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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: December 31, 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, February 3, 2000
- --------------------------------------------------------------------------------
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: 165
Form 13F Information Table Value Total: $1,076,046
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:
Name of Issuer Title of Class CUSIP Fair Market Shares of Investment Discretion
Number Value Principal (a)sole (b)shared- (c)Shared-
(in thousands) Amount As Defined Other
in Instr. V
<S> <C> <C> <C> <C> <C> <C> <C>
AES Corp. com 00130H105 919 12,300 X
Affymeetrix Inc. com 00826T108 4,056 23,900 X
Air Products &
Chemicals, Inc. com 009158106 513 15,300 X
Alcan Aluminum Ltd. com 013716105 587 14,200 X
Aluminum Co. of America com 022249106 8,624 103,900 X
Amazon.com, Inc com 023135106 662 8,700 X
America Online, Inc. com 02364J104 11,317 149,160 X
America Online, Inc. com 02364J104 18,878 248,800 X
American Express Co. com 025816109 15,062 90,600 X
American Home Products com 026609107 4,357 111,000 X
American Int'l. Group com 026874107 16,033 148,286 X
Amgen Inc. com 031162100 18,151 302,200 X
Anadarko Petroleum Corp. com 032511107 167 4,900 X
Anheuser-Busch Cos. com 035229103 7,066 99,700 X
Applied Materials, Inc. com 038222105 14,709 116,100 X
Applied Materials, Inc. com 038222105 19,238 151,850 X
Ariba, Inc. com 031162100 4,310 24,300 X
At Home Corporation com 045919107 240 5,600 X
AT&T Corp. com 001957109 9,067 178,450 X
Atlantic Richfield Co. com 048825103 216 2,500 X
BCE Inc. com 05534B109 1,894 21,000 X
Bed Bath, & Beyond Inc. com 075896100 1,871 53,850 X
Page Total 157,937
<CAPTION>
(SEC USE ONLY)
Item 1: Item 7: Item 8:
Name of Issuer Managers Voting Authority (Shares)
See Instr. V (a)Sole (b)Shared (c)None
<S> <C> <C> <C> <C>
AES Corp. 1 12,300
Affymeetrix Inc. 1 23,900
Air Products &
Chemicals, Inc. 1 15,300
Alcan Aluminum Ltd. 1 14,200
Aluminum Co. of America 1 103,900
Amazon.com, Inc 1 8,700
America Online, Inc. 149,160
America Online, Inc. 1 248,800
American Express Co. 1 90,600
American Home Products 111,000
American Int'l. Group 1 148,286
Amgen Inc. 1 302,200
Anadarko Petroleum Corp. 1 4,900
Anheuser-Busch Cos. 99,700
Applied Materials, Inc. 116,100
Applied Materials, Inc. 1 151,850
Ariba, Inc. 1 24,300
At Home Corporation 1 5,600
AT&T Corp. 178,450
Atlantic Richfield Co. 1 2,500
BCE Inc. 21,000
Bed Bath, & Beyond Inc. 1 53,850
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:
Name of Issuer Title of Class CUSIP Fair Market Shares of Investment Discretion
Number Value Principal (a)sole (b)shared- (c)Shared-
(in thousands) Amount As Defined Other
in Instr. V
<S> <C> <C> <C> <C> <C> <C> <C>
Biogen Inc. com 090597105 820 9,700 X
Boise Cascade Corp. com 097383103 182 4,500 X
Bristol-Myers Squibb Co. com 110122108 7,577 118,040 X
Bristol-Myers Squibb Co. com 110122108 9,603 149,600 X
Broadcom Corp. com 111320107 1,553 5,700 X
Broadvision, Inc. com 111412102 52,212 307,020 X
Cablevision Systems Corp. com 12686C109 6,720 89,000 X
Calpine Corp. com 130876105 896 14,000 X
