-----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, PBZzqBp1f9OfpOzKMzhHqAzmQ3HC+o/NaNbOE28cKX3uGGieedCecoa84NeXbABZ njmHBMrCgoCmCJ9ox5idew== 0000806085-04-000201.txt : 20041116 0000806085-04-000201.hdr.sgml : 20041116 20041116151047 ACCESSION NUMBER: 0000806085-04-000201 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20041116 DATE AS OF CHANGE: 20041116 EFFECTIVENESS DATE: 20041116 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: 041149344 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 f02-12_3113famendcover.txt 13F/A 4TH QTR. 2001 COVER & SUMMARY PAGES Amendment No.1 hereto, filed on February 14, 2003 was intended to add securities holdings otherwise reportable on the Form 13F filed on February 14, 2002 for which confidential treatment had been granted but which had since expired. Such Amendment No.1 included two lists of securities to be added: Confidential Part A and Confidential Part B. However, such Amendment No.1 contained incorrect Confidential Part A and Confidential Part B lists of securities. This filing provides the correct Confidential Part A and Confidential Part B lists. 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, 2001 Check here if Amendment [x]; Amendment Number: 2 This Amendment (Check only one.): [X] is a restatement [ ] 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 16, 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: 131 Form 13F Information Table Value Total 895,361 (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 f01-12_3113fconfa.txt 13F/A 4TH QTR. 2001 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 70 440400 SH DEFINED 01 440400 0 0 WTS ELAN CORP PLC COMMON G29539163 1478 441400 SH DEFINED 01 441400 0 0 AT&T CORP COMMON 001957109 3628 200000 SH DEFINED 01 200000 0 0 AEROSPACE CREDITORS COMMON 008017105 70 56034 SH DEFINED 01 56034 0 0 ***APCO ARGENTINA INC (CAYMEN COMMON 037489101 11441 532176 SH DEFINED 01 532176 0 0 AVATAR HOLDINGS INC CBONDCNV 053494AD2 6409 6800000 SH DEFINED 01 6800000 0 0 WTS BRADLEES INC COMMON 104499116 6 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 754 167726 SH DEFINED 01 167726 0 0 COLLECTING BANK N.A. CLASS 193905106 0 262115 SH DEFINED 01 262115 0 0 CUMULUS MEDIA INC-CL A CLASS 231082108 14562 900000 SH DEFINED 01 900000 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 0 227122 SH DEFINED 01 227122 0 0 ***ELAN CORP PLC-ADR ADR 284131208 19276 427800 SH DEFINED 01 427800 0 0 GENERAL MOTORS CORP-CL H NEW COMMON 370442832 6952 450000 SH DEFINED 01 450000 0 0 GRANT PRIDECO INC COMMON 38821G101 26666 2318800 SH DEFINED 01 2318800 0 0 HEARTLAND PARTNERS LP COMMON 422357103 2839 187400 SH DEFINED 01 187400 0 0 IDT CORP COMMON 448947101 3484 178600 SH DEFINED 01 178600 0 0 INTERNET CAPITAL GROUP CBONDCNV 46059CAA4 915 2006800 SH DEFINED 01 2006800 0 0 JAPAN EQUITY FUND INC COMMON 471057109 763 164200 SH DEFINED 01 164200 0 0 LIMITED INC COMMON 532716107 