-----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, Shmmna96oZ5cp/PjCoux8YUU7Vk0wRELbs98xDtjeQXGi+jmMHSgPb40PKIWWNDB 3QbyUpQOFnL4jWSVLAPNOg== 0000806085-04-000031.txt : 20040217 0000806085-04-000031.hdr.sgml : 20040216 20040217094626 ACCESSION NUMBER: 0000806085-04-000031 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20021231 FILED AS OF DATE: 20040217 EFFECTIVENESS DATE: 20040217 FILER: COMPANY DATA: COMPANY CONFORMED NAME: LEHMAN BROTHERS HOLDINGS INC CENTRAL INDEX KEY: 0000806085 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 133216325 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-03182 FILM NUMBER: 04603557 BUSINESS ADDRESS: STREET 1: LEHMAN BROTHERS STREET 2: 745 SEVENTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2125267000 MAIL ADDRESS: STREET 1: LEHMAN BROTHERS STREET 2: 745 SEVENTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: SHEARSON LEHMAN HUTTON HOLDINGS INC DATE OF NAME CHANGE: 19901017 13F-HR/A 1 f04-02_1713famendcovsumm.txt 13F/A 4TH QTR. 2002 COVER & SUMMARY PAGES This filing lists securities holdings reported on the form 13F filed on or about February 14, 2003 pursuant to a request for confidential treatment and for which confidential treatment expired on or about February 14, 2004. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F/A Form 13F CONFIDENTIAL COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2002 Check here if Amendment [ x ]; Amendment Number: 1 This Amendment (Check only one.): [ ] is a restatement [ x ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Lehman Brothers Holdings Inc. Address: 745 Seventh Avenue New York, New York 10019 Form 13F File Number: 28-3182 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 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: Oliver Budde Title: Vice President Phone: 212 526-0778 Signature, Place and Date of Signing: /s/ Oliver Budde New York, NY February 17, 2004 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 another 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 - CONFIDENTIAL PORTION Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 130 Form 13F Information Table Value Total 743,528 (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. Form 13F File Number Name __ ____________________ _____ 1 28-1159 Lehman Brothers Inc. EX-99 3 f04-02_1713fconfaamend.txt 13F/A CONFIDENTIAL PART A 4TH QTR. 2002 CONFIDENTIAL PART A
TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------------------------- -------- --------- -------- ------- --- ---- ---------- -------- -------- -------- -------- WTS ELAN CORP PLC COMMON G29539155 2 75600 SH DEFINED 01 75600 0 0 WTS ELAN CORP PLC COMMON G29539163 9 91700 SH DEFINED 01 91700 0 0 AES CORP COMMON 00130H105 3020 1000000 SH DEFINED 01 1000000 0 0 AEROSPACE CREDITORS COMMON 008017105 70 56034 SH DEFINED 01 56034 0 0 AVATAR HOLDINGS INC CBONDCNV 053494AD2 6647 6800000 SH DEFINED 01 6800000 0 0 AVAYA INC CBONDCNV 053499AA7 11212 30000000 SH DEFINED 01 30000000 0 0 BICOASTAL CORP-$3.50 CUM PFD PREFERED 088774203 0 146666 SH DEFINED 01 146666 0 0 WTS BRADLEES INC COMMON 104499116 36 48652 SH DEFINED 01 48652 0 0 CSF HOLDINGS INC-ESCROW COMMON 126335991 0 149700 SH DEFINED 01 