-----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, IlnjVZ047D4c7Ug6oAfPQK0wT893k2IzgSZeVk41RLzWxwk9ahTB90EREmXwTF9r C5OT+Y7oWLl52Z1nT++3Zg== 0000806085-06-000078.txt : 20060515 0000806085-06-000078.hdr.sgml : 20060515 20060515112232 ACCESSION NUMBER: 0000806085-06-000078 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20050331 FILED AS OF DATE: 20060515 DATE AS OF CHANGE: 20060515 EFFECTIVENESS DATE: 20060515 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: 06837859 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 f06-05_1513famend.txt 13F AMENDMENT NO.2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F/A Form 13F CONFIDENTIAL COVER PAGE THIS FILING LISTS SECURITIES HOLDINGS REPORTED ON THE FORM 13F FILED ON OR ABOUT MAY 15, 2005 PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT AND FOR WHICH CONFIDENTIAL TREATMENT EXPIRED ON MAY 15, 2006. Report for the Calendar Year or Quarter Ended: March 31, 2005 Check here if Amendment [x]; Amendment Number:2 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: James J. Killerlane III Title: Vice President Phone: 212 526-1695 Signature, Place and Date of Signing: /s/ James J. Killerlane III New York, NY May 15, 2006 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 Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 152 Form 13F Information Table Value Total 1,520,954 (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. Please note that confidential information has been omitted from this report and filed separately with the Securities and Exchange Commission. 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 WARRANT G29539163 18 91700 SH DEFINED 01 91700 0 0 ***VIATEL HOLDING BERMUDA LTD COMMON G93447103 247 319924 SH DEFINED 01 319924 0 0 ***ACE AVIATION HOLDINGS INC COMMON 00440P201 1566 50000 SH DEFINED 01 50000 0 0 AEROSPACE CREDITORS COMMON 008017105 70 56034 SH DEFINED 01 56034 0 0 AFFILIATED COMPUTER SERVICES CLASS 008190100 10648 200000 SH DEFINED 01 200000 0 0 ALLIED WASTE INDUSTRIES INC PREFERED 019589605 4434 102500 SH DEFINED 01 102500 0 0 AMGEN INC COMMON 031162100 5582 95895 SH DEFINED 01 95895 0 0 BANK OF AMERICA CORP COMMON 060505104 48510 1100000 SH DEFINED 01 1100000 0 0 BIOCRYST PHARMACEUTICALS INC COMMON 09058V103 2778 602612 SH DEFINED 01 602612 0 0 BIOGEN IDEC INC COMMON 09062X103 1736 50330 SH DEFINED 01 50330 0 0 BLOCKBUSTER INC COMMON 093679207 4456 533100 SH DEFINED 01 533100 0 0 CNET NETWORKS INC COMMON 12613R104 2596 275000 SH DEFINED 01 275000 0 0 CSF HOLDINGS INC-ESCROW COMMON 126335991 0 149700 SH DEFINED 01 149700 0 0 CABOT MICROELECTRONICS CORP COMMON 12709P103 3138 100000 SH DEFINED 01 100000 0 0 CALIFORNIA COASTAL COMMUNITIES COMMON 129915203 4387 167726 SH DEFINED 01 167726 0 0 CALPINE CORP COMMON 131347106 10640 3800000 SH DEFINED 01 3800000 0 0 CARMIKE CINEMAS INC COMMON 143436400 7456 200000 SH DEFINED 01 200000 0 0 CHARTER COMMUNICATIONS INC DEL COMMON 16117M107 2164 1352615 SH DEFINED 01 1352615 0 0 CITIGROUP INC COMMON 172967101 18470 411000 SH DEFINED 01 411000 0 0 COLLECTING BANK N.A. CLASS 193905106 0 262115 SH DEFINED 01 