-----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, Bt85OKhShyutavwUsiWfRodZKLFHZnQ0LbIOIpAKFPD5CWpykcY4cpA5W58DtdIb jbVLlt/akUpVpwYqs2rKcQ== 0001034626-02-000013.txt : 20020814 0001034626-02-000013.hdr.sgml : 20020814 20020814141724 ACCESSION NUMBER: 0001034626-02-000013 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020630 FILED AS OF DATE: 20020814 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: 02734536 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 june.txt UNITED STATES SECURITIES AND EXCHANGE COMMISION Washington, D.C. 20549 FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: JUNE 30, 2002 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 AUGUST 14, 2002 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: 64 Form 13F Information Table Value Total: $471,171,350.00 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 ACTION PERF 4.75% 4/01/05 DEBT 004933AB3 7181 7500000 PRN SOLE 7500000 AES TRUST 6.75% 10/15/29 CVP PREF 00808N202 943 50000 SH SOLE 50000 AFFILIATED COMP 3.5% 2/15/06 DEBT 008190AF7 7385 5758000 PRN SOLE 5758000 AGILENT TECH INC 3% 12/1/21 DEBT 00846UAB7 8467 8250000 PRN SOLE 8250000 ALEXION PHARM 5 3/4% 3/15/07 DEBT 015351AB5 2886 4500000 PRN SOLE 4500000 AMERICAN GREETINGS 7% 7/15/06 DEBT 026375AJ4 9120 6000000 PRN SOLE 6000000 AMGEN 0% 3/1/32 DEBT 031162AE0 9180 13500000PRN SOLE 13500000 AMKOR TECH 5% 3/15/07 DEBT 031652AH3 10880 20723000PRN SOLE 20723000 AMKOR TECH 5.75% 6/01/06 DEBT 031652AN0 6525 11250000PRN SOLE 11250000 AVAYA INC 0% 10/31/21 CVB DEBT 053499AA7 743 2000000 PRN SOLE 2000000 BAXTER INTL 1.25% 06/21/06 DEBT 071813AR0 7508 7480000 PRN SOLE 7480000 BEA SYSTEMS 4% 12/15/06 DEBT 073325AD4 6134 7549000 PRN SOLE 7549000 BROCADE 2% 1/1/7 DEBT 111621AB4 1510 2000000 PRN SOLE 2000000 CHARTER 5.75% 10/15/05 DEBT 16117MAB3 9302 17550000PRN SOLE 17550000 CHARTER COMM 4.75% 6/01/06 DEBT 16117MAC1 5280 11000000PRN SOLE 11000000 CITIZENS UTILITIES T 5% 1/36 M PREF 177351202 4824 122600 SH SOLE 122600 COR THERA 4.5% 6/15/06 CVB DEBT 217753AG7 9180 8500000 PRN SOLE 8500000 COR THERA MLNM 5% 03/01/07 DEBT 217753AD4 9675 9000000 PRN SOLE 9000000 CORNING INC 0% 11/8/15 DEBT 219350AJ4 1010 2000000 PRN SOLE 2000000 COX COMMUN .348% 2/23/21 DEBT 224044BC0 5203 7500000 PRN SOLE 7500000 CV THERAPEUTICS 4.75% 3/07/07 DEBT 126667AB0 1717 2340000 PRN SOLE 2340000 ECHOSTAR COMM 5.75% 5/15/08 DEBT 278762AG4 6945 9385000 PRN SOLE 9385000 EL PASO 4.75% CVP PREF 283678209 23324 633800 SH SOLE 633800 ETRADE 6.75% 5/15/08 DEBT 269246AD6 7990 9250000 PRN SOLE 9250000 FINISAR 5.25% 10/15/8 CVB DEBT 31787AAC5 4110 6000000 PRN SOLE 6000000 FORD TRST II 6.5% 1/15/32 CVP PREF 345395206 59756 1045600 SH SOLE 1045600 GENESCO 