OMB APPROVAL
----------------------------
OMB Number:
Expires:
Estimated average burden
hours per response.....
----------------------------
SEC USE ONLY
----------------------------
----------------------------
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, 2009
If amended report check here: |_| Amendment Number: ____
This Amendment (Check only one): |_| is a restatement
|_| adds new holding
entries.
PRIOR FILINGS FOR THE NOMURA GROUP WERE REPORTED UNDER THE NAME NOMURA
SECURITIES COMPANY, WITH CIK NUMBER 0000110097. SUBSEQUENT FILINGS WILL
BE MADE UNDER THE NAME NOMURA HOLDINGS, INC., CIK NUMBER 0001163653.
NOMURA HOLDINGS, INC. (NHI) IS THE PARENT HOLDING COMPANY OF A NUMBER
OF OPERATING SUBSIDIARIES, SOME OF WHICH ARE OR MAY BE INSTITUTIONAL
INVESTMENT MANAGERS FOR THE PURPOSES OF THE REPORTING REQUIREMENTS UNDER
SECTION 13(F) OF THE SECURITIES EXCHANGE ACT OF 1934 (THE ACT) AND THE RULES
PROMULGATED THEREUNDER. NHI ITSELF DOES NOT DIRECTLY EXERCISE INVESTMENT
DISCRETION WITH RESPECT TO ANY SECTION 13(F) SECURITIES POSITIONS. IN
THAT NHI'S OWNERSHIP INTEREST IN SUCH OPERATING SUBSIDIARIES IS DEEMED THE
EXERCISE OF INVESTMENT DISCRETION REGARDING CERTAIN OF SUCH SUBSIDIARIES'
MANAGED ACCOUNTS, THE INFORMATION REQUIRED BY FORM 13F IS REPORTED BY NHI
ON BEHALF OF CERTAIN OF NHI'S OPERATING SUBSIDIARIES WHICH ARE INSTITUTIONAL
INVESTMENT MANAGERS SUBJECT TO SECTION 13(F)OF THE ACT.
Nomura Holdings Inc.
--------------------------------------------------------------------------------
Name of Institutional Investment Manager
1-9-1, Nihonbashi, Chuo-ku, Tokyo 103-8011, Japan
--------------------------------------------------------------------------------
Business Address (Street) (City) (State) (Zip)
13F File Number: 001-15270
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, and tables, are considered integral parts of this form.
Person Signing this Report on Behalf of Reporting Manager:
Brendan G. Daly Head of Compliance and Surveillance 212-667-1246
--------------------------------------------------------------------------------
Name (Title) (Phone)
/s/ Brendan G. Daly
------------------------------------------
(Manual Signature of Person Duly
Authorized to Submit This Report)
New York, NY November 10, 2009
------------------------------------------
(Place and Date of Signing)
Report Type:
[ ] 13F HOLDINGS REPORT.
[ ] 13F NOTICE.
[X] 13F COMBINATION REPORT.
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 4
Form 13F Information Table Entry Total: 345
Form 13F Information Table Value Total: 3,983,073,577
List of Other Included Managers:
Name and 13F file numbers of ALL Institutional Investment Managers with respect
to which this schedule is filed (other than the one filing this report): (List
in alphabetical order).
13F File No.: Name:
------------- ---------------------
6. 28-05739 Global Funds Management, S.A.
------------- ---------------------
2. 28-04985 Nomura International plc
------------- ---------------------
4. 28-04993 Nomura Securities (Bermuda)
------------- ---------------------
1. 28-04983 Nomura Securities International, Inc.