262115 0 0 COX RADIO INC-CL A CLASS 224051102 1681 100000 SH DEFINED 01 100000 0 0 CYTOKINETICS INC COMMON 23282W100 770 117500 SH DEFINED 01 117500 0 0 DELTA AIR LINES INC CBONDCNV 247361YP7 1822 4500000 SH DEFINED 01 4500000 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 ***ELAN CORP PLC-ADR ADR 284131208 162 50000 SH DEFINED 01 50000 0 0 FEDERATED DEPARTMENT STORES COMMON 31410H101 8451 132800 SH DEFINED 01 132800 0 0 FIRST HORIZON NATL CORP COMMON 320517105 11258 276000 SH DEFINED 01 276000 0 0 FIRST TRUST VALUE LINE COMMON 33735A100 9358 653100 SH DEFINED 01 653100 0 0 FIRSTENERGY CORP COMMON 337932107 5243 125000 SH DEFINED 01 125000 0 0 GEMSTAR TV GUIDE INTL INC COMMON 36866W106 2175 500000 SH DEFINED 01 500000 0 0 GENCORP INC COMMON 368682100 4000 200000 SH DEFINED 01 200000 0 0 GILEAD SCIENCES INC COMMON 375558103 381 9321 SH DEFINED 01 9321 0 0 GILLETTE CO COMMON 375766102 25240 500000 SH DEFINED 01 500000 0 0 GUIDANT CORP COMMON 401698105 48035 650000 SH DEFINED 01 650000 0 0 HANOVER COMPRESSOR CO COMMON 410768105 10838 898000 SH DEFINED 01 898000 0 0 HEALTHSOUTH CORP COMMON 421924101 37450 7000000 SH DEFINED 01 7000000 0 0 HOLLYWOOD ENTERTAINMENT CORP COMMON 436141105 8560 650000 SH DEFINED 01 650000 0 0 I TRAX INC COMMON 45069D203 1103 750000 SH DEFINED 01 750000 0 0 INFOCROSSING INC CBONDCNV 45664XAB5 3871 3750000 SH DEFINED 01 3750000 0 0 INFOCROSSING INC COMMON 45664X109 8 517 SH DEFINED 01 517 0 0 ***INFOSYS TECHNOLOGIES LTD ADR 456788108 575 7800 SH DEFINED 01 7800 0 0 INHIBITEX INC COMMON 45719T103 152 25000 SH DEFINED 01 25000 0 0 INSIGHT COMMUNICATIONS INC COMMON 45768V108 17775 1500000 SH DEFINED 01 1500000 0 0 INTERNATIONAL COAL GROUP INC COMMON 45927F101 37722 2901704 SH DEFINED 01 2901704 0 0 JPMORGAN CHASE & CO COMMON 46625H100 19479 563000 SH DEFINED 01 563000 0 0 JETBLUE AIRWAYS CORP COMMON 477143101 3808 200000 SH DEFINED 01 200000 0 0 KOREA FUND INC COMMON 500634100 3512 133300 SH DEFINED 01 133300 0 0 LKQ CORPORATION COMMON 501889208 3021 150555 SH DEFINED 01 150555 0 0 LEXINGTON COAL COMPANY LLC COMMON 529990160 0 1765470 SH DEFINED 01 1765470 0 0 LIBERTY MEDIA CORP COMMON 530718105 44072 4250000 SH DEFINED 01 4250000 0 0 MCI INC COMMON 552691107 61826 2481010 SH DEFINED 01 2481010 0 0 MIRANT CORP COMMON 604675108 184 501757 SH DEFINED 01 501757 0 0 NTL INC DEL COMMON 62940M104 76404 1200000 SH DEFINED 01 1200000 0 0 NETFLIX COM INC COMMON 64110L106 1261 116300 SH DEFINED 01 116300 0 0 NEWS CORPORATION COMMON 65248E104 34611 2045599 SH DEFINED 01 2045599 0 0 NOVELL INC COMMON 670006105 2980 500000 SH DEFINED 01 500000 0 0 OSCIENT PHARMACEUTICALS COMMON 68812R105 1755 750000 SH DEFINED 01 750000 0 0 PEOPLES ENERGY CORP COMMON 711030106 4904 117000 SH DEFINED 01 117000 0 0 PROGRESS ENERGY INC COMMON 743263105 4698 112000 SH DEFINED 01 112000 0 0 PROVINCE HEALTHCARE CO COMMON 743977100 16400 680800 SH DEFINED 01 680800 0 0 QWEST COMMUNICATIONS INTL IN COMMON 749121109 2775 750000 SH DEFINED 01 750000 0 0 SIRIUS SATELLITE RADIO INC COMMON 82966U103 5412 963000 SH DEFINED 01 963000 0 0 SOUTHERN AFRICA FUND INC COMMON 842ESC105 