13248 900000 SH DEFINED 01 900000 0 0 NEXTWAVE TELECOM INC-CL B COMMON 65332M103 13864 1711700 SH DEFINED 01 1711700 0 0 PARKER DRILLING CORP CBONDCNV 701081AD3 1810 2000000 SH DEFINED 01 2000000 0 0 PETRIE STORES LIQUIDATING TR COMMON 716437108 441 519100 SH DEFINED 01 519100 0 0 PROGRESS ENERGY INC COMMON 743263105 1759 38439 SH DEFINED 01 0 0 38439 R G S ENERGY GROUP INC COMMON 74956K104 6756 179700 SH DEFINED 01 179700 0 0 SANMINA CORP CBONDCNV 800907AD9 3725 10000000 SH DEFINED 01 10000000 0 0 SIRIUS SATELLITE RADIO INC COMMON 82966U103 5815 500000 SH DEFINED 01 500000 0 0 3COM CORP COMMON 885535104 8256 1294174 SH DEFINED 01 1294174 0 0 TOWN & COUNTY CORP-6% CONV PFD COMMON 892027400 75 49580 SH DEFINED 01 49580 0 0 TOWN & COUNTRY CORP-CL A CLASS 892027103 0 301480 SH DEFINED 01 301480 0 0 WEBMETHODS INC COMMON 94768C108 12401 739929 SH DEFINED 01 739929 0 0 WEBMETHODS INC COMMON 94768C108 13384 798597 SH DEFINED 01 798597 0 0 ***WESTCOAST ENERGY INC COMMON 95751D102 12702 480600 SH DEFINED 01 480600 0 0
EX-99 3 f01-12_3113fconfb.txt 13F/A 4TH QTR. 2001 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 - -------------------------------- -------- --------- -------- ------- --- ---- ---------- -------- -------- -------- -------- AKAMAI TECHNOLOGIES INC COMMON 00971T101 943 158800 SH DEFINED 01 158800 0 0 ALZA CORP SUB LIQUID YIELD OPT CBONDCNV 022615AC2 421 310000 SH DEFINED 01 310000 0 0 APARTMENT INVT & MGMT CO PFD PREFERED 03748R705 7294 261000 SH DEFINED 01 261000 0 0 ARCHSTONE-SMITH TR COMMON 039583208 708 20000 SH DEFINED 01 20000 0 0 AT HOME CORP CBONDCNV 045919AC1 140 3513000 SH DEFINED 01 3513000 0 0 AVIRON CBONDCNV 053762AD2 53 50000 SH DEFINED 01 50000 0 0 AVIVA PETROLEUM INC NEW COMMON 05379P205 10 129662 SH DEFINED 01 129662 0 0 BEA SYSTEMS INC CBONDCNV 073325AD4 6379 7550000 SH DEFINED 01 7550000 0 0 BROCADE COMMUNICATIONS SYS INC COMMON 111621108 331 10000 SH DEFINED 01 10000 0 0 CALPINE CAP TRUST III COMMON 13134R300 1249 37170 SH DEFINED 01 37170 0 0 CALPINE CORP COMMON 131347106 8228 490100 SH DEFINED 01 490100 0 0 CELESTICA INC CBONDCNV 15101QAA6 11824 29150000 SH DEFINED 01 29150000 0 0 CENDANT CORP COMMON 151313103 264 13500 SH DEFINED 01 13500 0 0 CHROMATICS INTL INC COMMON 171116403 0 40000 SH DEFINED 01 40000 0 0 CITRIX SYSTEMS INC CBONDCNV 177376AB6 1283 2828000 SH DEFINED 01 2828000 0 0 COMVERSE TECHNOLOGY INC NEW COMMON 205862402 1905 85200 SH DEFINED 01 85200 0 0 CONVERSE TECHNOLOGY INC CBONDCNV 205862AJ4 7098 9356000 SH DEFINED 01 9356000 0 0 CONEXANT SYSTEMS INC CBONDCNV 207142AF7 84 130000 SH DEFINED 01 130000 0 0 COR THERAPEUTICS INC CBONDCNV 217753AD4 16716 16779000 SH DEFINED 01 16779000 0 0 COUNTRYWIDE CREDIT INDS INC CBONDCNV 222372AD6 6586 9310000 SH DEFINED 01 9310000 0 0 COUNTRYWIDE CR INDS INC CBONDCNV 222372AE4 7075 10000000 SH DEFINED 01 10000000 0 0 CRITICAL PATH INC COMMON 22674V100 426 155800 SH DEFINED 01 155800 0 0 CRITICAL