Canadian National Railway Co. com 136375102 1,590 60,000 X
Canadian Pacific Ltd. com 135923100 862 40,000 X
Chase Manhattan Corp. com 16161A108 10,410 134,000 X
Chase Manhattan Corp. com 16161A108 11,747 151,200 X
Ciena Corp. com 171779101 5,227 90,900 X
Cisco Systems Inc. com 17275R102 37,246 347,690 X
Cisco Systems Inc. com 17275R102 21,623 201,850 X
Citigroup, Inc. com 172967101 13,098 235,200 X
Coastal Corp. com 190441105 1,978 55,800 X
Coca Cola Co. com 191216100 7,934 136,200 X
Coca Cola Co. com 191216100 8,774 150,630 X
Comcast Corp. - Class A com 200300101 14,122 279,310 X
Conoco Inc.- Class A com 208251306 3,725 150,500 X
Corning Inc. com 219350105 14,660 113,700 X
Corning Inc. com 219350105 387 3,000 X
Costco Companies Inc. com 22160Q102 10,695 117,200 X
Covad Communications Group com 222814204 968 17,300 X
Cytec Inds. Inc. com 232820100 276 12,000 X
Dayton Hudson Corp. com 239753106 235 3,200 X
Dow Chemical Co. com 260543103 8,077 60,450 X
Page Total 253,196
<CAPTION>
(SEC USE ONLY)
Item 1: Item 7: Item 8:
Name of Issuer Managers Voting Authority (Shares)
See Instr. V (a)Sole (b)Shared (c)None
<S> <C> <C> <C> <C>
Biogen Inc. 1 9,700
Boise Cascade Corp. 1 4,500
Bristol-Myers Squibb Co. 1 118,040
Bristol-Myers Squibb Co. 149,600
Broadcom Corp. 1 5,700
Broadvision, Inc. 1 307,020
Cablevision Systems Corp. 89,000
Calpine Corp. 1 14,000
Canadian National Railway Co. 60,000
Canadian Pacific Ltd. 40,000
Chase Manhattan Corp. 1 134,000
Chase Manhattan Corp. 151,200
Ciena Corp. 90,900
Cisco Systems Inc. 1 347,690
Cisco Systems Inc. 201,850
Citigroup, Inc. 235,200
Coastal Corp. 1 55,800
Coca Cola Co. 136,200
Coca Cola Co. 1 150,630
Comcast Corp. - Class A 1 279,310
Conoco Inc.- Class A 1 150,500
Corning Inc. 113,700
Corning Inc. 1 3,000
Costco Companies Inc. 1 117,200
Covad Communications Group 1 17,300
Cytec Inds. Inc. 1 12,000
Dayton Hudson Corp. 3,200
Dow Chemical Co. 60,450
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:
Name of Issuer Title of Class CUSIP Fair Market Shares of Investment Discretion
Number Value Principal (a)sole (b)shared- (c)Shared-
(in thousands) Amount As Defined Other
in Instr. V
<S> <C> <C> <C> <C> <C> <C> <C>
Dow Chemical Co. com 260543103 321 2,400 X
Du Pont(E.I.) De Nemours & Co. com 263534109 349 5,300 X
eBay Inc. com 278642103 871 6,960 X
Echostar com 278762109 2,711 27,800 X
Egreetings Network com 282343102 10 1,000 X
El Paso Energy Corp. com 283905107 427 11,000 X
Enron Corp. com 293561106 1,234 27,800 X
Estee Lauder Cos., Inc. com 518439104 4,418 87,600 X
Exodus Communications Inc. com 302088109 23,251 261,800 X
Exxon Mobil Corp. com 30231G102 9,753 121,058 X
Exxon Mobil Corp. com 30231G102 10,282 127,632 X
Fannie Mae com 313586109 13,069 209,310 X
Fifth Third Bancorp com 316773100 935 12,750 X
Fogdog Inc. com 344167101 19 2,000 X
Freeport-McMoran Copper - B com 35671D857 232 11,000 X
General Electric Co. com 369604103 22,137 143,050 X
General Electric Co. com 369604103 20,164 130,300 X
General Motors Corp. com 370442105 8,076 111,100 X
General Motors -CI H com 370442832 6,269 65,300 X
Georgia Pacific Corp. com 373298108 213 4,200 X
Gillette Company com 375766102 4,498 109,200 X
