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Institutional Investment Manager
LAZARD ASSET MANAGEMENT LLC
LAZARD ASSET MANAGEMENT LLC (CIK: 0001207017) incorporated in Delaware, located at 30 Rockefeller Plz, New York, NY. Institutional holdings reported to the SEC.
Institutional Holdings (2016Q3)
Original 13F HR (0001207017-16-000159) filed in 2016.11.14
#
Name
Shares
Value ($)
%
Options
Notes
101 PROOFPOINT INC SR CV BD 0.75 20 2,500,000 2,903 0.01% PRN
102 SPECTRUM PHARMACEUTICALS INC 3,012,000 2,699 0.01% PRN
103 VANGUARD BD INDEX FDS 29,764 2,405 0.01% PRN
104 NUANCE COMMUNICATIONS INC 2,500,000 2,357 0.01% PRN
105 CURRENCYSHS BRIT POUND STER 17,900 2,266 0.00% PRN
106 VANECK VECTORS ETF TR 90,850 2,234 0.00% PRN
107 ISHARES TR 75,525 1,969 0.00% PRN
108 NUVEEN NEW YORK QLT MUN INCORPORATED FD 107,805 1,652 0.00% PRN
109 ISHARES TR 14,450 1,644 0.00% PRN
110 Nuveen Closed-End Funds/USA 57,100 806 0.00% PRN
111 VANGUARD BD INDEX FDS 9,135 768 0.00% PRN
112 VANGUARD BD INDEX FDS 8,100 681 0.00% PRN
113 EATON VANCE NEW YORK MUN BD 47,500 680 0.00% PRN
114 BLACKROCK NY MUNI INC QLTY T 45,600 670 0.00% PRN
115 BLACKROCK NY MUNICIPAL BOND 42,600 667 0.00% PRN
116 NUVEEN AMT FREE MUN CR INC F 32,735 526 0.00% PRN
117 SPDR SER TR 11,000 509 0.00% PRN
118 SPDR SERIES TRUST 16,341 502 0.00% PRN
119 BLACKROCK MUNI N Y INTER DUR 28,900 445 0.00% PRN
120 TETRALOGIC PHARMACEUTICALS C 5,239,000 415 0.00% PRN
121 NUVEEN QUALITY MUNCP INCOME 26,590 400 0.00% PRN
122 ISHARES TR NEW YORK MUN ETF 3,500 399 0.00% PRN
123 NUVEEN AMT FREE QLTY MUN INC 27,200 397 0.00% PRN
124 VANECK VECTORS ETF TR 13,700 394 0.00% PRN
125 ISHARES TR 3,300 384 0.00% PRN
126 VOYA EMERGING MKTS HIGH DIVI 38,555 315 0.00% PRN
127 POWERSHARES BUILD AMERICA BOND PORTFOLIO ETF 8,000 251 0.00% PRN
128 MFS MULTIMARKET INCOME TR 40,370 245 0.00% PRN
129 BLACKROCK TAX MUNICPAL BD TR SHS 9,300 222 0.00% PRN
130 ISHARES TR 1,265 146 0.00% PRN
131 ISHARES TRUST CMBS ETF 2,380 126 0.00% PRN
132 VANGUARD MUN BD FDS 1,900 99 0.00% PRN
133 SPDR SERIES TRUST 2,400 88 0.00% PRN
134 ISHARES TR 350 29 0.00% PRN
135 ALPHABET INC 1,430,101 1,149,887 2.50%
136 AON PLC 10,128,427 1,139,346 2.48%
137 P T TELEKOMUNIKASI INDONESIA 15,215,553 1,005,443 2.19%
138 BAIDU INC 5,463,816 994,797 2.17%
139 CISCO SYS INC 31,288,149 992,460 2.16%
140 NETEASE INC 3,985,335 959,589 2.09%
141 CHINA MOBILE LIMITED 15,434,296 949,517 2.07%
142 ZOETIS INC 17,485,149 909,402 1.98%
143 PROCTER AND GAMBLE CO 9,666,690 867,585 1.89%
144 PFIZER INC 24,054,519 814,726 1.77%
145 TAIWAN SEMICONDUCTOR MFG LTD 26,161,880 800,291 1.74%
146 MOLSON COORS BREWING CO 6,916,719 759,455 1.65%
