13F-HR 1 cazenove13f.txt FORM 13F-HR - CAZENOVE FUND MANAGEMENT LTD UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2006 Check here if Amendment [ ] Amendment Number: _________ This Amendment (check only one): [ ] is a restatement. [ ] adds a new holdings entries. Institutional Investment Manager Filing this Report: Name: CAZENOVE FUND MANAGEMENT LTD ---------------------------------- 12 Moogate ---------------------------------- London, England EC2R 6DA ---------------------------------- Form 13F File Number: 028-06525 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 the 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: Jeremy Turnbull Title: Compliance Officer Phone: +44 (0)20 7155 5012 Signature, Place, and Date of Signing: Jeremy Turnbull London, England 2nd October 2006 --------------- --------------- ---------------- [Date] Report Type: [X] 13F HOLDINGS REPORT [ ] 13F NOTICE [ ] 13F COMBINATION REPORT Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ---------------------- Form 13F Information Table Entry Total: 127 ---------------------- Form 13F Information Table Value Total: $40,979 ---------------------- List of Other Included Managers: NONE 2
Cazenove Fund Management Limited Form 13F Information Table Name of issuer Title of CUSIP Value Shrs or SH Put/Call Investment Other Voting authority class (x$1000) prn amt /PRN discretion managers -------------- ----- ----- -------- ------- ---- -------- ---------- -------- -------------------- Sole Shared None ---- ------ ---- ABBOTT LABS COM NPV 002824100 97 2000 SH Sole N/A 2000 ALCOA INC COM USD1 013817101 85 3025 SH Sole N/A 3025 ALKERMES INC COM USD0.01 01642T108 17 1100 SH Sole N/A 1100 ALLSTATE CORP COM USD0.01 020002101 19 300 SH Sole N/A 300 ALTRIA GROUP INC COM 02209S103 488 6375 SH Sole N/A 6375 USD0.333333 AMER EXPRESS CO COM USD0.20 025816109 235 4195 SH Sole N/A 4195 AMER INTL GRP COM USD2.50 026874107 167 2516 SH Sole N/A 2516 AMER POWER CONVERS COM USD0.01 029066107 20 900 SH Sole N/A 900 AMERICREDIT CORP COM USD0.01 03060R101 1,627 65116 SH Sole N/A 65116 AMERIPRISE FINANCI COM STK 03076C106 10 219 SH Sole N/A 219 USD0.01 ANHEUSER-BUSCH COS COM USD1 035229103 228 4800 SH Sole N/A 4800 APPLE COMPUTER CO COM NPV 037833100 40 520 SH Sole N/A 520 APPLIED INDL TECHS COM NPV 03820C105 556 22780 SH Sole N/A 22780 BK OF AMERICA CORP COM USD0.01 060505104 67 1250 SH Sole N/A 1250 BAUSCH & LOMB INC COM USD0.40 071707103 682 13617 SH Sole N/A 13617 BAXTER INTL INC COM USD1 071813109 64 1400 SH Sole N/A 1400
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Name of issuer Title of CUSIP Value Shrs or SH Put/Call Investment Other Voting authority class (x$1000) prn amt /PRN discretion managers -------------- ----- ----- -------- ------- ---- -------- ---------- -------- -------------------- Sole Shared None ---- ------ ---- BEAR STEARNS COS COM USD1 073902108 280 2000 SH Sole N/A 2000 BERKSHIRE HATHAWAY CNV COM USD5 084670108 192 2 SH Sole N/A 2 CLASS'A' BOSTON SCIENTIFIC COM USD0.01 101137107 74 5000 SH Sole N/A 5000 BOTTOMLINE TECH COM USD0.001 101388106 7 