-----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, R5u9q8zr3J1LJMOp55++xtDsx2+Kx4TazslJv1kSa2iSjaKd56HF78IX4Paoh1iL Rv6cguxESbi7MRiFBby7/g== 0001140361-10-005379.txt : 20100210 0001140361-10-005379.hdr.sgml : 20100210 20100210163713 ACCESSION NUMBER: 0001140361-10-005379 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100210 DATE AS OF CHANGE: 20100210 EFFECTIVENESS DATE: 20100210 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BARING ASSET MANAGEMENT INC /MA/ CENTRAL INDEX KEY: 0000932463 IRS NUMBER: 042429117 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04544 FILM NUMBER: 10588270 BUSINESS ADDRESS: STREET 1: 470 ATLANTIC AVENUE STREET 2: INDEPENDENCE WHARF CITY: BOSTON STATE: MA ZIP: 02210 BUSINESS PHONE: 6179465200 MAIL ADDRESS: STREET 1: 470 ATLANTIC AVENUE STREET 2: INDEPENDENCE WHARF CITY: BOSTON STATE: MA ZIP: 02210 13F-HR 1 form13f.txt BARING ASSET MANAGEMENT 13F-HR 12-31-2009 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 12/31/2009 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: Baring Asset Management, Inc. Address: Independence Wharf, 470 Atlantic Ave Boston, MA 02110-2208 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: Patricia Ballard Title: Compliance Manager (US) Phone: 617-946-5225 Signature, Place, and Date of Signing: /s/ Patricia Ballard Boston, MA 2/10/2010 - --------------------------------- --------------------------------- ---------- [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: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 141 Form 13F Information Table Value Total: $2,460,880 -------------- (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 As of the Date: 31st of December 2009 COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------ -------------- --------- ----------- ------------------- ---------- -------- ------------------------- SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP VALUE PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------ -------------- --------- ----------- ---------- --- ---- ---------- -------- ---------- ------ ------- AGCO CORP COM 1084102 3,685,046 113,947 X X SOLE 113,947 0 0 ABBOTT LABS COM 2824100 3,703,228 68,591 X X SOLE 68,591 0 0 AGNICO EAGLE MINE COM 8474108 23,029,435 404,593 X X SOLE 381,956 0 22,637 AMERICAN TOWER COM 29912201 11,219,087 259,641 X X SOLE 253,670 0 5,971 ANADARKO PETROLM COM 32511107 29,936,819 479,603 X X SOLE 479,603 0 0 ANGLOGOLD ASHANTI ADR 35128206 3,474,284 86,468 X X SOLE 70,068 0 16,400 AON CORP COM 37389103 2,149,264 56,058 X X SOLE 46,832 0 9,226 APPLE INC COM 37833100 15,482,269 73,469 X X SOLE 67,695 0 5,774 ARCHER-DANIELS COM 39483102 4,304,624 137,484 X X SOLE 127,247 0 10,237 AUTOLIV INC COM 52800109 572,352 13,200 X X SOLE 0 0 13,200 BP PLC ADR 55622104 696,046 12,007 X X SOLE 0 0 12,007 BANCO BRADESCO ADR 59460303 26,423,334 1,208,200 X X SOLE 1,208,200 0 0 BANK OF AMERICA COM 60505104 13,207,077 876,964 X X SOLE 862,627 0 14,337 BARRICK GOLD CORP COM 67901108 3,546,405 90,056 X X SOLE 68,075 0 21,981 BAXTER INTL COM 71813109 13,931,806 237,420 X X SOLE 223,806 0 13,614 BERKSHIRE HATHAWY COM 84670207 1,238,822 377 X X SOLE 232 0 145 