-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, I9oMYtDv3kf2C6oLxQ9sTlCr+9V4Hbp0Ssh6r7Tfe1KG0eG6DRigMg/auf4PxVDT izl14Fq9n6j0rtWATzmr7g== 0001140361-09-026172.txt : 20091116 0001140361-09-026172.hdr.sgml : 20091116 20091116120953 ACCESSION NUMBER: 0001140361-09-026172 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091116 DATE AS OF CHANGE: 20091116 EFFECTIVENESS DATE: 20091116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BARING ASSET MANAGEMENT INC /MA/ CENTRAL INDEX KEY: 0000932463 IRS NUMBER: 042429117 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04544 FILM NUMBER: 091184881 BUSINESS ADDRESS: STREET 1: 470 ATLANTIC AVENUE STREET 2: INDEPENDENCE WHARF CITY: BOSTON STATE: MA ZIP: 02210 BUSINESS PHONE: 6179465200 MAIL ADDRESS: STREET 1: 470 ATLANTIC AVENUE STREET 2: INDEPENDENCE WHARF CITY: BOSTON STATE: MA ZIP: 02210 13F-HR 1 form13f-hr.txt BARIN ASSET MANAGEMENT 13F-HR 09-30-2009 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 9/30/2009 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: Baring Asset Management, Inc. Address: Independence Wharf, 470 Atlantic Ave Boston, MA 02110-2208 Form 13F File Number: 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. Persons Signing this Report on Behalf of Reporting Manager: Name: Patricia Ballard Title: Compliance Manager (US) Phone: 617-946-5225 Signature, Place, and Date of Signing: /s/ Patricia Ballard Boston, MA 11/13/2009 - --------------------------------- --------------------------------- ---------- [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).) List of Other Managers Reporting for this Manager: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 145 Form 13F Information Table Value Total: $2,103,750 -------------- (In Thousands) List of Other Included Managers: Provide a numbered list of the name(s) and 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE
FORM 13F INFORMATION TABLE - ------------------------------------------ --------- --------- ------------------- ---------- -------- ------------------------- 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 - ------------------------------------------ --------- --------- ---------- --- ---- ---------- -------- ---------- ------ ------- WYETH COM 983024100 3624943 74,618 SOLE 74,618 0 0 ABBOTT LABS COM 002824100 3393197 68,591 SOLE 68,591 0 0 ACTIVISION BLIZZ COM 00507V109 381649 30,803 SOLE 0 0 30,803 AECOM TECH CORP COM 00766T100 6909789 254,598 SOLE 254,598 0 0 AGCO CORP COM 001084102 2784773 100,788 SOLE 100,788 0 0 AGNICO EAGLE MINE COM 008474108 25705044 354,993 SOLE 334,784 0 20,209 AGNICO EAGLE MINE COM 008474108 305461 4,502 SOLE 4,502 0 0 ALTRIA GROUP COM 02209S103 1371850 77,027 SOLE 35,228 0 41,799 AMERICA MOVIL SA ADR 02364W105 105968974 2,417,727 SOLE 2,267,423 0 150,304 AMERICAN TOWER COM 029912201 8326609 228,753 SOLE 222,561 0 6,192 ANGLOGOLD ASHANTI ADR 035128206 3394044 83,269 SOLE 83,269 0 0 AON CORP COM 037389103 2477532 60,888 SOLE 45,498 0 15,390 APPLE INC COM 037833100 13600428 