0 160000 SH DEFINED 01 160000 0 0 SPRINT CORP COMMON 852061100 91000 4000000 SH DEFINED 01 4000000 0 0 ***STELCO INC CLASS A CLASS 858525108 3662 1280000 SH DEFINED 01 1280000 0 0 SUNGARD DATA SYSTEMS INC COMMON 867363103 17250 500000 SH DEFINED 01 500000 0 0 SWISS HELVETIA FUND INC COMMON 870875101 1284 90400 SH DEFINED 01 90400 0 0 SYKES ENTERPRISES INC COMMON 871237103 798 116229 SH DEFINED 01 116229 0 0 SYMBOL TECHNOLOGIES INC COMMON 871508107 8694 600000 SH DEFINED 01 600000 0 0 TAIWAN GREATER CHINA FUND COMMON 874037104 1218 248651 SH DEFINED 01 248651 0 0 TECH TEAM GLOBAL INC COMMON 878311109 1103 100000 SH DEFINED 01 100000 0 0 TELEWEST GLOBAL INC COMMON 87956T107 39139 2200074 SH DEFINED 01 2200074 0 0 TIBCO SOFTWARE INC COMMON 88632Q103 3958 506061 SH DEFINED 01 506061 0 0 TIME WARNER INC COMMON 887317105 13162 750000 SH DEFINED 01 750000 0 0 TOWN & COUNTRY CORP-CL A CLASS 892027103 0 301480 SH DEFINED 01 301480 0 0 TRIBUNE CO NEW COMMON 896047107 13954 350000 SH DEFINED 01 350000 0 0 US BANCORP DEL COMMON 902973304 14698 510000 SH DEFINED 01 510000 0 0 VERITAS SOFTWARE CORP COMMON 923436109 20607 887500 SH DEFINED 01 887500 0 0 VIACOM INC-CL B CLASS 925524308 43537 1250000 SH DEFINED 01 1250000 0 0 WACHOVIA CORP 2ND NEW COMMON 929903102 10182 200000 SH DEFINED 01 200000 0 0 WELLS FARGO & CO COMMON 949746101 2392 40000 SH DEFINED 01 40000 0 0 XM SATELLITE RADIO HLDGS INC COMMON 983759101 8820 280000 SH DEFINED 01 280000 0 0
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 - -------------------------------- -------- --------- -------- ------- --- ---- ---------- -------- -------- -------- -------- ***CHIPMOS TECHNOLOGIES COMMON G2110R106 3039 473392 SH DEFINED 01 473392 0 0 ABGENIX INC CBONDCNV 00339BAB3 10922 11275000 SH DEFINED 01 11275000 0 0 ADVANCED MEDICAL OPTICS INC CBONDCNV 00763MAE8 676 350000 SH DEFINED 01 350000 0 0 ADVANCED MED OPTICS INC CBONDCNV 00763MAG3 14365 14474000 SH DEFINED 01 14474000 0 0 ADVANCED MICRO DEVICES INC CBONDCNV 007903AE7 4794 4849000 SH DEFINED 01 4849000 0 0 AFFYMETRIX INC CBONDCNV 00826TAF5 736 500000 SH DEFINED 01 500000 0 0 ALASKA AIR GROUP INC CBONDCNV 011659AG4 3176 2500000 SH DEFINED 01 2500000 0 0 ALLERGAN INC CBONDCNV 018490AE2 697 801000 SH DEFINED 01 801000 0 0 AMERICAN ELECTRIC POWER CO INC COMMON 025537101 6045 177500 SH DEFINED 01 177500 0 0 AMGEN INC CBONDCNV 031162AE0 25175 34605000 SH DEFINED 01 34605000 0 0 APOGENT TECHNOLOGIES INC CBONDCNV 03760AAK7 39005 33140000 SH DEFINED 01 33140000 0 0 AQUILA INC DEL 6.75% PREMIUM PREFCONV 03840P409 8857 254974 SH DEFINED 01 254974 0 0 ARTESYN TECHNOLOGIES INC COMMON 043127109 2931 336599 SH DEFINED 01 336599 0 0 BAUSCH & LOMB INC CBONDCNV 071707AM5 20229 13934000 SH DEFINED 01 13934000 0 0 BEVERLY ENTERPRISES INC CBONDCNV 087851AR2 470 276000 SH DEFINED 01 276000 0 0 BROADWING CORPORATION COMMON 11161E101 1449 350000 SH DEFINED 01 350000 0 0 CELL GENESYS INC CBONDCNV 150921AB0 678 800600 SH DEFINED 01 800600 0 0 CHIPPAC INC CBONDCNV 169657AD5 12457 12520000 SH DEFINED 01 12520000 0 0 ***COMVERSE TECHNOLOGY INC CBONDCNV 205862AJ4 25122 25570000 SH