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Previous: KR CAPITAL PARTNERS I L P, 13F-NT, 1999-05-07 |
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
INFORMATION REQUIRED OF INSTITUTIONAL INVESTMENT MANAGERS PURSUANT
TO SECTION 13(f) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULES THEREUNDER
Report for the Calendar Year or Quarter Ended March 31, 1999.
- - - - - - - - - - - - - - - - - --------------------------------------------------------------------------------
(Please read instructions before preparing form.)
- - - - - - - - - - - - - - - - - --------------------------------------------------------------------------------
If amended report check here: |_|
Nomura Asset Management U.S.A. Inc.
- - - - - - - - - - - - - - - - - --------------------------------------------------------------------------------
Name of Institutional Investment Manager
180 Maiden Lane New York New York 10038
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Business Address (Street) (City) (State) (Zip)
John J. Boretti, (212) 509-1538, Senior Vice President
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Name, Phone No., and Title of Person Duly Authorized to Submit This Report.
ATTENTION
- - - - - - - - - - - - - - - - - --------------------------------------------------------------------------------
Intentional misstatements or omissions of facts constitute Federal
Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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The institutional investment manager submitting this Form and its
attachments and the person by whom it is signed represent hereby that all
information contained therein is true, correct and complete. It is understood
that all required items, statements and schedules are considered integral parts
of this Form and that the submission of any amendment represents that all
unamended items, statements and schedules remain true, correct and complete as
previously submitted.
Pursuant to the requirements of Securities Exchange Act of 1934, the
undersigned institutional investment manager has caused this report to be signed
on its behalf in the City of New York and State of New York on the 23rd day of
April, 1999.
Nomura Asset Management U.S.A. Inc.
-------------------------------------------
(Name of Institutional Investment Manager)
/s/ John J. Boretti
-------------------------------------------
(Manual Signature of Person Duly Authorized
to Submit This Report)
Name and 13F file numbers of ALL Institutional Investment Managers with respect
to which this schedule is filled (other than the one filing this report): (List
in alphabetical order).
13F File Numbers will be assigned to Institutional Investment Managers after
they file their first report.
Name: 13F File No.: Name: 13F File No.:
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1. Nomura Asset Management 28-6746 6.
Co., Ltd.
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2. 7.
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3. 8.
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4. 9.
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5. 10.
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SEC 1685 (5/91)
<PAGE>
Page 1 of 7
FORM 13F
Name of Reporting Manager: Nomura Asset Management U.S.A. Inc.
<TABLE>
<CAPTION>
(SEC USE ONLY)
Item 1: Item 2: Item 3: Item 4: Item 5: Item 6: Item 7: Item 8:
Name of Issuer Title CUSIP Fair Shares of Investment Discretion Managers Voting Authority (Shares)
of Number Market Principal (a)sole (b)shared- (c)Shared- See (a) (b) (c)
Class Value Amount As Defined Other Instr. V Sole Shared None
(in in
thousands) Instr. V
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Abbott Labs com 002824100 $8,169 174,500 X 174,500
Air Products &
Chemicals, Inc. com 009158106 524 15,300 X 1 15,300
Allied Waste Inds Inc. com 019589308 206 14,300 X 1 14,300
Alcan Aluminum Ltd. com 013716105 367 14,200 X 1 14,200
AlliedSignal Inc. com 019512102 428 8,700 X 1 8,700
Aluminum Co. of America com 022249106 2,002 48,600 X 1 48,600
American Int'l. Group com 026874107 6,166 51,113 X 1 51,113
Anadarko Petroleum Corp. com 032511107 185 4,900 X 1 4,900
Anheuser-Busch Cos. com 035229103 7,993 105,000 X 105,000
Amazon.com, Inc com 023135106 207 1,200 X 1 1,200
America Online, Inc. com 02364J104 10,046 68,340 X 68,340
America Online, Inc. com 02364J104 7,909 53,800 X 1 53,800
Amgen Inc. com 031162100 3,594 48,000 X 1 48,000
Applied Materials, Inc. com 038222105 8,192 132,800 X 132,800
Applied Materials, Inc. com 038222105 4,824 78,200 X 1 78,200
Ashland Inc. com 044204105 262 6,400 X 1 6,400
AT&T Corp. com 001957109 13,480 168,893 X 168,893
Baker Hughes Inc. com 057224107 243 10,000 X 1 10,000
Banc One Corp. com 059438101 2,938 53,350 X 1 53,350
Banc One Corp. com 059438101 6,338 115,100 X 115,100
Barnes & Noble, Inc. com 067774109 2,731 85,000 X 1 85,000
Bed Bath, & Beyond Inc. com 075896100 560 15,350 X 1 15,350
Bethlehem Steel Corp. com 087509105 112 13,600 X 1 13,600
Biogen Inc. com 090597105 589 5,150 X 1 5,150
Boise Cascade Corp. com 097383103 145 4,500 X 1 4,500
Page Total $88,210
</TABLE>
<PAGE>
Page 2 of 7
FORM 13F
Name of Reporting Manager: Nomura Asset Management U.S.A. Inc.