PATH INC CBONDCNV 22674VAA8 56 100000 SH DEFINED 01 100000 0 0 CURAGEN CORP COMMON 23126R101 321 14360 SH DEFINED 01 14360 0 0 CURAGEN CORP CBONDCNV 23126RAA9 19 25000 SH DEFINED 01 25000 0 0 CURAGEN CORP CBONDCNV 23126RAC5 5731 7431000 SH DEFINED 01 7431000 0 0 CYMER INC CBONDCNV 232572AC1 2852 2964000 SH DEFINED 01 2964000 0 0 CYPRESS SEMICONDUCTOR CORP CBONDCNV 232806AE9 2638 2990000 SH DEFINED 01 2990000 0 0 CYPRESS SEMICONDUCTOR CORP CBONDCNV 232806AF6 3657 4515000 SH DEFINED 01 4515000 0 0 DEVON ENERGY CORPORATION NEW CBONDCNV 25179MAD5 12865 28750000 SH DEFINED 01 28750000 0 0 DIAMOND OFFSHORE DRILL CBONDCNV 25271CAB8 30 60000 SH DEFINED 01 60000 0 0 DIAMOND OFFSHORE DRILLING INC CBONDCNV 25271CAD4 8817 9650000 SH DEFINED 01 9650000 0 0 DOMINION RESOURCES INC VA NEW COMMON 25746U109 3852 64100 SH DEFINED 01 64100 0 0 DUPONT PHOTOMASKS INC CBONDCNV 26613XAC5 1840 2000000 SH DEFINED 01 2000000 0 0 EL PASO CGP CO COMMON 28335P309 3137 99600 SH DEFINED 01 99600 0 0 EL PASO CORP CBONDCNV 28336LAA7 11171 27500000 SH DEFINED 01 27500000 0 0 ELECTRONIC DATA SYS CORP NEW CBONDCNV 285661AB0 24261 29275000 SH DEFINED 01 29275000 0 0 EQUITY OFFICE PROPERTIES TR PREFCONV 294741509 20243 442000 SH DEFINED 01 442000 0 0 EQUITY RESIDENTIAL PPTYS TRUST PREFCONV 29476L859 270 10700 SH DEFINED 01 10700 0 0 EXTREME NETWORKS INC CBONDCNV 30226DAA4 1317 1464000 SH DEFINED 01 1464000 0 0 FIFTH THIRD BANCORP COMMON 316773100 1238 20190 SH DEFINED 01 20190 0 0 FIRST DATA CORP CBONDCNV 319963AD6 11513 10563000 SH DEFINED 01 10563000 0 0 ***GENENTECH INCORP CV CEUROCNV 368710AA7 780 780000 SH DEFINED 01 780000 0 0 GILEAD SCIENCES INC CBONDCNV 375558AB9 445 291000 SH DEFINED 01 291000 0 0 INHALE THERAPEUTIC SYSTEMS INC CBONDCNV 457191AF1 610 805000 SH DEFINED 01 805000 0 0 INHALE THERAPEUTIC SYS INC CBONDCNV 457191AH7 5853 9110000 SH DEFINED 01 9110000 0 0 INNKEEPERS USA TRUST 8.625% PREFCONV 4576J0302 5363 230700 SH DEFINED 01 230700 0 0 INTERMUNE INC CBONDCNV 45884XAA1 1492 1007000 SH DEFINED 01 1007000 0 0 IVAX CORP CBONDCNV 465823AE2 195 235000 SH DEFINED 01 235000 0 0 JUNIPER NETWORKS INC CBONDCNV 48203RAA2 4008 5548000 SH DEFINED 01 5548000 0 0 KERR-MCGEE CORP CBONDCNV 492386AP2 29590 27147000 SH DEFINED 01 27147000 0 0 KOHLS CORP CBONDCNV 500255AJ3 1648 2566000 SH DEFINED 01 2566000 0 0 LSI LOGIC CORP CBONDCNV 502161AD4 5502 4875000 SH DEFINED 01 4875000 0 0 LSI CORP CBONDCNV 502161AF9 34811 38254000 SH DEFINED 01 38254000 0 0 L-3 COMMUNICATIONS HLDGS CBONDCNV 502424AB0 27145 21002000 SH DEFINED 01 21002000 0 0 L-3 COMMUNICATIONS HLDGS INC CBONDCNV 502424AC8 3942 3865000 SH DEFINED 01 3865000 0 0 ***LENNAR CORP CBONDCNV 526057AA2 807 1237000 SH DEFINED 01 1237000 0 0 MERCURY INTERACTIVE CORP CBONDCNV 589405AB5 3367 4164000 SH DEFINED 01 4164000 0 0 MERRILL LYNCH & CO INC CBONDCNV 590188A65 48444 91405000 SH DEFINED 01 91405000 0 0 MOTOROLA INC COMMON 620076208 1635 35000 SH DEFINED 01 35000 0 