-----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, RArfp0FCPDh9/aXasc8/vkIaWpEjINNq3wsBIPxaaqaCqAtAKa6vtt1FE5H0TJEn 3xcmS70ySYkePeQ72phXog== 0001034626-02-000014.txt : 20021114 0001034626-02-000014.hdr.sgml : 20021114 20021114162147 ACCESSION NUMBER: 0001034626-02-000014 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020930 FILED AS OF DATE: 20021114 EFFECTIVENESS DATE: 20021114 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: 02825337 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 sept.txt UNITED STATES SECURITIES AND EXCHANGE COMMISION Washington, D.C. 20549 FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: SEPTEMBER 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 NOVEMBER 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: 83 Form 13F Information Table Value Total: $461,881,041.00 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 6493 7175000 PRN SOLE 7175000 AES TRUST 6.75% 10/15/29 CVP PREF STOCK 00808N202 638 50000 SH SOLE 50000 AFFILIATED COMP 3.5% 2/15/06 DEBT 008190AF7 9371 7658000 PRN SOLE 7658000 AGILENT TECH INC 3% 12/1/21 DEBT 00846UAB7 5453 6650000 PRN SOLE 6650000 ALEXION PHARM 5 3/4% 3/15/07 DEBT 015351AB5 2807 4500000 PRN SOLE 4500000 AMAZON.COM 4.75% 2/1/09 DEBT 023135AF3 3203 4927000 PRN SOLE 4927000 AMERICAN GREETINGS 7% 7/15/06 DEBT 026375AJ4 1484 1000000 PRN SOLE 1000000 AMGEN 0% 3/1/32 DEBT 031162AE0 1763 2500000 PRN SOLE 2500000 AMKOR TECH 5% 3/15/07 DEBT 031652AH3 4122 14723000 PRN SOLE 14723000 AMKOR TECH 5.75% 6/01/06 DEBT 031652AN0 3769 11250000 PRN SOLE 11250000 AVAYA INC 0% 10/31/21 CVB DEBT 053499AA7 438 2000000 PRN SOLE 2000000 BISYS GR 4% 3/15/06 DEBT 055472AB0 2764 3000000 PRN SOLE 3000000 BAXTER INTL 1.25% 06/01/21 DEBT 071813AR0 24614 24800000 PRN SOLE 24800000 BEA SYSTEMS 4% 12/15/06 DEBT 073325AD4 1629 2099000 PRN SOLE 2099000 BEST BUY 2.25% 1/15/22 DEBT 086516AF8 3869 5000000 PRN SOLE 5000000 CV THERAPEUTICS 4.75% 3/07/07 DEBT 126667AB0 1708 2340000 PRN SOLE 2340000 CELESTICA INC 0% 8/1/20 DEBT 15101QAA6 1059 2500000 PRN SOLE 2500000 CEPHALON 5.25% 5/01/06 DEBT 156708AC3 2820 3000000 PRN SOLE 3000000 CHARTER 5.75% 10/15/05 DEBT 16117MAB3 8073 17550000 PRN SOLE 17550000 CHARTER COMM 4.75% 6/01/06 DEBT 16117MAC1 3900 10000000 PRN SOLE 10000000 CIENA 3.75% 2/1/08 DEBT 171779AA9 1150 2000000 PRN SOLE 2000000 CITIZENS UTILITIES 5% 1/36 M PREF STOCK 177351202 4046 122600 SH SOLE 122600 CLEAR CHANNEL 4/1/03 2.625% DEBT 184502AB8 6886 7000000 PRN SOLE 7000000 COR THERA MLNM 5% 03/01/07 DEBT 217753AD4 12305 11500000 PRN SOLE 11500000 COR THERA 4.5% 6/15/06 CVB DEBT 217753AG7 8560 8000000 PRN SOLE 8000000 ETRADE 6.75% 5/15/08 DEBT 269246AD6 6938 9250000 PRN SOLE 9250000 ECHOSTAR COMM 5.75% 5/15/08 DEBT 278762AG4 8539 11385000 PRN SOLE 11385000 EL PASO CORP 0% 2/28/21 DEBT 28336LAC3 1798 5800000 PRN SOLE 5800000 EL PASO 4.75% CVP PREF STOCK 283678209 10235 568900 SH SOLE 568900 FINISAR 5.25% 10/15/8 CVB DEBT 31787AAC5 2783 7000000 PRN SOLE 7000000 FORD TRST II 6.5% 1/15/32 CVP PREF STOCK 345395206 27623 685600 SH SOLE 685600 GAP INC 5.75% 3/15/09 DEBT 364760AJ7 1975 2000000 PRN SOLE 2000000 GENCORP 5.75% 04/15/07 DEBT 368682AE0 5866 6500000 PRN SOLE 6500000 GEN SEMICOND. 5.75% 12/15/06T DEBT 370787AA1 3043 3400000 PRN SOLE 3400000 GEN SEMICOND. 