<TABLE>
<CAPTION>
(SEC USE ONLY)
Item 1: Item 2: Item 3: Item 4: Item 5: Item 6: Item 7: Item 8:
Name of Issuer Title CUSIP Fair Shares of Investment Discretion Managers Voting Authority (Shares)
of Number Market Principal (a)sole (b)shared- (c)Shared- See (a) (b) (c)
Class Value Amount As Defined Other Instr. V Sole Shared None
(in in
thousands) Instr. V
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Bristol-Myers Squibb Co. com 110122108 $2,668 41,600 X 1 41,600
Bristol-Myers Squibb Co. com 110122108 9,119 142,200 X 142,200
Broadcast.com Inc. com 111310108 118 1,000 X 1 1,000
Brooks Automation, Inc. com 11434A100 358 16,000 X 1 16,000
Browning Ferris Inds com 115885105 567 14,700 X 1 14,700
Burlington Resources Inc. com 122014103 260 6,500 X 1 6,500
Cablevision Systems Corp. com 12686C109 6,745 91,000 X 91,000
Chase Manhattan Corp. com 16161A108 3,560 43,750 X 1 43,750
Chase Manhattan Corp. com 16161A108 12,833 157,700 X 157,700
Chevron Corp. com 166751107 1,580 17,800 X 1 17,800
Cisco Systems Inc. com 17275R102 9,844 89,850 X 1 89,850
Cisco Systems Inc. com 17275R102 13,673 124,800 X 124,800
Citigroup, Inc. com 172967101 7,914 123,900 X 123,900
Clorox Co. DEL com 189054109 3,867 33,000 X 1 33,000
CMAC Invt. Corp. com 125662106 1,182 30,300 X 1 30,300
Coastal Corp. com 190441105 1,967 59,600 X 1 59,600
Coca Cola Co. com 191216100 12,478 203,300 X 203,300
Coca Cola Co. com 191216100 2,799 45,600 X 1 45,600
Comcast Corp. - Class A com 200300101 3,638 57,800 X 1 57,800
Compaq Computer Corp. com 204493100 2,183 68,900 X 1 68,900
Conoco Inc.- Class A com 208251306 2,763 112,500 X 1 112,500
Conseco Inc. com 208464107 5,131 166,200 X 166,200
Corning Inc. com 219350105 11,838 197,300 X 197,300
Costco Companies Inc. com 22160Q102 531 5,800 X 1 5,800
Cyprus Amax Minerals Co. com 232809103 146 12,000 X 1 12,000
Cytec Inds. Inc. com 232820100 268 12,000 X 1 12,000
Page Total $118,030
</TABLE>
<PAGE>
Page 3 of 7
FORM 13F
Name of Reporting Manager: Nomura Asset Management U.S.A. Inc.
<TABLE>
<CAPTION>
(SEC USE ONLY)
Item 1: Item 2: Item 3: Item 4: Item 5: Item 6: Item 7: Item 8:
Name of Issuer Title CUSIP Fair Shares of Investment Discretion Managers Voting Authority (Shares)
of Number Market Principal (a)sole (b)shared- (c)Shared- See (a) (b) (c)
Class Value Amount As Defined Other Instr. V Sole Shared None
(in in
thousands) Instr. V
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Dow Chemical Co. com 260543103 $6,299 67,600 X 67,600
Dow Chemical Co. com 260543103 317 3,400 X 1 3,400
Du Pont(E.I.)