DEFINED 01 25570000 0 0 COMVERSE TECHNOLOGY INC CBONDCNV 205862AL9 178 122000 SH DEFINED 01 122000 0 0 CONEXANT SYSTEMS INC COMMON 207142100 112 75000 SH DEFINED 01 75000 0 0 CURAGEN CORP COMMON 23126R101 2722 654424 SH DEFINED 01 654424 0 0 CYTYC CORP CBONDCNV 232946AB9 3874 3587500 SH DEFINED 01 3587500 0 0 DECODE GENETICS INC COMMON 243586104 1149 201754 SH DEFINED 01 201754 0 0 DECODE GENETICS INC CBONDCNV 243586AB0 12704 15330000 SH DEFINED 01 15330000 0 0 DELTA AIR LINES INC CBONDCNV 247361YP7 4235 10459000 SH DEFINED 01 10459000 0 0 DOBSON COMMUNICATIONS CORP COMMON 256069105 3608 1786413 SH DEFINED 01 1786413 0 0 ***ELAN CORP PLC-ADR ADR 284131208 1296 400000 SH DEFINED 01 400000 0 0 ENZON INC CBONDCNV 293904AB4 22482 25015000 SH DEFINED 01 25015000 0 0 WTS EXIDE TECHNOLOGIES WARRANT 302051123 451 250994 SH DEFINED 01 250994 0 0 FLIR SYSTEMS INC CBONDCNV 302445AB7 6253 4094000 SH DEFINED 01 4094000 0 0 GLOBESPAN INC CBONDCNV 379571AB8 975 1000000 SH DEFINED 01 1000000 0 0 HEALTH MGMT ASSOC INC CBONDCNV 421933AF9 20343 18621000 SH DEFINED 01 18621000 0 0 HUMAN GENOME SCIENCES INC CBONDCNV 444903AF5 1150 1200000 SH DEFINED 01 1200000 0 0 HUMAN GENOME SCIENCES CBONDCNV 444903AG3 9 10000 SH DEFINED 01 10000 0 0 HUMAN GENOME SCIENCES INC CBONDCNV 444903AH1 16967 18147000 SH DEFINED 01 18147000 0 0 IMCLONE SYS INC CBONDCNV 45245WAF6 5635 6650000 SH DEFINED 01 6650000 0 0 INDEVUS PHARMACEUTICALS INC CBONDCNV 454072AA7 6865 8234000 SH DEFINED 01 8234000 0 0 INDEVUS PHARMACEUTICALS INC CBONDCNV 454072AB5 7793 9347000 SH DEFINED 01 9347000 0 0 INTERNATIONAL RECTIFIER CORP CBONDCNV 460254AE5 752 755000 SH DEFINED 01 755000 0 0 INVITROGEN CORP CBONDCNV 46185RAD2 882 895000 SH DEFINED 01 895000 0 0 ISOLAGEN INC COMMON 46488N103 766 121900 SH DEFINED 01 121900 0 0 JETBLUE AIRWAYS CORP CBONDCNV 477143AC5 5296 5350000 SH DEFINED 01 5350000 0 0 KING PHARMACEUTICALS INC CBONDCNV 495582AG3 9691 10215000 SH DEFINED 01 10215000 0 0 LSI LOGIC CORP CBONDCNV 502161AG7 2164 2195000 SH DEFINED 01 2195000 0 0 LSI LOGIC CBONDCNV 502161AJ1 5787 6449000 SH DEFINED 01 6449000 0 0 LABOR READY INC CBONDCNV 505401AB5 36975 14160000 SH DEFINED 01 14160000 0 0 LIBERTY MEDIA CORP CBONDCNV 530715AN1 16677 21450000 SH DEFINED 01 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5001425 SH DEFINED 01 5001425 0 0 TEVA PHARMACEUTICALS FINANCE CBONDCNV 88164MAB4 7930 5413000 SH DEFINED 01 5413000 0 0 ***TEVA PHARMACEUTICAL FIN II CBONDCNV 88164RAA5 2248 2260000 SH DEFINED 01 2260000 0 0 TEVA PHARMACEUTICAL FIN II LLC CBONDCNV 88164RAB3 20111 20061000 SH DEFINED 01 20061000 0 0 THERMO ELECTRON CORP CBONDCNV 883556AJ1 2855 2990000 SH DEFINED 01 2990000 0 0 TRANS LUX CORP CBONDCNV 893247AE6 198 200000 SH DEFINED 01 200000 0 0 UNITED STATES STL CORP NEW COMMON 912909108 6244 122800 SH DEFINED 01 122800 0 0 VALEANT PHARMACEUTICALS INTL CBONDCNV 91911XAD6 1922 2000000 SH DEFINED 01 2000000 0 0 WATSON PHARMACEUTICALS INC CBONDCNV 942683AC7 8951 9423000 SH DEFINED 01 9423000 0 0 WYETH CBONDCNV 983024AD2 21633 21101000 SH DEFINED 01 21101000 0 0
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