0001481045-12-000019.txt : 20120510
0001481045-12-000019.hdr.sgml : 20120510
20120510095349
ACCESSION NUMBER: 0001481045-12-000019
CONFORMED SUBMISSION TYPE: 13F-NT
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120331
FILED AS OF DATE: 20120510
DATE AS OF CHANGE: 20120510
EFFECTIVENESS DATE: 20120510
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Daiwa Capital Markets America Inc.
CENTRAL INDEX KEY: 0001489000
IRS NUMBER: 135680329
STATE OF INCORPORATION: NY
FISCAL YEAR END: 0331
FILING VALUES:
FORM TYPE: 13F-NT
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14430
FILM NUMBER: 12828086
BUSINESS ADDRESS:
STREET 1: FINANCIAL SQUARE
STREET 2: 32 OLD SLIP
CITY: NEW YORK
STATE: NY
ZIP: 10005
BUSINESS PHONE: 212-612-6266
MAIL ADDRESS:
STREET 1: FINANCIAL SQUARE
STREET 2: 32 OLD SLIP
CITY: NEW YORK
STATE: NY
ZIP: 10005
13F-NT
1
DCMA13FNT.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: 03/31/2012
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: DAIWA CAPITAL MARKETS AMERICA INC.
Address: FINANCIAL SQUARE, 32 OLD SLIP
NEW YORK, NEW YORK 10005
Form 13F File Number: 028-14430
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: TAKAYUKI SAWANO
Title: PRESIDENT & CHIEF EXECUTIVE OFFICER
Phone: 212-612-6661
Signature, Place, and Date of Signing:
/s/ Takayuki Sawano New York, NY 05/04/2012
------------------------------------- --------------------- ----------------
[Signature] [City, State] [Date]
Report Type (Check only one.):
[ ] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager
are reported in this report.)
[X] 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).)
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section]
Form 13F File Number Name
-------------------- ----
028-14426 DAIWA SECURITIES GROUP INC.