149700 0 0 CALIFORNIA COASTAL COMMUNITIES COMMON 129915203 927 167726 SH DEFINED 01 167726 0 0 CHARTER COMMUNICATIONS INC DEL COMMON 16117M107 1180 1000000 SH DEFINED 01 1000000 0 0 CHARTER COMMUNICATION INC DEL CBONDCNV 16117MAB3 2580 12000000 SH DEFINED 01 12000000 0 0 ***CIENA CORP CBONDCNV 171779AA9 6950 10000000 SH DEFINED 01 10000000 0 0 ***CORNING INC CBONDCNV 219350AJ4 25368 45300000 SH DEFINED 01 45300000 0 0 CORNING INC CBONDCNV 219350AK1 6900 10000000 SH DEFINED 01 10000000 0 0 EBS PENSION L L C-UNIT COMMON 268246105 21 219027 SH DEFINED 01 219027 0 0 EDISON BROTHERS STORES INC NEW COMMON 280875303 1 227122 SH DEFINED 01 227122 0 0 EL PASO CORP CBONDCNV 28336LAC3 10075 32500000 SH DEFINED 01 32500000 0 0 GERMANY FUND INC COMMON 374143105 69 15300 SH DEFINED 01 15300 0 0 HEALTHSOUTH CORP COMMON 421924101 6552 1560000 SH DEFINED 01 1560000 0 0 HEARTLAND PARTNERS LP COMMON 422357103 1021 187400 SH DEFINED 01 187400 0 0 HOUSEHOLD INTERNATIONAL INC COMMON 441815107 27810 1000000 SH DEFINED 01 1000000 0 0 IDT CORP COMMON 448947101 3458 200000 SH DEFINED 01 200000 0 0 IDT CORPORATION COMMON 448947309 2399 154700 SH DEFINED 01 154700 0 0 INTERNET CAPITAL GROUP CBONDCNV 46059CAA4 752 2000000 SH DEFINED 01 2000000 0 0 NORTEL NETWORKS CORP NEW CBONDCNV 656568AB8 4640 8000000 SH DEFINED 01 8000000 0 0 PARKER DRILLING CORP CBONDCNV 701081AD3 2032 2200000 SH DEFINED 01 2200000 0 0 PETRIE STORES LIQUIDATING TR COMMON 716437108 519 519100 SH DEFINED 01 519100 0 0 PHARMACIA CORP COMMON 71713U102 4740 113400 SH DEFINED 01 113400 0 0 RITE AID CORP CBONDCNV 767754BA1 3975 5000000 SH DEFINED 01 5000000 0 0 SANMINA CORP CBONDCNV 800907AD9 11206 27500000 SH DEFINED 01 27500000 0 0 SHAW GROUP INC CBONDCNV 820280AC9 6011 10500000 SH DEFINED 01 10500000 0 0 SWISS HELVETIA FUND INC COMMON 870875101 309 32100 SH DEFINED 01 32100 0 0 TOWN & COUNTY CORP-6% CONV PFD COMMON 892027400 75 49580 SH DEFINED 01 49580 0 0
EX-99 4 f04-02_1713fconfbamend2.txt 13F/A CONFIDENTIAL PART B 4TH QTR. 2002 CONFIDENTIAL PART B
TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------------------------- -------- --------- -------- ------- --- ---- ---------- -------- -------- -------- -------- ***LORAL SPACE & COMMON G56462107 279 650000 SH DEFINED 01 650000 0 0 ***WTS LORAL SPACE & COMMON G56462180 5 40280 SH DEFINED 01 40280 0 0 ***SEAGATE TECHNOLOGY COMMON G7945J104 2146 200000 SH DEFINED 01 200000 0 0 ADVANCED MICRO DEVICES INC CBONDCNV 007903AE7 7189 11550000 SH DEFINED 01 11550000 0 0 ALLERGAN INC COMMON 018490102 3405 59100 SH DEFINED 01 59100 0 0 ALLTEL CORP COMMON 020039103 510 10000 SH DEFINED 01 10000 0 0 AMGEN INC CBONDCNV 031162AE0 32976 44790000 SH DEFINED 01 44790000 0 0 ANADARKO PETROLEUM CORP CBONDCNV 032511AP2 10462 17117000 SH DEFINED 01 17117000 0 0 ANALOG DEVICES INC COMMON 032654105 596 25000 SH DEFINED 01 25000 0 0 ***APCO ARGENTINA INC (CAYMEN COMMON 037489101 10192 584437 SH DEFINED 01 584437 0 0 APOGENT TECHNOLOGIES INC CBONDCNV 03760AAE1 2713 2638000 SH DEFINED 01 2638000 0 0 ARCHSTONE-SMITH TR COMMON 039583109 1035 44000 SH DEFINED 01 44000 0 0 ATMEL CORP COMMON 049513104 212 95100 SH DEFINED 01 95100 0 0 AVIRON CBONDCNV 053762AD2 397 400000 SH DEFINED 01 400000 0 0 