5.5% 4/15/05 DEBT 371532AL6 4860 4000000 PRN SOLE 4000000 HCC INSURANCE 2% 9/1/21 DEBT 404132AA0 2634 2500000 PRN SOLE 2500000 HILTON HOTELS CORP 5% 5/15/06 DEBT 432848AL3 5686 5970000 PRN SOLE 5970000 HOUSEHOLD 0% 8/2/21 DEBT 441815AN7 16575 20000000PRN SOLE 20000000 INT PAPER 0% 06/20/21 DEBT 460146BM4 5844 11000000PRN SOLE 11000000 INTERMUNE 5.75% 7/15/06 DEBT 45884XAA1 3692 4250000 PRN SOLE 4250000 JC PENNEY 5% 10/15/08 DEBT 708160BV7 12930 12850000PRN SOLE 12850000 L-3 COMM 4% 9/15/11 DEBT 502424AD6 22478 18500000PRN SOLE 18500000 LENNAR CORP. 0% 7/29/18 DEBT 526057AA2 9969 12500000PRN SOLE 12500000 LOEWS CORP 3.125% 9/15/07 DEBT 540424AL2 17148 19500000PRN SOLE 19500000 MEDIACOM COMM 5.25% 07/01/06 DEBT 58446KAA3 5054 6500000 PRN SOLE 6500000 MEDTRONIC INC 1.25% 9/15/21 DEBT 585055AB2 33079 32510000PRN SOLE 32510000 NCO GROUP 4.75% 4/6 CVB DEBT 628858AB8 2331 2500000 PRN SOLE 2500000 NDC HEALTH 5% 11/01/03 DEBT 635621AA3 2005 2000000 PRN SOLE 2000000 NEWBERGER BERMAN 0% 5/4/21 DEBT 641234AC3 5168 6000000 PRN SOLE 6000000 NEWFIELD FIN 6.5% 8/15/29 PREF 651291205 2365 43000 SH SOLE 43000 NEXTEL 6% 6/1/11 CVB DEBT 65332VBC6 1901 4100000 PRN SOLE 4100000 OMNICOM 0% 2/7/31CVB DEBT 681919AK2 11310 12000000PRN SOLE 12000000 ORBITAL SCIENCES 5% 10/01/02 DEBT 685564AC0 955 1000000 PRN SOLE 1000000 POGO PRODUCE STOCK 730448107 1217 37300 SH SOLE 37300 PROFIT RECOVERY 4.75% 11/6 T DEBT 743168AA4 3750 2185000 PRN SOLE 2185000 QUADRAMED 5.25% 05/01/05 DEBT 74730WAC5 706 850000 PRN SOLE 850000 RATIONAL SOFTWARE 5% 2/01/07 DEBT 75409PAC7 4106 5000000 PRN SOLE 5000000 RECKSON 7.625% 12/31/49 CVP PREF 75621K205 5822 243100 SH SOLE 243100 RECKSON ASSOC REALTY CORP STOCK 75621K304 4131 162000 SH SOLE 162000 REGENERON 5.5% 10/17/08 DEBT 75886FAB3 5963 7500000 PRN SOLE 7500000 REINSURANCE GRP 5.75% 12/15/50 PREF 759351307 4722 95000 SH SOLE 95000 ROYAL CARIBBEAN 0% 2/02/21 DEBT 780153AK8 2900 8000000 PRN SOLE 8000000 ROYAL CARIBBEAN 0% 5/18/21 DEBT 780153AM4 4025 10000000PRN SOLE 10000000 SEPRACOR 5% 02/15/07 DEBT 817315AL8 9702 16800000PRN SOLE 16800000 SHAW GROUP 0% 5/21 CVB DEBT 820280AC9 5864 10177000PRN SOLE 10177000 SINCLAIR BROAD 6% 12/31/49 CVP PREF 829226505 3881 104900 SH SOLE 104900 SOLECTRON 0% 11/20/20 M DEBT 834182AL1 2325 5000000 PRN SOLE 5000000 TOWER AUTOMOTIVE 5% 8/01/04 DEBT 891707AE1 2059 2150000 PRN SOLE 2150000 TYCO INT'L 0% 2/12/21 DEBT 902118AW8 2433 3500000 PRN SOLE 3500000 VENATOR GROUP 5.5% 6/01/08 DEBT 922944AB9 3431 3000000 PRN SOLE 3000000 VORNADO REALTY 6.5% SER.A PRFD PREF 929042208 3175 50000 SH SOLE 50000 WORLD COLOR 6% 10/1/07 DEBT 981443AA2 8202 7490000 PRN SOLE 7490000 TOTAL 471171
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