750 SH Sole N/A 750 BOWATER INC COM USD1 102183100 1 36 SH Sole N/A 36 BRISTOL-MYRS SQUIB COM USD0.10 110122108 137 5500 SH Sole N/A 5500 BROADCOM CORP CL A 111320107 5 157 SH 157 COM Sole N/A USD0.0001 BROOKFIELD PROPERT COM NPV 112900105 26 750 SH Sole N/A 750 CADIZ INC COM USD0.01 127537207 15 750 SH Sole N/A 750 CAMPBELL SOUP CO CAP 134429109 237 6500 SH Sole N/A 6500 USD0.0375 CANARGO ENERGY COR COM USD0.10 137225108 10 7600 SH Sole N/A 7600 CARNIVAL CORP COM 143658300 5 100 SH 100 USD0.01(PAIRED Sole N/A STOCK) CASH AMERICA INTL COM USD0.10 14754D100 176 4500 SH Sole N/A 4500 CHEVRON CORP COM USD0.75 166764100 39 608 SH Sole N/A 608 CHUBB CORP COM USD1 171232101 125 2410 SH Sole N/A 2410 CISCO SYSTEMS COM USD0.001 17275R102 34 1500 SH Sole N/A 1500 CITIGROUP INC COM USD0.01 172967101 408 8216 SH Sole N/A 8216
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Name of issuer Title of CUSIP Value Shrs or SH Put/Call Investment Other Voting authority class (x$1000) prn amt /PRN discretion managers -------------- ----- ----- -------- ------- ---- -------- ---------- -------- -------------------- Sole Shared None ---- ------ ---- COCA-COLA CO COM USD0.25 191216100 2,058 46061 SH Sole N/A 46061 COGNEX CORP COM USD0.002 192422103 51 2000 SH Sole N/A 2000 COHERENT INC COM USD0.01 192479103 7 200 SH Sole N/A 200 COLGATE-PALMOLIVE COM USD1 194162103 451 7275 SH Sole N/A 7275 COLUMBIA LABS INC COM USD0.01 197779101 3 889 SH Sole N/A 889 COMCAST CORP COM CLS'A' USD1 20030N101 78 2111 SH Sole N/A 2111 COMCAST CORP A'SPL COM 20030N200 715 19410 SH Sole N/A 19410 USD1 DADE BEHRING INC COM USD0.01 23342J206 14 360 SH Sole N/A 360 DIGITAL RIVER INC COM STK 25388B104 204 4000 SH Sole N/A 4000 USD0.01 DOVER CORP COM USD1 260003108 557 11744 SH Sole N/A 11744 DU PONT DE NEMOURS COM USD0.30 263534109 154 3600 SH Sole N/A 3600 ENBRIDGE INC COM NPV 29250N105 23 700 SH Sole N/A 700 ESCO TECHNOLOGIES COM USD0.01 296315104 2 44 SH Sole N/A 44 EXXON MOBIL CORP COM NPV 30231G102 4,295 64014 SH Sole N/A 64014 FUEL-TECH NV COM USD0.01 359523107 80 5400 SH Sole N/A 5400 GARDNER DENVER INC COM USD0.01 365558105 5 156 SH Sole N/A 156 GEN ELEC CO COM USD0.06 369604103 3,430 97162 SH Sole N/A 97162 GENZYME CORP COM USD0.01 372917104 225 3341 SH Sole N/A 3341 GLAMIS GOLD COM NPV 376775102 73 1857 SH Sole N/A 1857
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Name of issuer Title of CUSIP Value Shrs or SH Put/Call Investment Other Voting authority class (x$1000) prn amt /PRN discretion managers -------------- ----- ----- -------- ------- ---- -------- ---------- -------- -------------------- Sole Shared None ---- ------ ---- GLAXOSMITHKLINE SPON 37733W105 456 8566 SH 8566 ADR(CNV 2 Sole N/A ORD GBP0.25) GOOGLE INC COM 38259P508 858 2135 SH 2135 USD0.001 Sole N/A CL'A' HALLIBURTON COM USD2.50 406216101 55 1920 SH Sole N/A 1920 HALLMARK FIN SVCS COM STK 40624Q203 19 1666 SH Sole N/A 1666 USD0.18 HARVARD BIOSCIENCE COM USD0.01 416906105 4 956 SH Sole N/A 956 HONEYWELL INTL INC COM USD1 438516106 343 8400 SH Sole N/A 8400 IMATION CORP COM USD0.01 45245A107 4 