0001398432-13-000066.txt : 20130415 0001398432-13-000066.hdr.sgml : 20130415 20130212151153 ACCESSION NUMBER: 0001398432-13-000066 CONFORMED SUBMISSION TYPE: 13F-NT PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130212 DATE AS OF CHANGE: 20130415 EFFECTIVENESS DATE: 20130212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Mirae Asset Global Investments (USA), LLC CENTRAL INDEX KEY: 0001488106 IRS NUMBER: 331210971 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-NT SEC ACT: 1934 Act SEC FILE NUMBER: 028-15177 FILM NUMBER: 13596786 BUSINESS ADDRESS: STREET 1: 1 BRYANT PARK STREET 2: 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 212-205-8300 MAIL ADDRESS: STREET 1: 1 BRYANT PARK STREET 2: 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 FORMER COMPANY: FORMER CONFORMED NAME: Mirae Asset Gloabal Investments (USA), LLC DATE OF NAME CHANGE: 20100326 13F-HR 1 miraeusallc_13fhr-021113.txt 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 12/31/12 -------- 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: Mirae Asset Global Investments (USA) LLC Address: One Bryant Park, 39th Floor New York, NY 10036 Form 13F File Number: (to be determined after filing) ------------------------------- 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: Joon Kwun Title: Chief Executive Officer Phone: (212) 205-8300 Signature, Place, and Date of Signing: Joon Kwun New York, NY 02/12/2013 Report Type (check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 3 --------- Form 13F Information Table Entry Total: 103 --------- Form 13F Information Table Value Total: 1,062,116 --------- (thousands) List of Other Included Managers: No. Form 13F File Number Name 1 (to be determined after filing) Mirae Asset Global Investments Co., Ltd. 2 (to be determined after filing) Mirae Asset Global Investments (Hong Kong) Ltd. 3 (to be determined after filing) Mirae Asset Global Investments (USA) Inc.
FORM 13F INFORMATION TABLE Issuer Class CUSIP Value SH/PRN SH/ PUT/ Inv Other SOLE SHARED NONE (x$1000) AMT PRN CALL Discr Mgr --------------------------------------------------------------------------------------------------------------------------------- 3M CO COM 88579Y101 359 3867 SH DEFINED 1 2 3 3867 0 0 ALLERGAN INC COM 018490102 11066 120634 SH DEFINED 1 2 3 120634 0 0 AMAZON COM INC COM 023135106 57312 228451 SH DEFINED 1 2 3 228451 0 0 AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 605 26156 SH DEFINED 1 2 3 26156 0 0 AMERICAN EXPRESS CO COM 025816109 222 3866 SH DEFINED 1 2 3 3866 0 0 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 8174 93518 SH DEFINED 1 2 3 93518 0 0 APPLE INC COM 037833100 6508 12229 SH DEFINED 1 2 3 12229 0 0 BAIDU INC SPON ADR REP A 056752108 447 4458 SH DEFINED 1 2 3 4458 0 0 BANCO BRADESCO S A SP ADR PFD NEW 059460303 1211 69707 SH DEFINED 1 2 3 69707 0 0 BANCO SANTANDER BRASIL S A ADS REP 1 UNIT 05967A107 379 52077 SH DEFINED 1 2 3 52077 0 0 BANCO SANTANDER CHILE NEW SP ADR REP COM 05965X109 441 15475 SH DEFINED 1 2 3 15475 0 0 BANCOLOMBIA S A SPON ADR PREF 05968L102 527 7922 SH DEFINED 1 2 3 7922 0 0 BANK OF AMERICA CORPORATION COM 060505104 38703 3333629 SH DEFINED 1 2 3 3333629 0 0 BOEING CO COM 097023105 291 3867 SH DEFINED 1 2 3 3867 0 0 BRF-BRASIL FOODS S A SPONSORED ADR 10552T107 1358 64352 SH DEFINED 1 2 3 64352 0 0 CATERPILLAR INC DEL COM 149123101 347 3867 SH DEFINED 