------------- ---------------------
1Page 1 07-08-13 14:21:11
FORM 13F
INFORMATION TABLE
QUARTER ENDING
09/30/2009
NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY
OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS
------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ----------------
0
DEUTSCHE BANK AG D18190898 70,810 000000970000 SH DEFINED 01 SOLE
ACCENTURE LTD BERMUDA G1150G111 16,912 000000455922 SH DEFINED 02 SOLE
COVIDIEN PLC G2554F105 38,558 000000891321 SH DEFINED 02 SOLE
UTI WORLDWIDE INC G87210103 6,789 000000468893 SH DEFINED 02 SOLE
XL CAP LTD G98255105 1,086 000000064700 SH DEFINED 01 SOLE
MILLICOM INTL CELLULAR S A L6388F110 824 000000011600 SH DEFINED 01 SOLE
AFLAC INC 001055102 949 000000022503 SH DEFINED 02 SOLE
AES CORP 00130H105 1,936 000000140000 SH DEFINED 01 SOLE
AMR CORP 001765106 179 000000022583 SH DEFINED 02 SOLE
AT&T INC 00206R102 1,613 000000059721 SH DEFINED 02 SOLE
ABBOTT LABS 002824100 1,096 000000022475 SH DEFINED 02 SOLE
AETNA INC NEW 00817Y108 11,394 000000409433 SH DEFINED 02 SOLE
AGRIUM INC 008916108 32,842 000000659630 SH DEFINED 02 SOLE
AIR PRODS & CHEMS INC 009158106 1,735 000000022509 SH DEFINED 02 SOLE
AIRTRAN HLDGS INC 00949P108 3,290 000000526424 SH DEFINED 02 SOLE
ALCOA INC 013817101 16,249 000001257700 SH DEFINED 01 SOLE
ALLEGHENY TECHNOLOGIES INC 01741R102 788 000000022530 SH DEFINED 02 SOLE
ALLIS CHALMERS ENERGY INC 019645506 84 000000019400 SH DEFINED 01 SOLE
ALTERA CORP 021441100 460 000000022541 SH DEFINED 02 SOLE
AMAZON COM INC 023135106 26,821 000000291615 SH DEFINED 02 SOLE
AMERICAN EAGLE OUTFITTERS NE 02553E106 4,916 000000291619 SH DEFINED 02 SOLE
AMERICAN EXPRESS CO 025816109 761 000000022570 SH DEFINED 02 SOLE
AMERICAN INTL GROUP INC 026874784 995 000000022577 SH DEFINED 02 SOLE
AMERICAN TOWER CORP 029912201 11,308 000000311992 SH DEFINED 02 SOLE
AMERICREDIT CORP 03060R101 240 000000016000 SH DEFINED 01 SOLE
AMGEN INC 031162100 4,122 000000069878 SH DEFINED 01 SOLE
ANALOG DEVICES INC 032654105 621 000000022591 SH DEFINED 02 SOLE
APACHE CORP 037411105 2,073 000000022600 SH DEFINED 02 SOLE
APOLLO GROUP INC 037604105 23,470 000000323769 SH DEFINED 02 SOLE
APPLIED MATLS INC 038222105 157 000000012200 SH DEFINED 01 SOLE
AQUA AMERICA INC 03836W103 5,741 000000335469 SH DEFINED 02 SOLE
ARCELORMITTAL SA LUXEMBOURG 03938L104 1,673 000000047850 SH DEFINED 01 SOLE
ARKANSAS BEST CORP DEL 040790107 12,050 000000402484 SH DEFINED 02 SOLE
ARMSTRONG WORLD INDS INC NEW 04247X102 837 000000024305 SH DEFINED 01 SOLE
ASSET ACCEP CAP CORP 04543P100 4,284 000000590937 SH DEFINED 02 SOLE
AUTOZONE INC 053332102 3,283 000000022656 SH DEFINED 02 SOLE
AVALONBAY CMNTYS INC 053484101 1,641 000000022658 SH DEFINED 02 SOLE
AVON PRODS INC 054303102 754 000000022664 SH DEFINED 02 SOLE
BB&T CORP 054937107 662 000000024119 SH DEFINED 02 SOLE
BAKER HUGHES INC 057224107 962 000000022670 SH DEFINED 02 SOLE
BANK OF AMERICA CORPORATION 060505104 347 000000020500 SH DEFINED 01 SOLE
BANK OF AMERICA CORPORATION 060505104 5,160 000000306370 SH DEFINED 02 SOLE
BANK OF NEW YORK MELLON CORP 064058100 7,753 000000277900 SH DEFINED 01 SOLE
BANK OF NEW YORK MELLON CORP 064058100 656 000000022733 SH DEFINED 02 SOLE
BARNES & NOBLE INC 067774109 5,480 000000246652 SH DEFINED 02 SOLE
BAXTER INTL INC 071813109 8,651 000000155300 SH DEFINED 01 SOLE
BED BATH & BEYOND INC 075896100 840 000000022703 SH DEFINED 02 SOLE
1Page 2 09-11-06 15:58:54
0 FORM 13F
INFORMATION TABLE
QUARTER ENDING
09/30/2009
NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY
OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS
------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ----------------
0BEST BUY INC 086516101 852 000000022716 SH DEFINED 02 SOLE
BLACKROCK INC 09247X101 105,228 000000485328 SH DEFINED 02 SOLE
BOEING CO 097023105 1,222 000000022743 SH DEFINED 02 SOLE
BOSTON PROPERTIES INC 101121101 21,839 000000334425 SH DEFINED 02 SOLE
BOSTON SCIENTIFIC CORP 101137107 236 000000022750 SH DEFINED 02 SOLE
BOYD GAMING CORP 103304101 3,662 000000335053 SH DEFINED 02 SOLE
BRINKER INTL INC 109641100 358 000000022762 SH DEFINED 02 SOLE
BRINKS CO 109696104 643 000000023903 SH DEFINED 02 SOLE
BRISTOL MYERS SQUIBB CO 110122108 513 000000022763 SH DEFINED 02 SOLE
BROADCOM CORP 111320107 10,138 000000334426 SH DEFINED 02 SOLE
BURLINGTON NORTHN SANTA FE C 12189T104 1,809 000000022782 SH DEFINED 02 SOLE
CF INDS HLDGS INC 125269100 75,413 000000874564 SH DEFINED 02 SOLE
CME GROUP INC 12572Q105 164,801 000000534741 SH DEFINED 02 SOLE
CSX CORP 126408103 963 000000022986 SH DEFINED 02 SOLE
CA INC 12673P105 504 000000022930 SH DEFINED 02 SOLE
CABLEVISION SYS CORP 12686C109 6,050 000000256830 SH DEFINED 02 SOLE
CALPINE CORP 131347304 246 000000022300 SH DEFINED 01 SOLE
CAMERON INTERNATIONAL CORP 13342B105 12,648 000000334428 SH DEFINED 02 SOLE
CANADIAN NAT RES LTD 136385101 40,631 000000604724 SH DEFINED 02 SOLE
CAPITAL ONE FINL CORP 14040H105 744 000000022128 SH DEFINED 01 SOLE
CAPITAL ONE FINL CORP 14040H105 804 000000022812 SH DEFINED 02 SOLE
CARNIVAL CORP 143658300 74 000000022813 SH DEFINED 02 SOLE
CATERPILLAR INC DEL 149123101 1,168 000000022827 SH DEFINED 02 SOLE
CHESAPEAKE ENERGY CORP 165167107 7,298 000000258822 SH DEFINED 02 SOLE
CHEVRON CORP NEW 166764100 1,605 000000022865 SH DEFINED 02 SOLE
CHINA MED TECHNOLOGIES INC 169483104 11,923 000000735131 SH DEFINED 02 SOLE
CHIQUITA BRANDS INTL INC 170032809 562 000000035400 SH DEFINED 01 SOLE
CHUBB CORP 171232101 1,154 000000022876 SH DEFINED 02 SOLE
CISCO SYS INC 17275R102 235 000000010200 SH DEFINED 01 SOLE
CISCO SYS INC 17275R102 535 000000022890 SH DEFINED 02 SOLE
CITIGROUP INC 172967101 53 000000011800 SH DEFINED 01 SOLE
CITIGROUP INC 172967101 1,414 000000306550 SH DEFINED 02 SOLE
CITRIX SYS INC 177376100 11,222 000000291691 SH DEFINED 02 SOLE
COACH INC 189754104 14,498 000000444274 SH DEFINED 02 SOLE
COCA COLA CO 191216100 1,216 000000022908 SH DEFINED 02 SOLE
COGNIZANT TECHNOLOGY SOLUTIO 192446102 17,432 000000454915 SH DEFINED 02 SOLE
COLGATE PALMOLIVE CO 194162103 1,749 000000022914 SH DEFINED 02 SOLE
COMMERCIAL METALS CO 201723103 6,007 000000335139 SH DEFINED 02 SOLE
CONOCOPHILLIPS 20825C104 300 000000006600 SH DEFINED 01 SOLE
CONOCOPHILLIPS 20825C104 1,073 000000023891 SH DEFINED 02 SOLE
CONSOL ENERGY INC 20854P109 19,385 000000435390 SH DEFINED 02 SOLE
CONTINENTAL AIRLS INC 210795308 4,729 000000313600 SH DEFINED 01 SOLE
CONTINENTAL AIRLS INC 210795308 377 000000022938 SH DEFINED 02 SOLE
CORNING INC 219350105 350 000000022962 SH DEFINED 02 SOLE
COSTCO WHSL CORP NEW 22160K105 19,767 000000351773 SH DEFINED 02 SOLE
CUMMINS INC 231021106 1,012 000000022989 SH DEFINED 02 SOLE
1Page 3 09-11-06 15:58:54
0 FORM 13F
INFORMATION TABLE
QUARTER ENDING
09/30/2009
NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY
OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS
------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ----------------
0D R HORTON INC 23331A109 3,584 000000335182 SH DEFINED 02 SOLE
DANA HOLDING CORP 235825205 3,880 000000569794 SH DEFINED 01 SOLE
DANA HOLDING CORP 235825205 366 000000053796 SH DEFINED 01 NONE
