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, 1999
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: Nomura Asset Management U.S.A. Inc.
Address: 180 Maiden Lane
New York
New York 10038
13F File Number: 28-6692
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.
Person Signing this Report on Behalf of Reporting Manager:
Name: John J. Boretti
Title: Senior Vice President
Phone: (212) 509-1538
Signature, Place, and Date of Signing:
/s/ John J. Boretti, New York, New York, October 29, 1999
- --------------------------------------------------------------------------------
Report Type (Check only one.):
|X| 13F HOLDINGS REPORT.
|_| 13F NOTICE.
|_| 13F COMBINATION REPORT.
List of Other Managers Reporting for this Manager:
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934.
<PAGE>
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers:
Form 13F Information Table Entry Total: 167
Form 13F Information Table Value Total: $750,252
List of Other Included Managers:
No. 13F File Number Name
28-6746 Nomura Asset Management Co., Ltd.
<PAGE>
Page 1 of 7
FORM 13F
Name of Reporting Manager: Nomura Asset Management U.S.A. Inc.
<TABLE>
<CAPTION>
Item 1: Item 2: Item 3: Item 4: Item 5: Item 6: Item 7:
Name of Issuer Title of Class CUSIP Fair Market Shares of Investment Discretion Managers
Number Value Principal (a)sole (b)shared- (c)Shared- See Instr. V
(in thousands) Amount As Defined Other
in Instr. V
<S> <C> <C> <C> <C> <C> <C> <C> <C>
Abbott Labs com 002824100 $5,778 157,500 X
AES Corp. com 00130H105 490 8,300 X 1
Air Products &
Chemicals, Inc. com 009158106 448 15,300 X 1
Alcan Aluminum Ltd. com 013716105 444 14,200 X 1
Allied Waste Inds Inc. com 019589308 167 14,300 X 1
AlliedSignal Inc. com 019512102 7,339 122,450 X 1
Aluminum Co. of America com 022249106 6,448 103,900 X 1
Alteon Websystems, Inc. com 02145A109 235 2,500 X 1
Amazon.com, Inc com 023135106 240 3,000 X 1
America Online, Inc. com 02364J104 7,901 75,930 X
America Online, Inc. com 02364J104 12,071 116,000 X 1
American Express Co. com 025816109 11,691 86,600 X 1
American Int'l. Group com 026874107 12,390 142,516 X 1
Ameritech Corporation com 030954101 10,720 160,600 X
Amgen Inc. com 031162100 11,565 141,900 X 1
Anadarko Petroleum Corp. com 032511107 150 4,900 X 1
Anheuser-Busch Cos. com 035229103 7,560 107,900 X
Applied Materials, Inc. com 038222105 9,781 125,900 X
Applied Materials, Inc. com 038222105 9,998 128,700 X 1
Ashland Inc. com 044204105 121 3,600 X 1
At Home Corporation com 045919107 145 3,500 X 1
AT&T Corp. com 001957109 7,971 183,250 X
Atlantic Richfield Co. com 048825103 222 2,500 X 1
Baker Hughes Inc. com 057224107 162 5,600 X 1
Bed Bath, & Beyond Inc. com 075896100 452 12,950 X 1
Page Total $124,489
<CAPTION>
(SEC USE ONLY)
Item 1: Item 8:
Name of Issuer Voting Authority (Shares)
(a)Sole (b)Shared (c)None
<S> <C> <C> <C>
Abbott Labs 157,500
AES Corp. 8,300
Air Products &
Chemicals, Inc. 15,300
Alcan Aluminum Ltd. 14,200
Allied Waste Inds Inc. 14,300
AlliedSignal Inc. 122,450
Aluminum Co. of America 103,900
Alteon Websystems, Inc. 2,500
Amazon.com, Inc 3,000
America Online, Inc. 75,930
America Online, Inc. 116,000
American Express Co. 86,600
American Int'l. Group 142,516
Ameritech Corporation 160,600
Amgen Inc. 141,900
Anadarko Petroleum Corp. 4,900
Anheuser-Busch Cos. 107,900
Applied Materials, Inc. 125,900
Applied Materials, Inc. 128,700
Ashland Inc. 3,600
At Home Corporation 3,500
AT&T Corp. 183,250
Atlantic Richfield Co. 2,500
Baker Hughes Inc. 5,600
Bed Bath, & Beyond Inc. 12,950
Page Total
</TABLE>
<PAGE>
Page 2 of 7
FORM 13F
Name of Reporting Manager: Nomura Asset Management U.S.A. Inc.
