Chief Operating Officer

0001140361-13-034662.txt : 20130830 0001140361-13-034662.hdr.sgml : 20130830 20130830093500 ACCESSION NUMBER: 0001140361-13-034662 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20130830 DATE AS OF CHANGE: 20130830 EFFECTIVENESS DATE: 20130830 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Mirae Asset Global Investments Co., Ltd. CENTRAL INDEX KEY: 0001569395 IRS NUMBER: 000000000 STATE OF INCORPORATION: M5 FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15178 FILM NUMBER: 131071012 BUSINESS ADDRESS: STREET 1: EAST TOWER 26F MIRAE ASSET CENTER1 STREET 2: 67 SUHA-DONG, JUNG-GU CITY: SEOUL STATE: M5 ZIP: 100-210 BUSINESS PHONE: 82-2-3774-5986 MAIL ADDRESS: STREET 1: EAST TOWER 26F MIRAE ASSET CENTER1 STREET 2: 67 SUHA-DONG, JUNG-GU CITY: SEOUL STATE: M5 ZIP: 100-210 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001569395 XXXXXXXX 03-31-2011 03-31-2011 Mirae Asset Global Investments Co., Ltd.

EAST TOWER 26F MIRAE ASSET CENTER1 67 SUHA-DONG, JUNG-GU SEOUL M5 100-210

13F HOLDINGS REPORT 028-15178 N Robert Shea Chief Operating Officer 212-205-8300 Robert Shea New York NY 08-30-2013 3 194 1121231 false 1 0001423255 028-15175 Mirae Asset Global Investments (Hong Kong) LTD 2 0001568512 028-15176 Mirae Asset Global Investments (USA) Inc. 3 0001488106 028-15177 Mirae Asset Global Investments (USA), LLC INFORMATION TABLE 2 form13fInfoTable.xml 3M CO COM 88579Y101 294 3142 SH DFND 1 2 3 3142 0 0 51JOB INC SP ADR REP COM 316827104 4670 73055 SH DFND 1 73055 0 0 ADECOAGRO S A COM L00849106 140 10400 SH DFND 10400 0 0 AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 1183 40739 SH DFND 1 2 3 40739 0 0 AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 1419 48859 SH SOLE 48859 0 0 APACHE CORP COM 037411105 209 1600 SH SOLE 1600 0 0 APPLE INC COM 037833100 137044 393231 SH DFND 1 2 3 393231 0 0 ARCHER DANIELS MIDLAND CO COM 039483102 454 12600 SH SOLE 12600 0 0 BAIDU INC SPON ADR REP A 056752108 101298 735056 SH DFND 1 735056 0 0 BAIDU INC SPON ADR REP A 056752108 845 6130 SH DFND 1 2 3 6130 0 0 BANCO BRADESCO S A SP ADR PFD NEW 059460303 2749 143603 SH DFND 1 2 3 143603 0 0 BANCO BRADESCO S A SP ADR PFD NEW 059460303 3931 208387 SH SOLE 208387 0 0 BANCO SANTANDER BRASIL S A ADS REP 1 UNIT 05967A107 457 37310 SH SOLE 37310 0 0 BANCOLOMBIA S A SPON ADR PREF 05968L102 936 14944 SH DFND 1 2 3 14944 0 0 BANCOLOMBIA S A SPON ADR PREF 05968L102 1164 18584 SH SOLE 18584 0 0 BANK OF AMERICA CORPORATION COM 060505104 61125 4585506 SH DFND 1 2 3 4585506 0 0 BARCLAYS BANK PLC ETN DJUBS GRNS37 06739H305 