417 SH DEFINED 1417 0 0
AMERICAN TOWER CL A 029912201 105 2014 SH DEFINED 2014 0 0
AMERIPRISE FINL COM 03076C106 49 848 SH DEFINED 848 0 0
AMERISOURCEBERGEN COM 03073E105 39 935 SH DEFINED 935 0 0
AMGEN COM 031162100 140 2394 SH DEFINED 2394 0 0
AMPHENOL CORP CL A 032095101 31 572 SH DEFINED 572 0 0
ANADARKO PETE COM 032511107 64 833 SH DEFINED 833 0 0
ANALOG DEVICES COM 032654105 18 452 SH DEFINED 452 0 0
AON COM 037389103 58 1126 SH DEFINED 1126 0 0
APACHE COM 037411105 152 1234 SH DEFINED 1234 0 0
APARTMENT INVT & MGMT CL A 03748R101 15 598 SH DEFINED 598 0 0
APOLLO GROUP CL A 037604105 21 481 SH DEFINED 481 0 0
APPLE COM 037833100 1277 3804 SH DEFINED 3804 0 0
APPLIED MATLS COM 038222105 58 4464 SH DEFINED 4464 0 0
ARCHER DANIELS MIDLAND COM 039483102 69 2275 SH DEFINED 2275 0 0
ASSURANT COM 04621X108 15 421 SH DEFINED 421 0 0
AT&T COM 00206R102 641 20412 SH DEFINED 20412 0 0
AUTODESK COM 052769106 29 755 SH DEFINED 755 0 0
AUTOMATIC DATA PROCESSING COM 053015103 77 1455 SH DEFINED 1455 0 0
AUTONATION COM 05329W102 9 247 SH DEFINED 247 0 0
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AVERY DENNISON COM 053611109 13 331 SH DEFINED 331 0 0
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BALL COM 058498106 22 561 SH DEFINED 561 0 0
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BB&T COM 054937107 26 969 SH DEFINED 969 0 0
BECTON DICKINSON & COM 075887109 52 604 SH DEFINED 604 0 0
BED BATH & BEYOND COM 075896100 20 348 SH DEFINED 348 0 0
BEMIS COM 081437105 11 334 SH DEFINED 334 0 0
BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 518 6687 SH DEFINED 6687 0 0
BEST BUY INC COM 086516101 38 1223 SH DEFINED 1223 0 0
BIG LOTS COM 089302103 7 219 SH DEFINED 219 0 0
BIOGEN IDEC COM 09062X103 120 1124 SH DEFINED 1124 0 0
BLACKROCK COM 09247X101 59 309 SH DEFINED 309 0 0
BLOCK H & R COM 093671105 19 1175 SH DEFINED 1175 0 0
BMC SOFTWARE COM 055921100 13 229 SH DEFINED 229 0 0
BOEING COM 097023105 208 2811 SH DEFINED 2811 0 0
BOSTON PROPERTIES COM 101121101 44 416 SH DEFINED 416 0 0
BOSTON SCIENTIFIC COM 101137107 35 5128 SH DEFINED 5128 0 0
BRISTOL MYERS SQUIBB COM 110122108 175 6029 SH DEFINED 6029 0 0
BROADCOM CL A 111320107 57 1704 SH DEFINED 1704 0 0
BROWN FORMAN CORP CL B 115637209 15 206 SH DEFINED 206 0 0
C H ROBINSON WORLDWIDE COM NEW 12541W209 59 743 SH DEFINED 743 0 0
CA COM 12673P105 31 1337 SH DEFINED 1337 0 0
CABLEVISION SYS CORP CL A NY CABLVS 12686C109 27 733 SH DEFINED 733 0 0
CABOT OIL & GAS COM 127097103 27 412 SH DEFINED 412 0 0
CAMERON INTERNATIONAL COM 13342B105 50 991 SH DEFINED 991 0 0
CAMPBELL SOUP COM 134429109 18 516 SH DEFINED 516 0 0
