-----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, C0UncN18gjlOKf2PcO6NCSRNHIQksk6gqmKoiAGUM5VapvyT8VxE2dLHr9lWwTnf aRlRC4ezI2l/T8C4BVoaDg== 0000806085-04-000199.txt : 20041115 0000806085-04-000199.hdr.sgml : 20041115 20041115104753 ACCESSION NUMBER: 0000806085-04-000199 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20030930 FILED AS OF DATE: 20041115 DATE AS OF CHANGE: 20041115 EFFECTIVENESS DATE: 20041115 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: 041142390 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 f04-11_1513famendcovsumm.txt 13F/A 3RD QTR. 2003 COVER & SUMMARY PAGES This filing lists securities holdings reported on the form 13F filed on or about November 14, 2003 pursuant to a request for confidential treatment and for which confidential treatment expired on or about November 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:September 30, 2003 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 November 15, 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: 115 Form 13F Information Table Value Total 749,040 (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 2 f04-11_1513famendconfa.txt 13F/A CONFIDENTIAL PART A 3RD QTR. 2003
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 G29539163 14 91700 SH DEFINED 01 91700 0 0 ***NABORS INDUSTRIES LTD COMMON G6359F103 9315 250000 SH DEFINED 01 250000 0 0 ***NOBLE CORP COMMON G65422100 5948 175000 SH DEFINED 01 175000 0 0 ***TRANSOCEAN INC. COMMON G90078109 2000 100000 SH DEFINED 01 100000 0 0 ***VIATEL HOLDING BERMUDA LTD COMMON G93447103 215 278246 SH DEFINED 01 278246 0 0 AOL TIME WARNER INC COMMON 00184A105 1511 100000 SH DEFINED 01 100000 0 0 AT&T CORP COMMON 001957505 47410 2200000 SH DEFINED 01 2200000 0 0 AEROSPACE CREDITORS COMMON 008017105 70 56034 SH DEFINED 01 56034 0 0 AETHER SYSTEMS INC CBONDCNV 00808VAA3 1952 2000000 SH DEFINED 01 2000000 0 0 ALTRIA GROUP INC COMMON 02209S103 43800 1000000 SH DEFINED 01 1000000 0 0 AQUILA INC COMMON 03840P102 786 232700 SH DEFINED 01 232700 0 0 BJ SERVICES CO COMMON 055482103 8542 250000 SH DEFINED 01 250000 0 0 WTS BRADLEES INC COMMON 104499116 12 48652 SH DEFINED 01 48652 0 0 BRINK'S COMPANY COMMON 109696104 2388 135645 SH DEFINED 01 0 0 135645 CNET INC CBONDCNV 125945AC9 6088 6609000 SH DEFINED 01 6609000 0 0 CSF HOLDINGS INC-ESCROW COMMON 126335991 0 149700 SH DEFINED 01 149700 0 0 CVS CORP COMMON 126650100 1549 49900 SH DEFINED 01 49900 0 0 CALIFORNIA COASTAL COMMUNITIES COMMON 129915203 1487 167726 SH DEFINED 01 167726 0 0 CHARTER COMMUNICATIONS INC DEL COMMON 16117M107 4648 1128165 SH DEFINED 01 1128165 0 0 CHARTER COMMUNICATION INC DEL CBONDCNV 16117MAB3 22625 25000000 SH DEFINED 01 25000000 0 0 ***CIENA CORP CBONDCNV 171779AA9 14386 17000000 SH DEFINED 01 17000000 0 0 COLLECTING BANK N.A. CLASS 193905106 0 262115 SH DEFINED 01 262115 0 0 DANA CORP COMMON 235811106 7698 498900 SH DEFINED 01 498900 0 0 EBS PENSION L L C-UNIT COMMON 268246105 10 219027 SH DEFINED 01 219027 0 0 EDISON BROTHERS STORES INC NEW COMMON 280875303 0 227122 SH DEFINED 01 227122 0 0 GERMANY FUND INC COMMON 374143105 93 15800 SH DEFINED 01 15800 0 0 GRANT PRIDECO INC COMMON 38821G101 11242 1103300 SH DEFINED 01 1103300 0 0 GREY WOLF INC COMMON 397888108 783 225000 SH DEFINED 01 225000 0 0 HEALTHSOUTH CORP COMMON 421924101 14823 5025000 SH DEFINED 01 5025000 0 0 IDT CORP COMMON 448947101 3009 170200 SH DEFINED 01 170200 0 0 INTERNET CAPITAL GROUP CBONDCNV 