73,377 SOLE 66,943 0 6,434 ARCHER-DANIELS COM 039483102 3659221 125,230 SOLE 114,993 0 10,237 AT&T INC COM 00206R102 367930 13,622 SOLE 0 0 13,622 BALL CORP COM 058498106 2511562 51,048 SOLE 51,048 0 0 BANCO BRADESCO ADR 059460303 17280432 868,800 SOLE 868,800 0 0 BANK OF AMERICA COM 060505104 15246663 901,103 SOLE 901,103 0 0 BARRICK GOLD CORP COM 067901108 2580043 68,075 SOLE 68,075 0 0 BAXTER INTL COM 071813109 13117317 230,088 SOLE 218,506 0 11,582 BERKSHIRE HATHAWY COM 084670207 1252771 377 SOLE 232 0 145 BOSTON SCIENTIFIC COM 101137107 0 88,557 SOLE 88,557 0 0 BRF-BRASIL FOODS ADR 10552T107 9054577 170,039 SOLE 170,039 0 0 BUCYRUS INTL INC COM 118759109 2796168 78,522 SOLE 78,522 0 0 BURGER KING HLDGS COM 121208201 424921 24,157 SOLE 0 0 24,157 CA INC COM 12673P105 670695 30,500 SOLE 0 0 30,500 CAMDEN PROP TST COM 133131102 0 37,909 SOLE 37,909 0 0 CAMPBELL SOUP CO COM 134429109 2572577 78,865 SOLE 78,865 0 0 CATERPILLAR INC COM 149123101 12332545 240,260 SOLE 229,714 0 10,546 CDN NATURAL RESRC COM 136385101 42582020 632,122 SOLE 632,122 0 0 CEMEX S.A.B ADR 151290889 15524672 1,201,600 SOLE 1,201,600 0 0 CENTERPOINT ENRGY COM 15189T107 2936675 236,257 SOLE 196,069 0 40,188 CHEVRON CORP COM 166764100 52813486 749,872 SOLE 744,872 0 5,000 CHINA LIFE INS ADR 16939P106 17258929 262,653 SOLE 227,411 0 35,242 CHINA MOBILE LTD ADR 16941M109 39940623 813,289 SOLE 801,189 0 12,100 CIA DE BEBIDAS ADR 20441W203 18975079 230,672 SOLE 224,897 0 5,775 CISCO SYSTEMS COM 17275R102 2413296 102,519 SOLE 102,519 0 0 CME GROUP COM 12572Q105 1232760 4,000 SOLE 4,000 0 0 CNOOC ADS 126132109 257317 1,900 SOLE 1,900 0 0 COCA-COLA CO COM 191216100 566535 10,550 SOLE 0 0 10,550 COLGATE-PALMOLIVE COM 194162103 511076 6,700 SOLE 200 0 6,500 COVANCE INC COM 222816100 10677837 197,190 SOLE 179,205 0 17,985 CTRIP.COM INTL ADS 22943F100 22269652 378,800 SOLE 326,100 0 52,700 CUMMINS INC COM 231021106 7338533 163,770 SOLE 163,770 0 0 CVS CAREMARK COM 126650100 10340155 289,316 SOLE 269,137 0 20,179 DARLING INTL INC COM 237266101 2493664 339,274 SOLE 339,274 0 0 DEERE & CO COM 244199105 2629365 61,262 SOLE 61,262 0 0 DESARROLLADORA HO ADR 25030W100 32407911 857,806 SOLE 790,706 0 67,100 DEVON ENERGY COM 25179M103 7822468 116,181 SOLE 108,138 0 8,043 EATON CORP COM 278058102 0 21,022 SOLE 21,022 0 0 EQUINIX COM 29444U502 3008584 32,702 SOLE 32,702 0 0 EXPRESS SCRIPTS COM 302182100 10871439 140,132 SOLE 129,852 0 10,280 EXXON MOBIL CORP COM 30231G102 35184579 512,820 SOLE 499,377 0 13,443 FIDELITY NATL FIN COM 31620R105 5203822 345,081 SOLE 345,081 0 0 FINISH LINE INC COM 317923100 4089156 402,476 SOLE 402,476 0 0 FOMENTO ECON MEX ADR 344419106 19290855 506,987 SOLE 506,987 0 0 FREEPORT-MCMORAN COM 35671D857 1865849 27,195 SOLE 27,195 0 0 GAP INC COM 364760108 200775 9,382 SOLE 0 0 9,382 GEN CABLE CO COM 369300108 2032159 51,907 SOLE 45,480 0 6,427 GENERAL ELECTRIC COM 369604103 2382460 145,095 SOLE 145,095 0 0