104 SH Sole N/A 104 INCO COM NPV 453258402 34 450 SH Sole N/A 450 INTEL CORP COM USD0.001 458140100 230 11200 SH Sole N/A 11200 INTERACTIVE DATA COM USD0.01 45840J107 20 1000 SH Sole N/A 1000 INTL BUSINESS MCHN COM USD0.20 459200101 732 8933 SH Sole N/A 8933 ISHARES TRUST COMEX GOLD 464285105 205 3450 SH Sole N/A 3450 ETF USD ISHARES INC MSCI 464286665 208 1875 SH Sole N/A 1875 PACIFIC EX JP INDEX FD ISHARES INC MSCI 464286673 43 4590 SH Sole N/A 4590 SINGAPORE FREE IDX FD ISHARES INC MSCI 464286731 135 10560 SH Sole N/A 10560 TAIWAN INDEX FUND
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Name of issuer Title of CUSIP Value Shrs or SH Put/Call Investment Other Voting authority class (x$1000) prn amt /PRN discretion managers -------------- ----- ----- -------- ------- ---- -------- ---------- -------- -------------------- Sole Shared None ---- ------ ---- ISHARES INC MSCI SOUTH 464286772 53 1140 SH Sole N/A 1140 KOREA INDEX FUND ISHARES INC MSCI JAPAN 464286848 278 20500 SH Sole N/A 20500 INDEX FUND ISHARES TRUST DOW 464287168 3,616 54440 SH Sole N/A 54440 JONES SELECT DIVI IDX ISHARES TRUST US TREAS 464287176 202 2000 SH Sole N/A 2000 INFLATION PROTECTE ISHARES TRUST KLD 464288802 225 4010 SH Sole N/A 4010 SELECT SOCIAL INDEX FD ISOLAGEN COM USD0.01 46488N103 17 5000 SH Sole N/A 5000 JP MORGAN CHASE & COM USD1 46625H100 247 5262 SH Sole N/A 5262 JSC MMC NORILSK NI ADR EACH 46626D108 36 275 SH 275 REP 1 ORD Sole N/A RUB1 JACUZZI BRANDS INC COM USD0.01 469865109 1 110 SH Sole N/A 110 JOHNSON & JOHNSON COM USD1 478160104 1,183 18226 SH Sole N/A 18226 JONES LANG LASALLE COM USD0.01 48020Q107 85 1000 SH Sole N/A 1000 L 3 COMMUNICATIONS 502424104 74 940 SH Sole N/A 940 COM USD0.01
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Name of issuer Title of CUSIP Value Shrs or SH Put/Call Investment Other Voting authority class (x$1000) prn amt /PRN discretion managers -------------- ----- ----- -------- ------- ---- -------- ---------- -------- -------------------- Sole Shared None ---- ------ ---- MANULIFE FINL CORP COM NPV 56501R106 32 1000 SH Sole N/A 1000 MARSH & MCLENNAN COM USD1 571748102 405 14389 SH Sole N/A 14389 MCDONALD'S CORP COM USD0.01 580135101 897 22936 SH Sole N/A 22936 MEDCOHEALTH SOLUTI COM USD0.01 58405U102 121 2012 SH Sole N/A 2012 MERCK & CO INC COM USD0.01 589331107 733 17488 SH Sole N/A 17488 MICROSOFT CORP COM 594918104 160 5840 SH Sole N/A 5840 USD0.0000125 MICRON TECHNOLOGY COM USD0.10 595112103 9 500 SH Sole N/A 500 MORGAN STANLEY COM USD0.01 617446448 1,032 14167 SH Sole N/A 14167 MORGAN ST ASIA-PAC COM USD0.01 61744U106 234 13900 SH Sole N/A 13900 NEKTAR THERAPEUTIC COM 640268108 106 7341 SH Sole N/A 7341 USD0.0001 NEWMONT MINING CP COM USD1.60 651639106 134 3140 SH Sole N/A 3140 NOKIA OYJ SPON ADR-REP 1 654902204 8 400 SH Sole N/A 400 EUR0.06