46059CAA4 1280 2000000 SH DEFINED 01 2000000 0 0 LABRANCHE & CO INC COMMON 505447102 3650 250000 SH DEFINED 01 250000 0 0 LONE STAR TECHNOLOGIES INC COMMON 542312103 337 25000 SH DEFINED 01 25000 0 0 MAVERICK TUBE CORP COMMON 577914104 2716 175000 SH DEFINED 01 175000 0 0 PETRIE STORES LIQUIDATING TR COMMON 716437108 371 519100 SH DEFINED 01 519100 0 0 PATTERSON-UTI ENERGY INC COMMON 703481101 2707 100000 SH DEFINED 01 100000 0 0 ***PRECISION DRILLING CORP COMMON 74022D100 2259 60000 SH DEFINED 01 60000 0 0 PRIDE INTERNATIONAL INC COMMON 74153Q102 1781 105100 SH DEFINED 01 105100 0 0 SIRIUS SATELLITE RADIO INC COMMON 82966U103 3343 1827217 SH DEFINED 01 1827217 0 0 SITEL CORP COMMON 82980K107 108 68500 SH DEFINED 01 68500 0 0 SMITH INTERNATIONAL INC COMMON 832110100 5397 150000 SH DEFINED 01 150000 0 0 SOUTHERN AFRICA FUND INC COMMON 842157109 2271 162100 SH DEFINED 01 162100 0 0 SWISS HELVETIA FUND INC COMMON 870875101 427 39100 SH DEFINED 01 39100 0 0 TOWER AUTOMOTIVE INC CBONDCNV 891707AE1 1768 1795000 SH DEFINED 01 1795000 0 0
EX-99 3 f04-11_1513famendconfb.txt 13F/A CONFIDENTIAL PART B 3RD QTR. 2003
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 - -------------------------------- -------- --------- -------- ------- --- ---- ---------- -------- -------- -------- -------- ABGENIX INC CBONDCNV 00339BAB3 15216 17025000 SH DEFINED 01 17025000 0 0 ADVANCED MICRO DEVICES INC CBONDCNV 007903AE7 14330 16124000 SH DEFINED 01 16124000 0 0 ALLTEL CORP COMMON 020039103 245 5300 SH DEFINED 01 5300 0 0 ALLTEL CORP PREFERED 020039822 3510 71801 SH DEFINED 01 71801 0 0 ALZA CORP CBONDCNV 02261WAB5 14786 21468000 SH DEFINED 01 21468000 0 0 AMERICAN ELECTRIC POWER CO INC COMMON 025537101 4596 153200 SH DEFINED 01 153200 0 0 AMERICAN TOWER CORP COMMON 029912201 658 64900 SH DEFINED 01 64900 0 0 AMERICAN TOWER CORP CBONDCNV 029912AF9 2259 2500000 SH DEFINED 01 2500000 0 0 AMGEN INC CBONDCNV 031162AE0 25055 32913000 SH DEFINED 01 32913000 0 0 APOGENT TECHNOLOGIES INC CBONDCNV 03760AAE1 49479 49604000 SH DEFINED 01 49604000 0 0 AVIRON CBONDCNV 053762AD2 141 140000 SH DEFINED 01 140000 0 0 BEA SYSTEMS INC CBONDCNV 073325AD4 4922 5009178 SH DEFINED 01 5009178 0 0 BROCADE COMMUNICATIONS SYSTEM CBONDCNV 111621AB4 7946 9134000 SH DEFINED 01 9134000 0 0 CENTERPOINT PROPERTIES TRUST PREFCONV 151895307 1751 22500 SH DEFINED 01 22500 0 0 CHECKPOINT SYSTEM INC CBONDCNV 162825AB9 937 928000 SH DEFINED 01 928000 0 0 CHIPPAC INC CBONDCNV 169657AC7 25801 25265000 SH DEFINED 01 25265000 0 0 CHUBB CORP COMMON 171232101 3529 54400 SH DEFINED 01 54400 0 0 CITRIX SYSTEMS INC CBONDCNV 177376AB6 4654 10343000 SH DEFINED 01 10343000 0 0 COMVERSE TECHNOLOGY INC CBONDCNV 205862AJ4 39 41000 SH DEFINED 01 41000 0 0 CONEXANT SYSTEMS INC CBONDCNV 207142AF7 2322 2736000 SH DEFINED 01 2736000 0 0 CROWN CASTLE INTL CORP COMMON 228227104 2857 303700 SH DEFINED 01 303700 0 0 CURAGEN CORP COMMON 23126R101 2664 529645 SH DEFINED 01 529645 0 0 DEVON ENERGY CORPORATION NEW COMMON 25179M103 983 20400 SH DEFINED 01 20400 0 0 DUPONT PHOTOMASKS INC CBONDCNV 26613XAE1 5068 4650000 SH DEFINED 01 4650000 0 0 EL PASO CORPORATION COMMON 28336L109 3349 458900 SH DEFINED 01 458900 0 0 ELECTRONIC DATA SYS CORP NEW CBONDCNV 285661AB0 8053 10130000 SH DEFINED 01 10130000 0 0 ENZON INC CBONDCNV 293904AB4 12771 15341000 SH DEFINED 01 15341000 0 0 EQUITY RESIDENTIAL PREFCONV 29476L859 13612 521950 SH DEFINED 01 521950 0 0 FIRST DATA CORP CBONDCNV 