AVIVA PETROLEUM INC NEW COMMON 05379P205 178 2968576 SH DEFINED 01 2968576 0 0 BAXTER INTERNATIONAL INC COMMON 071813406 7730 154300 SH DEFINED 01 154300 0 0 BEA SYSTEMS INC CBONDCNV 073325AD4 1796 1985000 SH DEFINED 01 1985000 0 0 BROCADE COMMUNICATIONS SYS INC COMMON 111621108 54 13200 SH DEFINED 01 13200 0 0 BROCADE COMMUNICATIONS SYSTEM CBONDCNV 111621AB4 7820 11152000 SH DEFINED 01 11152000 0 0 BURR-BROWN CORP CBONDCNV 122574AF3 8835 8802000 SH DEFINED 01 8802000 0 0 CELESTICA INC CBONDCNV 15101QAA6 1461 3480000 SH DEFINED 01 3480000 0 0 CENDANT CORP COMMON 151313103 635 60600 SH DEFINED 01 60600 0 0 CENDANT CORP CBONDCNV 151313AF0 2170 3439000 SH DEFINED 01 3439000 0 0 CENDANT CORP CBONDCNV 151313AH6 7298 7400000 SH DEFINED 01 7400000 0 0 CENDANT CORP CBONDCNV 151313AN3 69 70000 SH DEFINED 01 70000 0 0 CENTERPOINT PROPERTIES TRUST PREFCONV 151895307 904 13500 SH DEFINED 01 13500 0 0 CEPHALON INC CBONDCNV 156708AC3 589 600000 SH DEFINED 01 600000 0 0 CHUBB CORP PREFCONV 171232309 4119 172000 SH DEFINED 01 172000 0 0 COMVERSE TECHNOLOGY INC NEW COMMON 205862402 1002 100000 SH DEFINED 01 100000 0 0 COMVERSE TECHNOLOGY INC CBONDCNV 205862AJ4 454 540000 SH DEFINED 01 540000 0 0 CONEXANT SYSTEMS INC CBONDCNV 207142AF7 1921 4166000 SH DEFINED 01 4166000 0 0 CURAGEN CORP COMMON 23126R101 661 142235 SH DEFINED 01 142235 0 0 CURAGEN CORP CBONDCNV 23126RAC5 9771 15358000 SH DEFINED 01 15358000 0 0 CYPRESS SEMICONDUCTOR CORP CBONDCNV 232806AE9 1125 1356000 SH DEFINED 01 1356000 0 0 CYPRESS SEMICONDUCTOR CORP CBONDCNV 232806AF6 743 935000 SH DEFINED 01 935000 0 0 DEVON ENERGY CORPORATION NEW CBONDCNV 25179MAD5 10267 19603000 SH DEFINED 01 19603000 0 0 DOMINION RES INC VA NEW PREFCONV 25746U208 3088 57000 SH DEFINED 01 57000 0 0 DOUBLECLICK INC CBONDCNV 258609AC0 17 20000 SH DEFINED 01 20000 0 0 EL PASO CORPORATION COMMON 28336L208 2088 78500 SH DEFINED 01 78500 0 0 ELECTRONIC DATA SYS CORP NEW CBONDCNV 285661AB0 266 350000 SH DEFINED 01 350000 0 0 ELECTRONIC DATA SYS CORP NEW PREFERED 285661203 2841 129700 SH DEFINED 01 129700 0 0 ENZON INC CBONDCNV 293904AB4 8088 10930000 SH DEFINED 01 10930000 0 0 EQUITY RESIDENTIAL PREFCONV 29476L859 16399 672100 SH DEFINED 01 672100 0 0 FPL GROUP INC COMMON 302571104 450 7500 SH DEFINED 01 7500 0 0 FIRST DATA CORP CBONDCNV 319963AD6 12026 10933000 SH DEFINED 01 10933000 0 0 FOSTER WHEELER LTD CBONDCNV 35024PAB8 4346 18205000 SH DEFINED 01 18205000 0 0 GENERAL MOTORS CORP COMMON 370442733 9688 419400 SH DEFINED 01 419400 0 0 GENERAL MOTORS CORP COMMON 370442741 12288 503000 SH DEFINED 01 503000 0 0 GRANT PRIDECO INC COMMON 38821G101 12842 1103300 SH DEFINED 01 1103300 0 0 HOST MARRIOTT CORP-NEW REIT COMMON 44107P104 8324 940600 SH DEFINED 01 940600 0 0 INTERMUNE INC CBONDCNV 45884XAA1 7278 7380000 SH DEFINED 01 7380000 0 0 INVITROGEN CORP CBONDCNV 46185RAD2 2109 2500000 SH DEFINED 01 2500000 0 0 JUNIPER NETWORKS INC CBONDCNV 48203RAA2 197 255000 SH DEFINED 01 255000 0 0 ***LSI LOGIC CORP CBONDCNV 502161AE2 8965 10074000 SH DEFINED 01 10074000 0 0 LSI LOGIC CORP CBONDCNV 502161AG7 4908 6023000 SH DEFINED 01 6023000 0 0 LIBERTY MEDIA CORP CBONDCNV 530715AN1 3100 4835000 SH DEFINED 01 4835000 0 0 MERCURY INTERACTIVE CORP CBONDCNV 