<TABLE>
<CAPTION>
Item 1: Item 2: Item 3: Item 4: Item 5: Item 6: Item 7:
Name of Issuer Title of Class CUSIP Fair Market Shares of Investment Discretion Managers
Number Value Principal (a)sole (b)shared- (c)Shared- See Instr. V
(in thousands) Amount As Defined Other
in Instr. V
<S> <C> <C> <C> <C> <C> <C> <C> <C>
Biogen Inc. com 090597105 $402 5,100 X 1
Boise Cascade Corp. com 097383103 164 4,500 X 1
Bristol-Myers Squibb Co. com 110122108 7,938 117,600 X 1
Bristol-Myers Squibb Co. com 110122108 10,766 159,500 X
Broadcom Corp. com 111320107 218 2,000 X 1
Broadvision, Inc. com 111412102 11,936 89,700 X 1
Brooks Automation, Inc. com 11434A100 205 11,700 X 1
Burlington Resources Inc. com 122014103 239 6,500 X 1
Cablevision Systems Corp. com 12686C109 5,493 75,500 X
Chase Manhattan Corp. com 16161A108 8,819 117,000 X 1
Chase Manhattan Corp. com 16161A108 11,819 156,800 X
Cisco Systems Inc. com 17275R102 20,325 296,440 X 1
Cisco Systems Inc. com 17275R102 16,146 235,500 X
Citigroup, Inc. com 172967101 10,740 244,100 X
Coastal Corp. com 190441105 2,284 55,800 X 1
Coca Cola Co. com 191216100 6,996 145,000 X
Coca Cola Co. com 191216100 6,171 127,900 X 1
Comcast Corp. - Class A com 200300101 10,272 257,600 X 1
Conoco Inc. - Class A com 208251306 4,176 150,500 X 1
Copper Mountain Networks, Inc. com 217510106 26 300 X 1
Corning Inc. com 219350105 9,962 145,300 X
Costco Companies Inc. com 22160Q102 454 6,300 X 1
Covad Communications Group com 222814204 131 3,000 X 1
Cyprus Amax Minerals Co. com 232809103 236 12,000 X 1
Cytec Inds. Inc. com 232820100 282 12,000 X 1
Dow Chemical Co. com 260543103 7,596 66,850 X
Page Total $153,796
<CAPTION>
(SEC USE ONLY)
Item 1: Item 8:
Name of Issuer Voting Authority (Shares)
(a)Sole (b)Shared (c)None
<S> <C> <C> <C>
Biogen Inc. 5,100
Boise Cascade Corp. 4,500
Bristol-Myers Squibb Co. 117,600
Bristol-Myers Squibb Co. 159,500
Broadcom Corp. 2,000
Broadvision, Inc. 89,700
Brooks Automation, Inc. 11,700
Burlington Resources Inc. 6,500
Cablevision Systems Corp. 75,500
Chase Manhattan Corp. 117,000
Chase Manhattan Corp. 156,800
Cisco Systems Inc. 296,440
Cisco Systems Inc. 235,500
Citigroup, Inc. 244,100
Coastal Corp. 55,800
Coca Cola Co. 145,000
Coca Cola Co. 127,900
Comcast Corp. - Class A 257,600
Conoco Inc.- Class A 150,500
Copper Mountain Networks, Inc. 300
Corning Inc. 145,300
Costco Companies Inc. 6,300
Covad Communications Group 3,000
Cyprus Amax Minerals Co. 12,000
Cytec Inds. Inc. 12,000
Dow Chemical Co. 66,850
Page Total
</TABLE>
<PAGE>
Page 3 of 7
FORM 13F
Name of Reporting Manager: Nomura Asset Management U.S.A. Inc.