1 2 3 3867 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 297 30116 SH DEFINED 1 2 3 30116 0 0 CENCOSUD S A SPONSORED ADS 15132H101 390 23867 SH DEFINED 1 2 3 23867 0 0 CHEVRON CORP NEW COM 166764100 418 3867 SH DEFINED 1 2 3 3867 0 0 CHINA LIFE INS CO LTD SPON ADR REP H 16939P106 357 7184 SH DEFINED 1 2 3 7184 0 0 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 714 12152 SH DEFINED 1 2 3 12152 0 0 CITIGROUP INC COM NEW 172967424 44771 1131728 SH DEFINED 1 2 3 1131728 0 0 CNOOC LTD SPONSORED ADR 126132109 370 1682 SH DEFINED 1 2 3 1682 0 0 COACH INC COM 189754104 11735 211395 SH DEFINED 1 2 3 211395 0 0 COCA COLA FEMSA S A B DE C V SPON ADR REP L 191241108 237 1592 SH DEFINED 1 2 3 1592 0 0 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 696 9414 SH DEFINED 1 2 3 9414 0 0 COMPANHIA BRASILEIRA DE DIST SPN ADR PFD CL A 20440T201 1511 34037 SH DEFINED 1 2 3 34037 0 0 COMPANHIA DE BEBIDAS DAS AME SPONSORED ADR 20441W104 478 11476 SH DEFINED 1 2 3 11476 0 0 COMPANHIA DE BEBIDAS DAS AME SPON ADR PFD 20441W203 2627 62560 SH DEFINED 1 2 3 62560 0 0 COMPANHIA DE SANEAMENTO BASI SPONSORED ADR 20441A102 217 5189 SH DEFINED 1 2 3 5189 0 0 COMPANHIA ENERGETICA DE MINA SP ADR N-V PFD 204409601 329 30270 SH DEFINED 1 2 3 30270 0 0 COMPANHIA SIDERURGICA NACION SPONSORED ADR 20440W105 273 46191 SH DEFINED 1 2 3 46191 0 0 COMPANIA DE MINAS BUENAVENTU SPONSORED ADR 204448104 495 13766 SH DEFINED 1 2 3 13766 0 0 COPA HOLDINGS SA CL A P31076105 701 7050 SH DEFINED 1 2 3 7050 0 0 COSAN LTD SHS A G25343107 1000 57787 SH DEFINED 1 2 3 57787 0 0 DISNEY WALT CO COM DISNEY 254687106 44902 901836 SH DEFINED 1 2 3 901836 0 0 E M C CORP MASS COM 268648102 20808 822444 SH DEFINED 1 2 3 822444 0 0 EBAY INC COM 278642103 43568 854313 SH DEFINED 1 2 3 854313 0 0 ECOPETROL S A SPONSORED ADS 279158109 1032 17302 SH DEFINED 1 2 3 17302 0 0 EMBRAER S A SP ADR REP 4 COM 29082A107 306 10749 SH DEFINED 1 2 3 10749 0 0 EMPRESA NACIONAL DE ELCTRCID SPONSORED ADR 29244T101 381 7801 SH DEFINED 1 2 3 7801 0 0 ENERSIS S A SPONSORED ADR 29274F104 340 18655 SH DEFINED 1 2 3 18655 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 39534 732111 SH DEFINED 1 2 3 732111 0 0 EXXON MOBIL CORP COM 30231G102 335 3867 SH DEFINED 1 2 3 3867 0 0 FLUOR CORP NEW COM 343412102 7035 119766 SH DEFINED 1 2 3 119766 0 0 FOMENTO ECONOMICO MEXICANO S SPON ADR UNITS 344419106 1065 10574 SH DEFINED 1 2 3 10574 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 20320 1569119 SH DEFINED 1 2 3 1569119 0 0 GERDAU S A SPON ADR REP PFD 373737105 688 76536 SH DEFINED 1 2 3 76536 0 0 GNC HLDGS INC COM CL A 36191G107 11122 334202 SH DEFINED 1 2 3 334202 0 0 GOOGLE INC CL A 38259P508 54968 77706 SH DEFINED 1 2 3 77706 0 0 GRUPO FINANCIERO SANTANDER M SPON ADR SHS B 40053C105 259 15999 SH DEFINED 1 2 3 15999 0 0 GRUPO TELEVISA SA SPON ADR REP ORD 40049J206 533 20067 SH DEFINED 1 2 3 20067 0 0 HARRY WINSTON DIAMOND CORP COM 41587B100 13801 980867 SH DEFINED 1 2 3 980867 0 0 HERSHEY CO COM 427866108 5057 70023 SH DEFINED 1 2 3 70023 0 0 HOME DEPOT INC COM 437076102 239 3858 SH DEFINED 1 2 3 3858 0 0 ICICI BK LTD ADR 45104G104 443 10162 SH DEFINED 1 2 3 10162 0 0 INFOSYS LTD SPONSORED ADR 456788108 310 7335 SH DEFINED 1 2 3 7335 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 644 3362 SH DEFINED 1 2 3 3362 0 0 ISHARES TR S&P NTL AMTFREE 464288414 1682 15200 SH DEFINED 1 2 3 