5.75% 12/15/06 DEBT 370787AB9 2560 2860000 PRN SOLE 2860000 GENESCO 5.5% 4/15/05 DEBT 371532AL6 2288 2500000 PRN SOLE 2500000 HCC INSURANCE 2% 9/1/21 DEBT 404132AA0 10311 9750000 PRN SOLE 9750000 ICN PHARM 6.5% 7/15/08 DEBT 448924AM2 1988 3000000 PRN SOLE 3000000 IDEC PHARMACET 0% 4/29/32 DEBT 449370AE5 3343 5877000 PRN SOLE 5877000 INTERMUNE 5.75% 7/15/06 DEBT 45884XAA1 4760 4250000 PRN SOLE 4250000 INT PAPER 0% 06/20/21 DEBT 460146BM4 6438 12500000 PRN SOLE 12500000 LSI LOGIC 4% 11/01/06 DEBT 502161AG7 7500 10000000 PRN SOLE 10000000 L-3 COMM 4% 9/15/11 DEBT 502424AD6 21131 17500000 PRN SOLE 17500000 LENNAR CORP. 0% 7/29/18 DEBT 526057AA2 11703 15500000 PRN SOLE 15500000 LOEWS CORP 3.125% 9/15/07 DEBT 540424AL2 17733 20500000 PRN SOLE 20500000 LOWES COMPANIES 0% 2/16/21 DEBT 548661CF2 15700 20000000 PRN SOLE 20000000 MRV COMM 5% 6/15/03 DEBT 553477AB6 235 250000 PRN SOLE 250000 MAIL-WELL 5% 11/1/02 DEBT 560321AD3 3660 3720000 PRN SOLE 3720000 MEDIACOM COMM 5.25% 07/01/06 DEBT 58446KAA3 4388 6500000 PRN SOLE 6500000 MEDTRONIC INC 1.25% 9/15/21 DEBT 585055AB2 12844 12500000 PRN SOLE 12500000 MERRILL LYNCH 0% 5/23/31 DEBT 590188A65 2581 5000000 PRN SOLE 5000000 MIRANT CORP 2.5% 6/15/21 DEBT 604675AB4 690 1500000 PRN SOLE 1500000 MIRANT 5.75% 07/15/07 DEBT 604675AC2 470 1000000 PRN SOLE 1000000 NCO GROUP 4.75% 4/6 CVB DEBT 628858AB8 1039 1500000 PRN SOLE 1500000 NDC HEALTH 5% 11/01/03 DEBT 635621AA3 3378 3500000 PRN SOLE 3500000 NEWBERGER BERMAN 0% 5/4/21 DEBT 641234AC3 2603 3000000 PRN SOLE 3000000 NEWFIELD FIN 6.5% 8/15/29 PREF STOCK 651291205 3556 68000 SH SOLE 68000 NEWS CORP LTD - ADR STOCK 652487703 327 17000 SH SOLE 17000 NEXTEL COMM. 4.75% 7/1/07 DEBT 65332VAT0 3750 5000000 PRN SOLE 5000000 NEXTEL 6% 6/1/11 CVB DEBT 65332VBC6 5520 7600000 PRN SOLE 7600000 OFFSHORE LOG 6% 12/15/03 DEBT 676255AF9 3705 3650000 PRN SOLE 3650000 OMNICOM 0% 2/7/31CVB DEBT 681919AK2 9775 10000000 PRN SOLE 10000000 PMC-SIERRA 3.75% 8/15/06 DEBT 69344FAB2 1700 2500000 PRN SOLE 2500000 PMI GROUP 2.5% 7/15/21 DEBT 69344MAE1 10338 10000000 PRN SOLE 10000000 JC PENNEY 5% 10/15/08 DEBT 708160BV7 10250 11850000 PRN SOLE 11850000 PROFIT RECOVERY 4.75% 11/6 T DEBT 743168AA4 3840 2185000 PRN SOLE 2185000 QUADRAMED 5.25% 05/01/05 DEBT 74730WAC5 553 850000 PRN SOLE 850000 RATIONAL SOFTWARE 5% 2/01/07 DEBT 75409PAC7 5405 6875000 PRN SOLE 6875000 RECKSON 7.625% 12/31/49 CVP PREF STOCK 75621K205 5761 243100 SH SOLE 243100 RECKSON ASSOC REALTY CORP CL B STOCK 75621K304 3848 162000 SH SOLE 162000 REGENERON 5.5% 10/17/08 DEBT 75886FAB3 5550 7500000 PRN SOLE 7500000 REINSURANCE GRP 5.75% 12/15/50 PREF STOCK 759351307 6380 145000 SH SOLE 145000 SEPRACOR 5% 02/15/07 DEBT 817315AL8 6986 13800000 PRN SOLE 13800000 SHAW GROUP 0% 5/21 CVB DEBT 820280AC9 2115 4177000 PRN SOLE 4177000 SINCLAIR BROAD (YIELD ENHANCE) PREF STOCK 829226505 4196 104900 SH SOLE 104900 SOLECTRON 0% 11/20/20 M DEBT 834182AL1 1640 4000000 PRN SOLE 4000000 TOWER AUTOMOTIVE 5% 8/01/04 DEBT 891707AE1 1905 2150000 PRN SOLE 2150000 VERITAS SOFTWARE 1.856% 8/06 M DEBT 92343RAA1 5411 6500000 PRN SOLE 6500000 VERIZON GLO 0% 05/15/21-04 DEBT 92344GAN6 20531 37500000 PRN SOLE 37500000 VORNADO REALTY 6.5% SER.A PRFD PREF STOCK 929042208 2730 50000 SH SOLE 50000 WORLD COLOR 6% 10/1/07 DEBT 981443AA2 6836 6565000 PRN SOLE 6565000 WORLDCOM INC 7% SERIES D CVP PREF STOCK 98157D601 7 15000 SH SOLE 15000 NASDAQ 100 TR I SERIES 1 STOCK 631100104 207 10000 SH SOLE 10000 TOTAL 461881
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