Goldman Sachs Group, Inc. com 38141G104 2,920 31,000 X
GTE Corp. com 362320103 6,132 86,900 X
Halliburton Co. com 406216101 322 8,000 X
Halliburton Co. com 406216101 6,033 149,900 X
Hershey Foods Corp. com 427866108 512 10,800 X
Home Depot com 437076102 15,567 226,425 X
Honeywell Inc. com 438506107 20,502 355,394 X
Human Genome Science com 444903108 3,617 23,700 X
i2 Technologies, Inc. com 465754109 3,968 20,350 X
Inco Ltd. com 453258402 2,350 100,000 X
Inktomi Corp. com 457277101 453 5,100 X
Page Total 191,615
<CAPTION>
(SEC USE ONLY)
Item 1: Item 7: Item 8:
Name of Issuer Managers Voting Authority (Shares)
See Instr. V (a)Sole (b)Shared (c)None
<S> <C> <C> <C> <C>
Dow Chemical Co. 1 2,400
Du Pont(E.I.) De Nemours & Co. 1 5,300
eBay Inc. 1 6,960
Echostar 1 27,800
Egreetings Network 1 1,000
El Paso Energy Corp. 1 11,000
Enron Corp. 1 27,800
Estee Lauder Cos., Inc. 87,600
Exodus Communications Inc. 1 261,800
Exxon Mobil Corp. 121,058
Exxon Mobil Corp. 1 127,632
Fannie Mae 1 209,310
Fifth Third Bancorp 1 12,750
Fogdog Inc. 1 2,000
Freeport-McMoran Copper - B 1 11,000
General Electric Co. 1 143,050
General Electric Co. 130,300
General Motors Corp. 111,100
General Motors -CI H 1 65,300
Georgia Pacific Corp. 1 4,200
Gillette Company 109,200
Goldman Sachs Group, Inc. 1 31,000
GTE Corp. 86,900
Halliburton Co. 1 8,000
Halliburton Co. 149,900
Hershey Foods Corp. 10,800
Home Depot 1 226,425
Honeywell Inc. 1 355,394
Human Genome Science 1 23,700
i2 Technologies, Inc. 1 20,350
Inco Ltd. 100,000
Inktomi Corp. 1 5,100
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:
Name of Issuer Title of Class CUSIP Fair Market Shares of Investment Discretion
Number Value Principal (a)sole (b)shared- (c)Shared-
(in thousands) Amount As Defined Other
in Instr. V
<S> <C> <C> <C> <C> <C> <C> <C>
Int'l Business Machines com 459200101 7,357 68,200 X
Int'l Paper Co. com 460146103 7,052 124,950 X
Kerr-McGee Corp. com 492386107 177 2,855 X
Lucent Technologies Inc. com 549463107 12,345 164,600 X
Manpower Inc. com 56418H100 9,060 240,800 X
Maxygen Inc. com 577776107 355 5,000 X
McDonalds Corp. com 580135101 10,143 251,610 X
MCI Worldcom, Inc. com 55268B106 15,249 287,385 X
MCI Worldcom, Inc. com 55268B106 12,385 233,400 X
Mead Corp. com 582834107 182 4,200 X
Mellon Bank Corp. com 585509102 7,786 228,600 X
Merck & Co. Inc. com 589331107 5,906 87,900 X
Microsoft Corp. com 594918104 34,587 296,250 X
Microsoft Corp. com 594918104 21,494 184,100 X
Millipore Corp. com 601073109 444 11,500 X
Monsanto Co. com 611662107 514 14,500 X
Motorola, Inc. com 620076109 12,075 82,000 X
Murphy Oil Corp. com 626717102 178 3,100 X
Nabisco Group Holdings Corp. com 62952P102 453 42,600 X
Page Total 157,741
<CAPTION>
(SEC USE ONLY)
Item 1: Item 7: Item 8:
Name of Issuer Managers Voting Authority (Shares)
See Instr. V (a)Sole (b)Shared (c)None
<S> <C> <C> <C> <C>
Int'l Business Machines 68,200
Int'l Paper Co. 1 124,950
Kerr-McGee Corp. 1 2,855
Lucent Technologies Inc. 1 164,600
Manpower Inc. 240,800
Maxygen Inc. 1 5,000
McDonalds Corp. 1 251,610
MCI Worldcom, Inc. 287,385
MCI Worldcom, Inc. 1 233,400
Mead Corp. 1 4,200
Mellon Bank Corp. 228,600
Merck & Co. Inc. 87,900
Microsoft Corp. 1 296,250