15200 0 0 ISHARES TR IBOXX INV CPBD 464287242 24198 200000 SH DEFINED 1 2 3 200000 0 0 ISHARES TR HIGH YLD CORP 464288513 24271 260000 SH DEFINED 1 2 3 260000 0 0 ITAU UNIBANCO HLDG SA SPON ADR REP PFD 465562106 1222 74249 SH DEFINED 1 2 3 74249 0 0 JOHNSON & JOHNSON COM 478160104 271 3864 SH DEFINED 1 2 3 3864 0 0 KRAFT FOODS GROUP INC COM 50076Q106 528 11612 SH DEFINED 1 2 3 11612 0 0 LAS VEGAS SANDS CORP COM 517834107 59817 1295865 SH DEFINED 1 2 3 1295865 0 0 LATAM AIRLS GROUP S A SPONSORED ADR 51817R106 680 28878 SH DEFINED 1 2 3 28878 0 0 LAUDER ESTEE COS INC CL A 518439104 35962 600776 SH DEFINED 1 2 3 600776 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 35762 626420 SH DEFINED 1 2 3 626420 0 0 MASTERCARD INC CL A 57636Q104 65121 132553 SH DEFINED 1 2 3 132553 0 0 MCDONALDS CORP COM 580135101 341 3867 SH DEFINED 1 2 3 3867 0 0 MICROSOFT CORP COM 594918104 10309 385952 SH DEFINED 1 2 3 385952 0 0 MINDRAY MEDICAL INTL LTD SPON ADR 602675100 265 8094 SH DEFINED 1 2 3 8094 0 0 MOBILE TELESYSTEMS OJSC SPONSORED ADR 607409109 7545 404560 SH DEFINED 1 2 3 404560 0 0 NIKE INC CL B 654106103 8537 165454 SH DEFINED 1 2 3 165454 0 0 OI S.A. SPN ADR REP PFD 670851203 295 73571 SH DEFINED 1 2 3 73571 0 0 P T TELEKOMUNIKASI INDONESIA SPONSORED ADR 715684106 357 9658 SH DEFINED 1 2 3 9658 0 0 PETROCHINA CO LTD SPONSORED ADR 71646E100 476 3312 SH DEFINED 1 2 3 3312 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 990 50830 SH DEFINED 1 2 3 50830 0 0 PETROLEO BRASILEIRO SA PETRO SP ADR NON VTG 71654V101 1604 83049 SH DEFINED 1 2 3 0 0 83049 POSCO SPONSORED ADR 693483109 334 4069 SH DEFINED 1 2 3 4069 0 0 PROCTER & GAMBLE CO COM 742718109 263 3867 SH DEFINED 1 2 3 3867 0 0 QUALCOMM INC COM 747525103 22153 358125 SH DEFINED 1 2 3 358125 0 0 SASOL LTD SPONSORED ADR 803866300 366 8446 SH DEFINED 1 2 3 8446 0 0 SHINHAN FINANCIAL GROUP CO L SPN ADR RESTRD 824596100 267 7300 SH DEFINED 1 2 3 7300 0 0 SILICONWARE PRECISION INDS L SPONSD ADR SPL 827084864 199 37214 SH DEFINED 1 2 3 37214 0 0 SOCIEDAD QUIMICA MINERA DE C SPON ADR SER B 833635105 418 7246 SH DEFINED 1 2 3 7246 0 0 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 8549 210000 SH DEFINED 1 2 3 210000 0 0 STARBUCKS CORP COM 855244109 64241 1197863 SH DEFINED 1 2 3 1197863 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 702 40880 SH DEFINED 1 2 3 40880 0 0 TELEFONICA BRASIL SA SPONSORED ADR 87936R106 423 17571 SH DEFINED 1 2 3 17571 0 0 TRAVELERS COMPANIES INC COM 89417E109 278 3867 SH DEFINED 1 2 3 3867 0 0 ULTRAPAR PARTICIPACOES S A SP ADR REP COM 90400P101 766 34381 SH DEFINED 1 2 3 34381 0 0 UNITED TECHNOLOGIES CORP COM 913017109 317 3867 SH DEFINED 1 2 3 3867 0 0 UNITEDHEALTH GROUP INC COM 91324P102 210 3867 SH DEFINED 1 2 3 3867 0 0 V F CORP COM 918204108 23382 154878 SH DEFINED 1 2 3 154878 0 0 VALE S A ADR 91912E105 1144 54594 SH DEFINED 1 2 3 54594 0 0 VALE S A ADR REPSTG PFD 91912E204 2631 129676 SH DEFINED 1 2 3 129676 0 0 VISA INC COM CL A 92826C839 87445 576893 SH DEFINED 1 2 3 576893 0 0 WAL-MART STORES INC COM 931142103 264 3867 SH DEFINED 1 2 3 3867 0 0 WELLS FARGO & CO NEW COM 949746101 30569 894351 SH DEFINED 1 2 3 894351 0 0 WISDOMTREE TR EM LCL DEBT FD 97717X867 13365 250000 SH DEFINED 1 2 3 250000 0 0 YANDEX N V CALL N97284908 3797 176284 SH DEFINED 1 2 3 176284 0 0 YUM BRANDS INC COM 988498101 56544 851568 SH DEFINED 1 2 3 851568 0 0