<TABLE>
<CAPTION>
Item 1: Item 2: Item 3: Item 4: Item 5: Item 6: Item 7:
Name of Issuer Title of Class CUSIP Fair Market Shares of Investment Discretion Managers
Number Value Principal (a)sole (b)shared- (c)Shared- See Instr. V
(in thousands) Amount As Defined Other
in Instr. V
<S> <C> <C> <C> <C> <C> <C> <C> <C>
Dow Chemical Co. com 260543103 $273 2,400 X 1
Du Pont(E.I.) De Nemours & Co. com 263534109 321 5,300 X 1
eBay Inc. com 278642103 207 1,470 X 1
Enron Corp. com 293561106 928 22,600 X 1
Exodus Communications Inc. com 302088109 7,206 100,000 X 1
Exxon Corp. com 302290101 8,702 114,500 X 1
Fannie Mae com 313586109 13,236 211,150 X 1
Fifth Third Bancorp com 316773100 426 7,000 X 1
Freeport-McMoran Copper - B com 35671D857 171 11,000 X 1
Gap Inc. com 364760108 6,016 188,000 X 1
General Electric Co. com 369604103 15,289 128,950 X 1
General Electric Co. com 369604103 13,884 117,100 X
General Motors Corp. com 370442105 6,684 106,200 X
Georgia Pacific Corp. com 373298108 170 4,200 X 1
Gillette Company com 375766102 3,794 111,800 X
Goldman Sachs Group, Inc. com 38141G104 1,891 31,000 X 1
GTE Corp. com 362320103 7,465 97,100 X
Halliburton Co. com 406216101 164 4,000 X 1
Halliburton Co. com 406216101 5,531 134,900 X
Healtheon Corporation com 422209106 74 2,000 X 1
Hershey Foods Corp. com 427866108 526 10,800 X
Home Depot com 437076102 10,359 150,950 X 1
Honeywell Inc. com 438506107 779 7,000 X 1
i2 Technologies, Inc. com 465754109 213 5,500 X 1
IMC Global Inc. com 449669100 76 5,200 X 1
Inktomi Corp. com 457277101 60 500 X 1
Page Total $104,445
<CAPTION>
(SEC USE ONLY)
Item 1: Item 8:
Name of Issuer Voting Authority (Shares)
(a)Sole (b)Shared (c)None
<S> <C> <C> <C>
Dow Chemical Co. 2,400
Du Pont(E.I.) De Nemours & Co. 5,300
eBay Inc. 1,470
Enron Corp. 22,600
Exodus Communications Inc. 100,000
Exxon Corp. 114,500
Fannie Mae 211,150
Fifth Third Bancorp 7,000
Freeport-McMoran Copper - B 11,000
Gap Inc. 188,000
General Electric Co. 128,950
General Electric Co. 117,100
General Motors Corp. 106,200
Georgia Pacific Corp. 4,200
Gillette Company 111,800
Goldman Sachs Group, Inc. 31,000
GTE Corp. 97,100
Halliburton Co. 4,000
Halliburton Co. 134,900
Healtheon Corporation 2,000
Hershey Foods Corp. 10,800
Home Depot 150,950
Honeywell Inc. 7,000
i2 Technologies, Inc. 5,500
IMC Global Inc. 5,200
Inktomi Corp. 500
Page Total
</TABLE>
<PAGE>
Page 4 of 7
FORM 13F
Name of Reporting Manager: Nomura Asset Management U.S.A. Inc.