BURGER KING HLDGS COM 121208201 330,291 17,550 X X SOLE 0 0 17,550 CBS CORPORATION COM 124857202 12,840,366 913,905 X X SOLE 897,805 0 16,100 CNOOC ADS 126132109 295,355 1,900 X X SOLE 1,900 0 0 CVS CAREMARK COM 126650100 9,773,062 303,417 X X SOLE 283,065 0 20,352 CAMPBELL SOUP CO COM 134429109 3,136,268 92,789 X X SOLE 92,789 0 0 CDN NATURAL RESRC COM 136385101 33,315,166 459,558 X X SOLE 459,558 0 0 CATERPILLAR INC COM 149123101 13,654,064 239,587 X X SOLE 227,962 0 11,625 CEMEX S.A.B ADR 151290889 10,026,906 848,300 X X SOLE 848,300 0 0 CHEVRON CORP COM 166764100 59,442,902 772,086 X X SOLE 767,086 0 5,000 COCA-COLA CO COM 191216100 601,350 10,550 X X SOLE 0 0 10,550 COLGATE-PALMOLIVE COM 194162103 4,229,575 51,486 X X SOLE 44,986 0 6,500 MINAS BUENAVENTRA ADR 204448104 15,831,412 473,003 X X SOLE 447,592 0 25,411 COVANCE INC COM 222816100 9,708,931 177,917 X X SOLE 158,639 0 19,278 CUMMINS INC COM 231021106 10,277,501 224,106 X X SOLE 219,846 0 4,260 DARLING INTL INC COM 237266101 3,100,474 369,985 X X SOLE 369,985 0 0 DEERE & CO COM 244199105 3,908,976 72,268 X X SOLE 72,268 0 0 DIGITAL REALTY COM 253868103 6,568,780 130,644 X X SOLE 126,643 0 4,001 EXPRESS SCRIPTS COM 302182100 12,424,518 143,769 X X SOLE 131,235 0 12,534 FINISH LINE INC COM 317923100 5,497,490 438,047 X X SOLE 438,047 0 0 FOMENTO ECON MEX ADR 344419106 20,735,200 433,066 X X SOLE 433,066 0 0 GEN CABLE CO COM 369300108 1,338,022 45,480 X X SOLE 45,480 0 0 GENERAL ELECTRIC COM 369604103 2,195,287 145,095 X X SOLE 145,095 0 0 GENERAL MILLS COM 370334104 4,047,853 57,165 X X SOLE 57,165 0 0 GERDAU SA SIDERUR ADR 373737105 30,064,762 1,765,400 X X SOLE 1,765,400 0 0 GILEAD SCIENCES COM 375558103 12,115,169 279,990 X X SOLE 264,380 0 15,610 GOODYEAR TIRE&RUB COM 382550101 8,265,322 586,193 X X SOLE 574,547 0 11,646 HALLIBURTON CO COM 406216101 5,593,911 185,906 X X SOLE 164,451 0 21,455 HARTFORD FIN SVCS COM 416515104 2,239,217 96,269 X X SOLE 96,269 0 0 HEINZ(HJ) CO COM 423074103 2,914,179 68,152 X X SOLE 68,152 0 0 HEWLETT PACKARD COM 428236103 10,650,465 206,765 X X SOLE 203,227 0 3,538 IBM CORP COM 459200101 15,716,772 120,067 X X SOLE 113,665 0 6,402 ISHARES TRUST ITR 464288513 11,032,528 125,598 X X SOLE 0 0 125,598 ITAU UNIBANCO MUL ADR 465562106 105,613,760 4,624,070 X X SOLE 4,394,962 0 229,108 JOHNSON & JOHNSON COM 478160104 2,878,612 44,692 X X SOLE 38,559 0 6,133 KELLOGG CO COM 487836108 15,127,686 284,355 X X SOLE 278,189 0 6,166 KINROSS GOLD CO COM 496902404 709,651 38,568 X X SOLE 0 0 38,568 KOREA ELEC POWER ADR 500631106 531,830 36,577 X X SOLE 0 0 36,577 LOCKHEED MARTIN COM 539830109 8,457,737 112,246 X X SOLE 104,579 0 7,667 MAGNA INTL INC COM 559222401 424,366 8,390 X X SOLE 0 0 8,390 MECHEL OAO ADR 583840103 52,036,736 2,764,970 X X SOLE 2,764,970 0 0 METROPCS MUNIC COM 591708102 2,599,595 340,707 X X SOLE 340,707 0 0 MICRON TECHNOLOGY COM 595112103 2,608,658 247,032 X X SOLE 247,032 0 0 MINDRAY MEDICAL ADR 602675100 1,062,307 31,318 X X SOLE 31,318 0 0 MOBILE TELESYSTEM ADR 607409109 237,099,144 4,849,645 X X SOLE 4,761,915 0 87,730
