-----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, LtkkJif6jns7JFjaocUlh0glZNBAw/8S9qnJltDMbdkiZzKmQ9y7V0ZJwhcyfouD IU7KEbFgUq7Eh4jDZLAN7w== 0000806085-05-000040.txt : 20050215 0000806085-05-000040.hdr.sgml : 20050215 20050215170350 ACCESSION NUMBER: 0000806085-05-000040 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20040930 FILED AS OF DATE: 20050215 DATE AS OF CHANGE: 20050215 EFFECTIVENESS DATE: 20050215 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: 05618009 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 f04-09_3013famendconfb.txt 13F/A CONFIDENTIAL PART B 3RD QTR. 2004 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 - -------------------------------- -------- --------- -------- ------- --- ---- ---------- -------- -------- -------- -------- ABGENIX INC CBONDCNV 00339BAB3 14186 15275000 SH DEFINED 01 15275000 0 0 ADVANCED MEDICAL OPTICS INC CBONDCNV 00763MAE8 521 250000 SH DEFINED 01 250000 0 0 ALLERGAN INC CBONDCNV 018490AE2 913 1000000 SH DEFINED 01 1000000 0 0 AMERICAN ELECTRIC POWER CO INC COMMON 025537101 4873 152500 SH DEFINED 01 152500 0 0 AMGEN INC CBONDCNV 031162AE0 37591 51495000 SH DEFINED 01 51495000 0 0 AMKOR TECHNOLOGY INC CBONDCNV 031652AH3 918 1100000 SH DEFINED 01 1100000 0 0 AMKOR TECH INC CBONDCNV 031652AN0 2537 2900000 SH DEFINED 01 2900000 0 0 APOGENT TECHNOLOGIES INC CBONDCNV 03760AAK7 30438 24765000 SH DEFINED 01 24765000 0 0 APOGENT TECHNOLOGIES INC CBONDCNV 03760AAL5 3007 2798000 SH DEFINED 01 2798000 0 0 ARTESYN TECHNOLOGIES INC CBONDCNV 043127AB5 8755 5568000 SH DEFINED 01 5568000 0 0 BEA SYSTEMS INC CBONDCNV 073325AD4 14 15000 SH DEFINED 01 15000 0 0 BEVERLY ENTERPRISES INC NEW COMMON 087851309 880 116300 SH DEFINED 01 116300 0 0 BLUEGREEN CORP SUB DEB CV CBONDCNV 096231AA3 96 75000 SH DEFINED 01 75000 0 0 BOISE CASCADE CORP COMMON 097383103 3091 92900 SH DEFINED 01 92900 0 0 CHIPPAC INC CBONDCNV 169657AD5 12426 12520000 SH DEFINED 01 12520000 0 0 CHIRON CORP CBONDCNV 170040AG4 10957 11167000 SH DEFINED 01 11167000 0 0 ***COMVERSE TECHNOLOGY INC CBONDCNV 205862AJ4 63 65000 SH DEFINED 01 65000 0 0 COMVERSE TECHNOLOGY INC CBONDCNV 205862AL9 11222 9218000 SH DEFINED 01 9218000 0 0 CONEXANT SYSTEMS INC CBONDCNV 207142AF7 5695 6436009 SH DEFINED 01 6436009 0 0 CONSECO INC COMMON 208464883 935 53000 SH DEFINED 01 53000 0 0 CONSTELLATION BRANDS INC COMMON 21036P108 822 21600 SH DEFINED 01 21600 0 0 CURAGEN CORP COMMON 23126R101 3815 693802 SH DEFINED 01 693802 0 0 CURAGEN CORP CBONDCNV 23126RAC5 127 132000 SH DEFINED 01 132000 0 0 CYPRESS SEMICONDUCTOR CORP CBONDCNV 232806AF6 218 221000 SH DEFINED 01 221000 0 0 CYTYC CORP COMMON 232946103 2942 121837 SH DEFINED 01 121837 0 0 DECODE GENETICS INC COMMON 243586104 5138 682459 SH DEFINED 01 682459 0 0 ***EOP OPER LTD PARTNERSHIP CBONDCNV 268766BR2 18885 18792000 SH DEFINED 01 18792000 0 0 ELECTRONIC DATA SYS CORP CBONDCNV 285661AF1 7578 7607000 SH DEFINED 01 7607000 0 0 ENZON INC CBONDCNV 293904AB4 26589 28476000 SH DEFINED 01 28476000 0 0 FLIR SYSTEMS INC CBONDCNV 302445AB7 6307 4099000 SH DEFINED 01 4099000 0 0 FAIRCHILD SEMICONDUCTOR CORP CBONDCNV 303727AJ0 148 150000 SH DEFINED 01 150000 0 0 FISHER SCIENTIFIC INTL INC CBONDCNV 338032AX3 2700 2515000 SH