<TABLE>
<CAPTION>
Item 1: Item 2: Item 3: Item 4: Item 5: Item 6: Item 7:
Name of Issuer Title of Class CUSIP Fair Market Shares of Investment Discretion Managers
Number Value Principal (a)sole (b)shared- (c)Shared- See Instr. V
(in thousands) Amount As Defined Other
in Instr. V
<S> <C> <C> <C> <C> <C> <C> <C> <C>
Intel Corp. com 458140100 $201 2,700 X 1
Intel Corp. com 458140100 7,275 97,900 X
Internap Network Services Corp. com 45885A102 134 3,000 X 1
Int'l Business Machines com 459200101 7,780 64,300 X
Int'l Paper Co. com 460146103 5,996 124,750 X 1
Kerr-McGee Corp. com 492386107 157 2,855 X 1
Louisiana-Pacific Corp. com 546347105 103 6,600 X 1
Lucent Technologies Inc. com 549463107 9,576 147,600 X 1
Manpower Inc. com 56418H100 9,026 309,900 X
McDonalds Corp. com 580135101 10,996 254,250 X 1
MCI Worldcom, Inc. com 55268B106 12,628 175,690 X
MCI Worldcom, Inc. com 55268B106 10,019 139,400 X 1
Mead Corp. com 582834107 144 4,200 X 1
Medscape, Inc. com 585046105 203 20,000 X 1
Mellon Bank Corp. com 585509102 7,387 219,700 X
Merck & Co. Inc. com 589331107 6,034 93,100 X
Microsoft Corp. com 594918104 19,919 219,950 X 1
Microsoft Corp. com 594918104 16,238 179,300 X
MidAmerican Energy Hldgs. Co. com 59562V107 516 17,500 X 1
Millipore Corp. com 601073109 432 11,500 X 1
Mobil Corp. com 607059102 9,491 94,200 X
Mobil Corp. com 607059102 312 3,100 X 1
Monsanto Co. com 611662107 517 14,500 X 1
Motorola, Inc. com 620076109 7,216 82,000 X 1
Murphy Oil Corp. com 626717102 168 3,100 X 1
Nabisco Group Holdings Corp. com 62952P102 639 42,600 X
Page Total $143,107
<CAPTION>
(SEC USE ONLY)
Item 1: Item 8:
Name of Issuer Voting Authority (Shares)
(a)Sole (b)Shared (c)None
<S> <C> <C> <C>
Intel Corp. 2,700
Intel Corp. 97,900
Internap Network Services Corp. 3,000
Int'l Business Machines 64,300
Int'l Paper Co. 124,750
Kerr-McGee Corp. 2,855
Louisiana-Pacific Corp. 6,600
Lucent Technologies Inc. 147,600
Manpower Inc. 309,900
McDonalds Corp. 254,250
MCI Worldcom, Inc. 175,690
MCI Worldcom, Inc. 139,400
Mead Corp. 4,200
Medscape, Inc. 20,000
Mellon Bank Corp. 219,700
Merck & Co. Inc. 93,100
Microsoft Corp. 219,950
Microsoft Corp. 179,300
MidAmerican Energy Hldgs. Co. 17,500
Millipore Corp. 11,500
Mobil Corp. 94,200
Mobil Corp. 3,100
Monsanto Co. 14,500
Motorola, Inc. 82,000
Murphy Oil Corp. 3,100
Nabisco Group Holdings Corp. 42,600
Page Total
</TABLE>
<PAGE>
Page 5 of 7
FORM 13F
Name of Reporting Manager: Nomura Asset Management U.S.A. Inc.