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------ -------------- --------- ----------- ------------------- ---------- -------- ------------------------- SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP VALUE PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------ -------------- --------- ----------- ---------- --- ---- ---------- -------- ---------- ------ ------- NEW ORIENTAL EDUC ADR 647581107 1,610,493 21,300 X X SOLE 17,000 0 4,300 NIPPON TEL & TEL ADR 654624105 652,387 33,049 X X SOLE 0 0 33,049 OCCIDENTAL PETRLM COM 674599105 13,531,109 166,332 X X SOLE 153,226 0 13,106 OWENS-ILLINOIS COM 690768403 4,081,040 124,157 X X SOLE 124,157 0 0 PNC FINANCIAL COM 693475105 2,727,659 51,670 X X SOLE 51,670 0 0 PEABODY ENERGY COM 704549104 2,601,655 57,546 X X SOLE 57,546 0 0 PERKINELMER INC COM 714046109 3,018,391 146,595 X X SOLE 118,962 0 27,633 PFIZER INC COM 717081103 13,634,133 749,540 X X SOLE 721,066 0 28,474 PHILIP MORRIS INT COM 718172109 2,386,706 49,527 X X SOLE 49,527 0 0 PLUM CREEK TIMBER COM 729251108 3,484,757 92,287 X X SOLE 92,287 0 0 PROCTER & GAMBLE COM 742718109 700,763 11,558 X X SOLE 3,950 0 7,608 QUALM INC COM 747525103 14,161,019 306,118 X X SOLE 289,035 0 17,083 RANDGOLD RESOURCE ADR 752344309 45,655,866 576,900 X X SOLE 503,900 0 73,000 RAYONIER INC COM 754907103 3,913,417 92,823 X X SOLE 92,823 0 0 ROYAL DUTCH SHELL ADR 780259107 796,846 13,708 X X SOLE 0 0 13,708 SAFEWAY INC COM 786514208 349,199 16,402 X X SOLE 0 0 16,402 SCHLUMBERGER LTD COM 806857108 838,685 12,885 X X SOLE 2,900 0 9,985 SYMANTEC CORP COM 871503108 10,137,583 566,662 X X SOLE 525,027 0 41,635 TAIWAN SEMICONDUC ADS 874039100 34,736,108 3,036,373 X X SOLE 2,644,089 0 392,284 TERNIUM ADR 880890108 25,474,064 719,200 X X SOLE 686,400 0 32,800 TERRA NOGEN COM 881005201 2,729,498 26,225 X X SOLE 26,225 0 0 TEVA PHARM INDS ADR 881624209 53,900,328 959,422 X X SOLE 946,863 0 12,559 TURKCELL ILETISIM ADR 900111204 1,555,578 88,941 X X SOLE 88,941 0 0 WAL-MART COM 931142103 7,831,014 146,511 X X SOLE 139,270 0 7,241 WELLS FARGO & CO COM 949746101 2,675,546 99,131 X X SOLE 99,131 0 0 VALE S.A. ADR 91912E105 47,779,142 1,645,854 X X SOLE 1,645,854 0 0 VALE S.A. ADR 91912E204 201,206,682 8,106,635 X X SOLE 7,466,113 0 640,522 AT&T INC COM 00206R102 381,825 13,622 X X SOLE 0 0 13,622 ACTIVISION BLIZZ COM 00507V109 342,221 30,803 X X SOLE 0 0 30,803 AE TECH CORP COM 00766T100 9,290,711 337,844 X X SOLE 330,827 0 7,017 ALTRIA GROUP COM 02209S103 676,941 34,485 X X SOLE 1,800 0 32,685 AMERICA MOVIL SA ADR 02364W105 105,522,295 2,246,111 X X SOLE 2,101,631 0 144,480 BCO SANTANDER-CHL ADR 05965X109 10,076,788 155,554 X X SOLE 155,554 0 0 BRF-BRASIL FOODS ADR 10552T107 32,984,668 629,839 X X SOLE 548,439 0 81,400 CA INC COM 12673P105 517,793 23,054 X X SOLE 0 0 23,054 CENTERPOINT ENRGY COM 15189T107 4,373,968 301,445 X X SOLE 271,240 0 30,205 CHINA LIFE INS ADR 16939P106 19,269,779 262,710 X X SOLE 226,969 0 35,741 CHINA MOBILE LTD ADR 16941M109 37,737,793 812,789 X X SOLE 800,689 0 12,100 SIDERURGICA NACL ADR 20440W105 18,309,269 573,419 X X SOLE 573,419 0 0 CIA DE BEBIDAS ADR 20441W203 19,390,377 191,813 X X SOLE 186,038 0 5,775 CTRIP. INTL ADS 22943F100 28,276,910 393,500 X X SOLE 335,200 0 58,300 DESARROLLADORA