CAPITAL ONE FINL COM 14040H105 109 2115 SH DEFINED 2115 0 0
CARDINAL HEALTH COM 14149Y108 79 1730 SH DEFINED 1730 0 0
CAREFUSION COM 14170T101 26 969 SH DEFINED 969 0 0
CARMAX COM 143130102 25 766 SH DEFINED 766 0 0
CARNIVAL CORP PAIRED CTF 143658300 59 1573 SH DEFINED 1573 0 0
CATERPILLAR INC COM 149123101 231 2169 SH DEFINED 2169 0 0
CB RICHARD ELLIS GROUP CL A 12497T101 27 1090 SH DEFINED 1090 0 0
CBS CORP NEW CL B 124857202 106 3721 SH DEFINED 3721 0 0
CELGENE COM 151020104 126 2096 SH DEFINED 2096 0 0
CENTERPOINT ENERGY COM 15189T107 29 1501 SH DEFINED 1501 0 0
CENTURYLINK COM 156700106 84 2089 SH DEFINED 2089 0 0
CEPHALON COM 156708109 17 209 SH DEFINED 209 0 0
CERNER COM 156782104 20 333 SH DEFINED 333 0 0
CF INDS HLDGS COM 125269100 28 199 SH DEFINED 199 0 0
CHESAPEAKE ENERGY COM 165167107 67 2245 SH DEFINED 2245 0 0
CHEVRON CORP COM 166764100 740 7196 SH DEFINED 7196 0 0
CHIPOTLE MEXICAN GRILL COM 169656105 38 124 SH DEFINED 124 0 0
CHUBB COM 171232101 41 651 SH DEFINED 651 0 0
CIGNA COM 125509109 61 1184 SH DEFINED 1184 0 0
CINCINNATI FINL COM 172062101 13 445 SH DEFINED 445 0 0
CINTAS COM 172908105 13 398 SH DEFINED 398 0 0
CISCO SYS COM 17275R102 229 14667 SH DEFINED 14667 0 0
CITIGROUP COM NEW 172967424 368 8842 SH DEFINED 8842 0 0
CITRIX SYS COM 177376100 35 443 SH DEFINED 443 0 0
CLIFFS NATURAL RESOURCES COM 18683K101 28 308 SH DEFINED 308 0 0
CLOROX CO COM 189054109 29 431 SH DEFINED 431 0 0
CME GROUP COM 12572Q105 59 201 SH DEFINED 201 0 0
CMS ENERGY COM 125896100 16 789 SH DEFINED 789 0 0
COACH COM 189754104 53 823 SH DEFINED 823 0 0
COCA COLA COM 191216100 508 7552 SH DEFINED 7552 0 0
COCA COLA ENTERPRISES INC COM 19122T109 29 1002 SH DEFINED 1002 0 0
COGNIZANT TECHNOLOGY CL A 192446102 130 1769 SH DEFINED 1769 0 0
COLGATE PALMOLIVE COM 194162103 141 1614 SH DEFINED 1614 0 0
COMCAST CORP CL A 20030N101 257 10132 SH DEFINED 10132 0 0
COMERICA COM 200340107 12 342 SH DEFINED 342 0 0
COMPUTER SCIENCES COM 205363104 25 649 SH DEFINED 649 0 0
COMPUWARE COM 205638109 11 1165 SH DEFINED 1165 0 0
CONAGRA FOODS COM 205887102 34 1319 SH DEFINED 1319 0 0
CONOCOPHILLIPS COM 20825C104 371 4928 SH DEFINED 4928 0 0
CONSOL ENERGY COM 20854P109 42 866 SH DEFINED 866 0 0
CONSOLIDATED EDISON COM 209115104 57 1070 SH DEFINED 1070 0 0
CONSTELLATION BRANDS CL A 21036P108 14 684 SH DEFINED 684 0 0
CONSTELLATION ENERGY GROUP COM 210371100 29 755 SH DEFINED 755 0 0
CORNING COM 219350105 64 3530 SH DEFINED 3530 0 0
COSTCO WHSL CORP COM 22160K105 104 1286 SH DEFINED 1286 0 0
COVENTRY HEALTH CARE COM 222862104 21 565 SH DEFINED 565 0 0
COVIDIEN SHS G2554F113 92 1721 SH DEFINED 1721 0 0