<TABLE>
<CAPTION>
Item 1: Item 2: Item 3: Item 4: Item 5: Item 6: Item 7:
Name of Issuer Title of Class CUSIP Fair Market Shares of Investment Discretion Managers
Number Value Principal (a)sole (b)shared- (c)Shared- See Instr. V
(in thousands) Amount As Defined Other
in Instr. V
<S> <C> <C> <C> <C> <C> <C> <C> <C>
Newpark Res. Inc. com 651718504 $182 23,500 X 1
Northern Trust Corp. com 665859104 418 5,000 X 1
Pall Corp. com 696429307 348 15,000 X 1
Pfizer Inc. com 717081103 11,841 330,050 X 1
Pfizer Inc. com 717081103 6,081 169,500 X
Phelps Dodge Corp. com 717265102 165 3,000 X 1
Philip Morris Cos. Inc. com 718154107 3,434 100,450 X 1
Philip Morris Cos. Inc. com 718154107 4,762 139,300 X
Phone.com, Inc. com 71920Q100 121 800 X 1
Potash Corp. Sask. Inc. com 73755L107 263 5,100 X 1
PPG Industries, Inc. com 693506107 492 8,200 X 1
Procter & Gamble Co. com 742718109 9,291 99,100 X
Procter & Gamble Co. com 742718109 10,758 114,750 X 1
Qwest Communications
International Inc. com 749121109 9,998 338,200 X 1
R J Reynolds Tobacco Hldgs Inc. com 76182K105 486 18,000 X
Redback Networks Inc. com 757209101 151 1,400 X 1
Republic Services Inc.- Cl A com 760759100 262 24,100 X 1
Reynolds Metals Co. com 761763101 513 8,500 X 1
Rhythms NetConnections Inc. com 762430205 121 3,500 X 1
Schering-Plough Corp. com 806605101 1,457 33,400 X 1
Schering-Plough Corp. com 806605101 6,108 140,000 X
Schlumberger Ltd. com 806857108 174 2,800 X 1
Schlumberger Ltd. com 806857108 6,225 99,900 X
Sepracor Inc. com 817315104 302 4,000 X 1
Siebel Systems Inc. com 826170102 233 3,500 X 1
Page Total $74,186
<CAPTION>
(SEC USE ONLY)
Item 1: Item 8:
Name of Issuer Voting Authority (Shares)
(a)Sole (b)Shared (c)None
<S> <C> <C> <C>
Newpark Res. Inc. 23,500
Northern Trust Corp. 5,000
Pall Corp. 15,000
Pfizer Inc. 330,050
Pfizer Inc. 169,500
Phelps Dodge Corp. 3,000
Philip Morris Cos. Inc. 100,450
Philip Morris Cos. Inc. 139,300
Phone.com, Inc. 800
Potash Corp. Sask. Inc. 5,100
PPG Industries, Inc. 8,200
Procter & Gamble Co. 99,100
Procter & Gamble Co. 114,750
Qwest Communications
International Inc. 338,200
R J Reynolds Tobacco Hldgs Inc. 18,000
Redback Networks Inc. 1,400
Republic Services Inc.- Cl A 24,100
Reynolds Metals Co. 8,500
Rhythms NetConnections Inc. 3,500
Schering-Plough Corp. 33,400
Schering-Plough Corp. 140,000
Schlumberger Ltd. 2,800
Schlumberger Ltd. 99,900
Sepracor Inc. 4,000
Siebel Systems Inc. 3,500
Page Total
</TABLE>
<PAGE>
Page 6 of 7
FORM 13F
Name of Reporting Manager: Nomura Asset Management U.S.A. Inc.
<TABLE>
<CAPTION>
Item 1: Item 2: Item 3: Item 4: Item 5: Item 6: Item 7:
Name of Issuer Title of Class CUSIP Fair Market Shares of Investment Discretion Managers
Number Value Principal (a)sole (b)shared- (c)Shared- See Instr. V
(in thousands) Amount As Defined Other
in Instr. V
<S> <C> <C> <C> <C> <C> <C> <C> <C>
SLM Holding Corp. com 78442A109 $4,128 96,000 X
Smurfit-Stone Container Corp. com 832727101 231 10,670 X 1
Solutia Inc. com 834376105 86 4,800 X 1
Sonat, Inc. com 835415100 437 11,000 X 1
SPX Corp. com 784635104 7,505 82,700 X
SPX Corp. com 784635104 163 1,800 X 1
Staples com 855030102 316 14,500 X 1
Steel Dynamics Inc. com 858119100 518 33,000 X 1
Sun Microsystems Inc. com 866810104 8,231 88,500 X 1