HO ADR 25030W100 35,069,224 1,043,106 X X SOLE 976,006 0 67,100 DEVON ENERGY COM 25179M103 9,161,850 124,651 X X SOLE 115,764 0 8,887 DIRECTV COM 25490A101 12,149,404 364,300 X X SOLE 356,710 0 7,590 EQUINIX COM 29444U502 2,371,285 22,339 X X SOLE 22,339 0 0 EXXON MOBIL CORP COM 30231G102 30,154,913 442,219 X X SOLE 430,757 0 11,462 FREEPORT-MCMORAN COM 35671D857 2,608,622 32,490 X X SOLE 32,490 0 0 GOLDMAN SACHS GRP COM 38141G104 8,837,760 52,344 X X SOLE 48,077 0 4,267 GOOGLE INC COM 38259P508 14,764,823 23,815 X X SOLE 23,569 0 246 GPO TELEVISA ADR 40049J206 13,515,549 651,038 X X SOLE 651,038 0 0 ICICI BANK LTD ADR 45104G104 1,625,301 43,100 X X SOLE 0 0 43,100 IVANHOE MINES COM 46579N103 229,596 15,715 X X SOLE 0 0 15,715 JP MORGAN CHASE COM 46625H100 8,742,074 209,793 X X SOLE 196,255 0 13,538 JUNIPER NETWORKS COM 48203R104 4,148,999 155,568 X X SOLE 150,192 0 5,376 **LIBERTY MEDIA COM 53071M500 782,443 21,789 X X SOLE 0 0 21,789 METHANEX CORP COM 59151K108 806,829 39,300 X X SOLE 0 0 39,300 METLIFE INC COM 59156R108 480,866 13,603 X X SOLE 6,500 0 7,103 MOLSON COORS BREW COM 60871R209 1,920,248 42,521 X X SOLE 42,521 0 0 MONSANTO CO COM 61166W101 26,527,793 324,499 X X SOLE 317,277 0 7,222 MOSAIC CO COM 61945A107 3,559,729 59,597 X X SOLE 59,597 0 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------ -------------- --------- ----------- ------------------- ---------- -------- ------------------------- SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP VALUE PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------ -------------- --------- ----------- ---------- --- ---- ---------- -------- ---------- ------ ------- OFFICEMAX INC COM 67622P101 2,002,304 157,786 X X SOLE 157,786 0 0 VIMPEL MS ADR 68370R109 227,127,881 12,217,745 X X SOLE 11,947,233 0 270,512 PG & E CORP(HLDG) COM 69331C108 352,199 7,888 X X SOLE 0 0 7,888 PETROLEO BRASIL ADS 71654V408 106,628,690 2,236,340 X X SOLE 2,131,321 0 105,019 POLY INC COM 73172K104 3,366,231 134,811 X X SOLE 134,811 0 0 POTASH SASKATCHWN COM 73755L107 30,089,981 277,327 X X SOLE 266,226 0 11,101 PRAXAIR INC COM 74005P104 200,775 2,500 X X SOLE 2,500 0 0 PRINCIPAL FIN COM 74251V102 14,342,721 596,619 X X SOLE 581,769 0 14,850 SK TELE ADS 78440P108 1,251,223 76,951 X X SOLE 0 0 76,951 SPDR TRUST ITR 78462F103 2,699,856 24,227 X X SOLE 16,857 0 7,370 SELECT SECTOR ITR 81369Y803 473,436 20,647 X X SOLE 20,647 0 0 SHIRE PLC ADR 82481R106 3,915,290 66,700 X X SOLE 63,000 0 3,700 TIM PARTICIPACOES ADR 88706P106 11,830,522 398,200 X X SOLE 398,200 0 0 VERIZON MS COM 92343V104 2,735,445 82,567 X X SOLE 82,567 0 0 VIRGIN MEDIA INC COM 92769L101 3,849,071 228,703 X X SOLE 217,437 0 11,266 VISA INC COM 92826C839 4,374,137 50,013 X X SOLE 47,721 0 2,292 VIVO PARTICIPACO ADR 92855S200 18,302,400 590,400 X X SOLE 590,400 0 0 WALTER ENERGY INC COM 93317Q105 38,684,337 513,668 X X SOLE 510,599 0 3,069 WIMM BILL DANN ADR 97263M109 76,550,967 3,212,378 X X SOLE 3,022,706 0 189,672 XTO ENERGY COM 98385X106 11,670,467 250,816 X X SOLE 229,234 0 21,582 ZIMMER HOLDINGS COM 98956P102 6,029,457 102,004 X X SOLE 99,150 0 2,854
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