DANAHER CORP DEL 235851102 1,534 000000022998 SH DEFINED 02 SOLE
DARDEN RESTAURANTS INC 237194105 755 000000022999 SH DEFINED 02 SOLE
DEERE & CO 244199105 978 000000023009 SH DEFINED 02 SOLE
DELL INC 24702R101 1,100 000000072700 SH DEFINED 01 SOLE
DELL INC 24702R101 349 000000023011 SH DEFINED 02 SOLE
DELTA AIR LINES INC DEL 247361702 43 000000004851 SH DEFINED 01 NONE
DELTA AIR LINES INC DEL 247361702 533 000000059562 SH DEFINED 01 SOLE
DELTA AIR LINES INC DEL 247361702 8,655 000001063372 SH DEFINED 01 SOLE
DIRECTV GROUP INC 25459L106 16,097 000000583650 SH DEFINED 02 SOLE
DONNELLEY R R & SONS CO 257867101 769 000000037100 SH DEFINED 01 SOLE
DOW CHEM CO 260543103 254 000000010400 SH DEFINED 01 SOLE
DUKE REALTY CORP 264411505 157 000000013800 SH DEFINED 01 SOLE
E M C CORP MASS 268648102 391 000000023092 SH DEFINED 02 SOLE
ENSCO INTL INC 26874Q100 979 000000023101 SH DEFINED 02 SOLE
EBAY INC 278642103 8,120 000000349635 SH DEFINED 02 SOLE
EMERSON ELEC CO 291011104 917 000000023093 SH DEFINED 02 SOLE
ENCANA CORP 292505104 32,462 000000563492 SH DEFINED 02 SOLE
EQUITY RESIDENTIAL 29476L107 1,728 000000056555 SH DEFINED 02 SOLE
EXELON CORP 30161N101 782 000000016147 SH DEFINED 01 SOLE
EXELON CORP 30161N101 1,176 000000023863 SH DEFINED 02 SOLE
EXPEDITORS INTL WASH INC 302130109 11,665 000000335205 SH DEFINED 02 SOLE
EXXON MOBIL CORP 30231G102 225 000000003350 SH DEFINED 01 SOLE
EXXON MOBIL CORP 30231G102 24,390 000000355619 SH DEFINED 02 SOLE
FTI CONSULTING INC 302941109 421 000000009900 SH DEFINED 01 SOLE
FEDERAL MOGUL CORP 313549404 992 000000082190 SH DEFINED 01 SOLE
FEDERAL REALTY INVT TR 313747206 1,414 000000023140 SH DEFINED 02 SOLE
FIFTH THIRD BANCORP 316773100 246 000000026100 SH DEFINED 01 SOLE
FIFTH THIRD BANCORP 316773100 230 000000023149 SH DEFINED 02 SOLE
FIRST SOLAR INC 336433107 133,492 000000869714 SH DEFINED 02 SOLE
FLUOR CORP NEW 343412102 20,661 000000410480 SH DEFINED 02 SOLE
FORD MTR CO DEL 345370860 170 000000023182 SH DEFINED 02 SOLE
FRANKLIN RES INC 354613101 201 000000002077 SH DEFINED 01 SOLE
FREEPORT-MCMORAN COPPER & GO 35671D782 3,777 000000036675 SH DEFINED 01 NONE
FREEPORT-MCMORAN COPPER & GO 35671D782 4,895 000000047525 SH DEFINED 01 SOLE
GAP INC DEL 364760108 492 000000023215 SH DEFINED 02 SOLE
GAYLORD ENTMT CO NEW 367905106 227 000000012600 SH DEFINED 01 SOLE
GEORGIA GULF CORP 373200302 4,187 000000139579 SH DEFINED 01 SOLE
GEORGIA GULF CORP 373200302 555 000000018529 SH DEFINED 01 NONE
GOLDMAN SACHS GROUP INC 38141G104 6,774 000000037850 SH DEFINED 01 SOLE
GOLDMAN SACHS GROUP INC 38141G104 63,315 000000344705 SH DEFINED 02 SOLE
GRACE W R & CO DEL NEW 38388F108 263 000000012121 SH DEFINED 01 SOLE
GREENHILL & CO INC 395259104 54,523 000000608653 SH DEFINED 02 SOLE
GROUP 1 AUTOMOTIVE INC 398905109 232 000000008650 SH DEFINED 01 SOLE
HCP INC 40414L109 1,596 000000055891 SH DEFINED 02 SOLE
HALLIBURTON CO 406216101 625 000000023295 SH DEFINED 02 SOLE
HARTFORD FINL SVCS GROUP INC 416515104 631 000000023445 SH DEFINED 02 SOLE
1Page 4 09-11-06 15:58:54
0 FORM 13F
INFORMATION TABLE
QUARTER ENDING
09/30/2009
NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY
OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS
------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ----------------
0HATTERAS FINL CORP 41902R103 29,328 000000978273 SH DEFINED 02 SOLE
HEALTH CARE REIT INC 42217K106 10,317 000000246734 SH DEFINED 02 SOLE
HECLA MNG CO 422704106 101 000000023325 SH DEFINED 02 SOLE
HEWLETT PACKARD CO 428236103 1,091 000000023334 SH DEFINED 02 SOLE