FORM 13F INFORMATION TABLE - ------------------------------------------ --------- --------- ------------------- ---------- -------- ------------------------- 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 - ------------------------------------------ --------- --------- ---------- --- ---- ---------- -------- ---------- ------ ------- GENERAL MILLS COM 370334104 3174899 49,315 SOLE 49,315 0 0 GERDAU SA SIDERUR ADR 373737105 18029760 1,341,500 SOLE 1,341,500 0 0 GILEAD SCIENCES COM 375558103 12674643 272,573 SOLE 260,324 0 12,249 GOLDMAN SACHS GRP COM 38141G104 10339454 56,086 SOLE 51,919 0 4,167 GOODYEAR TIRE&RUB COM 382550101 2407855 141,389 SOLE 141,389 0 0 GOOGLE INC COM 38259P508 9077527 18,307 SOLE 17,551 0 756 GPO TELEVISA ADR 40049J206 13245152 712,488 SOLE 712,488 0 0 HALLIBURTON CO COM 406216101 6843516 252,342 SOLE 232,754 0 19,588 HARTFORD FIN SVCS COM 416515104 14137406 533,487 SOLE 533,487 0 0 HEINZ(HJ) CO COM 423074103 2243213 56,433 SOLE 56,433 0 0 HEWLETT PACKARD COM 428236103 4556615 96,518 SOLE 96,518 0 0 IBM CORP COM 459200101 6090781 50,922 SOLE 46,922 0 4,000 ICICI BANK LTD ADR 45104G104 2352160 61,000 SOLE 0 0 61,000 INFOSYS TECH ADR 456788108 1568312 112677 SOLE 65870 0 46807 ISHARES TRUST ITR 464288513 10845387 125,598 SOLE 0 0 125,598 ITAU UNIBANCO MUL ADR 465562106 193639526 9,609,902 SOLE 8,754,210 0 855,692 JOHNSON & JOHNSON COM 478160104 7003263 115,015 SOLE 106,702 0 8,313 JP MORGAN CHASE COM 46625H100 9346192 213,286 SOLE 193,465 0 19,821 JUNIPER NETWORKS COM 48203R104 3997907 147,961 SOLE 147,961 0 0 KELLOGG CO COM 487836108 9477908 192,523 SOLE 192,523 0 0 LIBERTY MEDIA COM 53071M500 677856 21,789 SOLE 0 0 21,789 LOCKHEED MARTIN COM 539830109 9861972 126,306 SOLE 119,129 0 7,177 MARATHON OIL COM 565849106 14381126 450,819 SOLE 450,819 0 0 MARVEL ENTERTAIN COM 57383T103 2926041 58,969 SOLE 58,969 0 0 MCDONALDS CORP COM 580135101 384994 6,746 SOLE 6,746 0 0 MECHEL OAO ADR 583840103 42685743 2,374,068 SOLE 2,320,859 0 53,209 METLIFE INC COM 59156R108 4331986 113,790 SOLE 98,907 0 14,883 METROPCS COMMUNIC COM 591708102 3054392 326,324 SOLE 326,324 0 0 MICRON TECHNOLOGY COM 595112103 1730347 211,018 SOLE 211,018 0 0 MICROSOFT CORP COM 594918104 1721851 66,946 SOLE 60,624 0 6,322 MINAS BUENAVENTRA ADR 204448104 63051955 1,790,740 SOLE 1,604,736 0 186,004 MINDRAY MEDICAL ADR 602675100 2226277 68,207 SOLE 60,566 0 7,641 MOBILE TELESYSTEM ADS 607409109 209957171 4,349,641 SOLE 4,207,573 0 142,068 MOLSON COORS BREW COM 60871R209 1686567 34,646 SOLE 34,646 0 0 MONSANTO CO COM 61166W101 41589495 537,332 SOLE 530,707 0 6,625 MOSAIC CO COM 61945A107 2350286 48,893 SOLE 48,893 0 0 NEW ORIENTAL EDUC ADR 647581107 1745765 21,700 SOLE 17,000 0 4,700 NEWMONT MINING COM 651639106 309593 7,033 SOLE 7,033 0 0 OCCIDENTAL PETRLM COM 674599105 12523540 159,739 SOLE 145,795 0 13,944 OFFICEMAX INC COM 67622P101 8098111 643,729 SOLE 643,729 0 0 ORACLE CORP COM 68389X105 234971 11,275 SOLE 0 0 11,275 OWENS-ILLINOIS COM 690768403 3635277 98,517 SOLE 98,517 0 0 PEABODY ENERGY COM 704549104 2141862 57,546 SOLE 57,546 0 0 PEPSICO INC COM 