Tellabs Inc. com 879664100 347 6,100 X 1
Tellabs Inc. com 879664100 9,617 168,900 X
Texaco Inc. com 881694103 246 3,900 X 1
Texaco Inc. com 881694103 4,072 64,500 X
Texas Instruments Inc. com 882508104 7,806 94,900 X 1
The Williams Companies, Inc. com 969457100 203 5,400 X 1
TiVo Inc. com 888706108 30 1,000 X 1
TJX Companies, Inc. com 872540109 6,384 227,500 X
Transcanada Pipelines Ltd. com 893526103 340 26,000 X 1
Tyco International Ltd. com 902124106 10,981 106,350 X 1
Tyco International Ltd. com 902124106 14,042 136,000 X
U.S. Bancorp com 902973106 3,882 128,600 X
Union Carbide Corp. com 905581104 244 4,300 X 1
Union Pacific Corp. com 907818108 4,941 102,800 X
Unisys Corp. com 909214108 7,635 169,200 X
Unocal Corp. com 915289102 285 7,700 X 1
USX- U.S. Steel Group com 90337T101 258 10,000 X 1
Page Total $92,928
<CAPTION>
(SEC USE ONLY)
Item 1: Item 8:
Name of Issuer Voting Authority (Shares)
(a)Sole (b)Shared (c)None
<S> <C> <C> <C>
SLM Holding Corp. 96,000
Smurfit-Stone Container Corp. 10,670
Solutia Inc. 4,800
Sonat, Inc. 11,000
SPX Corp. 82,700
SPX Corp. 1,800
Staples 14,500
Steel Dynamics Inc. 33,000
Sun Microsystems Inc. 88,500
Tellabs Inc. 6,100
Tellabs Inc. 168,900
Texaco Inc. 3,900
Texaco Inc. 64,500
Texas Instruments Inc. 94,900
The Williams Companies, Inc. 5,400
TiVo Inc. 1,000
TJX Companies, Inc. 227,500
Transcanada Pipelines Ltd. 26,000
Tyco International Ltd. 106,350
Tyco International Ltd. 136,000
U.S. Bancorp 128,600
Union Carbide Corp. 4,300
Union Pacific Corp. 102,800
Unisys Corp. 169,200
Unocal Corp. 7,700
USX- U.S. Steel Group 10,000
Page Total
</TABLE>
<PAGE>
Page 7 of 7
FORM 13F
Name of Reporting Manager: Nomura Asset Management U.S.A. Inc.
<TABLE>
<CAPTION>
Item 1: Item 2: Item 3: Item 4: Item 5: Item 6: Item 7:
Name of Issuer Title of Class CUSIP Fair Market Shares of Investment Discretion Managers
Number Value Principal (a)sole (b)shared- (c)Shared- See Instr. V
(in thousands) Amount As Defined Other
in Instr. V
<S> <C> <C> <C> <C> <C> <C> <C> <C>
USX-Marathon Group com 902905827 $3,677 125,700 X
VerticalNet, Inc. com 92532L107 148 4,000 X 1
Wal-Mart Stores Inc. com 931142103 12,656 266,100 X 1
Wal-Mart Stores Inc. com 931142103 14,449 303,800 X
Waste Industries Inc. com 941058109 320 24,000 X 1
Xilinx, Inc. com 983919101 170 2,600 X 1
Yahoo! Inc. com 984332106 12,751 71,036 X 1
China Steel spons. adr 169417102 4,528 231,000 X
Korea Telecom Corp. spons. adr 50063P103 1,502 40,600 X
Phillipine L/D Tel. spons. adr 718252604 1,414 65,000 X
Pohang Iron and Steel spons. adr 730450103 1,409 45,000 X
SK Telecom Co., Ltd. spons. adr 78440P108 151 14,670 X
Taiwan Semiconductor Mfg. Ltd spons. adr 874039100 4,126 139,857 X
Page Total $57,301
Grand Total $750,252
<CAPTION>
(SEC USE ONLY)
Item 1: Item 8:
Name of Issuer Voting Authority (Shares)
(a)Sole (b)Shared (c)None
<S> <C> <C> <C>
USX-Marathon Group 125,700
VerticalNet, Inc. 4,000
Wal-Mart Stores Inc. 266,100
Wal-Mart Stores Inc. 303,800
Waste Industries Inc. 24,000
Xilinx, Inc. 2,600
Yahoo! Inc. 71,036
China Steel 231,000
Korea Telecom Corp. 40,600
Phillipine L/D Tel. 65,000
Pohang Iron and Steel 45,000
SK Telecom Co., Ltd. 14,670
Taiwan Semiconductor Mfg. Ltd 139,857
Page Total
Grand Total
</TABLE>