0 NABORS INDUSTRIES INC COMMON 629568106 326 9500 SH DEFINED 01 9500 0 0 NATIONAL DATA CORP CBONDCNV 635621AA3 5440 5000000 SH DEFINED 01 5000000 0 0 NETWORK ASSOCIATES INC CBONDCNV 640938AB2 58300 128840000 SH DEFINED 01 28840000 0 0 NEW PLAN EXCEL REALTY TR INC PREFCONV 648053205 4051 158900 SH DEFINED 01 158900 0 0 NORTHROP GRUMMAN CORP COMMON 666807102 4576 45400 SH DEFINED 01 45400 0 0 OFFICE DEPOT INC CBONDCNV 676220AB2 325 500000 SH DEFINED 01 500000 0 0 OMNICARE INC CBONDCNV 681904AD0 4217 4566000 SH DEFINED 01 4566000 0 0 POGO PRODUCING CO SUB NT CONV CBONDCNV 730448AE7 9487 9844000 SH DEFINED 01 9844000 0 0 PROTEIN DESIGN LABS INC CBONDCNV 74369LAB9 670 601000 SH DEFINED 01 601000 0 0 QUANTA SVCS INC CBONDCNV 74762EAA0 11681 17500000 SH DEFINED 01 17500000 0 0 RECKSON ASSOCS RLTY CORP COMMON 75621K304 13867 543605 SH DEFINED 01 543605 0 0 SANDISK CORP COMMON 80004C101 360 25000 SH DEFINED 01 25000 0 0 SANMINA CORP CBONDCNV 800907AB3 2355 2166000 SH DEFINED 01 2166000 0 0 SANMINA CORP CBONDCNV 800907AC1 7818 20990000 SH DEFINED 01 20990000 0 0 SEACOR HOLDINGS INC CBONDCNV 811904AE1 586 528000 SH DEFINED 01 528000 0 0 SEPRACOR INC CBONDCNV 817315AL8 7656 8800000 SH DEFINED 01 8800000 0 0 SIMON PROPERTY GROUP INC NEW PREFCONV 828806406 19848 236992 SH DEFINED 01 236992 0 0 SOLECTRON CORP CBONDCNV 834182AK3 27770 53663000 SH DEFINED 01 53663000 0 0 SOVEREIGN BANCORP INC PREFCONV 845905306 4716 67385 SH DEFINED 01 67385 0 0 STIWELL FINL INC CBONDCNV 860831AC0 3650 5000000 SH DEFINED 01 5000000 0 0 ***THERMO ELECTRON CORP CBONDCNV 883556AF9 27984 28267000 SH DEFINED 01 28267000 0 0 THERMO ELECTRON CONV BD CBONDCNV 883556AH5 10142 10804000 SH DEFINED 01 10804000 0 0 THERMO ELECTRON CORP CBONDCNV 883556AJ1 1458 1823000 SH DEFINED 01 1823000 0 0 TITAN CAP TR REMKTABLE TERM COMMON 888262300 382 10000 SH DEFINED 01 10000 0 0 TRIBUNE CO NEW (PHONES) COMMON 896047305 1960 22580 SH DEFINED 01 22580 0 0 TYCO INTL LTD NEW CBONDCNV 902124AC0 49807 64685000 SH DEFINED 01 64685000 0 0 UNITED STATES CELLULAR CORP CBONDCNV 911684AA6 1810 4023000 SH DEFINED 01 4023000 0 0 UTILICORP UNITED INC COMMON 918005877 1426 52250 SH DEFINED 01 52250 0 0 VALERO ENERGY CORP NEW COMMON 91913Y100 1787 46900 SH DEFINED 01 46900 0 0 VERITAS SOFTWARE CORP CBONDCNV 923436AB5 2346 500000 SH DEFINED 01 500000 0 0 VERTEX PHARMACEUTICALS INC CBONDCNV 92532FAC4 188 280000 SH DEFINED 01 280000 0 0 VITESSE SEMICONDUCTOR CORP CBONDCNV 928497AB2 9455 12181000 SH DEFINED 01 12181000 0 0 WASHINGTON MUT INC COMMON 939322871 7761 105635 SH DEFINED 01 105635 0 0 WASTE MANAGEMENT INC DEL CBONDCNV 94106LAA7 20075 20063000 SH DEFINED 01 20063000 0 0 WIND RIVER SYSTEMS CBONDCNV 973149AD9 510 500000 SH DEFINED 01 500000 0 0 WORLDCOM INC GA NEW DEP SHS COMMON 98157D700 1068 50000 SH DEFINED 01 50000 0 0 WORLDCOM INC GA NEW COMMON 98157D809 5451 255040 SH DEFINED 01 255040 0 0
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