Microsoft Corp. 184,100
Millipore Corp. 1 11,500
Monsanto Co. 1 14,500
Motorola, Inc. 1 82,000
Murphy Oil Corp. 1 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:
Name of Issuer Title of Class CUSIP Fair Market Shares of Investment Discretion
Number Value Principal (a)sole (b)shared- (c)Shared-
(in thousands) Amount As Defined Other
in Instr. V
<S> <C> <C> <C> <C> <C> <C> <C>
Net Perceptions Inc. com 64107U101 3,284 78,200 X
Nortel networks Corp. com 656567302 2,727 27,000 X
Northern Trust Corp. com 665859104 2,152 40,600 X
Pall Corp. com 696429307 323 15,000 X
Pe Co-Pe Biosystems com 69332S102 10,467 87,000 X
Pfizer Inc. com 717081103 10,697 329,750 X
Pfizer Inc. com 717081103 5,145 158,600 X
Phelps Dodge Corp. com 717265102 485 7,200 X
Philip Morris Cos. Inc. com 718154107 147 6,400 X
Phone.com, Inc. com 71920Q100 4,046 34,900 X
Potash Corp. Sask. Inc. com 73755L107 246 5,100 X
PPG Industries, Inc. com 693506107 513 8,200 X
Procter & Gamble Co. com 742718109 10,189 93,000 X
Procter & Gamble Co. com 742718109 15,304 139,680 X
PSI Net com 74437C101 1,667 27,000 X
Qwest Communications
International Inc. com 749121109 16,129 375,100 X
R J Reynolds Tobacco Hldgs Inc. com 76182K105 317 18,000 X
Redback Networks Inc. com 757209101 568 3,200 X
Republic Services Inc.- Cl A com 760759100 343 24,100 X
Reynolds Metals Co. com 761763101 651 8,500 X
SBC Communications Inc. com 78387G103 9,773 200,477 X
Schering-Plough Corp. com 806605101 3,470 81,900 X
Schering-Plough Corp. com 806605101 5,495 129,700 X
Schlumberger Ltd. com 806857108 157 2,800 X
Schlumberger Ltd. com 806857108 3,788 67,500 X
Sepracor Inc. com 817315104 2,143 21,600 X
Siebel Systems Inc. com 826170102 1,957 23,300 X
Page Total 112,186
<CAPTION>
(SEC USE ONLY)
Item 1: Item 7: Item 8:
Name of Issuer Managers Voting Authority (Shares)
See Instr. V (a)Sole (b)Shared (c)None
<S> <C> <C> <C> <C>
Net Perceptions Inc. 1 78,200
Nortel networks Corp. 27,000
Northern Trust Corp. 1 40,600
Pall Corp. 1 15,000
Pe Co-Pe Biosystems 1 87,000
Pfizer Inc. 1 329,750
Pfizer Inc. 158,600
Phelps Dodge Corp. 1 7,200
Philip Morris Cos. Inc. 6,400
Phone.com, Inc. 1 34,900
Potash Corp. Sask. Inc. 1 5,100
PPG Industries, Inc. 1 8,200
Procter & Gamble Co. 93,000
Procter & Gamble Co. 1 139,680
PSI Net 1 27,000
Qwest Communications
International Inc. 1 375,100
R J Reynolds Tobacco Hldgs Inc. 18,000
Redback Networks Inc. 1 3,200
Republic Services Inc.- Cl A 1 24,100
Reynolds Metals Co. 1 8,500
SBC Communications Inc. 200,477
Schering-Plough Corp. 1 81,900
Schering-Plough Corp. 129,700
Schlumberger Ltd. 1 2,800
Schlumberger Ltd. 67,500
Sepracor Inc. 1 21,600
Siebel Systems Inc. 1 23,300
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:
Name of Issuer Title of Class CUSIP Fair Market Shares of Investment Discretion
Number Value Principal (a)sole (b)shared- (c)Shared-
(in thousands) Amount As Defined Other
in Instr. V
<S> <C> <C> <C> <C> <C> <C> <C>
SLM Holding Corp. com 78442A109 3,946 93,400 X
Smurfit-Stone Container Corp. com 832727101 261 10,670 X
Solutia Inc. com 834376105 74 4,800 X
SPX Corp. com 784635104 7,822 96,800 X
SPX Corp. com 784635104 145 1,800 X
Staples com 855030102 368 17,750 X