DEFINED 01 2515000 0 0 GABELLI ASSET MANAGEMENT INC COMMON 36239Y201 4536 180300 SH DEFINED 01 180300 0 0 GLOBESPAN INC CBONDCNV 379571AB8 971 1000000 SH DEFINED 01 1000000 0 0 HEALTH MANAGEMENT ASSOCIATES CLASS 421933102 1536 75200 SH DEFINED 01 75200 0 0 HOST MARRIOTT CORP-NEW REIT COMMON 44107P104 2028 144600 SH DEFINED 01 144600 0 0 HUMAN GENOME SCIENCES INC CBONDCNV 444903AH1 21016 21648584 SH DEFINED 01 21648584 0 0 INDEVUS PHARMACEUTICALS INC CBONDCNV 454072AB5 12542 9547000 SH DEFINED 01 9547000 0 0 INHALE THERAPEUTIC SYS INC CBONDCNV 457191AH7 14 15000 SH DEFINED 01 15000 0 0 ***INVITROGEN CORP CBONDCNV 46185RAF7 1100 1000000 SH DEFINED 01 1000000 0 0 KING PHARMACEUTICALS INC CBONDCNV 495582AG3 10822 11215000 SH DEFINED 01 11215000 0 0 LSI LOGIC CORP CBONDCNV 502161AG7 432 440000 SH DEFINED 01 440000 0 0 LSI LOGIC CBONDCNV 502161AJ1 18808 21044000 SH DEFINED 01 21044000 0 0 LABOR READY INC CBONDCNV 505401AB5 32905 16160000 SH DEFINED 01 16160000 0 0 MEDTRONIC INC CBONDCNV 585055AB2 5125 5000000 SH DEFINED 01 5000000 0 0 MERCURY INTERACTIVE CORP CBONDCNV 589405AC3 28491 29873000 SH DEFINED 01 29873000 0 0 MERCURY INTERACTIVE CORP CBONDCNV 589405AD1 15736 16500000 SH DEFINED 01 16500000 0 0 MICRON TECHNOLOGY INC CBONDCNV 595112AG8 12104 10045000 SH DEFINED 01 10045000 0 0 NORTHROP GRUMMAN CORP COMMON 666807409 22269 215265 SH DEFINED 01 215265 0 0 OMNICARE CAP TR I PREFCONV 68214L201 3749 77000 SH DEFINED 01 77000 0 0 PMI GROUP INC COMMON 69344M101 543 13400 SH DEFINED 01 13400 0 0 PHARMACEUTICAL RES INC CBONDCNV 717125AC2 6404 7237000 SH DEFINED 01 7237000 0 0 PROTEIN DESIGN LABS INC CBONDCNV 74369LAD5 4991 4050000 SH DEFINED 01 4050000 0 0 QUANTUM CORP CBONDCNV 747906AE5 1587 1794000 SH DEFINED 01 1794000 0 0 RECKSON ASSOCIATES REALTY CORP PREFCONV 75621K205 1307 50000 SH DEFINED 01 50000 0 0 SEMCO ENERGY INC COMMON 78412D109 3115 567500 SH DEFINED 01 567500 0 0 SIMON PROPERTY GROUP INC REIT 828806109 1877 35000 SH DEFINED 01 35000 0 0 STATE STREET CORPORATION COMMON 857477202 8520 42755 SH DEFINED 01 42755 0 0 TERAYON COMMUNICATION SYS CBONDCNV 880775AC5 56 60000 SH DEFINED 01 60000 0 0 TEVA PHARMACEUTICALS FINANCE CBONDCNV 88164MAB4 14529 11274000 SH DEFINED 01 11274000 0 0 ***TEVA PHARMACEUTICAL FIN II CBONDCNV 88164RAA5 15413 16035000 SH DEFINED 01 16035000 0 0 THERMO ELECTRON CORP CBONDCNV 883556AJ1 1960 1980000 SH DEFINED 01 1980000 0 0 VALERO ENERGY CORP NEW COMMON 91913Y100 713 8900 SH DEFINED 01 8900 0 0 WATSON PHARMACEUTICALS INC CBONDCNV 942683AC7 9752 9826000 SH DEFINED 01 9826000 0 0 WEBMD CORP CBONDCNV 94769MAC9 450 472000 SH DEFINED 01 472000 0 0
EX-99 2 f04-09_3013famendconfbcs.txt 13F/A 3RD QTR. 2004 CONF B COVER & SUMMARY PAGES This filing lists securities holdings reported on the form 13F filed on or about November 14, 2004 pursuant to a request for confidential treatment and for which confidential treatment no longer applies. 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, 2004 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 15, 2005 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: 64 Form 13F Information Table Value Total 489,788 (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. -----END PRIVACY-ENHANCED MESSAGE-----