1857 34000 SH SOLE 34000 0 0 BARCLAYS BK PLC IPTH S&P VIX NEW 06740C261 467 3976 SH DFND 1 3976 0 0 BARCLAYS BK PLC IPATH S&P MT ETN 06740C519 416 7562 SH DFND 1 7562 0 0 BLDRS INDEX FDS TR EMER MK 50 ADR 09348R300 200 4130 SH DFND 1 2 3 4130 0 0 BOEING CO COM 097023105 226 3060 SH DFND 1 2 3 3060 0 0 BRF-BRASIL FOODS S A SPONSORED ADR 10552T107 2627 137614 SH DFND 1 2 3 137614 0 0 BRF-BRASIL FOODS S A SPONSORED ADR 10552T107 3697 193678 SH SOLE 193678 0 0 BUNGE LIMITED COM G16962105 405 5600 SH SOLE 5600 0 0 CATERPILLAR INC DEL COM 149123101 419 3760 SH SOLE 3760 0 0 CATERPILLAR INC DEL COM 149123101 340 3055 SH DFND 1 2 3 3055 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 123 14851 SH SOLE 14851 0 0 CENTRAIS ELETRICAS BRASILEIR SPON ADR PFD B 15234Q108 231 11920 SH SOLE 11920 0 0 CENTRAIS ELETRICAS BRASILEIR SPONSORED ADR 15234Q207 333 21480 SH SOLE 21480 0 0 CHEVRON CORP NEW COM 166764100 329 3059 SH DFND 1 2 3 3059 0 0 CHEVRON CORP NEW COM 166764100 374 3478 SH SOLE 3478 0 0 CHINA LIFE INS CO LTD SPON ADR REP H 16939P106 45 806 SH DFND 1 2 3 806 0 0 CHINA LIFE INS CO LTD SPON ADR REP H 16939P106 393 7017 SH SOLE 7017 0 0 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 81 1743 SH DFND 1 2 3 1743 0 0 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 872 18849 SH SOLE 18849 0 0 CHINA PETE & CHEM CORP SPON ADR H SHS 16941R108 20 256 SH DFND 1 2 3 256 0 0 CHINA PETE & CHEM CORP SPON ADR H SHS 16941R108 361 4665 SH SOLE 4665 0 0 CHINA TELECOM CORP LTD SPON ADR H SHS 169426103 212 3477 SH SOLE 3477 0 0 CHINA TELECOM CORP LTD SPON ADR H SHS 169426103 13 211 SH DFND 1 2 3 211 0 0 CHINA UNICOM (HONG KONG) LTD SPONSORED ADR 16945R104 36 2183 SH DFND 1 2 3 2183 0 0 CHINA UNICOM (HONG KONG) LTD SPONSORED ADR 16945R104 404 24355 SH SOLE 24355 0 0 CISCO SYS INC COM 17275R102 53 3063 SH DFND 1 2 3 3063 0 0 CISCO SYS INC COM 17275R102 149 8703 SH SOLE 8703 0 0 CITIGROUP INC COM 172967101 61235 13854182 SH DFND 1 2 3 13854182 0 0 CNOOC LTD SPONSORED ADR 126132109 83 328 SH DFND 1 2 3 328 0 0 CNOOC LTD SPONSORED ADR 126132109 1138 4497 SH SOLE 4497 0 0 COACH INC COM 189754104 29364 564256 SH DFND 1 2 3 564256 0 0 COCA COLA CO COM 191216100 120 3619 SH SOLE 3619 0 0 COCA COLA CO COM 191216100 101 3059 SH DFND 1 2 3 3059 0 0 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 7977 98002 SH DFND 1 98002 0 0 COMPANHIA BRASILEIRA DE DIST SPN ADR PFD CL A 20440T201 2091 49877 SH DFND 1 2 3 49877 0 0 COMPANHIA BRASILEIRA DE DIST SPN ADR PFD CL A 20440T201 2039 48632 SH SOLE 48632 0 0 COMPANHIA DE BEBIDAS DAS AME SPON ADR PFD 20441W203 2708 95642 SH DFND 1 2 3 95642 0 0 COMPANHIA DE BEBIDAS DAS AME SPON ADR PFD 20441W203 3865 136517 SH SOLE 136517 0 0 COMPANHIA ENERGETICA DE MINA SP ADR N-V PFD 204409601 16 1190 SH DFND 1 1190 0 0 COMPANHIA ENERGETICA DE MINA SP ADR N-V PFD 204409601 713 52169 SH DFND 1 2 3 52169 0 0 COMPANHIA ENERGETICA DE MINA SP ADR N-V PFD 204409601 1088 79661 SH SOLE 79661 0 0 COMPANHIA PARANAENSE ENERG C SPON ADR PFD 20441B407 758 27270 SH DFND 1 2 3 27270 0 0 COMPANHIA PARANAENSE ENERG C SPON ADR PFD 20441B407 984 35392 SH SOLE 35392 0 0 COMPANHIA SIDERURGICA NACION SPONSORED ADR 20440W105 2778 166776 SH DFND 1 2 3 166776 0 0 COMPANHIA SIDERURGICA NACION SPONSORED ADR 20440W105 3494 209730 SH SOLE 209730 0 0 COMPANIA DE MINAS BUENAVENTU SPONSORED ADR 204448104 1363 31711 SH SOLE 31711 0 0 COMPANIA DE MINAS BUENAVENTU SPONSORED ADR 204448104 1074 24991 SH DFND 1 2 3 24991 0 0 COSAN LTD SHS A G25343107 416 32260 SH DFND 1 2 3 32260 0 0 COSAN LTD SHS A G25343107 86 6700 SH SOLE 6700 0 0 CTC MEDIA INC COM 12642X106 1727 73275 SH DFND 1 2 3 73275 0 0 CTRIP COM INTL LTD AMERICAN DEP SHS 22943F100 63396 1527986 SH DFND 1 1527986 0 0 CTRIP COM INTL LTD AMERICAN DEP SHS 22943F100 22 541 SH DFND 1 2 3 541 0 0 CURRENCYSHARES SWISS FRANC T SWISS FRANC SH 23129V109 350 3249 SH DFND 1 3249 0 0 CURRENCYSHS JAPANESE YEN TR JAPANESE YEN 23130A102 325 2739 SH DFND 1 2739 0 0 DISNEY WALT CO COM DISNEY 254687106 166 3854 SH SOLE 3854 0 0 DISNEY WALT CO COM DISNEY 254687106 132 3063 SH DFND 1 2 3 3063 0 0 DOW CHEM CO COM 260543103 831 22000 SH SOLE 22000 0 0 EASTMAN CHEM CO COM 277432100 397 8000 SH SOLE 8000 0 0 ECOPETROL S A SPONSORED ADS 279158109 1406 33748 SH DFND 1 2 3 33748 0 0 ECOPETROL S A SPONSORED ADS 279158109 1745 41868 SH SOLE 41868 0 0 EMBRAER S A SP ADR REP 4 COM 29082A107 1490 44202 SH DFND 1 2 3 44202 0 0 EMBRAER S A SP ADR REP 4 COM 29082A107 1756 52119 SH SOLE 52119 0 0 EMPRESA NACIONAL DE ELCTRCID SPONSORED ADR 29244T101 1038 18657 SH DFND 1 2 3 18657 0 0 EMPRESA NACIONAL DE ELCTRCID SPONSORED ADR 29244T101 1271 22857 SH SOLE 22857 0 0 ENERSIS S A SPONSORED ADR 29274F104 103 4978 SH DFND 1 2 3 4978 0 0 ENERSIS S A SPONSORED ADR 29274F104 307 14778 SH SOLE 14778 0 0 EXXON MOBIL CORP COM 30231G102 276 3281 SH SOLE 3281 0 0 EXXON MOBIL CORP COM 30231G102 236 2809 SH DFND 1 2 3 2809 0 0 FIBRIA CELULOSE S A SP ADR REP COM 31573A109 255 15514 SH SOLE 15514 0 0 FIRST SOLAR INC COM 336433107 418 2596 SH SOLE 2596 0 0 FIRST SOLAR INC COM 336433107 57 356 SH DFND 1 2 3 356 0 0 FOMENTO ECONOMICO MEXICANO S SPON ADR UNITS 344419106 2278 38803 SH DFND 1 2 3 38803 0 0 FOMENTO ECONOMICO MEXICANO S SPON ADR UNITS 344419106 2689 45803 SH SOLE 45803 0 0 GAFISA S A SPONS ADR 362607301 923 71900 SH DFND 1 2 3 71900 0 0 GAFISA S A SPONS ADR 362607301 212 16498 SH SOLE 16498 0 0 GERDAU S A SPONSORED ADR 373737105 1289 103101 SH DFND 1 2 3 103101 0 0 GERDAU S A SPONSORED ADR 373737105 1966 157295 SH SOLE 157295 0 0 GLOBAL X FDS CHINA FINL ETF 37950E606 343 24500 SH SOLE 24500 0 0 GOOGLE INC CL A 38259P508 39270 66927 SH DFND 1 2 3 66927 0 0 GRUPO FINANCIERO GALICIA S A SP ADR 10 SH B 399909100 3991 321102 SH DFND 321102 0 0 GRUPO TELEVISA SA DE CV SP ADR REP ORD 40049J206 2067 84269 SH SOLE 84269 0 0 GRUPO TELEVISA SA DE CV SP ADR REP ORD 40049J206 1669 68029 SH DFND 1 2 3 68029 0 0 ICICI BK LTD ADR 45104G104 694 13927 SH SOLE 13927 0 0 INFOSYS TECHNOLOGIES LTD SPONSORED ADR 456788108 240 3341 SH DFND 1 3341 0 0 INFOSYS TECHNOLOGIES LTD SPONSORED ADR 456788108 155 2159 SH DFND 1 2 3 2159 0 0 INFOSYS TECHNOLOGIES LTD SPONSORED ADR 456788108 1155 16104 SH SOLE 16104 0 0 INTEL CORP COM 458140100 62 3059 SH DFND 1 2 3 3059 0 0 INTEL CORP COM 458140100 171 8459 SH SOLE 8459 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 480 2942 SH DFND 1 2 3 2942 0 0 IRSA INVERSIONES Y REP S A GLOBL DEP RCPT 450047204 467 33665 SH DFND 1 2 3 33665 0 0 IRSA INVERSIONES Y REP S A GLOBL DEP RCPT 450047204 279 20100 SH DFND 20100 0 0 ISHARES GOLD TRUST ISHARES 464285105 729 52000 SH SOLE 52000 0 0 ISHARES INC MSCI STH AFRCA 464286780 357 4889 SH DFND 1 2 3 4889 0 0 ISHARES INC MSCI TAIWAN 464286731 1486 100000 SH SOLE 100000 0 0 ISHARES TR FTSE CHINA25 IDX 464287184 4940 110000 SH SOLE 110000 0 0 ISHARES TR RUSSELL 1000 464287622 255 3449 SH DFND 1 2 3 3449 0 0 ITAU UNIBANCO HLDG SA SPON ADR REP PFD 465562106 4679 209447 SH DFND 1 2 3 209447 0 0 ITAU UNIBANCO HLDG SA SPON ADR REP PFD 465562106 5479 250608 SH SOLE 250608 0 0 JOHNSON CTLS INC COM 478366107 36552 879277 SH DFND 1 2 3 879277 0 0 JPMORGAN CHASE & CO COM 46625H100 212 4603 SH DFND 1 2 3 4603 0 0 LAN AIRLINES S A SPONSORED ADR 501723100 819 32007 SH SOLE 32007 0 0 LAN AIRLINES S A SPONSORED ADR 501723100 647 25287 SH DFND 1 2 3 25287 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 593 15000 SH SOLE 15000 0 0 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 553 9200 SH SOLE 9200 0 0 MARKET VECTORS ETF TR RUSSIA ETF 57060U506 10 246 SH DFND 1 2 3 246 0 0 MARKET VECTORS ETF TR RUSSIA ETF 57060U506 2092 50246 SH SOLE 50246 0 0 MASTERCARD INC CL A 57636Q104 43954 174615 SH DFND 1 2 3 174615 0 0 MCDONALDS CORP COM 580135101 233 3059 SH DFND 1 2 3 3059 0 0 MCDONALDS CORP COM 580135101 271 3558 SH SOLE 3558 0 0 MECHEL OAO SPONSORED ADR 583840103 13068 424428 SH DFND 1 2 3 424428 0 0 MICROSOFT CORP COM 594918104 81 3171 SH DFND 1 2 3 3171 0 0 MICROSOFT CORP COM 594918104 295 11631 SH SOLE 11631 0 0 MOBILE TELESYSTEMS OJSC SPONSORED ADR 607409109 106 4987 SH DFND 1 2 3 4987 0 0 MOBILE TELESYSTEMS OJSC SPONSORED ADR 607409109 1110 52282 SH SOLE 52282 0 0 NEW ORIENTAL ED & TECH GRP I SPON ADR 647581107 10347 413599 SH DFND 1 413599 0 0 NEW ORIENTAL ED & TECH GRP I SPON ADR 647581107 20508 796913 SH DFND 1 2 3 796913 0 0 NEXTERA ENERGY INC COM 65339F101 331 6000 SH SOLE 6000 0 0 PETROCHINA CO LTD SPONSORED ADR 71646E100 70 462 SH DFND 1 2 3 462 0 0 PETROCHINA CO LTD SPONSORED ADR 71646E100 652 4282 SH SOLE 4282 0 0 PETROLEO BRASILEIRO SA PETRO SP ADR NON VTG 71654V101 4400 123797 SH DFND 1 2 3 123797 0 0 PETROLEO BRASILEIRO SA PETRO SP ADR NON VTG 71654V101 7717 217127 SH SOLE 217127 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 4805 118853 SH DFND 1 2 3 118853 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 7588 187671 SH SOLE 187671 0 0 POWERSHS DB MULTI SECT COMM DB AGRICULT FD 73936B408 5614 164000 SH SOLE 164000 0 0 QUALCOMM INC COM 747525103 299 5460 SH SOLE 5460 0 0 RYDEX ETF TRUST S&P 500 EQ TRD 78355W106 734 14539 SH DFND 1 2 3 14539 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 2791 35000 SH SOLE 35000 0 0 SINA CORP ORD G81477104 87097 813686 SH DFND 1 2 3 813686 0 0 SINA CORP ORD G81477104 35801 334464 SH DFND 1 334464 0 0 SOCIEDAD QUIMICA MINERA DE C SPON ADR SER B 833635105 1063 19245 SH SOLE 19245 0 0 SOCIEDAD QUIMICA MINERA DE C SPON ADR SER B 833635105 862 15605 SH DFND 1 2 3 15605 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 1265 10280 SH DFND 1 2 3 10280 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 1052 7524 SH DFND 1 7524 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 1808 12924 SH SOLE 12924 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 728 5491 SH DFND 1 2 3 5491 0 0 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 563 9411 SH DFND 1 9411 0 0 SPDR SERIES TRUST S&P HOMEBUILD 78464A888 728 40000 SH SOLE 40000 0 0 SPDR SERIES TRUST SPDR KBW BK ETF 78464A797 1291 50000 SH SOLE 50000 0 0 STARWOOD HOTELS&RESORTS WRLD COM 85590A401 63789 1097535 SH SOLE 1097535 0 0 STARWOOD HOTELS&RESORTS WRLD COM 85590A401 63722 1096391 SH DFND 1 2 3 1096391 0 0 STERLITE INDS INDIA LTD ADS 859737207 17 1126 SH DFND 1 2 3 1126 0 0 STERLITE INDS INDIA LTD ADS 859737207 238 15430 SH SOLE 15430 