CSX COM 126408103 106 4025 SH DEFINED 4025 0 0
CUMMINS COM 231021106 69 665 SH DEFINED 665 0 0
CVS CAREMARK COM 126650100 190 5050 SH DEFINED 5050 0 0
D R HORTON COM 23331A109 12 1084 SH DEFINED 1084 0 0
DANAHER CORP COM 235851102 102 1923 SH DEFINED 1923 0 0
DARDEN RESTAURANTS COM 237194105 21 421 SH DEFINED 421 0 0
DAVITA COM 23918K108 27 316 SH DEFINED 316 0 0
DEAN FOODS CO COM 242370104 6 522 SH DEFINED 522 0 0
DEERE & COM 244199105 114 1378 SH DEFINED 1378 0 0
DELL COM 24702R101 99 5947 SH DEFINED 5947 0 0
DENBURY RES COM NEW 247916208 26 1276 SH DEFINED 1276 0 0
DENTSPLY INTL INC COM 249030107 26 675 SH DEFINED 675 0 0
DEVON ENERGY CORP COM 25179M103 98 1246 SH DEFINED 1246 0 0
DEVRY INC COM 251893103 14 235 SH DEFINED 235 0 0
DIAMOND OFFSHORE DRILLING COM 25271C102 21 298 SH DEFINED 298 0 0
DIRECTV CL A 25490A101 145 2847 SH DEFINED 2847 0 0
DISCOVER FINL COM 254709108 48 1806 SH DEFINED 1806 0 0
DISCOVERY COMMUNICATNS NEW COM SER A 25470F104 54 1315 SH DEFINED 1315 0 0
DISNEY WALT CO COM DISNEY 254687106 203 5207 SH DEFINED 5207 0 0
DOMINION RES INC VA COM 25746U109 97 2012 SH DEFINED 2012 0 0
DONNELLEY R R & SONS COM 257867101 19 956 SH DEFINED 956 0 0
DOVER COM 260003108 24 353 SH DEFINED 353 0 0
DOW CHEM COM 260543103 133 3708 SH DEFINED 3708 0 0
DR PEPPER SNAPPLE GROUP COM 26138E109 32 758 SH DEFINED 758 0 0
DTE ENERGY COM 233331107 26 527 SH DEFINED 527 0 0
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E M C CORP COM 268648102 190 6881 SH DEFINED 6881 0 0
E TRADE FINANCIAL COM NEW 269246401 13 970 SH DEFINED 970 0 0
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EATON COM 278058102 61 1183 SH DEFINED 1183 0 0
EBAY COM 278642103 102 3172 SH DEFINED 3172 0 0
ECOLAB COM 278865100 41 719 SH DEFINED 719 0 0
EDISON COM 281020107 38 989 SH DEFINED 989 0 0
EDWARDS LIFESCIENCES COM 28176E108 31 350 SH DEFINED 350 0 0
EL PASO COM 28336L109 54 2665 SH DEFINED 2665 0 0
ELECTRONIC ARTS COM 285512109 10 415 SH DEFINED 415 0 0
EMERSON ELEC COM 291011104 151 2677 SH DEFINED 2677 0 0
ENTERGY CORP COM 29364G103 39 568 SH DEFINED 568 0 0
EOG RES COM 26875P101 103 987 SH DEFINED 987 0 0
EQT COM 26884L109 31 585 SH DEFINED 585 0 0
EQUIFAX COM 294429105 17 481 SH DEFINED 481 0 0
EQUITY RESIDENTIAL SH BEN INT 29476L107 55 924 SH DEFINED 924 0 0
EXELON COM 30161N101 101 2369 SH DEFINED 2369 0 0
EXPEDIA INC COM 30212P105 28 967 SH DEFINED 967 0 0
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EXXON MOBIL COM 30231G102 1345 16530 SH DEFINED 16530 0 0
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FLOWSERVE COM 34354P105 2 19 SH DEFINED 19 0 0
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