589405AB5 80 90000 SH DEFINED 01 90000 0 0 MERRILL LYNCH & CO INC CBONDCNV 590188A73 46111 47415000 SH DEFINED 01 47415000 0 0 MIRANT CORP COMMON 604675108 1378 729300 SH DEFINED 01 729300 0 0 MIRANT CORP CBONDCNV 604675AB4 58 160000 SH DEFINED 01 160000 0 0 MIRANT CORP CBONDCNV 604675AC2 2755 6600000 SH DEFINED 01 6600000 0 0 MOTOROLA INC COMMON 620076109 173 20000 SH DEFINED 01 20000 0 0 NETWORK ASSOCIATES INC CBONDCNV 640938AB2 66953 139850000 SH DEFINED 01 39850000 0 0 NETWORK ASSOCS INC CBONDCNV 64123LAB7 2158 1760000 SH DEFINED 01 1760000 0 0 NEWELL RUBBERMAID INC COMMON 651229106 894 29500 SH DEFINED 01 29500 0 0 NORTHROP GRUMMAN CORP COMMON 666807409 6604 61300 SH DEFINED 01 61300 0 0 PMC-SIERRA INC CBONDCNV 69344FAB2 5430 7240000 SH DEFINED 01 7240000 0 0 POGO PRODUCING CO SUB NT CONV CBONDCNV 730448AE7 11856 11159000 SH DEFINED 01 11159000 0 0 PRUDENTIAL FINANCIAL INC COMMON 744320201 8185 150000 SH DEFINED 01 150000 0 0 PUBLIC SERVICE ENTERPRISE COMMON 744573304 2492 50000 SH DEFINED 01 50000 0 0 QUANTA SERVICES INC COMMON 74762E102 2100 600000 SH DEFINED 01 600000 0 0 QUANTA SVCS INC CBONDCNV 74762EAA0 1498 2700000 SH DEFINED 01 2700000 0 0 RF MICRO DEVICES INC CBONDCNV 749941AB6 3253 3761000 SH DEFINED 01 3761000 0 0 RATIONAL SOFTWARE CORP CBONDCNV 75409PAC7 6529 6425000 SH DEFINED 01 6425000 0 0 RECKSON ASSOCS RLTY CORP COMMON 75621K304 293 13100 SH DEFINED 01 13100 0 0 RECKSON ASSOCIATES REALTY CORP PREFCONV 75621K205 6063 269500 SH DEFINED 01 269500 0 0 ROUSE CO COMMON 779273101 1930 60900 SH DEFINED 01 60900 0 0 S3 INC SUB NOTE CONV CBONDCNV 784849AC5 374 2342000 SH DEFINED 01 2342000 0 0 SEALED AIR CORP NEW COMMON 81211K100 2696 72300 SH DEFINED 01 72300 0 0 SEPRACOR INC CBONDCNV 817315AL8 369 600000 SH DEFINED 01 600000 0 0 SIMON PROPERTY GROUP INC NEW PREFCONV 828806406 9829 105692 SH DEFINED 01 105692 0 0 SOLECTRON CORP COMMON 834182206 1872 160000 SH DEFINED 01 160000 0 0 SOLECTRON CORP CBONDCNV 834182AK3 8146 13382000 SH DEFINED 01 13382000 0 0 SYMANTEC CORP CBONDCNV 871503AB4 993 705000 SH DEFINED 01 705000 0 0 TECO ENERGY INC COMMON 872375209 1293 65000 SH DEFINED 01 65000 0 0 TXU CORP COMMON 873168504 2574 90000 SH DEFINED 01 90000 0 0 TXU CORP COMMON 873168884 17649 613900 SH DEFINED 01 613900 0 0 TEMPLE INLAND INC COMMON 879868107 1012 22600 SH DEFINED 01 22600 0 0 TEVA PHARMACAUTICAL FIN LLC CBONDCNV 88163VAB5 6112 5713000 SH DEFINED 01 5713000 0 0 TEVA PHARMACEUTICALS FIN S A CBONDCNV 88163XAB1 6346 5966000 SH DEFINED 01 5966000 0 0 THERMO ELECTRON CORP CBONDCNV 883556AJ1 1413 1673000 SH DEFINED 01 1673000 0 0 TOTAL RENAL CARE HOLDINGS INC CBONDCNV 89151AAC1 21904 21932000 SH DEFINED 01 21932000 0 0 TOYS R US INC COMMON 892335209 5501 163500 SH DEFINED 01 163500 0 0 TRANSOCEAN SECDCO FOREX INC CBONDCNV 893830AA7 42872 69712000 SH DEFINED 01 69712000 0 0 TYCO INTL LTD NEW CBONDCNV 902124AC0 19056 26606000 SH DEFINED 01 26606000 0 0 UNITED STATES CELLULAR CORP CBONDCNV 911684AA6 1686 4559000 SH DEFINED 01 4559000 0 0 VITESSE SEMICONDUCTOR CORP CBONDCNV 928497AB2 546 655000 SH DEFINED 01 655000 0 0 VORNADO REALTY TRUST-6.50% PREFERED 929042208 2899 54500 SH DEFINED 01 54500 0 0
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