0000909518-11-000364.txt : 20111114
0000909518-11-000364.hdr.sgml : 20111111
20111114095635
ACCESSION NUMBER: 0000909518-11-000364
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110930
FILED AS OF DATE: 20111114
DATE AS OF CHANGE: 20111114
EFFECTIVENESS DATE: 20111114
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: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-03182
FILM NUMBER: 111198467
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
1
mm11-0911_13fhr.txt
FORM PERIOD ENDED 9/30/11
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: September 30, 2011
Check here if Amendment [_]; Amendment Number:
This Amendment (Check only one.): [_] is a restatement
[_] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Lehman Brothers Holdings Inc.
Address: 1271 Avenue of the Americas
New York, New York 10020
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: William J. Fox
Title: Chief Financial Officer and Executive Vice President
Phone: 646-285-9000
Signature, Place and Date of Signing:
/s/ William J. Fox
------------------
New York, NY
November 14, 2011
NOTE (Pursuant to Special Instruction 5): Lehman Brothers Holdings Inc.
("LBHI") and Lehman Brothers Incorporated ("LBI") (together, the
"Managers") are unable to provide the information required on this Form
13F. On September 15, 2008 LBHI, and at later dates a number of its
affiliates, filed voluntary petitions for relief under Chapter 11 of the
United States Code (the "Bankruptcy Code") in the United States Bankruptcy
Court for the Southern District of New York (the "Bankruptcy Court") in a
jointly administered proceeding captioned In re Lehman Brothers Holdings
Inc., et. al. under Case No. 08-13555. On September 19, 2008, the
Securities Investor Protection Corporation under the Securities Investor
Protection Act of 1970, as amended ("SIPA") commenced a proceeding against
LBI in the United States District Court for the Southern District of New
York (the "District Court") in the case captioned Securities Investors
Protection Corporation v. Lehman Brothers Inc., Case No. 08-CIV-8119 (GEL).
On September 19, 2008, the District Court entered the Order Commencing
Liquidation (the "LBI Liquidation Order") pursuant to the provisions of
SIPA. The LBI Liquidation Order provided, among other things, the
appointment of James W. Giddens as trustee for the SIPA liquidation of LBI
and removed the proceeding to the Bankruptcy Court under Case No. 08-1420
(JMP) SIPA. For purposes of this filing and despite LBI's SIPA proceeding,
the Managers are treating LBI as an Included Manager.
The Managers are unable to provide the information required on this Form
13F primarily due to (1) the commencement of various administrative or
civil rehabilitation proceedings of subsidiaries comprising significant
parts of LBHI's European and Asian businesses, which have resulted in
significant portions of the Managers' securities trading records and
systems being unavailable to, and non-accessible by, the Managers, and (2)
the sale since September 15, 2008 of significant businesses comprising the
Managers' historical business (the "Sale"). As a result of the Sale, and
actions taken by certain creditors with respect to Section 13(f) Securities
that had been pledged by the Managers, or their affiliates, as collateral
to those creditors, the Managers cannot compile an accurate accounting of
Section 13(f) Securities held. The Managers are currently engaged in an
expensive and time consuming process to reconcile discrepancies in
information the Managers have with respect to Section 13(f) Securities.
Even with continued significant efforts and expense, the Managers may not
be able to provide a record of Section 13(f) Securities held.
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: N/A
Form 13F Information Table Value Total N/A
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.