0001435346-12-000011.txt : 20121101 0001435346-12-000011.hdr.sgml : 20121101 20121031200915 ACCESSION NUMBER: 0001435346-12-000011 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121101 DATE AS OF CHANGE: 20121031 EFFECTIVENESS DATE: 20121101 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Daiwa SB Investments Ltd. CENTRAL INDEX KEY: 0001435346 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13129 FILM NUMBER: 121171871 BUSINESS ADDRESS: STREET 1: 2-1 KASUMIGASEKI 3-CHOME, CHIYODA-KU CITY: TOKYO STATE: M0 ZIP: 100-0013 BUSINESS PHONE: 810362050200 MAIL ADDRESS: STREET 1: 2-1 KASUMIGASEKI 3-CHOME, CHIYODA-KU CITY: TOKYO STATE: M0 ZIP: 100-0013 13F-HR 1 dsbiform13f20120930.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: September 30, 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 SB Investments Ltd. Address: 2-1 KASUMIGASEKI 3-CHOME, CHIYODA-KU TOKYO JAPAN 100-0013 Form 13F File Number: 28-13129 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: Katsuhiko Ishikawa Title: Executive Officer Phone: 81-3-6205-0382 Signature, Place, and Date of Signing: /s/ Katsuhiko Ishikawa Chiyoda-ku, Tokyo Japan October 31, 2012 ---------------------- ----------------------- ------------------ [Signature] [City, State] [Date] Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 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 are reported in this report and a portion are reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: NA Form 13F Information Table Entry Total: 145 Items Form 13F Information Table Value Total: $710,297 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. 13F File Number Name ---- --------------- ---- FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN6 COLUMN 7 COLUMN 8 ============= ============== ======== ========= ================ ========== ======== ================== VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS Sole Shared None ============== ============== ====== ========= ======= === ==== ========== ======== ===== ====== ===== AGRIUM INC COM 008916108 16967 164000 SH SOLE 164000 - - AIR PRODUCTS & CHEMICALS INC COM 009158106 84 1020 SH SOLE 1020 - - ALLSTATE CORP COM 020002101 136 3440 SH SOLE 3440 - - AMAZON.COM INC COM 023135106 3637 14299 SH DEFINED 14299 - - AMERICAN ELECTRIC POWER INC COM 025537101 48 1100 SH SOLE 1100 - - AMERICAN EXPRESS COMPANY COM 025816109 1661 29219 SH DEFINED 29219 - - AMGEN INC COM 031162100 3184 37772 SH DEFINED 37772 - - AMPHENOL CORP CL A 032095101 85 1440 SH SOLE 1440 - - ANADARKO PETROLEUM CORP COM 032511107 1040 14875 SH DEFINED 14875 - - APPLE INC COM 037833100 11831 17735 SH DEFINED 17735 - - BAIDU INC SPON ADR REP A 056752108 3507 30000 SH SOLE 30000 - - BANK OF AMERICA CORP COM 060505104 1645 186279 SH DEFINED 186279 - - BANK OF NEW YORK MELLON CORP COM 064058100 1254 55447 SH DEFINED 55447 - - BED BATH & BEYOND INC COM 075896100 2150 34124 SH DEFINED 34124 - - BORGWARNER INC COM 099724106 71 1030 SH SOLE 1030 - - BRISTOL MYERS-SQUIBB COM 110122108 9301 275572 SH DEFINED 275572 - - BROADCOM CORP CL A 111320107 2645 76509 SH DEFINED 76509 - - BROWN-FORMAN CORP CL B 115637209 13771 211050 SH SOLE 211050 - - CAMPBELL SOUP CO COM 134429109 10655 306000 SH SOLE 306000 - - CARNIVAL CORP PAIRED CTF 143658300 16499 452900 SH SOLE 452900 - - CELGENE CORP COM 151020104 91 1190 SH SOLE 1190 - - CHEVRON CORP COM 166764100 22868 196189 SH DEFINED 196189 - - CHUBB CORP COM 171232101 17633 231168 SH DEFINED 231168 - - CITRIX SYSTEMS INC COM 177376100 2185 28547 SH DEFINED 28547 - - COCA-COLA CO COM 191216100 1793 47260 SH DEFINED 47260 - - COMERICA INC COM 200340107 1171 37698 SH DEFINED 37698 - - CONSOLIDATED EDISON INC COM 209115104 10942 182700 SH SOLE 182700 - - CORNING INC. COM 219350105 3521 267728 SH DEFINED 267728 - - COVANCE INC COM 222816100 143 3060 SH SOLE 3060 - - CUMMINS INC COM 231021106 2146 23272 SH DEFINED 23272 - - DEERE & CO COM 244199105 11969 145130 SH DEFINED 145130 - - DENBURY RESOURCES INC COM NEW 247916208 93 5770 SH SOLE 5770 - - THE WALT DISNEY CO. 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- DOMINION RESOURCES INC/VA COM 25746U109 1593 30099 SH DEFINED 30099 - - ENGILITY HOLDINGS INC COM 29285W104 1 74 SH SOLE 74 - - EQUITY RESIDENTIAL SH BEN INT 29476L107 54 930 SH SOLE 930 - - EXPRESS SCRIPTS HOLDING CO COM 30219G108 127 2020 SH SOLE 2020 - - EXXON MOBIL CORPORATION COM 30231G102 5578 60997 SH DEFINED 60997 - - FLOWSERVE CORP COM 34354P105 156 1220 SH SOLE 1220 - - FREEPORT-MCMORAN COPPER COM 35671D857 23811 601585 SH DEFINED 601585 - - GOLDMAN SACHS GROUP COM 38141G104 261 2300 SH SOLE 2300 - - GOOGLE INC CL A 38259P508 1670 2214 SH DEFINED 2214 - - HDFC BANK LTD ADR REPS 3 SHS 40415F101 1838 48900 SH SOLE 48900 - - ICICI BANK LTD ADR 45104G104 20 500 SH SOLE 500 - - JPMORGAN CHASE & CO COM 46625H100 1830 45218 SH DEFINED 45218 - - KRAFT FOODS INC CL A 50075N104 2682 64868 SH DEFINED 64868 - - MERCK & CO INC COM 58933Y105 26791 594100 SH SOLE 594100 - - METLIFE INC COM 59156R108 27 770 SH SOLE 770 - - MOLSON COORS BREWING CO CL B 60871R209 319 7070 SH SOLE 7070 - - MONSANTO CO /NEW COM 61166W101 2538 27885 SH DEFINED 27885 - 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