De Nemours & Co. com 263534109 325 5,600 X 1 5,600
Eastman Chemical Co. com 277432100 273 6,500 X 1 6,500
eBay Inc. com 278642103 124 900 X 1 900
Enron Corp. com 293561106 726 11,300 X 1 11,300
Fannie Mae com 313586109 3,958 57,150 X 1 57,150
Fifth Third Bancorp com 316773100 369 5,600 X 1 5,600
First Union Corp. com 337358105 4,938 92,400 X 92,400
First Union Corp. com 337358105 3,265 61,100 X 1 61,100
Fox Entertainment
Group, Inc. com 35138T107 692 25,500 X 1 25,500
Freeport-McMoran
Copper - B com 35671D857 120 11,000 X 1 11,000
Gap Inc. com 364760108 2,693 40,000 X 1 40,000
Georgia Pacific Corp. com 373298108 156 2,100 X 1 2,100
General Electric Co. com 369604103 5,990 54,150 X 1 54,150
General Electric Co. com 369604103 13,463 121,700 X 121,700
General Motors Corp. com 370442105 9,935 114,200 X 114,200
Gillette Company com 375766102 6,853 115,300 X 115,300
GTE Corp. com 362320103 6,268 103,600 X 103,600
GTS Duratek, Inc. com 36237J107 187 36,500 X 1 36,500
Halliburton Co. com 406216101 270 7,000 X 1 7,000
Hershey Foods Corp. com 427866108 1,559 27,800 X 27,800
Home Depot com 437076102 3,172 50,950 X 1 50,950
Honeywell Inc. com 438506107 447 5,900 X 1 5,900
IMC Global Inc. com 449669100 106 5,200 X 1 5,200
Inktomi Corp. com 457277101 86 1,000 X 1 1,000
Page Total $72,591
</TABLE>
<PAGE>
Page 4 of 7
FORM 13F
Name of Reporting Manager: Nomura Asset Management U.S.A. Inc.
<TABLE>
<CAPTION>
(SEC USE ONLY)
Item 1: Item 2: Item 3: Item 4: Item 5: Item 6: Item 7: Item 8:
Name of Issuer Title CUSIP Fair Shares of Investment Discretion Managers Voting Authority (Shares)
of Number Market Principal (a)sole (b)shared- (c)Shared- See (a) (b) (c)
Class Value Amount As Defined Other Instr. V Sole Shared None
(in in
thousands) Instr. V
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Intel Corp. com 458140100 $2,800 23,550 X 1 23,550
Intel Corp. com 458140100 6,586 55,400 X 55,400
Int'l Business Machines com 459200101 6,292 35,500 X 35,500
Int'l Flavors &
Fragrances, Inc. com 459506101 357 9,500 X 1 9,500
Int'l Paper Co. com 460146103 213 5,050 X 1 5,050
Ionics Inc. com 462218108 271 9,000 X 1 9,000
Kerr-McGee Corp. com 492386107 166 5,055 X 1 5,055
Kimberly-Clark Corp. com 494368103 4,185 87,300 X 87,300
Louisiana-Pacific Corp. com 546347105 123 6,600 X 1 6,600
Lucent Technologies Inc. com 549463107 3,321 30,750 X 1 30,750
Lucent Technologies Inc. com 549463107 2,452 22,700 X 22,700
Manpower Inc. com 56418H100 6,624 283,400 X 283,400
Mattel, Inc. com 577081102 6,441 258,300 X 258,300
McDonalds Corp. com 580135101 4,803 106,000 X 1 106,000
MCI Worldcom, Inc. com 55268B106 14,284 161,290 X 161,290
MCI Worldcom, Inc. com 55268B106 5,411 61,100 X 1 61,100
Mead Corp. com 582834107 258 8,400 X 1 8,400
Merck & Co. Inc. com 589331107 8,557 106,800 X 106,800
Microsoft Corp. com 594918104 9,563 106,700 X 1 106,700
Microsoft Corp. com 594918104 16,518 184,300 X 184,300
MidAmerican Energy
Hldgs. Co. com 59562V107 490 17,500 X 1 17,500
Millipore Corp. com 601073109 277 11,500 X 1 11,500
Mobil Corp. com 607059102 8,386 95,300 X 95,300
Mobil Corp. com 607059102 273 3,100 X 1 3,100
Monsanto Co. com 611662107 413 9,000 X 1 9,000
Murphy Oil Corp. com 626717102 232 5,600 X 1 5,600
Page Total $109,296
</TABLE>
<PAGE>
Page 5 of 7
FORM 13F
Name of Reporting Manager: Nomura Asset Management U.S.A. Inc.
<TABLE>
<CAPTION>
(SEC USE ONLY)
Item 1: Item 2: Item 3: Item 4: Item 5: Item 6: Item 7: Item 8:
Name of Issuer Title CUSIP Fair Shares of Investment Discretion Managers Voting Authority (Shares)
of Number Market Principal (a)sole (b)shared- (c)Shared- See (a) (b) (c)
Class Value Amount As Defined Other Instr. V Sole Shared None
(in in
thousands) Instr. V
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Newmont Mining Corp. com 651639106 $201 11,500 X 1 11,500
Newpark Res. Inc. com 651718504 170 23,500 X 1 23,500
Northern Trust Corp. com 665859104 355 4,000 X 1 4,000
Owens-Illinois, Inc. com 690768403 195 7,800 X 1 7,800
Pall Corp. com 696429307 248 15,000 X 1 15,000
Pfizer Inc. com 717081103 3,947 28,450 X 1 28,450
Pfizer Inc. com 717081103 8,894 64,100 X 64,100
Phelps Dodge Corp. com 717265102 271 5,500 X 1 5,500
Philip Morris Cos. Inc. com 718154107 4,467 126,950 X 1 126,950
Philip Morris Cos. Inc. com 718154107 5,415 153,900 X 153,900
Potash Corp. Sask. Inc. com 73755L107 273 5,100 X 1 5,100
PPG Industries, Inc. com 693506107 420 8,200 X 1 8,200
Priceline.com Inc. com 693506107 186 2,250 X 1 2,250
Qwest Communications
International Inc. com 749121109 3,882 53,850 X 1 53,850
Ralston Purina Co. com 751277302 7,811 292,700 X 292,700
Rambus Inc. com 750917106 129 2,000 X 1 2,000
Republic Services
Inc.- Cl A com 760759100 390 24,100 X 1 24,100
Reynolds Metals Co. com 761763101 411 8,500 X 1 8,500
RJR Nabisco Holdings com 74960K876 2,130 85,200 X 85,200
SBC Communications Inc. com 78387G103 9,414 199,500 X 199,500
Schering-Plough Corp. com 806605101 1,884 34,100 X 1 34,100
Schering-Plough Corp. com 806605101 8,392 151,900 X 151,900
Schlumberger Ltd. com 806857108 301 5,000 X 1 5,000
Schlumberger Ltd. com 806857108 3,130 52,000 X 52,000
Sepracor Inc. com 817315104 572 5,100 X 1 5,100
Page Total $63,488
</TABLE>
<PAGE>
Page 6 of 7
FORM 13F
Name of Reporting Manager: Nomura Asset Management U.S.A. Inc.
