0001165527-11-001105.txt : 20111115 0001165527-11-001105.hdr.sgml : 20111115 20111115172435 ACCESSION NUMBER: 0001165527-11-001105 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111115 DATE AS OF CHANGE: 20111115 EFFECTIVENESS DATE: 20111115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TD Securities (USA) LLC CENTRAL INDEX KEY: 0001335977 IRS NUMBER: 222203727 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11451 FILM NUMBER: 111208129 BUSINESS ADDRESS: STREET 1: 31 WEST 52ND STREET CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-827-7431 MAIL ADDRESS: STREET 1: 31 WEST 52ND STREET CITY: NEW YORK STATE: NY ZIP: 10019 13F-HR 1 g5593.txt 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 TD Securities (USA) LLC Address 31 West 52nd Street New York, New York 10019 Form 13F File Number: 28-11451 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing this 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 Peter Stroud Title Vice President & Director Phone 212-827-7508 Signature, Place, and Date of Signing: /s/ Peter Stroud New York, NY November 15, 2011 -------------------- ---------------- ----------------- [Signature] [City, State] [Date] 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 other 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).) List of Other Managers Reporting for this Manager: Form 13F File Number Name None FORM 13F SUMMARY PAGE Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 34 Form 13F Information Table Value Total: $279,901 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. 13F File Number Name FORM 13F INFORMATION TABLE
FAIR MARKET TITLE OF VALUE SHRS OR INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT SH/PRN DISCRETION MANAGERS SOLE SHARED NONE -------------- ----- ----- -------- ------- ------ ---------- -------- ---- ------ ---- MARKET VECTORS ETF TR GOLD MINER ETF COM 57060U100 828 15,000 sh sole 15,000 ANNALY CAP MGMT INC COM COM 035710409 790 47,500 sh sole 47,500 PFIZER INC COM COM 717081103 46,426 2,253,682 sh sole 2,253,682 BANK OF AMERICA CORPORATION COM COM 060505104 31,677 2,890,280 sh sole 2,890,280 GENERAL ELECTRIC CO COM COM 369604103 57,052 3,025,049 sh sole 3,025,049 ALLIANCE DATA SYSTEMS CORP NOTE 1.750% 8/0 NOTE 018581AD0 6,302 5,000,000 prn sole 5,000,000 ALLIANT TECHSYSTEMS INC NOTE 3.000% 8/1 NOTE 018804AK0 2,815 2,500,000 prn sole 2,500,000 ANIXTER INTL INC NOTE 1.000% 2/1 NOTE 035290AJ4 2,751 2,700,000 prn sole 2,700,000 ARCHER DANIELS MIDLAND CO NOTE 0.875% 2/1 NOTE 039483AW2 9,945 10,000,000 prn sole 10,000,000 BIOMARIN PHARMACEUTICAL INC NOTE 1.875% 4/2 NOTE 09061GAD3 4,974 3,000,000 prn sole 3,000,000 BOSTON PPTYS LTD PARTNERSHIP NOTE 3.750% 5/1 NOTE 10112RAG9 4,364 4,026,000 prn sole 4,026,000 BRANDYWINE OPER PARTNERSHIP NOTE 3.875%10/1 NOTE 105340AH6 1,787 1,787,000 prn sole 1,787,000 CHARLES RIV LABS INTL INC NOTE 2.250% 6/1 NOTE 159864AB3 1,953 2,000,000 prn sole 2,000,000 CUBIST PHARMACEUTICALS INC NOTE 2.500%11/0 ADDED NOTE 229678AD9 2,725 2,000,000 prn sole 2,000,000 E M C CORP MASS NOTE 1.750%12/0 NOTE 268648AM4 14,053 10,000,000 prn sole 10,000,000 ENDO PHARMACEUTICALS HLDGS I NOTE 1.750% 4/1 ADDED NOTE 29264FAB2 5,613 5,000,000 prn sole 5,000,000 EQUINIX INC NOTE 2.500% 4/1 NOTE 29444UAF3 3,035 3,000,000 prn sole 3,000,000 FTI CONSULTING INC NOTE 3.750% 7/1 NOTE 302941AB5 3,043 2,500,000 prn sole 2,500,000 GENERAL CABLE CORP DEL NEW NOTE 0.875%11/1 NOTE 369300AD0 2,811 3,073,000 prn sole 3,073,000 HEALTH CARE REIT INC NOTE 3.000%12/0 NOTE 42217KAR7 6,360 6,000,000 prn sole 6,000,000 HOLOGIC INC FRNT 2.000%12/1 NOTE 436440AA9 5,580 6,000,000 prn sole 6,000,000 L-3 COMMUNICATIONS CORP DEBT 3.000% 8/0 NOTE 502413AW7 4,700 5,000,000 prn sole 5,000,000 NEWMONT MINING CORP NOTE 1.250% 7/1 NOTE 651639AH9 3,646 2,500,000 prn sole 2,500,000 NEWMONT MINING CORP NOTE 1.625% 7/1 NOTE 651639AJ5 11,996 8,000,000 prn sole 8,000,000 OMNICARE INC DBCV 3.250%12/1 NOTE 681904AL2 4,269 4,801,000 prn sole 4,801,000 PARKER DRILLING CO NOTE 2.125% 7/1 NOTE 701081AR2 5,163 5,295,000 prn sole 5,295,000 RAYONIER TRS HLDGS INC NOTE 3.750%10/1 NOTE 75508AAB2 5,601 5,000,000 prn sole 5,000,000 SANDISK CORP NOTE 1.000% 5/1 NOTE 80004CAC5 1,929 2,000,000 prn sole 2,000,000 SBA COMMUNICATIONS CORP NOTE 4.000%10/0 NOTE 78388JAM8 10,916 8,500,000 prn sole 8,500,000 ST MARY LD & EXPL CO NOTE 3.500% 4/0 NOTE 792228AD0 2,411 2,000,000 prn sole 2,000,000 TAKE-TWO INTERACTIVE SOFTWAR NOTE 4.375% 6/0 NOTE 874054AA7 5,451 4,000,000 prn sole 4,000,000 TELEFLEX INC NOTE 3.875% 8/0 NOTE 879369AA4 1,629 1,500,000 prn sole 1,500,000 TRANSOCEAN INC NOTE 1.500%12/1 NOTE 893830AW9 5,335 5,500,000 prn sole 5,500,000 TTM TECHNOLOGIES INC NOTE 3.250% 5/1 NOTE 87305RAC3 1,971 2,000,000 prn sole 2,000,000