HOME DEPOT INC 437076102 616 000000023347 SH DEFINED 02 SOLE
HONEYWELL INTL INC 438516106 13,343 000000364831 SH DEFINED 02 SOLE
HORNBECK OFFSHORE SVCS INC N 440543106 302 000000010988 SH DEFINED 01 SOLE
HOST HOTELS & RESORTS INC 44107P104 271 000000023599 SH DEFINED 02 SOLE
HUDSON CITY BANCORP 443683107 6,876 000000526735 SH DEFINED 02 SOLE
HUNT J B TRANS SVCS INC 445658107 740 000000023366 SH DEFINED 02 SOLE
ITT EDUCATIONAL SERVICES INC 45068B109 563 000000005200 SH DEFINED 01 SOLE
IDENIX PHARMACEUTICALS INC 45166R204 1,904 000000622399 SH DEFINED 02 SOLE
ILLINOIS TOOL WKS INC 452308109 994 000000023380 SH DEFINED 02 SOLE
INNOPHOS HOLDINGS INC 45774N108 224 000000012140 SH DEFINED 01 SOLE
INTEL CORP 458140100 455 000000023412 SH DEFINED 02 SOLE
INTERCONTINENTALEXCHANGE INC 45865V100 74,170 000000763152 SH DEFINED 02 SOLE
INTUITIVE SURGICAL INC 46120E602 115,737 000000453267 SH DEFINED 02 SOLE
INTUIT 461202103 8,038 000000287744 SH DEFINED 02 SOLE
ISHARES COMEX GOLD TR 464285105 75,498 000000763153 SH DEFINED 02 SOLE
ISHARES INC 464286400 39,882 000000589629 SH DEFINED 02 SOLE
SHARES INC 464286673 7,058 000000656566 SH DEFINED 02 SOLE
ISHARES INC 464286772 21,543 000000454698 SH DEFINED 02 SOLE
ISHARES INC 464286848 4,849 000000488107 SH DEFINED 02 SOLE
ISHARES INC 464286871 6,111 000000393783 SH DEFINED 02 SOLE
ISHARES TR INDEX 464287101 29,438 000000600060 SH DEFINED 02 SOLE
ISHARES TR INDEX 464287184 26,315 000000643086 SH DEFINED 02 SOLE
ISHARES TR INDEX 464287234 23,297 000000598758 SH DEFINED 02 SOLE
ISHARES TR INDEX 464287465 32,062 000000586362 SH DEFINED 02 SOLE
ISHARES TR INDEX 464287473 23,080 000000651625 SH DEFINED 02 SOLE
ISHARES TR INDEX 464287598 34,250 000000617230 SH DEFINED 02 SOLE
ISHARES TR INDEX 464287622 35,061 000000603463 SH DEFINED 02 SOLE
ISHARES TR INDEX 464287655 33,946 000000563518 SH DEFINED 02 SOLE
ISHARES TR INDEX 464287721 31,019 000000597105 SH DEFINED 02 SOLE
ISHARES TR INDEX 464287739 25,019 000000586344 SH DEFINED 02 SOLE
ISHARES TR INDEX 464287838 34,610 000000631571 SH DEFINED 02 SOLE
JDS UNIPHASE CORP 46612J507 2,076 000000292119 SH DEFINED 02 SOLE
JPMORGAN CHASE & CO 46625H100 14,113 000000341157 SH DEFINED 01 SOLE
JPMORGAN CHASE & CO 46625H100 407 000000009300 SH DEFINED 01 SOLE
JPMORGAN CHASE & CO 46625H100 1,007 000000022862 SH DEFINED 02 SOLE
JACOBS ENGR GROUP INC DEL 469814107 1,064 000000023449 SH DEFINED 02 SOLE
JETBLUE AIRWAYS CORP 477143101 227 000000041600 SH DEFINED 01 SOLE
JETBLUE AIRWAYS CORP 477143101 2,944 000000492322 SH DEFINED 02 SOLE
JOHNSON CTLS INC 478366107 595 000000023460 SH DEFINED 02 SOLE
JONES APPAREL GROUP INC 480074103 420 000000023462 SH DEFINED 02 SOLE
JOS A BANK CLOTHIERS INC 480838101 23,583 000000526770 SH DEFINED 02 SOLE
JUNIPER NETWORKS INC 48203R104 9,746 000000362392 SH DEFINED 02 SOLE
1Page 5 09-11-06 15:58:54
0 FORM 13F
INFORMATION TABLE
QUARTER ENDING
09/30/2009
NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY
OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS
------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ----------------
0KB HOME 48666K109 389 000000023471 SH DEFINED 02 SOLE
KELLOGG CO 487836108 1,155 000000023473 SH DEFINED 02 SOLE
KIMCO REALTY CORP 49446R109 4,304 000000334625 SH DEFINED 02 SOLE
KRAFT FOODS INC 50075N104 2,832 000000109000 SH DEFINED 01 SOLE
KRAFT FOODS INC 50075N104 11,234 000000435882 SH DEFINED 02 SOLE
LAS VEGAS SANDS CORP 517834107 10,898 000000655126 SH DEFINED 02 SOLE
LAYNE CHRISTENSEN CO 521050104 1,917 000000059818 SH DEFINED 02 SOLE
LEAP WIRELESS INTL INC 521863308 766 000000044000 SH DEFINED 01 SOLE
