0001519964-11-000002.txt : 20110513 0001519964-11-000002.hdr.sgml : 20110513 20110513132356 ACCESSION NUMBER: 0001519964-11-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110513 DATE AS OF CHANGE: 20110513 EFFECTIVENESS DATE: 20110513 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MARSHALL WACE ASIA Ltd CENTRAL INDEX KEY: 0001519964 IRS NUMBER: 000000000 STATE OF INCORPORATION: K3 FISCAL YEAR END: 0228 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14472 FILM NUMBER: 11839511 BUSINESS ADDRESS: STREET 1: 2812-2815, 28TH FL., 1 HARBOUR VIEW RD. STREET 2: ONE INTERNATIONAL FINANCE CENTRE CITY: CENTRAL STATE: K3 ZIP: HONG KONG BUSINESS PHONE: 852 3761 5000 MAIL ADDRESS: STREET 1: 2812-2815, 28TH FL., 1 HARBOUR VIEW RD. STREET 2: ONE INTERNATIONAL FINANCE CENTRE CITY: CENTRAL STATE: K3 ZIP: HONG KONG 13F-HR 1 mwhk1q11.txt MWAL 1Q11 13F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: Mar 31, 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: Marshall Wace Asia Ltd. Address: 2812-2815, 28th Fl., 1 Harbour View Rd., One International Finance Centre, Central, Hong Kong 13 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 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: Christopher Messiana Title: Head of Operations - Americas Phone: 203.625.3200 Signature, Place and Date of Signing: May 13, 2011 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. 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: 12 Form 13F Information Table Value Total: 93368(*1000) FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP x($1000) PRN AMT PRN CALL DISCRETN MANAGERS SOLE SHARED NONE ---------------------------- ---------------- --------- -------- -------- --- ---- -------- --------- ------ -------- - D AMBOW EDUCAT-ADR ADRS STOCK 02322P101 57 7141 SH SOLE 0 7141 0 0 D AMERICAN EXPRESS COMMON STOCK 025816109 12511 276796 SH SOLE 0 276796 0 0 D CHINATRUST -CW12 WARRANT 17308W599 2169 2551000 SH SOLE 0 2551000 0 0 D CITIGROUP INC COMMON STOCK 172967424 32903 7444134 SH SOLE 0 7444134 0 0 D E*TRADE FINANCIA COMMON STOCK 269246401 9082 581094 SH SOLE 0 581094 0 0 D FOCUS MEDIA-ADR ADRS STOCK US34415V1098 1230 40100 SH SOLE 0 40100 0 0 D HUNTINGTON BANC COMMON STOCK 446150104 13037 1963382 SH SOLE 0 1963382 0 0 D IPATH-S&P S/T FU ETF STOCK 06740C261 2131 72554 SH SOLE 0 72554 0 0 D ISHARES-S KOREA ETF STOCK US4642867729 1223 19000 SH SOLE 0 19000 0 0 D JP MORGAN CHASE COMMON STOCK 46625H100 15689 340336 SH SOLE 0 340336 0 0 D MEGA FINANC-CW12 WARRANT 173074154 3242 4118000 SH SOLE 0 4118000 0 0 D YOUKU.COM IN-ADR ADRS STOCK 98742U100 95 2000 SH SOLE 0 2000 0 0 S REPORT SUMMARY 12 DATA RECORDS 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED