-----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, FaqvdrhAT64a9CcAKqhO1u0eV62AxzrIRQ9J5JG/7ybEmXaJ/LHNmGAd11ZcHRNq GQXeYfh9GacvOAs1jGWESw== 0001034626-02-000005.txt : 20020414 0001034626-02-000005.hdr.sgml : 20020414 ACCESSION NUMBER: 0001034626-02-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020125 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TQA INVESTORS L L C /NY CENTRAL INDEX KEY: 0001034626 IRS NUMBER: 133862304 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06206 FILM NUMBER: 02517990 BUSINESS ADDRESS: STREET 1: 405 LEXINGTON AVE CITY: NEW YORK STATE: NY ZIP: 10194 BUSINESS PHONE: 2125994200 MAIL ADDRESS: STREET 1: 405 LEXINGTON AVE CITY: NEW YORK STATE: NY ZIP: 10174 13F-HR 1 a13f-december31_2001.txt UNITED STATES SECURITIES AND EXCHANGE COMMISION Washington, D.C. 20549 FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2001 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: TQA Investors, LLC Address: 405 Lexington Avenue 45th Floor New York, NY 10174 13F File Number: 28-06206 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 intergral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Bartholomew C. Tesoriero Title: CFO Phone: 212-599-4200 Signature, Place, and Date of Signing: Bartholomew C. Tesoriero New York, New York January 25, 2001 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: None Form 13F Information Table Entry Total: 77 Form 13F Information Table Value Total: $370,272,813.28 List of Other Included Managers: None No. 13F File Number Name 01 02 03 Name of Reporting Manager: TQA Investors, L.L.C. FORM 13f INFORMATION TABLE Voting Authority (Shares) Name of Issuer Title of Class CUSIP Value Shares/ Sh/ Put Investment Other a) Sole b) Share c) None (x 1000) Princpal Prn Cal Discretion Managers Amount AES TRUST 6.75% 10/15/29 CVP PREF STOCK 00808N202 1,572 47 SH SOLE 47,000 AFFIL. COMPUTER 4% 3/15/05 DEBT 008190AD2 14,119 5,675 PRN SOLE 5,675,000 AFFIL. MANAGERS 0% 5/7/21 CVB DEBT 008252AC2 4,900 5,000 PRN SOLE 5,000,000 AVIRON 5.25% 2/01/08 B DEBT 053762AD2 4,545 4,275 PRN SOLE 4,275,000 BARNES & NOBLE 5.25 3/15/09 T DEBT 067774AC3 6,318 5,500 PRN SOLE 5,500,000 BARNES & NOBLE 5.25 3/15/9 CVB DEBT 067774AD1 1,149 1,000 PRN SOLE 1,000,000 BEA SYSTEMS 4% 12/15/06 T DEBT 073325AC6 339 400 PRN SOLE 400,000 BEA SYSTEMS 4% 12/15/06 DEBT 073325AD4 4,646 5,479 PRN SOLE 5,479,000 BENCHMARK ELR. 6% 8/15/06 T DEBT 08160HAA9 962 1,200 PRN SOLE 1,200,000 BENCHMARK ELECT 6% 8/15/06 DEBT 08160HAC5 641 800 PRN SOLE 800,000 CV THERAPEUTICS 4.75% 3/07 T DEBT 126667AA2 305 300 PRN SOLE 300,000 CV THERAPEUTICS 4.75% 3/07/07 DEBT 126667AB0 6,809 6,700 PRN SOLE 6,700,000 CELL THERAPU 5.75% 6/15/08 T DEBT 150934AA5 2,375 2,500 PRN SOLE 2,500,000 CELESTICA INC 0% 8/1/20 DEBT 15101QAA6 5,359 12,500 PRN SOLE 12,500,000 CEPHALON 5.25% 5/1/06 T DEBT 156708AB5 2,355 1,915 PRN SOLE 1,915,000 CEPHALON 5.25% 5/01/06 DEBT 156708AC3 1,968 1,600 PRN SOLE 1,600,000 CHARTER 5.75% 10/15/05 T DEBT 16117MAA5 3,968 3,900 PRN SOLE 3,900,000 CHARTER 5.75% 10/15/05 DEBT 16117MAB3 6,207 6,100 PRN SOLE 6,100,000 CHARTER COMM 4.75% 6/01/06 DEBT 16117MAC1 8,280 9,000 PRN SOLE 9,000,000 CHECKPOINT 5.25% 11-01-05 T DEBT 162825AA1 185 200 PRN SOLE 200,000 CHECKPOINT SYS 5.25%11/1/05 DEBT 162825AB9 5,411 5,850 PRN SOLE 5,850,000 COR THERAPEUTICS 5% 3/1/07 T DEBT 217753AC6 2,438 2,450 PRN SOLE 2,450,000 COR THRAPEUTICS 5% 03/01/07 DEBT 217753AD4 3,284 3,300 PRN SOLE 3,300,000 COR THERAP 4.5% 6/15/06 T DEBT 217753AE2 6,600 6,700 PRN SOLE 6,700,000 GLOBAL CROSSING LTD STOCK G2921A100 15 18 SH SOLE 18,300 DR HORTON INC 0% 5/11/21 DEBT 23331AAH2 8,255 13,000 PRN SOLE 13,000,000 ETRADE GROUP 6% 2/1/07 T DEBT 269246AA2 2,928 3,550 PRN SOLE 3,550,000 ETRADE GROUP 6.75% 5/15/08 T DEBT 269246AC8 2,343 2,000 PRN SOLE 2,000,000 ECHOSTAR COMM 53/4 508 T DEBT 278762AE9 5,883 6,500 PRN SOLE 6,500,000 EL PASO 4.75% CVP PREF STOCK 283678209 7,294 130 SH SOLE 130,000 ENZON 4.5% 07/08 T DEBT 293904AA6 5,500 5,500 PRN SOLE 5,500,000 FLEMING INC 5.25% 3/15/09 T DEBT 339130AQ9 8,600 10,000 PRN SOLE 10,000,000 GEN SEMICOND. 5.75% 12/15/06T DEBT 370787AA1 3,844 3,825 PRN SOLE 3,825,000 GEN SEMICOND. 5.75% 12/15/06 DEBT 370787AB9 4,457 4,435 PRN SOLE 4,435,000 GENESCO 5.5% 4/15/05 T DEBT 371532AK8 3,138 2,830 PRN SOLE 2,830,000 GENESCO 5.5% 4/15/05 DEBT 371532AL6 4,435 4,000 PRN SOLE 4,000,000 GENZYME CORP. 3% 5/15/21 T DEBT 372917AJ3 6,023 5,500 PRN SOLE 5,500,000 GENZYME 3% 5/15/21 CVB DEBT 372917AK0 548 500 PRN SOLE 500,000 HCC INSURANCE 2% 9/1/21 DEBT 404132AA0 7,020 6,500 PRN SOLE 6,500,000 HUTCHINSON TECH. 6% 3/15/05 DEBT 448407AC0 1,256 1,250 PRN SOLE 1,250,000 IMCLONE SYSTEMS 5.5% 03/01/05 DEBT 45245WAD1 2,138 2,000 PRN SOLE 2,000,000 INTL RECTIFIER 4.25% 7/15/07 DEBT 460254AE5 6,203 7,500 PRN SOLE 7,500,000 WEBS - JAPAN INDEX SERIES STOCK 464286848 270 35 SH SOLE 35,000 ITRON 6.75% 3/31/04 DEBT 465741AD8 1,514 488 PRN SOLE 488,000 KELLSTROM 5.5% 6/15/03 FLAT DEBT 488035AE6 