Steel Dynamics Inc. com 858119100 526 33,000 X
Suncor Energy com 867229109 814 19,500 X
Sun Microsystems Inc. com 866810104 4,631 59,800 X
Sun Microsystems Inc. com 866810104 14,365 185,500 X
Tellabs Inc. com 879664100 1,171 18,250 X
Tellabs Inc. com 879664100 10,000 155,800 X
Texaco Inc. com 881694103 212 3,900 X
Texaco Inc. com 881694103 3,210 59,100 X
Texas Instruments Inc. com 882508104 12,667 131,100 X
Texas Instruments Inc. com 882508104 8,387 86,800 X
The Williams Companies, Inc. com 969457100 165 5,400 X
TJX Companies, Inc. com 872540109 102 5,000 X
Tyco International Ltd. com 902124106 281 7,200 X
Tyco International Ltd. com 902124106 10,366 265,800 X
Union Carbide Corp. com 905581104 287 4,300 X
Union Pacific Corp. com 907818108 7,711 176,500 X
Unisys Corp. com 909214108 9,847 308,300 X
Usinternetworking com 917311805 3,675 52,600 X
Unocal Corp. com 915289102 258 7,700 X
USX- U.S. Steel Group com 90337T101 330 10,000 X
Page Total 101,624
<CAPTION>
(SEC USE ONLY)
Item 1: Item 7: Item 8:
Name of Issuer Managers Voting Authority (Shares)
See Instr. V (a)Sole (b)Shared (c)None
<S> <C> <C> <C> <C>
SLM Holding Corp. 93,400
Smurfit-Stone Container Corp. 1 10,670
Solutia Inc. 1 4,800
SPX Corp. 96,800
SPX Corp. 1 1,800
Staples 1 17,750
Steel Dynamics Inc. 1 33,000
Suncor Energy 19,500
Sun Microsystems Inc. 59,800
Sun Microsystems Inc. 1 185,500
Tellabs Inc. 1 18,250
Tellabs Inc. 155,800
Texaco Inc. 1 3,900
Texaco Inc. 59,100
Texas Instruments Inc. 1 131,100
Texas Instruments Inc. 86,800
The Williams Companies, Inc. 1 5,400
TJX Companies, Inc. 5,000
Tyco International Ltd. 1 7,200
Tyco International Ltd. 265,800
Union Carbide Corp. 1 4,300
Union Pacific Corp. 176,500
Unisys Corp. 308,300
Usinternetworking 1 52,600
Unocal Corp. 1 7,700
USX- U.S. Steel Group 1 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:
Name of Issuer Title of Class CUSIP Fair Market Shares of Investment Discretion
Number Value Principal (a)sole (b)shared- (c)Shared-
(in thousands) Amount As Defined Other
in Instr. V
<S> <C> <C> <C> <C> <C> <C> <C>
USX-Marathon Group com 902905827 2,891 117,100 X
VerticalNet, Inc. com 92532L107 1,230 7,500 X
Wal-Mart Stores Inc. com 931142103 19,085 276,090 X
Wal-Mart Stores Inc. com 931142103 19,390 280,500 X
Xilinx, Inc. com 983919101 1,855 40,800 X
Yahoo! Inc. com 984332106 35,808 82,756 X
China Steel spons. adr 169417102 4,920 251,000 X
Korea Telecom Corp. spons. adr 50063P103 3,035 40,600 X
Phillipine L/D Tel. spons. adr 718252604 983 38,000 X
Pohang Iron and Steel spons. adr 730450103 546 15,600 X
Taiwan Semiconductor Mfg. Ltd spons. adr 874039100 12,004 266,745 X
Page Total 101,746
Grand Total 1,076,044
<CAPTION>
(SEC USE ONLY)
Item 1: Item 7: Item 8:
Name of Issuer Managers Voting Authority (Shares)
See Instr. V (a)Sole (b)Shared (c)None
<S> <C> <C> <C> <C>
USX-Marathon Group 117,100
VerticalNet, Inc. 1 7,500
Wal-Mart Stores Inc. 1 276,090
Wal-Mart Stores Inc. 280,500
Xilinx, Inc. 1 40,800
Yahoo! Inc. 1 82,756
China Steel 251,000
Korea Telecom Corp. 40,600
Phillipine L/D Tel. 38,000
Pohang Iron and Steel 15,600
Taiwan Semiconductor Mfg. Ltd 266,745
Page Total
</TABLE>
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