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 112 9216 SH DFND 1 2 3 9216 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 156 12814 SH SOLE 12814 0 0 TAL ED GROUP ADS REPSTG COM 874080104 1079 98703 SH DFND 1 2 3 98703 0 0 TAL ED GROUP ADS REPSTG COM 874080104 35 3196 SH SOLE 3196 0 0 TATA MTRS LTD SPONSORED ADR 876568502 322 11596 SH SOLE 11596 0 0 TELE NORTE LESTE PART S A SPON ADR PFD 879246106 800 45649 SH DFND 1 2 3 45649 0 0 TELE NORTE LESTE PART S A SPON ADR PFD 879246106 1101 62809 SH SOLE 62809 0 0 TELECOMUNICACOES DE SAO PAUL SPON ADR PFD 87929A102 1921 77975 SH SOLE 77975 0 0 TELECOMUNICACOES DE SAO PAUL SPON ADR PFD 87929A102 1598 64893 SH DFND 1 2 3 64893 0 0 TELEFONOS DE MEXICO S A B SPON ADR ORD L 879403780 801 43845 SH DFND 1 2 3 43845 0 0 TELEFONOS DE MEXICO S A B SPON ADR ORD L 879403780 939 51405 SH SOLE 51405 0 0 TERNIUM SA SPON ADR 880890108 637 17716 SH DFND 17716 0 0 TRINA SOLAR LIMITED SPON ADR 89628E104 327 10840 SH SOLE 10840 0 0 TRINA SOLAR LIMITED SPON ADR 89628E104 13 430 SH DFND 1 2 3 430 0 0 ULTRAPAR PARTICIPACOES S A SP ADR REP PFD 90400P101 1585 93532 SH DFND 1 2 3 93532 0 0 ULTRAPAR PARTICIPACOES S A SP ADR REP PFD 90400P101 2028 119648 SH SOLE 119648 0 0 UNITED TECHNOLOGIES CORP COM 913017109 259 3060 SH DFND 1 2 3 3060 0 0 VALE S A ADR 91912E105 22 663 SH DFND 1 663 0 0 VALE S A ADR 91912E105 3933 117945 SH DFND 1 2 3 117945 0 0 VALE S A ADR 91912E105 6622 198568 SH SOLE 198568 0 0 VALE S A ADR REPSTG PFD 91912E204 6667 225841 SH DFND 1 2 3 225841 0 0 VALE S A ADR REPSTG PFD 91912E204 8521 288641 SH SOLE 288641 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 538 6719 SH DFND 1 6719 0 0 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 347 7080 SH DFND 1 7080 0 0 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 4752 97080 SH SOLE 97080 0 0 WIMM BILL DANN FOODS OJSC SPONSORED ADR 97263M109 808 24151 SH SOLE 24151 0 0 WIMM BILL DANN FOODS OJSC SPONSORED ADR 97263M109 27 795 SH DFND 1 2 3 795 0 0 WIPRO LTD SPON ADR 1 SH 97651M109 67 5112 SH DFND 1 2 3 5112 0 0 WIPRO LTD SPON ADR 1 SH 97651M109 388 29666 SH SOLE 29666 0 0 WISDOMTREE TR EM LCL DEBT FD 97717X867 43 836 SH DFND 1 836 0 0 WISDOMTREE TR EM LCL DEBT FD 97717X867 2120 40836 SH SOLE 40836 0 0 WISDOMTREE TRUST BRAZILN RL ETF 97717W240 924 33500 SH DFND 33500 0 0 YANZHOU COAL MNG CO LTD SPON ADR H SHS 984846105 27 735 SH DFND 1 2 3 735 0 0 YANZHOU COAL MNG CO LTD SPON ADR H SHS 984846105 222 6120 SH SOLE 6120 0 0 YUM BRANDS INC COM 988498101 32450 631578 SH DFND 1 2 3 631578 0 0 ZHONGPIN INC COM 98952K107 443 29212 SH DFND 1 29212 0 0