75 750 PRN SOLE 750,000 L-3 COMM HLDGS 5.25% 6/1/9 CVB DEBT 502424AB0 7,164 5,500 PRN SOLE 5,500,000 LUCENT TECH 8% 8/1/31 T PREF STOCK 549463206 17,640 16 SH SOLE 16,000 MEDIACOM COMM 5.25% 07/01/06 DEBT 58446KAA3 3,540 3,000 PRN SOLE 3,000,000 MERRILL LYNCH 0% 5/23/31 DEBT 590188A65 5,125 10,000 PRN SOLE 10,000,000 MIRANT 2.5% 06/15/21 T DEBT 604675AA6 9,780 12,000 PRN SOLE 12,000,000 MIRANT CORP 2.5% 6/15/21 DEBT 604675AB4 6,520 8,000 PRN SOLE 8,000,000 NCO GROUP 4.75% 4/6 CVB DEBT 628858AB8 2,278 2,500 PRN SOLE 2,500,000 NCO GROUP INC 4.75% 04/15/06T DEBT 628858AC6 1,823 2,000 PRN SOLE 2,000,000 NEWFIELD FIN 6.5% 8/15/29 PREF STOCK 651291205 2,345 43 SH SOLE 43,000 NORTEL NETWORKS 4.25% 9/1/08 T DEBT 656568AA0 24,832 25,500 PRN SOLE 25,500,000 PETSMART INC 6.75% 11/1/04 T DEBT 716768AA4 2,223 1,860 PRN SOLE 1,860,000 POGO TRUST 6.50% 06/29 CVP PREF STOCK 73044P208 15,385 260 SH SOLE 260,100 QUADRAMED 5.25% 05/01/05 DEBT 74730WAC5 793 1,000 PRN SOLE 1,000,000 RF MICRO DEVICES 3 3/4 08/05 DEBT 749941AB6 14,882 18,000 PRN SOLE 18,000,000 RECKSON 7.625% 12/31/49 CVP PREF STOCK 75621K205 5,783 243 SH SOLE 243,100 RECKSON ASSOC REALTY CORP STOCK 75621K304 4,050 162 SH SOLE 162,000 RESMED 4% 6/20/06 T DEBT 761152AA5 2,108 2,000 PRN SOLE 2,000,000 SCHOOL SPECIALTY 6% 8/08 CVBT DEBT 807863AB1 3,960 4,000 PRN SOLE 4,000,000 SEPRACOR INC. 5% 2/15/07 T DEBT 817315AJ3 1,313 1,500 PRN SOLE 1,500,000 SEPRACOR 5% 02/15/07 DEBT 817315AL8 9,632 11,000 PRN SOLE 11,000,000 SERVICE CORP 6.75% 6/22/08 D DEBT 817565AU8 1,965 2,000 PRN SOLE 2,000,000 SHAW GROUP 0% 5/1/21 T DEBT 820280AA3 7,416 14,400 PRN SOLE 14,400,000 SHAW GROUP 0% 5/21 CVB DEBT 820280AC9 5,717 11,100 PRN SOLE 11,100,000 SINCLAIR BROAD 6% 12/31/49 CVP PREF STOCK 829226505 1,565 54 SH SOLE 54,900 SOLECTRON 0% 5/08/20 D DEBT 834182AK3 11,743 22,000 PRN SOLE 22,000,000 SPACEHAB 8% 10\15\07 T DEBT 846243AA1 231 600 PRN SOLE 600,000 SPRINT CORP 7.125% 8/17/04 T PREF STOCK 852061605 15,908 630 SH SOLE 630,000 TOWER AUTOMOTIVE 5% 8/01/04 DEBT 891707AE1 3,906 4,650 PRN SOLE 4,650,000 UNITED GLOBALCOM 7% 9/30CVP T PREF STOCK 913247102 407 67 SH SOLE 67,200 UNITED GLOBALCOM 7% 9/30 CVP PREF STOCK 913247201 312 44 SH SOLE 44,500 VORNADO REALTY 6.5% SER.A PRFD PREF STOCK 929042208 2,875 50 SH SOLE 50,000 XO COMMUNICAT 5.75% 1/15/09T DEBT 983764AA9 68 4,500 PRN SOLE 4,500,000 LORAL SPACE & COMM STOCK G56462107 523 175 SH SOLE 175,000 TOTAL 370,273
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