LINCOLN ELEC HLDGS INC 533900106 21,514 000000453405 SH DEFINED 02 SOLE
LINCOLN NATL CORP IND 534187109 602 000000023542 SH DEFINED 02 SOLE
LINEAR TECHNOLOGY CORP 535678106 649 000000023544 SH DEFINED 02 SOLE
LOCKHEED MARTIN CORP 539830109 1,840 000000023551 SH DEFINED 02 SOLE
LOEWS CORP 540424108 804 000000023553 SH DEFINED 02 SOLE
MACYS INC 55616P104 412 000000023137 SH DEFINED 02 SOLE
MARKET VECTORS ETF TR 57060U100 4,607 000000107000 SH DEFINED 01 SOLE
MARSH & MCLENNAN COS INC 571748102 583 000000023600 SH DEFINED 02 SOLE
MARRIOTT INTL INC NEW 571903202 7,628 000000280411 SH DEFINED 02 SOLE
MARTIN MARIETTA MATLS INC 573284106 2,255 000000024496 SH DEFINED 02 SOLE
MASSEY ENERGY CORP 576206106 646 000000023173 SH DEFINED 02 SOLE
MASTERCARD INC 57636Q104 10,357 000000051940 SH DEFINED 01 SOLE
MCDONALDS CORP 580135101 1,333 000000023622 SH DEFINED 02 SOLE
MEDCO HEALTH SOLUTIONS INC 58405U102 291 000000005400 SH DEFINED 01 SOLE
MEDTRONIC INC 585055106 446 000000012148 SH DEFINED 01 SOLE
MERCK & CO INC 589331107 740 000000023650 SH DEFINED 02 SOLE
METLIFE INC 59156R108 14,837 000000389480 SH DEFINED 02 SOLE
MICROSOFT CORP 594918104 603 000000023669 SH DEFINED 02 SOLE
MICROCHIP TECHNOLOGY INC 595017104 7,661 000000291925 SH DEFINED 02 SOLE
MIDCAP SPDR TR 595635103 71,719 000000563520 SH DEFINED 02 SOLE
MINDRAY MEDICAL INTL LTD 602675100 27,007 000000827429 SH DEFINED 02 SOLE
MIRANT CORP NEW 60467R100 677 000000042800 SH DEFINED 01 SOLE
MONSANTO CO NEW 61166W101 36,240 000000468586 SH DEFINED 02 SOLE
MORGAN STANLEY 617446448 708 000000023007 SH DEFINED 02 SOLE
MOSAIC CO 61945A107 6,189 000000133300 SH DEFINED 01 SOLE
MOTOROLA INC 620076109 197 000000023704 SH DEFINED 02 SOLE
MURPHY OIL CORP 626717102 1,365 000000023707 SH DEFINED 02 SOLE
NII HLDGS INC 62913F201 242 000000008400 SH DEFINED 01 SOLE
NRG ENERGY INC 629377508 7,709 000000286694 SH DEFINED 01 SOLE
NRG ENERGY INC 629377508 497 000000017650 SH DEFINED 01 SOLE
NYSE EURONEXT 629491101 1,457 000000052500 SH DEFINED 01 SOLE
NYSE EURONEXT 629491101 22,430 000000784013 SH DEFINED 02 SOLE
NATIONAL INSTRS CORP 636518102 9,267 000000335417 SH DEFINED 02 SOLE
NATIONAL SEMICONDUCTOR CORP 637640103 4,569 000000341500 SH DEFINED 01 SOLE
NETAPP INC 64110D104 8,846 000000335423 SH DEFINED 02 SOLE
NEWMONT MINING CORP 651639106 1,038 000000023750 SH DEFINED 02 SOLE
NEWS CORP 65248E104 7,537 000000637403 SH DEFINED 02 SOLE
NIKE INC 654106103 1,532 000000023762 SH DEFINED 02 SOLE
1Page 6 09-11-06 15:58:54
0 FORM 13F
INFORMATION TABLE
QUARTER ENDING
09/30/2009
NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY
OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS
------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ----------------
0NORDSTROM INC 655664100 725 000000023772 SH DEFINED 02 SOLE
NORFOLK SOUTHERN CORP 655844108 1,027 000000023776 SH DEFINED 02 SOLE
NORTHERN TR CORP 665859104 1,382 000000023777 SH DEFINED 02 SOLE
NORTHROP GRUMMAN CORP 666807102 1,229 000000023780 SH DEFINED 02 SOLE
OCCIDENTAL PETE CORP DEL 674599105 1,849 000000023797 SH DEFINED 02 SOLE
OLD DOMINION FGHT LINES INC 679580100 16,033 000000526910 SH DEFINED 02 SOLE
ONYX PHARMACEUTICALS INC 683399109 8,965 000000299133 SH DEFINED 02 SOLE
ORACLE CORP 68389X105 495 000000023817 SH DEFINED 02 SOLE
PDL BIOPHARMA INC 69329Y104 466 000000059208 SH DEFINED 02 SOLE
P F CHANGS CHINA BISTRO INC 69333Y108 14,465 000000425846 SH DEFINED 02 SOLE
PNC FINL SVCS GROUP INC 693475105 1,131 000000023910 SH DEFINED 02 SOLE
PACCAR INC 693718108 884 000000023834 SH DEFINED 02 SOLE