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Name of issuer Title of CUSIP Value Shrs or SH Put/Call Investment Other Voting authority class (x$1000) prn amt /PRN discretion managers -------------- ----- ----- -------- ------- ---- -------- ---------- -------- -------------------- Sole Shared None ---- ------ ---- OIL SVC HOLDERS TR 678002106 129 1000 SH 1000 DEP RECEIPT(REP Sole N/A OIL SVC HLD ORACLE CORP COM USD0.01 68389X105 516 29100 SH Sole N/A 29100 PALL CORP COM USD0.10 696429307 571 18535 SH Sole N/A 18535 PEPSICO INC CAP 713448108 411 6300 SH Sole N/A 6300 USD0.016666 PETROL BRASILEIROS ADS COM NPV 71654V408 117 1400 SH Sole N/A 1400 EACH 1 REP 4 PFIZER INC COM USD0.05 717081103 30 1050 SH Sole N/A 1050 PROCTER & GAMBLE COM NPV 742718109 93 1500 SH Sole N/A 1500 PULTE HOMES INC COM USD0.01 745867101 127 4000 SH Sole N/A 4000 RPM INTERNATIONAL COM USD0.01 749685103 167 8788 SH Sole N/A 8788 ROWAN COS INC COM USD0.125 779382100 8 250 SH Sole N/A 250 ROYAL DUTCH SHELL ADR EA REP 780259206 1,322 20000 SH 20000 2 CL'A' Sole N/A EUR0.07 ST PAUL TRAVELERS COM NPV 792860108 354 7557 SH Sole N/A 7557
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Name of issuer Title of CUSIP Value Shrs or SH Put/Call Investment Other Voting authority class (x$1000) prn amt /PRN discretion managers -------------- ----- ----- -------- ------- ---- -------- ---------- -------- -------------------- Sole Shared None ---- ------ ---- SAKS INC COM USD0.10 79377W108 9 500 SH Sole N/A 500 SANDERS MORRIS HAR COM USD0.001 80000Q104 13 1111 SH Sole N/A 1111 SEA CONTAINERS CL'A' COM 811371707 2 2000 SH 2000 USD0.01(1/10 Sole N/A VOTE) SHERWIN-WILLIAMS COM USD1 824348106 273 4900 SH Sole N/A 4900 SMURFIT-STONE CONT COM USD0.01 832727101 389 34773 SH Sole N/A 34773 STAPLES INC COM 855030102 24 1000 SH Sole N/A 1000 USD0.0006 STRATEGIC DIAGNOST COM USD0.01 862700101 1 199 SH Sole N/A 199 STREETTRACKS DJ US 86330E208 1,307 16760 SH Sole N/A 16760 LARGE CAP VALUE INDEX SULPHCO INC COM USD0.001 865378103 47 7650 SH Sole N/A 7650 SYSCO CORP COM USD1 871829107 214 6400 SH Sole N/A 6400 THERMO ELECTRON CO COM USD1 883556102 296 7530 SH Sole N/A 7530 3M COMPANY COM 88579Y101 309 4160 SH Sole N/A 4160 USD0.01 TIBCO SOFTWARE INC COM USD0.001 88632Q103 1 162 SH Sole N/A 162
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Name of issuer Title of CUSIP Value Shrs or SH Put/Call Investment Other Voting authority class (x$1000) prn amt /PRN discretion managers -------------- ----- ----- -------- ------- ---- -------- ---------- -------- -------------------- Sole Shared None ---- ------ ---- TIME WARNER INC COM USD0.01 887317105 9 525 SH Sole N/A 525 TOLL BROS INC COM USD0.01 889478103 98 3500 SH Sole N/A 3500 TYCO INTERNATIONAL COM USD0.20 902124106 195 7000 SH Sole N/A 7000 UTD TECHNOLOGIES COM USD1 913017109 142 2250 SH Sole N/A 2250 VIVENDI SA SPON ADR 1 92851S204 437 13120 SH 13120 REP 1 ORD Sole N/A EUR5.5 WACHOVIA CORP COM 929903102 482 8640 SH Sole N/A 8640 USD3.333 1/3 WAL-MART STORES IN COM USD0.10 931142103 655 13300 SH Sole N/A 13300 WYETH COM USD0.333 983024100 308 6070 SH Sole N/A 6070 YAHOO INC COM USD0.001 984332106 20 776 SH Sole N/A 776 YUM BRANDS INC COM NPV 988498101 37 720 SH Sole N/A 720 ZIMMER HLDGS INC COM USD0.01 98956P102 34 510 SH Sole N/A 510
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