319963AD6 32419 30512000 SH DEFINED 01 30512000 0 0 FOSTER WHEELER LTD CBONDCNV 35024PAB8 4561 19205000 SH DEFINED 01 19205000 0 0 HOST MARRIOTT CORP-NEW REIT COMMON 44107P104 4167 388400 SH DEFINED 01 388400 0 0 HUMAN GENOME SCIENCES INC CBONDCNV 444903AF5 8420 9190000 SH DEFINED 01 9190000 0 0 HUMAN GENOME SCIENCES INC CBONDCNV 444903AH1 13515 15693000 SH DEFINED 01 15693000 0 0 INCYTE CORP CBONDCNV 45337CAC6 607 800000 SH DEFINED 01 800000 0 0 INTERMUNE INC CBONDCNV 45884XAA1 8106 8601000 SH DEFINED 01 8601000 0 0 INTERNET CAPITAL GROUP CBONDCNV 46059CAA4 320 500000 SH DEFINED 01 500000 0 0 LSI LOGIC CORP CBONDCNV 502161AG7 11105 11614000 SH DEFINED 01 11614000 0 0 LABOR READY INC CBONDCNV 505401AB5 10536 6892000 SH DEFINED 01 6892000 0 0 LIBERTY MEDIA CORP CBONDCNV 530715AN1 11534 14980000 SH DEFINED 01 14980000 0 0 LUCENT TECHNOLOGIES INC COMMON 549463107 1577 730300 SH DEFINED 01 730300 0 0 MCLEODUSA INC COMMON 582266706 479 344713 SH DEFINED 01 344713 0 0 MERCURY INTERACTIVE CORP CBONDCNV 589405AB5 8285 8338000 SH DEFINED 01 8338000 0 0 MERRILL LYNCH & CO INC CBONDCNV 590188A73 19770 19415000 SH DEFINED 01 19415000 0 0 MICRON TECHNOLOGY INC CBONDCNV 595112AG8 5652 4250000 SH DEFINED 01 4250000 0 0 MOTOROLA INC COMMON 620076109 2095 175100 SH DEFINED 01 175100 0 0 NMS COMMUNICATIONS CORP COMMON 629248105 388 173360 SH DEFINED 01 173360 0 0 NETWORK ASSOCS INC CBONDCNV 64123LAB7 9540 9000000 SH DEFINED 01 9000000 0 0 NVIDIA CORP COMMON 67066G104 397 25000 SH DEFINED 01 25000 0 0 PMC-SIERRA INC CBONDCNV 69344FAB2 5630 5880000 SH DEFINED 01 5880000 0 0 PPL CORPORATION COMMON 69351T106 442 10800 SH DEFINED 01 10800 0 0 PRIMUS TELECOMMUNICATIONS COMMON 741929103 4163 616885 SH DEFINED 01 616885 0 0 PRIMUS TELECOMMUNICATIONS CBONDCNV 741929AL7 1043 1140000 SH DEFINED 01 1140000 0 0 PRUDENTIAL FINANCIAL INC COMMON 744320102 14039 375800 SH DEFINED 01 375800 0 0 QUANTA SVCS INC CBONDCNV 74762EAA0 1692 2080000 SH DEFINED 01 2080000 0 0 QUANTUM CORP DSSG COM COMMON 747906204 2987 970000 SH DEFINED 01 970000 0 0 RF MICRO DEVICES INC COMMON 749941100 481 51800 SH DEFINED 01 51800 0 0 RF MICRO DEVICES INC CBONDCNV 749941AB6 133 135000 SH DEFINED 01 135000 0 0 RADIOLOGIX INC COMMON 75040K109 47 15500 SH DEFINED 01 15500 0 0 RAYTHEON CO COMMON 755111507 1730 61800 SH DEFINED 01 61800 0 0 RECKSON ASSOCS RLTY CORP COMMON 75621K304 1676 72400 SH DEFINED 01 72400 0 0 SEMCO ENERGY INC COMMON 78412D109 1419 308636 SH DEFINED 01 308636 0 0 SANDISK CORP COMMON 80004C101 2975 46685 SH DEFINED 01 46685 0 0 SOLECTRON CORP COMMON 834182206 9624 577360 SH DEFINED 01 577360 0 0 TXU CORP COMMON 873168108 235 10000 SH DEFINED 01 10000 0 0 TEVA PHARMACAUTICAL FIN LLC CBONDCNV 88163VAB5 13907 10657000 SH DEFINED 01 10657000 0 0 TEVA PHARMACEUTICALS FIN S A CBONDCNV 88163XAB1 7531 5548000 SH DEFINED 01 5548000 0 0 TOYS R US INC COMMON 892335100 3248 270000 SH DEFINED 01 270000 0 0 UNITED STATES CELLULAR CORP CBONDCNV 911684AA6 6632 13854000 SH DEFINED 01 13854000 0 0 UNITED STATES STEEL CORP PREFCONV 912909207 13482 202750 SH DEFINED 01 202750 0 0 VERTEX PHARMACEUTICALS CBONDCNV 92532FAD2 594 703000 SH DEFINED 01 703000 0 0 VERTICALNET INC COMMON 92532L206 496 407100 SH DEFINED 01 407100 0 0 VITESSE SEMICONDUCTOR CORP COMMON 928497106 2238 349690 SH DEFINED 01 349690 0 0 VITESSE SEMICONDUCTOR CORP CBONDCNV 928497AB2 26771 27996000 SH DEFINED 01 27996000 0 0
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