PARKER HANNIFIN CORP 701094104 240 000000004800 SH DEFINED 01 SOLE
PATRIOT COAL CORP 70336T104 10,851 000000922749 SH DEFINED 02 SOLE
PAYCHEX INC 704326107 682 000000023859 SH DEFINED 02 SOLE
PEABODY ENERGY CORP 704549104 17,408 000000468667 SH DEFINED 02 SOLE
PFIZER INC 717081103 3,710 000000227500 SH DEFINED 01 SOLE
PHILIP MORRIS INTL INC 718172109 46,616 000000970479 SH DEFINED 02 SOLE
PLUM CREEK TIMBER CO INC 729251108 7,460 000000244837 SH DEFINED 02 SOLE
POTASH CORP SASK INC 73755L107 4,018 000000046500 SH DEFINED 01 SOLE
POTASH CORP SASK INC 73755L107 22,385 000000246796 SH DEFINED 02 SOLE
POWERSHARES QQQ TRUST 73935A104 73,709 000001797800 SH DEFINED 01 SOLE
PRECISION CASTPARTS CORP 740189105 2,402 000000023923 SH DEFINED 02 SOLE
PRICE T ROWE GROUP INC 74144T108 1,086 000000023929 SH DEFINED 02 SOLE
PRINCIPAL FINANCIAL GROUP IN 74251V102 12,154 000000446693 SH DEFINED 02 SOLE
PROCTER & GAMBLE CO 742718109 1,383 000000023931 SH DEFINED 02 SOLE
PROGRESSIVE CORP OHIO 743315103 395 000000023933 SH DEFINED 02 SOLE
PROLOGIS 743410102 3,709 000000311212 SH DEFINED 02 SOLE
PROTECTIVE LIFE CORP 743674103 394 000000020000 SH DEFINED 01 SOLE
PRUDENTIAL FINL INC 744320102 1,470 000000031116 SH DEFINED 01 SOLE
PRUDENTIAL FINL INC 744320102 22,667 000000455116 SH DEFINED 02 SOLE
PUBLIC STORAGE 74460D109 4,473 000000059621 SH DEFINED 02 SOLE
PULTE HOMES INC 745867101 445 000000023893 SH DEFINED 02 SOLE
RANGE RES CORP 75281A109 12,383 000000250493 SH DEFINED 02 SOLE
REALNETWORKS INC 75605L104 950 000000255633 SH DEFINED 02 SOLE
RESEARCH IN MOTION LTD 760975102 25,650 000000375999 SH DEFINED 02 SOLE
RETAIL HOLDRS TR 76127U101 7,845 000000090150 SH DEFINED 01 SOLE
RETAIL HOLDRS TR 76127U101 2,192 000000534818 SH DEFINED 02 SOLE
REYNOLDS AMERICAN INC 761713106 222 000000005000 SH DEFINED 01 SOLE
ROWAN COS INC 779382100 553 000000024005 SH DEFINED 02 SOLE
ROYAL DUTCH SHELL PLC 780259107 351 000000006440 SH DEFINED 01 SOLE
SLM CORP 78442P106 1,318 000000159600 SH DEFINED 01 SOLE
SPDR TR 78462F103 565,027 000005485700 SH DEFINED 01 SOLE
SPDR TR 78462F103 31,739 000000300591 SH DEFINED 02 SOLE
SPDR GOLD TRUST 78463V107 31,941 000000326299 SH DEFINED 01 SOLE
SPDR SERIES TRUST 78464A714 27,617 000000809199 SH DEFINED 02 SOLE
1Page 7 09-11-06 15:58:54
0 FORM 13F
INFORMATION TABLE
QUARTER ENDING
09/30/2009
NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY
OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS
------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ----------------
0SPDR SERIES TRUST 78464A755 36,932 000000809204 SH DEFINED 02 SOLE
ST JUDE MED INC 790849103 942 000000024153 SH DEFINED 02 SOLE
SANDERSON FARMS INC 800013104 10,992 000000292044 SH DEFINED 02 SOLE
SCHEIN HENRY INC 806407102 18,205 000000335281 SH DEFINED 02 SOLE
SCHLUMBERGER LTD 806857108 1,437 000000024039 SH DEFINED 02 SOLE
SCHWAB CHARLES CORP NEW 808513105 457 000000024042 SH DEFINED 02 SOLE
SCOTTS MIRACLE GRO CO 810186106 394 000000009190 SH DEFINED 01 SOLE
SEARS HLDGS CORP 812350106 35,744 000000554228 SH DEFINED 02 SOLE
SELECT SECTOR SPDR TR 81369Y100 16,262 000000525610 SH DEFINED 02 SOLE
SELECT SECTOR SPDR TR 81369Y209 16,327 000000569487 SH DEFINED 02 SOLE
SELECT SECTOR SPDR TR 81369Y308 15,024 000000590123 SH DEFINED 02 SOLE
SELECT SECTOR SPDR TR 81369Y407 15,643 000000569488 SH DEFINED 02 SOLE
SEMICONDUCTOR HLDRS TR 816636203 1,402 000000057000 SH DEFINED 01 SOLE
SIMON PPTY GROUP INC NEW 828806109 1,661 000000024091 SH DEFINED 02 SOLE
SKECHERS U S A INC 830566105 8,034 000000468775 SH DEFINED 02 SOLE