713448108 2013153 34,319 SOLE 34,319 0 0 PERKINELMER INC COM 714046109 2761459 143,527 SOLE 115,894 0 27,633 PETROLEO BRASIL ADS 71654V408 94870709 2,066,900 SOLE 1,965,169 0 101,731 PFIZER INC COM 717081103 1956326 118,207 SOLE 106,207 0 12,000 PG & E CORP(HLDG) COM 69331C108 821056 20,278 SOLE 7,328 0 12,950 PHILIP MORRIS INT COM 718172109 3739186 76,717 SOLE 76,717 0 0 PLUM CREEK TIMBER COM 729251108 2348342 76,643 SOLE 76,643 0 0 PNC FINANCIAL COM 693475105 1957448 40,285 SOLE 40,285 0 0 POTASH SASKATCHWN COM 73755L107 45766062 506,598 SOLE 494,860 0 11,738 PRAXAIR INC COM 74005P104 204225 2,500 SOLE 2,500 0 0 PRINCIPAL FIN COM 74251V102 10179384 371,646 SOLE 371,646 0 0 PROCTER & GAMBLE COM 742718109 936277 16,165 SOLE 8,557 0 7,608 PULTE HOMES INC COM 745867101 118219 10,757 SOLE 0 0 10,757 QUALCOMM INC COM 747525103 12258670 272,536 SOLE 261,866 0 10,670 RANDGOLD RESOURCE ADR 752344309 33556376 480,200 SOLE 416,100 0 64,100 RAYONIER INC COM 754907103 3485205 85,192 SOLE 85,192 0 0 ROBERT HALF INTL COM 770323103 0 41,453 SOLE 41,453 0 0
FORM 13F INFORMATION TABLE - ------------------------------------------ --------- --------- ------------------- ---------- -------- ------------------------- 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 - ------------------------------------------ --------- --------- ---------- --- ---- ---------- -------- ---------- ------ ------- SAFEWAY INC COM 786514208 553185 28,052 SOLE 0 0 28,052 SCHLUMBERGER LTD COM 806857108 981791 16,473 SOLE 2,900 0 13,573 SELECT SECTOR ITR 81369Y803 430903 20,647 SOLE 20,647 0 0 SHIRE PLC ADR 82481R106 4269008 81,641 SOLE 81,641 0 0 SIDERURGICA NACL ADR 20440W105 11247336 367,560 SOLE 367,560 0 0 SL GREEN REALTY COM 78440X101 5921461 135,039 SOLE 135,039 0 0 SOC QUIMICA Y MIN ADR 833635105 14172886 362,200 SOLE 362,200 0 0 SOTHEBYS COM 835898107 0 84,023 SOLE 84,023 0 0 SOUTHERN CO COM 842587107 484297 15,292 SOLE 9,950 0 5,342 SPDR TRUST ITR 78462F103 2456656 23,266 SOLE 15,896 0 7,370 ST JUDE MEDICAL COM 790849103 2054344 52,662 SOLE 52,662 0 0 SYMANTEC CORP COM 871503108 9123623 553,954 SOLE 516,062 0 37,892 TAIWAN SEMICONDUC ADS 874039100 16144881 1,473,073 SOLE 1,274,989 0 198,084 TERRA NITROGEN COM 881005201 2098358 20,132 SOLE 20,132 0 0 TESORO CORP COM 881609101 0 88,306 SOLE 88,306 0 0 TEVA PHARM INDS ADR 881624209 66142237 1,308,193 SOLE 1,264,171 0 44,022 TIM PARTICIPACOES ADR 88706P106 8440260 343,100 SOLE 343,100 0 0 TURKCELL ILETISIM ADS 900111204 1589376 88,941 SOLE 88,941 0 0 UNITED TECHNOLOGY COM 913017109 2474245 40,608 SOLE 36,688 0 3,920 VIMPEL COMMS ADR 68370R109 231128840 12,359,831 SOLE 11,780,416 0 579,415 VIVO PARTICIPACO ADR 92855S200 15854475 627,900 SOLE 627,900 0 0 WAL-MART COM 931142103 6929250 141,154 SOLE 133,913 0 7,241 WIMM BILL DANN ADR 97263M109 62191961 869,696 SOLE 792,447 0 77,249 XILINX INC COM 983919101 2058548 87,897 SOLE 87,897 0 0 XTO ENERGY COM 98385X106 10437598 252,604 SOLE 235,454 0 17,150
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