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