<TABLE>
<CAPTION>
(SEC USE ONLY)
Item 1: Item 2: Item 3: Item 4: Item 5: Item 6: Item 7: Item 8:
Name of Issuer Title CUSIP Fair Shares of Investment Discretion Managers Voting Authority (Shares)
of Number Market Principal (a)sole (b)shared- (c)Shared- See (a) (b) (c)
Class Value Amount As Defined Other Instr. V Sole Shared None
(in in
thousands) Instr. V
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
SLM Holding Corp. com 78442A109 $4,279 102,500 X 102,500
Solutia Inc. com 834376105 153 8,800 X 1 8,800
Sonat, Inc. com 835415100 330 11,000 X 1 11,000
Southern Co. com 842587107 3,411 146,300 X 146,300
Staples com 855030102 723 22,000 X 1 22,000
Steel Dynamics Inc. com 858119100 547 33,000 X 1 33,000
Smurfit-Stone
Container Corp. com 832727101 206 10,670 X 1 10,670
Superior Svcs. Inc. com 868316100 319 16,100 X 1 16,100
Tellabs Inc. com 879664100 645 6,600 X 1 6,600
Tellabs Inc. com 879664100 10,107 103,400 X 103,400
Texaco Inc. com 881694103 221 3,900 X 1 3,900
Texas Utilities Co. com 882848104 4,532 107,900 X 107,900
Thermo Electron Corp. com 883556102 264 19,500 X 1 19,500
Transcanada
Pipelines Ltd. com 893526103 333 26,000 X 1 26,000
T. Rowe Price
Associates, Inc. com 741477103 443 12,900 X 1 12,900
Tyco International Ltd. com 902124106 8,761 122,100 X 122,100
Union Pacific Corp. com 907818108 7,455 139,500 X 139,500
U.S. Bancorp com 902973106 5,249 154,100 X 154,100
U. S. Filter Corp. com 911843209 521 17,000 X 1 17,000
Union Carbide Corp. com 905581104 262 5,800 X 1 5,800
Unocal Corp. com 915289102 284 7,700 X 1 7,700
UNUM Corp. com 903192102 2,782 58,500 X 1 58,500
USX-Marathon Group com 902905827 4,100 149,100 X 149,100
USX- U.S. Steel Group com 90337T101 235 10,000 X 1 10,000
Wal-Mart Stores Inc. com 931142103 5,006 54,300 X 1 54,300
Wal-Mart Stores Inc. com 931142103 15,128 164,100 X 164,100
Page Total $76,296
</TABLE>
<PAGE>
Page 7 of 7
FORM 13F
Name of Reporting Manager: Nomura Asset Management U.S.A. Inc.
<TABLE>
<CAPTION>
(SEC USE ONLY)
Item 1: Item 2: Item 3: Item 4: Item 5: Item 6: Item 7: Item 8:
Name of Issuer Title CUSIP Fair Shares of Investment Discretion Managers Voting Authority (Shares)
of Number Market Principal (a)sole (b)shared- (c)Shared- See (a) (b) (c)
Class Value Amount As Defined Other Instr. V Sole Shared None
(in in
thousands) Instr. V
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Waste Industries Inc. com 941058109 $360 24,000 X 1 24,000
Waste Mgmt. Inc. com 94106K101 4,199 94,615 X 1 94,615
Waste Mgmt. Inc. com 94106K101 7,677 173,000 X 173,000
The Williams
Companies, Inc. com 969457100 359 9,100 X 1 9,100
Worthington Inds. Inc. com 981811102 281 23,900 X 1 23,900
Yahoo! Inc. com 984332106 505 3,000 X 1 3,000
Ziff-Davis Inc. - ZDNET com 989511209 36 1,000 X 1 1,000
China Steel spons.adr 169417102 2,881 220,000 X 220,000
Consorcio Grupo spons.adr 210306106 2,969 2,500,000 X 2,500,000
Hellenic Telecom. Org. spons.adr 423325307 2,338 200,000 X 200,000
Korea Elect. Power Corp. spons.adr 500631106 3,045 240,000 X 240,000
Phillipine L/D Tel. spons.adr 718252109 2,329 90,000 X 90,000
Pohang Iron and Steel spons.adr 730450103 1,162 65,000 X 65,000
Portugal Telecom S. A. spons.adr 737273102 2,629 60,000 X 60,000
SK Telecom Co., Ltd. spons.adr 78440P108 146 11,970 X 11,970
Taiwan Semiconductor
Mfg. Ltd spons.adr 874039100 1,874 79,314 X 79,314
Telebras Hldrs
July 75 Put option 879287YSO 766 125,000 X 125,000
Telefonos De Mexico
May 65 Put option 8794030QM 169 50,000 X 50,000
Page Total $33,725
Grand Total $561,636
</TABLE>
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