147 TEVA PHARMACEUTICAL INDS LTD 15,110,756 695,245 1.51%
148 CSX CORP 22,791,358 695,136 1.51%
149 ALLERGAN PLC 2,988,910 688,375 1.50%
150 MICROSOFT CORP 11,792,335 679,238 1.48%
Page 3 of 25
Restatement filing (0001207017-19-000045) filed in 2019.08.07
#
Name
Shares
Value ($)
%
Options
Notes
1 ALPHABET INC 1,578,844 1,269,485 2.52%
2 AON PLC 10,954,609 1,232,283 2.45%
3 CISCO SYS INC 34,561,958 1,096,305 2.18%
4 P T TELEKOMUNIKASI INDONESIA 16,361,700 1,081,181 2.15%
5 BAIDU INC 5,779,291 1,052,235 2.09%
6 NETEASE INC 4,293,744 1,033,847 2.05%
7 CHINA MOBILE LIMITED 16,405,398 1,009,260 2.01%
8 ZOETIS INC 19,118,091 994,332 1.98%
9 PROCTER AND GAMBLE CO 10,502,194 942,571 1.87%
10 TAIWAN SEMICONDUCTOR MFG LTD 30,726,896 939,935 1.87%
11 PFIZER INC 26,033,662 881,759 1.75%
12 MOLSON COORS BREWING CO 7,560,777 830,173 1.65%
13 TEVA PHARMACEUTICAL INDS LTD 16,649,965 766,064 1.52%
14 ALLERGAN PLC 3,288,126 757,288 1.50%
15 EBAY INC 22,052,649 725,532 1.44%
16 MICROSOFT CORP 12,272,617 706,902 1.40%
17 CSX CORP 22,791,358 695,136 1.38%
18 HONEYWELL INTL INC 5,782,405 674,170 1.34%
19 WALGREENS BOOTS ALLIANCE INC 8,230,419 663,536 1.32%
20 NORFOLK SOUTHERN CORP 6,098,862 591,955 1.18%
21 ROCKWELL AUTOMATION INC 4,761,573 582,531 1.16%
22 AMBEV SA 94,067,158 572,868 1.14%
23 SKYWORKS SOLUTIONS INC 7,172,334 546,101 1.09%
24 APPLE INC 4,458,625 504,047 1.00%
25 DELPHI AUTOMOTIVE PLC 6,887,558 491,220 0.98%
26 YPF SOCIEDAD ANONIMA 26,873,487 489,634 0.97%
27 BANK AMER CORP 30,185,985 472,410 0.94%
28 MOBILE TELESYSTEMS PJSC 61,797,367 471,513 0.94%
29 AMERICA MOVIL SAB DE CV 40,925,498 468,187 0.93%
30 COPART INC 8,661,200 463,893 0.92%
31 UNION PAC CORP 4,667,483 455,219 0.90%
32 MOTOROLA SOLUTIONS INC 5,896,208 449,762 0.89%
33 VISA INC 5,311,454 439,256 0.87%
34 UNITED TECHNOLOGIES CORP 4,272,898 434,126 0.86%
35 MADISON SQUARE GARDEN CO NEW 2,550,966 432,159 0.86%
36 NXP SEMICONDUCTORS N V 4,119,145 420,193 0.83%
37 CROWN HOLDINGS INC 7,154,426 408,446 0.81%
38 QUINTILES IMS HOLDINGS INC 4,935,110 400,039 0.79%
39 JOHNSON CTLS INTL PLC 8,430,851 392,287 0.78%
40 ADVANCE AUTO PARTS INC 2,538,453 378,534 0.75%
41 AT&T INC 9,076,840 368,610 0.73%
42 ALPHABET INC 468,931 364,494 0.72%
43 INTERCONTINENTAL EXCHANGE IN 1,301,738 350,635 0.70%
44 EATON CORP PLC 5,281,090 347,020 0.69%
45 SCHLUMBERGER LTD 4,308,981 338,858 0.67%
46 APPLIED MATLS INC 11,235,606 338,753 0.67%
47 PLDT INC 9,493,430 338,630 0.67%
48 SCHWAB CHARLES CORP 10,319,834 325,796 0.65%
49 GENESEE AND WYOMING INC INC CL A 4,299,680 296,462 0.59%
50 STRYKER CORP 2,530,803 294,610 0.59%
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