SOLUTIA INC 834376501 153 000000013222 SH DEFINED 01 NONE
SOLUTIA INC 834376501 1,937 000000167289 SH DEFINED 01 SOLE
SOUTHWEST AIRLS CO 844741108 232 000000025900 SH DEFINED 01 SOLE
SPRINT NEXTEL CORP 852061100 95 000000024132 SH DEFINED 02 SOLE
STAPLES INC 855030102 595 000000026263 SH DEFINED 01 SOLE
STAPLES INC 855030102 555 000000024139 SH DEFINED 02 SOLE
STARWOOD HOTELS&RESORTS WRLD 85590A401 9,036 000000280330 SH DEFINED 02 SOLE
STATE STR CORP 857477103 1,260 000000024141 SH DEFINED 02 SOLE
SUNCOR ENERGY INC NEW 867224107 1,779 000000054000 SH DEFINED 01 SOLE
SUNTRUST BKS INC 867914103 540 000000024172 SH DEFINED 02 SOLE
SYMANTEC CORP 871503108 389 000000024182 SH DEFINED 02 SOLE
ARGACEPT INC 87611R306 17,109 000000796143 SH DEFINED 02 SOLE
TARGET CORP 87612E106 5,800 000000124550 SH DEFINED 01 SOLE
TARGET CORP 87612E106 17,332 000000371827 SH DEFINED 02 SOLE
TEREX CORP NEW 880779103 247 000000012700 SH DEFINED 01 SOLE
TEXAS INSTRS INC 882508104 577 000000024229 SH DEFINED 02 SOLE
THERAVANCE INC 88338T104 9,506 000000649373 SH DEFINED 02 SOLE
THERMO FISHER SCIENTIFIC INC 883556102 1,047 000000024239 SH DEFINED 02 SOLE
TIFFANY & CO NEW 886547108 934 000000024246 SH DEFINED 02 SOLE
TIME WARNER INC 887317303 643 000000022558 SH DEFINED 02 SOLE
TRAVELERS COMPANIES INC 89417E109 1,169 000000024158 SH DEFINED 02 SOLE
TYSON FOODS INC 902494103 1,804 000000146500 SH DEFINED 01 SOLE
TYSON FOODS INC 902494103 302 000000024296 SH DEFINED 02 SOLE
US BANCORP DEL 902973304 1,317 000000062433 SH DEFINED 01 SOLE
US BANCORP DEL 902973304 6,773 000000312937 SH DEFINED 02 SOLE
ULTRA PETROLEUM CORP 903914109 25,808 000000527137 SH DEFINED 02 SOLE
UNDER ARMOUR INC 904311107 21,314 000000765886 SH DEFINED 02 SOLE
UNION PAC CORP 907818108 1,416 000000024312 SH DEFINED 02 SOLE
UNITED STATES STL CORP NEW 912909108 401 000000009500 SH DEFINED 01 SOLE
UNITED THERAPEUTICS CORP DEL 91307C102 1,265 000000026400 SH DEFINED 01 SOLE
UNITEDHEALTH GROUP INC 91324P102 612 000000024306 SH DEFINED 02 SOLE
VCA ANTECH INC 918194101 12,559 000000522457 SH DEFINED 02 SOLE
1Page 8 09-11-06 15:58:54
0 FORM 13F
INFORMATION TABLE
QUARTER ENDING
09/30/2009
NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY
OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS
------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ----------------
0VENTAS INC 92276F100 935 000000024362 SH DEFINED 02 SOLE
VERIZON COMMUNICATIONS INC 92343V104 681 000000022704 SH DEFINED 02 SOLE
VISA INC 92826C839 94,321 000001364600 SH DEFINED 01 SOLE
VORNADO RLTY TR 929042109 11,312 000000334653 SH DEFINED 02 SOLE
WAL MART STORES INC 931142103 1,191 000000024388 SH DEFINED 02 SOLE
WALGREEN CO 931422109 913 000000024386 SH DEFINED 02 SOLE
WALTER INVT MGMT CORP 93317W102 606 000000038600 SH DEFINED 01 SOLE
WELLPOINT INC 94973V107 21,210 000000447240 SH DEFINED 02 SOLE
WELLS FARGO & CO NEW 949746101 668 000000023782 SH DEFINED 02 SOLE
WORTHINGTON INDS INC 981811102 339 000000024442 SH DEFINED 02 SOLE
WYNN RESORTS LTD 983134107 1,260 000000019220 SH DEFINED 01 SOLE
WYNN RESORTS LTD 983134107 37,642 000000534852 SH DEFINED 02 SOLE
XTO ENERGY INC 98385X106 13,737 000000335153 SH DEFINED 02 SOLE
XILINX INC 983919101 571 000000024450 SH DEFINED 02 SOLE
XEROX CORP 984121103 391 000000052305 SH DEFINED 01 SOLE
XEROX CORP 984121103 190 000000024449 SH DEFINED 02 SOLE
YAHOO INC 984332106 591 000000034000 SH DEFINED 01 SOLE
YAHOO INC 984332106 4,488 000000256859 SH DEFINED 02 SOLE
YUM BRANDS INC 988498101 8,220 000000249152 SH DEFINED 02 SOLE
ZORAN CORP 98975F101 2 000000000200 SH DEFINED 01 SOLE