-----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, WeHzYQeKR8Nyd/B8o8lfA/Lq6wNXgFr19fFQA0gFql7YkJLHI0Ody21RC5hYSQen sYB2n2BJdQCdXQq9KJgOkA== 0000816153-10-000021.txt : 20101115 0000816153-10-000021.hdr.sgml : 20101115 20101115103920 ACCESSION NUMBER: 0000816153-10-000021 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101115 DATE AS OF CHANGE: 20101115 EFFECTIVENESS DATE: 20101115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: THORNBURG INVESTMENT MANAGEMENT INC CENTRAL INDEX KEY: 0001145020 IRS NUMBER: 850301299 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06605 FILM NUMBER: 101189784 BUSINESS ADDRESS: STREET 1: 2300 NORTH RIDGETOP ROAD CITY: SANTA FE STATE: NM ZIP: 87506-8361 BUSINESS PHONE: 5059840200 MAIL ADDRESS: STREET 1: 2300 NORTH RIDGETOP ROAD CITY: SANTA FE STATE: NM ZIP: 87506-8361 13F-HR 1 f0910.txt THORNBURG INVESTMENT MANAGEMENT 13F 09/30/10 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, 2010 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: Thornburg Investment Management, Inc. Address: 2300 N. Ridgetop Road Santa Fe, New Mexico 87506 Form 13F File Number: 28-06605 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 herein 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: Sophia Franco-Marquez Title: Compliance Specialist Phone: 505-954-5248 Signature, Place, and Date of Signing: Sophia Franco-Marquez Santa Fe, New Mexico 11/02/2010 Signature City, State Date Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: None I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 195 Form 13F Information Table Value Total: 19,852,026 (thousands) List of Other Included Managers: 0 FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- SOVEREIGN REIT 144A 84610XAA1 5812 5000 SH Sole 5000 ALEXANDRIA REAL ESTATE E PFD CV 015271505 12016 513500 SH Sole 513500 FIFTH THIRD BANCORP CNV PFD DE PFD CV 316773209 78361 609100 SH Sole 606900 2200 HARTFORD FINL SVCS GRP PFD CV 416515708 3558 150000 SH Sole 150000 HUNTINGTON BANCSHARES (HBAN) PFD CV 446150401 102822 97462 SH Sole 97137 325 LUCENT TECH CAP TRUST I PFD CV 549462307 15390 19000 SH Sole 19000 BANK OF AMERICA CORPORATION PF PFD 060505625 7954 480000 SH Sole 480000 BARCLAYS BANK PLC SP ADR 7.1%P PFD 06739H776 4980 200000 SH Sole 200000 CENTAUR FUNDING CORP PFD 151327202 16341 15000 SH Sole 15000 CITIGROUP CAPITAL XII PFD 17315D204 15846 600000 SH Sole 600000 FALCONS FUNDING TRUST I 144A PFD 306122201 3164 3000 SH Sole 3000 FARM CREDIT BANK/TEXAS PFD 30767E307 10397 10000 SH Sole 10000 FIRST TENN BK N A MEMPHIS TENN PFD 337158208 7781 12000 SH Sole 12000 GENWORTH FINANCIAL INC PFD 37247D403 1007 20000 SH Sole 20000 HEINZ (H.J.) 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